HACCP – STEP 12, PRINCIPLE 7

DOCUMENTATION
AND
RECORD-KEEPING
FAO Good Hygiene Practices (GHP) and
Hazard Analysis and Critical Control Point
(HACCP) Toolbox for Food Safety
HACCP – STEP 12, PRINCIPLE 7

DOCUMENTATION
AND
RECORD-KEEPING
FAO Good Hygiene Practices (GHP) and
Hazard Analysis and Critical Control Point
(HACCP) Toolbox for Food Safety

Food and Agriculture Organization of the United Nations

Rome, 2023
Required citation:

FAO. 2023. Documentation and record-keeping – Step 12, Principle 7. FAO Good Hygiene Practices (GHP) and Hazard Analysis and Critical Control Point (HACCP)
Toolbox for Food Safety. Rome. https://doi.org/10.4060/cc6276en

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CONTENTS

INTRODUCTION 1
CONTEXT 2

HACCP STEP 12 3
EXERCISE: FOOD SAFETY FOR THOUGHT 8

KEEP READING 9

iii
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FAO Good Hygiene Practices (GHP) and Hazard Analysis and Critical Control Point (HACCP) Toolbox for Food Safety

DOCUMENTATION
AND
RECORD-KEEPING
INTRODUCTION
12. DOCUMENTATION
PRINCIPLE 7 AND RECORD-KEEPING
This guidance document is part of a toolbox of materials
11. VALIDATION
and has been developed to provide users with a good PRINCIPLE 6 AND VERIFICATION

understanding of food safety management practices,

10. CORRECTIVE ACTIONS
including HACCP systems, based on the Codex General PRINCIPLE 5
You are here
Principles of Food Hygiene (CXC 1-1969). 9. MONITORING CRITICAL
PRINCIPLE 4 CONTROL POINTS

Well established and effective 8. ESTABLISH VALIDATED

Good Hygiene Practices (GHP) PRINCIPLE 3 CRITICAL LIMITS

set the foundation for implementing 7. DETERMINE CRITICAL

PRINCIPLE 2 CONTROL POINTS
a HACCP system.
6. CONDUCT A
PRINCIPLE 1 HAZARD ANALYSIS
This graphic representation
shows the seven principles 5. ON-SITE CONFIRMATION
OF FLOW DIAGRAM
of HACCP along with the
4. CONSTRUCT FLOW
12 successive steps for its DIAGRAM

application. 3. IDENTIFY INTENDED

USE AND USERS

2. DESCRIBE PRODUCT

1. ASSEMBLE HACCP TEAM

AND IDENTIFY SCOPE

GHP 1
DOCUMENTATION AND RECORD-KEEPING

DOCUMENTATION
AND
RECORD-KEEPING
CONTEXT

Efficient and accurate record-keeping is essential

to an effective HACCP system. HACCP procedures Learning objectives
should be documented, and the documentation
and record-keeping should be appropriate to the This document provides guidance on
nature and size of the operation and sufficient to how to:
help the business to verify that HACCP controls are in
place and being maintained. Generic HACCP plans or • find examples of documents and
materials developed by external experts may be used records needed for a HACCP plan;
for documenting or recording, provided that those
materials reflect the specific food operations of the • know which document formats are the
business. Documentation and record-keeping do not most effective for record-keeping; and
need to be complicated. Records can be paper-based
or electronic. • understand the importance of record-
keeping to the HACCP plan.

2
FAO Good Hygiene Practices (GHP) and Hazard Analysis and Critical Control Point (HACCP) Toolbox for Food Safety

DOCUMENTATION
AND
RECORD-KEEPING
HACCP STEP 12
Principle 7: Establish documentation concerning all procedures and
records appropriate to these principles and their application

Why documentation is important

Codex definitions:
• Documented procedures create consistency between
workers performing the same task.
HACCP Plan: Documentation
or set of documents,
• Documented training materials facilitate consistent
prepared in accordance with
training for new employees as well as retraining.
the principles of HACCP to
ensure control of significant
• Records can be used in continuous improvement
hazards in the food business.
processes.

• Documented procedures and monitoring records are

needed for audits and support international trade.

Records are essential for reviewing the adequacy of the

HACCP plan and adherence to the HACCP system.

3
DOCUMENTATION AND RECORD-KEEPING

DOCUMENTATION
AND
RECORD-KEEPING
HACCP STEP 12

Types of documentation

documentation used in developing the HACCP plan (HACCP forms 1 -10)

records generated by the HACCP plan (such as monitoring records)

documentation of methods and procedures used (such as, operating procedures and work instructions)

records of employee training programmes

Examples of documentation include:

• HACCP team composition

• hazard analysis and the scientific support for the hazards included in or excluded from the plan

• critical control point (CCP) determination worksheet

• critical limit determination and the scientific support for the limits established

• validation of control measures

• modifications made to the HACCP plan

See Supporting documents for templates and examples.

4
FAO Good Hygiene Practices (GHP) and Hazard Analysis and Critical Control Point (HACCP) Toolbox for Food Safety

DOCUMENTATION
AND
RECORD-KEEPING
HACCP STEP 12

What are records and why are they needed?

• A record is a document that permanently captures information as evidence that an action was
executed under the HACCP plan.

• Records can be kept in digital or electronic format and may be handwritten, if necessary. They may
include figures, graphs and charts, photographs, videos, etc.

• Food businesses are responsible for complying with regulatory requirements and demonstrating
compliance through documented events.

• Records allow the food business to easily and confidently confirm that its HACCP plan is effective.

Records can also provide information for:

• identifying and addressing the root cause of an issue

• analysing data and identifying trends to continuously improve a process or procedure

• identifying gaps in training

5
DOCUMENTATION AND RECORD-KEEPING

DOCUMENTATION
AND
RECORD-KEEPING
HACCP STEP 12

Examples of records:

• observations or measurements taken to monitor CCP critical limits

• equipment calibration logs

• personnel training logs

Records should be complete, useful and accurate.

• Recorded information should be legible and accurately reflect the activity or observation that
occurred.

• Entries should be recorded by designated and trained personnel and should be signed and dated.

• Units of measurement should be included in recording specific measurements.

• Any changes made to records should not obstruct information included previously.

• If records are electronic, they should be backed up.

6
FAO Good Hygiene Practices (GHP) and Hazard Analysis and Critical Control Point (HACCP) Toolbox for Food Safety

DOCUMENTATION
AND
RECORD-KEEPING
HACCP STEP 12

All documents should include the following:

• page numbers

• date

• document number and revision number (if applicable)

• title on every page (header or footer)

• name of author or approver

• clearly marked changes on revised copies (indicating what has been updated)

• instructions on how to properly complete the documents

• indication of where completed records are stored

i For additional information, please consult the Further reading

section accessible from the SECTION LANDING PAGE.

7
DOCUMENTATION AND RECORD-KEEPING

DOCUMENTATION
AND
RECORD-KEEPING
EXERCISE: FOOD SAFETY FOR THOUGHT

This is the little “game” we GHP PROGRAMMES Please explain your choices.
created. This will apply to all
1. INTRODUCTION AND
HACCP steps, except the intro. CONTROL OF FOOD HAZARDS

2. PRIMARY PRODUCTION

12. DOCUMENTATION
3. ESTABLISHMENT - DESIGN
AND RECORD-KEEPING OF FACILITIES AND EQUIPMENT

4. TRAINING AND
COMPETENCE

GHP are fundamental 5. ESTABLISHMENT MAINTENANCE,

DISINFECTION, AND PEST CONTROL
to the sucessful application
of HACCP. 6. PERSONAL
HYGIENE

Think of a food operation

that you are familiar with, 7. CONTROL
OF OPERATION
and select those GHP
elements that you feel 8. PRODUCT INFORMATION

are most relevant for the AND CONSUMER AWARENESS

application of HACCP step 12.

9. TRANSPORTATION

8
FAO Good Hygiene Practices (GHP) and Hazard Analysis and Critical Control Point (HACCP) Toolbox for Food Safety

DOCUMENTATION
AND
RECORD-KEEPING
KEEP READING
12. DOCUMENTATION
PRINCIPLE 7 AND RECORD-KEEPING
You have reached the end of the guidance for HACCP.
11. VALIDATION
PRINCIPLE 6 AND VERIFICATION

10. CORRECTIVE ACTIONS

PRINCIPLE 5

FEEDBACK ON THIS 9. MONITORING CRITICAL

GUIDANCE MATERIAL IS PRINCIPLE 4 CONTROL POINTS

ALWAYS WELCOMED! 8. ESTABLISH VALIDATED

PRINCIPLE 3 CRITICAL LIMITS

Please contact us at: PRINCIPLE 2

7. DETERMINE CRITICAL
CONTROL POINTS
[email protected]
6. CONDUCT A
PRINCIPLE 1 HAZARD ANALYSIS

5. ON-SITE CONFIRMATION
OF FLOW DIAGRAM

4. CONSTRUCT FLOW
DIAGRAM

3. IDENTIFY INTENDED
USE AND USERS

2. DESCRIBE PRODUCT

1. ASSEMBLE HACCP TEAM

AND IDENTIFY SCOPE

GHP 9
 KEEP READING

GHP and HACCP Toolbox for Food Safety

www.fao.org/good-hygiene-practices-haccp-toolbox

FOOD SYSTEMS AND FOOD SAFETY –

ECONOMIC AND SOCIAL DEVELOPMENT
www.fao.org/food-safety

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS

ROME, ITALY

CC6276EN/1/06.23