HACCP Generic Model for Sprouts Grown In Water
Example of Completed Form 8: CCP Determination

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CCP Determination
Incoming material/process step/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 be used by the operator at any process step?

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

* If yes = proceed to Q3.
Q3. Is this process step 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.
Seeds Biological
Presence of pathogenic microorganisms from contamination in the field, harvest or transport.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Seeds Biological
Presence of visible contamination (e.g., pests, insects, rodents' and birds' droppings, moulds).
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Seeds Chemical
Presence of pesticide (including herbicide and fungicide) residues above the maximum allowable residue limits.
No
No
Control at the farm level.
See Form 9.
Seeds Chemical
Presence of visible discolouration on bag and/or seeds indicating presence of lubricants or other industrial chemicals from field equipment.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Seeds Chemical
Presence of undeclared allergenic ingredients (e.g., sesame seeds, soy, wheat).
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Seeds Physical
Presence of hazardous extraneous material from the fields and harvesters (e.g. stones, wood, metal, screw, glass).
No
Yes
Inspection and initial rinse step
 Yes N/A Yes
13 Final Rinse and Cooling/Dehulling
CCP-3BC
Seeds Physical
Presence of hazardous extraneous material as a result of improper employee handling procedures at the source (e.g., stones, wood, metal, glass).
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Seeds Physical
Presence of hazardous extraneous materials due to damaged packaging as a result of improper handling procedures at the source (e.g., stones, pebbles, wood, metal, glass).
Yes
Prerequisite Program:
Transportation and Storage B2.1.3
Water/well water Biological
Water not meeting the Health Canada's Guidelines for Canadian Drinking Water Quality and any applicable provincial or municipal requirements, resulting in the presence of pathogenic microorganisms.
Yes
Prerequisite Program:
Premises - A4.1.1
Water/well water Chemical
Presence of heavy metal (e.g., arsenic), pesticides, excess chlorine.
Yes
Prerequisite Program:
Premises - A4.1.1
Water/well water Physical
Presence of hazardous extraneous material (metallic).
Yes
Prerequisite Program:
Premises - A4.1.1
Well water Biological
Inadequate addition of chlorine resulting in failure to eliminate the presence of pathogenic microorganisms.
Yes
Prerequisite Program:
Premises A4.1.1
Packaging materials Biological
Presence of pathogenic microorganisms due to contamination by faecal material from birds, rodents and insects.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Packaging materials, seeds Biological
Presence of pathogenic microorganisms from soiled/damaged or improperly handled packaging materials at the source.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Packaging materials/antimicrobial treatments/growth regulators/plant nutrients/fertilizers Chemical
Non-food-grade material and/or not suitable for intended use.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Packaging materials/antimicrobial treatments/growth regulators/plant nutrients/fertilizers Chemical
Not appropriate for use with or on foods, or not used in accordance with manufacturer's instructions.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.1
Packaging materials/antimicrobial treatments/growth regulators/plant nutrients/fertilizers Physical
Presence of hazardous extraneous material as a result of improper handling procedures at the source.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
Antimicrobial treatments/growth regulators/plant nutrients/fertilizers Chemical
Concentration is not the same as what appears on the label of the container.
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16 Biological
Contamination with pathogenic microorganisms due to improper employee handling or hygiene.
Yes
Prerequisite Program:
Personnel D1.1.1 and D2.1.1
1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18 Biological
Contamination with pathogenic microorganisms due to contamination from overhead structures.
Yes
Premises - A2.1.1 and A2.1.2
Sanitation and Pest Control - E1.1.1
1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18 Biological
Contamination of product with pathogenic microorganisms from contaminated air (ventilation systems).
Yes
Prerequisite Program:
Premises - A2.3.1
1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18 Biological
Contamination with pathogenic microorganisms due to contact with pests (insects, rodents, birds)
Yes
Prerequisite Program
Sanitation and Pest Control - E2.1.1
1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18 Chemical
Contamination of non-allergenic seeds with allergenic seeds as a result of improper employee handling.
Yes
Prerequisite Program:
Personnel - D1.1.1 and D2.1.1
1, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18 Physical
Contamination with hazardous extraneous material due to improper employee handling (e.g., jewellery, pens, paper clips, etc., falling into product).
Yes
Prerequisite Program:
Personnel - D1.1.1 and D2.1.1
1 Receiving Biological
Acceptance of incoming materials and ingredients not meeting specifications (i.e., not meeting standards as described on the specification sheet for each incoming ingredient and/or material).
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 standards as described on the specification sheet for each incoming ingredient and/or material).
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
1 Receiving Chemical
Contamination with non-food chemicals or chemical residues (cleaners, sanitizers, lubricants) at Receiving as a result of:

 

  1. improper receiving procedures and/or
  2. improper sanitation procedures resulting in overspray or contact with chemical residues, and/or
  3. improper equipment maintenance procedures resulting in contamination with lubricants/oil, etc.
Yes

Prerequisite Program:
  1. Transportation and Storage - B2.2.2
  2. Sanitation and Pest Control - E1.1.1
  3. Equipment - C1.1.1
1 Receiving Physical
Acceptance of incoming materials and ingredients not meeting specifications (i.e., not meeting standards as described on the specification sheet for each incoming ingredient and/or material).
Yes
Prerequisite Program:
Transportation and Storage - B2.1.3
2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16 Chemical
Contamination with non-food chemicals (e.g., cleaners/sanitizers/lubricants) as a result of:
  1. improper storage of seeds/sprouts resulting in damaged packaging and exposed products.
  2. improper sanitation procedures resulting in overspray or contact with chemical residues
  3. improper equipment maintenance procedures resulting in contamination with lubricants/oils etc.
Yes

Prerequisite Programs:
  1. Transportation and Storage - B2.2.2
  2. Sanitation and Pest Control - E1.1.1
  3. Equipment - C1.1.1
2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16 Physical
Contamination with hazardous extraneous material due to the introduction of foreign material into product as a result of:
  1. dirty or poorly maintained overhead structures and/or
  2. damaged packaging material resulting in exposed or open product due to poor storage conditions and/or
  3. damaged packaging material resulting in exposed or open product due to poor employee handling procedures and/or
  4. improper maintenance procedures.
Yes

Prerequisite Programs:
  1. Premises- A2.1.1 and A2.1.2
  2. Transportation and Storage - B2.2.2
  3. Personnel - D1.1.1 and D2.1.1
  4. Equipment - C1.1.1
2 Storage - growth regulators, plant nutrients, fertilizers Chemical
Contamination of seeds, sprouts and/or packaging materials due to improper storage of chemicals.
Yes
Prerequisite Program
Transportation and Storage - B2.2.3 and B2.2.4
4, 5 Biological
Contamination of seeds and/or packaging material with pathogenic microorganisms due to exposed packaging material/damaged packaging resulting from improper storage procedures.
Yes
Prerequisite Programs:
Transportation and Storage - B2.2.2
4, 17 Biological
Growth of pathogenic microorganisms and moulds due to inappropriate storage temperatures/humidity (damp storage conditions).
Yes
Prerequisite Program:
Transportation and Storage - B2.2.1 and B2.2.2
4, 17 Chemical
Cross-contamination with allergenic products due to inappropriate storage of allergenic product.
Yes
Prerequisite Programs:
Transportation and Storage - B2.2.2
6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16 Biological
Contamination with pathogenic microorganisms from containers, tools and equipment that have not been properly cleaned and disinfected.
Yes
Prerequisite Program:
Sanitation and Pest Control - E1.1.1
6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16 Chemical
Contamination with residues of cleaning agent and sanitizer left on containers, tools and equipment that have not been properly cleaned and/or disinfected.
Yes
Prerequisite Program:
Sanitation and Pest Control - E1.1.1
6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16 Chemical
Contamination by allergenic product(s) due to failure to clean properly between processing of products that contain allergens and products that do not.
Yes
Prerequisite Program:
Sanitation and Pest Control - E1.1.1
Premises - A2.1.1
6 Sorting/Weighing Physical
Failure to remove product containing hazardous extraneous material and/or failure to remove hazardous extraneous material (e.g., stones, pebbles, wood, metal, glass).
No
Yes
Removal of stones and pebbles at rinsing/cooling step
Yes No Yes
13 Final Rinse and Cooling/
Dehulling
CCP-3BC
7 Initial rinse Biological
Presence of pathogenic microorganisms on seeds as a result of improper rinsing (e.g., inadequate volume of water, inadequate agitation, inadequate surface in contact with water or inadequate number of rinses [i.e., not continuing to rinse until the rinse water remains clear]).
No
Yes
Monitor to ensure adequate volumes of water, adequate agitation, adequate surface in contact with water and/or adequate number of rinses
Yes No 8 - Antimicrobial Treatment of Seeds
CCP-1B
7 Initial rinse Physical
Presence of hazardous extraneous material due to failure to remove (e.g., stones, pebbles, wood, metal, glass).
No
Monitor to ensure sufficient rinsing Yes No Yes
13 Final Rinse and Cooling/
Dehulling
CCP-3BC
8, 9, 10, 11, 12, 13, 14, 15, 16 Biological
Cross-contamination with pathogenic microorganisms due to inadequate operational separation between areas (e.g., proper employee hygiene procedures between areas, boot dips, floor sprays, etc.).
Yes
Prerequisite Program:
Premises - A2.1.1
8 Antimicrobial treatment for Seeds 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).
No
Yes
Monitoring the antimicrobial treatment (e.g., concentration of antimicrobial treatment/contact time/ agitation, volume of antimicrobial treatment solution, fresh solution of antimicrobial treatment used for each sprout lot).
Yes Yes CCP-1B
8 Antimicrobial treatment for Seeds Chemical
Contamination of seeds with excess concentrations of antimicrobial treatment due to improper chemical application rates (chlorine or other).
No
Yes
Proper addition of antimicrobial.
Proper rinsing of sprouts.
Yes No Yes
13 Final Rinse and Cooling/Dehulling
CCP-3BC
9, 10, 11 Biological
Growth of pathogenic microorganisms due to time/temperature abuse (i.e., use of warm rinse water/warm room).
No
Yes
Monitoring the rinse water temperature and room temperature.
Yes No Yes
13 Final Rinse and Cooling/
Dehulling
CCP-3BC
9 Rinse after antimicrobial treatment Chemical
Rinsing insufficient to reduce concentration of antimicrobial treatment in sprouts.
No
Yes
Rinse seeds as described in the SOP to meet GMP levels.
Yes No Yes
13 Final Rinse and Cooling/Dehulling
CCP-3BC
10 Pre-germination soak and rinse Biological
Presence of pathogenic microorganisms as a result of inadequate rinsing after soaking (after soaking in warm water in a warm room has resulted in bacterial growth).
No
Yes
Monitor the water temperature of the soak.
Monitor the room temperature.
Ensure the rinse follows proper procedures.
Yes No Yes
13 Final Rinse and Cooling/ Dehulling
CCP-3BC
10 Pre-germination soak and rinse Chemical
Contamination of sprouts with excess concentrations of growth regulators/ plant nutrients/fertilizers and/or antimicrobial treatments due to improper chemical application.
No
Yes
Monitoring the mixing of growth regulators/plant nutrients/fertilizers and/or antimicrobial agents to ensure proper concentrations are used
Yes No Yes
11 - Germination
CCP-2C
11 Germination Biological
Cross-contamination of sprouting seeds with pathogenic microorganisms due to backflow or cross-connected pipe.
Yes
Prerequisite Program:
Premises - A2.1.1
11 Germination Chemical
Contamination of sprouts with excess concentration of growth regulators/plant nutrients/fertilizers and/or antimicrobial treatments due to improper chemical application.
No
Yes,
Monitoring the addition of chemicals
Yes No No CCP-2C
11 Germination,
16 Packaging/Labelling/Coding
Chemical
Contamination of sprouts caused by chemical leaks (lubricants) from equipment (e.g., drum and conveyor).
Yes
Prerequisite Program:
Equipment - C1.1.1
12, 13, 14, 15, 16, 17, 18 Chemical
Contamination of sprouts with allergenic sprouts as a result of improper employee handling.
Yes
Prerequisite program:
Personnel - D1.1.1 and D2.1.1
13 Final Rinse and Cooling/Dehulling Biological
Growth of pathogenic microorganisms due to time/temperature abuse as a result of unnecessary delays between harvesting and final rinse and/or cooling/dehulling.
No
Yes
Monitoring the time from harvesting to final rinse and/or cooling
Yes Yes CCP-3BC
13 Final Rinse and Cooling/Dehulling Biological
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.
No
Yes
Monitoring the flow, volume and temperature of rinse water
Yes Yes CCP-3BC
13 Final Rinse and Cooling/Dehulling Biological
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.
No
Yes
Monitoring changing of rinse water and the temperature of rinse water
Yes Yes CCP-3BC
13 Final Rinse and Cooling/Dehulling Chemical
Contamination of sprouts with excess concentrations of antimicrobial treatment due to improper rinsing (resulting in failure to reduce concentration of antimicrobial treatment in rinse water run-off).
No
Yes
Monitor the concentration of antimicrobial treatment
Monitor the rinsing/irrigating procedures.
Yes No No CCP-3BC
13 Final Rinse and Cooling/Dehulling - Mung bean sprouts Physical
Presence of hazardous extraneous material (e.g., stones/pebbles) due to failure to remove as a result of improper maintenance of equipment.
Yes
Prerequisite Program:
Equipment - C1.1.1
13 - Final Rinse and Cooling/Dehulling - All other sprouts Physical
Presence of hazardous extraneous material (e.g., stones, pebbles, wood, metal, glass, etc.) due to failure to remove.
No
Form 9 - GAP
14 Removal of Water/Draining Biological
Growth of pathogenic microorganisms due to time/temperature abuse (i.e. activity is occurring in a warm room).
Yes
Prerequisite program:
Transportation and Storage - B2.2.1
15 Bulk Cooling Biological
Growth of pathogenic microorganisms due to time/temperature abuse (i.e. activity is occurring in a warm room).
Yes
Prerequisite program:
Transportation and Storage - B2.2.1
15 Bulk Cooling Biological
Growth of pathogenic microorganisms due to time/temperature abuse (i.e. inadequate cooling).
Yes
Prerequisite program:
Transportation and Storage - B2.2.1
16 Packaging/Labelling/Coding Biological
Contamination of sprouts with pathogenic microorganisms from packaging material as a result of damage or soiling of containers/packaging material during storage.
Yes
Prerequisite program:
Transportation and Storage - B2.2.2
16 Packaging/Labelling/Coding Biological
Failure to apply correct/legible lot code resulting in inability to recall product.
Yes
Prerequisite Program:
Recall - F1.2.1
16 Packaging/Labelling/Coding Chemical
Contamination from 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
  2. Transportation and Storage - B2.2.3
16 Packaging/Labelling/Coding Chemical
Presence of allergens in product that is not identified to contain allergens on the label as a result of improper operational procedures (i.e. packaging product that does not contain allergens prior to packaging product that contains allergens without a full clean-up in between).
Yes
Prerequisite Program:
Premises - A2.1.1
Sanitation and Pest Control - E 1.1.1
16 Packaging/Labelling/Coding Chemical
Presence of undeclared allergens due to incorrect label application and/or incorrect list of ingredients (e.g., soy, sesame, wheat).
No
Yes
Verification of the list of ingredients to ensure the label is correct.
Yes Yes CCP-4C
17 Storage Biological
Growth of pathogenic microorganisms due to time/temperature abuse (i.e., inappropriate temperatures/humidity in storage).
Yes
Prerequisite Program:
Transportation and Storage - B2.2.2
17 Storage Biological
Contamination of sprouts with pathogenic microorganisms due to inadequate separation from incoming ingredients and materials (e.g., seeds, packaging material, other raw products).
Yes
Prerequisite program
Transportation and Storage - B2.2.2
17 Storage Biological
Growth of pathogenic microorganisms due to excess storage time (i.e., product stored past “Best Before” date and/or stock not rotated properly).
Yes
Prerequisite Program:
Transportation and Storage - B2.2.2
17 Storage Biological
Contamination with pathogenic microorganisms in storage due to damaged containers resulting from:
  1. improper storage procedures and/or
  2. improper employee hygiene and/or handling procedures.
Yes

Prerequisite Programs:
  1. Transportation and Storage - B2.2.2
  2. Personnel - D1.1.1 and D2.1.1
17 Storage Chemical
Chemical contamination from refrigerant leak (e.g., ammonia) due to improper equipment maintenance procedures.
Yes
Prerequisite Program:
Equipment - C1.1.1
17 Storage Physical
Contamination with hazardous extraneous material as a result of:
  1. improper storage conditions resulting in damaged containers and/or exposed product and/or
  2. improper employee handling procedures resulting in damaged containers and/or exposed products.
Yes

Prerequisite Programs:
  1. Transportation and Storage - B2.2.2
  2. Personnel - D1.1.1 and D2.1.1
18 Shipping Biological
Growth of pathogenic microorganisms due to time/temperature abuse (i.e., inadequate control of temperature of room or carrier).
Yes
Prerequisite Program:
Transportation and Storage - B2.1.1 and B2.2.2
18 Shipping Biological
Contamination with pathogenic microorganisms as a result of loading sprouts onto a carrier that is unacceptable for the transportation of food (e.g., cleanliness of carrier, state of repair of carrier).
Yes
Prerequisite Program:
Transportation and Storage - B1.1.1
18 Shipping Biological
Contamination with pathogenic microorganisms due to damaged containers as a result of:
  1. improper loading and shipping procedures and/or
  2. improper employee hygiene and/or handling procedures
Yes

Prerequisite Program:
  1. Transportation and Storage - B1.1.1 and B1.1.2
  2. Personnel - D1.1.1 and D2.1.1
18 Shipping Biological
Contamination of sprouts with pathogenic microorganisms as a result of transporting sprouts on the same carrier as non-ready-to-eat-products (e.g., raw meat).
Yes
Prerequisite program
Transportation and Storage B1.1.1
18 Shipping Chemical
Contamination from incompatible products or materials on the shipping trailer.
Yes
Prerequisite Program:
Transportation and Storage - B1.1.1
18 Shipping Physical
Contamination with hazardous extraneous material due to damaged containers as a result of:
  1. improper condition of transport vehicle and/or
  2. improper loading and arranging procedures and/or
  3. improper employee handling procedures resulting in damaged containers and/or exposed products.
Yes

Prerequisite Program:
  1. Transportation and Storage - B1.1.1
  2. Transportation and Storage - B1.1.2
  3. Personnel - D1.1.1 and D2.1.1
Form 4 - Plant Schematic B1 - Entrance to Germination Room and B2 - Entrance to 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 B1 - Entrance to Germination Room and B2 - Entrance to Packaging Room Biological
Contamination 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 Programs
Personnel - D1.1.1 and D2.1.1
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