Caballero B. (ed.) Encyclopaedia of Food Science, Food Technology and Nutrition. Ten-Volume Set

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0011 A risk assessment analyzes the state of affairs at one

point in time, utilizing the best available information

at that time. As situations change, and significant new

information becomes available, a reassessment or

update should be carried out. A risk assessment can

be thought of as a live and continuing process.

Risk Assessment of Chemical Hazards

0012 In hazard identification, information as to what con-

stitutes a hazard is frequently limited. The ‘weight-of-

evidence’ approach is usually adopted, relying on a

combination of relevant sources of information, in-

cluding epidemiological studies, animal toxicological

studies, in-vitro assays, and quantitative structure–

activity relationships. In the majority of cases,

clinical, and epidemiological data are unavailable or

inadequate, and much reliance is placed on animal

studies. These would include long-term chronic stud-

ies as well as short-term acute toxicity studies. They

are designed to identify the range of toxicological

effects, such as cancer, reproductive/developmental

effects, neurotoxic effects, and immunotoxic effects.

They can also provide information on the relevance of

these effects for human risks through characterizing

the mechanism of action. In-vitro studies may pro-

vide information on genotoxicity, pharmacokinetics,

and pharmacodynamics.

0013 One particular issue with animal toxicological

studies is the need to use a relatively high dosage in

order to identify the toxicological effects. However,

realistic contamination levels in food are typically

orders of magnitudes lower, and the significance of

the identified health effects is uncertain. This can pose

major issues for hazard characterization.

0014 Animal experiments provide information on

dosage at which no ill effects occur in the test animals;

this is referred to as the ‘no observed effect level.’ A

dose–response assessment would then need to ex-

trapolate this animal data. There is much uncertainty

in this, because the nature of the hazard and mode of

human metabolism may change with dose, and the

response in humans may be different to that of the

experimental animals used. These uncertainties are

compensated for with the use of safety factors. Fre-

quently, a multiplication factor of 10 is used to ac-

commodate the differences between how humans and

animals might react to the hazard. Another factor of

10 is typically used to take account of the fact that

some humans are more sensitive than others to the

hazard in question. This yields an ‘acceptable daily

intake’ (ADI) figure. If dietary exposure is below

the ADI, it is assumed that there will be no ill effect.

This is known as the ‘threshold approach.’ For geno-

toxic carcinogens, this approach is not considered

appropriate, as it is assumed that there is a finite

risk, even with the lowest possible dose. In such

cases, a level of negligible/acceptable risk is set, fre-

quently at one in a million.

0015Exposure assessment is carried out using diet

studies. Direct monitoring of residues of the chemical

hazard (e.g., organochlorine pesticides) in human

tissues and body fluids is also gaining importance as

a means of exposure assessment.

0016Risk characterization then draws on the outputs of

hazard identification, hazard characterization, dose–

response assessment, and exposure assessment to

derive an estimate of the likelihood of adverse health

effects in human populations as a consequence of the

exposure. For threshold-acting hazards, risk is char-

acterized by comparing exposure to ADI. Risk is

notionally zero if exposure is lower than ADI. For

nonthreshold acting hazards, risk is calculated as a

function of exposure and potency.

0017As an example of how such a risk assessment can

be used, a study may be carried out on the existing or

proposed use of an agricultural or veterinary chem-

ical in association with food-production animals.

If the estimated risks are deemed unacceptable,

consideration can be given to various possible risk-

mitigation measures, such as means of reducing ex-

posure. If the risks can be reduced to an acceptable

level through such means, the chemical may be con-

sidered for registration. The setting of ‘safe/tolerance

levels’ for various chemical residues in food is another

application of risk assessment of chemical hazards.

Risk Assessment of Biological Hazards

0018Biological hazards include pathogenic strains of bac-

teria, viruses, helminthes, protozoa, and algae. Some-

times, toxins that some of these organisms may

produce, e.g., enterotoxins produced by Staphylococ-

cus aureus when growing to high numbers in food, are

also grouped with biological hazards. Of these, food-

borne pathogenic bacteria and viruses present, are by

far, the greatest concerns in regard to food safety.

0019Microbiological risk assessment follows basically

the same framework as chemical risk assessment.

However, it has its unique set of difficulties and chal-

lenges. The list of foodborne pathogens is extensive,

and pathogens can be found in abundance in the

natural environment, including that for the produc-

tion, harvesting, processing, storage, transportation,

display, retail, and preparation of food. Some of the

microbiological hazards, e.g., bacteria, can multiply

rapidly in the food as it goes through the production

and supply chain, whereas others can also produce

toxins or form heat-resistant spores under certain

conditions. The survival and proliferation of these

5016 RISK ASSESSMENT

organisms are affected by the complexity of the food

matrix, parameters of the manufacturing processes,

as well as the temperature profile to which the food is

exposed along the production supply chain. So, it is

not unusual to find that a specific pathogen in a

certain food matrix has caused many cases of food-

borne illness, whereas the same pathogen in another

food may rarely have been implicated. Moreover, the

virulence and infectivity of microorganisms can

change, depending on their interaction with the host

and the environment. Genetic material can be trans-

ferred between microorganisms, leading to the trans-

fer of characteristics such as antibiotic resistance and

virulence factors. There is also evidence of very large

differences in virulence between different strains of a

pathogen, e.g., Listeria monocytogenes, that are

almost impossible to distinguish by traditional

taxonomic methods, and there are usually no easily

identifiable virulence markers.

0020 Human susceptibility to specific pathogens can

also vary widely. For example, young, old, pregnant,

and immunocompromised consumers are highly sus-

ceptible to the foodborne pathogen Listeria mono-

cytogenes, but the healthy adult population is rarely

affected. All these factors can make hazard identifica-

tion even less clear-cut in comparison with identi-

fication of chemical hazards. Like the latter,

epidemiological studies remain the most desired

information base with which to advise biological

hazard identification. Structure–activity relationship

studies are used in the absence of, or in addition to,

reliable epidemiological data. They compare the dis-

ease agent in question with a similar agent whose

health effect is better understood.

0021 Exposure assessment aims to define the pathway by

which people will become exposed to the pathogen

in the food, how much of the pathogen they are likely

to ingest, and how frequently. This requires infor-

mation on the occurrence rate and level of the patho-

gen in the food in question. These data are usually

obtained by conducting microbiological surveys of

the food. If surveys are not carried out at the point

of consumption, predictive microbiology can be used

to ‘extrapolate’ from the survey point (e.g., the end of

production) to the point of consumption, based on

typical temperature–time conditions to which the

food is exposed, in order to estimate the dose

exposure.

0022 A dose–response assessment for microbiological

hazards presents an even greater difficulty compared

to chemical hazards. Human studies are very limited,

and animal studies are generally not used. The rele-

vance of the former is also restricted because of the

variability in susceptibility between persons. There

have been attempts to derive a dose–response

relationship from available epidemiological data,

but this approach has yet to be fully developed.

0023Risk characterization in microbiological risk as-

sessment would include one or more of the following:

0024Risk estimate: depending on the purpose of the

risk assessment, this may be expressed as a risk

ranking of the hazards considered. This may be

done in terms of high-, medium-, and low-risk

categories, or in accordance with some arbitrary

scale that would also show more quantitatively the

relative risk levels. The risk estimate may also be

expressed as the probability of human illness for

defined exposure scenarios, e.g., in terms of x in a

million chance of illness or x cases of illness per

year in a specific population.

0025Characterization of uncertainty, variability, and

confidence in the risk estimate: the uncertainties

associated with each step or component of the risk

assessment are identified and, if possible, quanti-

fied. Similarly, variability that reflects the hetero-

geneity of the population under consideration and

the diversity in exposure is also identified and

quantified. Confidence in the risk estimate is then

discussed with reference to the adequacy of data

and the weight of evidence.

0026Sensitivity analysis. This is used to show the influ-

ence of different variables on the outcome of the

risk assessment and the range of response that may

be encountered. It can also be used to highlight the

impact on the risk estimate if various assumptions

are changed.

0027Identification and evaluation of risk mitigation

options: various options for mitigating or control-

ling the major risks are identified and evaluated in

terms of their effectiveness.

The risk estimate may be expressed qualitatively,

semiquantitatively, or quantitatively, depending

on the purpose of the risk assessment, and the

availability of relevant data and resources to allow

quantification of the risk estimate. Accordingly,

the risk assessment is referred to as a qualitative,

semiquantitative, or quantitative risk assessment. A

qualitative study is much less resource-intensive and

may be adequate for some applications, such as pri-

oritization of hazards for further investigation. A

quantitative risk assessment may be necessary for

purposes such as the setting of food standards and

critical limits.

Risk Assessment of Physical Hazards

0028The possible health effects of physical hazards, such

as glass, metal, and bone fragments, are generally

obvious. There has been little demand to quantify

RISK ASSESSMENT 5017

physical hazards in a systematic way in the context of

food safety. However, attempts have been made to

quantify risks according to the size and nature of

extraneous objects.

Risk Assessment and Risk Analysis

0029 Risk assessment is not an end in itself and is usually

conducted for a specific purpose or objective. For

example, it may be conducted to identify the higher-

level risks of a food or manufacturing process, with

the view of controlling those risks at acceptable levels

though better policy setting, strategy formulation,

and/or implementation/improvement of process con-

trols. To achieve such an objective, risk assessment

has to feed into a process of risk management,and

both processes have to be carried out in conjunction

with risk communication. The three elements, risk

assessment, risk management, and risk communica-

tion, together are referred to as risk analysis.

0030 Risk management is the process of weighing policy

alternatives in the light of the results of risk assess-

ment and, if required, selecting and implementing

appropriate control options, including regulatory

measures. It is responding to the findings of risk

assessment and determining the most practical and

effective way of achieving the purpose or objectives

identified. Risk communication is the interactive ex-

change of information and opinions concerning risk

and risk management among risk assessors, risk man-

agers, consumers, and other interested parties. This

ensures that the purpose, objectives, considerations,

processes, findings, uncertainties, and implications of

the risk assessment and risk management are clearly

understood by all stakeholders throughout the con-

duct of the risk analysis. This tends to increase the

quality of the process owing to a broadening of the

input base for relevant information and expertise.

It increases the transparency of the risk analysis

and fosters ownership of the process and output.

The interrelationship between the elements of risk

analysis is illustrated in Figure 2.

Application of Risk Analysis

Government Policy Setting

0031 Developed countries have come to recognize food

safety as a major social, economical, and political

issue. The monetary and social costs of foodborne

illnesses to society are very significant. There is also

an increasing public awareness of food-safety issues,

particularly after a spate of high-profile food-safety

incidents, such as the BSE crisis in the UK, the dioxin

contamination episode in Belgium, and the Snow

Brand milk-poisoning case in Japan. As a result,

there is an increasing expectation that the govern-

ment fulfills a role of protecting the public from

undue exposure to food-safety hazards, and in signifi-

cantly reducing foodborne disease.

0032In 1997, President Clinton of the USA announced

his Food Safety Initiative that recognized the import-

ance of risk assessment as a scientific tool in achieving

the goal of improving food safety. Major agencies

such as the US FDA, FAO/WHO, and the European

Commission have indicated that risk analysis under-

pins the formulation of their food-safety policy.

0033Whether at company, industry sector, or national

level, food-safety hazards are numerous, whereas the

resources for improving food safety are finite. In

practice, resources must become more focused on

reducing those risks that have the greatest conse-

quences for human health. Risk assessment assists in

such decision-making by providing a scientific esti-

mation of the risks of various food hazards, and

providing risk-management options that are scientif-

ically sound. This allows the risk managers to priori-

tize and weigh up the options available. This may lead

to government agencies formulating legislative re-

quirements on food production, setting food stand-

ards, encouraging industry-based codes of practice,

and/or undertaking educational programs.

Standard Setting

0034Food standards, such as those that specify the max-

imum allowable level of contaminants in food, or the

amount of food additives permitted, are an important

instrument for the assurance of food safety. This is

particularly the case in international trade, where the

food commodity being traded is manufactured in

another country, and the history and conditions of

Risk analysis

Risk assessment

Risk management

Risk

communication

Risk

communication

fig0002Figure 2 Components of risk analysis.

5018 RISK ASSESSMENT

manufacture may not be fully known. International

trade on food is based on agreements achieved at the

World Trade Organization (WTO), including the

Agreement on Sanitary and Phytosanitary Measures

and the Agreement on Technical Barriers to Trade.

Under these agreements, the Codex Alimentarius

Commission (CAC) has the role of implementing the

Joint FAO/WHO Food Standards Program, establish-

ing international food quality and safety standards.

These standards are adopted or used as models by

many countries in their domestic food legislation and

regulations.

0035 The CAC takes a risk-based approach to setting of

standards and has enunciated the principle of using

sound scientific analysis and evidence as the basis of

all its food standards. In practice, this means the use

of risk assessment and risk analysis for the justifica-

tion and derivation of food standards. This has set the

scene for many countries also to adopt risk analysis as

a tool for developing domestic standards.

Determination of Equivalence

0036 It is the sovereign right of a county to determine a

desired level of public health protection to be

achieved in food production. The exporting country

need not apply the same regulations for processing

and production of food as the importing country,

provided that the controls used will achieve the

same level of safety. Risk assessment is a scientific

tool that can be used to assess whether the imported

food is of an equivalent level of safety as food pro-

duced locally or deemed acceptable from other

sources. This provides a means of preventing artificial

barriers to trade. In recognizing the importance of

this science-based approach to fair trade, the WTO

has required each member country’s food safety

measure to be based on risk assessment.

0037 Equivalent systems, once established between

trading partners, can result in acceptable export cer-

tification of shipments with minimum additional con-

trol. This simplifies trade procedures and reduces or

eliminates the need for stringent and prescriptive

trading conditions.

Underpinning HACCP

0038 Hazard Analysis Critical Control Point (HACCP) has

been recognized worldwide as the desired approach

to achieve safe food production. There is a close

relationship between hazard analysis within the con-

text of HACCP and risk assessment/risk analysis.

Much of the information required for hazard analysis

is also required for the hazard identification and

hazard characterization steps of risk assessment,

such as identifying the nature, source, prevalence,

and anticipated level of hazards. However, HACCP

and risk assessment are different in terms of their

scope, application, and focus.

0039HACCP is generally carried out at company level

for a specific food product manufactured by a specific

process and may be specific to a single factory, or even

one particular production line. The objective is to

manage and control the identified significant hazards

at acceptable levels, thus ensuring production of safe

food from the production line in question. Hazard

analysis in HACCP generally does not systematically

quantify risks, although a prioritization of hazards

is involved, which can be considered an intuitive

estimation of relative risk levels.

0040Risk assessment and risk analysis are normally

carried out by government agencies, industry peak

bodies, and the like. They have a broader focus than

one specific manufacturing process and find applica-

tion at a policy or strategic level. Usually, the study is

carried out for a specific hazard in the context of a

food commodity group, e.g., Salmonella enteritidis in

egg and egg products. Sometimes, it is also carried out

for a specific industry sector or food commodity

grouping, e.g., significant hazards in seafood pro-

duced in a specific region. Systematic quantification

(to the extent possible) of the risks of significant

hazards is a fundamental element of such a study.

The risk estimates provided by a risk assessment

will give guidance in prioritization and strategic plan-

ning for the management of the risks. The proposed

risk mitigation options then feed into the risk-

management process to formulate practical work

plans and risk control measures.

0041Owing to the commonality between HACCP and

risk assessment/risk analysis, there is also an import-

ant interrelationship between them. Hazard identifi-

cation conducted as an element of risk assessment is

generally done more systematically and thoroughly,

by virtue of the greater resources and expertise usu-

ally made available for such studies. In risk assess-

ment, the hazards are also scientifically evaluated in

terms of risks. This distinguishes those hazards that

pose a significant threat from others that are no more

than perceptions or are of a low impact. Therefore,

risk assessment, where available, should provide the

foundation for HACCP. The latter should address

all the hazards of higher risks identified in the

risk assessment and adopt one or more of the risk-

management options provided, customized appropri-

ately for the specific circumstances wherein the

HACCP plan operates.

Benefits and Limitations

0042Risk assessment, with its clearly defined framework,

provides the necessary discipline to ensure rigorous

RISK ASSESSMENT 5019

problem definition, through examination of relev-

ant data, assimilation of existing knowledge, and

identification of variability and uncertainties. This

provides for a structured, scientific, and objective

inquiry into issues of food safety. Apart from pro-

viding a quantification of food-safety risk, a risk-

assessment study also produces a report that serves

as a database of relevant information, a documenta-

tion of considerations justifying the risk estimate and

risk-management options, as well as a listing of crit-

ical information gaps. The transparency, objectivity,

and scientific basis of the study and its findings en-

gender critical thinking and understanding, and pro-

vide a firm foundation for sound decision-making,

strategic planning, and effective action.

0043 The major problem in conducting a risk assess-

ment, in particular quantitative risk assessment, is

the frequent lack of relevant data, whether epidemi-

ological, prevalence, and/or dose–response data. It is

also frequently necessary to make broad assumptions

on which the robustness of the study rests heavily. As

a consequence, this means that the conclusions of a

risk assessment are sometimes accompanied by large

uncertainties. In most cases, the generation of neces-

sary additional data is not feasible or is very labor-

and time-intensive.

0044 The lack of relevant data may also mean that the

study can only be qualitative, or at best semiquanti-

tative. As such, the full benefits of a quantitative risk

assessment cannot be realized, and the findings may

be little more than what is already known based on an

intuitive estimation of risk or impressions. In such

cases, the main value of the risk assessment is re-

stricted to having documented all relevant consider-

ations in a systematic and transparent manner and

identifying the knowledge gaps that need to be filled

for future analyses.

0045 Quantitative risk assessment requires the use of

simulation modeling and/or animal studies. These

models or studies cannot always be validated, and

the reliability of the assessment findings would

depend heavily on the validity of the modeling or

the relevance of the animal studies. Related to this is

the large variation in the susceptibility of people to

foodborne hazards. Relevant data are generally much

more available for the general population than for

minority groups that may be more susceptible. Con-

sequently, the risk levels determined may be an under-

estimation for certain consumer sectors.

0046 A substantial quantitative study is very costly. For

example, some quantitative microbiological risk as-

sessments have taken up to 30 person-years to com-

plete. This means that only resource-rich agencies,

organizations, or collaborative teams are able to

undertake such studies. However, in recognition of

this, many major risk-assessment reports have been

made freely available through the scientific literature

and the Internet. This has allowed others to make use

of the collated information and findings.

0047While the risk assessment process is both objective

and systematic, subjectivity cannot be avoided in

using the findings in risk management. This is because

an acceptable level of food-safety risk is neither well

defined nor universally agreed upon. Ultimately, the

risk-management decision of what is an acceptable

risk for a particular situation has to take account of

cost–benefit analysis and public perception.

0048Risk assessment, being a scientifically based pro-

cess, is designed to assess true risks to human health.

However, the public’s reaction to food safety is largely

based on perceptions. Frequently, what the public

perceives as unacceptable hazards in food and reacts

emotively to is not necessarily proven as a major

cause of foodborne disease. Nevertheless, issues sur-

rounding these perceived hazards could bring about

severe backlash on businesses, industries, and govern-

ment by consumers and export markets. From a busi-

ness viewpoint, the perceived risks are as real as the

true food-safety risks. However, perceived risks are

outside the domain of scientific food-safety risk as-

sessment but may be dealt with as a commercial risk

by other techniques.

See also: Food and Agriculture Organization of the

United Nations; Food Safety; Hazard Analysis Critical

Control Point; Legislation: International Standards;

Additives; Contaminants and Adulterants; Codex; World

Health Organization

Further Reading

Buchanan RL and Whiting RC (1998) Risk Assessment: A

means for linking HACCP plans and public health.

Journal of Food Protection 61(11): 1531–1534.

Codex Committee on Food Hygiene (1999) Principles and

Guidelines for the Conduct of Microbiological Risk

Assessment. CAC/GL-30. Codex Alimentarius Commis-

sion.

Codex Committee on Food Hygiene (2001) Draft Response

to the Codex Executive Committee Regarding Clarifica-

tion of the Terms ‘Hazard Analysis’ and ‘Risk Analysis’.

Thirty-fourth Session, Bangkok, Thailand.

FAO (2000) Report of the Joint FAO/WHO Expert

Consultation on Risk Assessment of Microbiological

Hazards in Foods. Rome: FAO.

Frewer LJ, Howard C, Hedderley D and Shepherd R (1997)

The elaboration likelihood model and communication

about food risks. Risk Analysis 17(4): 759–770.

Hathaway SC (1997) Development of food safety risk

assessment guidelines for foods of animal origin in

international trade. Journal of Food Protection 60(11):

1432–1438.

5020 RISK ASSESSMENT

Herber RFM, Duffus JH, Christensen JM, Olsen E and Park

MV (2001) Risk assessment for occupational exposure

to chemicals. A review of current methodology. Pure and

Applied Chemistry 73(6): 993–1031.

ILSI Risk Science Institute (2000) Revised Framework for

Microbial Risk Assessment. Washington DC: ILSI Press,

International Life Sciences Institute.

International Commission on Microbiological Specifica-

tions for Food (ICMSF) Working Group on Microbial

Risk Assessment (1998) Potential application of risk

assessment techniques to microbiological issues related

to international trade in food and food products. Journal

of Food Protection 61(8): 1075–1086.

Lammerding AM and Paoli GM (1997) Quantitative risk

assessment: an emerging tool for emerging foodborne

pathogens. Emerging Infectious Diseases 3(4): 1–7.

McNab WB (1997) A literature review linking microbial

risk assessment, predictive microbiology, and dose–

response modelling. Dairy, Food and Environmental

Sanitation 17(7): 405–416.

Potter ME (1996) Risk assessment terms and definitions.

Journal of Food Protection 59 (supplement): 6–9.

Van Schothorst M (1997) Practical approaches to risk

assessment. Journal of Food Protection 60(11): 1439–

1443.

WHO (1995) Report of a Joint FAO/WHO Expert Consult-

ation Application of Risk Analysis to Food Standards

Issues. Geneva: WHO.

WHO (1999) Report of a Joint FAO/WHO Expert Consult-

ation Risk Assessment of Microbiological Hazards in

Foods. Geneva: WHO.

Roller Milling Operations See Flour: Roller Milling Operations; Analysis of Wheat Flours; Dietary

Importance

Root Vegetables See Cassava: The Nature of the Tuber; Uses as a Raw Material; Potatoes and Related

Crops: The Root Crop and its Uses; Fruits of the Solanaceae; Processing Potato Tubers; Vegetables of Temperate

Climates: Commercial and Dietary Importance; Cabbage and Related Vegetables; Broccoli-type Brassicas; Leaf

Vegetables; Oriental Brassicas; Carrot, Parsnip, and Beetroot; Swede, Turnip, and Radish; Miscellaneous Root

Crops; Stem and Other Vegetables; Vegetables of Tropical Climates: Commercial and Dietary Importance; Root

Crops of Uplands; Root Crops of Lowlands; Edible Aroids

Roughage See Dietary Fiber: Properties and Sources; Determination; Physiological Effects; Effects of Fiber

on Absorption; Bran; Energy Value

RUM

L Fahrasmane and A Parfait, Institut National de la

Recherche Agronomique, Petit-Bourg, French West

Indies, Guadeloupe

Introduction

0001 The term ‘rum’ is used to describe the distillates ori-

ginating from the fermented products of sugarcane

(Saccharum spp.), that is to say fresh juice, molasses

(the thick brown liquid separated from raw sugar at

the end of the sugar manufacturing process), and

syrup obtained from sugarcane juice concentration

(Table 1). The fermented liquid must be distilled

under 96% ethanol by volume (Directive 89/1576/

EEC).

0002Rum production has always been a way to use and

value molasses. Thus, in the French West Indies

islands, de sucrerie rum, obtained from molasses, is

produced from distilleries attached to sugar plants.

However, in the Caribbean French colonies, Guade-

loupe and Martinique and also in Haiti, some small

sugarcane planters who were disadvantaged, during

RUM 5021

the first half of the eighteenth century, by the devel-

opment of central sugar plants and a general reduc-

tion in sugar sales began to distil rum directly from

the fresh juice of their harvest or from the syrup

resulting from the juice concentration. This was

how agricole rum was born. It is produced by inde-

pendent distilleries, outside the sugar industry, using

the raw material from farming.

0003 Nowadays the world rum market is dominated by

the light rums which are produced from molasses,

in modern productive distilleries. Light rum is

marketed white or aged, and drunk as an ingredient

in long drinks. However, traditional rums are still

produced and sold. These are characterized by a

mixed fermentation involving alcohol-producing

yeast strains and cofermenting bacteria. They are

distilled at a lower ethanol content than the light

rum (about 80% by volume) and are richer in aro-

matic compounds. Jamaican type (also known as

heavy rum or grand aro

me, is a typical example of

these traditional products.

History and Uses

0004 The British term ‘rum’ referred to the alcoholic

liquors distilled from fermented sugarcane products,

coming from the British colonies of the Caribbean.

They were generally of a better quality than those

produced in the French colonies, where they were

referred to as tafia and guildive. Indeed, rum has

had and still does have various names throughout

the world, including some archaisms, such as kill-

devil, the obsolete word rumbullion, guildive which

is probably a French adaptation of kill-devil, tafia,

grappe, arrack (Mauritius), and gavine (South

Africa). Nowadays, it is rhum in French, aguardiente

and ron (in Spanish-speaking Latin America),

cachac¸a, pinga, aguardente (Brazil), clairin (Haitian

traditional rum, with 30–35% alcohol content),

toaka (Madagascar), and kana (Guinea-Bissau).

0005 Although the cultivation of sugarcane and its trans-

formation into sugar date back to time immemorial,

rum production is more recent; it developed with

sugar production in the Caribbean islands in colonial

plantations in the seventeenth century. Every planta-

tion had its distillery. Rum appeared when the world

sugar production, which was only from sugarcane,

was taken from the Mediterranean area to America.

The increase in sugar production generated important

molasses volumes. The European colonists discovered

that they could take advantage by distilling fermented

washes from the molasses and sugary wastes such as

scum.

0006Among the first writers to mention rum was the

father Du Tertre, who stayed in the French West

Indies from 1640 to 1657. At much the same time,

Robert Ligon in his History of the Island of Barbados

(1657) described the preparation of a fermented

beverage called punch. Father Labat, who arrived

in the West Indies in 1694, described the elabor-

ation of guildive in his Nouveau voyage aux isles de

l’Ame

rique (New Journey to the American Islands;

1722).

0007In those days, rum was a byproduct of the sugar

industry. The manufacturing process was simple: the

fermentable sugar was seldom derived from cane

juice but came from the scum that comprised the

sugary impurities raised during juice boiling, and

molasses rich in sucrose were drained from the

sugar production process. These sugary resources,

diluted – around 100 g l

1

of sugar – in water and/

or distillation waste waters, were spontaneously fer-

mented (Table 2). Then the fermented wash was

single- or double-distilled in a pot still. The manufac-

turing process in use in the seventeenth and eight-

eenth centuries was diverse. The quality of the

product was often poor, or frankly bad, because of

the low microbial quality of the raw materials (scum,

molasses, waste waters), the rudimentary condition

of the fermentation process, and above all the poor

resolving power of the distillation apparatus. Spirits

were often derived from washes inside which acetic,

butyric, and even putrid fermentation had occurred,

and the pot stills were unable to provide the rectifica-

tion to remove undesirable compounds. Moreover,

the alcohol content was weak, often under 42% (by

volume), especially in the products from the French

colonies.

tbl0001 Table 1 Average percentage of components in sugarcane, and

raw materials used in the distillery

Component Cane and distilleries rawmaterial

Cane Juice Syrup HTM Molasses

Water 69.0 78.0 29.0 16.0 20.0

Sugar 16.0 20.0 66.0 77.0 62.0

Nonsugar 3.0 2.0 5.0 7.0 18.0

Fiber 12.0

HTM, high-test molasses.

tbl0002Table 2 Wash components, as a percentage, at the beginning

of the nineteenth century

Component North Caribbean Jamaica

Molasses 10 6

Scum 30 36

Slops 20 50

Water 40 8

5022 RUM

0008 The phylloxera crisis in the nineteenth century had

involved a high demand in alcoholic products includ-

ing those from the rum distillery. In the meantime

there was development of industrial processes with

rational management and mass production. Pasteur’s

works on fermentation allowed microbial control in

the washes. This evolution and new knowledge were

applied in rum production where there was a chem-

ical comprehension of distillery products and pursuit

of productivity. During the second part of the nine-

teenth century appeared an untraditional process,

which featured microbial control and bacteria elim-

ination in the washes, a plant with voluminous

fermentation vats, and a multistage column for distil-

lation which involved a high level of rectification of

the distillates.

0009 Rum was first a drink for slaves and seamen. It was

considered as a coarse drink, not appropriate for the

palates of the upper classes. Admiral Penn, after he

took Jamaica in 1655, instituted the daily rum ration

distribution to his sailors. Admiral Vernon, who was

nicknamed Old Grog – grog is a mixture of one

portion of rum, two portions of water and some

lemon juice – replaced the Admiral Penn ration,

with grog in 1731. Rum was distributed daily to

sailors of the British Royal Navy until recent times.

In the West Indies the British blended rum with

various foodstuffs, including tea, sugar, lemon, and

cinnamon and named the cocktails punch. In the

eighteenth century there were many rum liquors

known by the name island liquor.

0010 The British encouraged rum production from the

beginning, because it was favorable for traffic with

the North American Indians, and the slave trade on

the African coast. Whisky production was low at that

time. Barbados, Jamaica, and New England were

colonies where rum production was developed. In

1765, two distilleries were situated in Liverpool,

where they produced rum to supply ships bound for

Africa.

0011 From the eighteenth century, rum-based drinks

became numerous. An important feature of rum util-

ization is its ready association with fruit aroma and

vegetable extracts in the mixing of punch, cocktails,

planteurs and, more recently, rum and cola; some

mixes are sold ready-to-use. Rum has the distinction

of being an excellent basic ingredient for composite

drinks. The earliest English terms, punch and grog,

are still largely used, although the beverages are

rather different from those in the eighteenth century.

Nowadays one can find, for example:

0012 curac¸ao from the Dutch West Indies, produced

after soaking orange peel in rum: shrub is very

similar to curac¸ao

0013cocktails which are mixtures of rum with other

liquids, mainly tropical fruit juices and spices:

punch and planteur from the French West Indies

are similar

0014Alexandra is a sophisticated mixture of aged rum

and cream

0015in Brazil there is a variety of Batida, which is a

mixture of fruit and cachac¸a

0016daı

quiri or daiquiri was created in 1898 by an

American in Cuba. Originally it was a light rum

like Bacardi mixed with lemon juice

0017Cuba libre, one of the most popular drinks in

North America, is a mixture of Coca-Cola and rum

Another very interesting feature of rum which is not

often emphasized is its use in eaten products, confec-

tioneries, icecreams, chocolate, and foods. For

example, in France, more than 40% of marketed

rum is used as an aromatic resource, in confectionery.

Baba (sponge-cake) is one of the best-known confec-

tioneries containing rum. Traditional rum and heavy

rum are used to flavor various foods because both are

rich in aromatic compound and can endure physical

hard treatment, such as the high temperature encoun-

tered in food processing. Light rum, on the other

hand, is poor in aromatic compounds and is not

suitable as a flavoring agent in foodstuffs.

Manufacturing Process

0018The first stage of rum elaboration is preparation of

the mash. The goal is to favor the alcoholic fermenta-

tion of sugars by yeasts, either occurring naturally or

introduced in the fermentation media by the distiller.

During fermentation there is also a production of heat

which in small vats is quickly dissipated, but in larger

vats may raise the temperature such that it kills the

yeast. When fermentation is finished, the mash is

distilled either in a pot still in continuous distillation

columns, or in a multistage distillation column

(Figure 1). This operation makes it possible to separ-

ate from the fermented media the volatile compon-

ents and concentrate them in the distillate. The

resulting raw rum is at a higher percentage in ethanol

(around 80%) than the marketed products, so it is

diluted before sale. It contains aromatic volatile

compounds which distil together with the ethanol.

These congeners are generally in small quantities

(0.0001–0.001% of the ethanol, in weight).

Depending on their proportion, they add significantly

to the taste and aroma of the raw rum.

0019More than 95% of the rum produced in the world

is derived from molasses and high-test molasses

(HTM). Molasses is rich in sugar, and has a density

comparable to honey: 1.4. It also contains nonsugar

RUM 5023

compounds such as minerals, organic acids, phenols,

and others chemicals generated by the thermal treat-

ment during sugar manufacturing.

0020 Rum from sugarcane juice is a special feature of

traditional production in the French West Indies.

0021 Before the eighteenth century, the essential elem-

ents of rum production were:

0022a mash comprising molasses and scum as the

source of sugar, which was diluted with waste

water (slops) and/or water in varying proportions

(Table 2)

0023in this mixture sugars were spontaneously fer-

mented over a 7–15-day period by the abundant

flora of Schizosaccharomyces yeast and various

bacteria. Often, the molasses were introduced repe-

teadly, three times, to avoid fermentation failure

0024the fermented washes were distilled in a pot still

(Figure 1a) with double distillation. The kettle was

manufactured of red copper, and a tap at the

bottom was used to drain the spent liquor. The

still head was also of red copper, sometimes tin-

plated. The condenser was made from copper or

pewter.

The rums obtained were between 41 and 45% etha-

nol content by volume. Developments in distillation

engineering and microbiology were destined to

improve these early processes dramatically.

0025During the eighteenth century, distillation equip-

ment evolved, with the use of the retort, making it

possible to obtain marketable spirit from a pot still

without double distillation. In some devices the distil-

lates were around 80% ethanol content. The continu-

ous single distillation column (Figure 1b) was

developed in the nineteenth century, in order to in-

crease production. The distillates were also more

consistent and the raw rums contained up to 90%

ethanol – sometimes even 95%. The Creole, the

Savalles, and the Barbet columns were typical of this

period; the Barbet columns produced very aromatic

distillates.

0026Multicolumn devices appeared during the nine-

teenth century (Figure 1c) and are used extensively

today. The Coffey still was introduced for the distilla-

tion of grain whisky in Scotland and used largely

in the British colonies. It produces distillates with

84–85% ethanol content. It initially comprised two

columns: the analyzing column and the rectifying

column, as used for grain whisky distillation. Today,

multicolumn stills with three stages (beer, purifying,

and rectifying columns) or even four columns are

used for rum distillation.

0027The other great advance in rum production in the

twentieth century concerned microbiology. In the

early days, the spontaneous flora was used, and was

often initiated with a natural starter by using a piece

of wool soaked in washes and then carefully dried

and kept to be introduced into the new fermentations.

After Pasteur’s studies of wine and beer fermenta-

tions, some researchers considered replacing the

spontaneous or natural starter by pure fermentation

using selected yeast strains. The aim was to improve

1 Cucurbit

2 Still head

3 Retort

4 Coil

5 Condenser

6 Cooling

liquid

7 Testtube

8 Hearth

(a)

Condenser

Distillate: raw rum

Fermented wash

Slops

(b)

(c)

Heads

Raw light rum

or alcohol

Fusel

oil

Slops Water Water

Fermented

wash

Beer column Rectifying

column

Purifying

column

fig0001 Figure 1 Rum distillation devices. (a) Intermittent pot still;

(b) continuous single distillation column; (c) multistage column.

5024 RUM

productivity and avoid bacterial contamination, since

it was thought by some that the bacterial flora was

detrimental to the flavor of the products. On the

other hand some microbiologists, such as Allan and

Ashby, believed that bacteria played an important

part in producing the rum bouquet.

0028 The application of pure fermentation involved

modifications in fermentation management, in par-

ticular growth of starter cultures with selected yeast

strains, and the use of antiseptics to limit bacterial

presence and activity. The major change was fermen-

tation by Saccharomyces yeast strains rather than

Schizosaccaromyces. The result was an increase in

yield but the quality of the products fell, through an

increase in chemical neutrality. Roques, in 1927, was

commissioned by the French Ministry of Agriculture

to carry out a study which concluded that ‘rums

produced from pure and rapid fermentations are

characterized by low levels of acid and ester, as well

as relatively high contents in higher alcohols’. Most

traditional rum producers consequently gave up the

use of selected yeasts and decided that ‘wild’ fermen-

tations gave the best results, producing rums with

richer flavor.

0029 At that time, which was the Prohibition period,

light rum production was expanding in the greater

West Indies and in the English-speaking lesser West

Indies. Here rum was produced using modern plants

and pure culture yeast. Under these conditions fer-

mentations are rapid, the distillation is carried out

with multistage devices, and the resulting distillates

are low in aromatic compounds. These light rums

formed the basis of the modern rum industry. How-

ever, traditional aromatic rums are still produced in

the French West Indies and in Jamaica.

0030 The distillery products are sold white (without

aging), or after aging, generally in oak vats for many

months.

Typology and Raw Rum Treatments

0031 Rums, like many others alcoholic beverages, are often

classified and labeled according to their geographical

area or country of origin. However, this geographical

classification does not necessarily correspond to the

organoleptic properties of the spirit and, indeed,

the US Federal Administration does not correlate the

geographical designation with rum type.

0032 From the analytical and sensory viewpoints, rums

are most often described according to their aromatic

intensity. This property largely relates to the micro-

bial status of the fermentation and distillation equip-

ment (Table 3).

0033 Rum can be divided into four categories (Table 4):

light, heavy, de sucreride, and agricole.

0034Light rum, of which Bacardi is the market leader, is

the result of improvements in distillation engineering

and fermentation flora control. Fermentation is rapid

– 12–20 h duration – and uses cultured yeast with

minimization of the bacterial flora by various

means. In Cuba, rum with lightened features

appeared around 1870. A gold medal was awarded

to Don Facundo Bacardi, in 1876, at the international

exhibition of Philadelphia for his light products. Simi-

larly, a light rum or common was manufactured in

Jamaica in 1882. In the French West Indies, trad-

itional producers were not satisfied by the aromatic

profile of the light rums and by the 1930s, they

returned to traditional production processes. In

modern light rum, the content of compounds other

than ethanol (not alcohol: NA) is often under 60 g

impurities per hectolitre (hl) of pure alcohol.

0035Traditional rums are a specialty of the French over-

seas territories: Guadeloupe, Martinique, and La Re

union. While part of this production is exported, the

traditional products from Haiti and Brazil are solely

consumed locally. The raw materials for traditional

rums may be cane juice or molasses, giving respect-

ively agricole rum and de sucrerie rum. The starting

gravity is around 1035 for media from sugarcane

juice, and 1060 for those from molasses. The produc-

tion is on a cottage industry basis with small plants,

because productivity is not a major goal. Length of

fermentation is 20–48 h and features the presence

and activity of a spontaneous bacterial flora that

contributes to the aromatic properties of the product.

The ethanol content of the final fermentation media

is about between 3.5 and 8% by volume and the

tbl0003Table 3 Basic rum types and processing features

Raw material

Molasses Cane juice

PF, MC MF, PD, SC MF, SC MF, SC

Light Heavy de sucrerie Agricole

PF, pure fermentation (yeast only);

MC, multistage column distillation;

MF, mixed fermentation (bacteria and yeast);

PD, pot still distillation;

SC, single-column distillation.

tbl0004Table 4 Basic rum types: appellation, aspect, and post-

distillation treatments

Not traditional Traditional

W, A, SC W W, A, SC W, A, SC

Light Heavy de sucrerie Agricole

W, white, a, aged; SC, straw-colored.

RUM 5025