1. Seafood HACCP Alliance for Training and Education Chapter 11 Principle 7: Record-Keeping Procedures

2. Seafood HACCP Alliance for Training and Education Chapter 11 / In this chapter you will learn: What records are needed How to develop appropriate records How to conduct a record review How computerized records may be used 1

3. Seafood HACCP Alliance for Training and Education Chapter 11 / Six types of records are needed in a HACCP system: 1) The HACCP plan and supporting documentation 2) CCP monitoring records 3) Corrective action records 4) Verification records 5) Sanitation control records 6) Importer verification records 2

4. Seafood HACCP Alliance for Training and Education Chapter 11 / 1) The HACCP plan and its supporting documentation 3

5. Seafood HACCP Alliance for Training and Education Chapter 11 / Examples of HACCP Plan Support Documents: Data from published scientific studies Data from in-plant studies conducted by processing authorities Data from equipment manufacturers or other authorities Data gathered in the Preliminary Steps Pre-requisite programs including sanitation control procedures Written hazard analysis worksheets 4

6. Seafood HACCP Alliance for Training and Education Chapter 11 / 2) CCP monitoring records HACCP monitoring records are used to document that food safety hazards have been controlled at each CCP. 5

7. Seafood HACCP Alliance for Training and Education Chapter 11 / Information required on HACCP monitoring records: Title of record (e.g. Shellfish Receiving Log) Firm name and location Product identification (if applicable) Date and time of monitoring observation Actual measurement or observation taken Signature or initials of the person performing the monitoring activity Signature of the trained person reviewing the monitoring record and the date of review 6

8. Seafood HACCP Alliance for Training and Education Chapter 11 / Monitoring Record Examples – Go to page 146 7

9. Seafood HACCP Alliance for Training and Education Chapter 11 / 3) Corrective action records 8

10. Seafood HACCP Alliance for Training and Education Chapter 11 / 4) Verification records 9

11. Seafood HACCP Alliance for Training and Education Chapter 11 / Verification Records document the results of: Accuracy checks and calibration of process-monitoring instruments Record reviews Laboratory test results In-plant studies or challenge tests Audits and inspections 10

12. Seafood HACCP Alliance for Training and Education Chapter 11 / Electronic or computerized monitoring records must be equivalent to paper records and handwritten signatures. 11

13. Seafood HACCP Alliance for Training and Education Chapter 11 / An effective electronic record keeping system must: Be authentic, accurate and protected; Provide accurate and complete copies of records; Protect records for later retrieval; Limit access to authorized individuals; Provide a secure record audit trail; and Be reviewed by HACCP trained individual. 12

14. Seafood HACCP Alliance for Training and Education Chapter 11 / Daily Cooker Temperature Log – Go to page 150 13

15. Seafood HACCP Alliance for Training and Education Chapter 11 / Continuous temperature record with periodic monitoring – Go to page 151 14

16. Seafood HACCP Alliance for Training and Education Chapter 11 / Weigh/Pack/Label Log (Monitoring Record) - Go to page 152 15

17. Seafood HACCP Alliance for Training and Education Chapter 11 / Corrective Action Report (Corrective Action Record) -Go to page 152 16

18. Seafood HACCP Alliance for Training and Education Chapter 11 / Daily Thermometer Accuracy Log (Verification Record) - Go to page153 17

19. Seafood HACCP Alliance for Training and Education Chapter 11 / Quarterly Thermometer Calibration Log (Verification Record) - Go to page 153 18

20. Seafood HACCP Alliance for Training and Education Chapter 11 / Finished Product Microbiological Evaluation Report (Verification Record) -Go to page 154 19

21. Seafood HACCP Alliance for Training and Education Chapter 11 / Raw Product Chemical Evaluation Report (Verification Record) - Go to page 155 20

22. Seafood HACCP Alliance for Training and Education Chapter 11 / Annual Thermal Process Validation Report (Verification Record) 21 May 9, 2011 John J. Smith, President ABC Shrimp Company One Saltwater Lane Seaside, FL 33333 Dear Mr. Smith, Heat penetration tests have been completed for your “Ready-to-eat, peeled and deveined shrimp” processed in a continuous steam cooker at your facility on April 19, 2010 using a portable data logger and 12 thermocouple leads. Observations were made of internal product temperatures for six shrimp from individual lots of large (3.5 to 5.0 shrimp per oz.), medium (5.0 to 9.0 shrimp per oz.) and small (9.0 to 17.0 shrimp per oz.) processed in the steam cooker during production runs at 212°F for three minutes. The internal temperature of large shrimp exceeded 165°F; medium shrimp, 170°F and small shrimp, 180°F. The internal product temperatures noted during these tests exceed your firm’s HACCP critical limits of an internal temperature of 165°F for 40 seconds. Our studies revealed that shrimp processed at 212°F for three minutes delivered an internal product temperature above 165°F for a minimum of 40 seconds. These temperatures are equivalent to a 6-D process for elimination of Listeria monocytogenes. These data serves as your annual thermal process validation study. If parameters change, such as cooking temperature, time, shrimp size, shrimp volumes, then you should repeat the thermal process validation study to ensure an adequate cook is being achieved in your process. Sincerely, I.M. Helpful Seafood Processing and Research Unit Seafood Process Authority

23. Seafood HACCP Alliance for Training and Education Chapter 11 / Annual Thermal Equipment Validation Report (Verification Record) 22 May 9, 2011 John J. Smith, President ABC Shrimp Company One Saltwater Lane Seaside, FL 33333 Dear Mr. Smith, Temperature distribution tests were performed on April 19, 2011 on the steam cooker located at ABC Shrimp Company in Sunshine, Florida. Data was collected from ten thermocouples and continuous temperature logger during three production runs. Test results indicate that temperature distribution profiles in your cooker ranged from 212 to 214°F. These studies show that your steam cooker, when run properly, continues to operate as designed. Sincerely, I.M. Helpful Seafood Processing and Research Unit Your State University

24. Seafood HACCP Alliance for Training and Education Chapter 11 / Annual HACCP Plan Verification Report (Verification Record) -Go to page 157 23

25. Seafood HACCP Alliance for Training and Education Chapter 11 / Employee Training Report (Pre-requisite Document) - Go to page 157 24

26. Seafood HACCP Alliance for Training and Education Chapter 11 / Histamine Fish Receiving Log (CCP Monitoring Record) - Go to page 159 25

27. Seafood HACCP Alliance for Training and Education Chapter 11 / Histamine Fish Refrigeration Log (CCP Monitoring Record) - Go to page 159 26

28. Seafood HACCP Alliance for Training and Education Chapter 11 / Packing Room Log (CCP Monitoring Record) - Go to page 160 27

29. Seafood HACCP Alliance for Training and Education Chapter 11 / HACCP Plan Form - Go to page 161 28