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

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)

2

4

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.).

1

3

Page 2/34

5

6

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 2 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: 1
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 = 6 months minimum.

8

9

Guidelines for Auditors - V.2.0 EF05

C

On-site verification
Rodent attractants and electronic insect
killers

7

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, 6 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: 6 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 3
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 3 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
Filing of servicing receipts
(pest control).

Global
Indicators
Pests

Page 11/34

Evaluation method
Check the servicing receipts from the pest
control company for the previous year.

41

Storage capacity.

Facilities

Visually check facilities.

Cleanliness of facilities and
equipment not in direct
contact with food.

Cleaning and
disinfection

Visually check the cleanliness of the area
and equipment (shelves, grates, plastic
pallets, ventilation grills, cold sleeves,
etc.) (whether cleaning is performed by
the store's personnel or an outside
company). Cleanliness of upstream
transport boxes (truck crates, containers,
iceboxes, cases, etc.).

A

B

C

Company service calls comply with
terms of contract (frequency, service
type).
Servicing receipts kept on file and
organised.
Records of internal actions (e.g.
electronic bug killer maintenance).
Sufficient storage capacity.

Servicing receipts all kept on
file but not centralised or not
organised.

Score not allowed.

Non-adherence by the company to
the defined servicing frequency.
Servicing receipts not kept on file
(whether external or internal).

Score not allowed.

Score not allowed.

Clean area or component. No old
stains. Adherence to the frequency
and conditions of cleaning
(schedule/protocol).

Regardless of the stage:
insufficient cleanliness of no
more than one component in
an area where there are no
uncovered foods (e.g.
refrigeration unit evaporator
grate a little dusty)
associated with a low risk of
contamination or
recontamination.

Regardless of the stage:
insufficient cleanliness of no more
than one component in an area
where there are uncovered foods
(e.g. cooler fan grate a little dusty).
Counter sales, see "D".

Storage areas overloaded or
overcrowded. Access to stored
foodstuffs is difficult.
Foodstuffs are stacked with a risk
of crushing.
Do not downrate if there was a
recent receipt resulting in the
presence of pallets in cooler
awaiting processing.
Unacceptable cleanliness because
of non-adherence to cleaning
frequency and/or conditions.
Presence of visible mould on
surfaces. Regardless of the stage:
multiple components are
insufficiently clean. Storage,
preparation, counter sales or
transportation. : Soiled door
handle(s). Counter service/selfserve sales: multiple fixtures are
insufficiently clean or food
remnants from the previous day
are found in at least one fixture
(e.g. dried blood). Counter sales :
insufficient cleanliness of at least
one component inside an
employee-accessed fixture.

100

101

Guidelines for Auditors - V.2.0 EF05

D


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Cleanliness of materials in
contact with food

Global
Indicators
Cleaning and
disinfection

Page 12/34

Evaluation method

A

B

C

Visually check the cleanliness of surfaces
in contact with food

Regardless of the stage: no old
stains. Do not downrate for equipment
soiling if it is systematically
cleaned/disinfected before use.
Equipment visually clean and stored
in a clean environment. No
contamination between clean
equipment and soiled equipment.

Score not allowed.

Score not allowed.

Regardless of the stage: surfaces
in contact with food are dirty
because of insufficient cleaning,
which could cause a health risk.
Examples: organic residue, food
remnants on the work surface,
slicer, cream residue in a beater.
Equipment that is stored in an
insufficiently clean environment is
used without being cleaned.
Insufficient separation between
dirty and clean equipment at
dishwashing station or in storage
areas (drying racks, shelves, etc.).
List the dirty equipment and
surfaces and count them by piece
of equipment (e.g. 1 soiled slicer
= 1 downrating even if several of
the slicer's surfaces are dirty). Do
not apply these penalties for traces
of minerals or tartar on the
surfaces.

Regardless of the stage: Packaging
and surfaces appropriate for food
contact and suited to the operation.
Wooden cutting blocks are authorised
if in good condition and accepted by
the chain.

Score not allowed.

Score not allowed.

Regardless of the stage:
Packaging and surfaces not
appropriate for food contact,
rusted, damaged or not suited to
the operation. Examples: foodstuffs
sold in bin liners, special
preparations sold in unprocessed
cardboard, non-food recipients,
food covered with non-food grade
plastic wrap, use of watering hoses
for potable water, paintbrush used
instead of pastry/basting brush,
wood materials, deteriorated
wooden cutting blocks or presence
of wooden cutting blocks when
banned by chain, etc. If dirty
vessels are used, downrate the
"Cleanliness of equipment in
contact with food" requirement.

102

Number of materials with
dirty food in contact with
food
103

Compliance of materials in
contact with food.

Equipment

104

Guidelines for Auditors - V.2.0 EF05

List the materials and/or equipment
whose surfaces in contact with food are
soiled.
Answer format: "equipment" and perhaps
"location", "details and/or position of
dirt/soil".
Example: pastry workshop beater tub:
mould found on inside edges and bottom
of tub.
Visually check packaging and surfaces in
contact with food; where applicable, you
may question employees or managers
about their nature and origin.

D


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Product protection.

Global
Indicators
Method

Page 13/34

Evaluation method

A

B

C

D

Visually check the storage and sales
areas.

Regardless of the stage: no product in
direct contact with the floor whether
packaged or not. Products wrapped in
plastic film, bags resealed, covers
closed. No polluting materials (wood,
boxes) in areas where uncovered
foods are located. Storage: no risk of
crushing in storage area. Counter
sales: Seafood display = products are
cooked and shelled and their flesh is
protected from the ice. Counter sales :
Products covered with plastic film
over long hold times (overnight).
Products unpackaged on plastic wrap,
in a dish, but not in contact with a
packaged product.

Regardless of the stage: no
more than one product
reference unpackaged or
manufactured by the store is
unprotected provided there is
no risk of direct
contamination.

Regardless of the stage: at least
one product reference unpackaged
or manufactured by the store is
unprotected 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. Storage: stacking or
crushing of products in the storage
area due to poor stocking
practices. Counter sales : Fish
display: at least 2 unauthorised
product references in contact with
ice. If there is danger of
contamination, downrate the
"There is no cross-contamination
which could cause a direct health
risk (KO)" requirement.

Visually check the storage, handling and
sales areas. Question is N/E if all the
products are packaged without risk of
contamination.

Regardless of the stage: storage,
handling and sales conditions are
such that they limit cross
contamination. Products are
organised by type at all stages where
contamination could occur. Storage:
products in polluting packaging
(cardboard, crates) are placed in an
area separate from exposed products.
If products of different types are
stored on superimposed shelves, the
upper shelves are reserved for
microbiologically sensitive products.
Vegetables: complete separation of
un-rinsed vegetables and "clean"
vegetables. Meats: separation of offal,
horse, game, poultry and meat.
Separation of delicatessen meats by
family: fresh (raw), dried, steamed
and cooked. Separation of cheeses
made from raw and unpasteurized
milk.

Storage: products in polluting
packaging (cardboard,
crates) are placed in an area
separate from exposed
products.

Regardless of the stage: No more
than
2 product references unpackaged
or manufactured by the store are
unprotected provided 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.).
Counter sales. : presence of small
quantities of polluting materials
without a direct risk of
contamination in an area where
uncovered foods are handled.
Counter sales : Fish display: no
more than 1 unauthorised product
reference (exposed flesh, cooked
product, shelled product) in contact
with ice.
Regardless of the stage: division
by family but insufficient separation
between exposed products to be
consumed as is. e.g. dried and
cooked delicatessen meats.

105

Separation of different types
of food.

Method

106

Guidelines for Auditors - V.2.0 EF05

Regardless of the stage: division
by family but insufficient separation
between products. No division by
family in areas where uncovered
foods are present. Storage or
handling conditions which create a
risk of cross contamination. In the
event that products for
consumption as is are
contaminated by raw products to
be cooked, penalise the "There is
no cross-contamination which
could cause a direct health risk
(KO)" requirement.


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Absence of crosscontamination which could
cause a direct safety risk
(KO).

Global
Indicators
Method

107

Page 14/34

Evaluation method

A

B

C

Visually check the storage, handling,
sales and transportation areas.
Contamination must be observed and
must be capable of endangering
consumer health or safety. Answer
format: describe the situation, hazard and
observed risk.

Regardless of the stage: no observed
contamination of products to be
consumed as is by raw ingredients.
No chemical or physical
contamination of foods observed.

Score not allowed.

Score not allowed.

Freshness and appearance
of food.

Date

Visually examine on sales floor and in
storage area.
Three EEC simplified freshness ratings
for fish (see tools made available in the
appendices to the standard).
Non-destructive examination.

Regardless of the stage: good
appearance, sense of product
freshness.
No meats, delicatessen meats,
cheeses or dried prepared dishes.
Produce = adherence to marketing
standards.
No food parasites (meats, whole fish).

Regardless of the stage: no
more than 1 product
reference visually lacking in
freshness, damaged or
moulded that has not been
discarded.
Fish: no more than 1 product
reference earning a score < 2
using the simplified fish rating
tool.

Regardless of the stage: no more
than 2 product references visually
lacking in freshness, damaged or
moulded that have not been
discarded.
Fish: no more than 2 product
references earning a score < 2
using the simplified fish rating tool.

Proper conditions for
removal of spinal cord from
sheep and goats.

Method

Question employees and during
operations check the conditions under
which spinal cords from sheep and goats
are removed and discarded. Visually
check on the sales floor.

Removal of sheep and goat spinal
cords in accordance with the
conditions stipulated in the procedure.
If there is no procedure, spinal cords
are handled and discarded under the
conditions stipulated by regulations:
no direct or indirect contamination of
beef by spinal cord; utensil reserved
for this purpose; elimination of spinal
cord with no contact with table,
knives, trays, meats, etc. cleaning and
disinfection of all surfaces in contact
with the spinal cord immediately after
removal.

Score not allowed.

Score not allowed.

108

109

Guidelines for Auditors - V.2.0 EF05

D
KO. Regardless of the stage:
Observed contamination of
products to be consumed (or which
could be consumed) as is by raw
ingredients: raw meats and poultry,
raw fish, shell eggs, un-rinsed
vegetables or products containing
these requirements. Does not
apply to contamination of whole
fruits and vegetables by un-rinsed
vegetables. Observed chemical
and physical contamination of food.
At least 3 product references
visually lacking in freshness,
damaged or moulded that have not
been discarded.
Fruits and vegetables: at least
3 withered produce references
which could cause the lot to be
delisted (more than 10%).
Presence on sales floor of potatoes
or endives which have gone green
under the light and have not been
discarded.
Presence of parasites in food
(meats, whole fish, etc.).
Seafood products: presence of
dead shellfish. No more than 3
product references earning a score
< 2 using the simplified fish rating
tool. At least one score < 1 using
the simplified fish rating tool.
Spinal cords removed from sheep
and goats under conditions which
cause food to be contaminated by
the spinal cord. Non-adherence to
the procedure. If there is no
procedure, no spinal cord removal
from sheep and goats, utensil not
exclusively reserved for this
purpose, lack of cleaning of
equipment in contact with the
spinal cord.


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Food identification.

Global
Indicators
Traceability

Page 15/34

Evaluation method

A

Check in storage and handling areas that
there are no unidentified foods.

For preparations made in-house,
identification may indicated on the
shelf, tray, cover, etc., but must be
unambiguous.
All products are identified.
Depending on the operation, the date
on which the product is first used,
unpackaged, cut, defrosted,
manufactured or cooked is written on
the container or on the supplier label.
Foodstuffs placed on clean and/or
cleaned/disinfected crates/trays (for
fruits). It is prohibited to store
products to be consumed as is in
crates that previously contained food
to be cooked or produce.

No more than 1 non-dated
foodstuff provided that
employees are able to
instantly find the date.

No more than 1 unidentified or
non-dated foodstuff in the storage
area.

At least 2 unidentified or non-dated
product references in the storage
area.
If the variance observed pertains to
non-compliant products that are
not marked, downrate the "Noncompliant products are quarantined
and marked (KO)" requirement.

Score not allowed.

Simple water bath if the food is
placed in crates which contained
foodstuffs with a similar bacterial
profile.

Storage of foods to be consumed
as is (e.g. prawns) in crates which
previously contained products to
be cooked or produce, even if they
have been cleaned, unless the
store provides proof the effective
disinfection of the crates. Storage
in holding area without cleaning of
crates. If the holding area is noncompliant, downrate the
"Separation of different types of
food" requirement.
Ice scoop on floor or stored in
unhygienic conditions.
Ice produced, stored or handled
under unhygienic conditions:
machine outlets dirty, bins dirty on
the inside or used for purposes
other than transporting ice, ice
picked up from floor, etc.
Direct contact between uncovered
foodstuffs and packaging.
Uncovered foodstuffs placed on a
surface previously occupied by
packaging.
No anti-bacterial steps/cleaning of
the surfaces of tinned foods or any
other packaging whose exterior is
dirty.
Non-adherence to work procedures
concerning the unpackaging of
foodstuffs.
Unpacking-unboxing in the
presence of uncovered exposed
foodstuffs. No cleaning of the area
after unpacking-unboxing when
uncovered foodstuffs are
subsequently handled.

110

B

C

Satisfactory cold holding
conditions.

Method

Check crates/trays when they are stored
and/or stowed in the cooler. Essentially
concerns the seafood operation.

Satisfactory ice handling
conditions.

Cleaning and
disinfection

Visually examine on site.

Ice machines in good condition. Ice
machine outlets clean and free of
tartar. Transport bins and scoops are
clean. Scoops never on floor.

Outside of bins slightly dirty.

Outside of bins dirty.

Satisfactory re-wrapping
conditions.

Method

Question employees if there are no tasks
underway during the audit and check the
cooler.

Box is cleaned and opened with a
clean box opener; unused portion is
transferred to a plastic vessel.
Elimination of bacteria on outside of
packaging (if matter is dirty) or the
box is cut open and inverted so that
the product does not touch the
packaging.
Meats removed from vacuum packs
into pierced trays.

Score not allowed.

Proper unpackaging conditions but
insufficient separation of packaging
and uncovered foods.

Satisfactory re-wrapping and
unpacking conditions.

Method

Visually check the unpacking-unboxing
areas.

Unpacking-unboxing performed in the
defined area. Excluding uncovered
food. Cleaning and disinfection after
unpacking/unboxing if necessary. No
handling which could contaminate the
uncovered product. Elimination of
packing materials at the end of
unpacking-unboxing tasks.

Score not allowed.

Unpackaging-Unboxing in the
defined locations but no regular
discarding of packing materials.

111

112

113

114

Guidelines for Auditors - V.2.0 EF05

D


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Satisfactory defreezing
conditions.

Global
Indicators
Temperature

Page 16/34

Evaluation method

A

Question employees if there are no tasks
underway during the audit.

Defrosting carried out according to the
procedure or the recommendations
from the supplier of the food.
If there is no procedure, slow
defrosting in the cooler.
The recipe sheets must be present,
available to everyone, legible and up
to date.

Score not allowed.

Score not allowed.

Defrosting not controlled (room
temperature) or not compliant with
instructions (store procedure,
supplier recommendation).

Score not allowed.

No more than 1 recipe missing.

Two or more recipes missing.

Strict adherence to recipes.

Non-adherence to recipe, but
no health hazard.

Score not allowed.

Non-adherence to at least one
recipe resulting in erroneous
labelling (e.g. addition of an
allergenic ingredient, alcohol, etc.
not indicated) or a health risk.

Covers crudités and vegetables used
to decorate fixtures. The procedure
describes the product used (bleach,
vinegar, etc.), concentration, time of
action, rinsing method, stages. The
procedure defines the conditions for
preparing the disinfectant solution and
its shelf life. If there is no written
protocol, the instructions are known
and applied.
Covers crudités and vegetables used
to decorate fixtures.
Protocol known and followed by
personnel.
If there is no protocol, pre-washing if
very soiled then washdecontamination-rinse. Dosed in
accordance with the disinfectant
supplier's protocol. Bleach: 1/1000
bleach (9 chlorometric degrees), i.e.
1/2 yogurt cup for 50 litres of water.
Vinegar: 6/100, i.e. 0.6 litre for 10
litres water. Equipment available if
needed to dilute disinfectant (bleach).
Adherence to duration of use for the
disinfectant solution. By default,
recommendation for bleach = 5 min;
for vinegar = 15 min.

Score not allowed.

Procedure is incomplete or not
formalised in a way that does not
prevent proper decontamination of
vegetables.

No vegetable decontamination
procedure is available to the
personnel. Incomplete procedure
which could result in poor
decontamination or incomplete
decontamination.

Score not allowed.

If there is no procedure, rinse
crudités and decorative vegetables
for fixtures under water.

Non-adherence to the procedure.
If there is no procedure, the
vegetables are not washed, poor
dosing of antibacterial products,
insufficient contact time.
No rinsing of vegetables.
Decontaminated vegetables
handled or stored under unhygienic
conditions.

115

Existence of recipe sheets.

Traceability

Adherence to recipe sheets.

Method

Existence of a formalised
protocol for vegetable
decontamination.

HACCP

Adherence to vegetable
decontamination protocol.

Method

116

117

Check that there are written recipe sheets
in the form of files, notebook, binder,
poster, etc. for all "in-house" preparations
requiring the combining of ingredients.
Check approximately 10% of "in-house"
products in the sales fixture.
Check whether the absence of recipe files
can cause a health risk (allergens).
N/E question of no in-house preparations.
Question employees about the
preparation conditions, examine the
ingredients in the product and compare to
the recipes.
Check that the recipes presented after the
above questions, non-adherence to the
recipe sheets can create a health risk
(allergens).
Ask to see the protocol and evaluate its
relevance.

118

119

Guidelines for Auditors - V.2.0 EF05

Ask questions about the vegetable
decontamination protocol.

B

C

D


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Product rotation.

Global
Indicators
Date

Page 17/34

Evaluation method

Regardless of the stage: supplier
expiry dates/best before dates not
exceeded.
If an instance of a product whose
remaining supplier shelf life is
insufficient for the store shelf life is
observed before packaging by the
store, penalise the "Rotation"
requirement.
For raw ingredients whose dates are
exceeded before they are used,
penalise the "Adherence to expiry
dates and best before dates of sales
units and raw ingredients"
requirement.
No repackaging with extension of
expiry date = "rewrap".

Score not allowed.

Score not allowed.

Score not allowed.

Score not allowed.

Regardless of the stage: no products
with exceeded expiry date or best
before date.
Sales:
removal of eggs from sale at D-7.

Score not allowed.

Regardless of the stage: 1 sales
unit or raw ingredient unit whose
expiry date/best before date has
passed.

Absence of re-wrapping with
extension of best before
date (Warning).

Date

Search for initial labels.

Respect of best before and
use by dates of prepacked
food and raw material units.

Date

Check the dates by sampling products in
storage or on the sales floor. Indicative
length of audit (total for store) of dates on
the sales floor in a self-serve store: 2 hr
for stores > 15,000 m², 1.5 hr for stores
between 10,000 and 15,000 m², 1 hr for
stores < 10,000 m². Does not apply to
fresh packs and withdrawal dates unique
to each chain.

121

Guidelines for Auditors - V.2.0 EF05

Regardless of the stage: at least
1 observed rotation error resulting
in a potential post-dating risk. At
least 1 product whose remaining
supplier shelf life is insufficient for
the store shelf life, observed before
packaging by the store. At least
3 observed rotation errors provided
they do not create a risk of postdating.
KO.
Regardless of the stage:
observation of at least one product
whose supplier expiry date/best
before date is exceeded in the
following cases: counter sale,
expired ingredient in a recipe, postdating.
For a "rewrap", penalise the "There
is no repackaging with extension of
expiry date (Warning)"
requirement.

Regardless of the stage: no more
than
2 observed rotation errors provided
they do not create a risk of postdating.

Comparison between expiry date/best
before date of raw ingredients and
products on sale.
Take 3 product references.

124

D

Regardless of the stage: no
more than
1 observed rotation error
provided that it does not
create a risk of post-dating.

Date

Number of prepacked food
units or raw materials units
with exceeded best before
or use by dates.

C

Regardless of the stage: the nearest
dates/shortest times are used first.
Storage: storage areas are organised
so that products with the shortest
(remaining) shelf life are more
accessible. Sales: the products with
the shortest remaining shelf life are
placed nearest to the customer.

Implementation of best
before and use by dates of
raw material / ingredients
(processing) and absence of
post-dating (KO).

123

B

Visually examine and check labels.

120

122

A

Enter the details on the products whose
dates have been exceeded.
Answer format: number of sales units x
"Product type" and, where applicable,
"Retail brand and packing quantity",
expiry date or best before date: "Date
exceeded".
Example: 3 sales units x "Mamie Nova
Chocolate Yogurt 4-pack", expiry date
31/09/2008.

Warning
Presence of repackaging with
extension of expiry date for at least
1 product.
Regardless of the stage: 2 or more
sales units whose expiry date/best
before date has passed. Sales:
non-removal of eggs at D-7. For
the above requirement, indicate the
total number for the entire
operation of sales units whose
expiry date/best before date has
passed and the product type and
date.


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Proper enforcement of shelf
lives.

Global
Indicators
Date

125

Page 18/34

Evaluation method
Compare the shelf lives applied
(intermediate and sales) in storage,
preparation and sales with the defined
shelf lives to verify their proper
enforcement.

Labelling compliance general information not
related to food safety.

Labelling

Check at least the
3 best selling product references. Visually
check the operation. Whether labelling is
managed by the plant or by the store.
Does not apply to PRICE CHARTS
(bread, ham, milk, etc.).

Labelling compliance - food
safety (KO).

Labelling

Check at least the
3 best selling product references.
Visually check the operation and compare
to raw ingredients labels.
Question employees about allergen
information.

Frying oil quality.

Method

Ask questions about the frequency of
replacement and use. Evaluate using the
appropriate oil test (3M or Oxifrit test)
used by the store.

126

127

128

Guidelines for Auditors - V.2.0 EF05

A

B

C

D

Regardless of the stage: question is
not applicable if the shelf lives have
not been defined.
Adherence to official, chain or store
shelf lives.
All persons assigned to packaging or
counter sales have access to the shelf
lives.
Regardless of the stage: presence of
general information whenever it is
compulsory: no abbreviations and
legible label. Presence of information
specific to each operation (cheese,
seafood, meat, delicatessen, etc.),
consumer information for bulk eggs,
etc.
Sales: pre-packed sales: store contact
information, name under which
marketed, condition of foodstuff,
production lot, shelf life, origin,
weight/net quantity, precautions for
use, price/price per kg. All ingredients,
etc. Sales: counter sales: all products
are marked unambiguously. Sales:
Produce: presence and compliance of
information required by regulations
(name under which marketed, origin,
TTT, category, size, etc.)
Regardless of the stage: presence of
all information relating to food safety
(expiry date, storage conditions,
allergenic ingredients, etc.).
Counter sales : Employees know how
to answer customers' questions about
allergens ("Does this product contain
gluten?").

Regardless of the stage: no
more than
1 product reference which
exceeds its validated shelf
life by a maximum of one
day.

Regardless of the stage: no more
than 2 product references which
exceed their validated shelf life by
a maximum of one day.

Regardless of the stage: At least
3 product references which exceed
their validated shelf life by a
maximum of one day.
At least 1 product reference which
exceeds its validated shelf life by 2
or more days.

Regardless of the stage: no
more than
1 product reference with
inaccurate or incomplete
labelling provided that the
oversight is not related to
food safety.

Regardless of the stage: 2
products with inaccurate or
incomplete labelling provided that
the oversight is not related to food
safety.

Regardless of the stage: at least
3 product references whose
labelling is missing, incomplete,
inaccurate. Any omissions, errors,
etc. related to food safety should
be penalised under the "Labelling
Compliance - Food Safety (KO)"
requirement.

Score not allowed.

Score not allowed.

Regardless of the stage: oil appears
to be of good quality and below the oil
tester maximum values.

Score not allowed.

Regardless of the stage:
acceptable oil quality according to
the oil tester.

KO.
Regardless of the stage: at least
1 product reference missing
information related to food safety:
expiry date, storage conditions,
allergens.
Counter sales : Employees know
how to answer customers'
questions about allergens ("Does
this product contain gluten?").
Regardless of the stage: poor oil
quality unsatisfactory test result.
Insufficient replacement frequency.
No testing method at the store.


Retail Audit Standard – version 2.0 June 2009

Requir
ement
no.

Requirement name
Self-checks on frying oil
performed, recorded and
filed.

Global
Indicators
Self-check

Page 19/34

Evaluation method

A

B

C

Question employees about the self-check
methods used to check frying oil or
observe if tests are performed.
Check the records for the previous month.

Regardless of the stage: All selfchecks are completed, recorded and
filed in accordance with the frequency
and conditions stipulated in the
procedure.
If there is no procedure, self-check
before each use: visual and using an
oil tester (3M or Oxifrit test, etc.).
Self-check documents completed and
filed.
All self-checks are kept on file in
accordance with the procedure. If
there is no procedure, minimum of six
months.
Regardless of the stage: no holes or
tears on any part of clothing.Uniforms
replaces daily for the handling of
uncovered foodstuffs. The
replaceable (smocks, aprons) and
disposable parts of the uniform are
replaced after highly soiling tasks
(waste/pallet handling, use of toilet,
dishwashing or cleaning, etc.) or
removed before these tasks are
performed. Uniform reserved for the
operation. No stains when reporting
for duty. Personal clothing does not
stick out past the wrists. Head
covering (cap worn, hair pulled back)
in effect for all employees as soon as
they report to their stations in areas
where uncovered foodstuffs are
handled: preparation or counter sales.

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.
More than 25% of records could
not be located.
No test or non-adherence to the
minimum frequency if there is no
procedure.

Regardless of the stage:
person who does not handle
products has an incomplete
uniform, but no impact on
food safety.

Regardless of the stage: members
of the operation's personnel have
incomplete uniforms, but no impact
on food safety. No more than one
person without head covering (cap
or pulled-back hair). Presence of
warm clothes (not included in the
uniform wash cycle) worn over the
uniform in areas where food is
handled.

Regardless of the stage: handling
of uncovered foodstuffs with a
uniform that is soiled, noncompliant or not replaced after a
soiling task. At least one person
handling uncovered foodstuffs with
personal clothing sticking out past
the uniform at the cuffs or worn
over the uniform. At least two
people without head covering or
failing to pull back long hair. Any
uniform non-conformity resulting in
a risk of food contamination. Nonadherence to internal rules on the
wearing of uniforms.

129

Cleanliness and compliance
of uniform

Personnel

130

Guidelines for Auditors - V.2.0 EF05

Visually check the uniforms of employees
who handle foodstuffs or are assigned to
a preparation or counter sales
operation.Question employees about the
frequency of uniform changes. Check that
there are clean uniforms or disposable
parts reserved for tasks performed on
uncovered foodstuffs and that they are
not used for soiling tasks: emptying of
rubbish bins, removal to storage area,
pallet/box handling. Employees must not
go to the toilet wearing the
disposable/replaceable parts (smocks,
protective components) of the uniform.

D


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
1 employee handling
uncovered foodstuffs with
jewellery on wrist.

Regardless of the stage: no more
than
1 employee handling uncovered
foodstuffs with polished or long
nails provided they are clean.

Regardless of the stage: at least
1 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 1 to 3 readings
depending on the size of the fixture. For
storage areas: 1 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
2 sales units; for foodstuffs under
"normal" conditions of storage and sale.
For sales floor fixtures, take 1 to 3
readings depending on the size of the
fixture. For storage areas and the
transportation:
1 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
1 zone with no temperature display
or thermometer.

Regardless of the stage:
loading limit is exceeded for
no more than 1 reference.

Regardless of the stage: loading
limit is exceeded for no more than
2 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
3 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 2
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: 6 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: 6 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 1 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 2 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 do not know the tolerance
thresholds. At least 3 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.


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