R.A.S Retail Audit Standard Guidelines for auditor (v2.0 EF05)

R.A.S – Retail Audit Standard Tiêu chuẩn đánh giá chuỗi bán lẻInspection standard to assess the food safety level of compliance of foodstuff distributed in retail store Tiêu chuẩn đánh giá AN TOÀN THỰC PHẨM trong các cửa hàngsiêu thị bán lẻ(Part 2 Phần 2) Guidelines for Auditor Hướng dẫn đánh giá dành cho Đánh giá viên

R.A.S Retail Audit Standard Retail Inspection Standard Inspection standard to assess the food safety level of compliance of foodstuffs distributed in retail stores GUIDELINES FOR AUDITORS Version 2.0 May 2009 Interpretation Guide for the auditor - V.2.0 EF05 Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Cleanliness and tidiness of outdoor area Global Indicators Cleaning and disinfection Cleanliness of bins, containers, compactors A B C Area or component clean and tidied Adherence to the frequency and conditions of cleaning (schedule/protocol) Risk of invasive moisture Insufficiently clean areas Nonadherence to defined cleaning frequency (schedule) Storage defect Cleaning and disinfection Visually check the cleanliness (whether cleaning has been performed by the store's personnel or an outside company) of the equipment and its immediate environment Clean area or components Adherence to the frequency and conditions of cleaning (schedule/protocol) Some waste from that day Bins insufficiently disinfected or clean Non-adherence to defined cleaning frequency (schedule) Location of bins, containers, compactors Equipment Visually check the locations Score not allowed Some passageways close to goods are not protected Cleanliness of facilities and equipment not in direct contact with food in receiving area Cleaning and disinfection Visually check the cleanliness of the area and equipment (shelves, mats, plastic pallets, ventilation grills, cold sleeves, etc.) (whether cleaning is performed by the store's personnel or an outside company) Distinct area or total protection of all nearby goods if a separate area is physically impossible Clean area or component No old stains Adherence to the frequency and conditions of cleaning (schedule/protocol) Insufficient cleanliness in areas without product flow Floor in good condition, walls and ceilings not sufficiently clean Dirty evaporator grate or sleeve Absence of pests Pests Absence of cats, rodents, insects and birds in the receiving area (and traces of them) No visible traces of pests; the condition of the facilities does not prevent pest intrusion Presence of some traces of pests in the store area but no observed deterioration of products Satisfactory product temperature Temperature Visual inspection for the presence of pests or glaring clues suggesting their presence (excrement, gnawed bags of food, etc.) When there is prolonged storage (nighttime receiving via double-entrance delivery bay):Check compliance by measuring (with the auditor's thermometer) the product's core temperature whenever possible or, if not possible, the temperature between two sales units; one measurement per area Adherence to the temperatures stipulated by the chain, by regulations or on the product's label Score not allowed Temperature between the thermometer's margin of error and non-compliance (see D score) Evaluation method Visually check the cleanliness (whether cleaning has been performed by the store's personnel or an outside company) and tidiness of the area and its components (racks, etc.) Page 2/34 Guidelines for Auditors - V.2.0 EF05 D Unacceptable level of cleanliness resulting from non-adherence to cleaning procedures (schedule/protocol) Presence of waste or neglected materials which could cause a pest risk Unacceptable level of cleanliness of equipment (bins, containers, compactor) and their surrounding area resulting from non-adherence to the cleaning procedures (schedule/protocol) Presence of invasive odours Bins or containers insufficiently watertight, leaking liquids Not in proper location Unacceptable cleanliness because of non-adherence to cleaning frequency and/or conditions Mould present on surfaces Soiled door handle(s) Presence of waste or neglected materials which could cause a pest risk Pest infestation Or damage to foods by pests Non-compliant core temperature = - Refrigerated products: temperature to 4°C higher than expected temperature If the core temperature variance is greater than the limits defined above or if requirements which are perishable when not in cold storage are defrosted, only penalise the "Absence of observed break in cold or hot chain (KO)" requirement Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Location/effectiveness of pest traps Global Indicators Pests Page 3/34 Evaluation method A D Location of traps in accordance with diagram Location of traps does not create any risk of chemical contamination Traps intact and in working order Traps re-installed if they have been removed for building or other work, or replaced when damaged Score not allowed Score not allowed A written procedure exists but is incomplete for one or more aspects, though this does not prevent the proper performance of inspections and corrective actions Slight discrepancy relative to regulations but no risk posed to product safety Minor variance relative to the procedure but which does not result in the acceptance of non-compliant goods Score not allowed Score not allowed Non-adherence to the conditions stipulated in the procedure for temperature checks If there is no procedure, absence of inspections upon receipt, inspection not performed for each delivery Self-checks performed and recorded but up to 10% of records could not be found (day of receipts with no records, for example) Self-checks performed and recorded but up to 25% of records could not be found (day of receipts with no records, for example) Filing not carried out under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Non-adherence to the conditions stipulated in the procedure for performing and recording inspections More than 25% of records could not be found (days of receipts with no records, for example) Inaccessibility of records Existence of a formalised procedure for inspections upon receipt HACCP Ask to see the procedure and evaluate its relevance Existence of a procedure for inspecting goods upon receipt and of an evaluation grid presenting criteria for accepting delivery The procedure also describes the corresponding self-checks and corrective actions to implement Proper performance of inspection tasks upon receipt Self-check Question employees about how selfchecks are carried out; compare to the procedure Receiving self-checks recorded and filed Self-check Observe the records on the performance of receiving inspections for the last month Procedure known and applied by personnel The procedure is available, posted for consultation as needed and known by employees; up-to-date version If there is no procedure: inspection/lorry: temperature, expiry date, condition of parcels and packaging, appearance The frequency and conditions of selfchecks completed comply with the procedure All self-checks are stored and filed as indicated in the procedure If there is no procedure = months minimum Guidelines for Auditors - V.2.0 EF05 C On-site verification Rodent attractants and electronic insect killers 10 B Traps poorly positioned, missing from places where they are needed Risk of chemical contamination of foods or equipment Traps not emptied, not replaced, damaged by operations or not reinstalled after work or changes in operations Electronic bug killer out of order Electronic bug killer placed above foodstuffs Absence of written procedure or evaluation grid preventing the performance of inspection upon receipt under good conditions, the implementation of corrective actions or the acceptance values of goods received Incompatible with regulations Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Corrective actions for inspections in receiving performed, recorded and filed Global Indicators Self-check Page 4/34 Evaluation method Question employees about the actions taken in the case of an unsatisfactory inspection Study an example of an unsatisfactory inspection Check the completion of required documents: corrective action sheet, selfcheck results, etc 11 Cleaning schedule/protocol known and applied Cleaning and disinfection 12 Guidelines for Auditors - V.2.0 EF05 Time the duration of the action defined by the manufacturer Visually check the mechanical action (operator, highpressure equipment, etc.) during the C&D phase Presence of manual or automatic measurers Control of temperature of dilution water during C&D phase Outside of cleaning hours, question employees about the conditions under which cleaning is performed Visually check the good condition of the cleaning equipment used for mechanical action, rinsing and wiping A Employees are familiar with the corrective actions They are performed in accordance with the procedure in the event of an unsatisfactory inspection The corrective action document(s) were completed in accordance with the procedure All corrective actions are kept on file and organised in accordance with the procedure The records are kept on file for the requisite period If there is no procedure, months minimum If there is no procedure, corrective actions were effective: goods quarantined, blocked, rejected, returned or destroyed depending on the non-conformity All proof of the proper performance of the corrective actions has been kept on file Complete elimination of organic and/or mineral stains Presence of a measurement system (cup, measurer) Employee training on C&D products, correct product identification Proper product identification (manufacturer label, colour code, permanent manual identification) Product availability (no shortage) Cleaning equipment called for in the C&D plan Good condition, well maintained, cleaned regularly Ability to soak equipment overnight in cleaning product If there is no procedure, no sponges, no wooden handles, synthetic accessories suited to the defined use No mixing of accessories used on environmental elements (floor, walls, outside) and accessories used on surfaces in contact with food Scrapers authorised if their use is followed by a disinfection stage using a brush or dishcloth B C D Score not allowed Corrective actions not filed under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Corrective action not applied in the event of an unsatisfactory inspection or it is impossible to obtain proof of the implementation of the corrective action Corrective actions not filed under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure If a non-compliant product is not marked, downrate the "Noncompliant products are quarantined and marked (KO)" requirement Non-adherence to cleaning conditions for a component that is not in direct contact with food Non-adherence to disinfection time for equipment that will undergo a thermal treatment (dishes to be placed in oven, for example) Cleaning accessories run-down, but clean and disinfected Areas clean but with limestone build-up Non-adherence to cleaning conditions in a way that could cause poor cleaning and/or poor disinfection of surfaces in contact with foods Poor condition or absence of cleaning accessories and equipment Lack of maintenance (no soaking) on cleaning equipment Lack of measurement system Scraper(s) with no subsequent disinfection stage Absence of employee knowledge and/or training Shortage of cleaning products used on surfaces in contact with food Cleaning of surfaces in contact with food without cleaning products or cleaning which does not match the cleaning schedule (product type, dosage, time of action) Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Self-checks of cleaning tasks performed, recorded and filed Global Indicators Self-check Page 5/34 Evaluation method Verify the completion of self-check documents Verify for the last month 13 14 B C The frequency and conditions of all self-checks completed comply with the procedure If there is no procedure, daily recording of tasks by the employee after cleaning and/or validation of recording by management once a week All selfchecks are kept on file in accordance with the procedure If there is no procedure, for a minimum of six months Cleansers authorised for food contact and certified disinfectants for surfaces in contact with foodstuffs in areas where uncovered foodstuffs are handled Checks carried out and recorded, but up to 10% of records could not be located Checks carried out and recorded, but up to 25% of records could not be located Filing not carried out under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Non-adherence to the conditions stipulated in the procedure for performing and recording inspections More than 25% of records could not be located Score not allowed Score not allowed Use of products not authorised for food contact or uncertified products in areas where uncovered foodstuffs are handled except if there use is validated by a procedure Presence or storage of cleaning products on the same surface as, in the same cabinet as or above foodstuffs or clean equipment or dishes that would be used without rinsing Storage of cleaning equipment under conditions that are unhygienic or could cause the contamination of foodstuffs or clean equipment No thermometer.Unreliable probe thermometer: non-adherence to margin of error spelled out in the procedure Variance during ice water test > probe thermometer accuracy Variance when compared with a reference probe thermometer > 2°C Compliance of cleaning products (approved for food contact) Cleaning and disinfection Verification of product compliance on the bottle labels and, as necessary, on the technical sheets Isolated storage location for cleaning products and cleaning equipment Cleaning and disinfection Visual inspection of cleaning product storage Cleaning products and equipment are stored in an isolated location, ideally in an enclosed cabinet or closet set aside specifically for this purpose No risk of chemical contamination of facilities, foodstuffs or clean equipment Score not allowed Score not allowed Presence and working order of thermometer Temperature Verify the presence and reliability of the thermometer The thermometer may be used by several operations (for "small stores") But employees must know where to retrieve it and must not be required to "walk across the entire store" to access it At the same time, take the temperature (of a product or the room) or test the operation's thermometer in an ice water bath Visually check for a record confirming the thermometer's accuracy Relevance of the verification method used Request the method (presented on paper or verbal questioning) In the comments section, indicate the variance between the thermometer and a reference probe thermometer or the temperature measured during the ice water test, specifying the test performed Consider the requirement as N/E for deliveries of purchases (made by the customer) Presence of a probe thermometer that is reliable and in working order Routine analysis possible with an IR thermometer, but when in doubt, confirmation with a probe thermometer is compulsory Frequency of probe verifications in accordance with the terms spelled out in the procedure If there is no procedure, minimum frequency of once a year, ice water test or comparison against a reference probe thermometer Maximum variance during ice water test = probe thermometer accuracy Maximum variance when compared with a reference probe thermometer = 2°C Score not allowed Probe thermometer reliable, but no verification under the terms spelled out in the procedure or, if there is no procedure, verification over one year ago 15 16 17 A Observed deviation with a reference thermometer probe = Guidelines for Auditors - V.2.0 EF05 D Retail Audit Standard – version 2.0 June 2009 Requir ement no 18 19 Requirement name Variance observed during ice water test = No break in the cold or hot chain which could constitute a safety risk (KO) Global Indicators Page 6/34 Evaluation method A B C Temperature Measurement at product core Check practices (held at ambient temperature before handling, etc.) Adherence to product reception instructions and practices Score not allowed Score not allowed Behaviour of personnel in receiving area Method Visually check personnel in receiving area Adherence to hygiene rules Absence of personal belongings which could contaminate sensitive surfaces (keys, wallet, etc.) in drawers or on countertops No sneezing over products No smoking No cigarette butts on the floor, in siphons, etc No one is eating Score not allowed Score not allowed Product protection Method Visual inspection of storage areas or waiting areas in the receiving zone (nighttime receiving via double-entrance door) No product in direct contact with the floor whether packaged or not Products wrapped in plastic film, bags resealed, covers closed Storage: products in polluting packaging (cardboard, crates) are placed in an area separate from exposed products No risk of crushing in storage area No more than one unprotected product reference provided that there is no risk of direct contamination Cleanliness and tidiness of corridors Cleaning and disinfection Visually check cleanliness (that cleaning has been performed by the store's personnel or an outside company) and tidiness Area or component clean and tidied Adherence to the frequency and conditions of cleaning (schedule/protocol) Score not allowed No more than two unprotected product references provided that there is no risk of direct contamination No more than one product reference on the floor, provided there is no direct contamination (e.g No baskets on the floor, no boxes on the floor on the siphon, etc.) Presence of small quantities of polluting materials without a direct risk of contamination Insufficiently clean areas Nonadherence to defined cleaning frequency (schedule) Storage defect Compliant medicine cupboard Equipment Visual inspection Score not allowed Score not allowed Management of work uniforms (linens, plastic aprons, shoes, etc.) Personnel Visually check the storage of dirty and clean laundry and question employees about the management of dirty and clean uniforms Presence of at least one medicine cupboard stocked according to the recommendations of the occupational health physician (at a minimum: disinfectant, sterile compress, gloves and fingerstalls, ointment for burns, etc.) Clean laundry protected from contamination and soiling Separation of street clothes and work uniforms No risk of contamination from dirty uniforms Presence of a container reserved for dirty laundry Specialised professional shoes properly cared for No shoes stored above lockers or above clean laundry Score not allowed No more than one insufficiently clean requirement in the area where clean uniforms are stored in a way that does not directly affect their cleanliness.Dirty uniforms not immediately placed with dirty laundry 20 21 22 23 24 Guidelines for Auditors - V.2.0 EF05 D KO - Non-compliant product core temperatures = Variance of more than 4°C above (for cold) or below (for hot) the expected temperature Any human behaviour which could have an effect on the quality of foodstuffs handled Including: Smoking, eating, spitting in receiving areas and food handling areas Storage of personal belongings and other requirements in receiving areas and food handling areas Spitting, sneezing, coughing over food At least one unprotected product reference if there is a risk of direct contamination or if pests are present Presence of excessive polluting materials in an area where uncovered foods are handled Stacking or crushing of products in storage area Unacceptable level of cleanliness resulting from non-adherence to cleaning procedures (schedule/protocol) Presence of neglected or soiled equipment Absence of resources to treat burns and cuts and protect wounds and skin problems (bandages, disinfectants, fingerstalls, gloves, etc.) Expired first aid products Clean uniforms handled or stored in unhygienic conditions Contact between professional uniforms and personal clothing Storage of uniform components in areas where food is stored or handled Shoes stored above lockers or above clean laundry Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Hand washing station present, accessible, compliant, clean and stocked Global Indicators Equipment Page 7/34 Evaluation method A Visually check the presence of a sufficient number of hand washing stations in areas which require them Visually check the hand washing equipment and functioning of faucets and soap dispensers Presence of hands-free wash stands in food preparation areas near the workstations where foodstuffs are handled Presence of hands-free wash stands in changing room/washroom area Hand washing station linked to drainage system Uncluttered and open, absence of utensils or objects in the basin; absence of objects or materials in the area around the wash stand preventing its use The number and location of hand washing stations enables frequent hand washing Lukewarm water Soap dispenser filled with antibacterial liquid soap, nail brush in good condition Hygienic hand drying systems Not used to wash foodstuffs or equipment Absence of stains and soiled areas caused by a lack of cleaning, whether chronic or not (old, incrusted organic or mineral dirty bits, residual dirt or debris on a surface after cleaning, physical filth such as dust, scattered papers, etc.) Do not penalise in-store sales events for the lack of hand washing station so long as food is not handled with the hands (regularly washed tongs, gloves which are changed as necessary) Presence of limestone deposits provided the hand washing station is clean Missing nail brush Soap is neither antibacterial nor bacteriostatic The number and location of hand washing stations is not enough to allow employees to wash their hands often enough Dirty hand washing station At a minimum one hand washing station not connected to the evacuation system Water temperature is too hot or too cold to be used Absence of hand towels or drying system out of order or stuck No soap Any element which results in the personnel's inability to wash their hands frequently enough and under good conditions Hand washing stand used to wash foodstuffs (vegetables, etc.) or for any other soiling task Hand washing stand clogged Non-liquid soap Unacceptable level of cleanliness resulting from non-adherence to cleaning procedures (schedule/protocol) Presence of neglected or soiled equipment If there is a problem with the storage of uniforms, downrate the "Management of work uniforms (linens, plastic aprons, shoes, etc.)" No hand washing when exiting toilet and/or changing rooms Hands dried under unhygienic conditions (dirty cloth, on clothing) No HACCP file for at least one operation 25 28 C Cleanliness and tidiness of changing rooms/washrooms Cleaning and disinfection Only applies to the changing rooms for food operators.Visually check cleanliness (that cleaning has been performed by the store's personnel or an outside company) and tidiness (other than uniforms) Area or component clean and tidied Adherence to the frequency and conditions of cleaning (schedule/protocol) Score not allowed Insufficiently clean areas Nonadherence to defined cleaning frequency (schedule) Storage defect Hand washing techniques appropriate and compliant; no unprotected wounds Personnel Visual inspection of employees as they leave the changing rooms/washrooms Appropriate hand washing No direct drying of hands on clothing or dish towels Score not allowed Score not allowed Presence of HACCP files for all store activities not covered by official GHP guidelines or the retailer's internal guidelines HACCP Ask to see the relevant HACCP files: must include the identification of hazards, hazard analysis, definitions of preventive measures, definition of CCPs, critical values, monitoring mechanisms, validation of expiry dates/best before dates Presence of HACCP study file for all store operations not covered by official GHP guides or the chain's internal guide Score not allowed File incomplete, but presence of shelf life validation studies 26 27 B Guidelines for Auditors - V.2.0 EF05 D Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Existence of a formalised, appropriate control plan Global Indicators HACCP Page 8/34 Evaluation method Ask questions about the control plan (bacteriology relating to products, water, ice, surfaces, chemicals, etc.) If necessary, look at the contract Requirement is not applicable if no uncovered foodstuffs are handled 29 Analysis reports available and filed Self-check Ask to see the analysis reports Check the time kept on file required by the procedure Check for the two most recent instances Corrective actions for analytical control plan performed, recorded and filed Self-check Question managers about the actions taken if analysis results are unsatisfactory for food products and the corrective actions that are effectively carried out Study an example of an unsatisfactory inspection Check the completion of required documents: corrective action sheet, self-check results, etc Confirm that the store notified the chain's quality department if called for in the internal requirements If lacking, the store itself handles any notifications needed Existence of a formalised procedure for internal traceability Traceability Confirm there are procedures which organise traceability, solely for products unpackaged or processed by the store 30 31 32 Guidelines for Auditors - V.2.0 EF05 A Microbiological monitoring of foods and surfaces In accordance with brand requirements or those defined by a HACCP programme Product analyses based on regulatory bacteriological criteria in effect, where they exist, or on internal criteria by default The procedure stipulates corrective actions: product withdrawal, in-depth workshop cleaning, retraining of personnel, notification of supplier, performance of a counteranalysis, etc If there is no procedure, self-check of perishable foods handled by the store based on a hazard analysis (aw, pH) Water: at least one analysis per year, especially when water is used to make foods (catering, bakery) Ice: at least one analysis per year for the seafood operation COFRAC microbiological analyses or AFNOR-validated analyses where they exist Filing and organisation of analysis reports Documents made available before the end of the audit Reports are kept on file and organised under the conditions stipulated in the procedure If there is no procedure: one year minimum Managers are familiar with the corrective actions They were performed in accordance with the procedure in the case of an unsatisfactory inspection The corrective actions document(s) were completed in accordance with the procedure All corrective actions are kept on file and organised in accordance with the procedure If there is no procedure: months Where applicable, notification of the chain's corporate quality department in accordance with the conditions stipulated in the procedure If there is no procedure, where applicable, written notification of the relevant offices given by the store Proof of notification kept on file Formalised procedures exist to describe how traceability is organised on all operations/concepts affected B C D Score not allowed Self-check plan exists, but is inadequate (operations which handle uncovered foods are not included in the control plan-excluding produce and bakery) The regulatory criteria applied are outdated by less than one year Absence of analytical control plans or plans that are ill-suited or inadequate Unrecognised laboratory or methods used for microbiological analysis (not COFRAC or AFNOR) The regulatory criteria applied are outdated by more than one year Corrective actions in the case of non-compliant results are not specified If there is no procedure, no water or ice analysis or ill-suited analysis of the operation or the water supply circuit Requirement is not applicable if no uncovered foodstuffs are handled Score not allowed Score not allowed Non-adherence to the conditions stipulated in the procedure for report filing Poorly organised files Score not allowed A corrective action not performed or not recorded under the conditions stipulated by the brand for a non-pathogenic germ or germ not considered to be of concern according to regulation 2073/2005 If there is no procedure, corrective actions not performed or not effective enough for a nonpathogenic germ or germ not considered to be of concern according to regulation 2073/2005 Corrective action not filed under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure When a criterion addressing food safety is exceeded (2073/2005 safety criterion, Alerts Guide): At least one corrective action not performed or not recorded under the conditions stipulated by the chain If there is no procedure, corrective actions not performed or not effective enough or not recorded Failure to notify the authorities if this requirement is the store's responsibility Score not allowed Score not allowed No traceability procedure for at least one operation Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Existence of formalised procedures for store recalls/withdrawals/alerts Global Indicators Withdrawal 33 Implementation of alert, withdrawal, recall, quarantine and marking procedures (KO) Withdrawal Knowledge of suppliers referenced by the store Traceability 34 35 Guidelines for Auditors - V.2.0 EF05 Page 9/34 Evaluation method A Confirm there are procedures for withdrawal alerts: procedures for sending (fax, telephone, computer), persons authorised to receive and process them by order of priority (in case of absences), procedures for disseminating to persons responsible for withdrawals, persons authorised to process them and responsible for the effective removal of products, acknowledgement of receipt/processing sent to the sender/to the central office then filed Confirm the store has procedures for in-store postings, knows under which conditions to display them and what information to share in the event of a recall Check that alerts/withdrawals/recalls have been received, properly processed and filed Check responses to the alerts/withdrawals/recalls: reply by computer, hard copy, etc Check the sales floor and storage area to ensure there are no products affected by the most recent alert/withdrawal/recall Appropriate resources must be provided so that noncompliant products are not returned to the sales floor or used Check that processing began the previous evening or that morning Existence of a written procedure that defines the resources to use so that: alerts/withdrawals/recalls are sent to the store and disseminated; products are effectively withdrawn from the sales floor and processed as directed in the alert/recall notice; and actions performed are recorded Alerts/withdrawals/recalls processed in accordance with the conditions stipulated in the procedure If there is no procedure, all the alerts/withdrawals/recalls processed are filed in alphabetical order or by some order defined by the chain Nothing missing The response must take place within the lead time recommended by the procedure The store must either confirm it did not have the batch in question or keep on file proof of the batch's disposal (destroyed, returned to supplier, etc.) It must verify the incriminated batch is not included in the next delivery No products affected by the most recent alert/withdrawal/recall (except that day's alerts/withdrawals/recalls) found on the sales floor or in storage but unmarked Existence of quarantining and marking resources For example: consignment areas (indicated on the floor, reserved bins, racks, etc.), tape or marking documents Employees are familiar with the procedures Existence of a list of suppliers referenced by the store with their contact information, the name and contact information of their managers and an emergency number, as well as the types of goods supplied and their certification number (where applicable) Check the presence of supplier referencing procedures at the store level and the list of suppliers The store must know the suppliers it manages directly and be able to contact them rapidly in the event of a crisis B C D Score not allowed Procedure incomplete in a way that does not prevent the receipt and processing of alerts/withdrawals/recalls No formalised internal procedure or incomplete procedure which could cause alerts/withdrawals/recalls not to be received or processed Score not allowed Score not allowed KO In the preceding month, at least one alert/withdrawal/recall not processed under the conditions stipulated in the procedure or no proof of the action was kept on file Product affected by an alert/withdrawal/recall not removed from the circuit (inventory, sale, use) Lack of clearly defined consignment areas Risk of confusion with products in storage Do not downrate if the nonprocessed alert arrived the previous evening or that very morning Score not allowed List of suppliers referenced by the store not formalised or incomplete No list of suppliers "referenced by the store" No knowledge of suppliers "referenced by the store" Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Existence of a formalised cleaning schedule/protocol Global Indicators Cleaning and disinfection 36 Page 10/34 Evaluation method A B C D Evaluation of the cleaning schedule/protocol and related documents: safety sheets, usage guidelines for products Document evaluation: the schedule/protocol answers the questions where/what/how/when/who for all "clean" and "dirty" areas No schedule/protocol in no more than one uncovered foods area (example: receiving area, storage area) Existence of a written procedure, as necessary, which defines the frequency and conditions of temperature checks (read display screen, measure core, etc.) Relevant procedure based on HACCP principles and regulations (target temperatures) and incorporated in the quality system The procedure takes into account all of the operations/concepts The procedure also describes the corresponding self-checks and corrective actions to implement Refresher training based on an evaluation of the employee's knowledge Internal training or external training that includes a training agenda and attendance sheets and/or certificates Ability to consult employee training records Existence of a written procedure which defines the conditions of predelivery storage, equipment to use (refrigerated vehicle, insulated crates, eutectic plates) and management of refrigerated or frozen foods The procedure also describes the corresponding self-checks and corrective actions to implement Existence of an anti-pest prevention plan If the service is contracted, the company must be certified by the Ministry of Agriculture Location of traps defined and indicated on a map of the facilities which covers all entrances and all circuits Plan updated in the event of work/repairs or changes in the operation Safety sheets available for anti-pest products Score not allowed Schedule/protocol missing for no more than one area or component provided that cleaning tasks are properly performed Schedule/protocol incomplete in a way that does not affect the proper performance of cleaning tasks Written procedure exists but is incomplete in a way that does not prevent the proper performance of inspections and corrective actions Schedule/protocol missing in at least two areas or for two components Incomplete or outdated schedule/protocol Information missing which prevents the proper performance of cleaning or disinfection tasks Absence of written procedure or incomplete procedure (omission of fixture or area or non-refrigerated unit and corresponding non-cold area and corrective actions to conduct) which prevent the proper performance of temperature checks and corrective actions Score not allowed Personnel trained according to a defined programme but no attendance sheets and/or certificates Most recent training is outdated, but within the last years Score not allowed Incomplete delivery procedures or self-checks not defined No knowledge, no refresher training or training not suited to the operation No training records No training document (agenda and attendance sheet/certificate) Most recent training is outdated, more than years ago Lack of written delivery procedures or incomplete procedures which prevent employees from making deliveries under proper conditions or conducting corrective actions Score not allowed Incomplete pest prevention plan: (e.g the store does not have product safety sheets or the trap map is missing or incomplete, etc.), Existence of a formalised procedure for checking and recording temperatures HACCP Ask to see the procedure and evaluate its relevance Refresher training on food hygiene for personnel Personnel Question store managers about training follow-up (excluding temporary personnel) Existence of formalised procedures for home deliveries HACCP Search for formalised procedures covering delivery conditions (e.g home delivery) regardless of the recipient Existence of a formalised anti-pest prevention plan Pests Verify the existence of a plan and question store managers 37 38 39 40 Guidelines for Auditors - V.2.0 EF05 No pest prevention plan No sanitation plan of any kind Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Hand washing stations present, accessible, compliant, clean and stocked Global Indicators Equipment Page 20/34 Evaluation method A Visually check the presence of a sufficient number of hand washing stations in areas which require them Visually check the hand washing equipment and functioning of faucets and soap dispensers Regardless of the stage: presence of hands-free wash stands in food preparation areas near the workstations where foodstuffs are handled Hand washing station linked to drainage system Uncluttered and open, absence of utensils or objects in the basin; absence of objects or materials in the area around the wash stand preventing its use The number and location of hand washing stations enables frequent hand washing Lukewarm water Soap dispenser filled with antibacterial liquid soap, nail brush in good condition Hygienic hand drying systems Hand-washing stations not used to wash foodstuffs or clean equipment Absence of stains and soiled areas caused by a lack of cleaning, whether chronic or not (old, incrusted organic or mineral dirty bits, residual dirt or debris on a surface after cleaning, physical filth such as dust, scattered papers, etc.).Do not penalise in-store sales events for the lack of hand washing station so long as food is not handled with the hands (regularly washed tongs, gloves which are changed as necessary) Regardless of the stage: presence of limestone deposits provided the hand washing station is clean Missing nail brush Regardless of the stage: soap is neither antibacterial or bacteriostatic Regardless of the stage: the number and location of hand washing stations is not enough to allow employees to wash their hands often enough Dirty hand washing station At a minimum one hand washing station not connected to the evacuation system No hands-free controls Water temperature is too hot or too cold to be used Absence of hand towels or drying system out of order or stuck No soap Any element which results in the personnel's inability to wash their hands frequently enough and under good conditions Hand washing stand used to wash foodstuffs (vegetables, etc.) or for any other soiling task Hand washing stand clogged Non-liquid soap Check visually Ask employees to show their hands Regardless of the stage: no rings, watches, bracelets, chains Under gloves, only jewellery which does not risk piercing the gloves is authorised Wedding bands are accepted Regardless of the stage: no more than employee handling uncovered foodstuffs with jewellery on wrist Regardless of the stage: no more than employee handling uncovered foodstuffs with polished or long nails provided they are clean Regardless of the stage: at least employee handling uncovered foodstuffs with jewellery on wrist or dirty fingernails Only wedding bands are accepted Bracelets, watches or chains which fall over gloves are worn 131 Hand condition and absence of jewellery Personnel 132 Guidelines for Auditors - V.2.0 EF05 B C D Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Appropriate and compliant hand washing or glove replacement, absence of unprotected wounds Global Indicators Personnel Page 21/34 Evaluation method A Visually check employees as they handle, prepare, sell, etc Regardless of the stage: hands are washed or gloves are replaced after each soiling task, before every sensitive task and during routine activities Hands are washed at moments defined in the method If there is no defined hand washing protocol: take a dose of soap and lather hands for at least 30 seconds (or as long as recommended by supplier), rubbing hands against one another and scrubbing between the fingers, around nails, under wedding band, up to the forearm; only handsfree controls are used to turn water on/off and hands are dried hygienically Hands washed only after highly soiling task (rubbish bins, etc.) if uncovered foodstuffs are not handled No direct drying of hands on clothing or dish towels Regardless of the stage: adherence to hygiene rules Absence of personal belongings which could contaminate sensitive surfaces (keys, wallet, etc.) in drawers or on countertops No sneezing over products No smoking No cigarette butts on floor, in grates, etc No one is eating; personal meals in an isolated, identified location Tasting tests authorised if carried out under the conditions stipulated in the validated procedure or, if there is no procedure, performed under proper hygiene conditions Use of clean or disposable spoons to sample products (fingers not used to taste products) Use of dish towels exclusively for defined one-time tasks authorised by the chain Clean towels are clean, identified and well managed 133 Personnel behaviour Personnel 134 Guidelines for Auditors - V.2.0 EF05 Visually check employees during their preparation and handling tasks B C D Score not allowed Regardless of the stage: inappropriate glove change or hand washing, but with no direct impact on product safety Regardless of the stage: observed risk of contamination of uncovered product or of equipment in contact with food No hand washing or glove replacement after a soiling task or before a task requiring it Hands washed at an unsuitable water faucet (behaviour) Hands dried under unhygienic conditions (dirty cloth, on clothing) Score not allowed Score not allowed Regardless of the stage: any human behaviour which could have an effect on the quality of foodstuffs handled Including: smoking, eating (except for tasting), spitting in storage areas and food handling areas Storage of personal belongings and other requirements in storage areas and food handling areas Storage of personal meals not isolated, protected or identified Spitting, sneezing, coughing over foods, nose blowing without subsequent hand washing, gum chewing, etc Bare hands used to open rubbish bins Do not penalise hand washing that is insufficient or under poor conditions: penalise the "Appropriate and compliant hand washing or glove replacement, absence of unprotected wounds" requirement Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Appropriate temperature in area Global Indicators Temperature 135 Page 22/34 Evaluation method A Check compliance by measuring (with the auditor's thermometer) the ambient temperature (not during defrosting) For sales floor fixtures, take to readings depending on the size of the fixture For storage areas: reading per zone Evaluate the receiving area and the refrigerated secure delivery door as you would a cooler in the corresponding "operations" if they are used for storage Transportation: measure the temperature of the truck crates or boxes Regardless of the stage: compliance with the temperature of the product which requires the lowest storage temperature (for cold) or highest storage temperature (for heat) (labelled and/or defined by regulations and/or in good practices guides, such as rotisserie product, or defined in the HACCP) Fans not frozen and in good condition Margin of error allowed equal to the accuracy of the probe thermometer Preparation: N/E question if handling occurs at room temperature provided that this is authorised (regulations, GHP guide, chain handbook, HACCP validation) Regardless of the stage: presence of visible temperature displays in working order Presence of a reliable, accessible and visible thermometer in the zone if there is no display or if it is broken Regardless of the stage: adherence to fixture loading limits, even if they are not displayed on the fixtures Temperature display in working order Equipment Confirm the presence of temperature displays Check on the fixture and ask the technical department if necessary Preparation: N/E question if handling occurs at room temperature Compliance with fixture loading limits Temperature Check the fixture or evaluate the fixture's load The load limits must be displayed for open selling fixtures containing frozen products (RE 37/2005) Satisfactory product temperature Temperature Check compliance by measuring (with the auditor's thermometer) the product's core temperature whenever possible or, by default, the temperature between sales units; for foodstuffs under "normal" conditions of storage and sale For sales floor fixtures, take to readings depending on the size of the fixture For storage areas and the transportation: reading per zone 136 137 138 Guidelines for Auditors - V.2.0 EF05 Regardless of the stage: compliance with the temperature of the product (labelled and/or defined by regulations and/or in good practices guides, such as: rotisserie product, or defined in the HACCP) Margin of error allowed equal to the probe thermometer's measurement uncertainty B C D Score not allowed Regardless of the stage: Temperatures between the thermometer's margin of error and non-compliance (see D score) Temperature compliant (see A), but cooling coil frozen or significantly covered with frost Regardless of the stage: ambient temperatures not compliant: variance of more than 2°C over (for cold) or under (for heat) the expected temperature (labelled and/or defined by regulations and/or in good practices guides, such as rotisserie product, or defined in the HACCP) Score not allowed Score not allowed Regardless of the stage: at least zone with no temperature display or thermometer Regardless of the stage: loading limit is exceeded for no more than reference Regardless of the stage: loading limit is exceeded for no more than references Score not allowed Temperature between the thermometer's uncertainty of measurement and non-compliance (see D score) Regardless of the stage: loading limit is exceeded for more than references Products displayed or decorations positioned in a way that prevents the circulation of air (blower and intake) Cold product sales: foodstuffs in contact with heat sources (e.g neon lights in fixtures) Non-compliant product core temperatures = Variance of to 4°C above (for cold) or below (for hot) the expected temperature If the core temperature variance is greater than the limits defined above, score this requirement as N/E and only downrate the "There is no break in the cold or hot chain which could constitute a health risk (KO)" requirement Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name No break in the cold or hot chain which could constitute a safety risk (KO) Global Indicators Temperature Page 23/34 Evaluation method A B C Measure the product's core temperature and check practices (defrosting, cooling, bringing to temperature, holding at temperature, etc.) Regardless of the stage: compliant temperature Adherence to instructions and practices for reheating, cooling, defrosting and putting products out for sale Score not allowed Score not allowed There is a written procedure which indicates the types of foods which can be defrosted, conditions for defrosting, shelf life and method The procedure also describes the corresponding self-checks and corrective actions to implement Microbiological validation in a laboratory is compulsory for slow freezing (in the storage zone) Procedure known and applied by personnel The procedure is available, posted for consultation as needed and known by employees; up-to-date version Only foods authorised by regulations, not spoiled and in good condition may be frozen by the store Good freezing conditions: appropriate technology and sufficient power and capacity Labelled according to the procedure If there is no procedure, the freezing date is compulsory Satisfactory freezing conditions; if there is no freezing unit: no reheating of other products and the quantities chilled are small enough to enable quick freezing There is no procedure, but there is a freezing unit that is used correctly There is a written procedure, but it is incomplete in a way that creates poor freezing practices Score not allowed Score not allowed 139 Existence of a formalised freezing procedure HACCP Ask to see the procedure and evaluate its relevance Proper performance of freezing tasks Temperature Question employees responsible for freezing tasks 140 141 Guidelines for Auditors - V.2.0 EF05 D KO Regardless of the stage: - Non-compliant product core temperatures = variance of more than 4°C above (for cold) or below (for hot) the expected temperature - Perishable foodstuffs cooked then sold at ambient temperature, not validated by laboratory testing or under conditions not stipulated by the procedure, regulations or GHP guides - Slow reheating lasting more than one hour, not validated by an HACCP study (laboratory testing) - Slow cooling from 63° to 10°C in over two hours, not validated by an HACCP study (laboratory testing) - Defrosting of perishable foodstuffs outside a cooler or under conditions not defined by the chain or GHP guides or validated by a HACCP study Lack of written procedure and freezing unit in working order Refreezing of defrosted foods Freezing of foods not authorised by law or of poor organoleptic or bacteriological quality Freezing without a freezing unit, not validated by laboratory testing Non-adherence to or poor familiarity with the procedure Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Existence of a formalised procedure for bringing to and holding at temperature Global Indicators HACCP Page 24/34 Evaluation method A Ask to see the procedure and evaluate its relevance Regardless of the stage: covers cooking, bringing to temperature and selling foods hot or at ambient temperature after initial cooking Existence of a written procedure spelling out handling conditions: technology (microwave ovens, bain marie, ovens, etc.), temperature indices, maximum time kept hot The procedure also describes the corresponding self-checks and corrective actions to implement For products sold at ambient temperature, the procedure also describes the maximum selling time and how products are handled after selling time is exceeded (chilled, destroyed, etc.) Regardless of the stage: the procedure is available, posted for consultation as needed and known by employees; up-to-date version Employees familiar with indices and how to handle the equipment Adherence to indices or chain conditions If there is no procedure = from 10 to 63°C in less than one hour Products are heated then transferred to the warming equipment The target temperature after bringing to temperature is entered in a cooking log or suitable document Regardless of the stage: the procedure is available, posted for consultation as needed and known by employees; up-to-date version Employees familiar with indices and how to handle the equipment Adherence to indices or chain conditions Sales: the store has an adequate number of units to enable the sale of hot products No hot products sold under conditions not described in the procedure Products sold hot: 63°C minimum at all points If there are no ageing studies, cooking then selling at ambient temperature only applies to the categories and under the conditions addressed in the GHP guides 142 Proper performance of bringing to temperature tasks Temperature Question employees responsible for these tasks Evaluate the capacity for bringing foods to temperature: size of fixtures, proper function Proper performance of holding at temperature tasks Temperature Question employees responsible for these tasks Evaluate the capacity for selling hot foods: size of fixtures, proper function Evaluate the time products spend away from a heat source in the preparation and selling areas 143 144 Guidelines for Auditors - V.2.0 EF05 B C D Score not allowed Regardless of the stage: written procedure exists but is incomplete in a way that does not prevent the proper performance of inspections and corrective actions Regardless of the stage: Lack of written procedure or incomplete procedure which prevents employees from bringing products to temperature and holding them at temperature under proper conditions or conducting corrective actions Score not allowed Score not allowed Regardless of the stage: tasks not compliant with the procedure In the case of slow reheating (placed in hold-warm unit without prior quick reheating) not validated in a laboratory, penalise only the "There is no break in the cold or hot chain which could constitute a health risk (KO)" requirement and score this requirement as N/E Score not allowed Score not allowed Regardless of the stage: tasks not compliant with the procedure or GHP guide Temperature of cooked products between 59 and 63°C If the temperature is lower than 59°C, downrate the " There is no break in the cold or hot chain which could constitute a health risk (KO)" requirement Sales: for perishable foodstuffs cooked then sold at ambient temperature, not validated by laboratory testing and under conditions not stipulated by the procedure or GHP guides, only penalise the "There is no break in the cold or hot chain which could constitute a health risk (KO)" requirement and score this requirement as N/E Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name When bringing to and maintaining at temperature, temperature self-checks performed, recorded and filed Global Indicators Self-check Page 25/34 Evaluation method Question employees about how selfchecks are performed, compare against the procedure, verify the completion of self-check documents Verify for the last month 145 Corrective actions for bringing to and holding at temperatures performed, recorded and filed Self-check Question employees about the actions taken in the case of an unsatisfactory inspection and the corrective actions effectively performed Study an example of an unsatisfactory inspection Check the completion of required documents: corrective action sheet, self-check results, etc Existence of a cooling cycle procedure HACCP Ask to see the procedure and evaluate its relevance 146 147 Guidelines for Auditors - V.2.0 EF05 A B C D Regardless of the stage: All selfchecks are completed, recorded and filed in accordance with the frequency and conditions stipulated in the procedure Employees are familiar with the tolerance thresholds If there is no procedure, time/temperature are self-checks are performed and recorded to guarantee strict adherence to the bringing to and holding at temperature cycles defined in the GHP guides The records are kept on file for the requisite period If there is no procedure: months Regardless of the stage: employees are familiar with the corrective actions They are performed in accordance with the procedure in the event of an unsatisfactory check The corrective action document(s) were completed in accordance with the procedure If there is no procedure, relevant corrective actions are carried out, recorded and filed Records of corrective actions are organised and kept on file in accordance with the procedure The records are kept on file for the requisite period If there is no procedure: months There is a written procedure for foodstuffs that are not stable at room temperature There are defined cooling indices associated with defined technologies (unit, iced container, etc.) The procedure also describes any corresponding self-checks and corrective actions to implement Microbiological validation in a laboratory is compulsory for slow cooling Regardless of the stage: selfchecks performed but up to 10% of records could not be located Regardless of the stage: checks carried out and recorded, but up to 25% of records could not be located Filing not carried out under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Regardless of the stage: nonadherence to the conditions stipulated in the procedure for performing and recording checks If there is no procedure, lack of temperature self-checks More than 25% of records could not be located Regardless of the stage: no more than corrective action not performed or proof of its performance not kept on file in the event of an unsatisfactory check Regardless of the stage: corrective action not filed under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure No more than corrective actions not performed or proof of their performance not kept on file in the event of an unsatisfactory check Regardless of the stage: nonadherence to the procedure The people responsible for bringing to and holding and temperature selfchecks not know the tolerance thresholds At least corrective actions not performed or proof of their performance not kept on file in the event of an unsatisfactory check There is no procedure, but there is a cooling unit that is used correctly There is a written procedure, but it is incomplete in a way that creates poor cooling practices Lack of written procedure and cooling unit in working order Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Proper performance of cooling tasks Global Indicators Temperature Page 26/34 Evaluation method A Question the employees responsible for implementing the cooling cycles Only applies to foodstuffs that are cooked then cooled Does not apply to foodstuffs that are cooked then sold at ambient temperature Procedure known and applied by personnel The procedure is available, posted for consultation as needed and known by employees; up-to-date version Indices or conditions for performing tasks, such as unit operation, are known by employees Proper cooling conditions: appropriate technology and sufficient power and capacity Cooling performed in accordance with the procedures If there is no procedure = cooling from 63°C to less than 10° in no more than two hours for all perishable foodstuffs that are cooked then cooled Satisfactory cooling conditions; if there is no cooling unit: no reheating of other products and the quantities chilled are small enough to enable quick cooling All self-checks are completed, recorded and filed in accordance with the frequency and conditions stipulated in the procedure If there is no procedure, systematic checks of all requirements produced to ensure strict adherence to cooling cycles in under two hours The probe thermometer is cleaned and disinfected before each core temperature check All self-checks are kept on file in accordance with the procedure If there is no procedure: months Employees are familiar with the corrective actions They are performed in accordance with the procedure in the event of an unsatisfactory check Employees are familiar with the tolerance thresholds The corrective action document(s) were completed in accordance with the procedure All corrective actions are kept on file and organised in accordance with the procedure If there is no procedure, relevant corrective actions are carried out, recorded and filed The records are kept on file for the requisite period If there is no procedure: months 148 Self-checks on cooling performed, recorded and filed Self-check Question employees about how selfchecks are performed, compare against the procedure, verify the completion of self-check documents Check the records for the previous month Corrective actions for cooling cycles performed, recorded and filed Self-check Question employees about the actions taken in the case of an unsatisfactory inspection and the corrective actions effectively performed Study an example of an unsatisfactory inspection Check the completion of required documents: corrective action sheet, selfcheck results, etc 149 150 Guidelines for Auditors - V.2.0 EF05 B C D Score not allowed Score not allowed Non-adherence to the procedure A hot food is placed in the cooler or in a sales fixture such that other foodstuffs are warmed Slow cooling, from 63 to 10° in more than two hours, not validated by microbiological laboratory testing Self-checks performed but up to 10% of records could not be located Checks carried out and recorded, but up to 25% of records could not be located Filing not carried out under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Checks not performed or not recorded under the conditions defined in the procedure If there is no procedure, lack of cooling selfchecks More than 25% of records could not be located No more than corrective action not performed or proof of its performance not kept on file in the event of an unsatisfactory check Corrective action not filed under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure No more than corrective actions not performed or proof of their performance not kept on file in the event of an unsatisfactory check Non-adherence to the procedure The people responsible for cooling cycle self-checks not know the tolerance thresholds At least corrective actions not performed or proof of their performance not kept on file in the event of an unsatisfactory check Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name State of facilities and equipment Global Indicators Facilities Page 27/34 Evaluation method A B C Visually check facilities Do not downrate if the facilities seem dilapidated, but the criterion is applicable Facilities and equipment are compliant, in good condition and not create any direct potential risk to the healthiness of foods Unwashable surface in the storage area for packaged foodstuffs surface not in contact with foodstuffs is rusted in an area where uncovered foodstuffs are handled 200 D Presence of polluting materials on surfaces in areas where uncovered foodstuffs are handled Paint on surfaces is chipping away, including surfaces not in contact with foods (walls, ceilings) in areas where uncovered foodstuffs are handled Presence of moulded equipment, components which should be removed in at least one area where uncovered foodstuffs are handled Abusive storage of components which could have an impact on the quality of foodstuffs, use of delivery trucks for unplanned transport of merchandise Presence of regular or occasional tasks not covered by the quality system or a HACCP study Non-use of a facility intended for an operation (e.g activity performed at the rear of the workshop although there is a workshop set aside for this task) Non-adherence to forward movement and inadequate separation of clean/dirty or hot/cold categories Any component featured in the organisation of facilities and the operation causing a risk of cross contamination Use of facilities and equipment in accordance with their intended use Method Visually check facilities Question employees about the tasks performed in the area, included occasional tasks No equipment that is unused, deteriorated or unrelated to the operation Facilities reserved for the intended operation Score not allowed Presence of at least one component which should be removed in an area where uncovered foodstuffs are handled with no direct risk of contamination Forward movementseparation of sectors Facilities Check that the facilities and their organisation enable at a minimum the separation of categories when forward movement is not vigorously enforced in the area Separation in time is possible provided that vigorous procedures exist and are applied Inadequate forward movement or separation of categories in a way that does not create a direct risk of food contamination Score not allowed Effective vent hoods and extraction Equipment Visually check during operations Score not allowed Insufficient vent hood capacity, but limited impact of smoke or vapours on the environment No vent or extraction hood above sources of vapours or smoke Inadequate ventilation or extraction hoods Absence of pests Pests Visually check for the presence of pests or glaring clues suggesting their presence (excrement, gnawed-at bags of food, etc.) Adequate physical separation of categories, notably between cold-hot and clean-dirty The organisation and management of equipment enable the separation of categories and limit cross contamination No rubbish bins stored in areas where foods are stored and/or handled, particularly for carcasses in the butchery freezer Toilets should not open directly into food storage and handling areas (double-door passage is compulsory) No splattering/projections from the hand washing stations and sinks in the direction of foodstuffs, clean work surfaces and clean crockery Vent hoods and suction fans are installed where they are required and notably above grills, cooking stations and mechanical dishwashing stations if necessary They must prevent the soiling of facilities and the formation of condensation Absence of cats, rodents, insects and birds (and traces of them) No visible traces of pests; the condition of the facilities does not prevent pest intrusion Presence of some traces of pests in the store area but no observed deterioration of products Pest infestation Or damage to foods by pests 201 202 203 204 Guidelines for Auditors - V.2.0 EF05 Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Placement/effectiveness of pest traps Global Indicators Pests Page 28/34 Evaluation method A B C On-site verification Rodent attractants and electronic insect killers Location of traps does not create any risk of chemical contamination Traps re-installed after work or replaced when damaged Score not allowed Score not allowed 205 206 Presence of reference documents for activities concern by the sanitary agreement or by the exemption of the sanitary agreement (KO) Absence of activities not authorised by law (KO) HACCP Check that the store does not have an operation subject to approval or exemption for which it did not submit a request No operation subject to approval or exemption according to regulation 853/2004 or approval obtained or application submitted Score not allowed Score not allowed Method Check that the store does not have an operation not authorised by regulations No operation prohibited by regulations Score not allowed Score not allowed Rubbish bin compliance Sanitary waste handling Method Visually check the elimination of waste in food facilities and the waste storage area No waste on the floor Airtight rubbish bins kept closed or away from food handling; hands-free opening mechanisms; rubbish bins not overflowing No waste within direct proximity of foods or equipment or work surfaces which could cause a contamination risk Waste stored away from areas where foodstuffs are stored or handled Containers, bins and compactors are not a source of insalubrity or pests Do not penalise bone bins without lids in the butchery workshop Do not penalise if there are rubbish bins that not have lids, but are located away from cross contamination hazards (products or equipment) No more than one overflowing rubbish bin in the area Lids occasionally kept open or which could contaminate foodstuffs No more than one rubbish bin without a lid or whose opening system needs repair and provided that it cannot contaminate employees' hands or gloves 207 208 Guidelines for Auditors - V.2.0 EF05 D Traps poorly positioned, missing from places where they are needed.Risk of chemical contamination of foods or equipment Traps not emptied, not replaced, damaged by operations or not re-installed after work or changes in operations Electronic bug killer out of order Electronic bug killer placed above foodstuffs KO No proof that the approval or exemption application was submitted KO Egg packaging Meat ground in advance Soaking of live shellfish Illicit freezing Purchase of foods of animal origin from non-certified suppliers Handling of beef carcasses over the age of 24 months without reporting or under conditions not stipulated in the regulations Rubbish bins not have lids, are poorly positioned: cross contamination hazards (products or equipment).Rubbish bins stored in areas where foodstuffs are stored or handled Rubbish bins or containers pose a contamination risk because of their nature, condition, location or use At least rubbish bins without lids or whose opening system is defective (e.g an employee opened the lid of the rubbish bin with his hand Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Presence and working order of thermometer Global Indicators Temperature 209 210 211 Observed deviation with a reference thermometer probe= Observed deviation during an ice water test = Proper performance of temperature verification procedures Temperature 212 Guidelines for Auditors - V.2.0 EF05 Page 29/34 Evaluation method A B C D Verify the presence and reliability of the thermometer The thermometer may be used by several operations (for small stores) But employees must know where to retrieve it and must not be required to "walk across the entire store" to access it At the same time, take the temperature (of a product or the room) or test the operation's thermometer in an ice water bath Visually check for a record confirming the thermometer's accuracy Relevance of the verification method used Request the method (presented on paper or verbal questioning).In the comments section, indicate the variance between the thermometer and a reference probe thermometer or the temperature measured during the ice water test, specifying the test performed Consider the requirement as N/E for deliveries of purchases (made by the customer) Presence of a probe thermometer that is reliable and in working order Routine analysis possible with an IR probe, but when in doubt, confirmation with a probe thermometer is compulsory Frequency of probe verifications in accordance with the terms spelled out in the procedure If there is no procedure, minimum frequency of once a year, ice water test or comparison against a reference probe thermometer Maximum variance during ice water test = probe thermometer accuracy Maximum variance when compared with a reference probe thermometer = 2°C Score not allowed Probe thermometer reliable, but no verification under the terms spelled out in the procedure or, if there is no procedure, verification over one year ago No thermometer.Unreliable probe thermometer: non-adherence to margin of error spelled out in the procedure Variance during ice water test greater than the probe thermometer's uncertainty of measurement Variance when compared with a reference probe thermometer > 2°C Question employees about the conditions under which temperature checks are performed Look at the record of temperature checks Procedure known and applied by personnel The procedure is available, posted for consultation as needed and known by employees; up-to-date version Temperature readings performed under the conditions stipulated in the procedure If there is no procedure, automatic recording of temperatures; for unconnected zones and fixtures, the display is read each day If there is no procedure, temperature is measured at least once a month using a probe thermometer, even in the case of automatic recording Probe thermometer needs to be disinfected (as necessary) for core measurements Automatic recording system is compulsory when storing more than 10 m of frozen foodstuffs Score not allowed If there is no procedure, where there is automatic recording: no (monthly) check using a probe thermometer Checks not performed under the conditions stipulated in the procedure Probe used for core readings is dirty or not disinfected If there is no procedure, no recording of temperatures and no checks of the temperature display Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Temperature self-checks recorded and filed Global Indicators Self-check Page 30/34 Evaluation method A B C D Verify the completion of self-check documents for the previous month Verify filing All self-checks are recorded and filed in accordance with the frequency and conditions stipulated in the procedure If there is no procedure, filing = 12 months Temperature recorded continuously for all freezers measuring more than 10 m3 Checks carried out and recorded, but up to 10% of records could not be located Checks carried out and recorded, but up to 25% of records could not be located Filing not carried out under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Employees are familiar with the tolerance thresholds Employees are familiar with the corrective actions They are performed in accordance with the procedure in the event of an unsatisfactory check Re-training of employees, non-compliant sheets, calls to refrigeration engineer, disposal of products, etc The corrective action document(s) were completed in accordance with the procedure All corrective actions are kept on file and organised in accordance with the procedure If there is no procedure, proof of the proper performance of corrective actions is available and was kept on file for at least months Schedule/protocol displayed or available in the facilities or available to all personnel A newly hired employee can check the prescribed products and their terms of use at any time Version up to date Employees know and apply the cleaning schedule Employees trained on the use of cleaning and disinfection If there is no formalised schedule/protocol, evaluate adherence to supplier recommendations (on container) Cleaning products used in accordance with the protocol Score not allowed Corrective actions not filed under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Non-adherence to the conditions stipulated in the procedure for performing and recording inspections More than 25% of records could not be located No continuous temperature recording for at least one freezer measuring more than 10 m Non-adherence to the procedure The people responsible for temperature cycle self-checks not know the tolerance thresholds At least corrective action not performed or proof of its performance not kept on file in the event of an unsatisfactory check Employees know and apply the cleaning schedule/protocol although it is not immediately accessible Non-adherence to cleaning conditions for a component that is not in direct contact with food Cleaning schedule/protocol not up to date or non-adherence to schedule/protocol in a way that does not affect the effectiveness of cleaning and disinfection 213 Corrective actions for temperature verification and recording are performed, recorded and filed Self-check Question employees about the actions taken in the case of an unsatisfactory inspection and the corrective actions effectively performed Study an example of an unsatisfactory inspection Check the completion of required documents: corrective action sheet, self-check results, etc Cleaning schedule/protocol known and applied Cleaning and disinfection Check the presence of the cleaning schedule/protocol Question employees about the conditions under which cleaning tasks are completed and compare to the cleaning schedule Adherence to the time of action defined by the cleaning schedule Visually check the mechanical action (operator, high-pressure equipment, etc.) during the C&D phase Presence of manual or automatic measurers Control of temperature of dilution water during C&D phase Outside of cleaning hours, question employees about the conditions under which cleaning is performed Cleaning products used in accordance with the protocol 214 215 Guidelines for Auditors - V.2.0 EF05 Employees have poor knowledge of or not adhere to cleaning schedule/protocol (which has an impact on health/safety) Cleaning products not used in accordance with the protocol Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Conformity and condition of cleaning and disinfection equipment Global Indicators Cleaning and disinfection 216 Page 31/34 Evaluation method A For dishwashing machines, visually check the sorting of crockery by category in the washing trays/baskets Visually check that very soiled crockery is soaked and prewashed before transfer to machine Adherence to wash cycles Check the temperature of washing and rinsing water by measuring the temperature upon removal from machine or by observing the machine's temperature indicators Visually check the good condition of the cleaning equipment used for mechanical action, rinsing and wiping Complete elimination of organic and/or mineral stains Presence of a measurement system (cup, measurer) Proper product identification Proper product identification (manufacturer label, colour code, permanent manual identification) Product availability (no shortage) Cleaning equipment called for in the C&D plan Good condition, well maintained, cleaned regularly Ability to soak equipment overnight in cleaning product If there is no procedure, no sponges, no wooden handles, synthetic accessories suited to the defined use No mixing of accessories used on environmental elements (floor, walls, outside) and accessories used on surfaces in contact with food Scrapers authorised if their use is followed by a disinfection stage using a brush or dishcloth The frequency and conditions of all self-checks completed comply with the procedure.If there is no procedure, daily recording of tasks by the employee after cleaning and/or validation of recording by management once a week All selfchecks are kept on file in accordance with the procedure If there is no procedure, minimum = months Cleansers approved for food contact Disinfectants approved for surfaces in contact with foodstuffs in areas where exposed foodstuffs are handled Self-checks of cleaning tasks performed, recorded and filed Self-check Verify the completion of self-check documents Verify for the last month Compliance of cleaning products (approved for food contact) Cleaning and disinfection Verification of product compliance on the bottle labels and, as necessary, on the technical sheets 217 218 Guidelines for Auditors - V.2.0 EF05 B C D Score not allowed Cleaning accessories run-down, but clean and disinfected Dishwasher and storage areas are clean but with limestone build-up Cleaning accessories and equipment in poor condition Shortage of cleaning products used on surfaces in contact with food Checks carried out and recorded, but up to 10% of records could not be located Checks carried out and recorded, but up to 25% of records could not be located Filing not carried out under the conditions stipulated in the procedure or files kept for less than six months if there is no procedure Non-adherence to the conditions stipulated in the procedure for performing and recording inspections More than 25% of records could not be located Score not allowed Score not allowed Use of products not authorised for food contact or uncertified products in areas where uncovered foodstuffs are handled except if there use is validated by a procedure Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Isolated storage location for cleaning products and cleaning equipment Global Indicators Cleaning and disinfection Page 32/34 Evaluation method Score not allowed Score not allowed Presence of a document which identifies all shelf lives by family, type and handling use (products opened, unwrapped, defrosted, prepared and made in house) The shelf lives must have been validated by the store based on their organoleptic characteristics and microbiological shelf lives validated by a laboratory It is possible for the store not to conduct ageing studies if it bases its decisions on recommendations in GHP guides or chain guidelines and adheres to all of the guides' requirements Packaging and wrapping materials (plastic film, trays, plastic boxes, etc.) are protected from dust, the environment, foodstuffs and chemicals Opened rolls of plastic film are not exposed to dust, stored on the floor or stored near foodstuffs Bags of trays, rolls, etc are not stored on the floor Packaging or wrapping materials (e.g trays, plastic boxes, etc.) are stored upside down once removed from their containers If possible, the buffer inventory of trays used to package fragile foodstuffs is kept in a cooler Score not allowed No more than family for which the expiry date or intermediate date on the perishable product has not been validated Packaging or wrapping materials stored in place once opened even if the environment is perfectly clean and no soiling tasks are performed Bags or sacks used for packaging are stored in a dirty environment without overwrap HACCP Check whether shelf lives have been defined for products sold (counter sale and self-serve) and whether intermediate dates are defined (opened, unwrapped, defrosted, prepared and made in house) Where applicable, shelf lives have been validated by: GHP guides, chain guidelines or laboratory testing Satisfactory storage conditions for packing and packaging materials Method On site, check the conditions under which packaging and wrapping materials (plastic film, trays, plastic boxes, etc.) are stored whether removed from their bag or not Guidelines for Auditors - V.2.0 EF05 C Cleaning products and equipment are stored in an isolated location, ideally in an enclosed cabinet or closet set aside specifically for this purpose No risk of chemical contamination of facilities, foodstuffs or clean equipment Shelf lives defined and validated 221 B Visual inspection of cleaning product storage 219 220 A D Presence or storage of cleaning products on the same surface as, in the same cabinet as or above foodstuffs or clean equipment or dishes that would be used without rinsing Storage of cleaning products in areas where food is handled Storage of cleaning equipment under conditions that are unhygienic or could cause the contamination of foodstuffs or clean equipment At least families for which the expiry date or intermediate date on the perishable product has not been validated Unprotected packaging or wrapping materials stored under unhygienic conditions Packaging or wrapping materials soiled by the environment or operations Bags of packaging or wrapping materials placed on the floor Retail Audit Standard – version 2.0 June 2009 Requir ement no Requirement name Training on basic hygiene rules Global Indicators Personnel Page 33/34 Evaluation method A Question at least one person per operation about the hygiene instructions received upon hire or check records on training after hire You must interview new hires All persons who recently assigned to a workstation must receive operationspecific instructions on basic hygiene rules before working: hand washing, cold chain, C&D, separation and protection of foodstuffs, traceability, self-checks, etc Compliance with internal rules Presence of a procedure for training personnel when they are assigned to a new station (document kit, shadowing, etc.) Employees know and apply the procedure No information kept on file Information kept under the conditions stipulated in the procedure If there is no procedure, information is kept on file according to regulatory requirements (GMOs or products containing GMOs = years), fresh products (6 months), undated (5 years), best before date+ months For an in-house product, check that information can be found for all its ingredients: manufacturer, date, lot, approval Outgoing weights (sold or packaged) lower than received weights Otherwise, a relevant corrective action is associated with the error and filed Score not allowed Score not allowed No initial employee training on food hygiene practices Score not allowed Non-adherence to the procedure for no more than piece of information kept on file If there is no procedure, no more than one piece of information not kept on file Non-adherence to the procedure or at least two pieces of information not kept on file Non-adherence to conservation times defined by regulations Score not allowed Score not allowed Products distinctly separated and clearly marked such that they cannot be returned to the sales floor or retrieved by employees Products not immediately destroyed (awaiting scan) must be marked and quarantined Does not apply to alerts/withdrawals/recalls (evaluate these under the "Application of alert procedures, withdrawals and recalls, quarantining and marking" requirement) Score not allowed Score not allowed No system or system which does not take account all factors (incoming, outgoing and by lot) Outgoing weights higher than incoming weights with no relevant anomaly sheet During scheduled audit, employees are not able to "retrieve" and present the matter records Score as N/E if the audit is unexpected and employees are not able to "retrieve" and present the matter records (N/E must be justified) KO At least one non-compliant product not quarantined and/or not marked or which risks being used or placed on sale 222 Compliance of internal traceability Traceability Question employees about how traceability is managed Check the relevance of the information in binders, notebooks, etc Test three references handled Check the effectiveness of filing: organisation of information, time kept on file For each product handled (unpackaged, manufactured), the essential information is available (product names, supplier) Beef matter recordskeeping Traceability Check the matter records-keeping system.Comparison of weights received and weights packaged (self-serve) and placed on display (counter sale) by meat time and by lot Verify for the last month Non-conforming products isolated and marked (KO) HACCP Check that all non-compliant products are quarantined, marked and identified This applies to products that are damaged, broken, leaking and withdrawn from sale (expired, suffered break in cold chain, etc.) 223 B C 224 225 Guidelines for Auditors - V.2.0 EF05 D Retail Audit Standard – Version 2.0 PERSONAL NOTES Guidelines for Auditors - V.2.0 EF05 Page 34/34 ... damage to foods by pests 20 1 20 2 20 3 20 4 Guidelines for Auditors - V. 2. 0 EF05 Retail Audit Standard – version 2. 0 June 20 09 Requir ement no Requirement name Placement/effectiveness of pest traps... Indicative length of audit (total for store) of dates on the sales floor in a self-serve store: hr for stores > 15 ,00 0 m², 1.5 hr for stores between 10, 000 and 15 ,00 0 m², hr for stores < 10, 000 m²... procedure, verification over one year ago 15 16 17 A Observed deviation with a reference thermometer probe = Guidelines for Auditors - V. 2. 0 EF05 D Retail Audit Standard – version 2. 0 June 20 09 Requir