HACCP Incident Investigation & Reporting 3 — Questions and Answers
Question 1: Which of the following best describes a 'near miss' in the context of HACCP incident reporting?
- A consumer complaint that was nearly filed
- A situation where a hazard almost caused a critical limit deviation but was prevented (Correct answer)
- A product that nearly failed microbiological testing
- An employee who almost received a safety injury
Correct answer: A situation where a hazard almost caused a critical limit deviation but was prevented
A near miss is an event where a food safety hazard nearly resulted in a CCP deviation but was caught before the critical limit was breached.
Question 2: When investigating a biological hazard incident involving potential Salmonella contamination, what environmental sampling strategy is most useful?
- Sample only the final product
- Collect swabs from zones 1, 2, 3, and 4 to identify contamination source and spread (Correct answer)
- Test only employee hands
- Sample the water supply exclusively
Correct answer: Collect swabs from zones 1, 2, 3, and 4 to identify contamination source and spread
Zone-based environmental sampling (Zones 1-4) helps investigators map contamination routes from product-contact surfaces to peripheral areas.
Question 3: A juice processor's pasteurizer CCP deviation report must be reviewed and signed by whom before the product can be released?
- The line operator who discovered the deviation
- A qualified HACCP-trained individual with authority to make disposition decisions (Correct answer)
- The shift supervisor regardless of HACCP training
- The company's legal counsel
Correct answer: A qualified HACCP-trained individual with authority to make disposition decisions
HACCP regulations require that deviation records be reviewed and disposition decisions made by a qualified HACCP-trained individual.
Question 4: Which investigative tool uses a diagram with categories such as Machine, Method, Man, and Material to identify potential causes of a HACCP deviation?
- Pareto chart
- Control chart
- Fishbone (Ishikawa) diagram (Correct answer)
- FMEA matrix
Correct answer: Fishbone (Ishikawa) diagram
A fishbone (Ishikawa) diagram organizes potential causes by category to systematically identify all possible contributors to a deviation.
Question 5: A facility must notify which federal agency if a HACCP-related food safety incident results in a mandatory recall of an FDA-regulated product?
- The USDA Food Safety and Inspection Service (FSIS)
- The FDA Office of Criminal Investigations
- The FDA's Center for Food Safety and Applied Nutrition (CFSAN) (Correct answer)
- The CDC's FoodNet program
Correct answer: The FDA's Center for Food Safety and Applied Nutrition (CFSAN)
For FDA-regulated foods, mandatory recall notifications go to FDA CFSAN, while USDA FSIS handles meat, poultry, and egg products.
Question 6: During an incident investigation, an investigator discovers that monitoring records were falsified to hide a CCP deviation. What is the MOST serious consequence of this finding?
- A minor citation requiring retraining
- Potential criminal liability and loss of the facility's operating license (Correct answer)
- A temporary suspension of one production line
- A requirement to re-label affected products
Correct answer: Potential criminal liability and loss of the facility's operating license
Falsifying HACCP records is a federal offense that can result in criminal prosecution, facility closure, and personal liability for those involved.
Question 7: What is the purpose of a 5-Why analysis in HACCP incident investigation?
- To question the need for the HACCP plan itself
- To repeatedly ask 'why' to drill down from a symptom to the true root cause (Correct answer)
- To identify five separate incidents in a reporting period
- To justify reducing the number of CCPs in the plan
Correct answer: To repeatedly ask 'why' to drill down from a symptom to the true root cause
The 5-Why technique iteratively asks why each cause occurred until the fundamental root cause is identified, usually within five levels.
HACCP Incident Investigation & Reporting 3
Which of the following best describes a 'near miss' in the context of HACCP incident reporting?