FS14

Basic Elements of Equipment Cleaning and Sanitizing

in Food Processing and Handling Operations1
Ronald H. Schmidt2

This document explains the details of equipment cleaning Necessary equipment (brushes, etc.) must also be clean and
and sanitizing procedures in food-processing and/or food- stored in a clean, sanitary manner.
handling operations.
Cleaning/sanitizing procedures must be evaluated for
adequacy through evaluation and inspection procedures.
Background Adherence to prescribed written procedures (inspection,
Cleaning and Sanitizing Program swab testing, direct observation of personnel) should be
Since cleaning and sanitizing may be the most important continuously monitored, and records maintained to evalu-
aspects of a sanitation program, sufficient time should be ate long-term compliance.
given to outline proper procedures and parameters. De-
tailed procedures must be developed for all food-product The correct order of events for cleaning/sanitizing of food
contact surfaces (equipment, utensils, etc.) as well as for product contact surfaces is as follows:
non-product surfaces such as non-product portions of
equipment, overhead structures, shields, walls, ceilings, 1. Rinse
lighting devices, refrigeration units and heating, ventilation
2. Clean
and air conditioning (HVAC) systems, and anything else
which could impact food safety.
3. Rinse
Cleaning frequency must be clearly defined for each process
4. Sanitize.
line (i.e., daily, after production runs, or more often if
necessary). The type of cleaning required must also be
identified. Definitions
Cleaning
The objective of cleaning and sanitizing food contact
Cleaning is the complete removal of food soil using appro-
surfaces is to remove food (nutrients) that bacteria need to
priate detergent chemicals under recommended conditions.
grow, and to kill those bacteria that are present. It is impor-
It is important that personnel involved have a working
tant that the clean, sanitized equipment and surfaces drain
dry and are stored dry so as to prevent bacteria growth.

1. This document is FS14, one of a series of the Food Science and Human Nutrition Department, UF/IFAS Extension. Original publication date July
1997. Revised March 2009. Reviewed November 2018. Visit the EDIS website at https://edis.ifas.ufl.edu for the currently supported version of this
publication.

2. Ronald H. Schmidt, Ph. D., professor and food science Extension specialist, Food Science and Human Nutrition Department; UF/IFAS Extension,
Gainesville, FL 32611.

The Institute of Food and Agricultural Sciences (IFAS) is an Equal Opportunity Institution authorized to provide research, educational information and other services only to
individuals and institutions that function with non-discrimination with respect to race, creed, color, religion, age, disability, sex, sexual orientation, marital status, national
origin, political opinions or affiliations. For more information on obtaining other UF/IFAS Extension publications, contact your county’s UF/IFAS Extension office.

U.S. Department of Agriculture, UF/IFAS Extension Service, University of Florida, IFAS, Florida A & M University Cooperative Extension Program, and Boards of County
Commissioners Cooperating. Nick T. Place, dean for UF/IFAS Extension.
understanding of the nature of the different types of food Water Chemistry and Quality
soil and the chemistry of its removal.
Water comprises approximately 95%–99% of cleaning and
sanitizing solutions. Water functions to do the following:
Cleaning Methods
Equipment can be categorized with regard to cleaning • carry the detergent or the sanitizer to the surface
method as follows:
• carry soils or contamination from the surface.
• Mechanical Cleaning. Often referred to as clean-in-place
The impurities in water can drastically alter the effective-
(CIP). Requires no disassembly or partial disassembly.
ness of a detergent or a sanitizer. Water hardness is the
• Clean-out-of-Place (COP). Can be partially disassembled most important chemical property with a direct effect on
and cleaned in specialized COP pressure tanks. cleaning and sanitizing efficiency. (Other impurities can
• Manual Cleaning. Requires total disassembly for cleaning affect the food contact surface or may affect the soil deposit
and inspection. properties or film formation.)

Water pH ranges generally from pH 5 to 8.5. This range is

Sanitization of no serious consequence to most detergents and sanitiz-
It is important to differentiate and define certain ers. However, highly alkaline or highly acidic water may
terminology: require additional buffering agents.
• Sterilize refers to the statistical destruction and removal Water can also contain significant numbers of microorgan-
of all living organisms. isms. Water used for cleaning and sanitizing must be
• Disinfect refers to inanimate objects and the destruction potable and pathogen-free. Treatments and sanitization
of all vegetative cells (not spores). of water may be required prior to use in cleaning regimes.
• Sanitize refers to the reduction of microorganisms to Water impurities that affect cleaning functions are pre-
levels considered safe from a public health viewpoint. sented in Table 1.

Appropriate and approved sanitization procedures are Cleaning

processes, and, thus, the duration or time as well as the PROPERTIES OF FOOD SOILS
chemical conditions must be described. The official Food soil is generally defined as unwanted matter on food-
definition (Association of Official Analytical Chemists) of contact surfaces. Soil is visible or invisible. The primary
sanitizing for food product contact surfaces is a process source of soil is from the food product being handled.
which reduces the contamination level by 99.999% (5 logs) However, minerals from water residue and residues from
in 30 sec. cleaning compounds contribute to films left on surfaces.
Microbiological biofilms also contribute to the soil buildup
The official definition for non-product contact surfaces on surfaces.
requires a contamination reduction of 99.9% (3 logs). The
standard test organisms used are Staphylococcus aureus and Since soils vary widely in composition, no one detergent is
Escherichia coli. capable of removing all types. Many complex films contain
combinations of food components, surface oil or dust,
General types of sanitization include the following: insoluble cleaner components, and insoluble hard-water
salts. These films vary in their solubility properties depend-
• Thermal Sanitization involves the use of hot water or
ing upon such factors as heat effect, age, dryness, time, etc.
steam for a specified temperature and contact time.
• Chemical Sanitization involves the use of an approved It is essential that personnel involved have an understand-
chemical sanitizer at a specified concentration and ing of the nature of the soil to be removed before selecting
contact time. a detergent or cleaning regime. The rule of thumb is that
acid cleaners dissolve alkaline soils (minerals) and alkaline
cleaners dissolve acid soils and food wastes. Improper use
of detergents can actually “set” soils, making them more dif-
ficult to remove (e.g., acid cleaners can precipitate protein).
Many films and biofilms require more sophisticated

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 2
cleaners that are amended with oxidizing agents (such as magnesium are involved in some of the most difficult
chlorinated detergents) for removal. mineral films. Under conditions involving heat and
alkaline pH, calcium and magnesium can combine with
Soils may be classified as the following: bicarbonates to form highly insoluble complexes. Other
difficult deposits contain iron or manganese. Salt films
• soluble in water (sugars, some starches, most salts); can also cause corrosion of some surfaces. Difficult salt
• soluble in acid (limestone and most mineral deposits); films require an acid cleaner (especially organic acids that
form complexes with these salts) for removal. Sequestering
• soluble in alkali (protein, fat emulsions);
agents such as phosphates or chelating agents are often used
• soluble in water, alkali, or acid. in detergents for salt film removal.
The physical condition of the soil deposits also affects its
solubility. Freshly precipitated soil in a cool or cold solution Microbiological Films
is usually more easily dissolved than an old, dried, or Under certain conditions, microorgranisms (bacteria,
baked-on deposit, or a complex film. Food soils are com- yeasts, and molds) can form invisible films (biofilms) on
plex in that they contain mixtures of several components. surfaces. Biofilms can be difficult to remove and usually
A general soil classification and removal characteristics are require cleaners as well as sanitizers with strong oxidizing
presented in Table 2. properties.

Fat-Based Soils Lubricating Greases and Oils

Fat usually is present as an emulsion and can generally be These deposits (insoluble in water, alkali, or acid) can often
rinsed away with hot water above the melting point. More be melted with hot water or steam, but often leave a residue.
difficult fat and oil residues can be removed with alkaline Surfactants can be used to emulsify the residue to make it
detergents, which have good emulsifying or saponifying suspendable in water and flushable.
ingredients.
Other Insoluble Soils
Protein-Based Soils Inert soils such as sand, clay, or fine metal can be removed
In the food industry, proteins are by far the most difficult by surfactant-based detergents. Charred or carbonized
soils to remove. In fact, casein (a major milk protein) is material may require organic solvents.
used for its adhesive properties in many glues and paints.
Food proteins range from more simple proteins, which QUANTITY OF SOIL
are easy to remove, to more complex proteins, which are It is important to rinse food-contact surfaces prior to
very difficult to remove. Heat-denatured proteins can be cleaning to remove most of the soluble soil. Heavy deposits
extremely difficult. require more detergent to remove. Improper cleaning can
actually contribute to build-up of soil.
Generally, a highly alkaline detergent with peptizing or
dissolving properties is required to remove protein soils. THE SURFACE CHARACTERISTICS
Wetting agents can also be used to increase the wettability The cleanability of the surface is a primary consideration
and suspendability of proteins. Protein films require in evaluating cleaning effectiveness. Included in surface
alkaline cleaners that have hypochlorite in addition to characteristics are the following:
wetting agents.
Surface Composition
Carbohydrate-Based Soils Stainless steel is the preferred surface for food equipment
Simple sugars are readily soluble in warm water and are and is specified in many industry and regulatory design
quite easily removed. Starch residues, individually, are also and construction standards. For example, 3-A Sanitary
easily removed with mild detergents. Starches associated Standards (equipment standards used for milk and milk
with proteins or fat scan usually be easily removed by products applications) specify 300 series stainless steel or
highly alkaline detergents. equivalent. Other grades of stainless steel may be appropriate
for specific applications (i.e., 400 series) such as handling of
Mineral Salt-Based Soils high fat products, meats, etc. For highly acidic, high salt, or
Mineral salts can be either relatively easy to remove or other highly corrosive products, more corrosion resistant
be highly troublesome deposits or films. Calcium and materials (i.e., titanium) is often recommended.

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 3
Other “soft” metals (aluminum, brass, copper, or mild • Physically active ingredients alter physical characteristics
steel), or nonmetallic surfaces (plastics or rubber) are also such as solubility or colloidal stability.
used on food contact surfaces. Surfaces of soft metals and • Chemically active ingredients modify soil components to
nonmetallic materials are generally less corrosion-resistant make them more soluble and, thus, easier to remove.
and care should be exercised in their cleaning.
In some detergents, specific enzymes are added to catalyti-
Aluminum is readily attacked by acids as well as highly cally react with and degrade specific food soil components.
alkaline cleaners, which can render the surface non-
cleanable. Plastics are subject to stress cracking and cloud- Physically Active Ingredients
ing from prolonged exposure to corrosive food materials or The primary physically-active ingredients are the surface
cleaning agents. active compounds termed surfactants. These organic
molecules have general structural characteristic where a
Hard wood (maple or equivalent) or sealed wood surfaces
portion of the structure is hydrophilic (water-loving) and
should be used only in limited applications such as cutting
a portion is hydrophobic (not reactive with water). Such
boards or cutting tables, provided the surface is maintained
molecules function in detergents by promoting the physical
in good repair. Avoid using porous wood surfaces.
cleaning actions through emulsification, penetration,
spreading, foaming, and wetting.
Surface Finish
Equipment design and construction standards also specify The classes of surfactants are as follows:
finish and smoothness requirements. 3-A standards specify
a finish at least as smooth as a No. 4 ground finish for most • Ionic surfactants that are negatively charged in water
applications. With high-fat products, a less smooth surface solution are termed anionic surfactants. Conversely,
is used to allow product release from the surface. positively charged ionic surfactants are termed cationic
surfactants. If the charge of the water soluble portion
Surface Condition depends upon the pH of the solution, it is termed an
Misuse or mishandling can result in pitted, cracked, amphoteric surfactant. These surfactants behave as
corroded, or roughened surfaces. Such surfaces are more cationic surfactants under acid conditions, and as anionic
difficult to clean or sanitize, and may no longer be clean- surfactants under alkaline conditions. Ionic surfactants
able. Thus, care should be exercised in using corrosive are generally characterized by their high foaming ability.
chemicals or corrosive food products.
• Nonionic surfactants, which do not dissociate when
dissolved in water, have the broadest range of properties
ENVIRONMENTAL CONSIDERATIONS
depending upon the ratio of hydrophilic/hydrophobic
Detergents can be significant contributors to the waste
balance. This balance are also affected by temperature. For
discharge (effluent). Of primary concern is pH. Many
example, the foaming properties of nonionic detergents is
publicly owned treatment works limit effluent pH to the
affected by temperature of solution. As temperature in-
range of 5 to 8.5. So it is recommended that in applications
creases, the hydrophobic character and solubility decrease.
where highly alkaline cleaners are used, that the effluent be
At the cloud point (minimum solubility), these surfactants
mixed with rinse water (or some other method be used)
generally act as defoamers, while below the cloud point they
to reduce the pH. Recycling of caustic soda cleaners is also
are varied in their foaming properties.
becoming a common practice in larger operations. Other
concerns are phosphates, which are not tolerated in some It is a common practice to blend surfactant ingredients to
regions of the U.S., and the overall soil load in the waste optimize their properties. However, because of precipita-
stream that contributes to the chemical oxygen demand tion problems, cationic and anionic surfactants cannot be
(COD) and biological oxygen demand (BOD). blended.

CHEMISTRY OF DETERGENTS Chemically Active Ingredients

Detergents and cleaning compounds are usually composed Alkaline Builders
of mixtures of ingredients that interact with soils in several Highly Alkaline Detergents (or heavy-duty detergents) use
ways: caustic soda (sodium hydroxide) or caustic potash (potas-
sium hydroxide). An important property of these highly
alkaline detergents is that they saponify fats: forming soap.

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 4
These cleaners are used in many CIP systems or bottle- Fillers
washing applications. Fillers add bulk or mass, or dilute dangerous detergent
formulations that are difficult to handle. Strong alkalis are
Moderately Alkaline Detergents include sodium, potas- often diluted with fillers for ease and safety of handling.
sium, or ammonium salts of phosphates, silicates, or Water is used in liquid formulations as a filler. Sodium
carbonates. Tri-sodium phosphate (TSP) is one of the oldest chloride or sodium sulfate are often fillers in powdered
and most effective. Silicates are most often used as a cor- detergent formuations.
rosion inhibitor. Because of interaction with calcium and
magnesium and film formation, carbonate-based detergents Miscellaneous Ingredients
are of only limited use in food processing cleaning regimes. Additional ingredients added to detergents may include
corrosion inhibitors, glycol ethers, and butylcellosolve
Acid Builders
(improve oil, grease, and carbon removal).
Acid Detergents include organic and inorganic acids. The
most common inorganic acids used include phosphoric,
nitric, sulfamic, sodium acid sulfate, and hydrochloric.
Sanitizing
Organic acids, such as hydroxyacetic, citric, and gluconic, THERMAL SANITIZING
are also in use. Acid detergents are often used in a two-step As with any heat treatment, the effectiveness of thermal
sequential cleaning regime with alkaline detergents. Acid sanitizing is dependant upon a number of factors including
detergents are also used for the prevention or removal of initial contamination load, humidity, pH, temperature, and
stone films (mineral stone, beer stone, or milk stone). time.

Water Conditioners Steam

Water conditioners are used to prevent the build-up of vari- The use of steam as a sanitizing process has limited applica-
ous mineral deposits (water hardness, etc.). These chemicals tion. It is generally expensive compared to alternatives, and
are usually sequestering agents or chelating agents. it is difficult to regulate and monitor contact temperature
Sequestering agents form soluble complexes with calcium and time. Further, the byproducts of steam condensation
and magnesium. Examples are sodium tripolyphosphate, can complicate cleaning operations.
tetra-potassium pyrophosphate, organo-phosphates, and
polyelectrolytes. Chelating agents include sodium gluconate Hot Water
and ethylene diamine tetracetic acid (EDTA). Hot-water sanitizing—through immersion (small parts,
knives, etc.), spray (dishwashers), or circulating systems—is
Oxidizing Agents commonly used. The time required is determined by the
Oxidizing agents used in detergent application are temperature of the water. Typical regulatory requirements
hypochlorite (also a sanitizer) and—to a lesser extent—per- (Food Code 1995) for use of hot water in dishwashing and
borate. Chlorinated detergents are most often used to clean utensil sanitizing applications specify immersion for at
protein residues. least 30 sec. at 77°C (170°F) for manual operations; and
a final rinse temperature of 74°C (165°F) in single tank,
Enzyme Ingredients single temperature machines and 82°C (180°F) for other
Enzyme-based detergents, which are amended with en- machines.
zymes such as amylases and other carbohydrate-degrading
enzymes, proteases, and lipases, are finding acceptance in Many state regulations require a utensil surface temperature
specialized food industry applications. of 71°C (160°F), as measured by an irreversibly registering
temperature indicator in warewashing machines. Recom-
The primary advantages of enzyme detergents are that mendations and requirements for hot-water sanitizing in
they are more environmentally friendly and often require food processing may vary. The Grade A Pasteurized Milk
less energy input (less hot water in cleaning). Uses of most Ordinance specifies a minimum of 77°C (170°F) for 5 min.
enzyme cleaners are usually limited to unheated surfaces Other recommendations for processing operations are 85°C
(e.g., cold-milk surfaces). However, new generation enzyme (185°F) for 15 min., or 80°C (176°F) for 20 min.
cleaners (currently under evaluation) are expected to have
broader application. The primary advantages of hot-water sanitization are
relatively inexpensive, easy to apply, and readily available,
generally effective over a broad range of microorganisms,

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 5
relatively non-corrosive, and penetrates into cracks and meats, poultry, and related products by USDA’s Food Safety
crevices. Hot-water sanitization is a slow process that and Inspection Service (FSIS).
requires come-up and cool-down time; can have high
energy costs; and has certain safety concerns for employees. Factors Affecting Sanitizer Effectiveness
The process also has the disadvantages of forming or Physical Factors
contributing to film formations and shortening the life of Surface Characteristics. Prior to the sanitization process,
certain equipment or parts thereof (gaskets, etc.). all surfaces must be clean and thoroughly rinsed to remove
any detergent residue. An unclean surface cannot be
CHEMICAL SANITIZING sanitized. Since the effectiveness of sanitization requires
The ideal chemical sanitizer should: direct contact with the microorganisms, the surface
should be free of cracks, pits, or crevices which can harbor
• be approved for food contact surface application. microorganisms. Surfaces which contain biofilms cannot be
• have a wide range or scope of activity. effectively sanitized.

• destroy microorganisms rapidly. Exposure Time. Generally, the longer time a sanitizer
• be stable under all types of conditions. chemical is in contact with the equipment surface, the
more effective the sanitization effect; intimate contact is as
• be tolerant of a broad range of environmental conditions.
important as prolonged contact.
• be readily solubilized and possess some detergency.
• be low in toxicity and corrosivity. Temperature. Temperature is also positively related to
microbial kill by a chemical sanitizer. Avoid high tempera-
• be inexpensive. tures (above 55°C [131°F]) because of the corrosive nature
of most chemical sanitizers.
No available sanitizer meets all of the above criteria.
Therefore, it is important to evaluate the properties, Concentration. Generally, the activity of a sanitizer
advantages, and disadvantages of available sanitizer for each increases with increased concentration. However, a leveling
specific application. off occurs at high concentrations. A common misconcep-
tion regarding chemicals is that “if a little is good, more is
Regulatory Considerations better”. Using sanitizer concentrations above recommenda-
The regulatory concerns involved with chemical sanitizers tions does not sanitizer better and, in fact, can be corrosive
are antimicrobial activity or efficacy, safety of residues to equipment and in the long run lead to less cleanability.
on food contact surfaces, and environmental safety. It is Follow manufacturer’s label instructions.
important to follow regulations that apply for each chemical
usage situation. The registration of chemical sanitizers and Soil. The presence of organic matter dramatically reduces
antimicrobial agents for use on food and food product the activity of sanitizers and may, in fact, totally inactivate
contact surfaces and on nonproduct contact surfaces is them. The adage is “you cannot sanitize an unclean surface”.
through the U.S. Environmental Protection Agency (EPA).
(Prior to approval and registration, the EPA reviews efficacy Chemical Factors
and safety data, and product labeling information.) pH. Sanitizers are dramatically affected by the pH of the
solution. Many chlorine sanitizers, for example, are almost
The U.S. Food and Drug Administration (FDA) is primarily ineffective at pH values above 7.5.
involved in evaluating residues form sanitizer use that
may enter the food supply. Thus, any antimicrobial agent Water properties. Certain sanitizers are markedly affected
and its maximum usage level for direct use on food or by impurities in the water.
on food product contact surfaces must be approved by
the FDA. Approved no-rinse food contact sanitizers and Inactivators. Organic and/or inorganic inactivators
nonproduct contact sanitzers, their formulations and usage may react chemically with sanitizers giving rise to non-
levels are listed in the Code of Federal Regulations (21 CFR germicidal products. Some of these inactivators are present
178.1010). The U.S. Department of Agriculture (USDA) in detergent residue. Thus, it is important that surfaces be
also maintains lists of antimicrobial compounds (i.e., USDA rinsed prior to sanitization.
List of Proprietary Substances and Non Food Product Contact
Compounds), which are primarily used in the regulation of

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 6
Biological Factors areas. At low pH (below 4.0), deadly Cl2 (mustard gas) can
The microbiological load can affect sanitizer activity. Also, form. In recent years, concerns have also been raised about
the type of microorganism present is important. Spores the use of chlorine as a drinking water disinfectant and as
are more resistant than vegetative cells. Certain sanitizers an antimicrobial with direct food contact (meat, poultry
are more active against gram positive than gram negative and shellfish). This concern is based upon the involvement
microorganisms, and vice versa. Sanitizers also vary in their of chlorine in the formation of potentially carcinogenic
effectiveness against yeasts, molds, fungi, and viruses. trihalomethanes (THMs) under appropriate conditions.
While chlorine’s benefits as a sanitizer far outweigh these
Specific Types of Chemical Sanitizers risks, it is under scrutiny.
The chemicals described here are those approved by
FDA for use as no-rinse, food-contact surface sanitizers. Chlorine dioxide. Chlorine dioxide (ClO2) is currently
In food-handling operations, these are used as rinses, being considered as a replacement for chlorine, since it
sprayed onto surfaces, or circulated through equipment appears to be more environmentally friendly. Stabilized
in CIP operations. In certain applications the chemicals ClO2 has FDA approval for most applications in sanitizing
are foamed on a surface or fogged into the air to reduce equipment or for use as a foam for environmental and non-
airborne contamination. food contact surfaces. Approval has also been granted for
use in flume waters in fruits and vegetable operations and
Chlorine-Based Sanitizers in poultry process waters. ClO2 has 2.5 times the oxidizing
Chlorine Compounds. Chlorine, in its various forms, is power of chlorine and, thus, less chemical is required.
the most commonly used sanitizer in food processing and Typical use concentrations range from 1 to 10ppm.
handling applications. Commonly used chlorine com-
pounds include liquid chlorine, hypochlorites, inorganic CLO2’s primary disadvantages are worker safety and
chloramines, and organic chloramines. Chlorine-based toxicity. Its highly concentrated gases can be explosive
sanitizers form hypochlorous acid (HOCl, the most active and exposure risks to workers are higher than that for
form) in solution. Available chlorine (the amount of HOCl chlorine. Its rapid decomposition in the presence of light
present) is a function of pH. At pH 5, nearly all is in the or at temperatures greater than 50°C (122°F) makes on-site
form of HOCl. At pH 7.0, approximately 75% is HOCl. generation a recommended practice.
The maximum allowable level for no-rinse applications is
200ppm available chlorine, but recommended usage levels Iodine
vary. For hypochlorites, an exposure time of 1 min at a Use of iodine as an antimicrobial agents dates back to the
minimum concentration of 50ppm and a temperature of 1800s. This sanitizer exists in many forms and usually exists
24°C (75°F) is recommended. For each 10°C (18°F) drop in with a surfactant as a carrier. These mixtures are termed
temperature, a doubling of exposure time is recommended. iodophors. The most active agent is the dissociated free
For chloramines, 200ppm for 1 min is recommended. iodine (also less stable). This form is most prevalent at
low pH. The amount of dissociation from the surfactant is
Chlorine compounds are broad spectrum germicides that dependent upon the type of surfactant. Iodine solubility is
act on microbial membranes, inhibit cellular enzymes very limited in water. Generally recommended usage for
involved in glucose metabolism, have a lethal effect on iodophors is 12.5 to 25ppm for 1 min.
DNA, and oxidize cellular protein. Chlorine has activity
at low temperature, is relatively cheap, and leaves minimal It is generally thought that the bactericidal activity of iodine
residue or film on surfaces. is through direct halogenation of proteins. More recent
theories have centered upon cell wall damage and destruc-
The activity of chlorine is dramatically affected by such tion of microbial enzyme activity.
factors as pH, temperature, and organic load. However,
chlorine is less affected by water hardness when compared Iodophors, like chlorine compounds, have a very broad
to other sanitizers (especially the quaternary ammonium spectrum: being active against bacteria, viruses, yeasts,
compounds). molds, fungi, and protozoans. Iodine is highly temperature-
dependent and vaporizes at 120°F. Thus, it is limited to
The major disadvantage to chlorine compound is corrosive- lower temperature applications. The degree to which
ness to many metal surfaces (especially at higher tempera- iodophors are affected by environmental factors is highly
tures). Health and safety concerns can occur because of dependant upon properties of the surfactant used in the
skin irritation and mucous membrane damage in confined formulation. Iodophors are generally less affected by

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 7
organic matter and water hardness than chlorine. However, products, cheese, beer, etc., where microbial starter cultures
loss of activity is pronounced at high pH. are used.

QACs are generally more active against gram positive than

gram negative bacteria. They are not highly effective against
bacteriophages. Their incompatibility with certain deter-
gents makes thorough rinsing following cleaning operations
imperative. Further, many QAC formulations can cause
foaming problems in CIP applications.

Under recommended usage and precautions, QACs pose

little toxicity or safety risks. Thus, they are in common use
as environmental fogs and as room deodorizers. However,
care should be exercised in handling concentrated solutions
Iodine has a long history of use in wound treatment. or use as environmental fogging agents.
However, ingestion of iodine gas does pose a toxicity risk
in closed environments. The primary disadvantage is that Acid-Anionic Sanitizers
iodine can cause staining on some surfaces (especially Like QACs, acid-anionic sanitizers are surface-active
plastics). sanitizers. These formulations include an inorganic acid
plus a surfactant and are often used for the dual function of
Quaternary Ammonium Compounds (QACs) acid rinse and sanitization.
Quaternary ammonium compounds (QACs) are a class
of compounds that have the general structure as follows Whereas QACs are positively charged, these sanitizers are
(Figure 1): negatively charged. Their activity is moderately affected by
water hardness. Their low use pH, detergency, stability, low
The properties of these compounds depend upon the odor potential, and non-corrosiveness make them highly
covalently bound alkyl groups (R groups), which can desirable in some applications.
be highly diverse. Since QACs are positively charged
cations, their mode of action is related to their attraction Disadvantages include relatively high cost, a closely defined
to negatively charged materials such as bacterial proteins. pH range of activity (pH 2 to 3), low activity on molds and
It is generally accepted that the mode of action is at the yeasts, excessive foaming in CIP systems, and incompat-
membrane function. The carbon length of R-group side ibility with cationic surfactant detergents.
chain is, generally, directly related with sanitizer activity in
Fatty Acid Sanitizers
QACs. However, because of the lower solubility in QACs
Fatty acid or carboxylic acid sanitizers were developed in
composed of large carbon chains, these sanitizers may have
the 1980s. Typical formulations include fatty acids plus
lower activity than short chain structures.
other acids (phosphoric acids, organic acids). These agents
also have the dual function of acid rinse and sanitization.
QACs are active and stable over a broad temperature range.
The major advantage over acid anionics is lower foaming
Because they are surfactants, they possess some detergency.
potential. These sanitizers have a broad range of activity,
Thus, they are less affected by light soil than are other
are highly stable in dilute form, are stable to organic matter,
sanitizers. However, heavy soil dramatically decreases
and are stable to high temperature applications.
activity. QACs generally have higher activity at alkaline
pH. While lack of tolerance to hard water is often listed as
These sanitizers have low activity above pH 3.5–4.0, are not
a major disadvantage of QACs when compared to chlorine,
very effective against yeasts and molds, and some formula-
some QACs are fairly tolerant of hard water. Activity can
tions lose activity at temperatures below 10°C (50°F). They
be improved by the use of EDTA as a chelator. QACs are
also can be corrosive to soft metals and can degrade certain
effective against bacteria, yeasts, mold, and viruses.
plastics and rubber.
An advantage of QACs in some applications is that they
Peroxides
leave a residual antimicrobial film. However, this would
Peroxides or peroxy compounds contain at least one pair of
be a disadvantage in operations such as cultured dairy
covalently bonded oxygen atoms (-O-O-) and are divided

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 8
into two groups: the inorganic group, containing hydrogen Boufford, T. 1996. Making the Right Choice - Sanitizers.
peroxide (HP) and related compounds; and the organic Ecolab, Inc./Food & Beverage Div., St. Paul, MN.
group, containing peroxyacetic acid (PAA) and related
compounds. Cords, B.R. and G.R. Dychdala. 1993. Sanitizers: Halogens,
Surface-Active Agents, and Peroxides. Pp. 36-52. In: P M.
Hydrogen peroxide (HP), while widely used in the medi- Davidson and A. L. Branen, (eds.). Antimicrobials in Foods.
cal field, has found only limited application in the food Marcel Dekker, Inc., New York, NY.
industry. FDA approval has been granted for HP use for
sterilizing equipment and packages in aseptic operations. Food Code 1995. U.S. Public Health Service, Food and
Drug Admin., Washington, DC.
The primary mode of action for HP is through creating
an oxidizing environment and generation of singlet or Grade A Pasteurized Milk Ordinance, 1995. Revision. U.S.
superoxide oxygen (SO). HP is fairly broad spectrum with Public Health Service, FDA, Washington, DC.
slightly higher activity against gram-negative than gram-
positive organisms. Marriott, N.G. 1994. Cleaning compounds for Effective
Sanitation. Pp. 85-113. Sanitatizers for Effective Sanitation.
High concentrations of HP (5% and above) can be an eye Pp. 114-166. Principles of Food Sanitation. Chapman & Hall,
and skin irritant. Thus, high concentrations should be New York, NY.
handled with care.

Peroxyacetic Acid (PAA) has been known for its

germicidal properties for a long time. However, it has
only found food-industry application in recent years and
is being promoted as a potential chlorine replacement.
PAA is relatively stable at use strengths of 100 to 200ppm.
Other desirable properties include absence of foam and
phosphates, low corrosiveness, tolerance to hard water, and
favorable biodegradability. PAA solutions have been shown
to be useful in removing biofilms.

While precise mode of action mechanisms have not been

determined, it is generally theorized that the PAA reac-
tion with microorganisms is similar to that of HP. PAA,
however, is highly active against both gram-positive and
gram-negative microorganisms. The germicidal activity of
PAA is dramatically affected by pH. Any pH increase above
7–8 drastically reduces the activity.

PAA has a pungent odor and the concentrated product

(40%) is a highly toxic, potent irritant, and powerful
oxidizer. Thus, care must be used in its use.

A general comparison of the chemical and physical proper-

ties of commonly used sanitizers is presented in Table 3.

References Used
Bakka, R.L. 1995. Making the Right Choice - Cleaners.
Ecolab, Inc./Food & Beverage Div., St. Paul, MN.

Barnard, S. Extension. Handout. Penn. State Univ.

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 9
Table 1. Water impurities and associated problems.
Impurity Problem Caused
Common Impurities
Oxygen Corrosion
Carbon Dioxide Corrosion
Bicarbonates Scale
(Sodium, Calcium, or Magnesium)
Chlorides or Sulfates Scale & Corrosion
(Sodium, Calcium, or Magnesium)
Silica Scale
Suspended Solids Corrosion and Deposition
Unusually high pH (above 8.5) Mediate Corrosion and Deposition; Alter detergent efficiency
Unusually low pH (below 5) Mediate Corrosion and Deposition; Alter detergent efficiency
Less Common Impurities
Iron Filming and Staining
Manganese Corrosion
Copper Filming and Staining

Table 2. Characteristics of Food Soils

Surface Deposit Solubility Ease of Removal Heat-Induced Reactions
Sugar Water soluble Easy Carmelization
Fat Alkali soluble Difficult Polymerization
Protein Alkali soluble Very Difficult Denaturation
Starch Water soluble, Alkali Easy to Moderately Easy Interactions with other constituents
soluble
Monovalent Salts Water soluble; Acid Easy to Difficult Generally not significant
soluble
+Polyvalent Salts Acid soluble Difficult Interaction with other constituents

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 10
Table 3. Comparison of the Chemical and Physical Properties in Commonly Used Sanitizers*
Chlorine Iodophors Quarternary Acid anionic Fatty Acid Peroxyacetic
ammonium acid
compounds
Corrosive Corrosive Slightly corrosive Noncorrosive Slightly corrosive Slightly corrosive Slightly corrosive
Irritating to skin Irritating Not irritating Not irritating Slightly irritating Slightly irritating Not irritating
Effective at neutral pH Yes Depends on type In most cases No No Yes
Effective at acid pH Yes, but unstable Yes In some cases Yes, below Yes, below Yes
3.0–3.5 3.5–4.0
Effective at alkaline pH Yes, but less than No In most cases No No Less effective
at neutral pH
Affected by organic Yes Moderately Moderately Moderately Partically Partially
material
Affected by water No Slightly Yes Slightly Slightly Slightly
hardness
Residual antimicrobial None Moderate Yes Yes Yes None
activity
Cost Low High Moderate Moderate Moderate Moderate
Incompatibilities Acid solutions, Highly alkaline Anionic wetting Cationic Cationic Reducing agents,
phenols, amines detergents agents, soaps, surfactants surfactants metal ions,
and acids and alkaline and alkaline strong alkalies
detergents detergents
Stability of use solution Dissipates rapidly Dissipates slowly Stable Stable Stable Dissipates slowly
Maximum level 200ppm 25ppm 200ppm Varied Varied 100–200ppm
permitted by FDA
without rinse
Water temperature None High Moderate Moderate Moderate None
sensitivity
Foam level None Low Moderate Low/Moderate Low None
Phosphate None High None High Moderate None
Soil load tolerance None Low High Low Low Low
*Comparisons made at approved “no-rinse” use levels.
Adapted from B.R. Cords and G.R. Dychdala 1993.

Basic Elements of Equipment Cleaning and Sanitizing in Food Processing and Handling Operations 11