SYSCO HACCP VERIFICATION CHECKLIST

SECTION I

HACCP MANUAL REVIEW (Contents)

• HACCP manual is present (Yes/No): Yes If no, explain:

• HACCP team list is current and in

manual (Yes/No): Yes

List 3 members by name and title: Roger Hopper – Safety Manager Steve Hamrick – VP of Operations Simon Pierre – Quality Manager

If no, state the name(s) of the team members that are not current:

• HACCP Coordinator is identified (Yes/No): Yes

Name of HACCP Coordinator: Roger Hopper HACCP Coordinator training certificate is on file. Date:

The HACCP coordinator had taken the on-line HACCP course from Learn2Serve on October 6, 2009.

• HACCP Annual Reassessment Form is in manual and signed. (Yes/No) Date:

Yes, January 1, 2010

• HACCP Annual Reassessment Approval Form is in manual and signed. (Yes/No) Date:

Yes, January 1, 2010

• Overview of facility is in manual. (Yes/No): Yes

Does it include: SYSCO Foodservice (Yes/No): Freshpoint, Yes Location (Yes/No): Yes Statement of seafood products handled (Yes/No):

Yes

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• One-paragraph descriptions of prerequisite programs are in manual and include:

GMP’s (Yes/No): Yes SSOP’s (Yes/No): Yes Pest Control (Yes/No): Yes Chemical Control (Yes/No): Yes Recall/Traceability (Yes/No): Yes Customer Complaints (Yes/No): Yes

• Flowchart of facility is in manual. Diagram depicts actual operation of Receiving, Put Away, Storage, Order Selection, and Loading. (Yes/No):

Yes

• Blank NUOCA (Notice of Unusual Occurrence and Corrective Action) in manual. (Yes/No):

Yes

Non-Compliance Summary for Section I:

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SECTION II PRODUCT REVIEW HS0001 ALL FROZEN SEAFOOD OTHER THAN RAW MOLLUSCAN SHELLFISH Item Number: Description: Hazard Analysis (Yes/No) If no, explain: HACCP Plan Form is not required.

Non-Compliance Summary: REFRIGERATED, READY TO EAT SEAFOOD PRODUCTS (including Seafood Salads, Soups, Pasteurized Crab Meat, Pasteurized Lobster, and Surimi Based Products) (HS0004, HS0005) Item Number: Product Description: HS Code Number: Hazard Analysis (Yes/No) If no, explain:

HACCP Plan Form (Yes/No) If no, explain:

Receiving CCP; TTR – requires printout to be attached to P.O.

CL: Product must not be exposed to temperatures over 40°F for a cumulative time of more than 4 hours or over 70°F for more than 1 hour or cooling media present must be in sufficient amount to maintain product temperature of 40°F. Records: Printout of TTR attached to P.O. OR confirmation of adequate cooling media OR temperature and transport time recorded on P.O. Verification: Review monitoring (P.O.), corrective action (NUOCA) and verification records within one week of preparation. TTR document must be signed and dated indicating verification by HACCP trained individual.

Storage CCP temperature: CL: Product must not be exposed to temperatures over 40°F or must have adequate cooling media. (Records and verification are discussed in section III)

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number REQUIREMENTS Receiving CCP (List “cooling media – (Yes/No)”, OR RECORD Actual “Temperature and Transport Time” * documented on P.O., OR “TTR- (Yes/No)” indicating confirmation of TTR and Proper Handling) Printout from TTR attached to PO (Yes/No/N/A) TTR is signed and dated indicating verification within one week. (Yes/No/N/A) List Date: Receiving Signature (Yes/No) Receiving Date: (List date) Verification Signature on P.O. and different from person monitoring CCP (Yes/No) Verification Date: (List date) NUOCA Required (Yes/No) NUOCA Date: (List date if required) *Note: If TTR or adequate cooling media is not used as the receiving monitoring point, the facility must have a document attached to the PO that indicates transportation time from the supplier to the DC is less than 4 hours and the temperature at receipt must be at or below 40°F as documented on the P.O. Non-Compliance Summary:

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HSOO17 RAW OR LIVE OYSTERS, CLAMS, MUSSELS Item Number: No item number Product Description: P.E.I. Mussels (10 Lb. Bag Canada) Hazard Analysis (Yes/No) If no, explain:

Yes

HACCP Plan Form (Yes/No) If no, explain:

Yes

Receiving CCP (TTR –requires printout to be attached to P.O. OR temperature °F OR confirm adequate ice):

CL: Product must not be exposed to temperatures over 45°F for a cumulative time of more than 4 hours or over 70°F for more than 1 hour. Records: Printout of TTR attached to P.O. OR confirmation of adequate cooling media OR temperature and transport time recorded on P.O. Verification: Review monitoring, corrective action and verification records within one week of preparation.

Receiving CCP’s; photo copy shell stock tags or master tag (REQUIRED):

CL: All shell stock must be properly tagged and from a licensed dealer. Records: Receiving P.O. to include photocopy of tags or master tag (master tag is any document that includes the required information from the tag for the shipment) Verification: Confirm validity of dealer’s license by review of a current accurate listing of certified deals at least monthly.

Storage CCP Temperature CL: Product must not be exposed to temperatures above 45°F. (Records and verification are discussed in section III)

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number Invoice W76280 Invoice W77620 Invoice W78893 REQUIREMENTS Receiving CCP (List “cooling media – (Yes/No)”, OR Record Actual “Temperature and Transport Time”* documented on P.O., OR “TTR- (Yes/No)” indicating confirmation of TTR and Proper Handling) Yes, Adequate Ice Yes, Adequate Ice Yes, Adequate Ice Printout from TTR attached to PO (Yes/No/N/A) N/A N/A N/A TTR is signed and dated indicating verification within one week. (Yes/No/N/A) List Date: N/A N/A N/A Receiving CCP Master tag or photocopies of case tags are attached to P.O. (Yes/No) Yes Yes Yes Receiving Signature (Yes/No) Yes Yes Yes Receiving Date: (List date) 3/25/10 4/25/10 5/25/10 Verification Signature on P.O is within one week and different from person monitoring CCP (Yes/No) Yes Yes Yes Verification Date: (List date) 3/25/10 4/26/10 5/25/10 NUOCA Required (Yes/No) No No No NUOCA Date: (List date if required) N/A N/A N/A *Note: If TTR or adequate cooling media is not used as the receiving monitoring point, the facility must have a document attached to the PO that indicates transportation time from the supplier to the DC is less than 4 hours and the temperature at receipt must be at or below 45°F as documented on the P.O. Non-Compliance Summary:

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HS0018 and HS0020 REFRIGERATED RAW FIN FISH IN VACUUM PACKAGING, MAP OR CAP (Raw non-Scombroid species and raw Scombroid species) Item Number: Product Description: HS Code Number: Hazard Analysis (Yes/No) If no, explain:

HACCP Plan Form (Yes/No) If no, explain:

Receiving CCP: CL: A Time/Temperature Integrator must be on each packaging and the color of the TTI must not indicate temperature abuse. Records: P.O. to include documentation of visual observation of TTI. Verification: Review monitoring, corrective action and verification records within one week of preparation.

Storage CCP’s include (list temperature °F): Product must not be exposed to temperatures above 38°F. (Records and verification are discussed in section III)

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number REQUIREMENTS Receiving CCP(s) (TTI CONFIRMATION) (Yes/No) Receiving Signature (Yes/No) Receiving Date: (List date) Verification Signature on P.O is within one week and is different from person monitoring CCP (Yes/No) Verification Date: (List date) NUOCA Required (Yes/No) NUOCA Date: (List date if required) Non-Compliance Summary: HS0022, HS0023, HS0024, HS0025 REFRIGERATED, PARTIALLY COOKED AND UNCOOKED SEAFOOD PRODUCTS Item Number: Product Description: HS Code Number: Hazard Analysis (Yes/No) If no, explain:

HACCP Plan Form (Yes/No) If no, explain:

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Receiving CCP’s; Temperature OR Ice: CL: The product surface temperature

must not exceed 40°F. Records: Receiving P.O. worksheet to include product temperature of confirmation of ice or cooking media sufficient to surround the product. Verification: Review monitoring, corrective action and verification records within one week of preparation.

Storage CCP temperature: CL: Product must not be exposed to temperatures above 40°F. (Records and verification are discussed in section III)

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number REQUIREMENTS Receiving CCP temperature or adequate cooling media. (List actual temperature documented on PO or “cooling media – yes”) Receiving Signature (Yes/No) Receiving Date: (List date) Verification Signature on P.O. and different from person monitoring CCP (Yes/No) Verification Date: (List date) NUOCA Required (Yes/No) NUOCA Date: (List date if required) Non-Compliance Summary:

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HS0029 FROZEN RAW MOLLUSCAN SHELLFISH (oysters, mussels and clams) Item Number: Product Description: Hazard Analysis (Yes/No) If no, explain:

HACCP Plan Form (Yes/No) If no, explain:

Receiving CCP CL: All frozen raw molluscan shellfish must possess a valid certification number and a lot identification on each case. Records: Receiving P.O. worksheet to include verification of valid certification number and lot identification. Verification: Review monitoring, corrective action and verification records within one week of preparation.

Current ICSS list available on site (Yes/No) List of current certified vendor (or ICSS list) available to receiving personnel (Yes/No):

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number REQUIREMENTS Receiving CCP: Valid certification number confirmed on P.O. (Yes/No) Lot Numbers(s) Documented on P.O. (Yes/No) Receiving Signature (Yes/No) Receiving Date: (List date) Verification Signature on P.O is within one week and different from person monitoring CCP (Yes/No) Verification Date: (List date) NUOCA Required (Yes/No) NUOCA Date: (List date if required) Non-Compliance Summary:

HS0037 REFRIGERATED RAW FIN FISH (Raw, non-Scombroid species fish other than vacuum-packed, MAP, and CAP) Item Number: N/A Product Description: Rainbow Trout Hazard Analysis (Yes/No): If no, explain:

Yes

No HACCP Plan Form Product is intended to be fully cooked prior to consumption.

Non-Compliance Summary:

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HS0040 RAW (FRESH) SHUCKED SHELLFISH (oysters, clams, mussels partially or completely out of the shell) Item Number: Product Description: Hazard Analysis (Yes/No) If no, explain:

HACCP Plan Form (Yes/No) If no, explain:

Receiving CCP CL: Product must not be exposed to temperatures over 45°F for a cumulative time of more than 4 hours or over 70°F for more than 1 hour or cooling media present must be in sufficient amount to maintain product temperature of 45°F. Records: Printout of TTR attached to P.O. OR confirmation of adequate cooling media OR temperature and transport time recorded on P.O. Verification: Review monitoring, corrective action and verification records within one week of preparation.

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Receiving CCP: CL: All shucked shellfish must be

properly labeled and from a licensed dealer. Records: Receiving P.O. worksheet to include shuck date/use by date, confirmation of valid certification number, date of receipt, quantity and type of shellfish, and name of vendor. Verification: Confirm validity of dealers’ license by review of a current accurate listing of certified deals at least monthly.

Storage CCP temperature CL: The product must not be exposed to temperatures above 45°F. (Records and verification are discussed in section III)

Current ICSS list available on site (Yes/No)

List of current certified vendor (or ICSS list) available to receiving personnel (Yes/No):

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number REQUIREMENTS Receiving CCP: (List “cooling media – (Yes/No)”, OR Record Actual “Temperature and Transport Time” * documented on the P.O., OR “TTR- (Yes/No)” indicating confirmation of TTR and Proper Handling) Printout from TTR attached to PO (Yes/No/N/A) TTR is signed and dated indicating verification within one week. (Yes/No/N/A) List Date: Receiving CCP Valid certification number confirmed on P.O. (Yes/No) Name of Vendor Documented: (Yes/No) Quantity Documented: (Yes/No) Type of Shellfish Documented: (Yes/No) Shuck Date OR Use by Date Documented. (List Date) Receiving Signature (Yes/No) Receiving Date: (List date) Verification Signature on P.O is within one week and different from person monitoring CCP (Yes/No) Verification Date: (List date) NUOCA Required (Yes/No) NUOCA Date: (List date if required)

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*Note: If TTR or adequate cooling media is not used as the receiving monitoring point, the facility must have a document attached to the PO that indicates transportation time from the supplier to the DC is less than 4 hours and the temperature at receipt must be at or below 45°F as documented on the P.O. Non-Compliance Summary:

REFRIGERATED RAW FIN FISH (Fish that have fins) (HS0057) Item Number: N/A Product Description: Grouper Filet (Mexico) Hazard Analysis (Yes/No): If no, explain:

Yes

HACCP Plan Form (Yes/No) If no, explain:

Yes

Receiving CCP CL: Product must not be exposed to temperatures over 40°F for a cumulative time of more than 4 hours or over 70°F for more than 1 hour or cooling media present must be in sufficient amount to maintain product temperature of 40°F. Records: Printout of TTR attached to P.O. OR confirmation of adequate cooling media OR temperature and transport time recorded on P.O. Verification: Review monitoring, corrective action and verification records within one week of preparation.

Storage CCP: CL: Product must not be exposed to temperatures over 40°F or must have adequate cooling media. (Records and verification are discussed in section III)

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Select three dates within the 30, 60 and 90 days to verify: Purchase Order Number Invoice W76280 Invoice W77620 Invoice W78893 REQUIREMENTS Receiving CCP (List “cooling media – (Yes/No)”, OR Record Actual “Temperature and Transport Time” * documented on P.O, OR “TTR- (Yes/No)” indicating confirmation of TTR and Proper Handling) Yes, Adequate Ice Yes, Adequate Ice Yes, Adequate Ice Printout from TTR attached to PO (Yes/No or N/A) N/A N/A N/A TTR is signed and dated indicating verification within one week. (Yes/No/ or N/A) List Date: N/A N/A N/A Receiving Signature (Yes/No) Yes Yes Yes Receiving Date: (List date) 3/25/10 4/25/10 5/25/10 Verification Signature on P.O is within one week and is different from person monitoring CCP (Yes/No) Yes Yes Yes Verification Date: (List date) 3/25/10 4/26/10 5/25/10 NUOCA Required (Yes/No) No No No NUOCA Date: (List date if required) *Note: If TTR or adequate cooling media is not used as the receiving monitoring point, the facility must have a document attached to the PO that indicates transportation time from the supplier to the DC is less than 4 hours and the temperature at receipt must be at or below 40°F as documented on the P.O. Non-Compliance Summary: No deficiencies were noted.

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SECTION III - VERIFICATION

Verification activities for thermometers and receiving CCPs

• Dial thermometers are used for taking the seafood HACCP temperatures. (Yes/No) (If no, skip to the next bullet point):

No

Calibration frequency of dial thermometers. List frequency: (Daily is required per plan.)

Records are signed and dated by person doing the calibration. (Yes/No):

Records are signed and dated by person doing the verification. (Yes/No) List dates reviewed:

• “Other” thermometers (RF temperature devices,

continuous computer monitoring, recording charts) are used for taking the seafood HACCP temperatures. (Yes/No):

Yes, continuous computer monitoring of cooler.

Calibration frequency of temperature devices. List frequency: (Weekly is required per plan.)

Weekly calibration was conducted on all evaporators once per week-

Verification records include temperature of known accurate thermometer and reading from continuous monitoring and/or indicating storage thermometer. (Yes/No):

Yes

Records are signed and dated by person doing the calibration. (Yes/No):

Yes

Records are signed and dated by person doing the verification. (Yes/No) List dates reviewed:

Yes; reviewed for April, May and June

• Storage temperatures (except frozen) are continuously monitored with a signed and documented visual check at least five times per week. (Yes/No):

Yes

Storage CCP temperature records verification is conducted. (Yes/No):

Yes

Verification of monitoring and corrective action records occurs within 1 week. (Yes/No) If no, explain:

Yes

Records are signed and dated by person doing verification. (Yes/No) List dates reviewed:

Yes, Reviewed for April, May, June

Certificate for NIST certified thermometer is current. (Yes/No) List expiration date:

Yes, Calibration due date listed as 5/27/11

• Certification for Temptale 4 from Sensitech

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is on file for Op Co’s using TTR on HS0004, HS0005, HS0017, HS0040, and HS0057 products (Yes/No):

TTRs are not used at this facility

• Shellfish shipper numbers are verified monthly against the ICSS list. (REQUIRED for Plans HS0017 and HS0040) Documentation is present. (Yes/No):

Yes

NUOCA Forms for Storage Temperatures and Verification

• NUOCA forms were required. (Yes/No): No

NUOCA forms were on file (required for control limits exceeded, missing information). (Yes/No):

Date(s) of NUOCA: Reason(s): NUOCA forms were required and not on file. (Yes/No) If yes, explain:

Employee Interview • Interview one employee who has direct

responsibility for collection of HACCP data:

First name and title of individual interviewed:

Dan Marron – Warehouse Manager

HACCP responsibility: Monitors inbound seafood CCPs

Appears to understand food safety components of HACCP. (i.e. critical limits, corrective action if limits are exceeded, etc.) (Yes/No) If no, explain:

Yes

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Non-Compliance Summary for Section III:

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NON RATED QUESTION FOR INFORMATION ONLY: Dates Reviewed: None on file.

Discrepancies with Plan? (Yes/No) If yes, explain:

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Rating Guidance for HACCP - VERIFICATION:

Rating of HACCP Verification:

SECTION I

For each missing element subtract 5 points from 200 down to a minimum rating of 175. Exceptions:

• HACCP manual could not be located - Unsatisfactory • No HACCP Coordinator identified - Unsatisfactory • No supporting evidence that HACCP Coordinator has been trained or has been scheduled

for training - Unsatisfactory

Section I Rating: 200

SECTION II

Each purchase order is to be considered as a single element for purposes of rating. Any missing information or deficiencies from one to multiple omissions on a single purchase order results in a 20 point deduction for a rating of 180 (MINOR IMPROVEMENT) If a second purchase order is missing any information or has deficiencies, deduct another 25 points for a score of 155 (SERIOUS) If three or more purchase orders are missing information or have deficiencies, rate as 135 (Unsatisfactory). Section II Rating: 200

SECTION III

Each question is considered as a separate element. One missing or deficient elements is rated as 180 (MINOR IMPROVEMENT). Two missing elements are rated as 155 (SERIOUS) Three or more missing or deficient elements are rated as 135 (UNSATISFACTORY) Section III Rating:__200__________ OVERALL HACCP VERIFICATION RATING: 200 (overall rating is the lowest of the three scores)

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