HACCP Generic Model For Spices

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Table of Contents

Introduction

The General Principles of Food Hygiene, Composition and Labelling (GPFHCL) continues to be the current Canadian regulatory guidelines for spice manufacturers. The HACCP Generic Model for Spices and its companion document, Food Safety Practices Guidance for Spice Manufacturers were developed by a committee consisting of representatives from the Canadian Food Inspection Agency (CFIA) and Health Canada. These documents are intended to be food safety resources for the spice industry.

The generic model was developed using CFIA's Food Safety Enhancement Program (FSEP) approach and tools, Sections 1, 2 and 3 of the FSEP Manual, including the ten forms as well as the Codex Alimentarius Decision Tree, to determine the Critical Control Points (CCPs). It is a practical example for spice manufacturers to follow in designing their own facility-specific HACCP Plan. The HACCP Generic Model for Spices was used by the committee during the development of the Food Safety Practices Guidance document. This guidance document incorporates Chapters 1 to 8 of the GPFHCL, in addition to other reference material. Using a HACCP approach, it provides guidance on controlling potential hazards. Chapter 1 provides information about developing operational controls for controlling hazards, while Chapters 2 to 8 provide information about developing Good Manufacturing Practices (GMPs) or prerequisite programs as they are called in the FSEP approach. A hazard summary is provided after the Scope section in the companion guidance document.

Together, the generic model and its companion guidance document establish a practical system that spice manufacturers can use to review all potential health and safety hazards in their operation, allowing the facility's personnel to focus on controlling the points that are critical to the safety of the finished product.

Limitations

The committee wishes to emphasize that the model described here is a GENERIC MODEL. It does not cover all spice products and processes, nor does it list all possible associated hazards. This generic model is a template that can be adapted to most spice-producing operations. The process flow diagram in this generic model does not reflect the characteristics of the specific manufacturing line of any of the companies consulted by the committee, but rather represents the basic process steps of all the companies consulted. The model reflects the entire line, from the receipt of the spices through to the shipping/distribution of the spices for further processing or to institutions or retail outlets, and includes the treatment of spices with ethylene oxide.

The HACCP team at each establishment is responsible for identifying and controlling all hazards specific to its operations and for determining how each hazard is controlled. In order to identify all possible hazards, the HACCP team should consult the Reference Database for Hazard Identification developed by CFIA, along with reference texts and scientific publications, as well as industry associations. A review of the manufacturer's processes and procedures should be conducted to determine whether each of the hazards actually exists in the facility and to determine where each of those hazards is controlled at each step in the process.

Where ingredients, procedures or processes differ from those in the generic model, the HACCP team should determine whether process steps should be added or removed. In addition, a hazard analysis should be conducted to determine whether any hazards should be added to or removed from the generic model, and to determine where each of the hazards is controlled at the facility. Here are some examples:

  1. Addition of allergenic products – While this generic model deals only with standardized spices (including sesame seeds) and blends of standardized spices, if a manufacturer adds any products that are considered allergens or any products that contain allergenic ingredients to the spice(s), the manufacturer should conduct a hazard analysis to determine whether any additions or deletions should be made to the incoming ingredients and/or the process flow diagram as they appear in the generic model. The analysis should also determine whether any hazards should be added to or deleted from those that are identified in order to develop a plant-specific HACCP Plan (e.g. at the steps associated with the receiving and storage of allergenic ingredients and/or products, at the steps where allergenic ingredients and/or products are added to standardized spices and, at the step where the finished product is labeled).
  2. Use of a different antimicrobial treatment – This generic model only includes the use of ethylene oxide as the antimicrobial treatment. If a different antimicrobial treatment is in use at the facility (e.g. irradiation or steam sterilization), the manufacturer should conduct a hazard analysis to determine whether any additions or deletions should be made to the incoming ingredients and/or the process flow diagram as they appear in the generic model. The analysis should also determine whether any hazards should be added to or deleted from those identified in the generic model, in order to develop a plant-specific HACCP Plan (e.g. the removal of ethylene oxide as an ingredient).
  3. Manufacture of non-standardized spice blends – If spice blends are manufactured from non-standardized spices and/or additional ingredients are added to standardized spices (e.g. nitrites, flour), the manufacturer should conduct a hazard analysis to determine whether any additions or deletions should be made to the incoming ingredients and/or the process flow diagram in the generic model. The analysis should also determine whether any hazards should be added to or deleted from those identified in the generic model in order to develop a plant-specific HACCP Plan.

Following the hazard analysis, the manufacturer should compare the plant-specific HACCP Plan to the generic model. If the manufacturer determines that a prerequisite program is fully controlling a hazard in its facility but the generic model indicates that a CCP is the control measure for the same hazard, then the manufacturer should validate that the identified prerequisite program is able to fully control the hazard as described. For products or processes that differ significantly from this generic model, the HACCP team should still follow the seven principles of HACCP as described in the FSEP Manual. For additional information on the use of generic models in the development of plant-specific HACCP plans, the FSEP manual should be referenced.

The HACCP team at each establishment is also responsible for the validation of the HACCP system. It should first validate the hazards that exist in the facility and then validate the standards for both the prerequisite programs (GMPs) and the critical limits of the CCPs. If the manufacturer is unable to find a scientific study or government regulations to support the standard or critical limit used in the HACCP Plan, facility personnel should conduct a validation study to validate the control measure through testing. This step is generally done during the development of the HACCP system. Once the control measure has been established and validated, the facility should carry out a validation to show that its process can consistently meet the standard. A validation of all control measures should be conducted at least once a year. During the annual validation, all of the standards of the prerequisite programs (GMPs) as well as the critical limits of the CCPs should be reviewed to ensure that the control measures continue to be effective in controlling the identified hazards. Manufacturers are reminded that a HACCP Plan is a dynamic document that requires updating whenever any changes are made to an establishment, its processes or its products. A validation should also be conducted whenever new procedures, policies or control measures are introduced. For additional information on validation of the HACCP system, the FSEP Manual should be referenced.

During the development of the generic model, working through hazard identification and analysis, the committee discussed and dealt with several issues. The following decisions and/or assumptions were made and are reflected in the generic model.

  1. This generic model deals only with standardized spices (and blends of those spices) that conform to the standards as defined in Division 7 of the Food and Drug Regulations. Please refer to the definition section below.
  2. Incoming spices include both raw (untreated) as well as treated whole, broken and ground spices. This generic model assumes that all spices that are shipped from the facility have either been treated prior to arriving at the facility or will be treated at the facility prior to packaging.
  3. Treatment of incoming spices may include ethylene oxide, irradiation and/or steam sterilization. This generic model deals only with ethylene oxide as an antimicrobial treatment in the process.
  4. Water, water treatment chemicals, ice and steam do not appear on Form 2 because they are not used as ingredients in the process.
  5. Although the generic model was developed using the CFIA's FSEP approach, the committee endeavoured to adhere to the GPFHCL and the information found in the guidance document wherever possible. However, the committee recognized that differences exist between the GPFHCL and the FSEP approach. For example, under the FSEP approach, all of the information concerning transportation, receiving and storage of all incoming ingredients and materials is considered part of the prerequisite program, for Transportation, Purchasing/Receiving/Shipping and Storage, whereas in the GPFHCL and the guidance document the criteria for the receiving of incoming ingredients and packaging materials are considered process-related (found in Chapter 1 – Operational Controls [Sections 1.4.1 and 1.4.2]) and are not considered GMPs related (i.e. are not considered a prerequisite program). All other information for receiving is found in Chapter 6 – Transportation and Storage (Section 6.1) of the GPFHCL and the guidance document.

    It was decided that in order to be consistent with the FSEP approach, it would be assumed that manufacturers would identify receiving as a prerequisite program (GMP). A note has been added to both Chapter 1 and Chapter 6 of the guidance document to indicate that if a manufacturer chooses to do this, the information from Sections 1.4.1 and 1.4.2 should be included with the information found in Section 6.1 (a prerequisite program). If the manufacturer wishes to maintain a CCP at Receiving, this will be considered acceptable.
  6. Where applicable on Forms 5, 6 and 7 in the "Controlled at" column, the FSEP prerequisite program is identified as it is named in the guidance document (i.e. Transportation and Storage not Transportation, Purchasing/Receiving/Shipping and Storage). In addition, the section of the guidance document specific to this step and/or hazard is referenced on Forms 5, 6 and 7 to provide additional reference information for the manufacturer; however, the section of the guidance document is not identified on Form 8. Only the name of the prerequisite program as it is identified in the guidance document is identified on Form 8.
  7. This generic model includes a metal detector. It is considered a safety measure to control hazardous extraneous (metallic) hazards that are not controlled by the prerequisite programs (e.g. wear and tear of equipment resulting in metal shavings in the product during the grinding process). If a metal detector is part of the process, the hazards associated with that metal detector should be evaluated and controlled. The manufacturer should realize that the metal detector is only considered a safety measure to the level of the sensitivity of the machine. Below the critical limit, the hazard can no longer be controlled by the metal detector, and facility personnel should determine how the hazard is controlled.
  8. During the development of the generic model, the majority of manufacturers visited for plant evaluations did not treat spices at their facilities. The committee found that the spices are generally treated prior to arriving at a facility or are sent to an outside treatment facility after arrival at the facility but prior to being physically received at the facility.
  9. On Form 10, this generic model assumes that the manufacturer will develop plant-specific Standard Operating Procedures (SOPs) that are validated to ensure that when the procedures are followed as written, the critical limit will be met and therefore the hazard will be controlled. These procedures may be fully described on Form 10, or the SOPs may be referenced as in the generic model.

Definitions

Food Additives
(as per B.01.001 of the Food and Drug Regulations) – Means any substance the use of which results, or may reasonably be expected to result, in it or its by-products becoming a part of or affecting the characteristics of a food, but does not include:
  1. any nutritive material that is used, recognized or commonly sold as an article or ingredient of food;
  2. vitamins, mineral nutrients and amino acids, other than those listed in the tables to Division 16,
  3. spices, seasonings, flavouring preparations, essential oils, oleoresins and natural extractives;
  4. agricultural chemicals, other than those listed in the tables to Division 16.
Pathogenic Microorganisms
In the document the term "pathogenic microorganisms" may include Salmonella spp., Shigella spp., pathogenic  E. coli, Clostridium perfringens, Bacillus cereus, Staphylococcus aureus, viruses (Hepatitis A virus, Norovirus and Rota virus), parasites (Cyclospora spp. and Cryptosporidium spp.), fungi, yeast and moulds (Aspergillus, Penicillium spp.).
Processing Aids
Substances which are added to a food for a technological effect during processing and which are not present in the finished food or are present at insignificant and non-functional levels. Note that food additives are not processing aids.
Spices
Includes dried aromatic plants, relates to natural dried components or mixtures thereof, used in foods for flavouring, seasoning and imparting aroma. The term applies equally to spices in the whole, broken or ground form as defined in Division 7 of the Food and Drug Regulations.
Spice Blends
Spice blends are obtained by mixing and grinding cleaned, dried and sound selected spices (see spices definition above).

HACCP Generic Model: Spices – Forms

Example of Completed Form 1: Product Description Process

Note: the manufacturer may reference a computer file or attach a current list of products manufactured in the facility instead of listing each of them on Form 1.

1. Product name(s)

  • Whole [name of spice]
  • Ground [name of spice]
  • Blends [name of ground spices blend]

2. Important product characteristics (Aw, pH, preservatives, etc.)

Low Aw

3. How the product will be used

Ready-to-eat

4. Packaging

  • plastic liners
  • plastic bags
  • corrugated cardboard boxes
  • drums (plastic and cardboard)
  • pouches
  • bottles (plastic and glass)
  • mesh Bags

5. Shelf life

N/A

6. Where it will be sold

  • Retail
  • Restaurants
  • Hotels/Hospitals/Institutions
  • For Further Processing

7. Labeling instructions

Irradiation Symbol (where required by regulation for the inclusion of irradiated spices as an ingredient)

8. Special distribution control

N/A

Example of Completed Form 2: List of Product Ingredients and Incoming Material

Legend: Explanation of Codes

(B) = Biological

(C) = Chemical

(P) = Physical

Spice Ingredients

  • untreated spices (BCP)
  • treated spices (irradiated, ethylene oxide and/or steam sterilized) (BCP)
  • returned products (BCP)

Note: "Spices" as indicated in Division 7 of the FDR.

Chemicals

ethylene oxide (C)

Packaging Material

  • plastic liners (BCP)
  • plastic bags (BCP)
  • mesh bags (BCP)
  • corrugated cardboard boxes (BCP)
  • pouches (BCP)
  • bottles (plastic and glass) (BCP)
  • drums (plastic and cardboard) (BCP)

Food Additives

anti-caking agents (CP)

Example of Completed Form 3: Process Flow Diagram

Diagram - Process Flow Diagram. description follows.

Description of Process Flow Diagram

This diagram is a flow chart showing the process for producing spices.

The diagram lists the necessary steps from 1 - 17 to be taken in the spice production process.

Identified in yellow boxes are the Critical Control Points (CCPs). These are next to steps 6, Treatment; 13, Mixing/blending; 14, Packaging/labeling/coding; and 15, Metal detector.

Identified in a blue circle is single spice. This results from step 12, Sifting/screening; and leads to step 14, Packaging/labeling/coding.

Identified in orange boxes is rework. This receives inputs after steps 14, Packaging/labeling/coding; and 15, Metal detector; and leads to steps 1, Receiving; 3, Spice (treated/untreated) storage; 11, Batching/weighing; and 13, Mixing/blending.

Identified in a pink box is returned product. This receives input from step 17, Shipping/distribution; and leads to step 1, Receiving.

Potential for Biological (B), Chemical (C) and/or Physical (P) hazards is indicated in parentheses next to each process step.

Step 1. Receiving (BCP). Leading to steps 2, Chemical storage; 3, Spice (treated/untreated) storage; and 4, Dry storage.

Step 2. Chemical storage (C). Leading to step 6, Treatment.

Step 3. Spice (treated/untreated) storage. (BCP). Leading to steps 5, Inspection and sorting; and 13, Mixing/blending. Leading to and receiving input from steps 6, Treatment; 7, Storage; and 11, Batching/weighing.

Step 4. Dry storage (BCP). Leading to steps 11, Batching/weighing; and 14, Packaging/labelling/coding.

Step 5. Inspection and sorting (BCP). Leading to step 6, Treatment.

Step 6. Treatment (BCP). CCP-1BC. Leading to step 7, Storage. Receiving input from step 2, Chemical storage. Leading to and receiving input from step 3, Spice (treated/untreated) storage.

Step 7. Storage (BCP). Leading to step 8, Sifting/screening. Leading to and receiving input from step 3, Spice (treated/untreated) storage.

Step 8. Sifting/screening (BCP). Leading to step 9, Cutting/grinding.

Step 9. Cutting/grinding (BCP). Leading to step 10, Magnets.

Step 10. Magnets (BCP). Leading to step 11, Batching/weighing.

Step 11. Batching/weighing (BCP). Leading to step 12, Sifting/screening. Receiving input from step 4, Dry storage; and rework. Leading to and receiving input from steps 7, Storage; and 3, Spice (treated/untreated) storage.

Step 12. Sifting/screening (BCP). Leading to step 13, Mixing/blending. Single spices result from this step.

Step 13. Mixing/blending (BCP). CCP-2C. Leading to step 14, Packaging/labelling/coding. Receiving input from step 3, Spice (treated/untreated) storage; and rework.

Step 14. Packaging/labelling/coding (BCP). CCP-3C. Leading to step 15, Metal detector; and rework. Receiving input from step 4, Dry storage; and single spices from step 12, Sifting/screening.

Step 15. Metal detector (BP). CCP-4P. Leading to step 16, Storage; and rework.

Step 16. Storage (BCP). Leading to step 17, Shipping/distribution.

Step 17. Shipping/distribution (BCP). Leading to returned product.

Example of Completed Form 4: Plant Schematic

Construct the plant schematic diagram on Form 4.

Note: This form is to be specific for each establishment.

Indicate the flows of finished and raw products as well as employee traffic.

Include the flows of all ingredients and packaging materials from the moment they are received through storage, preparation, processing, packaging and finished product holding to shipping.

Indicate employee traffic patterns throughout the establishment from the time the employees enter the building. Include movement into change rooms, washrooms, lunchrooms, offices and maintenance areas, as well as through food production areas of the facility.

This diagram should be your primary tool for identifying potential areas of cross-contamination (e.g. locations where allergen ingredients, food additives or raw ingredients could come into unplanned contact or where employees could cross-contaminate product).

(See Canadian Food Inspection Agency FSEP Manual - Section 3.2.4)

Note: The points of cross-contamination should be marked on the plant schematic and a full description of each of the identified hazards should be recorded on Form 5, 6 and/or 7, Form 8 and, where appropriate, Form 10 (examples of possible hazards that could be identified on Form 4 are provided on Form 5 and Form 6).

Example of Completed Form 5: Biological Hazards Identification

"Pathogenic microorganisms" where indicated in the generic model may include: Salmonella spp., Shigella spp., pathogenic E. coli , Clostridium perfringens, Bacillus cereus, Staphylococcus aureus, viruses (Hepatitis A virus, Norwalk virus and Rota virus), parasites (Cyclospora spp. and Cryptosporidium spp.), and fungi, yeast and moulds (Aspergillus, Penicillium spp.) and mycotoxins (e.g., Aflatoxin, Ochratoxin and Vomitoxin).

Product name: Spices
List all Biological hazards related to ingredients, incoming material, processing, product flow, etc.
Identified biological hazards (bacteria, parasites, viruses, etc.)Controlled at
Treated Spices - Presence of pathogenic microorganisms due to contamination on farm (animal or human faecal material, insects or mould growth) and/or at the supplier level/treatment facility. - Transportation and Storage B2.1.3 (of the FSEP Manual)
- Section 1.4.1 (of the guidance document)
Untreated Spices - Presence of pathogenic microorganisms due to contamination on farm (animal or human faecal material, insects or mould growth). - 6 Treatment CCP - 1BC
- Section 1.8.1
Treated Spices/Untreated spices - Presence of pathogenic microorganisms due to improper agricultural practices (cleaning and/or drying) and/or use of unclean/damaged packaging materials at producer level. - Transportation and Storage B2.1.3
- Section 1.4.1
Treated Spices - Presence of pathogenic microorganisms due to use and/or reuse of unclean/damaged packaging materials at treatment facility and/or from supplier. - Transportation and Storage B2.1.3
- Section 1.4.1
Untreated Spices - Growth of pathogenic microorganisms due to time/temperature/humidity abuse on farm and/or at the producer level and/or during transportation. - Step 6 Treatment CCP - 1BC
- Section 1.8.1
Untreated Spices/Treated Spices - Contamination with pathogenic microorganisms due to presence of pests (rodents, insects and birds). - Transportation and Storage B2.1.3
- Section 1.4.1
Untreated Spices - Contamination with pathogenic microorganisms due to use of unclean vehicles for transportation from grower/producer to manufacturer. - 6 Treatment CCP - 1BC
- Section 1.8.1
Treated Spices - Contamination with pathogenic microorganisms due to unclean vehicles for transportation from grower/producer and/or treatment facility to manufacturer. - Transportation and Storage B2.1.3
- Section 1.4.1
Treated Spices - Presence of pathogenic microorganisms due to improper/inadequate antimicrobial treatment at supplier level/treatment facility. - Transportation and Storage B2.1.3
- Section 1.4.1
Packaging Material - Presence of pathogenic microorganisms due to contamination with faecal material from pests (rodents, birds and insects). - Transportation and Storage B2.1.3
- Section 1.4.2
Packaging Material - Presence of pathogenic microorganisms on damaged or soiled packaging material due to mishandling at the source. - Transportation and Storage B2.1.3
- Section 1.4.2
Returned Product - Presence of pathogenic microorganisms due to mishandling at hospital/hotel/restaurant/institution or retail. - Transportation and Storage B2.1.2 and B2.1.3
- Section 1.4.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging materials with pathogenic microorganisms due to improper employee handling and/or hygiene. - Transportation and Storage B1.1.1, B2.1.3, B2.2.1 and B2.2.2;
- Personnel D1.1.1 and D2.1.1
- Sections 1.8.1, 5.1.1. 5.2.1, 6.1.2, 6.2.1 and 6.2.3
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of treated spices and/or spice blends and/or packaging materials with pathogenic microorganisms due to inadequate physical and/or operational separation between incoming untreated spices, returned product, rework and treated spices and/or spice blends. - Premises A2.1.1
- Personnel D1.1.1 and D2.1.1
- Sanitation and Pest Control E1.1.1
- Sections 3.2.1, 4.1.1, 5.1.1, 5.2.1 and 6.2.3
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 - Contamination of spices and/or spice blends (untreated/treated, including returned product and rework) and/or packaging material with pathogenic microorganisms due to contamination from overhead structures. - Premises A2.1.1 and A2.1.2
- Sanitation and Pest Control E1.1.1
- Sections 3.2.1, 3.2.3 and 4.1.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 15, 16, 17 - Contamination of spices (untreated/treated) and/or spice blends and/or packaging materials with pathogenic microorganisms due to contact with pests (insects, rodents, birds). - Sanitation and Pest control E2.1.1
- Section 4.2.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 -Contamination of spices and/or packaging materials with pathogenic microorganisms due to improper movement and handling of dirty pallets and packaging materials between areas of the facility where spices are not treated to areas of the facility where spices are treated. - Premises A2.1.1
- Personnel D1.1.1 and D2.1.1
- Sections 3.2.1, 5.1.1. and 5.2.1
1 Receiving - Acceptance of incoming materials and ingredients not meeting specifications (i.e., not meeting firm's standards) as described on specification sheets for each incoming material and/or ingredient. - Transportation and Storage B2.1.3
- Sections 1.4.1 and 1.4.2
1 Receiving Treated Spices/Untreated Spices/Returned Product - Contamination of spices (treated/untreated/returned product) with pathogenic microorganisms due to damaged packaging materials resulting in exposed product. - Transportation and Storage B1.1.2 and B2.1.3
- Sections 1.4.1,1.4.2 and 6.1.1
1 Receiving Spices (Treated/Untreated/Returned Product) - Cross-contamination of spices (treated/untreated/returned product) during receiving from raw products carried on the same truck. - Transportation and Storage B1.1.1 and B2.1.3
- Sections 1.4.1,1.4.2 and 6.1.1
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or packaging materials with pathogenic microorganisms due to damaged packaging material resulting from improper storage procedures. - Transportation and Storage B2.2.2
- Sections 1.5.1 and 6.2.1
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or packaging materials with pathogenic microorganisms due to damaged packaging material resulting from improper employee handling and hygiene. - Personnel D1.1.1 and D2.1.1
- Sections 5.1.1 and 5.2.1
3, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends with pathogenic microorganisms due to contaminated air. - Premises A2.3.1
- Section 3.2.3
3 Spice Storage (Untreated) - Growth of pathogenic microorganisms on spices due to time/temperature abuse and/or elevated humidity levels prior to treatment. - Transportation and Storage B2.2.2
- Section 6.2.1
3 Spice Storage (Untreated) - Growth of pathogenic microorganisms on spices due to failure to rotate incoming untreated spices (first-in/first-out) resulting in spices left untreated for an extended period of time. - Transportation and Storage B2.2.2
- Section 6.2.1
3 Spice Storage (Treated/Untreated/Returned Product/Rework) - Contamination of untreated/treated/returned product/rework spices with pathogenic microorganisms from raw (non-ready-to-eat products)/untreated spices/other non-compatible spices and/or outgoing finished product during storage due to inadequate separation. - Premises A2.1.1
- Transportation and Storage B2.2.2
- Section 3.2.1, 6.2.1 and 6.2.3
3 Spice Storage (Treated/Untreated/Returned/Rework) - Failure to identify and/or isolate returned, defective or suspect product resulting in cross-contamination with pathogenic microorganisms in spices due to inadequate separation. - Premises A2.1.1
- Transportation and Storage B2.2.2
- Section 3.2.1, 6.2.1 and 6.2.3
5, 6, 8, 9, 10, 11, 12, 13, 14 - Contamination of spices and/or spice blends with pathogenic microorganisms due to contact with unclean utensils, tools & equipment as a result of improper sanitation procedures. - Sanitation and Pest Control E1.1.1
- Section 4.1.1
5, 6, 8, 9, 10, 11, 12, 13, 14 - Cross-contamination of spices and/or spice blends with pathogenic microorganisms due to failure to clean tools/equipment between contaminated/ unacceptable products and acceptable products. - Sanitation and Pest Control E1.1.1
- Personnel D1.1.1 and D2.1.1
- Sections 4.1.1, 5.1.1. and 5.2.2.
5, 6, 8, 9, 10 11, 12, 13, 14 - Cross-Contamination of spices and/or spice blends with pathogenic microorganisms due to contact with contaminated product. - Sanitation and Pest Control E1.1.1
- Section 4.1.1
5 Inspection and sorting - Contamination of spices with pathogenic microorganisms due to contact with contaminated and/or unacceptable/decomposed/decayed/damaged spices that have not been removed. - 6 Treatment CCP-1BC
- Section 1.8.1
5 Inspection and sorting - Cross-contamination of spices with pathogenic microorganisms due to failure to remove soil/microbial contamination from incoming spices. - 6 Treatment CCP-1BC
- Section 1.8.1.
6 Treatment - Survival of pathogenic microorganisms due to insufficient application of antimicrobial treatment. - CCP-1BC
- Section 1.8.1
14 Packaging/Labelling/Coding - Contamination of spices and/or spice blends with pathogenic microorganisms due to improper or faulty package seals. - Equipment C1.1.1 and C1.2.1
- Section 2.1.3
14 Packaging/Labelling/Coding - Incorrect/illegible or missing coding resulting in an inability to recall product. - Recall F 1.1.1 and F1.2.1
- Sections 1.7.1 and 8.2.1
16, 17 - Contamination of spices and/or spice blends with pathogenic microorganisms as a result of damaged packaging during storage and/or shipping due to improper storage procedures. - Transportation and Storage B2.2.2
- Section 6.2.3
16, 17 - Contamination of spices and/or spice blends with pathogenic microorganisms as a result of damaged packaging during storage and/or shipping due to improper employee handling. - Personnel D1.1.1 and D2.1.1
- Section 5.1.1
16 Storage - Cross-contamination of spices and/or spice blends between incoming raw product and outgoing finished product stored in the same area due to inadequate separation. - Transportation and Storage B1.1.1 and B1.1.2
- Sections 6.2.1 and 6.2.3
17 Shipping/Distribution - Contamination of spices and/or spice blends with pathogenic microorganisms as a result of loading product onto a carrier that is unacceptable for the transportation of food (e.g., cleanliness of carrier, state of repair of the carrier). - Transportation and Storage B1.1.1
- Section 6.1.1
17 Shipping/Distribution - Contamination of spices and/or spice blends with pathogenic microorganisms as a result of transporting on same carrier with non-ready-to-eat product (i.e., raw meat or other product contaminated with microbial pathogenic microorganisms). - Transportation and Storage B1.1.1
- Section 6.1.1
17 Shipping/Distribution - Contamination of spices and/or spice blends with pathogenic microorganisms as a result of improper loading/stacking resulting in damaged packaging and exposure of spices. - Transportation and Storage B1.1.2
- Section 6.1.1
Form 4 - Plant Schematic - B1 - Entrance to processing room and B2 - Entrance of packaging room - Improper employee hygiene procedures between rooms resulting in contamination of spices and/or spice blends with pathogenic microorganisms. (i.e., improper use of foot dips/hand dips/change of clothing). - Personnel D1.1.1 and D2.1.1
- Sections 5.1.1 and 5.2.1
Form 4 - Plant Schematic - B2 - Entrance to processing room and B2 - Entrance of packaging room - Concentration of sanitizers in hand dips/foot dips inadequate to control pathogenic microorganisms. - Premises A2.1.1
- Section 3.2.1

Note: The manufacturer should indicate the hazards using letters and/or numbers, for example B1 (for the first biological hazard identified on the Plant schematic) and B2 (for the second biological hazard identified on the Plant Schematic), and record each of the hazards on the Plant Schematic (Form 4) at the point where it occurs.

Example of Completed Form 6: Chemical Hazards Identification

Product name: Spices
List all Chemical hazards related to ingredients, incoming material, processing, product flow, etc.
Identified Chemical Hazards Controlled at
Untreated Spices/Treated Spices - Presence of agricultural chemicals (pesticides and herbicides) in spices above the maximum allowable residue limits. - Form 9
Untreated Spices/Treated Spices - Presence of food additives in spices above the maximum residue limits. - Transportation and Storage B2.1.3 (of the FSEP Manual)
- Section 1.4.1 (of the guidance document)
Untreated Spices/Treated Spices - Presence of heavy metals and other chemicals in spices due to water used for irrigation and fumigation on farm and/or steam sterilization at supplier/treatment facility. - Form 9
Untreated Spices/Treated Spices - Contamination of spices with agricultural chemicals or non-food chemicals due to improper use of reusable food containers at the farm level and/or supplier level/treatment facility. - Form 9
Untreated Spices/Treated Spices - Contamination of spices with fuels (e.g., diesel, gasoline) and machine grease and oil at the farm level and/or supplier level/treatment facility. - Transportation and Storage B2.1.3
- Section 1.4.1
Untreated Spices/Treated Spices -Presence of mycotoxins (e.g., Aflatoxin, Ochratoxin and Vomitoxin) in spices due to improper handling at the source. - Transportation and Storage B2.1.3
- Section 1.4.1
Treated Spices - Presence of ethylene chlorohydrin residue above the maximum allowable residue limits in previously treated spices. - Transportation and Storage B2.1.3
- Section 1.4.1
Treated Spices - Presence of by-products in previously treated spices above the maximum allowable residue limits resulting in spices from excess exposure to/improper irradiation procedures by the supplier/treatment facility. - Transportation and Storage B2.1.3
- Sections 1.2.1 and 1.4.1
Food Additives (anti-caking agents) and Treatment Chemicals - Presence of substances or ingredients not permitted for use in food. - Transportation and Storage B2.1.3
- Sections 1.1.4 and 1.4.1
Food Additives (anti-caking agents) and Treatment Chemicals - Contamination of food additives/treatment chemicals by non-food-grade chemicals. - Transportation and Storage B2.1.3
- Sections 1.1.4 and 1.4.1
Food Additives (anti-caking agents) - Presence of undeclared allergens in food additives. - Transportation and Storage B2.1.3
- Sections 1.1.4 and 1.4.1
Packaging Materials/Treatment Chemicals - Not food grade and/or not appropriate for intended use. - Transportation and Storage B2.1.3
- Section 1.4.1
Treatment Chemicals - Concentration of chemicals exceeds what appears on the label. - Transportation and Storage B2.1.3
- Section 1.4.1
Returned Product -Presence of mycotoxins (e.g., Aflatoxin, Ochratoxin and Vomitoxin) in returned product due to mishandling at hospital/hotel/restaurant/institution or retail. - Transportation and Storage B2.1.2 and B2.1.3
- Section 1.4.1
Returned Product -Contamination of returned product with unknown chemicals due to improper handling at hospital, hotel, restaurant, institution or retail. - Transportation and Storage B2.1.2 and B2.1.3
- Section 1.4.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with cleaning chemicals and/or their residues on contact surfaces as a result of improper sanitation procedures. - Sanitation and Pest Control E1.1.1 and E2.1.1
- Section 4.1.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with allergenic spices (e.g., sesame seeds) as a result of improper employee handling procedures. - Personnel D1.1.1 and D2.1.1
- Sections 5.1.1 and 5.2.1
1 Receiving - Acceptance of incoming materials and ingredients not meeting specifications (i.e., not meeting firm's standards) as described on specification sheets for each incoming material and/or ingredient. - Transportation and Storage B2.1.3
- Sections 1.4.1 and 1.4.2
1 Receiving - Contamination of incoming materials, returned product and/or spices with non-food chemicals or chemical residues as a result of improper receiving procedures. - Transportation and Storage B1.1.1, B1.1.2, B2.2.3 and B2.1.2
- Sections 1.5.1 and 6.2.1
1 Receiving - Contamination of incoming materials, returned product and/or spices with non-food chemicals or chemical residues as a result of improper sanitation procedures. - Sanitation and Pest Control E.1.1.1
- Section 4.1.1
1 Receiving - Contamination of incoming materials, returned product and/or spices with non-food chemicals or chemical residues as a result of improper equipment maintenance procedures resulting in contamination with lubricants/oils, etc. - Equipment C1.1.1 and C1.2.1
- Sections 2.1.1, 2.1.2 and 2.1.3
2 Chemical Storage (including antimicrobial treatment chemicals, sanitation chemicals, equipment maintenance chemicals) - Contamination of spices, spice blends, returned product, rework and/or packaging materials as a result of improper storage or use of chemicals. - Transportation and Storage B2.2.3 and B2.2.4
- Sections 1.5.1 and 6.2.2
3 Spice (Treated/Untreated) Storage -Contamination of non-allergenic spices with allergenic spices (e.g., sesame seeds) due to inappropriate storage of allergenic spice. - Transportation and Storage B2.2.2
- Section 6.2.1
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices, spice blends, returned product, rework and/or packaging materials with cleaning solutions, sanitizers and lubricants and/or their residues as a result of damaged packaging material and/or open or exposed product due to improper sanitation procedures. - Sanitation and Pest Control E1.1.1
- Section 4.1.1
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices, spice blends, returned product, rework and/or packaging materials with cleaning solutions, sanitizers and lubricants and/or their residues as a result of damaged packaging material and/or open or exposed product due to improper storage procedures. - Transportation and Storage B2.2.2 and B2.2.3
- Sections 1.5.1, 6.2.1 and 6.2.2
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices, spice blends, returned product, rework and/or packaging materials with cleaning solutions, sanitizers and lubricants and/or their residues as a result of damaged packaging material and/or open or exposed product due to improper employee handling procedures. - Personnel D1.1.1. and D2.1.1
- Sections 5.1.1 and 5.2.1
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 - Contamination of spices, spice blends, returned product, rework and/or packaging material with allergenic ingredients due to improper operational and sanitation procedures between allergen and non-allergen products. - Premises A2.1.1
- Sanitation and Pest Control E1.1.1
- Sections 3.2.1 and 4.1.1
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 - Contamination of spices, returned product, rework, spice blends and/or packaging material with lubricants, oil and hydraulic fluid from poorly maintained equipment. - Equipment C1.1.1 and C1.2.1
- Sections 1.5.1, 2.1.1, 2.1.2 and 2.1.3
6 Treatment - Contamination of spices with excess concentrations of antimicrobial treatment (or its residuals) due to improper chemical application (e.g., ethylene oxide). - CCP-1BC
- Section 1.8.1
11 Batching/Weighing -Presence of allergenic ingredients (e.g., sesame seeds) in spices and/or spice blends due to the weighing of incorrect rework (containing allergens) for addition to a batch that does not contain an allergen. CCP-2C
- Section 1.6.1
13 Mixing/Blending -Presence of allergenic ingredients (e.g., sesame seeds) in spices and/or spice blends due to the improper addition of rework containing allergens into spices and/or spice blends that do not contain allergens resulting in undeclared allergens in the final product. - CCP-2C
- Section 1.6.1
13 Mixing/ Blending -Presence of allergenic ingredients (e.g., sesame seeds) in spices and/or spice blends due to the addition of ingredients that do not appear in the formulation/recipe. - CCP-2C
- Section 1.6.1
14 Packaging/Labelling/Coding - Presence of undeclared allergens (e.g., sesame seeds) in spices and/or spice blends due to incorrect label applied to package and/or incorrect list of ingredients. - CCP-3C
- Section 1.6.1
14 Packaging/Labelling/Coding -Contamination of spices and/or spice blends with inks/ solvents as a result of equipment that is not properly maintained and/or set up. - Equipment C1.1.1 and C1.2.1
- Sections 2.1.1, 2.1.2 and 2.1.3
14 Packaging/Labelling/Coding -Contamination of spices and/or spice blends with inks/ solvents as a result of improper storage of inks/solvents. - Transportation and Storage B2.2.3
- Section 6.2.2
17 Shipping/Distribution - Contamination of spices and/or spice blends with non-compatible goods carried on the same transport vehicle (i.e. non food- or food-grade chemicals). - Transportation and Storage B1.1.1
- Section 6.1.1

Example of Completed Form 7: Physical Hazards Identification

Product name: Spices
List all Physical hazards related to ingredients, incoming material, processing, product flow, etc.
Identified Physical Hazards Controlled at
Untreated Spices / Treated Spices - Presence of hazardous extraneous material (metallic and/or non-metallic) (e.g., metal, rocks, stones, sticks, insects, dirt) due to improper handling at the source/producer/treatment facility. -Transportation and Storage B2.1.3
- Section 1.4.1
Food Additives (anti-caking agents) - Presence of hazardous extraneous material (metallic and/or non-metallic) in food additives due to improper handling at the source. -Transportation and Storage B2.1.3
- Section 1.4.1
Packaging Material - Presence of hazardous extraneous material (metallic and/or non-metallic) due to improper handling of packaging material at the source. -Transportation and Storage B2.1.3
- Section 1.4.2
Returned Product - Presence of hazardous extraneous material (metallic and/or non-metallic) due to improper handling of spices at the hospital/hotel/restaurant /retail and/or institution. -Transportation and Storage B2.1.3
- Section 1.4.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous (metallic and/or non-metallic) material as a result of dirty or poorly maintained overhead structures. - Premises A2.1.1, and A2.1.2
- Section 3.2.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous (metallic and/or non-metallic) material as a result of improper maintenance procedures. - Equipment C1.1.1 and C1.2.1
- Sections 2.1.1, 2.1.2 and 2.1.3
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous (metallic and/or non-metallic) material as a result of damaged packaging material resulting in exposed or open product due to improper storage procedures. - Transportation and Storage B2.1.3 and B2.2.2
- Sections 6.2.1 and 6.2.2
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous (metallic and/or non-metallic) material as a result of damaged packaging material resulting in exposed or open product due to improper employee handling procedures. - Personnel D1.1.1 and D2.1.1
- Sections 5.1.1 and 5.2.1
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 - Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous material (metallic and/or non-metallic) due to improper employee handling procedures (e.g. metal, wood, glass, plastic). - Personnel D1.1.1 and D2.1.1
- Sections 5.1.1. and 5.2.1
1 Receiving - Acceptance of product not meeting specifications (i.e., not meeting firm's standards) as described in specification sheets for each incoming material and/or ingredient. - Transportation and Storage B2.1.3
- Sections 1.4.1and 1.4.2
9, 13 - Contamination of spices with hazardous extraneous material (metallic) due to wear and tear and/or rubbing of machine parts (e.g. metal shavings as resulting from  metal rubbing against metal during cutting/grinding). 15 Metal Detector CCP-4P
- Section 1.8.1
10 Magnet - Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the magnet. 15 Metal Detector CCP-4P
- Section 1.8.1
15 Metal Detector - Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the metal detector to detect metal. 15 Metal Detector CCP-4P
- Section 1.8.1
15 Metal Detector - Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the metal detector to function as intended when metal is detected (e.g., line stops, alarm sounds, product is kicked off the line). 15 Metal Detector CCP-4P
- Section 1.8.1
17 Shipping/Distribution - Contamination of spices and/or spice blends with metallic and/or non-metallic hazardous extraneous material due to unacceptable condition of transportation vehicle. - Transportation and Storage B1.1.1 and B1.1.2
- Section 6.1.1
17 Shipping/Distribution - Contamination of spices and/or spice blends with metallic and/or non-metallic hazardous extraneous material due to improper loading and arranging procedures resulting in damaged or exposed product. - Transportation and Storage B1.1.2
- Section 6.1.1

Example of Completed Form 8: CCP Determination

Product name: Spices
Incoming materials/ process steps / hazards on schematic diagram Category and identified hazard

Determine if fully controlled by prerequisite program.

* If yes = indicate "Prerequisite Program" and proceed to next identified hazard.
* If no = proceed to question 1 (Q1).
Q1. Could a control measure(s) be used by the operator at any process step?

* If no = not CCP. Identify how this hazard will be controlled before and after the process. Then proceed to the next identified hazard.

* If yes = describe the measure and proceed to Q2.
Q2. Is it likely that contamination with the identified hazard could occur in excess of the acceptable level or could increase to an unacceptable level?

* If no = not CCP. Proceed to the next identified hazard.

* If yes = proceed to Q3.
Q3. Is this process specifically designed to eliminate or reduce the likely occurrence of the identified hazard to an acceptable level?

* If no = proceed to Q4.

* If yes = CCP. Enter its number in the last column.
Q4. Will a subsequent step eliminate the identified hazard or reduce its likely occurrence to an acceptable level?

* If no = CCP. Enter its number in the last column.

* If yes = not a CCP. Identify subsequent (controlling) step and proceed to the next identified hazard.
CCP number

* Proceed to next identified hazard.
Treated Spices Biological

-Presence of pathogenic microorganisms due to contamination on farm (animal or human faecal material, insects or mould growth) and/or at the supplier level/treatment facility.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Untreated Spices Biological

-Presence of pathogenic microorganisms due to contamination on farm (animal or human faecal material, insects or mould growth).

No
Yes

-GAP

-Letters of Guarantee and/or

-Treatment of spices
Yes N/A Yes

Step 6 Treatment

CCP-1BC
 
Treated Spices/
Untreated Spices
Biological

Presence of pathogenic microorganisms due to improper agricultural practices (cleaning and/or drying) and/or use of unclean/damaged packaging materials at producer level.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices Biological

Presence of pathogenic microorganisms due to use and/or reuse of unclean/damaged packaging materials at treatment facility and/or from supplier.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Untreated Spices Biological

Growth of pathogenic microorganisms due to time/temperature/humidity abuse on farm and/or at the producer level and/or during transportation.

No
Yes

-GAP

-Letters of Guarantee and/or

-Treatment of spices
Yes N/A Step 6 Treatment

CCP-1BC
 
Treated Spices/
Untreated Spices
Biological

Contamination with pathogenic microorganisms due to presence of pests (rodents, insects and birds).

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Untreated Spices Biological

Contamination with pathogenic microorganisms due to use of unclean vehicles for transportation from grower/producer to manufacturer.

No
Yes

- GAP

- Letters of Guarantee and/or

- Treatment of spices
Yes N/A Step 6 Treatment

CCP-1BC
 
Treated Spices Biological

Contamination with pathogenic microorganisms due to use of unclean vehicles for transportation from grower/producer and/or treatment facility to manufacturer.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices Biological

Presence of pathogenic microorganisms due to improper/ inadequate antimicrobial treatment at supplier level/treatment facility.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices/
Untreated Spices
Chemical

Presence of agricultural chemicals (pesticides and herbicides) in spices above the allowable maximum residue limits.

No
No

Form 9
       
Treated Spices/
Untreated Spices
Chemical

Presence of food additives in spices above the maximum residue limits.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices/
Untreated Spices
Chemical

Presence of heavy metals and other chemicals in spices due to water used for irrigation and fumigation on the farm and/or steam sterilization at supplier/treatment facility.

No
No

Form 9
       
Treated Spices/
Untreated Spices
Chemical

Contamination with agricultural chemicals or non-food chemicals in spices due to improper use of reusable food containers at the farm level and/or supplier level/treatment facility.

No
No

Form 9
       
Treated Spices/
Untreated Spices
Chemical

Contamination of spices with fuels, lubricants and machine grease/oil at the farm level and/or supplier level/treatment facility.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices/
Untreated Spices
Chemical

Presence of mycotoxins (e.g., Aflatoxin, Ochratoxin and Vomitoxin) in spices due to improper handling at the source.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices Chemical

Presence of ethylene chlorohydrin residue above the maximum allowable residue limits in previously treated spices.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices Chemical

Presence of by-products in previously treated spices above the maximum allowable residue limits due to excess exposure to/improper irradiation procedures by the supplier/treatment facility.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treated Spices/
Untreated Spices
Physical

Presence of hazardous extraneous material (metallic and/or non-metallic) (e.g., metal, rocks, stones, sticks, insects, dirt) due to improper handling at the source/producer/treatment facility.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Food Additives(anti-caking agent) and Treatment Chemicals Chemical

Presence of substances or ingredients not permitted for use in food.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Food Additives(anti-caking agent) and Treatment Chemicals Chemical

Contamination of food additives by non-food grade chemicals.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Food Additives (anti-caking agents) Chemical

Presence of undeclared allergens in food additives.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Food Additives (anti-caking agents) Physical

Presence of hazardous extraneous material (metallic and/or non-metallic) in food additives due to improper handling at source.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Packaging Material Biological

Presence of pathogenic microorganisms due to contamination with faecal material from pests (rodents, birds and insects).

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Packaging Material Biological

Presence of pathogenic microorganisms on damaged or soiled packaging material due to mishandling at the source.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Packaging Material / Treatment Chemicals Chemical

Non-food grade and/or not appropriate for intended use.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Packaging Material Physical

Presence of hazardous extraneous material (metallic and/or non-metallic) due to improper handling of packaging material at the source.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Returned Product Biological

Presence of pathogenic microorganisms due to mishandling at hospital /hotel/restaurant/institution or retail.

Yes

Prerequisite Program:

Transportation and Storage B2.1.2 and B2.1.3
         
Returned Product Chemical

Presence of mycotoxins (e.g., Aflatoxin, Ochratoxin and Vomitoxin) in returned product due to mishandling at hospital/hotel/restaurant/institution and/or retail.

Yes

Prerequisite Program:

Transportation and Storage B2.1.2 and B2.1.3
         
Returned Product Chemical

Contamination of returned product with unknown chemicals due to improper handling procedures at hospital, hotel, restaurant, institution or retail.

Yes

Prerequisite Program:

Transportation and Storage B2.1.2 and B2.1.3
         
Returned Product Physical

Presence of hazardous extraneous material (metallic and/or non-metallic) due to improper handling of spices at hospital/hotel/restaurant /retail and/or institution.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
Treatment Chemicals (Ethylene Oxide) Chemical

Concentration of chemicals exceeds what appears on the label.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17
Biological

Contamination of spices and/or spice blends and/or packaging material with pathogenic microorganisms due to improper employee handling and/or hygiene.

Yes

Prerequisite Programs:

Transportation and Storage B1.1.1, B2.1.3, B2.2.1 and B2.2.2

Personnel D1.1.1 and D2.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17
Biological

Contamination of treated spices and/or spice blends and/or packaging material with pathogenic microorganisms due to inadequate physical and/or operational separation between incoming untreated spices, returned product, rework and treated spices and/or spice blends.

Yes

Prerequisite Programs:

Premises A2.1.1

Personnel D1.1.1 and D2.1.1

Sanitation and Pest Control E1.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 Biological

Contamination of spices (untreated/treated, including returned product and rework) and/or spice blends and/or packaging material with pathogenic microorganisms from overhead structures.

Yes

Prerequisite Programs:

Premises A2.1.1 and A2.1.2

Sanitation and Pest Control E1.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 15, 16, 17
Biological

Contamination of spices and/or spice blends with pathogenic microorganisms due to contact with pests (insects, rodents, birds).

Yes

Prerequisite Program:

Sanitation and Pest Control E2.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 Biological

Contamination of spices and/or packaging materials with pathogenic microorganisms due to improper movement and handling of dirty pallets and packaging materials between areas of the facility where spices are not treated to areas of the facility where spices are treated.

Yes

Prerequisite Programs:

Premises A2.1.1

Personnel D1.1.1 and D2.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17
Chemical

Contamination of spices and/or spice blends and/or packaging material with cleaning chemicals and/or their residues on food contact surfaces as a result of improper sanitation procedures.

Yes

Prerequisite Program:

Sanitation and Pest Control E1.1.1 and E2.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17
Chemical

Contamination of spices and/or spice blends and/or packaging material with allergenic spices (e.g., sesame seeds) as a result of improper employee handling procedures.

Yes

Prerequisite Program:

Personnel D1.1.1 and D2.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17
Physical

Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous material (metallic and/or non-metallic) as a result of damaged packaging material resulting in exposed or open product due to:

1) improper storage procedures, and/or

2) improper employee handling procedures.

Yes

Prerequisite Programs:

1) Transportation and Storage B2.1.3 and B2.2.2

2) Personnel D1.1.1 and D2.1.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15
Physical

Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous material (metallic and/or non-metallic) as a result of:

1) dirty or poorly maintained overhead structures, and/or

2) improper maintenance procedures.

Yes

Prerequisite Programs:

1) Premises A2.1.1 and A2.1.2

2) Equipment C1.1.1 and C1.2.1
         
1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 Physical

Contamination of spices and/or spice blends and/or packaging material with hazardous extraneous material (metallic and/or non-metallic) due to improper employee handling procedures (e.g. metal, wood, glass, plastic).

Yes

Prerequisite Program:

Personnel D.1.1.1 and D2.1.1
         
1 Receiving Biological

Acceptance of incoming materials and ingredients not meeting specifications (i.e. not meeting firm's standards) as described on specification sheets for each incoming material and/or ingredient.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
1 Receiving Chemical

Acceptance of incoming materials and ingredients not meeting specifications (i.e. not meeting firm's standards) as described on specification sheets for each incoming material and ingredient.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
1 Receiving Chemical

Contamination of incoming materials, returned product and/or spices with non-food chemicals or chemical residues as a result of

1) improper receiving procedures

2) improper sanitation procedures

3) improper equipment maintenance procedures resulting in contamination with lubricants/oil, etc.

Yes

Prerequisite Programs:

1) Transportation and Storage B1.1.1, B1.1.2, B2.2.3 and B2.1.2

2) Sanitation and Pest Control E1.1.1

3) Equipment C1.1.1 and C1.2.1
         
1 Receiving Physical

Acceptance of incoming materials and ingredients not meeting specifications (i.e., not meeting firm's standards) as described on specification sheets for each incoming material and/or ingredient.

Yes

Prerequisite Program:

Transportation and Storage B2.1.3
         
1 Receiving

Treated Spices / Untreated Spices / Returned Product
Biological

Contamination of spices (treated/untreated and returned product) with pathogenic microorganisms due to damaged packaging materials resulting in exposed product.

Yes

Prerequisite Program:

Transportation & Storage B1.1.2 and B2.1.3
         
1 Receiving

Treated Spices / Untreated Spices / Returned Product
Biological

Cross-contamination of spices (treated/untreated and returned product) with pathogenic microorganisms from other raw products carried on the same truck.

Yes

Prerequisite Program:

Transportation and Storage B1.1.1 and B2.1.3
         
 2 Chemical Storage (including antimicrobial chemicals, sanitation chemicals, maintenance chemicals) Chemical

Contamination of spices, spice blends, returned product, rework and/or packaging materials with non-food chemicals as a result of improper storage of chemicals.

Yes

Prerequisite Program:

Transportation and Storage B2.2.3 and B2.2.4
         
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 Biological

Contamination of spices, spice blends, returned product, rework and/or packaging material with pathogenic microorganisms due to damaged packaging material resulting from:

1) improper storage procedures, and/or

2) improper employee handling and hygiene.

Yes

Prerequisite Programs:

1) Transportation and Storage B2.2.2

2) Personnel D1.1.1 and D2.1.1
         
3, 4. 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 Chemical

Contamination of spices, spice blends, returned product, rework and/or packaging material with cleaning solutions, sanitizers and lubricants and/or their residues as a result of:

1) improper sanitation procedures, and/or

2) improper storage procedures resulting in damaged or exposed spices / packaging materials in storage, and/or

3) improper employee handling procedures resulting in damaged or exposed spices/packaging material in storage.

Yes

Prerequisite Programs:

1) Sanitation and Pest Control E1.1.1

2) Transportation and Storage B2.2.3 and B2.2.4

3) Personnel D1.1.1 and D2.1.1
         
3, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17 Biological

Contamination of spices and/or spice blends with pathogenic microorganisms due to contaminated air.

Yes

Prerequisite Program:

Premises A2.3.1
         
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 Chemical

Contamination of spices, spice blends, returned product and/or rework with allergenic ingredients due to improper operational and sanitation procedures between allergen and non-allergen products.

Yes

Prerequisite Programs:

Premises A2.1.1

Sanitation and Pest Control E1.1.1
         
3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 Chemical

Contamination of spices, returned product, rework and/or spice blends with lubricants, oil and hydraulic fluid from poorly maintained equipment.

Yes

Prerequisite Program:

Equipment C1.1.1 and C1.2.1
         
3 Spice Storage (Untreated) Biological

Growth of pathogenic microorganisms on spices due to time/temperature abuse and/or elevated humidity levels prior to treatment.

Yes

Prerequisite Program:

Transportation and Storage B2.2.2
         
3 Spice Storage (Untreated) Biological

Growth of pathogenic microorganisms due to failure to rotate incoming untreated spices properly (first in / first out) resulting in spices left untreated for an extended period of time.

Yes

Prerequisite Program:

Transportation and Storage B2.2.2
         
3 Spice Storage
(Treated / Untreated /
Returned Product /
Rework)
Biological

Contamination of treated / untreated / returned product / rework spices with pathogenic microorganisms from raw (non-ready-to-eat) product / untreated spices / other noncompatible spices and/or outgoing finished product due to inadequate separation.

Yes

Prerequisite Programs:

Premises A2.1.1

Transportation and Storage B2.2.2
         
3 Spice Storage (Treated/ Untreated/
Returned Product / Rework)
Biological

Failure to identify and/or isolate returned, defective or suspect product resulting in cross-contamination of spices with pathogenic microorganisms due to inadequate separation.

Yes

Prerequisite Programs:

Premises A2.1.1

Transportation and Storage B2.2.2
         
3 Spice Storage (Treated/
Untreated/
Returned Product/
Rework)
Chemical

Contamination of non-allergenic spices with allergenic spice (e.g., sesame seeds) due to inappropriate storage of allergenic spices.

Yes

Prerequisite Program:

Transportation and Storage B2.1.2
         
5, 6, 8, 9, 10, 11, 12, 13, 14 Biological

Contamination of spices and/or spice blends with pathogenic microorganisms due to unclean utensils and equipment as a result of improper sanitation procedures.

Yes

Prerequisite Program:

Sanitation and Pest Control E1.1.1
         
5, 6, 8, 9, 10, 11, 12, 13, 14 Biological

Cross-contamination of spices and/or spice blends with pathogenic microorganisms due to failure to clean tools/ equipment between contaminated/ unacceptable products and acceptable products.

Yes

Prerequisite Programs:

Sanitation and Pest Control E1.1.1

Personnel D1.1.1 and D2.1.1
         
5, 6, 8, 9, 10, 11, 12, 13, 14 Biological

Cross-contamination of spices and/or spice blends with pathogenic microorganisms due to contact with contaminated product.

Yes

Prerequisite Program:

Sanitation and Pest Control E1.1.1
         
5 Inspection and Sorting Biological

Contamination of spices with pathogenic microorganisms due to contact with contaminated and/or unacceptable/ decomposed/decayed/damaged spices that have not been removed.

No
Yes

Inspection and removal of unacceptable spices.
Yes No Yes

Step 6 Treatment

CCP-1BC
 
5 Inspection and Sorting Biological

Contamination of spices with pathogenic microorganisms due to a failure to remove soil/microbial contamination from incoming spices.

No
Yes

Removal of soiled or contaminated spices.
Yes No Yes

Step 6 Treatment

CCP-1BC
 
6 Treatment Biological

Survival of pathogenic microorganisms due to insufficient application of antimicrobial treatment.

No
Yes

Monitor the application of the treatment.
Yes Yes   CCP-1BC
6 Treatment Chemical

Contamination of spices with excess concentrations of antimicrobial treatment (or its residue) due to improper chemical application (e.g., ethylene oxide).

No
Yes,

Monitor the application of the treatment.
Yes Yes   CCP-1BC
9, 13 Physical

Contamination of spices with hazardous extraneous material (metallic) due to wear and tear and/or rubbing of machine parts (e.g., metal shavings resulting from metal rubbing against metal during cutting/grinding).

No
Yes

Pass all products through a functioning metal detector.
Yes No Yes

15 Metal Detector

CCP-4P
 
10 Magnet Physical

Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of magnet.

No
Yes

Test the magnet to ensure it is functioning.

Pass all products through a functioning metal detector.
Yes No Yes

15 Metal Detector

CCP- 4P
 
11 Batching/
Weighing
Chemical

Presence of allergenic ingredients (e.g., sesame seeds) in spices due to the weighing of incorrect rework (containing allergens) for addition to a batch that does not contain an allergen.

No
Yes

Ensure the correct ingredients (including rework) are weighed and batched.
Yes No Yes

Step 13 Mixing /Blending

CCP-2C
 
13 Mixing/ Blending Chemical

Presence of allergenic ingredients (e.g., sesame seeds) in spices and/or spice blends due to the improper addition of rework containing allergens into spices that do not contain allergens resulting in undeclared allergens in the final product.

No
Yes

Monitor the addition of rework at the mixing/ blending step.
Yes Yes   CCP- 2C
13 Mixing/ Blending Chemical

Presence of allergenic ingredients (e.g., sesame seeds) in spices and/or spice blends due to the improper addition of allergen ingredients that do not appear in the formulation/recipe.

No
Yes

Monitor the addition of rework at the mixing/blending step.
Yes Yes   CCP- 2C
14 Packaging/
Labelling/
Coding
Biological

Contamination of spices and/or spice blends with pathogenic microorganisms due to improper or faulty package seals.

Yes

Prerequisite Program:

Equipment C1.1.1 and C1.2.1
         
14 Packaging/
Labelling/
Coding
Biological

Incorrect/illegible or missing coding resulting in an inability to recall product.

Yes

Prerequisite Program:

Recall F1.1.1 and F1.2.1
         
14 Packaging/
Labelling/
Coding
Chemical

Presence of undeclared allergens (e.g., sesame seeds) in spices and/or spice blends due to incorrect label applied to package and/or incorrect list of ingredients.

No
Yes

Monitor the label on the product and/or packages to ensure that the ingredient list is accurate and the correct label is on the right product.
Yes No No CCP-3C
14 Packaging/
Labelling/
Coding
Chemical

Contamination of spices and/or spice blends with inks/solvents as a result of:

1) equipment that is not properly maintained and/or set up, and/or

2) improper storage of inks/solvents.

Yes

Prerequisite Programs:

1) Equipment C1.1.1 and C1.2.1

2) Transportation and Storage B2.2.3
         
15 Metal Detector Physical

Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the metal detector to detect metal.

No
Yes

Pass all products through a functioning metal detector.

Test metal detector at regular intervals with standard metal wands.
Yes Yes   CCP-4P
15 Metal Detector Physical

Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the metal detector to function as intended when metal is detected (e.g., line stops, product is kicked off the line, etc.).

No
Yes

Test functioning of the metal detector at regular intervals.
Yes No No CCP-4P
16 Storage Biological

Cross-contamination of spices and/or spice blends between incoming raw product and outgoing finished product stored in the same area due to inadequate separation.

Yes

Prerequisite Program:

Transportation and Storage B1.1.1 and B1.1.2
         
17 Shipping/
Distribution
Biological

Contamination of spices and/or spice blends with pathogenic microorganisms as a result of loading product onto a carrier that is unacceptable for the transportation of food (e.g., cleanliness of carrier, state of repair of the carrier).

Yes

Prerequisite Program:

Transportation and Storage B1.1.1
         
17 Shipping/
Distribution
Biological

Contamination of spices and/or spice blends with pathogenic microorganisms as a result of improper loading/stacking resulting in damaged packaging and exposure of spices and/or spice blends.

Yes

Prerequisite Program:

Transportation and Storage B1.1.2
         
17 Shipping/
Distribution
Biological

Contamination of spices and/or spice blends with pathogenic microorganisms as a result of transporting on same carrier with non-ready-to-eat products (i.e. raw meat or other product contaminated with microbial pathogenic microorganisms).

Yes

Prerequisite Program:

Transportation and Storage B1.1.1
         
17 Shipping/
Distribution
Chemical

Contamination of spices and/or spice blends with non-compatible goods carried on the same transport vehicle (i.e., non-food or food grade chemicals).

Yes

Prerequisite Program:

Transportation and Storage B1.1.1
         
17 Shipping/
Distribution
Physical

Contamination of spices and/or spice blends with metallic and/or non-metallic hazardous extraneous material due to:

1) unacceptable condition of transportation vehicle, and/or

2) improper loading and arranging procedures resulting in damaged or exposed product.

Yes

Prerequisite Program:

Transportation and Storage B1.1.1 and B1.1.2
         
Form 4 – Plant Schematic Entrance to Germination Room and Packaging Room Biological

Concentration of sanitizers in hand dips/foot dips inadequate to control pathogenic microorganisms.

Yes

Prerequisite Program:

Premises A2.1.1
         
Form 4 – Plant Schematic Entrance to Germination Room and Packaging Room Biological

Contamination of spices and/or spice blends with pathogenic microorganisms due to improper employee hygienic procedures between rooms resulting in contamination with pathogenic microorganisms (i.e., improper use of food dips/hand dips/change of clothing).

Yes

Prerequisite Program:

Personnel D1.1.1 and D2.1.1
         

Example of Completed Form 9: Hazards not controlled by the Operator

Product name: Spices
List here any biological, chemical and physical hazards that are not controlled by the operator
HazardsIndicate how the hazard could be addressed (cooking instructions, public education, use before date, etc.)
Untreated Spices / Treated Spices – Presence of agricultural chemicals (pesticides and herbicides) in spices above the maximum residue limits. Farm level – Educate farmers about good agricultural practices.
Supplier level – Obtain documentation (e.g., Letter of Guarantee, Certificates of Analysis, specifications) from suppliers to demonstrate that spices were grown, harvested and handled according to good agricultural practices.
Untreated Spices / Treated Spices – Presence of heavy metals and other chemicals in spices due to water used for irrigation and fumigation on the farm and/or steam sterilization at supplier/treatment facility. Farm level – Educate farmers about good agricultural practices.
Supplier level – Obtain documentation (e.g., Letter of Guarantee, Certificates of Analysis, specifications) from suppliers to demonstrate that spices were grown harvested and handled according to good agricultural practices.
Untreated Spices / Treated Spices – Contamination with agricultural chemicals, non-food chemicals in spices due to improper use of reusable containers at the farm level and/or supplier/treatment facility. Farm level – Educate farmers about good agricultural practices.
Supplier level – Obtain documentation (e.g., Letter of Guarantee, Certificates of Analysis, specifications) from suppliers to demonstrate that spices were grown, harvested and handled according to good agricultural practices.

Example of Completed Form 10: HACCP Plan - Critical Control Points

Product name: Spices
Process step CCP/Hazard Number Hazard Description Critical Limits Monitoring Procedures Deviation Procedures Verification Procedures HACCP Records
6 Treatment CCP-1BC Biological
Survival of pathogenic microorganisms due to insufficient application of antimicrobial treatment.

Chemical
Contamination of spices with excess concentrations of antimicrobial treatment (or its residue) due to improper chemical application (e.g., ethylene oxide).
Treatment (e.g., ethylene oxide) must be applied as per
CCP-1BC SOP for Treatment of Spices to

1) ensure the control of pathogenic microorganisms (i.e., must meet the company standard Note: this standard should, at a minimum, meet the standards as outlined in the Compendium of Analytical Methods for Microbiological Guidelines for Ready-To-Eat Spices).

2) ensure application follows good manufacturing practices in order to ensure that maximum allowable limits of treatment and/or its residues are not exceeded (e.g., as per Division 16, Table VIII of the FDR, Good Manufacturing Practice (residues of ethylene chlorohydrin not to exceed 1,500 ppm).
Trained Plant Employee performs the antimicrobial treatment of Spices as per CCP-1BC SOP for Treatment of Spices.

CCP-1BC Monitor once every X time period observes the Plant Employee to ensure that the plant employee is following CCP-1BC SOP for Treatment of Spices and that the critical limits are met.
If the CCP-1BC Monitor observes the Plant Employee not following CCP-1BC SOP for Treatment of Spices, the CCP-1BC Monitor stops the treatment procedures and informs the CCP-1BC Authorized Person. Records on CCP-1BC Monitoring Record.

The CCP-1BC Authorized Person puts all product produced since the last good check on hold as per Hold Procedures and makes an assessment as to whether food safety has been compromised as per written Food Safety Assessment Procedures. If food safety has been compromised, the product is held, tested and subsequently released, returned to supplier, reworked or destroyed.

If food safety has not been compromised, the CCP-1BC Authorized person releases the product and provides retraining for the Plant Employee and/or CCP-1BC Monitor on CCP-1BC SOP for Treatment of Spices.

Once corrective actions have been completed, the
CCP-1BC Authorized Person evaluates the effectiveness of the actions taken. If any deviations are identified, follows the corrective action procedures as outlined above.

CCP-1BC Authorized Person determines the root cause of the deviation to assess whether this is an isolated incident and/or whether preventive corrective actions must be developed to prevent reoccurrence.

CCP-1BC Authorized Person records the description of the deviation, the corrective action taken, the preventive measures, date completed and person responsible on CCP-1BC Deviation Record. Signs and dates.
Once per Y time period the CCP-1BC Verifier observes the Monitor performing the monitoring function to ensure the written procedures are being followed. Signs the CCP-1BC Monitoring Record, dates and records "observation" to indicate it was a procedure check.

The CCP-1BC Verifier once per Y time period reviews X number of CCP-1BC Monitoring Records and associated corrective actions and CCP-1BC Deviation Records completed since the last verification for completeness and compliance. Signs and dates.

Once per Y time period the CCP-1BC Verifier takes X samples of a spice/ground spice or spice blend at the completion of the treatment and sends for microbiological and chemical evaluation to ensure that it meets the CCP-1BC Standard for Microbiological and Chemical Safety of Spice (note: this standard must meet or exceed the Compendium of Analytical Methods for Microbiological Guidelines for Ready-To-Eat Spices, as indicated in Division 16, Table VIII of the FDR). Records on CCP-1BC Verification Record. CCP-1BC Verifier reviews the reports when returned and records on the CCP-1BC Verification Record.

If deviations are found for any of the above procedures, the CCP-1BC Verifier follows the Deviation Procedures for this CCP. Records the corrective actions, preventive measures, date(s) completed and person(s) responsible on CCP-1BC Deviation Record. Signs and dates.
CCP-1BC Monitoring Record

CCP-1BC Deviation
Record

CCP-1BC Verification Record

CCP-1BC SOP for Treatment of Spices

CCP-1BC Standard for Microbiological and Chemical Safety of Spice

Food Safety Assessment Procedures

Hold Procedures

Compendium of Analytical Methods for Microbiological Guidelines for Ready-To-Eat Spices

Division 16, Table VIII of the Food and Drugs Regulations
13 Blending/Mixing CCP-2C Presence of allergenic ingredients in spices and/or spice blends due to the improper addition of rework containing allergens into spices and/or spice blends that do not contain allergens resulting in undeclared allergens in the final product.

Presence of allergenic ingredients in spices and/or spice blends due to the improper addition of allergen ingredients that do not appear in the formulation/
recipe.
Only those ingredients (including returned product and/or rework) identified on the recipe and/or as indicated on the production sheets are added to the blender/mixer for each product as per the SOP for Batching Blended/Mixed Products and as indicated in the SOP CCP-2C Blending/ Mixing Recipes. A plant employee is responsible for batching the ingredients to be blended/mixed as per SOP for Batching Blended/Mixed Products.

CCP-2C Monitor, for each blend/mix of spices, compares each of the batched ingredients to the recipe for that product as per SOP CCP-2C Blending/Mixing Recipes to ensure that the ingredient (including returned product and/or rework) and the quantity provided by the plant employee are the same as what is indicated in the SOP CCP-2C Blending/Mixing Recipes for the product being blended/mixed. Records initials next to each ingredient on the CCP-2C Monitoring Record as each is added to the blender/
mixer and records the quantity added. Signs and dates the CCP-2C Monitoring Record.
If CCP-2C Monitor identifies any discrepancies in the batched ingredients and/or in the quantity (weight) provided, does not add the ingredient to the blender/mixer and/or places batch on Hold as per Hold procedures and notifies CCP-2C Authorized Person. Records all actions taken on CCP-2C Monitoring Record. Signs and dates.

CCP-2C Authorized Person makes an assessment as to whether food safety has been compromised as per written Food Safety Assessment Procedures. If food safety has been compromised, the product is held, tested and subsequently released, reworked or destroyed.

If food safety has not been compromised, the CCP-2C Authorized Person releases the product and provides retraining for the Plant Employee, who is responsible for batching the ingredients and/or the CCP-2C Monitor.

Once corrective actions have been completed, the CCP-2C Authorized Person evaluates the effectiveness of the actions taken. If any deviations are identified, follows the corrective action procedures as outlined above.

CCP-2C Authorized Person determines the root cause of the deviation to assess whether this is an isolated incident and/or whether preventive corrective actions must be developed to prevent reoccurrence.

CCP-2C Authorized Person records the description of the deviation, the corrective action taken, the preventive measures, date completed and person responsible on CCP-2C Deviation Record. Signs and dates.
Every Y time period, the CCP-2C Verifier examines the ingredients for one batch of product and weighs each ingredient. Compares results to the SOP for Batching Blended/Mixed Products and/or the CCP-2C Blending/Mixing Recipes.

Every Y time period, the CCP-2C Verifier
observes the CCP-2C Monitor performing the monitoring function to ensure the written procedures are being followed. Signs the CCP-2C Monitoring Record, dates and records "observation" to indicate it was a procedure check.

The CCP-2C Verifier once per Y time period reviews X number of CCP-2C Monitoring Records and associated corrective actions and CCP-2C Deviation Records completed since the last verification for completeness and compliance. Signs and dates.

If deviations are found for any of the above procedures, the CCP-2C Verifier follows the Deviation Procedures for this CCP. Records the corrective actions, preventive measures, date(s) completed and person(s) responsible on CCP-2C Deviation Record. Signs and dates.
CCP-2C Monitoring Record

CCP-2C Deviation
Record

SOP for Batching Blended/Mixed Products

SOP CCP-2C for Blending/Mixing Recipes

Food Safety Assessment Procedures

Hold Procedures
14 Packaging/Labelling/Coding CCP-3C Presence of undeclared allergens in spices and/or spice blends due to incorrect label applied to package and/or incorrect list of ingredients Each package or container of product must have a correct label that is legible and that accurately reflects the ingredients in the product. CCP-3C Monitor, at Y frequency, checks the label in the packaging machine to ensure that the label (including ingredients listed) is an accurate reflection of the product being packaged and matches the label in the packaging machine to the master product label as per CCP-3C SOP for Label Check.
Attaches a label to the back of the CCP-2C Monitoring Record and initials and dates.
Signs and dates the CCP-3C Monitoring Record indicating the time of the label check.
If the incorrect label is being applied to the product or if the ingredients as listed in the CCP-3C SOP for Label Check do not match the ingredients on the label being applied, or if the ingredients as listed on the label do not match the ingredients as identified on the CCP-3C Monitoring Record, the
CCP-3C Monitor notifies the CCP-3C Authorized Person. Records deviation and corrective actions on the CCP-3C Monitoring Record.

CCP-3C Authorized Person performs a food safety assessment as per Food Safety Assessment Procedures. If food safety has been compromised, product is tested and subsequently released, reworked or destroyed.

If food safety has not been compromised, the CCP-3C Authorized Person releases the product and instructs the CCP3C Monitor how to adjust the weights of the ingredients to meet the critical limits.

Authorized Person determines the root cause of the deviation to assess whether this is an isolated incident and/or whether preventive corrective actions must be developed to prevent reoccurrence.

Once corrective actions have been completed, the CCP-3C Authorized Person evaluates the effectiveness of the actions taken. If any deviations are identified, follows the corrective action procedures as outlined above.

Records the description of the deviation, the corrective action, the preventive measures, date completed and person responsible on CCP-3C Deviation Record. Signs and dates.
Once per Y time period the CCP-3C Verifier observes the CCP-3C Monitor performing the monitoring function to ensure the written procedures are being followed. Signs the CCP-3C Monitoring Record and the CCP-3C Deviation Record. Signs, dates and records "observation" to indicate it was a procedure check.

The CCP-3C Verifier once per Y time period reviews X number of CCP-3C Monitoring Records and X number of CCP-3C Monitoring Records and associated corrective actions and CCP-3C Deviation Records completed since the last verification for completeness and compliance. Signs and dates.

Once per Y time period the CCP-3C Authorized Person reviews X number of labels found in the CCP-3C SOP for Labels to ensure that the ingredients identified on each of the labels continue to be an accurate reflection of the ingredients (and their components) used for that product. Signs and dates the Label in the CCP-3C SOP for Label Check to indicate the label was verified.

If deviations are found for any of the above procedures, the CCP-3C Verifier follows the Deviation Procedures for this CCP. Records the corrective actions, preventive measures, date(s) completed and person(s) responsible on CCP-3C Deviation Record. Signs and dates.
CCP-3C Monitoring Record

CCP-3C Deviation Record

Hold Procedures

Food Safety Assessment Procedures

CCP-3C Deviation Procedures

CCP-3C SOP for Label Check
15 Metal Detector CCP-4P Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the metal detector to detect metal.

Presence of hazardous extraneous material (metallic) in spices and/or spice blends due to failure of the metal detector to function as intended when metal is detected (i.e., line stops, alarm sounds, product is kicked off the line).
All products must go through a functioning metal detector.

Metal detector must detect each of the following metal wands during a test of the metal detector as described in the CCP-4P SOP for Metal Detector:
X mm ferrous
X mm non-ferrous
X mm stainless

Metal detector must function normally when metal or metal wand is detected (Note: the manufacturer must define what "function normally" means for the metal detector at the facility (i.e., alarm must sound, conveyor must stop and product must be kicked off).
Employees are responsible for passing all product through a functioning metal detector as per the CCP-4P SOP for Metal Detector.
Once every Y time period, the Monitor observes the metal detector in use to ensure that all products is passing through the metal detector.

Once every Y time period, the Monitor, passes each of the following metal wands through the metal detector placing them on top of the product:
X mm ferrous
X mm non-ferrous
X mm stainless
as per the CCP-4P SOP for Metal Detector. For each metal wand, the Monitor observes the metal detector to ensure the metal detector is detecting the metal wand and observes the functioning of the metal detector to ensure that when the metal wands pass through the metal detector, the appropriate alarms and/or line stoppage/product kick out occurs.

Records all findings and observations on the CCP-4P Monitoring Record. Signs and dates.
If all products are not passing through a functioning metal detector the Monitor notifies the CCP-4P Authorized Person.

For each of the metal wands indicated in the critical limits when tested:

If the metal detector is not detecting the metal wand, the metal wand is not working as intended, or if the metal detector is not functioning as intended (i.e., the appropriate alarms and/or line stoppage/product kick out does not occur) when each of the metal wands are passed through the metal detector, the Monitor repeats the test as per the CCP-4P SOP for Metal Detector. If the metal detector still does not detect the wand and/ or does not function as intended, notifies the Authorized Person.

If the metal detector at any time indicates that metal is detected in the product (i.e., the appropriate alarms and/or line stoppage/product kick out occurs), the Plant Employee stops the line and notifies the CCP-4P Monitor. The CCP-4P Monitor passes suspect product through the metal detector at least 2 more times to ensure that the metal detector is functioning normally. If the metal detector continues to identify metal in the product, notifies the Authorized Person. CCP-4P Monitor records all deviations and corrective actions on the CCP-4P Monitoring Record.

If any of the above deviations occurs, the Authorized Person puts all affected product and/or product produced since the last good check on Hold as per Hold Procedures and makes an assessment as to whether food safety has been compromised as per written Food Safety Assessment procedures. If food safety has been compromised the product is held, tested and subsequently released, returned to supplier, reworked or destroyed.

If food safety has not been compromised the Authorized Person releases the product. This may include notifying maintenance and/or the Outside Contractor to have the metal detector adjusted/recalibrated.

CCP-4P Authorized person records the description of the deviation, the corrective action and the date completed on the CCP-4P Deviation Record. Signs and dates. Once corrective actions have been completed, the CCP-4P Authorized person evaluates the effectiveness of the actions taken. If any deviations are identified, follows the corrective action procedures as outlined above.

For each deviation identified, CCP-4P Authorized Person determines the root cause of the deviation to assess whether this is an isolated incident or whether preventive corrective actions must be developed to prevent reoccurrence. Records the preventive measures, date completed and person responsible on CCP-4P Deviation Record. Signs and dates.
Once per Y time period, the Verifier observes the Monitor performing the monitoring function to ensure the written procedures are being followed. Signs and dates the CCP-4P Monitoring Record and records "observation" to indicate it was a procedure check.

The Verifier once per Y time period reviews X number of CCP-4P Monitoring Records and associated corrective actions and CCP-4P Deviation Records completed since the last verification for completeness and compliance. Signs and dates.

If deviations are found for any of the above procedures, the Verifier follows the Deviation Procedures for this CCP. Records the corrective actions, preventive measures, date(s) completed and person(s) responsible on CCP-4P Deviation Record. Signs and dates.
CCP-4P Monitoring Record

CCP-4P Deviation Record

CCP-4P SOP for Metal Detector

Hold Procedures

Food Safety Assessment Procedures
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