HACCP Generic Model for Sprouts Grown In Water
Example of Completed Form 10: HACCP Plan - Critical Control Points

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Process/product type name: Sprouts that are grown in water: alfalfa, onion sprouts, mung beans, etc.
Process StepsCCP/Hazard NumberHazard DescriptionCritical LimitsMonitoring ProceduresDeviation ProceduresVerification ProceduresHACCP Records
8 Antimicrobial treatment for seeds CCP-1B Biological
Survival of pathogenic microorganisms (i.e., E. coli O157:H7, Salmonella spp.) due to improper disinfection (e.g., inadequate concentration of antimicrobial treatment solution, inadequate contact time of seeds with antimicrobial treatment solution, inadequate agitation, inadequate volume of antimicrobial treatment solution, inadequate water temperature).
Antimicrobial treatment that can achieve a minimum 3 log reduction of the microbial pathogenic microorganisms of concern (i.e., Salmonella spp. and E. coli O157:H7).

Example: 2000 ppm of calcium hypochlorite or sodium hypochlorite for 15–20 minutes or 6–10% hydrogen peroxide for 10 minutes.

Seeds well agitated in large volumes of antimicrobial treatment solution, i.e., at least five times the volume of antimicrobial treatment for the amount of seeds.

Water temperature of X as required for effective antimicrobial treatment of seeds as indicated on the label of the antimicrobial chemical.

Fresh antimicrobial treatment solution used for each sprout lot.

Note: Critical limits must be validated during the development of the HACCP Plan and validated at least once per year.

See the following Web link to review the information on validation in the FSEP manual.
For each batch/lot of seeds, the CCP-1B Monitor takes the temperature of the water using a hand held thermometer (as per CCP-1B Temperature Monitoring Procedures) to ensure that the water temperature meets the critical limit.

CCP-1B Monitor mixes the antimicrobial treatment solution required as per the SOP for Mixing Antimicrobial Treatment Chemicals based on the weight of the batch to ensure that at least 5 times the volume of antimicrobial treatment solution is used for the amount of seeds.

CCP-1B Monitor tests the antimicrobial treatment as per the SOP for Mixing Antimicrobial Treatment Chemicals to ensure the concentration meets the critical limit.

CCP-1B Monitor then adds the antimicrobial treatment to the seeds.

CCP-1B Monitor agitates the seeds in the antimicrobial treatment x times then records the time for the start of disinfection and the completion of disinfection (or the belt speed) to ensure adequate mixing and contact time with all seeds as per the SOP for Mixing Antimicrobial Treatment Chemicals.

CCP-1B Monitor records the volume of the antimicrobial treatment solution used, the volume of water used (total volume of antimicrobial treatment solution used), the weight of seeds, the agitation of the seeds and the belt speed or contact time on the CCP-1B Monitoring Record. Signs and dates.
If the concentration of the disinfecting solution does not meet the critical limit (i.e., 2000 ppm or the hydrogen peroxide level is not 6–10%), or the water temperature does not meet the critical limits prior to use, CCP-1B Monitor adjusts solution and retests as per the SOP for Mixing Antimicrobial Treatment Chemicals. If the concentration of the antimicrobial treatment solution or the water temperature cannot be adjusted to meet the critical limits, or if the contact time, agitation or volume of the antimicrobial treatment solution is not adequate, the CCP-1B Monitor holds all product since the last good check as per the Hold Procedures and notifies CCP-1B Authorized Person. Records all findings, corrective actions, date and signature on CCP-1B Monitoring Record.

CCP-1B Authorized Person performs a food safety assessment as per 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-1B Authorized Person releases the product.

CCP-1B Authorized Person reviews all corrective actions to ensure they are completed and effective in controlling the deviation as well as to ensure any affected product is controlled. If any issues are identified, takes immediate corrective action as described above.

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

CCP-1B Authorized Person records the description of the deviation, the corrective action (including date completed) and preventative measures on CCP-1B Deviation Record. Signs and dates.
Once every Y time period, the CCP-1B Verifier observes the CCP-1B Monitor to ensure the CCP-1B Temperature Monitoring Procedures and the SOP for Mixing Antimicrobial Treatment Chemicals are being followed and the critical limits are met. Signs the CCP-1B Monitoring Record, dates and records “observation” to indicate a procedure check was conducted.

Once every Y time period, the CCP-1B Verifier reviews “X” number of CCP-1B Monitoring Records, and associated CCP-1B Deviation Records , along with corrective actions completed since the last verification to assess completeness and to ensure critical limits are met. Signs and dates.

If deviations are found for any of the above procedures, the CCP-1B Verifier follows the CCP-1B Deviation Procedures. When the CCP-1B Monitor is not following written procedures, reinforcement, training or retraining will be provided.

CCP-1B Authorized Person collects x samples following the criteria set in the Health Canada' s Guidance for Industry: Sample Collection and Testing for Sprouts and Spent Irrigation Water to assess microbiological testing of spent irrigation water and finished product to be tested for microbial pathogenic microorganisms of concern 48 hours after the start of germination.

Every Y lots/batches of product at X time period during the irrigation/final rinse, CCP-1B Authorized Person collects x samples of rinse water run-off (spent irrigation water) and sprouts following the criteria set in Health Canada's Guidance for Industry: Sample Collection and Testing for Sprouts and Spent Irrigation Water and sends the samples to the lab to be tested to ensure pathogenic microorganisms of concern meet the standards indicated in the FSPGSM document.

Records on CCP-1B Verification Record. Received results are reviewed by the CCP-1B Authorized Person to ensure that the requirements are met as outlined in the FSPGSM document. Signs and dates.

If results do not meet the requirements, CCP-1B Authorized Person takes the corrective actions outlined in the Deviation Procedures for this CCP, which are found in the SOP for Mixing Antimicrobial Treatment Chemicals.
CCP-1B Monitoring Record

CCP-1B Deviation Record

CCP-1B Verification Record

Microbiological testing results

SOP for Mixing Antimicrobial Treatment Chemicals

Guidance for Industry: Sample Collection and Testing for Sprouts and Spent Irrigation Water

Food Safety Practices Guidance for Sprout Manufacturers
11 Germination CCP-2C Chemical
Contamination of sprouts with excess concentrations of growth regulators/plant nutrients/fertilizers and/or antimicrobial treatments due to improper chemical application.
Growth regulators/plant nutrients/fertilizer/antimicrobial treatment solutions must be mixed and added to the seeds as per the label directions for approved use, in accordance with the SOP for Mixing Growth Regulators/Plant Nutrients/Fertilizers/Antimicrobial Treatments. For each batch/lot of seeds, the CCP-2C Monitor mixes the growth regulator/plant nutrients/fertilizer and/or antimicrobial treatment solution that is required based on the weight of the batch and the instructions on the label using the SOP for Mixing Growth Regulators/Plant Nutrients/Fertilizers/
Antimicrobial Treatments.

Records the volume of the growth regulator/plant nutrient/fertilizer and/or antimicrobial treatment solution used, the volume of water used (total volume of growth regulator/plant nutrient/fertilizer/antimicrobial treatment solution used), and the weight of seeds on the CCP-2C Monitoring Record and signs and dates the record.
If deviations are encountered, the CCP-2C Monitor holds all products since the last good check as per Hold Procedures. Notifies CCP-2C Authorized Person. Records all findings, corrective actions, date and time completed on CCP-2C Deviation Record.

CCP-2C Authorized Person performs a food safety assessment as per the 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.

CP-2C Authorized Person reviews all corrective actions to ensure that they are completed and are effective in controlling the deviation as well as any affected product. If any issues are identified, takes immediate corrective action as described above.

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

CCP-2C Authorized Person records the description of the deviation, the corrective action (including date completed) and preventative measures on CCP-2C Deviation Record. Signs and dates.
Once every Y time period, the CCP-2C Verifier observes the CCP-2C Monitor performing the monitoring function to ensure the SOP for Mixing Growth Regulators/Plant Nutrients/Fertilizers/Antimicrobial Treatments is being followed and the critical limits are met. Signs the CCP-2C Monitoring Record, dates and records “observation” to indicate a procedure check was conducted.

Once every Y time period, the CCP-2C Verifier reviews “X” number of CCP-2C Monitoring Records and the associated CCP-2C Deviation Records, as well as corrective actions completed since the last verification to assess completeness and to ensure critical limits are met. Signs and dates.

If deviations are found for any of the above procedures, the CCP-2C Verifier follows the CCP-2C Deviation Procedures. When the CCP-2C Monitor is not following written procedures, reinforcement, training or retraining will be provided.
CCP-2C Monitoring Record

CCP-2C Deviation Record

SOP for Mixing Growth Regulators/Plant Nutrients/Fertilizers/Antimicrobial Treatments

Food Safety Assessment Procedures

Hold Procedures
13 Final Rinse/Cooling/Dehulling CCP-3BC Biological
Growth of pathogenic microorganisms due to time/temperature abuse as a result of delays between harvesting and final rinse and/or cooling/dehulling.

Growth of pathogenic microorganisms due to time/temperature abuse as a result of insufficient cold water changes/changeovers during rinsing and/or use of warm water during rinsing.

Growth of pathogenic microorganisms due to time/temperature abuse as a result of elevated water temperature, insufficient flow and/or insufficient volume to ensure water temperature remains cold and cools sprouts.

Chemical
Contamination of sprouts with excess concentrations of antimicrobial treatment due to improper rinsing (resulting in a failure to reduce concentration of antimicrobial treatment in rinse water run-off).
For each batch/lot of sprouts, the time from the start of harvest to the start of final rinse and/or cooling/dehulling must not exceed X minutes.

Mung bean sprouts

- A constant overflow of water out of the trough must occur.

- The water temperature must be X degrees or less.

All other seed sprouts

- Water used for the final rinse and/or cooling/dehulling of the sprouts must be X degrees or less and must be changed for each rinse.

Rinsing of the sprouts is conducted for not less than Y time period (note: may be a belt speed) with volumes and flow of water as per SOP CCP-3BC Final Rinse and Cooling/Dehulling to ensure proper rinsing of sprouts so as to reduce the concentration of the antimicrobial treatment in rinse water run-off.
CCP-3BC Monitor records the time at the start of the harvest and the time at the start of the cooling for each batch/lot on the CCP-3BC Monitoring Record to ensure that the critical limit is not exceeded.

Once every Y time period, CCP-3BC Monitor takes the temperature of the water used for the final rinse as per CCP-3BC Temperature Monitoring Procedures SOP to ensure that the water temperature meets critical limits. Records all findings on the CCP-3BC Monitoring Record. Signs and dates.

Mung beans - Once every Y time period, CCP-3BC Monitor observes the water overflowing from the trough to ensure that the critical limit is met as per the SOP
CCP-3BC Final Rinse and Cooling/Dehulling. Records all findings on the CCP-3BC Monitoring Record. Signs and dates.

All other seed sprouts - CCP-3BC Monitor changes the water for rinsing between each lot/batch of sprouts, at a minimum, and records the volume of water used. Records water changes on the CCP-3BC Monitoring Record. Signs and dates.

CCP-3BC Monitor records the start of the rinse/cooling cycle and the finish of the rinse/cooling cycle for each batch of sprouts to ensure that the critical limit is met. Records on CCP-3BC Monitoring Record. Signs and dates.
If deviations are encountered, CCP-3BC Monitor holds all products since the last good check as per Hold Procedures. Notifies CCP-3BC Authorized Person. Records all findings, corrective actions on CCP-3BC Record. Signs and dates.

CCP-3BC Authorized Person performs a food safety assessment as per 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-3BC Authorized Person releases the product.

CCP-3BC Authorized Person reviews all corrective actions to ensure they are completed and they are effective in controlling the deviation as well as any affected product. If any issues are identified, this person takes immediate corrective action as described above.

CCP-3BC Authorized Person determines the root cause of the deviation to assess whether this is an isolated incident and/or whether preventative corrective actions must be developed to prevent reoccurrence.

CCP-3BC Authorized Person records the description of the deviation, the corrective action (including date completed) and preventative measures on CCP-3BC Deviation Record. Signs and dates.
Once every Y time period, CCP-3BC Verifier observes the CCP-3BC Monitor performing the monitoring function to ensure the SOP CCP-3BC Final Rinse and Cooling/Dehulling is being followed and the critical limits are met. Signs the CCP-3BC Monitoring Record, dates and records “observation” to indicate a procedure check was conducted.

Once every Y time period, CCP-3BC Verifier reviews “X” number of CCP-3BC Monitoring Records and associated CCP-3BC Deviation Records and corrective actions completed since the last verification to assess completeness and to ensure critical limits are met. Signs and dates.

If deviations are found for any of the above procedures, the CCP-3BC Verifier follows the CCP-3BC Deviation Procedures. When the CCP-3BC Monitor is not following written procedures, reinforcement, training or retraining will be provided.

Every Y lots/batches of product at X time period during the irrigation/final rinse, CCP-3BC Authorized Person collects x samples of rinse water run-off (spent irrigation water) and sprouts according to the criteria set out in Health Canada's Guidance for Industry: Sample Collection and Testing for Sprouts and Spent Irrigation Water and sends the samples to the lab to be tested to ensure that the concentration of antimicrobial treatment solution in rinse water at the end of the final rinse does not exceed Y (e.g., chlorine levels must not exceed what is allowed in the Guidelines for Canadian Drinking Water Quality) and that the microbiological testing results meet the standards indicated in the Guidance document. Records on CCP-3BC Verification Record. Received results are reviewed by the CCP-3BC Authorized Person to ensure that the standards for verification are met. Signs and dates.
CCP-3BC Monitoring Record

CCP-3BC Deviation Record

CCP-3BC Verification Record

CCP-3BC Temperature Monitoring Procedures SOP

SOP CCP-3BC Final Rinse and Cooling/Dehulling

Food Safety Assessment Procedures

Hold Procedures

Health Canada' s Guidance for Industry: Sample Collection and Testing for Sprouts and Spent Irrigation Water
16 Packaging/Labelling/Coding CCP-4C Chemical
Presence of undeclared allergens due to incorrect label application and/or incorrect list of ingredients. (e.g., soy, sesame, wheat).
Correct label applied to the product.

List of ingredients on the label must match the ingredients in the product.
Once every Y time period, Monitor checks the label being applied/applied to the product to ensure that:

 

The information on the label matches the product being packaged, and the ingredient list on the label matches the product being packaged as per the CCP-4C Label Check SOP to ensure that the critical limits are being met.

CCP-4C Monitor records results on the CCP-4C Monitoring Record. Signs and dates.
If a deviation occurs, Monitor stops packaging/labeling/coding and notifies Authorized Person. Records on CCP-4C Deviation Record. Signs and dates.

Authorized Person places product and labels on hold from the last good check as per Hold Procedures, and performs a food safety assessment as per Food Safety Assessment Procedures. If food safety has been compromised, the product is held, tested and subsequently released, reworked (e.g., repackaging/relabelling correctly) or destroyed.

If food safety has not been compromised the Authorized Person releases the product.

CCP-4C Authorized Person reviews all corrective actions to ensure they are completed and they are effective in controlling the deviation as well as any affected product. If any issues are identified, takes immediate corrective action as described above.

CCP-4C Authorized Person determines the root cause of the deviation to assess whether this is an isolated incident and/or whether preventative corrective actions must be developed to prevent reoccurrence.

CCP-4C Authorized Person records the description of the deviation, the corrective action (including date completed) and preventative measures on CCP-4C Deviation Record. Signs and dates.
Once every Y time period, the CCP-4C Verifier observes the CCP-4C Monitor performing the monitoring function to ensure the CCP-4C Label Check SOP is being followed and the critical limits are being met. Signs the CCP-4C Monitoring Record, dates and records “observation” to indicate a procedure check was conducted.

Once every Y time period, CCP-4C Verifier reviews “X” number of CCP-4C Monitoring Records and associated CCP-4C Deviation Records and corrective actions completed since the last verification for completeness so as to ensure critical limits have been met. Signs and dates.

If deviations are found for any of the above procedures, the CCP-4C Verifier follows the CCP-4C Deviation Procedures. When the CCP-4C Monitor is not following written procedures, reinforcement, training or retraining will be provided.
CCP-4C Monitoring Record

CCP-4C Deviation
Record

CCP-4C Label Check SOP

Hold procedures

Food Safety Assessment Procedures
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