1. Chapter 11 Record-Keeping Procedures

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

3. Principle 7 u 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 u Hazard Analysis Worksheet u Records related to performing hazard analysis and establishing critical limits u Data use to establish adequacy of barriers to pathogen growth u Data used to establish safe product shelf life u Adequacy of heating processes u HACCP team members and their responsibilities u Summary of preliminary steps taken in the development of a HACCP plan u Prerequisite programs

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

7. 2. CCP Monitoring Records u 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 u Discussed in Chapter 9

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

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

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

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

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

14. HACCP Plan Form: Records 1. CCP 2. Hazard 3. Critical Limits What How Frequency Who Monitoring 4.5.6.9. Verification 8. Corrective Action(s) 10. Records 7.

15. Raw Material Evaluation Sheet u Figure 1

16. Supplier’s Guarantee u Figure 2

17. Shrimp Cooker Log u Figure 3

18. Pack Room Inspection Record u Figure 4

19. A-One Laboratory Report u Figure 5

20. Cooking Process Validation Letter u Figure 6

21. Cooking Equipment Validation Letter u Figure 7

22. Equipment Calibration Log u Figure 8

23. A-One Laboratory Report u Figure 9

24. Corrective Action Report u Figure 10

25. Employee Training Record u Figure 11

26. HACCP Plan Form: IQF Shrimp u Pages 125-126