USDA 

 

 

THERMAL PROCESSING 

TRAINING 

Module 15. Records for Product 

Protection 

Thermal Processing for Meat and Poultry 

Products Training 

1 
 

 

 

THERMAL PROCESSING 

TRAINING 

Records Essential to Canning 

 Product protection for thermally processed 

foods involves 

 Thermal process records 

 Critical factor control records 

 Closure evaluation records 

2 
 

THERMAL PROCESSING 

TRAINING 

Regulations 

 Recordkeeping requirements are throughout 

the canned food regulations. 

 The main sections dealing with 

recordkeeping, reviewing, and maintenance 

requirements are in sections 431.7 and 431.8 

3 
 

THERMAL PROCESSING 

TRAINING 

Reasons for Keeping Records 

1. Records demonstrate Compliance with 

regulations 

• Management is responsible for compliance 

with regulations 

• Civil and criminal penalties can be 

assessed against responsible parties 

4 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Reasons for Keeping Records 

2. Records provide assurance of proper and 

safe application of thermal processes 

• They are the only permanent reference 

• They trace the history of the product 

3. Careful review of records can give indication 

of problem 

• Responsible individual can take corrective 

action before the problem occurs 

5 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Records and Responsibilities 

 Records that accurately reflect operating 

conditions during production must be kept. 

 Data must be recorded by the designated 

person at the specific time the 

operation/condition occurs. 

 Records must be reviewed by responsible 

establishment management. 

6 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Automatic Recordkeeping 

 Automatic recordkeeping may be integrated 

with thermal processing control systems. 

 Establishments should notify FSIS prior to 

use. 

 Automatic recordkeeping systems must be 

validated in accordance with 417.4(a)(1). 

7 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Record Retention 

 Processing and container closure evaluation 

records must be retained for 3 years. 

 FSIS permits storage at an alternate site 

during the last 2 years of the retention period. 

8 
 

 

 

 

 

 

THERMAL PROCESSING 

TRAINING 

Record Availability and Reporting 

 The establishment is required to make 

records required by the regulations available 

upon request of the CSI. 

 Must allow inspection of records which verify: 

• Process adequacy 

• Container closure integrity 

• Container coding system 

9 
 

 

THERMAL PROCESSING 

TRAINING 

Record Availability 

 Establishment must provide 

1. Process schedule development records 

2. Process schedules 

3. Critical factors records 

4. Time/temperature recording charts 

5. Processing (retort or aseptic system) 

records 

10 
 

 

THERMAL PROCESSING 

TRAINING 

Record Availability 

 Establishment must provide 

6. Container closure specifications/guidelines 

7. Container closure/integrity records 

8. Retort operation documentation 

9. MIG calibration/accuracy records 

10.Yearly retort maintenance records 

11.Information on recycled or reused container 

cooling water 

11 
 

 

THERMAL PROCESSING 

TRAINING 

Record Availability 

 Establishment must provide 

12. A process deviation log 

13. Coding for each container 

14. Initial distribution records 

15. Product incubation results 

16. A recall procedure 

12 
 

 

 

THERMAL PROCESSING 

TRAINING 

Container Code Requirements 

 FSIS requires: 

• product, day, and year 

• establishment number on the label or 

container 

13 
 

 

 

 

 

 

THERMAL PROCESSING 

TRAINING 

Incubation Records 

 If the establishment chooses to incubate 

product samples, they must maintain records 

for each incubation test, including: 

• the product name, 

• the container size and code, 

• the number of containers incubated, 

• in and out dates for incubation samples, 

• incubation results, and 

• copies of incubator temperature recorder 

14 
 

 

THERMAL PROCESSING 

TRAINING 

Recalls 

 The recall procedure must recall product to 

the consumer level. 

 The establishment must include a plan to 

identify, collect, and control the recalled 

product. 

15 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Statistical Quality Control Charts 

 Most operations must be kept within specific 

tolerances. 

 Conditions may be monitored through 

statistical quality control (SQC) charts. 

 Tabulated figures are difficult to analyze and 

time consuming. 

 Converting figures to points on a SQC chart 

makes analysis easier. 

16 
 

 

THERMAL PROCESSING 

TRAINING 

Statistical Quality Control Charts 

 Indicate target and control limits 

 Present a graphical picture 

 A trend in data may forewarn of "out of 

control" situation 

 Typically include: 

• Net weights, 

• Fill weights, and 

• Head space 

17 
Cl) 

UJ 

c., 

;;z 

:::, 

0 

en 

LU 

u 

z 

=> 

0 

1. 05 AVERAGE 

10. 0 

9. 5 

9.0 

- 8 . 5 ____ _. _____________ __, _______ __. ___________________ __,.._ __ 

l. 5 

1.0 

.5 

7 9 11 

AM 

1 3 

PM 

5 

TIME 

RANGE 

-

7 9 11 

--~----~~-::""9-- -- ... -

-

9 11 

---

l 3 5 7 

-

PM 

TIME 

-

9 11 

-

l 3 

AM 

-

5 7 

. ...., __ _ 

I 3 5 7 

AM 

Example of a Control Chart 

18 

THERMAL PROCESSING 

TRAINING 
 

 

THERMAL PROCESSING 

TRAINING 

Limitations of SQC Control Charts 

 SQC charts are 

• not appropriate for monitoring batch 

operation critical factors, e.g., pH, product 

consistency 

• not appropriate for retort temperature/time 

19 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Processing Records 

 The written retort/aseptic system operator 

records, critical factor records, and recording 

charts are the heart of process control 

program. 

• They must be complete, accurate, and 

retained. 

 Recording charts must be identified to 

correlate with the written retort/aseptic system 

operator record. 

20 
 

 

 

 

 

THERMAL PROCESSING 

TRAINING 

Critical Factor Records 

 Measurements are usually keep on separate 

forms. 

 Measurements are taken according to and at 

the frequency listed the written procedure. 

• measurements should be made at intervals 

sufficient to ensure that the CF remains 

within the limit in the process schedule. 

21 
 

 

 

THERMAL PROCESSING 

TRAINING 

Retort/Aseptic System Operator Records 

 The written records must identify: 

• production date, 

• product name and style, 

• container size and code, 

• process schedule including the minimum IT, 

• addition information depending on the 

thermal processing system 

 Must include accurate temperature readings 

of the MIG thermometer and recording chart. 

22 
DAIL V PROCESS RECORD FORM FOR STILL RETORTS 

COMPANY NAME _____________ _ PLANT LOCATION __________ _ DATE ______ _ 

Product 

( an d/ or Style 

of Pack 

Scheduled 

Process 

Code I.T. Time Temp. 

an eRetort 

dR 

corder 

Number 

Container 

Approx. 

Size No. 

Note: Allow headings for critical factors, such as maximum drained 

weight and minimum net weight etc. where applicable to 

scheduled process. 

At c ua 1 T. 1me 

I.T. Stearn 

(OF) On 

Esti1me 1me 1me rocess Temperature Temp. Temp. Steam Stearn Time 

Time& (OF) Up Off Off (min.) Mercury Recorder 

Vent Closed mated Actual Actual 

T T' p 

Signed ( or initialed) by: 

Operator or Designated Person: ____________ _ 

Reviewed by ___________ _ Date _____ _ 

Process (Retort Operator) Record for a 

Still Retort 

THERMAL PROCESSING 

TRAINING 

23 
Tuesday, Feb 06, 2001 

Vent 5 minutes to 230 deg F 

RT Cycle Cook Datt 

~l 

Time of Dav 

07: 25: 00 

07: 26: 02 

07: 28: 58 

07: 28:59 

07:28: 00 

07: 29: 00 

07: 30: 00 

ALARM 07: 35: 00 

07: 35: 00 

07: 35: 00 

07: 36: 00 

07: 40: 00 

07: 40: OS 

07: 42: 00 

07 

ABC Bean Co. Steam Retort 

Logged onto Retort Control on 2-6-01 at 7: 15: 02 

REPORT FOR RETORT 1 

Prod Cock # Containtn IT IT dmt Oper ID 

Btan Brotll 26IA32 200 120 07:32:02 501 

Phase Descriptio n Elapsed lime Data Logged 

Review logs Employee ID 0: 09: 58 501 

Loading Ready IO Load 0: 00: 00 

Loading Retort Loaded 0: 02: 56 

IT Enter IT 0:00: 00 

IT IT Entered 0: 00: 01 120 

Venting Begin Ve nt 0: 00: 00 

Venting Venting 0: 02: 00 

ABORT VENT FAIL RE 0: 06:00 

Pressure Cool Begin Phase 0: 00: 00 

Pressure Cool Hold Press ure 0: 00:00 

Pressure Cool Ramp Down 0: 01: 00 

Pressure Cool End Phase 0: 05: 00 

Draining Begin Drain 0: 00: 00 

Draining End Drain 0: 0 1: 55 

Temp 

90 

90 

90 

90 

90 

90 

90 

150 

ISO 

140 

140 

80 

70 

70 

70 

Prtaure 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

18 

18 

0 

0 

0 

Page 1 

Selected Process 

Code B 15: 00 at 250 deg F. 

OPERATORS NOTE: Vent failure due to st uck s1cam va lve on main sleam supply line. Valve repaired at 7:40 a m. Producl was lcfl in retort; process was started over at 7: 50 am. 

RT Cvclc Cook Date Prod Code # CorH aincrs 

deg F. 

I 2 Bun Broth 261A32 200 

Time of Dav Phase Description 

07: 50: 00 Review logs Employee ID 

07:5 1:00 Load ing Ready 10 Load 

07: 51: 00 Loading Retort Loaded 

07; SI: 06 IT Enter IT 

07:51:07 IT IT Entered 

07: 51: 08 Venting Begin Vent 

07: 52: 08 Venting Venting 

07: 55: 08 Vent ing Vent Temp Reac hed 

07: 56: 08 Vent ing Vent Time Reached 

07: 56: IO Come Up Begin Ph ase 

07: 57: 50 Come Up Temp Reached 

07: 58: 00 Cook Begi n Phase 

08: 00: 00 Cook Mercury Entry 

08: 00: 00 Cook Cha ri Entry 

08: 13: 00 Cook End Cook 

08: 13: 00 Pressure Cool Begin Phase 

08: 13 : 00 Pressure Cool Mold Pressure 

08: 13: 00 Pressure Cool Ramp Down 

08: 17:00 Pressure Cool End Phase 

08: 22: 05 Draining Begi n Drain 

08: 25: 00 Draining End Drain 

IT IT lime 

120 

Elapsed lime 

0: 01: 58 

0: 00: 00 

0: 00: 06 

0:00: 00 

0: 00: 01 

0: 00: 00 

0: OJ : 00 

0: 04: 00 

0: OS: 00 

0: 00: 00 

0: 01: 40 

0: 00: 00 

0: 02: 00 

0: 02: 00 

0: 15: 00 

0: 00:00 

0: 00:00 

0: 04: 00 

0: 09: 00 

0: 00: 00 

0: 01: 55 

Oper ID 

07:51:07 001 

Uata Logged 

00 1 

120 

250 

250 

Temp Pressure Stle<:tcd Proc:tss 

Code B 15 : 00 at 250 

90 • 

90 

90 ,. •" 

90 

90 • 

90 • 

90 • 

150 • 0 

230 6 

235 8 

140 10 

250 15 

250 15.1 

150 15.1 

250 15.1 

250 15.1 

250 18 

250 18 

250 18 

209 0 

70 0 

70 0 

THERMAL PROCESSING 

TRAINING 

Computer-Generated Record Example 

Computer 

generates 

data to be 

printed later. 

Operator 

inputs 

limited data 

through key 

pad, touch 

screen, or 

other 

method. 24 
 

 

 

THERMAL PROCESSING 

TRAINING 

Time/Temperature Recording Charts 

 The recording chart must identify: 

• production date, 

• container code, 

• processing vessel number or other 

designation, and 

• any other information needed to correlate 

the chart to the retort/aseptic system 

operator log 

25 
Circular Recorder Chart 

THERMAL PROCESSING 

TRAINING 

26 
Strip Chart Recorder 

THERMAL PROCESSING 

TRAINING 

27 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Processing Record Responsibility 

 Operator must sign or initial processing 

records 

 Management representative must review 

processing records, including critical factor 

records, within 1 working day of the actual 

process and date and sign or initial them. 

28 
 

THERMAL PROCESSING 

TRAINING 

Container Closure Inspection 

 Container integrity is critical to maintaining 

commercial sterility. 

 Records are proof that required examinations 

were accomplished. 

29 
THERMAL PROCESSING 

TRAINING 

Container Closure Records 

 Container closure records must include: 

• container code, 

• date and time of closure examination, 

• measurements obtained, and 

• any corrective actions taken 

30 
 

 

 

THERMAL PROCESSING 

TRAINING 

Can Seam Evaluation Records 

 The establishment is required to make visual 

and teardown examinations of can seams. 

• Conduct visual check on one container per 

closing machine head 

31 
 

 

 

THERMAL PROCESSING 

TRAINING 

VISUAL SEAM EXAMINATION CAN CODE 3402126 

DATE - 3/4/02 LINE NO. 1 CONTAINER SIZE 300/303 

TIME 

9:00 AM 

9:30 AM 

10:05 AM 

10:10 AM 

10:30 

HEAD # 

1 

2 

3 

3 

1 

ACCEPT 









REJECT 



COMMENTS 

SHARP SEAM 

NOTIFIED 

MAINTENANCE 

ADJUSTED 2ND OP 

ROLLER 

32 Equipment adjustments should be recorded. 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Seam Teardown Examination 

 Destructive test that permits internal 

observation of seams 

 Interval between observations should not 

exceed 4 hours 

33 
RECORDING DOUB'LE SEAM IMEASUIREMENTS 

~LA!NT ------­

UNE NO.----­

CAN Sl~E------

CAN ,c,ooe ____ _ 

Spindle Width lihickness 

Time No, 

I Max. 

RECOMMENDECI~ 

LEGEND 

Count I'• 

snk 

Depth 

Max. 

N No 

Body' ·Col!lor Overla;p, n1

~~ess Hook Hook Optical RMrng l.ength Lengdl 

Min, .. Max. 

I 

i 

I 

G- Good 

NOTE Und r remarikl ndlcam all abnarm I 11e1m cond lloM whfch ob rved such a J111mped S ams, Cut 

Overa, Cul Se.arm1 Droopa, I~ ,11:c •. When ad_ju,sm,a,n11. ore, made, c!upl 1:111 11nt1JHJ r m1nt11 ol u · 

componentl 1hould ba r-aeorded wr 1h11 H mll!li; &b1t[on, [nvolvvd. lDu,pUcate ml'a:a.urtmwlill ,, .how1d iJe 

.:hOWJ1 1in colo,r dil ,rant ttom tf19 ,wi\lilii I r,iJCQll(jln.9.!lrnl eitl ■ u!KI r romarb when mn111r1m1nt1 art 

mordod ait r iin -djustm,n 'tm, boon, mi--'IG lh,, · -- ng ,Jtatiolit. 

DATE-----

,can Supplier 

Pressure 

Ridge. 

R:EMARKS 

SEiE (See Note), 

LEGEND 

I 

Signed by (ContaJne,r Closure llns;pt) 

Reviewed by (!Management Rep) 

Date 

Example of Seam Evaluation Records 

THERMAL PROCESSING 

TRAINING 

34 
-

dax A.ve Remarks 

Example of Remarks Written in Records 

THERMAL PROCESSING 

TRAINING 

35 
DOUBLE SEAM INSPECTION HECORU -1 

~L.,,..r No.{ 

Sf' INO LE#I ___ 5P IN0LE=i ___ c: u,sm ;J03'1C~06t 

'(91' 111 ,1.,,1,.11, 1i3 i 

■ ... ••, ■ •• 

•- ~ ,/30 

§ >-- -

- ~,:: ....... .......... '. .. , ...... . 

,i'lO 

I' 

! 

.................. ~.-~ -- - r--- ":":"" 

>---

. •. ·.- .- • R"" ,::.:_ --~ - ••... . f-+- . -+ 

t 

! 

I 

, ........... ··,·· ........ .................. _ -~-- ........ ' ... . 

I 

curovt: 1,1 ._- ! 

_O'f{} •••••••••••••••• 

eoov wT I 

I 

DOUBLE SEAM INSPECTION RECORD ,..2 

"1.•N I .~ .. _•_..,/ ----

SF' l"I O L [ -" 1 --- SP•""0L f ;;;7 - c •Ns1zE 301XfOI,. 

~ ,075 

W~ l!\ll(L E 

J;UHT~f. S!i 

·l 0-72 

S ~ 1~ 11 IJ I l 3 8' f fO 'I I~ I 2 .3 

' 

............... , ................. . 

•!•• ••••.•••••••••• ,. • • • •••••••••••••••••••••••••••• : ••. 

i 

....... . - ................. , ... . 

i 

V•SLJA L oJ 

CAN COOE 

lltEMARKS 

{S.Jilotel 

Signed by (Container Closure lnspt.) 

Reviewed by (Management Rep.) 

Date 

Example of Double Seam Inspection Records 

THERMAL PROCESSING 

TRAINING 

36 
 

THERMAL PROCESSING 

TRAINING 

Glass Closure Evaluation Records 

 Columnar or SQC format 

 Visual and destructive examinations 

37 
PACKAGE EVALUATION RECORD -AT CAPPER 

Plant Line No. --- --- Product - ---- -----

Container Size & Mfg. ___ ____ ____ ____ _____ _ Closure Size _______ _ 

Date __________ ______ ___ _______ _ Code _ _ ________ _ 

! 

i Cold 

I Type Product Water Head Cap Pull Closure 

Time ' Capper Vac. and IT Vac. Space Tilt Up Sec. Impressions Remarks I 

I 

I 

' 

I 

Signed by (Container Ctosure lnspt.) 

Reviewed by (Managem_ent Rep.) 

Example of Capper Evaluation Records 

38 

THERMAL PROCESSING 

TRAINING 
lt•m ~-lty . Cap Slza & Coda Product-.- GlaaMfg . - · . 

... 0 0 r.,::. · e, 

~ lg g ~~ 0 0 ...., '?. ~ g~ 0 oo ,'? -~ s»~ '? S2 o,~ lg ,~ ~ ,s;:, ,<;> ,s;:, 0 0 1;;; 19. ':5 'c5 1;;:; 0 

"" 0 "'Q 

00 00 ,;; ··,- ';;. -;..., " -- ~ N NM "' •• '° kic kic .. ·•• ... , .... .... --'"' '"' "' -. - "'..., '° ... ... a- a- -.... .... --... - ,,-VACUUM ( in/Hg) :: --13 readingsll "' 

I I • 

- ~ Mt'ERATURE 

,,__ OF ' I •i-- pDnnucT 

HEADSPACE ( 1/16") .,, ..,__,_ i» 

·-,..(avg. 3t ~ 

Q 0 

8 5 

8 0 ·-· 7 5 -- I IU . - , . ... .. 6 5 

6 0 

c; le; ' - .. - .. - - .... 5 0 - ~ - ·- -- . - ·- ·- ~ · - -· . .. ··- ·-·- ~ ... 4 5 - - - - - t-

~ ~ 4 0 

- ~ 3 5 

-- 1>- - ' ,. n -~ -·- -- - -·- _,_ - -- ... r----

~- ~ - 19 z 5 - 1 2 0 r:: r--~ on l 'i - ···- t--- - l<D 

J t-- .... 1 0 G> 

i6 0 5 

- 0 0 

11 

---· ~ - ~- - . 

--- ·- -- ._~Q•r ~PfR~T1 R ·-

i 5EClHUTY RE. DIN! S- rSIDEDOmO II 11::;p· CIFICATION NOT FY M~CHAI IC. OUTSIDE St>llD LINE' Pl Cl ICAT ON NOTIFY SUP R\ ISOR. t-----

l11gned by 

Container Closure lnspec10r --- Revi-ed by ___ _ 

Example of Container Closure Records 

39 

THERMAL PROCESSING 

TRAINING 
 

 

 

 

THERMAL PROCESSING 

TRAINING 

Container Closure Record Responsibility 

 Signed or initialled by closure technician 

 Management representative must review 

closure records within 1 working day of the 

actual production and date and sign or initial 

them 

40 
1J 

 

 

 

Written Records 

THERMAL PROCESSING 

TRAINING 

 Use ink or permanent marker 

 Recording errors: 45 50 JD • Lined out 

• Correct entry is made 

• Initialled by person correcting the entry 

41 
 

 

 

 

 

 

THERMAL PROCESSING 

TRAINING 

Computerized Records 

 Computerized or automated recordkeeping 

systems can be used for thermal processing, 

critical factor monitoring and container 

integrity testing provided they meet the 

requirements in FSIS regulations. 

 Automated recordkeeping systems for retorts 

and aseptic systems are usually integrated 

with thermal processing control systems. 

42 
 

THERMAL PROCESSING 

TRAINING 

Computerized Records 

 FSIS has encouraged the industry to work 

cooperatively in the development of 

automated recordkeeping systems. 

 Computerized record systems must be 

validated. 

43 
44

Questions 

THERMAL PROCESSING 

TRAINING 

Questions?