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FOOD ENGINEERING / INŻYNIERIA ŻYWNOŚCI 71

PhD, DSc Jolanta KOWALSKA, prof. SGGW


MSc. Eng. Bogumiła URBAŃSKA
Eng. Aleksander GREESE–ŁYKO
Department of Food Engineering and Process Management, Institute of Food Sciences
Warsaw University of Life Sciences (WULS), Poland
Katedra Inżynierii Żywności i Organizacji Produkcji, Instytut Nauk o Żywności
Szkoła Główna Gospodarstwa Wiejskiego w Warszawie (SGGW), Polska

Risk analysis on the example of chocolate


production®
Analiza ryzyka na przykładzie produkcji czekolady®

Key words: risk analysis, chocolate, threats, production Słowa kluczowe: analiza ryzyka, czekolada, zagrożenia,
process. process produkcji.
Risk analysis is a tool supporting and allowing to determine Analiza ryzyka jest narzędziem wspomagającym i pozwa-
the level of risk and the effects that may cause potential lającym na określenie poziomu ryzyka i skutków, jakie mogą
threats. Based on the results obtained, during the analysis of wywołać potencjalne zagrożenia. W oparciu o uzyskane wyni-
hazards in the chocolate production process, it was possible to ki podczas analizy zagrożeń w procesie produkcji czekolady
assess the existing hazards and assign them a specific weight, możliwe było dokonanie oceny występujących zagrożeń oraz
which translates into risk levels that have a potential impact nadanie im określonej wagi, przekładającej się na poziomy ry-
on the health safety of dark chocolates. Dark chocolate has zyka mające potencjalny wpływ na bezpieczeństwo zdrowotne
been shown to be a relatively safe product. Many stages in czekolad gorzkich. Wykazano, że czekolada gorzka jest pro-
the technological cycle allow for the elimination of hazards duktem stosunkowo bezpiecznym. Wiele etapów w cyklu tech-
from raw materials and earlier processing stages, which is nologicznym pozwala na usunięcie zagrożeń pochodzących
supported by properly designed quality systems. z surowców i wcześniejszych etapów przetwórczych, w czym
są pomocne właściwie opracowane systemy jakości.

INTRODUCTION may accidentally get into the product, also pose the risk of
contamination with foreign bodies. Physical hazards may
Chocolate is valued for its unique taste and aroma, as also come from employees (jewelry, hair, buttons) as a result
well as for its antioxidant properties [19]. The basic raw of non–compliance with hygiene and production rules. In
material for the production of chocolate is cocoa beans [35]. addition, other raw materials as well as the packaging from
Four varieties of cocoa are most commonly used: Criollo, which they are dispensed, e.g. paper, strings, fragments of foil,
Forastero, Nacional and Trinitario [18]. may be the source of threats. The group of chemical hazards
Cocoa fruits, and thus the beans contained in them, are includes heavy metals (derived from raw materials to which
exposed to numerous threats, both environmental and resulting they get from the external environment), plant protection
from the use of agrotechnical measures or the implementation agents (pesticides), toxins, detergent residues [28, 31]. Cocoa
of the processing process. In plantations, ripe fruit is fermented beans show a lower degree of contamination with heavy
and then dried in natural conditions, without the possibility of metals than their processing products, which is related to the
controlling both the process parameters and sanitary conditions protective effect of the husks, absorbing pollutants from the
[14, 17]. The next stages are carried out in processing environment [22, 24].
plants, where they are exposed to hazards originating from The conditions of the processing process, especially
raw materials (including agrotechnical agents), machinery, fermentation and storage, favor the multiplication of fungal
employees, packaging, etc. Microbiological, chemical, or microflora, e.g. Aspergillus, Penicillium and Fusarium
physical hazards can be identified in chocolate [28]. Stones, responsible for the formation of toxic metabolites causing
fragments of wood, metals, glass, plastic, and animal waste mutagenic, teratogenic and carcinogenic changes [15]. The
and fragments are examples of physical hazards. They can raw material is considered to be free from fungal contamination
get into the product at any stage of the process, especially only after it has undergone the alkalization and roasting
during the processes carried out on plantations, under natural process, but it is still susceptible to secondary contamination
conditions. Devices, especially moving parts, whose parts

Corresponding author – Adres do korespondencji: Jolanta Kowalska, Department of Food Engineering and Process
Management, Institute of Food Sciences, Warsaw University of Life Sciences (WULS), Nowoursynowska Str. 159c, 02-776
Warsaw, e–mail: jolanta_kowalska@sggw.edu.pl
72 TECHNOLOGICAL PROGRESS in food processing / POSTĘPY TECHNIKI przetwórstwa spożywczego 2/2021

from the surrounding environment and machines used for its The aim of the study was to determine the level of
processing [10, 11]. The main microbial risk of chocolate is risk in the chocolate production process with the use of
Salmonella. The presence of Enterobacteriaceae and the various methods of risk analysis.
Coli group bacteria is used to determine the level of hygiene
for raw materials, the final product, and for the environment METHODOLOGY
in which the chocolate production process takes place [7].
One of the tools used to ensure the safety of food products The first stage of the work was to prepare a chocolate
are quality management systems. Each production plant production scheme based on the available literature. The
is obligatorily obliged to implement good production and process was divided into three phases (Table 1) depending
hygienic practices as well as HACCP principles. In addition, on the place of their implementation (plantation, cocoa pulp
a risk analysis is also required, which indicates the significance production plant, check–counter production plant).
of the hazard and the level of risk associated with it. The Then, based on the literature data, three methods were
risk analysis consists of three factors that create a coherent selected to conduct the risk analysis: Ishikawa’s cause-effect
structure that ensures efficient and appropriate management: diagram (Fig. 1), the error tree (Fig. 2) and the scoring method
risk assessment, risk management and risk communication [8, (Table 2).
13, 21, 26]. The risk assessment is carried out on the basis Thediagram
Ishikawa diagram (fishbone) consists in determining
The Ishikawa (fishbone) consists in determining the components and then assign-
of the hazard identification, its characteristics, the probability the components and then assigning each component causes
of the hazard occurrence and the determination of the risk’s ing each component causes and sub-causes that may have influenced the occurrence of the
and sub-causes that may have influenced the occurrence of
impact and effect [4, 9, 34, 36]. Many methods are usedeffect. to the effect.
carry out a risk assessment. One of them is the Ishikawa
diagram, in which factors, such as human, machine, materials, Methods Materials Environment
environment, etc., are used to describe the “problem”, which
are classified as causes or subcauses [23]. Another method is Secondary Primary
cause
cause
the use of the Fault Tree Analysis (FTA), thanks to which it
is possible to construct an example of a situation considered Problem
during the risk analysis and to conduct its assessment [22]. The
most frequently used method to carry out the risk assessment
is the scoring method based on two values: the probability Devices People Management process
with which the hazard may occur and the assessment of the
intensity of the effects of the hazard [36]. Fig. 1. Ishikawa diagram.
Fig. 1.Ishikawy.
Rys.1 Diagram Ishikawa diagram.
Table 1. Chocolate production stages Rys. 1. Diagram Ishikawy.
Source: The own study
Tabela 1. Etapy produkcji czekolady Source: The own study
Źródło: Badania własne
Źródło: Badania własne
Cultivation Processing of cocoa Chocolate production
region beans The tree is structured in such a way that it is possible to
Growing cocoa Grain cleaning / Liquefaction of cocoa identify logical relationships between causes, using gates
trees sorting (alkalization liquor (“AND”, “OR”), which represent the logical relationship of
⇓ can also be used) ⇓ causes to the following effect, up to the final hazard. The “I”
Set of fruits ⇓ Mixing ingredients (cocoa gate specifies that a given effect cannot be achieved without
⇓ Roasting mass, cocoa butter, sugar, meeting all the problems that create it, while the “OR” gate
Fruit ⇓ cocoa powder) informs about the effect that will take place if there is at least
fermentation Dehulling / ⇓ one of the problems that create it [25].
⇓ dehydrating Rolling / grinding The Risk Score method, is a 2– or 3–parameter method.
Drying ⇓ ⇓ In this study, the 2–parameter method was used. The risk
⇓ Grinding – cocoa nibs Conching indicator is the product of probability of event occurrence
Initial sort (alkalization may be ⇓ marked as (P) and the size of potential outcome (E) of such an
used) Tempering event. The parameters were set on a scale from 1 to 6, where

Packing ⇓ ⇓ the value of 1 was set for the unlikely probability, and 6 – for
Grinding – cocoa Pouring / dosing into the very probable one. Effect 1 – had a minor impact and 6 –
⇓ liquor
Transport molds very significant.
(export) ⇓ ⇓ The probability of a hazard occurring: 1. Impossible 2.
Fat pressing – Cooling
obtaining cocoa butter
Very unlikely 3. Unlikely 4. Often, 5. Very often, 6. Almost
and cocoa cakes ⇓ certain. Outcomes of the hazard: 1. Minor, 2. Light injuries, 3.
(dried and ground Removing from the moulds Medium injuries, 4. Serious injuries, 5. Very severe injuries, 5
– cocoa powder is Packing 6. Fatal accident. Risk significance level for the scale 1 – 6:
formed) ⇓ 1. Minimal, requiring little action, P * E = 1 – 6,
Storage
2. Small, require taking small, periodic actions, P * E = 7–12,
Source: The own study 3. Medium, require taking actions determined by the
Źródło: Badania własne management – introducing requirements in the system
The tree is structured in such a way that it is possible to identify logical relationships be-
tween causes, using gates ("AND", "OR"), which represent the logical relationship of causes
to the following effect, up to the final hazard. The "I" gate specifies that a given effect cannot
FOOD ENGINEERING / INŻYNIERIA ŻYWNOŚCI
be achieved without meeting all the problems that create it, while the "OR" gate informs
73
about the effect that will take place if there is at least one of the problems that create it [25].
The main threats are insects, often
Hazard found in the environment around the
cultivated field, which can transmit
viruses that infect plants, and thus the
produced crops are deformed. In order
indirect ef- indirect ef- to protect plantations against diseases
fect fect caused by the CSSV virus (Cacao
initial effect Swollen Shoot Virus), the practice of
cutting already infected trees and adjacent
trees or burning whole plants is used. The
indirect ef- indirect ef- presence of Phytophthora fungi causes
fect fect browning, blackening and rotting of
initial effect pods and kernels due to the development
initial effect initial effect initial effect of Black Pod Disease [3, 33]. Fungal
infections can also cause anomalies in
logic gate: - or - and shoot development, at the expense of
the formation of pods (Witches Broom
Fig.
Fig. 2. Fault
2. Fault Tree.
Tree. Disease). In addition, toxins (mainly
Rys.
Rys. 2. Drzewo
2. Drzewo błędów.
błędów.
mycotoxins) are metabolites of mold and
Source: fungi, which are very serious and difficult
Source: The own study
The own study
to remove chemical hazards [11]. The risk
Źródło: Badania własne
Źródło: Badania własne of plant infection is reduced thanks to the
The Risk Score method, is a 2- or 3-parameter
documentation, training employees and increasing their method. In this study, the 2-parameter use of insecticides, which in turn results in
awareness
method was used. andTherole in the issystem,
risk indicator verification
the product of probabilityduring an increase
of event occurrence marked in their amount in dried, already fermented grains,
internal audits, the formation of grain blemishes and the risk of exceeding
as (P) and the size ofperiodic
potentiallaboratory
outcome (E)tests, P *anE event.
of such = 13 –The 18,parameters were set on a
the maximum allowable limit of pesticides present in the
4.scale
High
from risk,
1 todifficult
6, wheretotheremove,
value ofrequiring
1 was setpreventive actions,
for the unlikely probability,
rawandmaterial
6 - for the
[4]. After harvesting, the pods are fermented
P * E = 19 – 24,
very probable one. Effect 1 - had a minor impact and 6 - very significant. and dried. At the fermentation stage, the pods and grains are
5. Very high risk, very difficult to remove, require preventive exposed to the development of mold, and in the next stages
measures, P * E = 25 – 30, they are susceptible to infection with Salmonella and fungi,
6. Very high risk, very difficult or impossible to remove, e.g. Aspergillus and Penicilium [16]. The close contact with
requiring preventive actions and significant financial the ground results in getting the grain mass of foreign bodies,
resources, P * E = 31 – 36. such as sand, gravel, stones, wood, plant fragments, faeces
and the remains of dead animals [1, 11]. The cocoa beans,
Table 2. Risk assessment scoring method along with the pulp inside the pod, are sterile. Open pods
Tabela 2. Metoda punktowa szacowania ryzyka during fermentation are prone to contamination from mold
and pests. The6 hands of employees can also be a source of
Probability value
microbiological contamination. The flesh, which is exposed to
1 2 3 4 5 6 contamination, is above all rich in sugar [16].

1 1 2 3 4 5 6 Table 3. Identification of hazards for the sourcing and


pre-processing phase of cocoa beans
2 2 4 6 8 10 12 Tabela 3. Identyfikacja zagrożeń dla fazy pozyskiwania
i wstępnego przetworzenia ziarna kakaowego
3 3 6 9 12 15 18
Effect
value Hazard
4 4 8 12 16 20 24 Hazard identification
category
5 5 10 15 20 25 30 Physical Cocoa beans contamination with wood, soil, stones,
gravel, sand, metals, animal faeces and remains,
6 6 12 18 24 30 36 inaccurate separation of the flesh from the grain,
presence of dead insects and pests in the mass of the
Source: The own study beans, seed germination
Źródło: Badania własne
Chemical The presence of mycotoxins, pesticides in the mass
of grains, contamination with heavy metals, chemical
RESULTS AND DISCUSSION contamination resulting from the use of chemical
fertilizers
Risks in the initial stage of cocoa beans processing Microbio- Mold and fungus growth on pods, infecting cocoa trees
Both cocoa trees and pods, and the beans present in them, logical with insect-borne microbes, contamination by bacteria
already at the stage of cultivation and post-harvest processes, Salmonella, and fungi Aspergillus and Penicilium
are exposed to both physical, chemical and microbiological
Source: The own study
threats (Table 3). Źródło: Badania własne
74 TECHNOLOGICAL PROGRESS in food processing / POSTĘPY TECHNIKI przetwórstwa spożywczego 2/2021

Hazards at the stage of obtaining cocoa liquor Risks at the stage of chocolate production
After the stages carried out on the plantations, the beans The following ingredients / raw materials are used in the
are transported to processing plants, where the cocoa mass production of dark chocolates: cocoa mass, cocoa butter, sugar,
is obtained. This stage can also be carried out in the country cocoa powder, as well as emulsifiers (most often soy lecithin).
of cultivation and such practices are followed. At the stage An important factor is the control of the parameters and
of obtaining cocoa mass, as well as cocoa fat and cocoa, the hygienic condition of vehicles transporting these components
process may be exposed to physical hazards such as wood in order to eliminate or minimize the likelihood of hazards
from pallets, strings from bags, and as a result of inaccurate entering the production process. The assessment of potential
cleaning of the raw material – stone, insect remains (Table 4). hazards at the stage of chocolate production was carried out
Toxins can be produced as a result of the development of mold using three methods: the Ishikawa diagram, the error tree and
and fungi in the preliminary stages carried out on plantations, the point method. Ishikawa diagram – „fishbone”
as well as favorable storage and transport conditions. This The “fishbone” method was used as the first. Six root
type of hazard, mainly Ochratoxin A, may be present in the causes were identified: management, machines, man,
cocoa liquor pre–paration step. environment, method and raw material. For each of the
reasons, sub–reasons were proposed, i.e. specific actions that
Table 4. Identification of hazards for the cocoa liquor ex-
could cause the appearance of a hazard in the finished product.
traction phase
Management is one of the elements that defines the guidelines
Tabela 4. Identyfikacja zagrożeń dla fazy pozyskiwania in the form of specifications, contracts, training, and verifies
miazgi kakaowej the effectiveness of these records and their implementation.
Hazard category Hazard identification In all hazard categories (Figs. 3–5), raw materials, training
and documentation (mainly specifications, procedures) are
Physical sand, stones, wood from pallets, metal parts classified as the main factors that may result in the appearance
from machines, husk of hazards in production.
Chemical mycotoxins, machine oils, cleaning agent Not only properly developed guidelines, but also attention
residues to the awareness of employees through the effectiveness of
Microbiological contamination with Staphylococcus aureus, training, as well as the control of the agreed activities, make
Salmonella, Coli it possible to prevent the risk of getting into the product. The
conducted analyzes show the importance of the raw material,
Source: The own study
which is the most common source of threats (Fig. 3–5).
Źródło: Badania własne
Machines and auxiliary equipment can also be the source
A significant threat are also Staphylococcus aureus, of all kinds of hazards. Lack of maintenance or inadequate
Salmonella, E. coli, the presence of which may result from maintenance, the use of inadequate cleaning and disinfection
the contamination of the raw material, inaccurate washing agents, lack of competence and / or training of employees
of machines, and also from employees. At this stage, an to one of the main causes of chemical hazards. Food is also
important element for minimizing and eliminating the risks is exposed to contact with oils and greases necessary for the
compliance with hygiene and production rules specified in the proper functioning of machines in a production plant [5, 6].
quality systems [16]. In the first place, the grains are cleaned Dark chocolate is characterized by low water activity (and
mainly of the remains of sticks, stones, wood fragments from about 0.3), high fat and sugar content, and a pH of about 5.5.
transport pallets, soil, sand or metal elements [16], which is These features are responsible for limiting the growth and
mainly done by sieving and blowing with air. The roasting stage development of undesirable bacterial and fungal microflora,
is important from the technological and health safety point of but do not cause its elimination. The most serious threat to
view. It is based on the temperature of the most frequently the health and life of consumers is the presence of Salmonella
in the range 110–160°C. Whole grains or grits (broken bacteria. These bacteria are not natural microflora found in
grains, most often using the hammer method) can be roasted. the environment, nor are they present during the fermentation
Roasting is to loosen the grain structure, which facilitates process. The source of bacterial contamination, both the
the separation of the outer husk from the kernel. Moreover, mass of grains and semi–finished products, may be the direct
the roasting process, due to the applied temperature, enables contact of a human carrying Salmonella bacteria with a given
the destruction of undesirable microflora, which significantly raw material [32]. Man is one of the main factors that can
affects the safety of the product [27]. The husk is removed introduce a threat to a product. Routine, lack of training or its
by winding, and its remains are a source of contamination ineffectiveness, lack of awareness, and sometimes deliberate
(in addition to the permitted amount of up to 5%) [8]. Over actions are some of the main risk factors. It is important that
the prepared pellets, magnets are placed to separate metal the employer provides supervision over employees, controls
fragments that are accidentally in the mass [20]. After the husk the employee’s admission to the workplace, both in terms
has been separated, the roasted beans or kernels are crushed / of work clothes, health condition, as well as knowledge and
ground into a mass known as cocoa liquor. Part of the pulp is awareness, especially in terms of the employee’s role in
pressed on hydraulic presses in order to obtain cocoa butter. ensuring food safety [29].
The by–product of this process is cocoa cake, which undergoes Also the work environment, methods used, compliance
a drying and grinding process to obtain cocoa powder. with the established rules are factors that influence the
probability of the occurrence of threats in the final production.
through the effectiveness of training, as well as the control of the agreed activities, make it
possible to prevent the riskFOOD
of getting into the/ INŻYNIERIA
ENGINEERING product. The conducted analyzes show the im-
ŻYWNOŚCI 75
portance of the raw material, which is the most common source of threats (Fig. 3-5).

Fig. 3. Ishikawa Diagram for physical hazards in chocolate production.


Rys. 3. Diagram Ishikawy dla zagrożeń fizycznych na etapie produkcji czekolady.
Source: The own study
Źródło: Badania własne
Machines and auxiliary equipment can also be the source of all kinds of hazards. Lack of
maintenance or inadequate maintenance, the use of inadequate cleaning and disinfection

Fig. 3. agents, lack


Ishikawa of competence
Diagram and / or
for physical hazards in training
chocolate of employees to one
production. of the main causes of chemi-
Rys. 3. Diagram Ishikawy dla zagrożeń fizycznych na etapie produkcji czekolady.
cal hazards. Food is also exposed to contact with oils and greases necessary for 10
the proper
Source: The own study
Źródło:functioning
Badania własneof machines in a production plant [5, 6].

Fig. 4. Ishikawa Diagram for chemical hazards in chocolate production.


Fig. 4. Ishikawa Diagram for chemical hazards in chocolate production.
Rys. 4. Diagram Ishikawy dla zagrożeń chemicznych na etapie produkcji czekolady.
place,
Source:Rys. 4.both
The own in terms
Diagram
study of workdla
Ishikawy clothes, healthchemicznych
zagrożeń condition, asna
well as knowledge
etapie produkcjiand awareness,
czekolady.
Źródło: Badania własne
especially
Source: in terms
The of the employee's role in ensuring food safety [29].
own study
Źródło: Badania własne
Dark chocolate is characterized by low water activity (and about 0.3), high fat and sugar
content, and a pH of about 5.5. These features are responsible for limiting the growth and de-
velopment of undesirable bacterial and fungal microflora, but do not cause its elimination.
The most serious threat to the health and life of consumers is the presence of Salmonella bac-
teria. These bacteria are not natural microflora found in the environment, nor are they present
during the fermentation process. The source of bacterial contamination, both the mass of
grains and semi-finished products, may be the direct contact of a human carrying Salmonella
Fig. 5. Fig. 5. Ishikawa
Ishikawa Diagram
Diagram for for microbiological
microbiological hazards
hazards in chocolate in chocolate production.
production.
bacteria
Rys. 5. Rys.
Diagram with a given
Ishikawy dla raw material [32]. Man
zagrożeń mikrobiologicznych is one of the main
na etapie produkcji factors that can introduce
czekolady. a
5. Diagram Ishikawy dla zagrożeń mikrobiologicznych na etapie produkcji czeko-
Source: The own study
threat to a product. Routine, lack of training or its ineffectiveness, lack of awareness, and
Źródło: lady.
Badania własne
sometimes deliberate actions are some of the main risk factors. It is important that the em-
Source: The own study
ployer provides
Źródło: Badaniasupervision
własne over employees, controls the employee's admission to the work-
76 TECHNOLOGICAL PROGRESS in food processing / POSTĘPY TECHNIKI przetwórstwa spożywczego 2/2021

Fault Tree Analysis Microbiological hazards, as well as physical and chemical


The fault tree method is a qualitative method of risk hazards, have been determined using the fault tree. First of
analysis, which consists in modeling the course of a process all, hygiene, proper process conditions, including storage,
/ situation and then analyzing it. At the bottom of the tree transport, maintaining certain parameters of temperature,
are factors that have or may have an influence on the event / humidity and time, have the greatest impact on the
course of the process (Figs. 6–8). Threats have been divided microbiological quality of chocolates. As pointed out by
into those originating from the plant and those coming from Afoakwa [1], chocolate may contain Staphylococcus aureus,
outside the plant. Transport, raw material, management, Coliforms and Salmonella bacteria, as well as Aspergillus and
environment, machines, people are taken into account. These Pe– nicillium molds, which are important due to the possibility
factors coincide with those identified in the “fish–bone” of producing toxins, which are chemical hazards.
analysis (Figs. 3–5). The “and” or “or” logic gates define the
Risk assessment using the scoring method
relationship between individual factors at particular levels.
Physical hazards may be introduced with the raw material, so The most popular method used in risk assessment is the
it is important to monitor the transport conditions and check scoring method, taking into account the likelihood of a hazard
the raw material upon delivery. Determining the requirements occurring and the effects of the resulting risk. The scoring
in specifications, concluding contracts, logistics are other method identifies 13 main factors that can create a risk from
aspects influencing the control of processes outside the plant. physical hazards. The probability of the occurrence of a threat
It is also important to identify factors that may contribute to was determined from 2 to 5 points. The threats resulting from
the occurrence of an incident on the premises of the facility. inaccurate washing of machines, the appearance of glass in
A dependent factor in all types of threats is the human factor. the product and incorrect storage parameters were indicated
As in the analysis by the Ishikawa method, also here hygiene, as unlikely. On the other hand, the use of non–compliant raw
competences, training, responsibility and awareness of material and improper performance of work by the employee
employees are one of the basic factors influencing the safety were identified as the most probable. The lowest risk impact
of the final product, e.g. dark chocolate. was estimated for eating meals in production zones, giving
it 2 points. On the other hand, the use of non–compliant raw
Cooperation with regular, checked suppliers is one of the
materials generates the greatest impact on the risk (6 points),
elements supporting ensuring product safety. Proper process
and is therefore the most common reason for a non–compliant
planning is also important, starting from process planning,
product (30 points). An important factor generating the risk of
machinery, technical condition as well as hygiene. All these
producing a non–conforming product is improper performance
elements are a component of quality management systems
of work by the employee, which may result from the lack of
implemented in all production units, in accordance with legal
training, ineffective training or intentional action.
requirements [30].

Table 5. Risk scoring method for physical hazards in the chocolate manufacturing stage
Tabela 5. Metoda punktowa szacowania ryzyka dotyczącego zagrożeń fizycznych na etapie produkcji czekolady
Risk The significance
Characteristic Probability P Consequences C
No Value of the risk
Description Points Description Points R=P*C Description
1. No protective clothing is used frequent 4 serious injuries 4 16 medium
2. Low level of employee hygiene frequent 4 medium injuries 3 12 small
3. Eating meals unlikely 3 light injuries 2 6 minimal
4. Wearing jewelry frequent 4 medium injuries 4 16 medium
5. Not keeping order at the workplace frequent 4 medium injuries 4 16 medium
6. Bad performance of the work entrusted to him very often 5 serious injuries 4 20 high risk
Raw material contamination (stones, wood, earth, small
7. unlikely 3 medium injuries 3 9
sand)
8. Inaccurate cleaning of the raw material – glass very unlikely 2 very severe injuries 5 10 small
9. Poor equipment maintenance unlikely 3 very severe injuries 5 15 medium
10. Inaccurate cleaning and inspection of machines very unlikely 2 serious injuries 4 8 small
11. Bad machine calibration unlikely 3 very severe injuries 5 15 medium
Acceptance of non–conforming raw material
12. very big 5 6 30 very high risk
deadly accident
13. Incorrect storage conditions very unlikely 2 medium injuries 3 6 minimal
Source: The own study
Źródło: Badania własne
FOOD ENGINEERING / INŻYNIERIA ŻYWNOŚCI 77

Fig. 6. Analysis of physical hazards using the fault tree.


Fig. 6. Analysis
chinery,oftechnical
physical hazards using
condition asthe fault
well astree.
hygiene. All these elements are a component of quality
Rys. 6. Rys. 6. zagrożeń
Analiza Analizafizycznych
zagrożeńz fizycznych
wykorzystaniem z wykorzystaniem
drzewa błędów. drzewa błędów.
management
Source: The own study systems implemented in all production units, in accordance with legal require-
Source: The own study
Źródło: Badania
mentswłasne
[30].
Źródło: Badania własne

Fig. 7. Analysis of chemical hazards using the fault tree.


Fig. 7. Analysis of chemical hazards using the fault tree.
Rys. 7. Analiza
Rys. 7.zagrożeń
Analizachemicznych z wykorzystaniem
zagrożeń chemicznych drzewa błędów.
z wykorzystaniem drzewa błędów.
Source: The own study
Source: The
Źródło: Badania własne
own study
Źródło: Badania własne
Microbiological hazards, as well as physical and chemical hazards, have been determined
using the fault tree. First of all, hygiene, proper process conditions, including storage,
transport, maintaining certain parameters of temperature, humidity and time, have the greatest
impact on the microbiological quality of chocolates. As pointed out by Afoakwa [1], choco-
late may contain Staphylococcus aureus, Coliforms and Salmonella bacteria, as well as As-
Cooperation with regular, checked suppliers is one of the elements supporting ensuring
pergillus and Pe-
product safety. Proper process planning is also important, starting from process planning, ma-
nicillium molds, which are important due to the possibility of producing toxins, which are
chemical hazards. 13

Fig. 8. Analysis of microbiological hazards using the fault tree.


Fig. 8. Analysis of microbiological hazards using the fault tree.
Rys. 8.Rys. 8. Analiza
Analiza zagrożeńzagrożeń mikrobiologicznych
mikrobiologicznych z wykorzystaniemz wykorzystaniem
drzewa błędów. drzewa błędów.
Source: The own study
Source: The own
Źródło: Badania własne
study
Źródło: Badania własne
Risk assessment using the scoring method
78 TECHNOLOGICAL PROGRESS in food processing / POSTĘPY TECHNIKI przetwórstwa spożywczego 2/2021

Among the chemical hazards, 9 main factors have been consequences, including renal failure, and are also classified
identified that are the most common and affect the safety of by the International Agency for Research on Cancer (IARC)
chocolate. The likelihood of occurrence of 6 out of 9 cases was as a probable human carcinogen. The species Aspergillus and
assessed as unlikely and assigned to 3 points. Only improper Penicillium occur primarily in the post–harvest period, in the
performance of work by employees, improper cleaning of the initial stages of sun drying cocoa beans, and in warm, humid
production line and improper use of chemicals were rated 5, transport or storage conditions. That is why it is so important
4 and 5 points. On the other hand, the effects of the factors to determine the parameters of the processes, including
were determined at a very dangerous level, giving most transport, and to comply with them, which significantly
of the factors 6 points (Table 6). Improper use of chemical reduces the multiplication of mold and the production of
agents was considered a factor with a very high risk, which toxins. The last group of threats identified at the stages
was determined at the level of 25 points (Table 2). Apart of chocolate production are microbiological hazards. Due to
from improper cleaning of the production line and inadequate the use of temperatures well below 100 ° C, contamination
maintenance of machinery and equipment, the risk of which is of the product in the production process most often results
assessed as low, other factors may cause an average risk. in the presence of this hazard in the final product. According
The probability of the hazard getting into the process to Afoakwa [2], Salmonella is the key microbial threat in
and, consequently, the product depends on the applied the production and use of chocolate. Although chocolate has
system practices [2]. Determining and complying with the a very low water content (less than 2%) and a low water
requirements at individual stages of the processes, from activity (around 0.4–0.5), it is at risk of being contaminated
the cultivation of grains, through the subsequent stages of with Salmoenlla. Referring to Cordier [12], Afoakwa states
their processing to the production of the finished product, that the fatty matrix of chocolate protects Salmonella cells
is a guarantee that all hazards are eliminated or minimized from the acidic environment of the stomach, which allows for
to acceptable levels [20]. According to Afoakwa [2], there the colonization of the lower parts of the gastrointestinal tract,
are two sources of chemical hazards in the production of giving clinical symptoms. Salmonella can be introduced into
chocolate: from the raw material and from the process. At the chocolate production process with the raw materials or
high doses, exposure to chemical contamination can cause through inadequate hygiene practices in the factory [2]. Lack
toxicity to the consumer, for example acute poisoning after of proper hygiene of workers, microbiological contamination,
ingestion of lead levels [5, 6]. At lower doses, these risks e.g. at the hands of workers was identified as a very serious
generally have long-term adverse health consequences for risk, giving 5 points for probability and 6 points for effect.
the consumer, such as renal dysfunction, skeletal damage, The product of 30 points is the highest of all specified hazards,
or reproductive disorders when cadmium accumulates in the which indicates the severity of the problem (Table 7). A similar
body for many years [2]. Similarly, the toxins produced by the value was also indicated in the field of physical hazards – the
species Aspergillus and Penicillium can have serious health use of a raw material that does not meet the requirements
(Table 5).

Table 6. Risk scoring method for chemical hazards in the chocolate manufacturing stage
Tabela 6. Metoda punktowa szacowania ryzyka dotyczącego zagrożeń chemicznych na etapie produkcji czekolady
The
Risk
Probability P Consequences C significance
No Characteristic Value
of the risk
Description Points Description Points
Exceeding the permissible limits of herbicides and pesticides deadly
1. unlikely 3 6 18 medium
in the raw material accident
deadly
2. Too high content of heavy metals in the raw material unlikely 3 6 18 medium
accident
medium
3. Incorrect performance of work by employees very often 5 3 15 medium
injuries
medium
4. Improper cleaning of the production line often 4 3 12 small
injuries
very serious
5. Incompetent use of chemicals very often 5 5 25 high risk
injuries
deadly
6. Exceeding the allowable limits of food additives unlikely 3 6 18 medium
accident
Presence of aflatoxins and ochratoxin A, formed by mold
deadly
7. growth (contamination of raw materials, inaccurate washing of unlikely 3 6 18 medium
accident
the production line)
deadly
8. Leakage of oils and greases from machines / devices unlikely 3 6 18 medium
accident
serious
9. Inadequate maintenance of machinery and equipment unlikely 3 4 12 small
injuries
Source: The own study
Źródło: Badania własne
FOOD ENGINEERING / INŻYNIERIA ŻYWNOŚCI 79

Table 7. Risk scoring method for microbiological hazards in the chocolate manufacturing stage
Tabela 7. Metoda punktowa szacowania ryzyka dotyczącego zagrożeń mikrobiologicznych na etapie produkcji czekolady
Risk The significance
No Characteristic Probability P Consequences C
Value of the risk

Description Points Description Points

1. Improper handling of raw material by employees very often 5 serious injuries 4 20 high risk

Lack of proper hygiene of workers, microbiological very often


2. 5 deadly accident 6 30 very high risk
contamination, e.g. at the hands of workers

Lack of current research of employees, possibility of


3. often 4 deadly accident 6 24 high risk
introducing a bacterial and / or viral hazard

Adding contaminated ingredients to the mass at the deadly accident


4. unlikely 3 6 18
mixing stage medium

Using machines that are not thoroughly cleaned,


5. often 4 deadly accident 6 24 high risk
contaminated equipment

The presence of gaps, cracks on the surface of machines,


devices, instruments, the possibility of collecting post– almost
6. 6 serious injuries 4 24 high risk
production residues constituting a nutrient medium or a certainly
source of microbiological contamination

Inadequate construction of machines, making it


7. unlikely 3 serious injuries 4 12 small
impossible to keep all utility surfaces clean

lack of filters or failure to replace filters in ventilation – air deadly accident


8. very unlikely 2 6 12 small
pollution in production halls

Acceptance of the raw material or product not in


very serious
9. accordance with the specification, not meeting the unlikely 3 5 15 medium
injuries
standards

Contamination of raw material / product with deadly accident


10. often 4 6 24 high risk
contaminated materials

11. Incorrect transport conditions (temperature and humidity) unlikely 3 deadly accident 6 18 medium

Inappropriate storage conditions for the raw material /


12. unlikely 3 deadly accident 6 18 medium
product

Poor condition of utility rooms – difficulties in proper


13. often 4 serious injuries 4 16 medium
cleaning of the surface

14. Using non–potable water very unlikely 2 deadly accident 6 12 small

Source: The own study


Źródło: Badania własne

Proper design of machines and their hygiene were purpose the risk analysis is to be performed. The use of the
determined as significant, which is indicated by the assigned Ishikawa diagram allows the classification of the causes of
values of probability of occurrence (4 and 6 points) and effects threats to appropriate groups and the determination of their
(6 and 4 points). The product at the level of 24 points was also sub–causes. However, when using a diagram, it is not possible
determined in the case of contamination of the raw material to accurately characterize the problem and plan preventive
and / or the product with contaminated materials. The analyzes actions. Risk analysis with the use of a tree of errors allows
carried out with the use of various methods have shown that the you to quickly identify factors that affect the appearance of
greatest and most probable source of threats are raw materials a given threat and to examine the relationship between them. On
and employees as well as improper hygiene of machines. the other hand, the error tree diagram, similar to the Ishikawa
Defining requirements for raw materials, good cooperation diagram, does not allow for a detailed characterization of the
and supervision of suppliers, training of employees and emerging problem, but only briefly specifies the main factors
their awareness of the important role in ensuring the health that may affect the production process. Conducting a risk
safety of chocolate are the basic elements that should be analysis using the risk scoring method takes much longer than
focused on in order to eliminate or minimize the risk. Each the two previous methods. It makes it possible to define the
of the methods of risk analysis used has its advantages and exact characteristics of both emerging threats and methods
disadvantages, therefore it is important to define for what of responding to the risk. Additionally, thanks to the adopted
80 TECHNOLOGICAL PROGRESS in food processing / POSTĘPY TECHNIKI przetwórstwa spożywczego 2/2021

scoring, it is possible to determine the levels of risk, which WNIOSKI


was not possible with other methods used. However, due to
the large amount of information, it may not be sufficiently Bezpieczeństwo zdrowotne czekolad zależy od wielu
readable by employees. czynników. Istotny wpływ odgrywają warunki i metody upraw
oraz procesów pozbiorczych, przede wszystkim fermentacji
i suszenia, które są realizowane w warunkach otoczenia bez
CONCLUSIONS możliwości ustalenia i kontroli parametrów tych procesów.
The health safety of chocolates depends on many factors. Kontrola stosowania środków agrotechnicznych, sortowanie,
The conditions and methods of cultivation and post–harvest oczyszczanie, zachowanie parametrów procesów termicznych,
processes, especially fermentation and drying, which are przede wszystkim prażenia to jedne z najważniejszych czynników
carried out in ambient conditions without the possibility of minimalizujących i eliminujących zagrożenia w produkcji
establishing and controlling the parameters of these processes, czekolady. Istotnym elementem jest właściwe wdrożenie i
play a significant role. Control of the use of agrotechnical utrzymanie systemów jakości, szczególnie w zakresie higieny
agents, sorting, cleaning, maintaining the parameters of procesów i pracowników, konserwacji maszyn i właściwego,
thermal processes, especially roasting, are one of the most zaplanowanego przebiegu procesów technologicznych. Analiza
important factors in minimizing and eliminating hazards ryzyka to skuteczna metoda w przewidywaniu i zwalczaniu
in the production of chocolate. An important element is the pojawiających się zagrożeń. Do przeprowadzenia analizy
proper implementation and maintenance of quality systems, ryzyka wykorzystywane są różne metody, których właściwe
especially in the field of hygiene of processes and employees, dopasowanie do specyfiki zakładu zwiększa skuteczność
machine maintenance and the proper, planned course of zapewnienia bezpieczeństwa czekolad.
technological processes. Risk analysis is an effective method
in predicting and combating emerging threats. Various
methods are used to carry out the risk analysis, the proper
adaptation of which to the specifics of the plant increases the
effectiveness of ensuring the safety of chocolates.

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