Opening Retail Store Checklist

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					Country of Origin
Labeling
                    1
Federal Register Part II USDA AMS 7 CFR Part
60 and 65 Mandatory Country of Origin Labeling;
Final Rule, dated January 15, 2009
Country of Origin Labeling Compliance Guide,
dated March 9, 2009
Country of Origin Labeling Surveillance Review
Procedures for Retail Facilities, dated April 23,
2009
COOL Workbook
www.ams.usda.gov/cool

  Country of Origin
  Labeling            *Compliance Guide-Section 2
                                           2
   The USDA, Agriculture Marketing Service,
    Livestock and Seed Program, Standards,
    Analysis, and Technology (SAT) Branch is the
    responsible authority for enforcement of the
    COOL regulation requirements
       Otherwise known as USDA for the purposes of
        this presentation
   The Retail Surveillance Review Procedures are
    applicable to retail facilities licensed under the
    Perishable Agricultural Commodities Act of 1930
    (PACA)
   The Surveillance Reviews will be conducted at
    retail facilities designated by the USDA
         Country of Origin
         Labeling            *Compliance Guide-Section 3&2
                                                    3
 Review locations and frequency will be
 pre-determined and assigned to State
 COOL Manager by the USDA.
 Reviewswill be conducted as specified in
 the COOL Surveillance Review
 Procedures for Retail Facilities.
 Retailerscan identify a key corporate
 contact to USDA for inclusion on the Store
 Assignment list so that a copy of the report
 will be sent automatically to contact

    Country of Origin
    Labeling
                                       4
 Possess   and identify themselves with a
  valid government employee identification
 Dress appropriately and conduct
  themselves in a professional manner at all
  times
 Interact with store officials in a courteous
  and diplomatic manner
 Be observant and thorough while
  conducting the review

   Country of Origin   *Surveillance Review
   Labeling            Procedures-Section 5
                                         5
 Reviewers   shall:
  Limit the scope of the review to the
   commodities and requirements covered
   by the COOL regulation
  Conduct an opening and closing meeting
   with the store officials
  Answer any questions and provide
   information concerning the COOL
   requirements

   Country of Origin   *Surveillance Review
   Labeling            Procedures-Section 5
                                         6
Reviewers        shall:
  Discuss   all findings with the store official
   during the closing meeting
  Notify the store officials that the findings are
   not final until reviewed by the COOL
   Program Manager
  Consider all information gathered as
   confidential to the store or chain
  Contact the USDA COOL Program
   Manager with any questions

   Country of Origin       *Surveillance Review
   Labeling                Procedures-Section 5
                                             7
 Reviewers shall:
  Complete the Retail Surveillance Review
   Worksheet in the COOL Workbook
  Forward all findings to the COOL
   Program Manager




   Country of Origin   *Surveillance Review
   Labeling            Procedures-Section 5
                                         8
3 Step Review Process:

1.        Review Preparation
2.        Conducting Retail Review
           Opening Meeting
           Review of labeling for all covered commodities
           Record review for 5 items – one selected from each category
           Closing Meeting

3.        Post Review
 Reviews           should not take more than 2-3
 hours.
        “Keep moving thru the store”
 Reviewers            will not take photographs
         Country of Origin
         Labeling                 *Compliance Guide-Section 9.0
                                                                   9
Country of Origin
Labeling
                    10
 Priorto conducting the review:
  Reviewer will review the reference
   documents and become familiar with COOL
   requirements and covered commodities
  Obtain information about the retail facility to
   be reviewed from the Store Assignment List
  Be prepared to answer questions and to
   provide information to the facility
   representative manager

     Country of Origin   *Surveillance Review
     Labeling            Procedures-Section 7.1
                                           11
 The COOL Workbook is an Excel Spreadsheet
 that contains:


    Worksheet

    Checklist

    Information        Form
    Non-Compliance        Notification Letter



    Country of Origin
    Labeling
                                                 12
   Store Assignment List provides store information
    that will be entered into the Worksheet :
     Review Number
     Store name, number, address, phone number, and
      shopping center (if applicable)
     Corporate contact name and address
     Information on stores that were reviewed
      previously
     Commodity category to request store records




        Country of Origin   *Surveillance Review
        Labeling
                                               7.2
                            Procedures-Section 13
Country of Origin
Labeling
                    14
Store Assignment List “Notes” column
 contains additional information about the
 previous review including:

  Store representative name
  Findings identified
  File name from previous review




    Country of Origin   *Surveillance Review
    Labeling            Procedures-Section 7.2
                                          15
 Contact COOL Program Manager to
 request a copy of the previous COOL
 workbook, for stores selected for follow-up
 from prior year.

 Complete  the Worksheet with the available
 store information.



    Country of Origin   *Surveillance Review
    Labeling            Procedures-Section 7.2
                                          16
   General information - to be completed by reviewer
    before review
     Store information        Reviewer information
   Reference chart of “non-compliance” codes
   Sections for five covered commodity “groups”
     Fruits and nuts          Beef, veal and pork
     Vegetables and ginseng   Chicken, goat and lamb
     Fish and shellfish
   Within each covered commodity section of
    Worksheet:

       “Non-compliant labeling”   Record information
*****Reviewers are NOT supposed to keep records – just
       record the information onto the forms*****

                                                    17
Worksheet
1.    Covered commodity is not identified with the Country of Origin.
2.    Country of Origin declaration is not legible and/or is not placed in
      a conspicuous location.
3.    Country of Origin declaration is not accurate.
4.    The Country of Origin is not stated in an acceptable form.
5.    Abbreviations and variant spellings do not unmistakably indicate
      the country of origin.
6.    Covered commodity is not identified with the Method of Production
      information
7.    Method of Production declaration is not legible and/or is not
      placed in a conspicuous location.
8.    Method of Production declaration is not accurate.
9.    Method of Production was not stated in an acceptable form.
10.   Records were not provided within 5 business days.
11.   Records do not provide the Country of Origin information.
12.   Records do not provide the Method of Production information.
13.   Records do not provide the Supplier information.

         Country of Origin
         Labeling               *Compliance Guide-Section 9.0
                                                             19
Information Form
Checklist
Administrative Use
      Only
Country of Origin
Labeling
                    23
Upon arrival at the retail store, the reviewer
 shall:
  Introduce themselves as a representative
   of USDA with official picture
   identification
  Request a meeting with the store
   manager, counter manager, or other
   appropriate official
  Conduct a short opening meeting with
   the store representative
    Country of Origin   *Surveillance Review
    Labeling            Procedures-Section 7.7
                                          24
If the facility representative refuses to
   cooperate with the review:
    Make every effort possible to complete
     the review
    Ask the representative for his/her name
    Leave the facility
    Document the specifics of the incident,
     including the facility representative’s
     name

    Country of Origin   *Surveillance Review
    Labeling            Procedures-Section 7.7
                                          25
 Provide  the COOL Information Form to the
  store representative
 Explain the scope and objective for the
  review
   Scope- Labeling of covered commodities and
    supporting documentation to verify labeling
   Objective – To determine the stores compliance
    to the COOL requirements
 Provide a short summary of what will be looked
  for and the procedures to be followed during the
  review
      Country of Origin    *Surveillance Review
      Labeling             Procedures-Section 7.8
                                           26
 Verifythe store name, number, address, phone
  number, and corporate address
 Request:
   Store Representative Name
   Responsible Authority Name
   Responsible Authority’s Position
   Corporate Representative
      Mailing Address



      Country of Origin    *Surveillance Review
      Labeling             Procedures-Section 7.8
                                             27
 Ascertain  what records are maintained onsite
  to determine if the required records can be
  provided prior to the conclusion of the review.
 If the records are not maintained at the facility
  verify that the records can be submitted
  within 5 business days of the review.
 Provide the store representative with the due
  date upon which records must be received.


     Country of Origin   *Surveillance Review
     Labeling
                                            7.8
                         Procedures-Section 28
 Answer  any questions pertaining to the
  review or the COOL regulation
 Inform the store representative that they
  are welcome to accompany you during the
  review
 Confirm the time and place for the closing
  meeting


    Country of Origin   *Surveillance Review
    Labeling            Procedures-Section 7.8
                                          29
Review all locations where covered
 commodities are presented for retail sale
 including the:
  Self-service counter
  Areas where fresh and frozen covered
   commodities are displayed
  Sale counters and promotional display areas


Verify that information is legible and placed
 in a conspicuous location.
     Country of Origin   *Surveillance Review
     Labeling            Procedures-Section 7.9
                                           30
If the store has been reviewed previously:

        that any previously identified non-
  Verify
   compliance findings have been corrected

  Document    in the “Notes” section of the
   Worksheet whether the non-compliances
   cited from the previous review have or
   have not been corrected

     Country of Origin   *Surveillance Review
     Labeling            Procedures-Section 7.9
                                           31
1. Evaluate all covered commodities
   throughout the store to determine if they
   are correctly labeled with the country of
   origin (and method of production, if
   applicable)
2. Request records for 1 item from each of
   the five different categories of
   commodities (Total of 5 record review
   items)

    Country of Origin   *Surveillance Review
    Labeling            Procedures-Section 7.9
                                          32
2. Select five covered commodities using the
  categories as detailed in the Store Assignment
  List
         A   Fresh Fruits              K   Beef muscle cuts

         B   Frozen Fruits             L   Ground Beef
                                           Veal muscle cuts or
         C   Peanuts                   M   Ground Veal
         D   Pecans                    N   Pork muscle cuts

         E   Macadamia Nuts            O   Ground Pork

         F   Ginseng                   P   Chicken muscle cuts

         G   Fresh Vegetables          Q   Ground Chicken
                                           Goat muscle cuts or
         H   Frozen Vegetables         R   Ground Goat
         I   Fresh Fish & Shellfish        Lamb, Mutton
                                       S   muscle cuts or
         J   Frozen Fish & Shellfish       Ground Lamb
                                                                 33
 USDA will specify one type of covered
 commodity in each of the 5 broad
 groupings on the Worksheet for which the
 reviewer should collect record information

 Reviewer will look for one covered
 commodity in each of the 5 categories
 specified by USDA and request records for
 each of those 5 items



   Country of Origin    *Surveillance Review
   Labeling            Procedures-Section 7.13
                                          34
 Records  are requested for the purpose of
 verifying the accuracy of the COOL
 information and to verify that the records
 provide information for the previous
 supplier

 Reviewer  must record enough information
 to enable USDA to contact the firm or
 entity that supplied the covered commodity

   Country of Origin    *Surveillance Review
   Labeling            Procedures-Section 7.13
                                          35
If additional time is necessary to provide
   records that verify the COOL claim,
   provide the store representative with:

 5  business days to provide records
  Due date upon which records must be
   received
  Reviewer’s contact information:
   Reviewer Name, Email Address, Fax
   Number.
    Country of Origin    *Surveillance Review
    Labeling            Procedures-Section 7.13
                                           36
 For covered commodities that are pre-labeled on
  the master container and subsequently re-labeled
  at the retail outlet, the original label of the
  shipping container may be observed to verify
  COOL information
 If the master container is not available; review
  bills of lading, shipping manifests, receiving
  documents, and/or labels saved from the master
  container.
 Store logs are acceptable documentation only
  when used in conjunction with other documents
  that will verify the accuracy of the COOL
  information for the selected item.
      Country of Origin         *Surveillance Review
      Labeling               Procedures-Section 7.13(e)
                                               37
For covered commodities that are NOT
 PRE-LABELED with COOL information:

  The documentation must contain
  information that identifies the item, the
  country of origin, the method of
  production, the previous supplier, and
  information that links the covered
  commodity to the documentation


   Country of Origin     *Surveillance Review
   Labeling            Procedures-Section 7.13(f)
                                           38
 Notify  the store representative of any
  findings
 Request additional information, if
  necessary, to verify the finding or to
  determine COOL compliance
 Record the name(s) of the non-complying
  item(s) and apply the appropriate
  justification via Non-Compliance Code(s)


    Country of Origin    *Surveillance Review
    Labeling            Procedures-Section 7.12
                                           39
 Summarize         all findings on Checklist

 Ifrecords were not provided by retailer,
  provide due date for when records must be
  submitted on Checklist




       Country of Origin     *Surveillance Review
       Labeling            Procedures-Section 7.15(a)
                                                40
 Review   all of the Workbook documents
  and explain the determinations made on
  the COOL Checklist
 Provide the store representative with the
  completed Checklist
   Verify that the name of the Responsible
    Authority, mailing address, file name, and
    records due date is recorded on the
    Worksheet


    Country of Origin     *Surveillance Review
    Labeling            Procedures-Section 7.15(a)
                                            41
 Answer   all questions pertaining to the review
  or the findings
 Explain to the store representative that:
   Review findings are not official until they are
    reviewed by the COOL Program Manager
   They will receive a letter from USDA
    requesting submission of corrective actions
    to address the findings, if applicable, within
    30 days
 Thank the store officials for time and
  cooperation
      Country of Origin     *Surveillance Review
      Labeling            Procedures-Section 7.15(e)
                                              42
Country of Origin
Labeling
                    43
 Reviewer  will type the handwritten
 information from the Worksheet into the
 Excel COOL Workbook, as well as any
 additional information
  Enter “Yes,” “No,” “N/A” or “Store Closed”
   adjacent to “Findings Identified?”

     all Non-Compliance codes in the
 Enter
 NC Code section according to the
 commodity group

   Country of Origin   *Surveillance Review
   Labeling            Procedures-Section 8.2
                                         44
 Reviewer  will email the completed
  Workbook to USDA COOL Program
  within 14 calendar days of store
  review
 USDA COOL Program Manager will
  perform the final review of the
  submitted COOL Workbooks to verify
  that the findings are justified
   Country of Origin   *Surveillance Review
   Labeling            Procedures-Section 8.2
                                         45
Non-compliance Notification
Letters will be issued to the Retailer
within 5 days of receipt of the
COOL Workbook
Retailers must respond with
corrective and preventive actions
within 30 days of receipt of the
Non-compliance Notification Letter

 Country of Origin
 Labeling
                                 46
If the Retailer:
     Does not respond with corrective
  actions within 30 days or
   Continues to willfully violate the
  COOL Regulations

USDA will provide notice of the
opportunity for a hearing with respect to
the violation

 Country of Origin
 Labeling
                                         47
Willful Violations

   Continued willful violations may
  result in fines in an amount of not
  more than $1,000 for each violation




 Country of Origin
 Labeling
                                   48
     USDA, AMS, Livestock and
           Seed Program
                     (202)720-4486
Chief of Standards, Analysis, and
 Technology Branch
  Martin    E. O’Connor
COOL Specialists
    Julie Lewis
    Ken Becker
    Maribel Reyna
       Country of Origin
       Labeling
                                     49
E-mail
  COOL@ams.usda.gov

Website
  www.ams.usda.gov/cool
Mailing Address
  Country of Origin Labeling Program
   1400 Independence Ave, SW
   Room 2607-S, STOP 0254
   Washington, D.C. 20250-0254

 Country of Origin
 Labeling
                                  50

				
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