NFRN Retail Standards · RETAI STANDARDS | Essential Checklists 4 Independent Retail businesses are often the target for retail crime in which the perpetrator’s motive is for money,

ESSENTIAL CHECKLISTS

NFRN Retail Standards

Being a “creature of habit” is part of human nature, but unfortunately, habitual behaviour tends

to perpetuate bad habits as well as good ones. That is not good in a business environment

when the success of your business depends on doing the right things all of the time. So, no

matter how good you think you are in running your business, there is nothing wrong with

giving both yourself and your staff some points of reference that will ensure the right things

are done at the right time, and on time.

CHECKLISTS - you can’t deny that the practice of Checklists can save your business time

and money by improving efficiency and minimising mistakes.

CHECKLISTS - ensures you get your daily, weekly and monthly tasks done on time.

CHECKLISTS - will ensure that tasks are dealt with in the right priority.

CHECKLISTS - will develop a natural concrete habit in your mind to ensure that tasks are

not avoided but completed with accountability.

CHECKLISTS - helps you keep track of tasks and ensures your business is organised

throughout the day.

CHECKLISTS - provides a consistency to the business, showing what standards you expect

from your employees.

CHECKLISTS - there is a paper trail that shows evidence and accountability, should you

require it, eg training purposes, Trading Standards or Environmental Health.

In this module, we have developed checklists, which may already be part of your regular routine,

in different formats. Our checklists are not exhaustive but will help you identify the SWOB

(Strengths, Weaknesses, Opportunities and Barriers) and we hope they will be useful to help you

exercise better control over your business. If you have additional checklists and would like to

share them with fellow retailers, please forward them to [email protected].

Please note that in producing these checklists, we are not seeking to be superior or telling you

how to run your business, they are there for your guidance only and for your use as you see

fit. We recognise that every business is different and, for that reason, we have not attempted

to assemble these checklists in any particular order, but invite you to use them as you will to

compile a “procedures manual” for yourself and to help when training your staff.

Contents

Retail Crime Risk Assessment 4 - 10

Risk Assessment for Credit Card Fraud 11 - 12

Daily Front to Back Door Checklist 13 - 17

Weekly front to Back Door Checklist 18 - 19

Six-monthly Front to Back Door Checklist 20

Weekly Hygiene Audit 22 - 23

Retail Standards Checklist 24 - 25

Risk Assessment on Food Handling & Good Housekeeping for Employees 26 - 27

Hazard Identification Checklist 28 - 29

Temperature Record Keeping for Chilled/Fridged/Frozen Products 30

Open Food Daily Record (Hot) 32

Chilled and Frozen Food Delivery Records from Suppliers 33

Transporting Chilled and Frozen Deliveries from Cash & Carry 34

Food Supplier Out of Date Record 35

Store Cleaning Schedule 36

Staff Rota Record 38

Age Restricted Products Knowledge and Understanding 40

Age Restricted Products Fines and Penalties 41

Refusals Register 42

Individual Training Record 43

ACKNOWLEDGEMENTS:

Thanks go to Citizencard and Environmental Health for their input and guidance.

We also extend our thanks to those retailers, too numerous to mention, who shared their knowledge and experience to help develop these modules.

RETAIL STANDARDS | Essential Checklists

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Independent Retail businesses are often the target for retail crime in which the perpetrator’s motive is for money,

cigarettes etc. Effective barriers, both physical and psychological, can reduce the likelihood of these threats.

The following guidelines will help you analyse your retail business or perhaps suggest measures to reduce your

target potential. Since most crimes are directed toward individuals or independent retailers, it is important to be

aware of your present measures and possible weak points. We would recommend that you carry out the following

assessment of your business and its procedures on a quarterly basis:

Assessment Current Situation Action RequiredWhat is your potential target for retail crime within your business?

1. Pilferage (internal/external)2. Armed robbery3. Cyber security4. Fraud

Does your staff understand the potential risk of retail crime affecting the business in terms of each of the above areas?

Have you briefed your staff on the how to deal with these incidents as and when they arise?

What security systems do you have in place should there be a retail crime attack in your business?

Emergency Response Plan

What is your emergency response plan in the event of an armed robbery? ie:

• Security and protection of staff

• Protection of customers

• Emergency contact numbers

• Evacuation plan

• Closing the shop for business

• How quickly someone can be at the building if staff are working alone

• Is the First Aid box prominent?

• Are Fire extinguishers tested monthly (by appointed H&S) and serviced annually?

• Do you have a recovery plan?

• Do you have a Health and Safety Risk Procedure and carry out H & S risk assessments regularly (see NFRN Legal Plus and NFRN Retail Insight Modules)?

Use this space to add your own requirements:

Retail Crime Risk Assessment

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Assessment Current Situation Action RequiredReporting Crime

Do you report every incident of crime to the police?

STAFF

Staff Working Alone

Have you carried out risk assessments for staff working alone, especially in the event of criminal activity?

• What is your procedure for:

» Staff dealing with a perpetrator wanting the contents of the till?

» The perpetrator insisting there is more money to which the staff member doesn’t have access?

» What is your staff’s general behaviour towards retail crime, eg have they ever reported suspicious activity in store?

» Build on staff’s awareness of customers acting strangely or in dealing with difficult customers. (Refer to the Customer Service Retail Insight Module for more guidance).

» Ensure staff are aware of the possibilities of members of the public being curious as to how the business operates.

» Explain that it could be innocent curiosity but there have been occasions where it was used as intelligence gathering for future retail crime.

Do you have sufficient staff during busy trading periods?• Is there sufficient staff available that have

the confidence/experience to deal with an emergency issue?

• Has your staff been trained in how to deal with emergency issues, so they can expect the unexpected and know how to respond?

• Have you carried out a practise drill in order that staff understand how to react should an emergency arise?

Panic buttons• Do you have one?• Have all members of staff been briefed on

when it should be activated?• What is the procedure they should follow?

Staff procedures for security of their personal belongings

• Where do staff put their personal belongings? • It is a bad practice for staff to have personal

belongings behind the till area. • If staff have money within their personal

belongings – is it safe whilst on the premises?



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Assessment Current Situation Action Required

Personnel Procedures

• Have you carried out full background checks on your employees eg Home Office check for employees on visas?

(The Home Office has produced a guide for employers on preventing illegal working in the UK and this is available on their website: https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/304793/full-guide-illegal-working.pdf

• Do you ask to see the original documents of new staff?:

• British Citizens - passport, driving licence, proof of residence?

• EEA Nationals - full EEA passport or National Identity Card.

• Other Nationals - full passport and a home office document confirming the individual’s UK immigration status and permission to work in the UK.

• Do you have an employee handbook in order that staff understand your business code of conduct (see NFRN Legal Plus to produce your Employee Handbook).

• Does staff understand the importance of financial fraud in terms of dealing with customers and supply deliveries?

Till/safe procedures:

• What is the largest amount of money that remains in the till during trading?

• How is the money transferred to the safe?

• Is there a procedure for staff transferring money from the till to the safe?

• Do you have or are you considering a drop safe box?

• Do you count money in a secure area?

• What security procedures do you follow with respect to putting money into the till?

• What is your banking pattern eg day, time, route?

• Are all your banking details safe to prevent fraud happening?

Use this space to detail your own risk assessment questions:


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Credit/debit card facilities (pdq machines)

(Also see the NFRN Fact Sheet on Credit Card Fraud Prevention).

• Do you have PCI DSS coverage?

• Do you and your staff recognise that repetitive and multiple contactless transactions of the same item by the same customer or customers through the period of a day/s could be an usual practice for your shop in terms of sales of the store?

• Do you and your staff revert to chip and pin code should they detect unreasonable activity with contactless transactions?

• Are staff cyber security aware in terms of internal procedures?

Pass codes for the safe:

• How many people know the codes?

• How often are they changed?

• Are they changed if an employee leaves?

• Do staff log when they access the safe?

• What procedures should they follow when using the safe?

Passwords for store areas

• Do you have any in place?

• How many people know the codes?

• How often are they changed?

• Are they changed if an employee leaves?

How secure are deliveries made to your store in terms of:

• Checking the delivery verses product.

• Double-checked by two personnel, if possible.

• Is the product uploaded immediately into the EPOS system for stock control purposes?

• Does your company make due diligence checks on the suppliers to ensure they are bona fide and reliable?



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Pilferage

• What are your procedures for dealing with customer and staff pilferage?

CCTV

Is your CCTV - Registered for Data Protection –?

• It costs £35 a year to have your business registered for Data Protection, which could be a good investment should you need to monitor specific pilferage by a person/people within your store. The evidence you might obtain and present to the police will be credible in court if accompanied by your Data Protection registration and a management system to control CCTV activity. For further information contact the ICO (Information Commissioner’s Office).

Business use of CCTV

• Are there adequate cameras at the most prominent areas of the store?

• Does it cover all the blind spots within the store?

• Does it record for 30 days?

• Do you save the recordings?

• Do you watch the recordings for your business’s profitability understanding?

First Aid Box

• Do you have one in store?

• Who is responsible for keeping it stocked?

• Does everyone know its location?

• Do you have an appointed First Aider?

• Do you keep a training record?

Fire Extinguishers

• Are all fire extinguishers tested regularly?

• Are all staff aware of their location?

• Has everyone been given training in how to operate them?

• Do you keep a training record?


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Insurance cover

• Do you have Employer’s Liability (EL) & Public Liability (PL) cover within your policy?

• Are you covered for Assault?

• Does the premises have an effective operating alarm system?

• Is the premises fully secured with doors and windows linked to an alarm system?

• Are checks made daily to ensure the building is fully secured against criminal activity?

• Is the building fully checked to ensure the premises are empty before locking?

• Does the building have adequate lighting outside for CCTV to pick up unusual activity?

Do you have torch and batteries accessible if required?

• Does your staff know where they are located?

Recovery Plan

• If you have previously experienced retail crime, what procedures have you put in place as a result of the incident?

• What are your procedures for dealing with trauma after retail crime has happened?

» Do you offer staff counselling to help them understand the emotions of the incident?

» Do you offer them time off?

» Are they offered support in getting back to normal business?

Vigilance at all times

Has your business experienced:

• Customers videoing the shop floor on their mobile?

• People observing the business over a period of time – especially during delivery of products to the store.

• Does your staff know what telephone numbers to contact:

• when they suspect a high risk of retail crime?

• after the crime has happened?



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Employee Signature: Date:

Employer Signature: Date:

Date next assessment to be carried out:

Dealing with Difficult members of the public

• Does your staff know how to deal with difficult people? ie

1. Customer Service day to day?

2. An aggressive, threatening, armed person?

Risk Assessments

• Do you carry them out at 6-monthly intervals?

• Are they carried out when new personnel are employed?

• Do you keep a register of when they are carried out and with whom?


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Risk Assessment for Credit Card Fraud

Credit card fraud is growing within retail premises and retailers must develop internal preventative procedures

to ensure their businesses do not suffer losses as a result of banks holding retailers responsible whilst they

investigate their account activities. It would be worthwhile to carry out the following risk assessment on

a 6-monthly basis and as an induction with any new personnel in order to minimise the risk of fraudulent

activity and potential loss.

Assessment Current Situation

Action Required

Be aware that repetitive and multiple purchases of the same item, eg cigarettes, alcohol and lottery, can be traded for cash and ask them to remain alert to the possibility of fraudulent activity.

Be aware that, in order to deter banks from detecting unusual activity on an account, the perpetrator will carry out small transactions in the hope that the fraud, will go unnoticed.

Staff should be alert to the customer wanting to split their purchases to below £30 to pay by contactless (eg making 2 plus purchases).

Be aware from 14 October 2017, transactions carried out via Visa will take slightly longer to confirm payment, due to “live” data calculating if the customer has sufficient funds to pay for the goods purchased.

If the customer doesn’t have enough funds, the contactless card will come up as “declined”. If the customer decides to try chip and pin, the card will also be declined. This, therefore, means the retailer bears no risk.

Mastercard has not confirmed their movement and AMEX is currently consulting on how they will enhance security. (Further updates will follow from the NFRN when this is available).

Staff will be able to pick up customer patterns, eg products they purchase, credit card, debit card, even to the point of familiarity of the bank name. Staff will be able to group customers together as friends, shopping buddies, etc.

With businesses understanding this intelligence, they may be able to detect a different pattern quickly ie should a card be unusually presented for payment, perhaps check the name on the card to that of the customer and, if suspected as stolen, revert to chip and pin for added security.

In terms of stolen credit/debit card, staff should be aware. Fraudsters tend to attack at busy times of the day when staff are concentrating on keeping queues to a minimum.

Ensure staff are aware of peak periods so that they are prepared and remain vigilant at these times as customers will be moving in and out in quick succession.

Most customers tend to carry their credit/debit cards safely in wallets, only bringing out the card at the end of the transaction.

Staff should be on alert if the card is isolated in the hand for speedy payment.

Sometimes, if in doubt or not knowing the customer, a request for chip and pin will be a safety net for the business (until all acquirers have confirmed their investment in enhanced security).


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Risk Assessment for Credit Card Fraud

Employee Signature: Date:

Employer Signature: Date:

Date next assessment to be carried out:


Staff should be aware that a Credit/Debit card in hand coupled with the purchase of alcohol, tobacco and lottery, should be treated as a warning sign and the sales assistant should inform the customer that “contactless payment” is temporarily disengaged and ask if they are happy to carry out a chip and pin transaction.

Staff should be aware that items purchased with stolen cards can be:

• Top shelf magazines

• Deodorants

• Shavers

• Tea

• Coffee

in fact, any items that can easily be sold on for cash.

Staff should be aware of how to spot a counterfeit card. Please see further information on page 2 of the NFRN Credit Card Fraud Briefing document.

In order to be PCI DSS compliant, retailers need to have their receipt for transactions correctly filed as per the till/days takings in case they are subjected to an investigation.

If staff are responsible for producing these receipts, ensure they are aware of their importance and familiar with the filing process.

Carry out regular checks on CCTV cameras to ensure they are fully operational.

These should ideally be placed at the till point as well as outside the premises.

If your transactions are under investigation, the recordings can be used to help identify the fraudster.

Intelligent data can monitor the EPOS data for repetitive multiple purchases against credit/debit card transactions and help focus the CCTV on the person as they enter/leave the shop.

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Making the right impression, every day, to your customers is so important. The NFRN have developed a front to back door guide to ensuring “health and safety, good retailing, customer service and security” is maintained to an acceptable standard daily. The checklist is merely a guide, and in no particular order, as priority work eg customer service, receipt and display of stock overcomes bulb replacement BUT the bulb replacements and litter control must happen to keep the business to an acceptable standard.

Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Litter

Is the pathway to the shop entrance clear?

Is the area clear from rubbish and all bins emptied?

Is a bin/cigarette disposer available for customers?

Lighting

Are all bulbs inside/outside lit and illuminated signage working?

Flooring and Aisles

Are entrance mats clean?

In wet weather is the entrance area kept dry to ensure there are no Health and Safety issues?

Is the shop floor free from any advertising inserts?

Are floors brushed and washed, ensuring that health and safety signage marks the area that is damp from cleaning?

Are the aisles free from hazards?

At the counter area

Is the counter free from debris and clutter?

Can the customer easily put the items to be purchased on the counter?

Are the POS products in the primary counter area blocking the view of the staff from seeing out onto the sales floor?

Is confectionary display clean, merchandised and compliant?

Is the tobacco gantry fully stocked?

Are the Lottery terminal/Scratchcard dispenser, checkout screens, keyboard and scanners free from dust, clean and ready for service?

Is there no more than £300 of notes and £100 in change in the till for security purposes?

Customer service

Are customers greeted at the counter by a friendly member of staff?

Daily Front to Back Door Checklist


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Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Are staff Retail Standard presentable?

When performing good customer service checks, did the member of staff ask if they could help the customer with any other products/services e.g. mobile top-ups, newspaper, lottery etc, as part of the up-selling strategy?

Did the member of staff close the sale through positive communication?

Age restricted products

Are customers asked for ID* for an age restricted product? *Do you adopt Challenge 21 and 25 in your business?

Is No ID No Sale documentation checked and the No ID No Sale poster prominently displayed?

News and Magazines

Check deliveries off against delivery documentation and report shortages to the wholesale house.

Remove old titles from the display before replacing with new titles.

Prepare for return of news and magazine products by completing returns in time for collection with the next delivery.

Is the bottom of the magazine shelving clear from dust and marketing material?

Stock Orders

Ensure products required are checked against EPOS, store and floor stock levels before adding to the store order.

Ensure store orders are placed on a daily basis to the specific supplier in the time needed before stocks run out.

Ensure SOR documentation is completed and food set out of the sales area for supplier returns.

Promotions

Check stock gaps and fill with available stock

Shelving and Products

Are the shelves fully stocked and neatly aligned?

Are the products and pricing aligned?

On a quick check, are the products in date order? Are products removed that have passed their “display until” and “sell by” dates?

Is the shelving clean, presentable and free from sharp edges?

Are the news and magazines shelving areas tidy?


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Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Chiller and productsIt is important to complete the chiller, fridge and freezer checklists (within this module) in addition to the following retail standard.

Are the chillers well stocked?

Are the chillers clean?

Are they free from odour eg sour milk?

Are the vegetables fresh and would you purchase them?

Environmental

Have the correct environmental standards been met for product purchases such as ice cream, snowshock, weighing out sweets, cutting of ham/cheese against washing of hands/usage of gloves whilst also handling money?Coffee machine is fully operational during trading hours. Milk change has been actioned and full clean cycle has been activated. Cups and sundries are replenished.

Ovens are cleaned after usage.

Food temperature checks are complete and probe cleaned.

HACCP documentation completed.

Thermometer controls

A thermometer must be maintained in the business to ensure that temperatures are checked and recorded to meet statutory obligations.

A thermometer must be fit for purpose and replaced without delay if it gets damaged. If a battery operated thermometer, please ensure the batteries are replaced once an indication is made.

It is important to keep the instructions that come with the thermometer as, like most equipment, it could need regulated but also the instructions will provide good guidance.

Using the thermometer1. Make sure it is clean and dry2. Please the probe into the food and wait until the temperature has

synchronised before reading the temperature3. It is important to take readings from different parts of the of food

being tested.4. If moving from hot to chilled areas, the thermometer needs to

return to room temperature before this can be carried out.

Sanitising the thermometerIf the thermometer is not cleaned and sanitised before it is used to measure the temperature of different food the probe could transfer bacteria onto other food.1. Wash the probe with warm water and detergent.2. Sanitise the probe with alcoholic wipes.3. Allow the probe to dry naturally but if required ensure it is dried

with a clean disposable towel (kitchen roll).



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Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Security

Check the ATM for service levels.

Office and stock room doors are locked when not in use

Store/safe keys are securely stored out of sight

Key holders only have access to keys

Do till floats contain the correct amount of cash?

Cash is banked daily at different times to avoid a pattern

Check CCTV is recording and the time is correct.

Video or CD rom changed every 30 days

Staff Purchase book signed against money received

Back area

Check all supplier cages/racking are clean from debris and securely stored

Is there a cleaning rota in place and operational?

Are security areas for staff handbags and coats locked safely?

Is kitchen equipment; microwave, kettle etc in good working order?

Are toilet facilities clean? Are hand wash and hand towels available?

Is there a staff notice board in use for staff rotas regarding important statutory and non statutory information?

Closing the Business after hours

Remove till and cash and put in safe whilst a member of staff supports the security of the procedure.

Ensure newspapers are taken off display and record of returns made prior to putting in secure area.


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Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Closing the Business after hours

Ensure Scratchcards are removed from sale and put into the safe.

Gantry shutter pulled down and locked. (do not assume that the “door” coverage is ample security for the gantry – your insurance may not cover this).

Paypoint/Payzone/Camelot terminals security pass-coded.

All areas checked for security locks, eg windows, doors, shutters, gates

Refrigeration cabinets, chillers, sales floor lights, back store lights, toilet lights are all turned off

Your Stores Own Standard Procedures (we have left additional room for you to add in your own store standards that we missed).

Points of reference that will ensure the right things are done at the right time, and on time.



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Whilst Daily checks are a must there are some checks that can be done weekly. NFRN have developed a front

to back door guide to ensuring health and safety, good retailing, customer service and security is maintained

to an acceptable Retail Standard on a weekly basis. The checklist is merely a guide and in no particular order

as priority work eg customer service, receipt and display of stock overcomes bulb replacement BUT the bulb

replacements and litter control must happen to keep the business to an acceptable standard.

Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Promotions

Is POS available inviting the customer to purchase promotional deals?

Complete merchandising check made to ensure shelf edge label is correct or needs replaced.

Check stock gaps and fill with available stock.

Are the deals prominently displayed for the customer to identify when in the store?

Is there a power aisle that has all of the main promotional/seasonal activity?

Do you need to replace any tired POS?

Do you follow the recommended planagrams?

Other

From a Health and Safety perspective could a pram or wheelchair manoeuvre around the shop easily?

Is there a good selection of products with the main staples range?

Are there any slow moving product lines that appear to have been sitting in the shop for a long period?

Windows and Doors

Are the windows and doors clean?

Are the windows and doors clear from posters and old material? (Clear windows and doors are more welcoming for customers and help prevent crime as the passing public can see into the shops).

Is the signage intact and easily readable?

Ensure that debris and dust are removed from windows that can be viewed from outside (check out what your customers can see – cleanliness standards do count from the passing public).

Weekly Front to Back Door Checklist

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Standard Required

Mon

Tues

Wed

Thur

Fri

Sat

Sun

Shelving and Products

Are the products clean and free from dust?

Are the products clearly priced using shelf edge strips?

Back Area

All supplier cages/racking are clean and free from debris and securely stored?

Is there a cleaning rota in place and operational?

Are security areas for staff handbags and coats locked safely?

Is kitchen equipment; microwave, kettle etc in good working order?

Are toilet facilities clean; hand wash and hand towels available?

Refresh Checks

Are there any dark areas that need better lighting?

Are there any dark areas that would disinterest you from visiting again? Could the dead areas be opened up for display?

Are the walls free from debris, peeling paint and are they clean and bright?

Your Stores Own Procedures

Weekly Front to Back Door Checklist


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Six-monthly Store Checks are required to ensure that your business is carrying out its statutory obligations

for health and safety for its staff and customers. This list is non exhaustive, so please feel free to add in your

own standards.

Standard Required January June

Health and Safety at Work poster is displayed prominently.

Shop Insurance Certificate is valid and easily retrieved and checked to ensure that any new products have been added to the policy to ensure full coverage.

Check Employer’s Liability and Public Liability insurance is valid (normally in the shop insurance policy).

No ID No Sale and either Challenge 21 or Challenge 25 posters are prominently displayed.

PAT tests are carried out on all electrical equipment (a retailer can do this him/herself and sign off). Also see NFRN Retail Insight Module Health and Safety Checklist for more PAT templates.

Ensure fire evacuation drills take place with the staff so they know what to do if an emergency happens.

Remind staff of their own safety and what to do should someone come into the business to steal or rob from the business. Also see Retail Crime Risk Assessment” within this booklet.

Alarm company should be updated should any key holders have left, to ensure they are off the main calling list.

Check all Premises Licence and Personal Licence Holders (alcohol) certificates are up-to-date and prominently displayed.

Check all food hygiene certificates are up-to-date and prominently displayed.

Ensure that any new staff complete necessary training for age restricted products.

Your Store’s Standards Are as follows:

Six-monthly Front to Back Door Checklist

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Weekly Hygiene Audit

A weekly Hygiene Audit will allow your business to:

• Take corrective action if staff are not following the correct procedures.

• Identify any training required by staff.

• Ensure staff are wearing protective gloves and detergents.

• That protective gloves, detergents and warm water is available.

• Identify changes to procedures to make the business more efficient.

Check CommentsDetails of corrective

action taken Signed

Personal Hygiene

Are staff washing their hands as frequently as necessary?

If gloves are worn for sandwich prep, are they being changed regularly?Are food handlers free from jewellery - excluding a wedding band?

Are finger nails clean?

Is hair fully covered?

That staff are not handling money during the food preparation transaction?

Critical Controls

Are chilled / frozen deliveries put away within 20 minutes?

Are daily chill & freezer temperature checks completed?

Are cooking / hot holding temperature checks completed?

Are temperature gauges checked regularly?

Has appropriate corrective action been taken for out of spec temperatures?

Are raw & cooked food adequately segregated?

Is all food labelled (product name, use-by date)?

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Check CommentsDetails of corrective

action taken Signed

Are date checks up-to-date?

Are freezers filled within the ‘load line’?

Medical

Are any food handlers suffering from boils, infected wounds, flu or infectious skin disorders of the mouth, throat, nose, eyes or ears – that could cause spread of an infection?

Are cuts, sores & grazes covered with a blue waterproof plaster?

Protective clothing

Are food handlers wearing clean protective clothing?

Your Stores Own Procedures

Weekly Hygiene Audit

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FIRST IMPRESSIONS

Is the pathway to the shop entrance clear?

Is there a bin/cigarette disposal unit available for customer use?

Is the area clear of rubbish and are all bins emptied?

Is the area well lit?

Are all bulbs lit and illuminated signs operational?

Are the windows clean and free of too many posters?

Are the staff welcoming when customers enter?

Are they well presented?

Are baskets/trolleys positioned at the entrance to the shop?

FLOORING AND AISLES

Are entrance mats clean?

In wet weather, is the entrance area kept dry to ensure there are no Health & Safety issues?

Is the shop floor free from any advertising inserts?

Are floors brushed and washed, ensuring that Health and Safety signage marks the areas damp from cleaning?

Are the aisles free from Hazards?

STOCK

Are shelves fully stocked and neatly aligned?

Are the products and pricing aligned?

Are the products in date order?

Are the products removed that have passed their "display until" and "sell by" dates?

Is the shelving clean and free from sharp edges?

Are the news and magazine shelving areas tidy and well presented?

Are fresh fruit and vegetables fresh and visually appealing?

CHILLERS/FREEZERS

Are they well stocked?

Are they clean and frost free?

Are they free from odours, ie sour milk?

Are freezers filled within the load line?

Are the temperatures at the correct settings?

Are the temperatures checked on a daily basis?

Are the temperatures logged on a daily basis?

Are temperature guages checked regularly?

Are chilled/frozen deliveries put away within 20 minutes?

OPEN FOOD

Is the food preparation area cleaned frequently throughout the business day?

Are cooked and raw meats stored and displayed apart?

Are hand washing facilities adjacent to food preparation area?

Retail Standards Checklist

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OPEN FOOD

Are food handlers’ hands free from jewellery?

Are finger nails clean?

Are cuts, sores and grazes covered with a blue waterproof plaster?

Are gloves/tongs used by staff?

Are gloves changed regularly?

Is hair covered during food preparation/service?

Are bake-off goods cooked to the correct temperature?

Are they cooled in the appropriate environment?

Are ovens and temperature probes cleaned after use?

Are "display until" dates adhered to?

Is the Food Hygiene Rating on display?

Ensure staff use gloves and frequently cleanse their hands if handling money and handling open food.

AGE RESTRICTED PRODUCTS

Are customers asked for ID for an age restricted product?

Does the retailer adopt either Challenge 21 or Challenge 25

Does the business display the "No ID No Sale" poster?

Is the refusals register completed throughout the day?

Do the staff know how and when to use the refusals register?

Is the refusals register being used?

Is the Tobacco Gantry covered/accessed in accordance with Government legislation?

Is the Gantry restocked in accordance with Government legislation?

AT THE COUNTER

Are staff welcoming?

Is the counter free from clutter?

Is there space to place the shopping basket or purchases?

Is the confectionary display clean, merchandised and compliant?

Is the Lottery terminal/dispenser, clean, tidy and well stocked.

Do staff ask if they can help the customer with any other products/services?

Do staff thank customers for their business?

HEALTH & SAFETY

Are the Employer and Public Liability Insurance Certificates on display?

Are risk assessments carried out on a regular basis and logged for training purposes?

Are all electrical appliances PAT tested annually?

Are fire exits available, lit and accessible?

Are all fire extinguishers checked regularly?


26

Risk Assessment on Food Handling and Good Housekeeping for EmployeesIt is important for employees to understand the retail standard requirements for food handling

and good housekeeping to ensure that the business’s food hygiene rating is maintained

throughout every shift pattern and to expect the unexpected in terms of environmental health

visits. It is recommended that employees that handle open and chilled food should hold a food

hygiene certificate. The following is a checklist for all employees to self assess their standards

against the retail standard on a daily basis.

Name of Employee Date of Assessment

FUNCTIONRETAIL STANDARD REQUIREMENT

SELF ASSESSMENT – DO I UNDERSTAND REQUIREMENT?

TRAINING REQUIRED

Personal hygiene Customer and staff relationships.

Business image.

Food Hygiene Rating.

Handling money and handling open food

Disposable gloves required for open food handling.


Ensuring raw, chilled and cleaning products are packed separately into customer bags

To ensure there is no cross contamination within products.


Storage of deliveries To ensure the temperature meets regulation patterns.


Checking and Rotation of dated food products

To ensure products are not being sold that are out of date.

For business profitability.


Understanding temperature controls for hot, cold, chilled, fridge appliances

Bacteria control.

Understanding how to read thermometer.

Ensure thermometer is cleansed continually for bacteria control.

Understanding temperature requirements.


Please see section on use of a Thermometer within Essential Checklists Retail Insight Module.

27

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Signature of Member of Staff Date

Signed by Supervisor Date

Action required

FUNCTIONRETAIL STANDARD REQUIREMENT

SELF ASSESSMENT – DO I UNDERSTAND REQUIREMENT?

TRAINING REQUIRED

Good housekeeping Correct use of chemicals to clean appliances, shelves, and products.

Correct use of cleaning equipment and cleaning areas.

Understanding routine of shop cleaning duties to maintain health and hygiene standards.

Reporting pest control.


Waste disposal Recycle waste.Food waste.Secure waste.Cooking oil.Cleaning chemicals.

Food hygiene rating.

Storage of products Cross contamination.

Food hygiene rating.

Additional Retailer requirements not covered


28

Hazard Identification Checklist

Make certain that risks to employees and the public are consistently controlled.

WHAT IS IT?Hazard identification, to make certain that risks to employees, the public or the environment are consistently controlled within your business, is so important. The following will help you to implement a “what if/checklist analysis” and implement a layer of protection and focus into your business.

Some businesses adopt three principles when dealing with hazards which we would like to share with you:• Hazard - What can go wrong?• Consequences - How bad could it be?• Likelihood - How often might it happen?

29

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Process Step

Control MeasureSignificant Hazard

Purchase intake of perishable goods

• Use only reputable suppliers. • Ensure that cooked/ready to eat foods are delivered at chilled temperatures (0-

4oC).• Inspect each delivery before acceptance.• Check packaging is intact and that all product date codes are within use by or

best before date.• Inspect all deliveries.

YesYesYes

YesYes

Chilled Storage

• Ensure high risk foods are stored in chill unit at 0 - 4oC.• Ensure that no products are on display after Use-by Date has expired.• Ensure satisfactory stock rotation.• Ensure segregated storage of cooked food from raw food.

YesYesYesYes

Frozen Storage

• Ensure freezers are holding food at -18oC Yes

Food Preparation

• Effective staff hygiene procedures and cleaning schedules are used at all times.• Ensure segregation procedures are followed for raw and cooked food e.g. colour

coding.• Preventative maintenance procedures and visual inspection of equipment.• High risk food should spend a minimum time out of chilled conditions.

YesYesYesYes

Ambient Storage

• Compliance with pest control by keeping all opened products covered at all times eg sweets, etc.

• Store dry ingredients in a dry environment to prevent moisture contamination.

No

No

Chilled Food - Serve Over and Display

• Display at 0 - 4oC• Effective staff hygiene procedures and cleaning schedules.• Ensure segregation procedures are followed for raw and cooked food e.g. colour

coding. • Ensure staff continually cleans utensils for serving purposes.

YesYesYesYes

Cooking

• Cook products at specified time and temperatures.• Core temp should be >75oC.• Effective cleaning procedures and disinfection of temperature probes before

everyday usage must be employed.

YesYesYes

Cooling• Ensure a maximum cooling time of 90 minutes.• Cool in a clean area away from raw food or other sources of contamination• Effective staff hygiene procedures and cleaning schedules

YesYesYes

Re-Heating

• Cook products at specified time and temperatures. • Core temp. should be >75oC• Effective cleaning procedures and disinfection of temperature probes before

every use.

YesYesYes

Packing on demand for Chilled/Hot Food

• Store packaging separately from sources of food poisoning bacteria.• Effective staff hygiene procedures and use of separate utensils for cooked foods.• Ensure packaging is supplied by an approved chilled and/or hot food supplier.

YesYesYes

Hot food Display

• Ensure food is displayed at >63oC• Effective staff hygiene procedures and cleaning schedules.• Segregated display of cooked food from raw food.• Separate utensils and surfaces for cooked foods.

YesYesYesYes

Frozen Display

• Ensure freezers are holding food at -18oC Yes

Ambient Display

• Compliance with pest control contract and keep all products covered and off the floor

No

Home Delivery

• Ensure a maximum delivery time of 20 minutes or ensure food is delivered in chilled conditions (0-4oC).

• Ensure all food packaged/covered correctly during delivery.• Effective cleaning and disinfection of delivery vehicle.

Yes

NoYes

Hazard Identification Checklist


30

Temperature Record Keeping for Chilled/Fridged/Frozen Products

Tem

plat

e fo

r us

e on

sal

es fl

oor

and

cold

sto

re a

reas

.

The

tem

pera

ture

of a

food

pro

duct

sho

uld

be c

heck

ed a

s w

ell a

s th

e ai

r te

mpe

ratu

re a

s pa

rt o

f the

dai

ly te

mpe

ratu

re r

outin

e.C

hille

d fo

od:

0°C

to 5

°CFr

ozen

: -1

8°C

NB

- P

leas

e en

sure

the

ther

mom

eter

is d

ry b

efor

e us

ing

it. A

lso

ensu

re it

is s

aniti

sed

afte

r ea

ch u

se.

FOO

D

BEI

NG

TE

STE

D

PR

OD

UC

T N

AM

E A

ND

AP

PLI

AN

CE

Nat

ural

yogh

urt -

frid

ge

PR

OD

UC

T N

AM

E A

ND

A

PP

LIA

NC

E

PR

OD

UC

T N

AM

E A

ND

A

PP

LIA

NC

E

PR

OD

UC

T N

AM

E A

ND

A

PP

LIA

NC

E

PR

OD

UC

T N

AM

E A

ND

A

PP

LIA

NC

E

CO

MM

ENTS

OR

AC

TIO

N R

EQU

IRED

INIT

IALS

OF

STA

FF M

EMB

ER

Dat

e A

MP

MA

MP

MA

MP

MA

MP

MA

MP

M

8 th

May

2 de

grees

31

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Check temperature on immediate placement into chilled/fridge/ frozen storage


32

Pre

para

tion

of fo

od u

ntil

the

core

tem

pera

ture

is 7

5°C

or

abov

e w

ill e

nsur

e th

at h

arm

ful b

acte

ria

is d

estr

oyed

.

Low

er c

ooki

ng te

mpe

ratu

res

are

acce

ptab

le p

rovi

ded

that

the

core

tem

pera

ture

is m

aint

aine

d fo

r a

spec

ified

per

iod

of ti

me

as fo

llow

s :

• 60

°C fo

r a

min

imum

of 4

5 m

inut

es•

65°C

for

a m

inim

um o

f 10

min

utes

• 70

°C fo

r a

min

imum

of 2

min

utes

N

B -

Ple

ase

ensu

re th

e th

erm

omet

er is

dry

bef

ore

usin

g it

. Als

o en

sure

it is

san

itise

d af

ter

each

use

.

PR

EPA

RA

TIO

N O

F H

OT

FOO

D

NA

ME

OF

FOO

D B

EIN

G

PR

EPA

RED

TIM

E FO

OD

P

REP

AR

ATI

ON

W

AS

C

OM

PLE

TED

HA

S F

OO

D

BEE

N C

OO

KED

TO

TH

E 75

° TE

MP

ERA

TUR

E?

SIG

NA

TUR

E O

F S

TAFF

M

EMB

ER

RE

SP

ON

SIB

LE

Tim

e of

food

in

to th

e ho

t pl

ate

area

Tem

pera

ture

of

food

and

ti

me

(1st

che

ck)

Tem

pera

ture

of

food

and

ti

me

(2nd

che

ck)

Tem

pera

ture

of

food

and

ti

me

(3rd

che

ck)

Food

fini

shed

ti

me

Sig

natu

re o

f st

aff m

embe

r re

spon

sibl

e

Open Food Daily Record (Hot)

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Chilled and Frozen Food Delivery Records from Suppliers

It is

impo

rtan

t to

mon

itor

a sa

mpl

e of

chi

lled/

froz

en p

rodu

cts

in o

rder

that

the

corr

ect t

empe

ratu

re m

eets

sta

tuto

ry r

equi

rem

ents

.C

hille

d Fo

od:

0°C

to 5

°CFr

ozen

Foo

d: –

18°C

NB

- P

leas

e en

sure

the

ther

mom

eter

is d

ry b

efor

e us

ing

it. A

lso

ensu

re it

is s

aniti

sed

afte

r ea

ch u

se.

DA

TE O

F D

ELIV

ERY

SU

PP

LIER

OF

DEL

IVER

YN

AM

E O

F FO

OD

P

RO

DU

CTS

B

EIN

G

DEL

IVER

ED

TEM

PER

ATU

RE

OF

FOO

D O

N

IMM

EDIA

TE

AR

RIV

AL

INTO

S

TOR

E

TEM

PER

ATU

RE

OF

FOO

D O

N

IMM

EDIA

TE

STO

RA

GE

INTO

CH

ILLE

D/

FRO

ZEN

A

RE

AS

HA

S S

TOC

K

RO

TATI

ON

B

EEN

CA

RR

IED

O

UT

?

REC

OR

D “

US

E B

Y D

ATE

” O

F P

RO

DU

CT

BEI

NG

S

TOR

ED/

DIS

PL

AY

ED

AN

Y C

ON

CER

NIN

G

CO

MM

ENTS

SIG

NA

TUR

E O

F S

TAFF

M

EMB

ER


34

Ade

quat

e se

para

tion

of r

aw a

nd c

hille

d fo

ods

is r

equi

red

duri

ng tr

ansp

ort o

f pro

duct

s. P

rodu

cts

shou

ld b

e st

ored

in in

sula

ted

orga

nise

rs to

the

regu

late

d te

mpe

ratu

re r

equi

rem

ents

. Ti

me

of jo

urne

y an

d w

eath

er te

mpe

ratu

res

are

fact

ors

reta

ilers

sho

uld

cons

ider

whe

n tr

ansp

ortin

g ch

illed

and

froz

en fo

od

prod

ucts

.C

hille

d: 0

°C–

5°C

Froz

en:

-18°

C

NB

- P

leas

e en

sure

the

ther

mom

eter

is d

ry b

efor

e us

ing

it. A

lso

ensu

re it

is s

aniti

sed

afte

r ea

ch u

se.

DA

TE O

F D

ELIV

ERY

NA

ME

OF

FOO

D

PR

OD

UC

TTE

MP

ERA

TUR

E O

N

IMM

EDIA

TE A

RR

IVA

L IN

TO B

US

INE

SS

TEM

PER

ATU

RE

ON

IMM

EDIA

TE

STO

RA

GE

INTO

C

HIL

LED

/FR

IDG

E/FR

OZE

N S

TOR

AG

E O

R D

ISP

LA

Y

BA

TCH

CO

DE

AN

D

US

E B

Y D

ATE

CO

MM

ENTS

SIG

NA

TUR

E

Transporting Chilled & Frozen Deliveries from Cash and Carry

35

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Day Date SupplierNumber of

items removedCode

reasonInitials of checker

Reason codes: OOD = Out of date UBD = Use by date Q = Quality

Management Checked and signature

Food Supplier Out of Date Record

The Out of Date Food checklist is a list of out of date stock that:

• the supplier agrees to accept on a SOR (Sale or Return) basis

• highlights slow selling stock for management buying purposes


36

In order to ensure the store is operating to a high retail standard, it is important to employ daily cleaning

schedules. Cleaning schedules can be incorporated into staff rotas to ensure staff fully understand the task/

roles they play in presenting a professional approach to its customers/suppliers/competition, etc.

Equipment / Area Freq.Cleaning Agent *

Mon

day

Tues

day

Wed

nesd

ay

Thur

sday

Frid

ay

Sat

urda

y

Sun

day

Staff Areas

Toilets Daily Sanitiser

Tea Rooms/Break Area Daily Sanitiser

Office Weekly Detergent

Cleaning Facilities

Mops & Buckets Daily Sanitiser

Cleaning Store, including sink Daily Sanitiser

Storage Areas

Back-Up Chiller(s) Daily Sanitiser

Floor Daily Detergent

Refuse Areas Daily Sanitiser

Back-Up Freezer(s) Monthly Sanitiser

Ambient Shelving Monthly Detergent

Shop Floor Areas

Floor Daily Detergent

Milk Section Shelving Daily Sanitiser

Bakery Display Trays Daily Sanitiser

Customer Microwave Daily Detergent

Hot Hold Self Service Unit Daily Sanitiser

Tea/Coffee Machine Daily Sanitiser

Ice Cream Display Cabinet Daily Sanitiser

Refuse Area Daily Sanitiser

Chill units Weekly Sanitiser

Produce Display Trays Weekly Detergent

Freezer Units Weekly Detergent

Snow Shock Machine Weekly Sanitiser

Ambient Display Shelving Monthly Detergent

Chilled Display Grills Quarterly Detergent

Public Areas

Shop Entrance Daily Sanitiser

Shop Floor Daily Sanitiser

Toilets Daily Sanitiser

Management Checked & Signature Date

Store Cleaning Schedule

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Presenting a professional approach to its customers.


38

Name of Employee androle team member shall play at the time of shift

Mon

day

Tues

day

Wed

nesd

ay

Thur

sday

Frid

ay

Sat

urda

y

Sun

day

Com

men

ts

Staff Rota RecordHaving a staff rota schedule will allow you to best employ your staff at peak periods of the day that is best for

the business and help your overall profit margin.

Having the staff rota schedule planned two/three weeks in advance and prominently displayed shall allow

you to schedule in staff holidays and ensure there is no overlap in cover for the business.

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Prepared in advance and prominently display will allow you to schedule staff holidays”


40

Age Restricted Products Knowledge and Understanding

Below is a list detailing the age restrictions for the most common products sold in an Independent Retail

business. This is by no means exhaustive and you should make sure that you are familiar with all the

products you stock.

• Tobacco Products including papers, filter and hand Rolling Tobacco

• Alcohol including pre-mixed drinks and ‘shot tubes’

• Liqueur Confectionery

• Glues and intoxicating substances

• Fireworks and Sparklers, Party Poppers and Cracker snappers (throw downs) Christmas Crackers

• Knives and Razor Blades

• 18 certificated Film, DVD and Video Games

• R18 certificated films (require a special license)

• Newspapers and magazines with any 18 / R18 DVD or game attached

• Lottery including the National Lottery, Scratch-cards, the Health Lottery & Dream Charity Scratch card

• Petrol, Paraffin and Liquefied Petroleum Gas (LPG)

• PEGI 16 rated Video Games

• 15 Certificated Films, DVDs and Video Games

• Newspapers and magazines with any 15 DVD, or Game attached

• 12 Certificated DVDs, and Video Games

• Newspapers and magazines with any 12 DVD or Game attached

There are quite a wide range of goods for which age restrictions apply and it is very important that

you keep up to date with your product range. It is too easy to focus on highly publicised items such as

cigarettes, alcohol and the lottery but not think about other items.

Keep your guard for the following items:

» 18 certificate DVD bundled in with top-shelf magazines

» Free giveaways attached to other goods such as newspapers or magazines

» Liqueur chocolates being bought as a birthday present for a parent or other older relative

» Party poppers being bought with a cake, birthday cards and other celebratory items

» Razor blades being bought with a basket-load of other bathroom or grooming items

» Solvent-based marker pens or correction fluids bought with other items of stationery

Remember that your customer might be unaware that an item they are trying to buy is age-restricted; it

helps if there is a poster displayed that you can rely on to point out the age-limit.

Offenses by Customers

It is illegal for anyone to buy, or attempt to buy, alcohol or tobacco on behalf of someone under the age of 18. This is called a ‘proxy sale’

In circumstances such as these it is not only the purchaser that commits an offence, the seller would also

commit an offence if they made the sale knowing that the alcohol or tobacco was for someone under 18

years of age.

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Remember: if you suspect that an adult is purchasing alcohol or tobacco for a young person then you ask

them to confirm that the product is not being bought on behalf of someone under 18 years old. If you are

still unhappy, please refuse to complete the transaction explaining the reasons why, ie that the business

could lose its license status eg for alcohol, and agency for the lottery.

Test Purchasing

The most common way that enforcement agencies gather evidence is by Test Purchasing. This involves

sending a young person into the premise to attempt to buy age restricted products. A young person

operating under the direction of a Trading Standards Officer or the Police would not be breaking the law.

The National Lottery also conducts its own Test Purchasing programme to check its operations for

compliance. The legislation sets out the maximum fines that a magistrate can impose if you are prosecuted

and convicted of an underage sale. You will also have a criminal record.

Penalties vary depending upon the product and circumstances of the sale.

For a seller of alcohol this could be a fixed penalty of £90 but a court could impose a fine of up to £5,000.

The shop owner could face a fine of up to £5,000 for the first offence but this could rise to £20,000 for

repeated breaches. They could also have conditions imposed or their license revoked.

Repeated tobacco sales can result in a ban of up to one year.

The National Lottery can also remove lottery terminals for repeated breaches.

If you are a retailer in England and Wales and are registered under the Primary Authority Scheme,

please refer to the published guidelines.

Age Restricted Products Fines and Penalties


42

Add

itio

nal p

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can

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nloa

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from

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dnos

ale.

com

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ager

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:D

ate:

Ple

ase

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NINS_A4_REFUSALS_REGISTER_PROOF.pdf 1 21/09/2017 11:21

Refusals Register

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Individual Training Record

Name

Job Title

Start Date

Training SubjectDate of

TrainingTrainee’s Signature

Trainer’s Signature

Comments

NFRN Connect: 0800-121-6376 We do so much more - visit our portfolio at: www.nfrnonline.com May 2017

Documents

NFRN Retail Standards · RETAI STANDARDS | Essential Checklists 4 Independent Retail businesses are often the target for retail crime in which the perpetrator’s motive is for money,