1. Chapter 11
Record-Keeping
Procedures

2. Objective In this module, you will learn:
What kinds of records are needed in a HACCP system
When to record monitoring information
How computerized records can be used
How to conduct a record review

3. Principle 7
Establish record-keeping and documentation procedures

4. Four Kinds of HACCP Records
1. HACCP plan and support documentation used in developing the plan
2. Records of CCP monitoring
3. Records of corrective action
4. Records of verification activities

5. HACCP Plan and Support Documents
Hazard Analysis Worksheet
Records related to performing hazard analysis and establishing critical limits
Data use to establish adequacy of barriers to pathogen growth
Data used to establish safe product shelf life
Adequacy of heating processes
HACCP team members and their responsibilities
Summary of preliminary steps taken in the development of a HACCP plan
Prerequisite programs

6. CCP Monitoring Records
Kept to demonstrate control at CCPs
Used to determine if critical limits have been violated

7. 2. CCP Monitoring Records
All HACCP monitoring records should be on forms that contain the following information:
Form title
Firm name and location
Time and date
Product information (including product type, package size, processing line and product code where applicable)
Actual observations or measurement
Critical limits
Operator’s signature or initials
Reviewer’s signature or initials, and date of review

8. 3. Corrective Action Records
Discussed in Chapter 9

9. 4. Verification Records Modifications of the HACCP Plan
Audits of supplier compliance with guarantees or certifications
Calibration records
Microbiological tests
challenge tests, environmental tests, in-line tests, finished product tests
In-house, on-site inspections
Equipment evaluation tests

10. Examples of Verification Records
Temperature distribution studies for thermal processes
Metal detector challenges

11. Record Monitoring Information
Monitoring information should be recorded at the time the observation is made

12. Computerized Records
Include controls to ensure that records are authentic, accurate and protected from unauthorized changes

13. Record Review
All monitoring records of critical control points shall occur within 1 week of the day the records are made

14. HACCP Plan Form: Records1.
CCP 2.
Hazard 3.
Critical
Limits 4. 5. 6. 7. 8.
Corrective
Action(s) 9.
Verification
10.
Records
What How Frequency Who
Monitoring

15. Raw Material Evaluation Sheet
Figure 1

16. Supplier’s Guarantee
Figure 2

17. Shrimp Cooker Log
Figure 3

18. Pack Room Inspection Record
Figure 4

19. A-One Laboratory Report
Figure 5

20. Cooking Process Validation Letter
Figure 6

21. Cooking Equipment Validation Letter
Figure 7

22. Equipment Calibration Log
Figure 8

23. A-One Laboratory Report
Figure 9

24. Corrective Action Report
Figure 10

25. Employee Training Record
Figure 11

26. HACCP Plan Form: IQF Shrimp
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