Records and Documentation Requirements

In general, retailers must maintain records or other documentary evidence that permits verification of origin claims made at retail. These records may be maintained in any location and, unless specified otherwise, must be maintained for a period of 1 year from the date the declaration was made at retail.

Records Requests and Requirements for Origin Claims

Upon request, these records must be provided to any duly authorized representatives of USDA within 5 business days of the request. For covered commodities sold in pre-labeled consumer-ready packages, the record must identify the covered commodity and the retail supplier. For products that are pre-labeled with the origin information on the shipping container (or other type of outer container), the label itself is sufficient evidence on which the retailer may rely to establish the product's origin at the point of sale. In this case, retailers must still maintain a record identifying the covered commodity and the retail supplier.

In addition, to allow substantiation of the origin claim, the retailer must either maintain the pre-labeled shipping container at the retail store for as long as the product is on hand, or ensure the origin information is included in the record identifying the covered commodity and the retail supplier. For products that are not pre-labeled, the retailer must maintain records that identify the covered commodity, the retail supplier, and the origin information.

Record Maintenance and Access

Retail suppliers must maintain records to establish and identify the immediate previous source (if applicable) and immediate subsequent recipient of a covered commodity for a period of 1 year from the date of the transaction. Upon request, these records must be provided to any duly authorized representatives of USDA within 5 business days of the request and may be maintained in any location.

The supplier of a covered commodity that is responsible for initiating a country of origin declaration, which in the case of beef, lamb, pork, chicken, and goat is the slaughter facility, must possess or have legal access to records that are necessary to substantiate that claim. In the case of beef, lamb, chicken, goat, and pork, a producer affidavit shall be considered acceptable evidence on which the slaughter facility may rely to initiate the origin claim, provided it is made by someone having first-hand knowledge of the origin of the animal(s) and identifies the animal(s) unique to the transaction.

Content of Records

For an imported covered commodity, the importer of record as determined by CBP, must ensure that records: provide clear product tracking from the United States port of entry to the immediate subsequent recipient and accurately reflect the country or countries of origin of the item as identified in relevant CBP entry documents and information systems; and maintain such records for a period of 1 year from the date of the transaction.

Recordkeeping Best Practices

The goal of retailer recordkeeping is for country of origin labels to be documented in a manner consistent with the existing recordkeeping requirements contained in the Perishable Agricultural Commodities Act (PACA).

Given what USDA has proposed in the past, the following best management practices should be followed by retailers with respect to record keeping:

Corporate Level COOL Recordkeeping

At the corporate level, retailers should rely on suppliers' bills of lading (which would document country of origin) as a record of their purchase and proof of origin.

Retailers should keep suppliers' bills of lading for as long as required under PACA as a record of their purchase and proof of origin.

Retail Outlet Level Recordkeeping

At the store level, retailers should rely on supplier-applied labeling vehicles (e.g. the PLU sticker, band, twist tie, clamshells, bags, or label on package) as the primary means of conveying country of origin to consumers at point of sale. These labeling vehicles will provide a store-level record trail until the produce is purchased by the consumer.

Bulk produce that does not carry country of origin via a supplier-applied labeling vehicle (e.g. the PLU sticker, band, twist tie, clamshells, bags, or label on package) must be completed at point of sale with accurate signage to designate origin.

Retailers may rely on master shipping cartons and containers to bear the origin (country, or U.S. state or region) of the produce contained therein. The master shipping cartons and containers may serve as the store-level record trail until the produce is purchased by the consumer. Retailers are not required to keep empty boxes at store level.

In the event that during a USDA compliance check a master carton or container is unavailable to verify the produce's origin, retailers will be provided reasonable time to obtain origin records from their corporate office or distribution center and provide the appropriate documentation upon request in a timely fashion (via e-mail, fax or hard copy) to the USDA inspector.

Exemptions

Food service establishments such as restaurants, cafeterias, lunch rooms, food stands, saloons, taverns, bars, lounges, salad bars, and delicatessens, food enterprises located within retail establishments that provide ready-to-eat foods that are consumed either on or outside of the retailer’s premises are exempt from COOL requirements.

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