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

Retail Inspection Standard

Inspection standard to assess the food safety level of compliance of foodstuffs distributed in retail stores

GUIDELINES FOR AUDITORS

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.)

Area or component clean and tidied

Adherence to the frequency and conditions of cleaning (schedule/protocol)

Risk of invasive moisture Insufficiently clean areas

Non-adherence to defined cleaning frequency (schedule)

Storage defect

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

2

Cleanliness of bins,

containers, compactors

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)

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

3

Location of bins, containers,

compactors

Equipment Visually check the locations Distinct area or total protection of all

nearby goods if a separate area is physically impossible

Score not allowed Some passageways close to goods

are not protected

Not in proper location

4

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)

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

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

5

Absence of pests Pests Visual inspection for the presence of

pests or glaring clues suggesting their presence (excrement, gnawed bags of food, etc.)

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

Temperature When there is prolonged storage

(night-time 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)

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

no Indicators

7

Location/effectiveness of

pest traps

Pests On-site verification

Rodent attractants and electronic insect killers

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 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

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

Score not allowed 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

9

Proper performance of

inspection tasks upon

receipt

Self-check Question employees about how

self-checks are carried out; compare to the procedure

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

Minor variance relative to the procedure but which does not result in the acceptance of non-compliant goods

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

10

Receiving self-checks

recorded and filed

Self-check Observe the records on the performance

of receiving inspections for the last month

The frequency and conditions of checks completed comply with the procedure

self-All self-checks are stored and filed as indicated in the procedure If there is

no procedure = 6 months minimum

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

Self-check 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, self-check results, etc

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

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 "Non-compliant products are quarantined and marked (KO)" requirement

12

Cleaning schedule/protocol

known and applied

Cleaning and disinfection

Time the duration of the action defined by the manufacturer 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 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) 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

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)

Self-check Verify the completion of self-check

documents Verify for the last month

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 self-checks are kept on file in accordance with the procedure If there is no procedure, for a minimum of six months

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

Verification of product compliance on the bottle labels and, as necessary, on the technical sheets

Cleansers authorised for food contact and certified disinfectants for surfaces

in contact with foodstuffs in areas where uncovered foodstuffs are handled

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

15

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 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

16

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

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

17

Observed deviation with a

reference thermometer

no Indicators

18 Variance observed during

ice water test =

19

No break in the cold or hot

chain which could constitute

a safety risk (KO)

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 KO

- Non-compliant product core temperatures = Variance of more than 4°C above (for cold) or below (for hot) the expected temperature

20

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 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

21

Product protection Method Visual inspection of storage areas or

waiting areas in the receiving zone time receiving via double-entrance door)

(night-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

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

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

22

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 Insufficiently clean areas

Non-adherence to defined cleaning frequency (schedule)

Storage defect

Unacceptable level of cleanliness resulting from non-adherence to cleaning procedures

Equipment Visual inspection 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.)

Score not allowed Score not allowed Absence of resources to treat

burns and cuts and protect wounds and skin problems (bandages, disinfectants, fingerstalls, gloves, etc.)

Expired first aid products

24

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

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

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

Equipment 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

26

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

Non-adherence to defined cleaning frequency (schedule) Storage defect

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.)"

27

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 No hand washing when exiting

toilet and/or changing rooms Hands dried under unhygienic conditions (dirty cloth, on clothing)

28

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

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

No HACCP file for at least one operation

no Indicators

29

Existence of a formalised,

appropriate control plan

HACCP 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

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, re-training of personnel, notification of supplier, performance of a counter-analysis, 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

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

30

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

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

Score not allowed Score not allowed Non-adherence to the conditions

stipulated in the procedure for report filing

Poorly organised files

31

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

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

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 non-pathogenic 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

32

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

Formalised procedures exist to describe how traceability is organised

on all operations/concepts affected

Score not allowed Score not allowed No traceability procedure for at

least one operation

Withdrawal 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

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

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

Withdrawal 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 non-compliant products are not returned to the sales floor or used Check that processing began the previous evening or that morning

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

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 processed alert arrived the previous evening or that very morning

non-35

Knowledge of suppliers

referenced by the store

Traceability 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

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)

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"

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)

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

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

The procedure takes into account all

of the operations/concepts

The procedure also describes the corresponding self-checks and corrective actions to implement

Score not allowed Written procedure exists but is

incomplete in a way that does not prevent the proper performance of inspections and corrective actions

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

38

Refresher training on food

hygiene for personnel

Personnel Question store managers about training

follow-up (excluding temporary personnel)

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

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

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

39

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 written procedure which defines the conditions of pre-delivery 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

Score not allowed Incomplete delivery procedures or

self-checks not defined

Lack of written delivery procedures

or incomplete procedures which prevent employees from making deliveries under proper conditions

or conducting corrective actions

40

Existence of a formalised

anti-pest prevention plan

Pests Verify the existence of a plan and

question store managers

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 Incomplete pest prevention plan:

(e.g the store does not have product safety sheets or the trap map is missing or incomplete, etc.),

No pest prevention plan

No sanitation plan of any kind

no Indicators

41

Filing of servicing receipts

(pest control)

Pests Check the servicing receipts from the pest

control company for the previous year

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)

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)

100

Storage capacity Facilities Visually check facilities Sufficient storage capacity Score not allowed Score not allowed 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

101

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.)

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"

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/self-serve 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

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

103

Number of materials with

dirty food in contact with

food

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

104

Compliance of materials in

contact with food

Equipment Visually check packaging and surfaces in

contact with food; where applicable, you may question employees or managers about their nature and origin

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

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: 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: 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

106

Separation of different types

of food

Method 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: division

by family but insufficient separation between exposed products to be consumed as is e.g dried and cooked delicatessen meats

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

no Indicators

107

Absence of

cross-contamination which could

cause a direct safety risk

(KO)

Method 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 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

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

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

109

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 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

no Indicators

110

Food identification Traceability 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

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 "Non-compliant products are quarantined and marked (KO)" requirement

111

Satisfactory cold holding

conditions

Method Check crates/trays when they are stored

and/or stowed in the cooler Essentially concerns the seafood operation

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

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 non-compliant, downrate the

"Separation of different types of food" requirement

112

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 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

113

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

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

Score not allowed Unpackaging-Unboxing in the

defined locations but no regular discarding of packing materials

Unpacking-unboxing in the presence of uncovered exposed foodstuffs No cleaning of the area after unpacking-unboxing when uncovered foodstuffs are subsequently handled

no Indicators

115

Satisfactory defreezing

conditions

Temperature 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

Score not allowed Score not allowed Defrosting not controlled (room

temperature) or not compliant with instructions (store procedure, supplier recommendation)

116

Existence of recipe sheets Traceability 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

The recipe sheets must be present, available to everyone, legible and up

to date

Score not allowed No more than 1 recipe missing Two or more recipes missing

117

Adherence to recipe sheets Method 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)

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

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

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 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

no Indicators

120

Product rotation Date Visually examine and check labels 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

Regardless of the stage: no more than

1 observed rotation error provided that it does not create a risk of post-dating

Regardless of the stage: no more than

2 observed rotation errors provided they do not create a risk of post-dating

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 post-dating

121

Implementation of best

before and use by dates of

raw material / ingredients

(processing) and absence of

post-dating (KO)

Date Comparison between expiry date/best

before date of raw ingredients and products on sale

Take 3 product references

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

Score not allowed Score not allowed 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, post-dating

For a "rewrap", penalise the "There

is no repackaging with extension of expiry date (Warning)"

requirement

122

Absence of re-wrapping with

extension of best before

date (Warning)

Date Search for initial labels No repackaging with extension of

expiry date = "rewrap"

Score not allowed Score not allowed Warning

Presence of repackaging with extension of expiry date for at least

1 product

123

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

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

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

124

Number of prepacked food

units or raw materials units

with exceeded best before

or use by dates

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