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GLOBAL STANDARD

RETAIL

ISSUE 1
British Retail Consortium
GLOBAL STANDARD
RETAIL

BRITISH RETAIL CONSORTIUM SEPTEMBER 2016 ISSUE 1

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LIABILITY
BRC Trading Limited publishes information and expresses opinions in good faith, but accepts no liability for any error or omission
in any such information or opinion, including any information or opinion contained in this publication.

Whilst BRC Trading Limited has endeavored to ensure that the information in this publication is accurate, it shall not be liable for
any damages (including without limitation damages for pure economic loss or loss of business or loss of profits or depletion of
goodwill or otherwise in each case, whether direct, indirect, or consequential) or any claims for consequential compensation
whatsoever (howsoever caused) arising in contract, tort (including negligence or breach of statutory duty), misrepresentation,
restitution, or otherwise, in connection with this publication or any information contained in it, or from any action or decision taken
as a result of reading this publication or any such information.

All warranties, conditions, and other terms implied by statute or common law are, to the fullest extent permied by law, excluded.

Nothing excludes or limits the liability of BRC Trading Limited for death or personal injury caused by its negligence, for fraud or
fraudulent misrepresentation, or for any maer which it would be illegal for it to exclude or aempt to exclude liability for.

The Global Standard for Retail Issue 1 and the terms of the disclaimer set out above shall be construed in accordance with English
law and shall be subject to the nonexclusive jurisdiction of the English Courts.

COPYRIGHT
BRC Trading Limited 2016

All rights reserved. No part of this publication may be transmied or reproduced in any form (including photocopying or storage in
any medium by electronic means) without the wrien permission of the copyright owner. Application for permission should be
addressed to the Operations Director of Global Standards at BRC Trading Limited (contact details below).
Full acknowledgement of the author and source must be given.

The contents of this publication cannot be reproduced for the purposes of training or any other commercial activity.

No part of this publication may be translated without the wrien permission of the copyright owner.

Warning: Any unauthorized act in relation to a copyright work may result in both a civil claim for damages and criminal
prosecution.

For more information about BRC, contact:

BRC Trading Limited


2 London Bridge
SE1 9RA

Tel: +44 (0) 20 7854 8900


Fax: +44 (0) 20 7854 8901

Email: enquiries@brcglobalstandards.com
Website: www.brcglobalstandards.com

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CONTENTS

PART I INTRODUCTION
The scope of the Standard 6
Food and product safety legislation 7
Principles of the Standard 7
The certification process 7
Benefits of the Standard 7

PART II REQUIREMENTS
How the requirements are set out 11
The format of the Standard 11
Nonapplicable clauses 11
Voluntary clauses 11
1 Senior management commitment 12
2 The food safety plan 14
3 Food safety and quality management system 17
4 Facility standards 22
5 Product controls 29
6 Process controls 30
7 Personnel 33

PART III AUDIT PROTOCOL


Introduction 37
1 Self-assessment of compliance with the Standard 39
2 Selection of a certification body 39
3 Company/certification body contractual arrangements 39
4 Scope of audit and certification 39
5 Audit planning 41
6 The audit 42
7 Nonconformities and corrective action 43
8 Audit reporting 44
9 Certification 45
10 BRC logos 45
11 The BRC Global Standards Directory 45
12 Surveillance of certificated companies 46
13 Ongoing audit frequency and certification 46
14 Communication with certification bodies 47
15 Appeals 48

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PART IV MANAGEMENT AND GOVERNANCE
Requirements for certification bodies 50
Technical governance of the Standard 50
Achieving consistencycompliance 53

APPENDICES
Appendix 1 Other BRC Global Standards 56
Appendix 2 Qualifications, training, and experience requirements for auditors 57
Appendix 3 Certificate template 59
Appendix 4 Glossary 60
Appendix 5 Acknowledgments 65

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PART I
INTRODUCTION

THE SCOPE OF THE


STANDARD
Food retailing and consumer product retailing 6
The scope of the requirements 6
The scope of applicable products 6

FOOD AND PRODUCT


SAFETY LEGISLATION
PRINCIPLES OF THE
STANDARD
Senior management commitment 7
A hazard-and-risk-analysis-based system 7
Supplier and subcontracted service
management 7

THE CERTIFICATION
PROCESS
BENEFITS OF THE
STANDARD
Acknowledgments: a thank you from the BRC 8

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PART I
INTRODUCTION

Welcome to the first issue of the Global Standard for Retail (the Standard). The Standard has been developed to provide a
framework to manage product safety, quality, and legality for businesses in the food retail industry which buy and sell products.
These companies play an essential role in the delivery and trade of products, providing a critical link in their chain of custody.
Theycan influence product safety and quality standards at their suppliers and are responsible for maintaining an effective chain of
traceability, as well as managing the safety and integrity of products in their care. Where activities include importation there are in
many cases specific legal obligations with regard to the products which they import and requirements to maintain records which
may later be requested by authorities.

There have been many requests for a global standard to be produced to cover this sector, from both retailers and manufacturers
providing to them. Certification against the BRC Global Standards is recognized by many retailers, food service companies, and
manufacturers around the world when assessing the capabilities of their suppliers. This Global Standard has been developed to
specify the safety, quality, and operational criteria required to fulfill obligations with regard to legal compliance and protection of
the consumer. The format and content of the Standard is designed to allow an assessment of a companys product safety
management systems and procedures by a competent third partythe certification bodyagainst the requirements of the
Standard.

THE SCOPE OF THE STANDARD


The Global Standard for Retail sets out the requirements for companies in the food retail supply chain that provide services for the
sourcing, purchase, importation, distribution, preparation, and retailing of products. The companies may also own their own
processing, storage, or distribution facilities but these facilities are certificated to relevant production or storage and distribution
standards.

The scope of certification shall cover all applicable operations at the head office and retail stores certificated.

FOOD RETAILING AND CONSUMER PRODUCT RETAILING


The Global Standard for Retail is primarily intended and designed to assess and manage activities pertaining to food products.
The intention of this first issue is neither to exclude, nor mandatorily to include consumer products. If an organization wishes to
expand its utilization of the Standard to cover consumer products, the same requirements may be used (replacing food with
product in the expectationsfor example, section 2 in Part II Requirements becomes the product safety plan). This utilization
of the Standard is entirely voluntary by the organization pursuing certification.

THE SCOPE OF THE REQUIREMENTS


The Standard has a scope primarily focused on the safety, quality, integrity, and legality of the food-related products it offers for
sale. Additional requirements have been added to assess good retail practices, some of which are voluntary.

THE SCOPE OF APPLICABLE PRODUCTS


This Standard covers certification for the following categories of products:

food products for the consumer market, including raw materials processed onsite, finished products, and other formats
offered in a retail store
food-packaging materialsincluding disposable utensils
pet foods for domestic animals
consumer products.

The Standard shall not apply to livestock.

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FOOD AND PRODUCT SAFETY LEGISLATION

PART 1 INTRODUCTION
The Standard is intended to assist companies and their customers in meeting the legislative requirements for food and product
safety. Legislation covering food and product safety differs in detail worldwide but generally requires businesses to:

ensure they satisfy themselves that their suppliers are competent to deliver and produce the specified product, comply with
legal requirements, and operate appropriate systems of management control
verify the competence of their suppliers or receive the result of any other audit of the suppliers system at a frequency based
onrisk
monitor and act upon customer complaints.

PRINCIPLES OF THE STANDARD


The company must have a full understanding of the products being handled or covered by the organization and have systems in
place to identify and control hazards significant to the safety, legality, or quality of the products.

SENIOR MANAGEMENT COMMITMENT


The effective and consistent achievement of product safety requires this to be recognized as a responsibility shared by all
personnel within the business. Product safety management extends beyond technical departments and must involve
commitment from the full management team, including procurement, logistics, and store personnel.

The starting point for an effective product safety plan is the commitment of senior management to the development of an
all-encompassing policy as a means to guide the activities that collectively assure product safety. The Global Standard for Retail
places a high priority on clear evidence of senior management commitment.

A HAZARD-AND-RISK-ANALYSIS-BASED SYSTEM
The Standard requires the development of a product safety plan covering the services/operations which the company manages
and based on the principles of hazard and risk analysis. The development of the plan requires the input of all relevant departments
and must be supported by senior management.

SUPPLIER AND SUBCONTRACTED SERVICE MANAGEMENT


The Standard is intended to provide assurance to the organization that product and process safety risks are managed as
products pass through the supply chain. As such, the organization is expected to assess suppliers of goods and services within
their analysis.

THE CERTIFICATION PROCESS


The Standard is a product and service certification scheme. In this scheme, businesses are certificated upon completion of a
satisfactory audit by an auditor deployed by an independent third partythe certification body. The certification body in turn will
have been assessed and accredited by a national accreditation body to ISO/IEC 17065.

In order for a business to receive a valid certificate on completion of a satisfactory audit, the organization must select a
certification body approved by the BRC. The BRC lays down detailed requirements that a certification body must satisfy in order
to gain approval. Approved certification bodies are listed in the BRC Directory (at www.brcdirectory.com).

BENEFITS OF THE STANDARD


There are a number of benefits to companies arising from adoption of the BRC Global Standards. The BRC Global Standards:

are internationally recognized and provide a report and certification that can be used by organizations in place of their own
audits, reducing time and cost
provide a single standard and protocol that govern an accredited audit by third-party certification bodies, allowing a credible
independent assessment of a companys product safety and quality management systems
allow certificated companies to use the BRC public directory, providing analysis of performance data across the organization
are comprehensive in scope, covering areas of product safety, legal compliance, and quality
are designed to support compliance with regulatory requirements being proposed in the US Food Safety Modernization Act
and EU legislative requirements

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require ongoing surveillance and confirmation of the follow-up of corrective actions on nonconformity to the Standard, thus
ensuring that a self-improving quality and product safety system is established.

ACKNOWLEDGMENTS: A THANK YOU FROM THE BRC


The BRC wishes to acknowledge all those food industry experts who have contributed to the preparation of Issue 1 of the Global
Standard for Retail. A list of those who have contributed to the development of the Standard can be found in Appendix 5.

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PART II
REQUIREMENTS

HOW THE REQUIREMENTS


ARE SET OUT
Head-office versus store-level requirements
and assessments 11
The format of the Standard 11
Nonapplicable clauses 11
Voluntary clauses 11

1 SENIOR MANAGEMENT
COMMITMENT
1.1 Senior management commitment 12
1.2 Organizational structure 13

2 THE FOOD SAFETY PLAN


2.1 Food safety program management 14
2.2 Prerequisite programs 14
2.3 Describe the products and processes 14
2.4 Identify intended use 14
2.5 Construct a process flow diagram 15
2.6 Hazard analysis 15
2.7 Controls 15
2.8 Control limits 15
2.9 Monitoring of control points 15
2.10 Establish a corrective action plan 16
2.11 Establish a verification procedure 16
2.12 Documentation 16
2.13 Review of safety plan 16

3 FOOD SAFETY AND


QUALITY MANAGEMENT
SYSTEM
3.1 Food safety and quality manual 17
3.2 Documentation control 17
3.3 Record completion and maintenance 17
3.4 Internal audits 18
3.5 Supplier approval and performance
monitoring 18

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3.6 Specifications 19 4.10 Housekeeping and hygiene 25
3.7 Corrective actions 19 4.11 Waste and waste disposal 26
3.8 Control of nonconforming product 20 4.12 Management of diversion practices 26
3.9 Traceability 20 4.13 Pest control 26
3.10 Complaint handling 20 4.14 Storage facilities 28
3.11 Incident management 21 4.15 Shipping, delivery, and transportation 28

4 FACILITY STANDARDS 5 PRODUCT CONTROLS


4.1 External standards 22 5.1 Product design and development for
4.2 Site security 22 store-branded and store-produced
products 29
4.3 Layout and segregation 22
5.2 Product labeling 29
4.4 Internal standards 23
5.3 Allergen management 29
4.5 Utilities 23
4.6 Equipment 23
4.7 Maintenance 23 6 PROCESS CONTROLS
4.8 Staff facilities 24 6.1 Control of in-store processing 30
4.9 Chemical and physical contamination 6.2 Label and packaging control 30
control 24 6.3 Weight and quantity control for
in-store packing and weighing 30
6.4 Calibration 30
6.5 Stock rotation 31
6.6 Store sampling 31
6.7 Age-restricted sales 31
6.8 Pricing accuracy 32
6.9 Controls over food waste 32
6.10 Inspection management 32

7 PERSONNEL
7.1 Training 33
7.2 Personal hygiene 33
7.3 Medical awareness 33
7.4 Uniforms and protective clothing 33
7.5 Occupational health and safety 34
7.6 Visitor policy 34

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PART II

PART II REQUIREMENTS
REQUIREMENTS

HOW THE REQUIREMENTS ARE SET OUT


HEAD-OFFICE VERSUS STORE-LEVEL REQUIREMENTS AND ASSESSMENTS
Requirements are generally split into three main assessment categories and are color-coded as noted:

Requirements specific to head-office-type activities, with no direct assessment at store level

Requirements specific to store-level activities, with no direct assessment at head-office level

Requirements that are verified at store level, but require head office involvement or guidancethese
requirements are covered both in head-office and store-level assessments

THE FORMAT OF THE STANDARD


Each major clause of the Standard begins with a statement of intent. This sets out the expected outcome of compliance with
the particular clause. This forms part of the audit and all companies must comply with the statement of intent.

Below this statement of intent are specific requirements which, if applied appropriately, will help to achieve the stated objective of
the clause. The requirements shall form part of the audit and must be complied with, where applicable, in order for a certificate to
be issued.

NONAPPLICABLE CLAUSES
The requirements section of the Standard is based on good industry practice so that certificated companies:

are able to demonstrate their commitment


have a structured approach to managing product safety
have a controlling influence over the safety, legality, and quality of the products covered by their services.

It is recognized, however, that the activities of and services provided by retailers may vary considerably and that some of the items
included within this Standard may not be offered by all companies applying for certification. Such items will be considered to be
nonapplicable, although certification can still be provided on the basis of compliance with the remainder of the applicable
requirements.

VOLUNTARY CLAUSES
There are a number of requirements that relate specifically to retail practice, and during the development of the Standard were le
as voluntary options. These requirements may be omied from the audit of the retail store (defined in the head office contract
with the certification body) or during the audit of the head office. They may not be omied at the time that store locations are
audited if they are required by the head office.

Those requirements identified as voluntary options are color-coded as illustrated.

Requirements which are voluntary and may be omied (unless required by head office)

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1 SENIOR MANAGEMENT COMMITMENT

1.1 SENIOR MANAGEMENT COMMITMENT


The companys head office senior management shall demonstrate that they are fully commied to the implementation of the
requirements of the Global Standard for Retail and to the operation of processes which facilitate continual improvement of their
product safety and quality management services.

CLAUSE REQUIREMENTS

1.1.1 The company shall have a documented policy which states the companys intention to meet its
obligation to supply safe and legal products of the specified quality, and its responsibility to its
customers. This shall be:

signed by the person with overall responsibility for the company


communicated to all staff.

1.1.2 The companys senior management shall ensure that clear objectives are defined to maintain and
improve the retail offering, both of products and service. These objectives shall be:

documented and include targets or clear measures of success


clearly communicated to the relevant staff
monitored, and the results reported at least six-monthly to company senior management.

1.1.3 Management review meetings aended by the companys senior management shall be undertaken at
appropriate, planned intervals, at least annually, to review performance against the Standard and the
objectives set out in clause 1.1.2. The review process shall include the evaluation of:

previous management-review action plans and timeframes


results of internal, second-party, regulatory, and/or third-party audits
relevant customer complaints and their trends
significant incidents, corrective actions, and out-of-specification results
review of supplier performance
resource requirements.
Records of the meeting shall be documented and used to revise the objectives, encouraging continual
improvement.
The decisions and actions agreed within the review process shall be effectively communicated to
appropriate staff, and actions implemented within agreed timescales.

1.1.4 The company shall have a demonstrable system which ensures that significant product safety, legality,
and quality issues are brought to the aention of senior management.

1.1.5 The companys senior management shall provide the resources required to ensure that the product
safety, legality, and specified quality of the products supplied comply with the requirements of this
Standard and its mandate to customers.

1.1.6 The companys senior management shall have a system in place to ensure that the company is kept
informed of any emerging product safety, quality, or legality issues, including industry codes of practice
and all relevant legislation.

1.1.7 The company shall have a genuine, original, hard-copy or electronic version of the current Standard
available.

1.1.8 Where the company is certificated to the Standard, senior management shall ensure that recertification
audits occur on or before the audit-due date indicated on the certificate.

1.1.9 The opening and closing meetings of the audit for this Standard shall be aended by a senior manager of
the company.

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PART II REQUIREMENTS
CLAUSE REQUIREMENTS

1.1.10 The companys senior management shall ensure that the nonconformities against the Standard
identified at the previous audit have been effectively addressed to prevent recurrence. This shall include
head office and related store audits (for stores where certification has been granted).

1.1.11 If any store in the annual sample fails certification, a documented root-cause analysis for the failure must
be completed, and will be reviewed during the subsequent head office audit.

1.2 ORGANIZATIONAL STRUCTURE


The company shall have a clear organizational structure and lines of communication to enable effective management of
services ensuring product safety, legality, and quality.

CLAUSE REQUIREMENTS

1.2.1 The company shall have an organization chart demonstrating the management structure of the
company. The responsibilities for the management of activities which ensure product safety, legality,
and quality shall be clearly allocated and understood by the managers responsible. Personnel providing
backup to critical functions shall be documented.

1.2.2 The company shall have an organization chart demonstrating the reporting and responsibility channels
between head office and store locations.

1.2.3 The companys senior management shall ensure that all employees are aware of their responsibilities.
Where documented work instructions exist for activities undertaken, the relevant employees shall have
access to these and be able to demonstrate that work is carried out in accordance with the instructions.

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2 THE FOOD SAFETY PLAN

The company shall have a fully implemented and effective food safety plan based on risk assessment, covering the processes
for which it is responsible.

2.1 FOOD SAFETY PROGRAM MANAGEMENT


CLAUSE REQUIREMENTS

2.1.1 The food safety team shall have demonstrable knowledge of hazard analysis for the products and
processes being managed. External expertise may be sought, but management of the system must be
the responsibility of the organization.

2.1.2 The scope of the analysis shall cover sourcing and store operation, including implementation and
limitations (of local offerings) at store level.

2.2 PREREQUISITE PROGRAMS


CLAUSE REQUIREMENTS

2.2.1 The company and stores shall establish and maintain environmental and operational programs
necessary to create an environment suitable for the retail of safe and legal food products (prerequisite
programs). As a guide these may include the following, although this is not an exhaustive list:

cleaning and sanitizing


pest control
maintenance programs for equipment and buildings
personal hygiene requirements
staff training
purchasing
transportation arrangements
processes to prevent cross-contamination
allergen controls.
The control measures and monitoring procedures for the prerequisite programs must be clearly
documented and shall be included within the development and reviews of the food safety plan.

2.3 DESCRIBE THE PRODUCTS AND PROCESSES


CLAUSE REQUIREMENTS

2.3.1 The company shall define the products and processes covered by the program. This shall include:

a description of the nature of the products (e.g., frozen, refrigerated, open produce)
a description of the offering (e.g., bulk self-serve, sealed package, employee service)
a description of the in-store process (e.g., cook, chill, thaw, grind, wash, assemble, cut, mix).

2.4 IDENTIFY INTENDED USE


CLAUSE REQUIREMENTS

2.4.1 The intended use and any known alternative uses shall be described. If the customer target is specifically
a high-risk group, this shall be noted.

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2.5 CONSTRUCT A PROCESS FLOW DIAGRAM

PART II REQUIREMENTS
CLAUSE REQUIREMENTS

2.5.1 Flow diagrams or process descriptions for in-store processing shall be part of the analysis, identifying
key process steps or requirements.

2.6 HAZARD ANALYSIS


CLAUSE REQUIREMENTS

2.6.1 Potential hazards that are reasonably likely to occur shall be identified. These shall include hazards in
sourcing, possibly including:

processing verification
hazard control verification
food fraud
food defense.
Additionally, it shall include hazards at store level, possibly including:

chemical, physical, biological risks


food fraud
food defense
regulated risks.

2.6.2 A risk analysis shall be used to identify those risks which must be controlled. The analysis shall be up to
date.

2.6.3 A risk management or mitigation strategy shall be defined for those risks which must be controlled.

2.7 CONTROLS
CLAUSE REQUIREMENTS

2.7.1 Controls, including critical control points, shall be identified. A formal approach to identifying critical
control points shall be utilized (e.g., a decision tree).

2.8 CONTROL LIMITS


CLAUSE REQUIREMENTS

2.8.1 For each control step, appropriate limits shall be defined which must be:

measurable wherever possible


supported by clear guidance where direct measures are not possible.

2.8.2 Where empirical data, or regulatory or accepted industry practices are not in place, validation of limits
shall be incorporated in the justification.

2.9 MONITORING OF CONTROL POINTS


CLAUSE REQUIREMENTS

2.9.1 Monitoring for each control point shall be established in order to verify that limits have been maintained,
or loss of control has been identified. Critical control monitoring shall be recorded.

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2.10 ESTABLISH A CORRECTIVE ACTION PLAN
CLAUSE REQUIREMENTS

2.10.1 Corrective actions in the event of loss of control shall be established. These may include deferring
decisions to a competent authority (e.g., head office expertise).

2.11 ESTABLISH A VERIFICATION PROCEDURE


CLAUSE REQUIREMENTS

2.11.1 Verification steps (including exception monitoring) shall be in place to confirm that the food safety plan is
in force and functioning. This may be part of the internal audit program.

2.12 DOCUMENTATION
CLAUSE REQUIREMENTS

2.12.1 Sufficient documentation shall be in place to verify operation of the plan, and/or of specific actions,
where regulated.

2.13 REVIEW OF SAFETY PLAN


CLAUSE REQUIREMENTS

2.13.1 The food safety plan shall be reviewed in the event of a significant food safety event indicating failure, an
uncontrolled situation, a significant new risk, or at least annually.

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3 FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM

PART II REQUIREMENTS
3.1 FOOD SAFETY AND QUALITY MANUAL
The companys processes and procedures to meet the requirements of this Standard shall be documented to allow consistent
application, facilitate training, and support due diligence and supply of a safe product.

CLAUSE REQUIREMENTS

3.1.1 The companys documented procedures, working methods, and practices shall be organized to provide
logical access.

3.1.2 The food safety and quality manual shall be fully implemented and the manual or relevant components
shall be readily available to key staff and locations.

3.1.3 All procedures and work instructions shall be clearly legible, unambiguous, in relevant languages or
covering relevant methods, and sufficiently detailed to enable their correct application by relevant staff.

3.2 DOCUMENTATION CONTROL


The company shall operate an effective document control system to ensure that only the correct versions of documents are
available and in use.

CLAUSE REQUIREMENTS

3.2.1 The company shall have a procedure to manage documents which form part of the quality system.
Thisshall include:

identification to enable version control


controlled document authorization
a record of the reason for any changes or amendments to documents
a system for the replacement of existing documents when these are updated.

3.3 RECORD COMPLETION AND MAINTENANCE


The company shall maintain records to demonstrate the effective control of product safety, legality, and quality.

CLAUSE REQUIREMENTS

3.3.1 Records shall be legible, retained in good condition, and retrievable. Any alterations to records shall be
authorized and justification for alteration shall be recorded.

3.3.2 Electronic record controls shall take into account:

duplicate safe storage


security of the information
regulatory requirements
data integrity.

3.3.3 Records shall be retained for a defined period with consideration given to any legal or regulatory
requirements. Shelf life of products shall be taken into account when determining record retention
programs.

3.3.4 Where records are held by third parties the company shall be able to obtain copies of the records,
typically within one working day.

3.3.5 Customer information security shall be evaluated by a competent source, and the results provided to
senior management.

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3.4 INTERNAL AUDITS
The company shall be able to demonstrate it verifies the effective application of the food safety plan and the implementation of
the requirements of the Global Standard for Food Safety.

CLAUSE REQUIREMENTS

3.4.1 There shall be a planned program of internal audits with a scope covering the implementation of the
product safety and quality management system and procedures implemented to achieve this Standard
at the core office location.

3.4.2 Internal audits shall be undertaken by appropriately trained, independent, and competent auditors.

3.4.3 Results of internal audits shall be documented. Corrective actions and their timescales shall be included
in the documentation.

3.4.4 A program of store inspection shall be included in the internal audit program, which looks at those
expectations that are critical to maintaining product safety, quality, and regulatory compliance.
Theminimum frequency is annually, for 100% of the stores.

3.5 SUPPLIER APPROVAL AND PERFORMANCE MONITORING


The company shall have an effective system for approving and monitoring suppliers to ensure that potential risks to the safety,
authenticity, legality, and quality of the products are understood and managed. This shall include both corporate and store
level supply decisions.

3.5.1 MANAGEMENT OF PRODUCT AND MATERIAL SUPPLIERS


CLAUSE REQUIREMENTS

3.5.1.1 The company shall have a risk-based supplier approval process based on one or more of the following
options:

certification to the relevant BRC Global Standard or other scheme benchmarked by the Global Food
Safety Initiative (GFSI)
supplier audit, performed by qualified auditors, covering: product safety, traceability, hazard analysis,
and good manufacturing practices
supplier contract covering regulation, recall, and agreement to specification
supplier questionnaire
historical relationships and performance and brand reputation
regulatory compliance.

3.5.1.2 Branded, finished products shall be sourced from suppliers meeting legal compliance requirements.

3.5.1.3 Store-brand (and unbranded) food products shall be sourced from suppliers who have been certified to
a GFSI scheme, audited or alternatively approved as appropriate to risk.

3.5.1.4 Nonfood, store-brand products shall base supplier approval programs on product risk.

3.5.1.5 Ingredient suppliers shall be certified to a GFSI scheme, or have an alternate, effective approval program.

3.5.1.6 Packaging component suppliers shall be certified to a GFSI scheme, or demonstrate that packaging
materials are approved for intended use.

3.5.1.7 Where agents or brokers are used to source supply, the agent or broker shall be certified to a GFSI
scheme, or have risk-based supplier approval programs in place.

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PART II REQUIREMENTS
CLAUSE REQUIREMENTS

3.5.1.8 Where exceptions to the supplier approval program are necessary, risk-based alternative strategies (i.e.,
inspection, testing, documented guarantees) shall be in place.

3.5.1.9 Stores shall have a documented policy outlining the scope and limitations of local and independent
sourcing, including the methodology to be used to approve such suppliers.

3.5.2 MANAGEMENT OF SERVICE SUPPLIERS


CLAUSE REQUIREMENTS

3.5.2.1 Service suppliers which have the potential to impact product integrity or safety shall be approved,
managed, or controlled to mitigate potential risks.

3.5.3 MANAGEMENT OF IN-STORE VENDORS AND CONTRACTED ARRANGEMENTS


CLAUSE REQUIREMENTS

3.5.3.1 All in-store vending operations shall be considered when developing and reviewing risk analyses and
management for the organization or site.

3.5.3.2 Clear responsibilities and reporting expectations and channels, as they pertain to product safety and
customer safety and satisfaction, shall be documented.

3.5.3.3 In-store vending operations shall be covered by an internal audit program, either part of the organization
being certified, or via a vendor-managed program. Effectiveness of vendor-managed programs shall be
assessed by the organization.

3.6 SPECIFICATIONS
Specifications or product descriptions shall exist for products purchased and produced in-store.

CLAUSE REQUIREMENTS

3.6.1 Specifications and product descriptions shall:

be available
include storage instructions, handling, and pack size
ensure regulatory requirements are met.

3.7 CORRECTIVE ACTIONS


The company shall be able to demonstrate that they use the information from identified failures in the product safety and
quality management system to make necessary corrections and prevent recurrence.

CLAUSE REQUIREMENTS

3.7.1 The organization shall have a documented procedure for handling and correcting failures identified in
the food safety and quality system.

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CLAUSE REQUIREMENTS

3.7.2 Where nonconformity places the safety, legality, or quality of products at risk this shall be investigated
and recorded, including:

clear documentation of the nonconformity


assessment of consequences by a suitably competent and authorized person
the action taken to address the immediate issue
an appropriate timescale for correction
verification that the correction has been implemented
identification of the root cause of the nonconformity and implementation of any necessary actions to
prevent recurrence.

3.8 CONTROL OF NONCONFORMING PRODUCT


The organization shall ensure that out-of-specification materials are effectively managed.

CLAUSE REQUIREMENTS

3.8.1 There shall be a procedure for the control of nonconforming product. This shall cover
supplier-mandated, organization-directed, and store-specific issues. The procedure shall include:

reporting to and from stores


management of inventory at various points within the organization
disposition instructions.

3.9 TRACEABILITY
Traceability systems shall be in place that allow the identification of materials potentially involved in recall or withdrawal.

CLAUSE REQUIREMENTS

3.9.1 Products, including in-store production, shall have appropriate coding to allow traceability.

3.9.2 Product recall actions shall take into account any limits of traceability.

3.10 COMPLAINT HANDLING


Complaints shall be managed effectively and data used to measure performance.

CLAUSE REQUIREMENTS

3.10.1 All complaints relating to product failure shall be recorded. Relevant data shall be compiled from stores
and corporate sources. A system shall be in place to identify, elevate, and react to critical issues.
Thisshall include issues identified by staff and customers.

3.10.2 Complaint data for the organization shall be analyzed for trends. These trends shall be evaluated and
assessed for appropriate action.

3.10.3 A system shall be in place to transfer relevant complaint data for branded products to the brand owner.

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3.11 INCIDENT MANAGEMENT

PART II REQUIREMENTS
The company shall have procedures in place to manage adverse situations so as to protect products and minimize negative
customer impact. The procedures shall include assessment and contingency plans for products at risk.

CLAUSE REQUIREMENTS

3.11.1 Where the retailer engages in emergency community support, specific guidelines shall be in place to
protect product and consumers.

3.11.2 Documented recall and withdrawal procedures shall be in place, and include:

identification of key personnel


clearly defined responsibilities for personnel
record-keeping requirements
up-to-date contacts of the organization, both internal and external
a plan to handle recovered product logistics.

3.11.3 In the event of a product recall aributed to retailer activity, the retailer must report the situation to their
certifying body within three working days.

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4 FACILITY STANDARDS

4.1 EXTERNAL STANDARDS


Retail store locations shall be maintained to reduce external risks to product safety.

CLAUSE REQUIREMENTS

4.1.1 Local conditions, activities, and environment shall be considered and, where necessary, appropriate
actions put in place to minimize negative product impact.

4.1.2 Company standards shall be defined for external areas, and shall be adhered to. Long-term storage and
product-receiving areas shall be managed to prevent negative product impact.

4.1.3 The building shall be maintained to minimize pest activity and protect internal conditions.

4.2 SITE SECURITY


Security measures shall be in place to ensure that products and premises are protected from the and malicious contamination
while under the control of the site.

CLAUSE REQUIREMENTS

4.2.1 The company shall undertake a documented assessment of the security arrangements and potential
risks to the product and premises to protect from deliberate aempt to inflict contamination and
damage. Areas shall be assessed according to risk; sensitive or restricted areas shall be defined, clearly
marked, monitored, and controlled. Staff shall be aware of security arrangements and their
management, including reporting of suspicious activity and situations. Security assessments shall be
reviewed at least annually.

4.2.2 Measures shall be in place to ensure only authorized persons have access to non-public areas, and
access by employees, contractors, and visitors shall be controlled. A visitor management system shall
be in place.

4.2.3 The sites shall abide by jurisdictional requirements for security and defense.

4.3 LAYOUT AND SEGREGATION


The layout, flow of process, and movement of personnel shall be sufficient to minimize the risk of product contamination and
comply with relevant legislation.

CLAUSE REQUIREMENTS

4.3.1 Preparation areas shall be assessed based on product risk, taking into account the need for segregation
of raw and ready-to-consume products, allergens, and incompatible products. Effective layout,
segregation, and practices shall be in place to minimize cross-contact risks; including the management
of people, equipment, interventions, and product flow.

4.3.2 Staff shall be aware of practices to prevent cross-contact and product contamination.

4.3.3 Where the site includes facilities designed for customers to consume food products in-store, these
areas must be controlled, including:

appropriate sanitation and waste controls


facilities for cleaning hands prior to returning to the open product area.

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4.4 INTERNAL STANDARDS

PART II REQUIREMENTS
The retail site shall be suitable in layout and maintained to protect product integrity.

CLAUSE REQUIREMENTS

4.4.1 The site shall be constructed and maintained to protect product integrity.

4.4.2 Doors and separation equipment shall be maintained, clean, and in good repair.

4.4.3 Display units shall be maintained to protect product integrity.

4.4.4 Open refrigerated-display units shall have maximum load indicators, and maxima shall be adhered to.

4.5 UTILITIES
Utilities used in the production and offering of products shall support product integrity.

CLAUSE REQUIREMENTS

4.5.1 Water used for product contact and sanitation shall be potable. Nonmunicipal water sources shall be
effectively managed.

4.5.2 In-store bulk water or in-store water boling systems shall have a documented sanitary management
and maintenance program, and meet regulatory testing requirements.

4.5.3 Ice for sale and in-store use must be produced from potable water. Ice production and storage systems
shall have a sanitation and maintenance program.

4.6 EQUIPMENT
All food-related equipment shall be suitable for the intended purpose and used in a manner that minimizes the risk of product
contamination.

CLAUSE REQUIREMENTS

4.6.1 Food handling and processing equipment shall be constructed of the appropriate materials, designed
for effective sanitation. Equipment in direct contact with food shall not pose a contamination risk.

4.7 MAINTENANCE
An effective maintenance program shall be in place to prevent contamination and support operations and product safety and
integrity.

CLAUSE REQUIREMENTS

4.7.1 The site shall ensure safety, legality, and integrity of product is maintained during maintenance and
subsequent cleaning operations.

4.7.2 Materials used for maintenance shall not pose a risk of contamination, and where product contact or
contamination is at risk, be suitable and approved for their intended use.

4.7.3 Active store renovations or remodeling shall have practices and procedures in place to protect product
and customers.

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4.8 STAFF FACILITIES
Staff facilities, where available, shall minimize the risk of product contamination, and be maintained in good condition.

CLAUSE REQUIREMENTS

4.8.1 Policies for safe storage of personal items shall be in place for staff. Where company-provided facilities
are in place, they must be maintained in sanitary condition.

4.8.2 Where staff are preparing or processing food products, suitable protective clothing shall be designated
and utilized.

4.8.3 Suitable hand-washing facilities shall be available to staff at designated work areas, prior to beginning
work, and in staff and public washrooms. These areas shall include:

signage
water of suitable temperature
soap
sanitary drying systems.

4.8.4 Where smoking is permied by law, and allowed by the company, designated smoking areas shall be
defined. Sanitation arrangements shall be made to control smoking waste.

4.8.5 All food brought onto the site by staff shall be appropriately stored. No staff food shall be taken into
storage or preparation areas. Where outdoor breaks are allowed, appropriate control of waste shall be in
place.

4.9 CHEMICAL AND PHYSICAL CONTAMINATION CONTROL


Appropriate procedures and systems shall be in place to minimize the risk of product contamination.

4.9.1 CHEMICAL CONTROL


CLAUSE REQUIREMENTS

4.9.1.1 Site cleaning products shall be:

stored in a designated, controlled area


be designed or approved for their intended use
have appropriate documentation available (i.e., safety data sheet).

4.9.1.2 Repurposing or reuse of packaging materials shall not occur, for product or product contact equipment,
or utensils.

4.9.1.3 Retail nonfood products shall be handled, stored, and displayed to prevent risk of cross-contact with
food.

4.9.2 METAL CONTROL


CLAUSE REQUIREMENTS

4.9.2.1 There shall be a documented policy for the use of sharp metal implements including knives, cuing
blades, needles, and wires.

4.9.2.2 Staples, paper clips, and tacks shall not be used in open product areas. Where hard (metal and other
materials) closures or other packaging materials are opened, precautions shall be taken to minimize
product contamination.

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4.9.3 GLASS CONTROL

PART II REQUIREMENTS
CLAUSE REQUIREMENTS

4.9.3.1 The use of glass and brile materials for in-store packaging or display purposes shall be minimized
where risk of breakage is present (this does not include products purchased in glass packaging).

4.9.3.2 Documented procedures shall be in place to manage glass or brile material breakage, including:

identifying and quarantining potentially contaminated product


cleaning and inspection
minimizing risk to product and customers.

4.9.4 WOOD CONTROL


CLAUSE REQUIREMENTS

4.9.4.1 Wooden utensils and boards shall be designed for commercial food use, maintained, clean, and intact.
Wood used for food contact shall be appropriate for use, and obtained from an appropriate source.

4.10 HOUSEKEEPING AND HYGIENE


Housekeeping and cleaning procedures shall be in place to ensure appropriate standards are maintained to prevent risk to
product and customers.

CLAUSE REQUIREMENTS

4.10.1 The premises and equipment shall be maintained in a clean and hygienic condition.

4.10.2 Cleaning procedures shall be in place and maintained for the building and equipment. Cleaning
procedures for food contact surfaces, and environmental cleaning in high-risk areas shall include:

description of cleaning intent, and defined final condition


frequency
method, materials, and concentrations.
Where appropriate or indicated (by expertise or result), cleaning procedures shall be validated.

4.10.3 Cleanliness of food contact surfaces shall be checked prior to use, and results recorded.

4.10.4 Cleaning equipment shall be:

dedicated for cleaning


designed and fit for purpose
identified for intended use (for example, drain cleaning)
kept clean, and stored in a hygienic manner.

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4.11 WASTE AND WASTE DISPOSAL
Waste disposal shall be managed in accordance with legal requirements and to prevent accumulation, risk of contamination,
and araction of pests.

CLAUSE REQUIREMENTS

4.11.1 External waste collection containers and rooms housing waste facilities shall be managed and shall be:

clearly identified
designed for ease of cleaning
well maintained
emptied at an appropriate frequency
covered, with access restricted where necessary.

4.11.2 Procedures must be in place for the disposal of unsafe products, in a manner that prevents
reintroduction of product to the supply chain.

4.11.3 Procedures must be in place for the disposal of substandard trademarked materials, to protect the brand
owner.

4.11.4 All waste streams and their disposal shall meet regulatory requirements.

4.11.5 Waste destined for animal feed must be managed according to regulatory requirements. The feed
should be collected in designated containers. Product shall be provided to customers under contract.

4.12 MANAGEMENT OF DIVERSION PRACTICES


Where products are diverted out of normal retail processes, product integrity and brand protection shall be managed
effectively.

CLAUSE REQUIREMENTS

4.12.1 Procedures shall be in place for salvages, reclaim, or alternate use of any products, which:

ensure the products are suitable for use


protect product and brand integrity
have brand owners approval.

4.12.2 Procedures shall be in place to manage product that is damaged, returned from consumers, or where
integrity is compromised.

4.12.3 Surplus product not destined for planned sale shall be tracked and managed within legal, brand owner,
and company policy. The company shall have a policy on disposal of surplus product.

4.13 PEST CONTROL


The site shall have an effective preventive pest control program in place to minimize the risk of infestation or undue pest
activity.

CLAUSE REQUIREMENTS

4.13.1 If pest activity is identified it shall not present a risk of contamination to products.

4.13.2 The site shall either contract the services of a competent pest control organization, or have appropriately
trained staff, for the regular inspection and treatment of the site to deter and eradicate infestation.
Thefrequency of inspections shall be determined by risk assessment and shall be documented.

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PART II REQUIREMENTS
CLAUSE REQUIREMENTS

4.13.3 Where a site undertakes its own pest control, it shall be able to effectively demonstrate that pest control
operations are undertaken by trained and competent staff with sufficient knowledge of products and
practices used. Staff undertaking pest control activities must meet any legal requirements for training or
registration and ensure that:

expert resources are available if needed


legislation governing the use of pest control products is understood
dedicated, locked facilities are used for the storage of pesticides.

4.13.4 Pest control documentation and records shall be maintained. This shall include as a minimum:

an up-to-date plan of the full site, identifying numbered locations for pest control devices
identification of the baits and/or monitoring devices on site
clearly defined responsibilities for site and for the contractor
details of pest control products used, including instructions for their effective use and action to be
taken in case of emergencies
any observed pest activity
details of pest control treatments undertaken.

4.13.5 Traps or other rodent control devices shall be appropriately located and maintained to prevent
contamination risk to product, interference from or impact on consumers. Toxic rodent baits shall not be
used within production or storage areas. Where toxic baits are used these shall be secured.

4.13.6 Fly-killing devices and/or pheromone traps shall be correctly placed and operational.

4.13.7 In the event of infestation, or evidence of pest activity, immediate action shall be taken to identify at-risk
product and to minimize the risk of product contamination. Any potentially affected products should be
subject to the nonconforming product procedure.

4.13.8 Records shall be maintained of pest control inspections, and pest proofing and hygiene
recommendations and actions taken. It shall be the responsibility of the site to ensure that all of the
relevant recommendations made by its contractor or inhouse expert are carried out in a timely manner.

4.13.9 Results of pest control inspections shall be assessed and analyzed for trends on a regular basis, but, as a
minimum:

in the event of an infestation


annually.

4.13.10 Employees shall understand the signs of pest activity and be aware of the need to report any evidence of
pest activity to a designated manager.

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4.14 STORAGE FACILITIES
All areas and facilities used for the storage of products, ingredients, and other materials for the operation shall be suitable for
purpose.

CLAUSE REQUIREMENTS

4.14.1 Procedures to maintain product safety and integrity during storage shall be developed on the basis of
risk assessment, understood by relevant staff, and implemented accordingly. These may include, as
appropriate:

managing chilled and frozen product transfer between temperature-controlled areas


segregation of products where necessary to avoid cross-contamination or cross-contact (physical,
microbiological, or allergens) or taint uptake
storing materials off the floor and away from walls
specific handling or stacking requirements to prevent product damage.

4.14.2 Where temperature control is required, the system shall be capable of maintaining product temperature
within specification and operated to ensure specified temperatures are maintained. Temperature or
system alarms, or manual evaluation (at a suitable frequency), shall be in place.

4.14.3 Where storage outside is necessary, items shall be protected from contamination and deterioration.
Items shall be checked for suitability before being brought into the site.

4.14.4 The site shall facilitate correct stock rotation to ensure that products and materials are used in the correct
order in relation to their manufacturing date and within the prescribed shelf life. Where alternate use
methods are used (i.e., promotional material) alternate rotation programs shall be communicated and
utilized.

4.15 SHIPPING, DELIVERY, AND TRANSPORTATION


Practices shall be in place to ensure that transport out of the facility to a customer or consumer does not present a risk to
product safety, quality, or security.

CLAUSE REQUIREMENTS

4.15.1 Products shall be adequately protected during loading, transport, and delivery. This shall include
consideration of:

contamination
temperature abuse
security.

4.15.2 Vehicles used for delivery shall be suitable for the intended use. Delivery personnel shall understand
product risks, and have a reporting mechanism for incidents or risks.

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5 PRODUCT CONTROLS

PART II REQUIREMENTS
5.1 PRODUCT DESIGN AND DEVELOPMENT FOR STORE-BRANDED AND
STORE-PRODUCED PRODUCTS
Product design for own-brand products shall be in place to ensure products meet safety and regulatory expectations.

CLAUSE REQUIREMENTS

5.1.1 The company shall have clear guidelines on restrictions and control of product design and
development, aimed at managing risk.

5.1.2 The company shall have valid support for all shelf life claims.

5.2 PRODUCT LABELING


Product labeling, where managed by the organization, shall comply with regulatory requirements and facilitate safe usage by
the customer.

CLAUSE REQUIREMENTS

5.2.1 Processes shall be in place to ensure purchased products meet regulatory labeling requirements.
Where store-branded products make label claims, evidence substantiating claims shall be part of the
supplier approval and monitoring process.

5.2.2 Store-labeled products shall meet regulatory labeling requirements. There shall be a process to verify
that all allergen labeling is correct according to the product recipe.

5.2.3 The company shall have a system to ensure all product information conveyed to customers is correct
and meets regulatory requirements. This includes:

information on electronic media


published information and advertisements
in-store information
supplier-provided information (recipes, promotions, advertising).

5.3 ALLERGEN MANAGEMENT


The organization shall have a system to manage allergenic materials, and mitigate the risk of cross-contact.

CLAUSE REQUIREMENTS

5.3.1 The site shall have a list of allergens that pertain to the organization, and where they are controlled.

5.3.2 Strategies to mitigate allergen cross-contact shall be in place where necessary. Strategies could include:
segregation, sequencing, labeling, signage, and other effective means.

5.3.3 Where claims are made, on store-labeled products, regarding the suitability of a product for allergy or
sensitivity sufferers, validation is required to ensure the product(s) meet the claim.

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6 PROCESS CONTROLS

6.1 CONTROL OF IN-STORE PROCESSING


The company shall operate procedures to ensure production within specification of consistently safe and legal products.

CLAUSE REQUIREMENTS

6.1.1 Where appropriate, instructions, training, and guidance for staff shall be provided, which may include:

recipes and instructions


equipment seings, cooking, cooling, or mixing times, and temperatures for use and/or storage
labeling instructions.

6.1.2 Process monitoring shall be implemented, controlled, and where necessary recorded to ensure product
is produced within specifications. Process monitoring may be manual, automatic, or by exception, alarm.

6.2 LABEL AND PACKAGING CONTROL


Labels and packaging shall be managed to ensure products meet specification and regulatory needs.

CLAUSE REQUIREMENTS

6.2.1 Where in-store packaging or labeling takes place, staff guidance shall be sufficient to mitigate risks of
mislabeling. Verification steps shall be introduced where risk or historical evidence indicates need.

6.3 WEIGHT AND QUANTITY CONTROL FOR IN-STORE PACKING AND


WEIGHING
The company shall operate systems to ensure weights and measures meet regulatory and specification expectations.

CLAUSE REQUIREMENTS

6.3.1 There shall be a system that ensures regulatory requirements for weight control are met. In the absence
of regulatory requirements, the company shall define standards for control at store level.

6.3.2 There shall be a risk-based verification program for weight, volume, and quality controls. The basis for
verification may include:

complaints
regulatory actions or audit findings
yield measurements.

6.4 CALIBRATION
The site shall be able to demonstrate that critical measuring equipment is operating within allowable tolerances.

CLAUSE REQUIREMENTS

6.4.1 The site shall identify any equipment which requires periodic accuracy verification or calibration.

6.4.2 Each identified piece shall have a defined:

frequency for evaluation


acceptable range
action to be taken where the item is found to be out of specification
record of activities.

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6.5 STOCK ROTATION

PART II REQUIREMENTS
The company shall control and direct rotation of stock to ensure adherence to expiry coding and effective stock management.

CLAUSE REQUIREMENTS

6.5.1 The company shall have in place procedures to manage stock rotation, including minimum acceptable
shelf life for purchases and shelf stock. The procedure shall also define culling requirements.

6.5.2 The company shall have a defined program to code product life for own-brand and store-packaged
products (i.e., use by, consume by, expiry, packaged on) that is consistent and understandable to
consumers.

6.5.3 Where exceptions to the rotation policies are made, there must be a documented procedure to be
followed.

6.6 STORE SAMPLING


Where store sampling takes place, it shall support customer safety.

CLAUSE REQUIREMENTS

6.6.1 The company shall have a policy regarding in-store sampling programs. The policy will cover regulatory
requirements for the stores, and in addition may include:

any restrictions on the type of products sampled


requirements for sampling being aended or unaended
allergen controls and notifications
age restrictions
training for personnel engaged in sampling
sanitation and cold or heat chain requirements.

6.7 AGE-RESTRICTED SALES


Where a site retails products available to restricted age groups, procedures shall be in place to ensure regulatory compliance.

CLAUSE REQUIREMENTS

6.7.1 Where the company sells products restricted to specific age groups, a policy shall be in place regarding
display, age verification practices, customer notification, and training for staff.

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6.8 PRICING ACCURACY
The organization shall have systems in place to support accuracy of pricing, and respond to errors.

CLAUSE REQUIREMENTS

6.8.1 The organization should have a policy regarding the accuracy of stated and charged prices for products
and services. This may include:

a public display of the code of practice


actions to take in the event of a discrepancy
a public display of errors and corrections to advertised prices.
Relevant staff shall be aware of these expectations to ensure that the policy is followed.

6.9 CONTROLS OVER FOOD WASTE


The site should have a policy intended to minimize wastage of food products.

CLAUSE REQUIREMENTS

6.9.1 The company should have a policy to reduce or minimize food and nonfood waste.

6.9.2 Where arrangements for recycling of waste or return of containers to suppliers are available, they shall be
utilized wherever possible.

6.10 INSPECTION MANAGEMENT


The organization shall manage and respond to regulatory and other outside inspections.

CLAUSE REQUIREMENTS

6.10.1 The company shall have a policy for sites to follow when government, regulatory, or other institutions visit
for the purpose of audit or inspection. This policy shall cover sampling protocol, reporting to head office,
and guidance for the site during the audit or inspection activity.

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7 PERSONNEL

PART II REQUIREMENTS
7.1 TRAINING
The company shall ensure that all personnel are adequately trained in the operations they are carrying out, and understand
basic food safety protection as relevant to their position.

CLAUSE REQUIREMENTS

7.1.1 Prior to beginning work, all staff shall undergo induction training sufficient to support job duties, and
covering food handling and hygiene.

7.2 PERSONAL HYGIENE


The sites personal hygiene practices shall support the minimization of product contamination risk.

CLAUSE REQUIREMENTS

7.2.1 The company shall have a policy on the wearing of jewelry, and the use of personal items during work
periods.

7.2.2 All cuts on the hands or arms shall be covered. Bandages on hands shall be covered with a glove.

7.2.3 The company shall have a policy on personal medicines, which meets legal guidelines.

7.2.4 The company shall have a procedure for bodily fluid clean-up.

7.3 MEDICAL AWARENESS


The company shall provide staff with information regarding relevant diseases and conditions. Staff shall be instructed on any
policy for sickness absence.

7.4 UNIFORMS AND PROTECTIVE CLOTHING


The site shall manage staff protective clothing to prevent risk of product contamination, and protect the organizations brand.

CLAUSE REQUIREMENTS

7.4.1 The company shall identify, based on risk, where protective clothing shall be worn to protect the
products from contamination. Procedures on protective clothing shall include:

effective laundering programs


wearing of the protective clothing away from the work area
when gloves are to be worn for food handling
where hair restraints are required.

7.4.2 The company shall have a policy regarding uniforms, where they exist. The policy shall include:

care and modification instructions


expectations around return aer employment, or use outside working duties.

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7.5 OCCUPATIONAL HEALTH AND SAFETY
The site should not present a hazard to customers.

CLAUSE REQUIREMENTS

7.5.1 There shall be no imminently unsafe conditions facing either staff or customers.

7.6 VISITOR POLICY


The organization shall have a policy to manage interactions with noncustomer visitors.

CLAUSE REQUIREMENTS

7.6.1 The site shall have a policy regarding documentation of official visitors to the store. Where necessary,
sign-in protocols shall be in place. Visitors must be escorted, or given information on product protection
and site security, prior to being allowed outside of publicly accessible areas.

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PART III
AUDIT
PROTOCOL

INTRODUCTION
1 SELF-ASSESSMENT OF
COMPLIANCE WITH THE
STANDARD
2 SELECTION OF A
CERTIFICATION BODY
3 COMPANY/
CERTIFICATION
BODY CONTRACTUAL
ARRANGEMENTS
3.1 Registration fee 39

4 SCOPE OF AUDIT AND


CERTIFICATION
4.1 Defining the audit scope 39
4.2 Exclusions from scope 40
4.3 Certification groupings, head office, and
multisite operations 40
4.4 Retail store sampling 40
4.5 Audit scope and cycles, and store audits
impacting head office certifications 41
4.6 Unannounced audits 41
4.7 Scope extensions 41
4.8 Auditor selection 41

5 AUDIT PLANNING
5.1 Preparation by the company 41
5.2 Duration of the audit 41
5.3 Information to be provided to the
certification body for audit preparation 42

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6 THE AUDIT
6.1 Head office audit 42
6.2 Store audits 43

7 NONCONFORMITIES AND
CORRECTIVE ACTION
7.1 Nonconformities 43
7.2 Procedures for handling nonconformities
and corrective action 43
7.3 Audit scoring 44

8 AUDIT REPORTING
9 CERTIFICATION
10 BRC LOGOS
11 THE BRC GLOBAL
STANDARDS DIRECTORY
11.1 Directory functionality 46

12 SURVEILLANCE
OF CERTIFICATED
COMPANIES
13 ONGOING AUDIT
FREQUENCY AND
CERTIFICATION
13.1 Scheduling reaudit dates 46
13.2 Delayed auditsjustifiable
circumstances 47
13.3 Audits undertaken prior to due date 47

14 COMMUNICATION WITH
CERTIFICATION BODIES
15 APPEALS

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PART III

PART III AUDIT PROTOCOL


AUDIT PROTOCOL

INTRODUCTION
The audit protocol describes how the audit process operates for the Standard and the rules around the audit and certification to
the Standard. This is an essential element of the Standard and should be read and fully understood.

Every effort has been made to ensure that the content of this audit protocol is accurate at the time of printing. However, it may be
subject to minor change, and reference should be made to the BRC Global Standards website, www.brcglobalstandards.com,
where any changes will be published.

Conformance by the company with the requirements of the Global Standard for Retail and its suitability for the awarding and
continuing retention of certification will be assessed by an independent audit companythe certification body. Certification will
be awarded on completion of a successful audit and closure of any nonconformities identified to the satisfaction of the
certification body within a defined time period.

See Figure 1 for a flowchart outlining the steps of the audit protocol that lead to certification.

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Obtain copy of Standard www.brcglobalstandards.com

Self-assessment of compliance with Standard

Select certification body www.brcdirectory.com

Onsite audit

Closing meetingconfirmation Critical or high number of major/


of any nonconformities minor nonconformities

INITIAL AUDIT Corrective action No nonconformities


Corrective action submitted or revisit identified
submitted or revisit within 28 calendar
within 90 calendar days days

Evidence assessed: Evidence assessed: Evidence assessed:


inadequate clarification required compliant

Additional Corrective action


clarification required status documented

Certification documentation
collated

No certificate issued.
Report issued specifying Certification decision
Evidence assessed:
status. made by certification
inadequate
Process/certification decision manager
suspended

Certificate details
and audit report
issued to company
and sent to BRC

Ongoing compliance

Certificate and audit details listed


on BRC Global Standards Directory
www.brcdirectory.com
Audit in accordance with
required frequency

FIGURE 1 AUDIT PROTOCOLHOW TO GAIN CERTIFICATION

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1SELF-ASSESSMENT OF COMPLIANCE WITH THE STANDARD

PART III AUDIT PROTOCOL


The Standard should be read and understood and a preliminary self-assessment should be conducted by the company against
the Standard to prepare for the audit. Any areas which need to be improved to meet the requirements should be addressed by the
company to prevent a nonconformity being raised at the audit. Further information and guidance to ensure compliance with the
Standard, including training courses and guideline booklets, are available from the BRC Global Standards website.

An optional onsite pre-assessment may be carried out by the selected certification body in preparation for the audit, to provide
guidance to the company on the process of certification. It should be noted, however, thatunder the rules for accreditation
consultancy cannot be provided during any pre-assessment offered by the same certification body which will later undertake the
certification audit.

2SELECTION OF A CERTIFICATION BODY


Once a self-assessment has been completed and nonconformities addressed, the company must select a certification body.
TheBRC cannot advise on the selection of a specific certification body, but the Directory section of the BRC Global Standards
website lists BRC-approved certification bodies (see www.brcdirectory.com).

Certification bodies shall be BRC-approved and a condition of approval is that they shall either be accredited or have an
application for accreditation accepted by their accreditation body with a scope which includes the BRC Global Standard for
Retail. Please note that, as this Standard was introduced in August 2016, during the first year of its application certification bodies
are likely to offer nonaccredited certification while going through the accreditation process. In selecting a certification body, the
company should consider the scope of the accreditation of the certification body, as some may not be able to provide an
accredited certificate for all traded products. Clarification of the standards and categories of products against which the
certification body can audit can be obtained either by confirmation from the certification body concerned or from accreditation
schedules published by the appropriate national accreditation body.

3COMPANY/CERTIFICATION BODY CONTRACTUAL ARRANGEMENTS


A contract shall exist between the company and the certification body, detailing the scope of the audit and the reporting
requirements. This Standard sets out the requirements for companies that want to apply to be audited against the Standard and
for companies issued with a certificate. Contracts between the certification body and the company shall include a clause
acknowledging these obligations. This contract will be formulated by the certification body.

The contract shall clearly state that a copy of the audit report and any subsequent certificate or audit result shall be supplied to the
BRC in the agreed format. The contract shall also dictate that all documents in relation to the audit shall be made available to the
BRC upon request. Documents provided to the BRC will be treated as confidential.

3.1 REGISTRATION FEE


The BRC will require a registration fee to be collected by the certification body from the company for every audit undertaken.
Thecertificate and audit report shall not be valid until the registration fee and the certification bodys audit fees have been
received, irrespective of the outcome of the certification process.

4SCOPE OF AUDIT AND CERTIFICATION


4.1 DEFINING THE AUDIT SCOPE
The scope of the auditproducts sourced by head office, prepared and/or retailed by individual storesshall be agreed
between the organization and the certification body in advance of the audit program to ensure appropriate planning takes place
for an effective assessment.

The audit scope and any permied exclusions shall be clearly defined both on the audit report and on the certificates issued.
The wording of the scope shall be verified by the auditors during the audit. The scope wording shall enable the recipients of the
information to clearly identify what is covered and excluded. The scope shall include a description of relevant processes and
activities that have been assessed.

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4.2 EXCLUSIONS FROM SCOPE
The fulfillment of certification criteria relies on clear commitment from the organizations management to adopt industry best
practice outlined within the Standard and the development of a food safety culture within the organization. It follows that the
exclusion of products or practices shall only be permied by exception.

Accepted exclusions:

nonfood product categories


multistore commissary operations, centralized storage or delivery if covered by an alternate certification (i.e., the Global
Standards for Food Safety, Agents and Brokers, or Storage and Distribution).

Exclusions not permied:

individual food categories


activities within the scope of the GFSI protocol
in-store preparation or processing activities dedicated to the individual store
individual stores based on performance (see information in section 4.3 for certification groupings of multisite operations).

4.3 CERTIFICATION GROUPINGS, HEAD OFFICE, AND MULTISITE OPERATIONS


Head office operations will be audited annually. Certification will be granted and maintained assuming:

the audit is complete for all head office activities


nonconformities identified at the head office have been closed (within the alloed time)
all sampled stores achieve certification.

Retail operations may be a single store operation in which case the entire assessment would take place at that location, covering
all relevant activities.

Retail operations may include a head office (or several offices) and multiple retail locations. The organization may segregate and
group stores for the certification program along logical or natural divisions (geographical location, store banner, store complexity
or function, ownership type (i.e., brand owned vs franchised), or other measures). A retail organization may have multiple
groupings within the organization.

The head office(s) will receive certification once completing the audit and closing any nonconformities. Maintaining certification
of the head office(s) is dependent on the successful ongoing certification of the associated retail locations within the assigned
group, either in total, or within the designed sampling plan.

4.4 RETAIL STORE SAMPLING


Once the head office has been audited, and relevant nonconformities closed (a nonconformity must be closed if it will interfere or
impact the subsequent store assessment, or be identified as a nonconformity on the store audit; nonconformities that are specific
to the head office only would not prevent subsequent store evaluations), a sampling of store locations will assess both application
of head office requirements (policies and procedures) and the operation of the store itself.

Retail locations may be audited in their entirety, or via a sampling plan. Only those stores receiving an audit will be considered
certificated. The sampling plan must meet the requirements for sampling as defined within the current version of the GFSI
guidance document as a minimum. Sampling plans shall be defined so that all stores are sampled within a defined period (three
years, five years, etc.), but as a minimum, must include 10% of the store locations being selected for store level audits. Stores to be
audited may be selected based on random sample, or targeted random sampling (for example, to ensure an even geographical
spread, or to include a specific store due to documented issues).

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4.5 AUDIT SCOPE AND CYCLES, AND STORE AUDITS IMPACTING HEAD OFFICE CERTIFICATIONS

PART III AUDIT PROTOCOL


It is generally expected that additional activities outside of the head office operations or retail store locations would fall under
certification of the relevant BRC Global Standard (e.g., Storage and Distribution, Food Safety) or other relevant GFSI certification
program. It is not mandatory for these support activities to be certificated; however, their impact would be assessed as part of the
overall certification.

Where activities in one store are used to support other stores (for example, one in-store bakery supplies other stores with baker
products) this activity will be included in the audit, including the activities around transport and delivery. Where such activities
constitute a significant volume of production designed to supply a large number of stores (for example, a central commissary with
a small retail offering) the commissary activities would likely fall under the Global Standard for Food Safety. In such cases, the
certification body shall decide the most effective certification strategy.

4.6 UNANNOUNCED AUDITS


Head offices are not required to undergo unannounced audits. As a minimum, one-third of the store-level audits must be
unannounced on an annual basis. The organization may decide to have a higher proportion of unannounced auditing at
thestorelevel.

4.6.1 Unannounced audit program


The program for unannounced audits shall consider the following expectations:

stores to receive unannounced audits shall be selected by the certification body


no notification shall be provided of the locations of stores to be audited unannounced
the organization may nominate nonaudit days in the unannounced program. They may nominate up to 20 excluded days, per
location, per year (the general expectation is that the excluded days will primarily be holidays and excessively busy periods).

4.7 SCOPE EXTENSIONS


Once an organization is certificated to the Standard, should there be significant changes to its organization, or its store risk
portfolio, the organization shall inform the certification body of such changes. If the certification body feels the changes constitute
a significant change in the operations risk profile, a scope extension audit may be required. This may affect the organization as a
whole, or individual stores.

Where a scope extension audit takes place, it shall focus primarily on those areas of change, and not seek to reaudit areas that
have had no change.

4.8 AUDITOR SELECTION


The certification body, auditors, and site must be aware of the need to avoid conflict of interest when arranging for an audit.
Thesite may decline specific auditors offered by the certification body. The same auditor may not undertake more than three
consecutive audits of the same site.

5AUDIT PLANNING
5.1 PREPARATION BY THE COMPANY
For the initial audits the company shall agree a mutually convenient date, with due consideration given to the amount of work
needed to meet the requirements of the Standard.

There is a requirement on the company to be prepared for the audit, to have appropriate documentation for the auditor to assess
and to make appropriate staff available at all times during the audit.

5.2 DURATION OF THE AUDIT


Before the audit takes place, the certification body shall indicate the approximate duration of the audit. The minimum duration of
an audit is one day at the companys head office facility.

Store audits will typically be one day in duration, but this may vary based on the complexity of the operation.

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It is recognized that other factors may also influence the actual time taken to complete the audit and may result in a longer-than-
scheduled audit. These factors include:

communication difficulties, e.g., language differences, failed links to other offices


the number of nonconformities recorded in the previous audit
difficulties experienced during the audit, requiring further investigation
the quality of company preparation, e.g., documentation, hazard and risk analysis, quality management systems.

If additional office locations are included within the audit process, then additional time will need to be allocated for this.

The calculation for the audit duration shall determine the expected amount of time to undertake the head office audit. Additional
time will be required for the review of any documentary evidence provided in response to nonconformities identified and the
completion of the final audit report.

5.3 INFORMATION TO BE PROVIDED TO THE CERTIFICATION BODY FOR AUDIT PREPARATION


Prior to the audit day the company shall supply the certification body with background information to ensure the auditor is fully
prepared and to provide the best opportunity for the audit to be completed efficiently. The information will be requested by the
certification body and may include but is not limited to:

an overview of the companys operation, including office and store locations


management organizational chart and key contacts
list of products or product groups included within the audit scope
list of services to be included within the audit scope
international range of companys activities
summary of hazard and risk analysis
recent quality issues.

The company shall make the previous years audit report and certificate available to the certification body where this is a contract
with a new certification body.

The time required by the auditor and certification body to assess all documentation is supplementary to the duration of the audit.

6THE AUDIT
6.1 HEAD OFFICE AUDIT
The head office audit consists of the following stages:

the opening meetingto confirm the scope and process of the audit
document reviewa review of the documented hazard and risk analysis and quality management systems
traceability challenge
review of records
final review of findings by the auditorpreparation for the closing meeting
closing meetingto review audit findings with the company. Note that nonconformities will require subsequent, independent
verification by the certification body management.

The company will fully assist the auditor at all times. It is expected that at the opening and closing meetings those aending on
behalf of the company will be senior managers who have the appropriate authority to ensure that corrective action can be
progressed if nonconformities are found. The most senior manager on site or their nominated deputy shall be available at the
audit and aend the opening and closing meetings.

During the audit, detailed notes shall be made regarding the companys conformities and nonconformities against the Standard
and these will be used as the basis for the audit report. The auditor will assess the nature and severity of any nonconformity.

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At the closing meeting, the auditor shall present his/her findings, and discuss all nonconformities that have been identified during

PART III AUDIT PROTOCOL


the audit, but shall not make comment on the likely outcome of the certification process. Information must be given on the
process and timescales for the company to provide to the auditor evidence of the corrective action to close nonconformities.

A wrien summary of the nonconformities discussed at the closing meeting will be documented by the auditor either at the
closing meeting or within one working day aer completion of the audit.

The decision to award certification will be determined independently by the certification body management, following a technical
review of the audit report and the closing of nonconformities in the appropriate timeframe. The company will be informed of the
certification decision following this review.

6.2 STORE AUDITS


Once the head office audit is completed, the certification body will work with the organization to design the individual store audit
program. This will include identification of sampling level.

The certification body may require auditors designated for stores to receive training on, or information about specific policies or
procedures, to allow verification of specifics to take place during the store audit.

7NONCONFORMITIES AND CORRECTIVE ACTION


The level of nonconformity assigned by an auditor against a requirement of the Standard is an objective judgment with respect to
severity and risk and is based on evidence collected and observations made during the audit. This is verified by the certification
body management.

7.1 NONCONFORMITIES
There are three levels of nonconformity:

Critical Where there is a complete failure to comply with a product safety or legal issue.
Major Where there is a substantial failure to meet the requirements of a statement of intent or any clause of the Standard or a
situation is identified which, on the basis of available objective evidence, would raise significant doubt as to the conformity of
the product or service being supplied.
Minor Where a clause has not been fully met but, on the basis of objective evidence, the conformity of the product or service
is not in doubt.

The objective of the audit is to provide a true reflection of the standard of the operation and level of conformity against the Global
Standard for Retail. Consideration should therefore be given to awarding a single major nonconformity where minor
nonconformities are repeatedly raised against a particular clause of the Standard. Clustering of a significant number of minor
nonconformities against a clause and recording this as a single minor nonconformity is not permied.

7.2 PROCEDURES FOR HANDLING NONCONFORMITIES AND CORRECTIVE ACTION


Following identification of any nonconformity during the audit, the company must undertake corrective action both to remedy the
immediate issue and to undertake an analysis of the underlying cause of the nonconformity (root cause).

Where certification is possible (see Table 1) nonconformities must be closed out (to the satisfaction of the certification body)
within 28 days (within 90 days in the first year of certification).

7.2.1 Critical nonconformities or a combination of nonconformities resulting in noncertification


In some circumstances the number or severity of the nonconformities raised at the audit prevents the site from being certificated
following that audit. This will be the case where there is a:

critical nonconformity and/or


the number or type of the nonconformities exceeds the limits for certification as per Table 1.

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TABLE 1 NONCONFORMITIES AND CERTIFICATION
CRITICAL MAJOR MINOR ACTION CERTIFICATION
1 or more Reaudit required
4 or fewer NCs to be closed Certification
5 or more Reaudit required
29 or fewer NCs to be closed Certification
30 or more Reaudit required

The grading of nonconformities will be reviewed by the independent certification process of the certification body as soon as
possible aer the audit. Where the review confirms that a certificate cannot be awarded, the company will be required to
undertake another full audit before assessment for certification.

Where this occurs at a certificated company or site, certification must be immediately withdrawn.

7.2.2 Major and minor nonconformities


No certificate shall be issued until it has been demonstrated that major and minor nonconformities have been corrected, either
permanently or by a temporary solution (where acceptable to the certification body).

Close-out of nonconformities can be achieved either by objective evidence being submied to the certification body, such as
updated procedures, records, or invoices for work undertaken, etc., or by the certification body undertaking a further office visit.

If satisfactory evidence is not provided within the time allocated (during the first year, 90 days following the audit; or 28 days for
existing certificated companies, and all store audits aer the first-year cycle), certification will not be granted. The company will
then require a further full audit in order to be considered for certification.

Nonconformities from the audit shall also be checked during the next audit to verify effective close-out of the nonconformities and
their root cause. Where the correction has been ineffective, nonconformity shall be raised against Part II clause 1.1.10.

The alloed period for closure of nonconformities is based on a calculation from the last day of the site audit.

Should a single store location fail to achieve certification owing to the number or nature of nonconformities, that store must be
reaudited within the next 12-month period for the head office to maintain certification.
Root cause analysis and corrective actions for any store failures must be assessed during the subsequent head office audit.

7.3 AUDIT SCORING


A scoring system is not utilized with this Standard. As most retail organizations will utilize certification for internal purposes initially,
and given the robust reporting available to the organizations via the BRC Directory, a scoring system has not been included. Finite
outcome measures, for example the exact number of nonconformities of any type, may be utilized for comparative purposes.

8AUDIT REPORTING
Following each audit, a full wrien report shall be prepared in the agreed format. The report shall be produced in English or in
another language dependent upon user needs. Where the report is produced in a language other than English, the audit
summary sections shall always be reported in English in addition.

The audit report shall provide the company and particularly customers or prospective customers with a profile of the company
and an accurate summary of the performance of the company against the requirements of the Standard.

The audit report must inform the reader of:

the product safety controls in place and improvements since the last audit
nonconformities and the corrective action taken.

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The report shall accurately reflect the findings of the auditor during the audit. Reports shall be prepared and dispatched to the

PART III AUDIT PROTOCOL


company within 42 calendar days of the date the full audit is completed (up to 104 days will be permied for initial audits where the
additional time is required to close nonconformities).

Audit reports shall remain the property of the company commissioning the audit and shall not be released, in whole or in part, to a
third party unless the company has given prior consent (unless otherwise required by law).

The audit report shall be uploaded to the BRC Directory in a timely manner irrespective of whether a certificate is issued.
Theowner of the audit report may allocate access to the audit report to customers or other parties via the BRC Directory.

The audit report and associated documentation, including the auditors notes, shall be stored safely and securely for a period of
five years from their creation by the certification body.

9CERTIFICATION
Aer a review of the audit report and documentary evidence provided in relation to the nonconformities identified, a certification
decision shall be made by the designated independent certification manager. Where a certificate is granted, this shall be issued
by the certification body within 42 calendar days of the audit. (Up to 104 days will be permied for initial audits where the
additional time is required to close nonconformities.) The certificate shall conform to the format shown in Appendix 3. Logos used
on certificates, e.g., BRC and accreditation body logos, shall comply with those bodies respective usage rules. In addition:

the certificate will detail the scope of the audit; it shall be issued to the company and include the location of the office
applicable
the certificate will include the six-digit auditor registration number of the lead auditor
the date(s) of audit specified on the certificate shall be the date of the audit relating to the granting of that certificate,
irrespective of whether later visits were made to verify corrective action arising from that audit.

Whilst the certificate is issued to the company, it remains the property of the certification body, which controls its ownership, use,
and display.

10BRC LOGOS
Achieving BRC certification is something of which to be proud. Companies that achieve certification are qualified to use the BRC
logo on company stationery and other marketing materials. Information and conditions relating to the use of the BRC logo are
available (at www.brcglobalstandards.com).

If a company is no longer certificated because the certificate has expired, been withdrawn, or been suspended, it shall no longer
use the logo or display any certificate claiming certification.

The BRC logo is not a product certification mark and shall not be used on products or product packaging. Any certificated
company found to be misusing the mark will be subject to the BRC complaints/referral process and may risk suspension or
removal of its certification.

11THE BRC GLOBAL STANDARDS DIRECTORY


The BRC Global Standards Directory (www.brcdirectory.com) is a searchable online directory of companies certificated to the
BRC Global Standards for food retailers, agents and brokers, food safety, packaging, consumer products, and storage and
distribution. Each entry includes relevant company details, contact information, and certification information. The Directory also
includes details of certification bodies approved by the BRC.

The Global Standards Directory was developed to publicize the list of certificated companies, provide key information to retailers
and other specifiers, and improve the management of the BRC Global Standards scheme. It provides a data storage system for
audit information, both live and archived. Data is centrally managed and controlled to maintain accuracy and integrity.

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11.1 DIRECTORY FUNCTIONALITY
Information about certificated companies is provided to the BRC by certification bodies. The Directory provides the following,
publicly available facilities:

a searchable list of certificated companies, including contact details, the standards against which they are certificated, their
audit scope, and links to their websites
a searchable list of approved certification bodies, including local offices and contact details.

Note that, whilst all reports and certificate details shall be uploaded to the Directory, companies may choose not to appear on the
public directory site if they so wish. This will not, however, exempt companies from the registration fee.

The Global Standards Directory provides additional functionality to key user groups, including companies, retailers, and
certification bodies. This includes user-specific access to certification information, audit reports, and management reporting,
further enhancing the value of obtaining BRC certification.

12SURVEILLANCE OF CERTIFICATED COMPANIES


Where deemed appropriate, the certification body or the BRC may carry out further audits of certificated companies, or question
activities to validate continued certification, at any time. These visits may take the form of announced or unannounced visits to
undertake either a full or part audit.

Any nonconformity identified at a visit must be corrected and closed out within the normal protocoli.e., within 28 days of the
visitreviewed and accepted by the certification body. If the company does not intend to take appropriate corrective actions or
the corrective actions are deemed inappropriate, certification shall be withdrawn. The ultimate decision to suspend or withdraw
certification remains with the certification body. Any change in certification status shall be notified to the BRC by the certification
body and the status on the BRC Directory amended accordingly.

In the event that certification is withdrawn or suspended by the certification body, the company shall immediately inform its
customers and make them fully aware of the circumstances relating to the withdrawal or suspension. The company shall also
provide to customers information on the corrective actions to be taken in order to reinstate certification status.

13ONGOING AUDIT FREQUENCY AND CERTIFICATION


13.1 SCHEDULING REAUDIT DATES
The ongoing audit schedule will be agreed between the company and the certification body. The frequency of audits will be
12months.

The due date of the subsequent audit shall be calculated from the date of the initial audit, and not from the certificate issue date,
irrespective of whether further site visits were made to verify corrective action arising from the initial audit.

The subsequent audit shall be scheduled to occur within the 28 days up to the next audit-due date. This allows sufficient time for
corrective action to be taken in the event of any nonconformities being raised, without jeopardizing continued certification.

It is the responsibility of the company to maintain certification. Except in justifiable circumstances (see Part III clause 13.2), where
an audit is delayed beyond the due date this shall result in a major nonconformity being awarded at the subsequent audit.
Justifiable circumstances shall be documented in the audit report.

The head office must remain certificated, and be audited annually. Individual stores will be audited based on the sampling plan
agreed to. Store certifications shall remain valid for a period of one year.

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13.2 DELAYED AUDITSJUSTIFIABLE CIRCUMSTANCES

PART III AUDIT PROTOCOL


There will be some circumstances in which the certificate cannot be renewed on the 12-month basis because the certification
body is unable to conduct an audit. These justifiable circumstances, which would not result in the assigning of a major
nonconformity (refer to Part II clause 1.1.10), can be included when the company is situated:

in a specific country or an area within a specific country where there is government advice not to visit and there is no suitable
local auditor
in an area that has suffered a natural or unnatural disaster, rendering the auditor unable to visit.

If renewal of the certificate is prevented in these exceptional circumstances, the customer may still decide to take products from
that company for an agreed time, as it may still demonstrate legal compliance by other means, such as risk assessment and
complaints records, until another audit can be arranged.

Moving the audit date to a more acceptable later date so audits can be combined or for lack of personnel are not justifiable
circumstances for missing the due date.

13.3 AUDITS UNDERTAKEN PRIOR TO DUE DATE


The due date of the renewal audit occurs within a 28-day window prior to the 12-month anniversary of the initial audit.

In some circumstances it is possible to undertake the audit earlier than thisfor example, to reset the audit date to allow
combined audits with another scheme. Where an audit date is brought forward, the following rules shall apply:

the audit report will detail the reasons why an audit has been brought forward
the audit-due date will be reset to 12 months forward from this new audit date
the certificate shall be issued with an expiry date of 12 months + 42 days from the new audit date.

14COMMUNICATION WITH CERTIFICATION BODIES


In the event of any change in circumstances within the company that may affect the validity of continuing certification, the
company must immediately notify the certification body. This may include:

legal proceedings relating to product safety or legality


product recall
change of ownership.
The certification body in turn shall take appropriate steps to assess the situation and any implications for the certification, and
shall take any appropriate action.

Information shall be provided to the certification body by the company on request, so that an assessment can be made as to the
effect on the validity of the current certificate.

As appropriate the certification body may:

confirm that the validity of the certificate is not affected


suspend the certificate pending further investigation
require further details of corrective action taken by the company
undertake a visit to verify the control of processes and confirm continued certification
withdraw the certificate
issue a new certificate with the new owners details.

Changes to the certificate or certification status of a company shall be recorded in the BRC Directory.

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15APPEALS
The company has the right to appeal against the certification decision made by the certification body. Any appeal should be
made in writing to the certification body within seven calendar days of receipt of the certification decision.

The certification body shall have a documented procedure for the consideration and resolution of appeals against the
certification decision. These investigative procedures shall be independent of the individual auditor and certification manager.
Individual certification bodies documented appeals procedures will be made available to the company on request. Appeals will
be finalized within 30 calendar days of receipt. A full wrien response will be given by the body responsible for hearing the appeal
aer the completion of a full and thorough investigation.

In the event of an unsuccessful appeal, the certification body has the right to charge costs for conducting the appeal.

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PART IV
MANAGEMENT
AND
GOVERNANCE

REQUIREMENTS FOR
CERTIFICATION BODIES
TECHNICAL GOVERNANCE
OF THE STANDARD
International advisory board 52
Technical advisory committee 52
Certification body cooperation groups 52

ACHIEVING CONSISTENCY
COMPLIANCE
Calibrating auditors 53
Feedback 53
Complaints and referrals 53

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PART IV
MANAGEMENT AND
GOVERNANCE

REQUIREMENTS FOR CERTIFICATION BODIES


The Global Standard for Retail is a product and services certification scheme. In this scheme, businesses are certificated upon
completion of a satisfactory audit by an auditor employed by an independent third partythe certification body. The certification
body in turn shall have been assessed and judged as competent by a national accreditation body.

The process of certification and accreditation is outlined in Figure 2.

In order for a business to receive a valid certificate on completion of a satisfactory audit, the organization must select a
certification body approved by the BRC. The BRC lays down detailed requirements that a certification body must satisfy in order
to gain approval.

As a minimum, the certification body must be accredited to ISO/IEC 17065 by a national accreditation body affiliated to the
International Accreditation Forum and recognized by the BRC.

Further details are available in the document Requirements for Organisations Offering Certification against the Criteria of the
BRCGlobal Standards, available from the BRC on request.

Companies looking to become certificated to the Standard should assure themselves that they are using a genuine certification
body approved by the BRC. A list of all certification bodies approved by the BRC is available in the BRC Global Standards
Directory (at www.brcdirectory.com).

The BRC recognizes that in certain circumstancesfor example, when new standards such as the Global Standard for Retail are
introduced, or new certification bodies wish to commence auditing against the Standardaccreditation may not yet have been
achieved. This is because the accreditation process itself requires some audits to have been completed, which will then be
reviewed as part of the accreditation audit of the certification body. The certification body must be able to conduct audits as part
of the accreditation process and so some unaccredited audits will be performed. These will be permied where the organization
can demonstrate that:

it has an active application for accreditation against ISO/IEC 17065 from an approved national accreditation body
accreditation will be achieved within 12 months of the date of application and the experience and qualifications of the auditors
in the relevant product category are consistent with those specified by the BRC
a contract is in place with the BRC and all other contracted requirements have been met.

The acceptance of audit reports and certificates generated by certification bodies awaiting accreditation but meeting the above
criteria is at the discretion of individual specifiers.

TECHNICAL GOVERNANCE OF THE STANDARD


The Standard and associated scheme is managed by the BRC and is governed through a number of commiees, each of
whichworks to defined terms of reference. Figure 3 shows the technical governance structure for the management of the
BRCsGlobal Standards.

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PART IV MANAGEMENT AND GOVERNANCE
International
ISO/IEC 17011
Accreditation
General requirements for
Forum and regional
accreditation bodies
accreditation forums

IAF Guideline on the application of


ISO/IEC 17065

National
accreditation body

ACCREDITATION ISO/IEC 17065

Requirements for certification


bodies offering certification
against the criteria of the BRC
Global Standards
Certification body

CERTIFICATION

BRC Global Standards website


www.brcglobalstandards.com

Company Company Company BRC Directory


www.brcdirectory.com

FIGURE 2 PROCESS OF ACCREDITATION AND CERTIFICATION FOR CERTIFICATION BODIES

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INTERNATIONAL ADVISORY BOARD
The technical management and operation of the Standard are governed by the BRC International Advisory Board, consisting of
senior technical representatives of international retail and food manufacturing businesses.

The functions of the international advisory board are:

to advise on the development and management of the Global Standards


to ensure measures are in place to monitor compliance by companies, certification bodies, and accreditation bodies.

TECHNICAL ADVISORY COMMITTEE


Each BRC Global Standard is supported by at least one Technical Advisory Commiee (TAC), which meets regularly to discuss
technical, operational, and interpretational issues related to the Standard. The BRC provides the technical secretariat for these
groups.

The TAC is made up of senior technical managers representing the users of the Standard and includes representatives of retailers,
food manufacturers, trade associations, certification bodies, and independent technical experts.

The Standard is reviewed every three years to assess the need for updating or production of a new issue. This work is undertaken
by the TAC, which is expanded for the purpose to include other available expertise.

The TAC also reviews auditor competence requirements, proposed training materials, and supplementary technical documents
supporting the Standards.

CERTIFICATION BODY COOPERATION GROUPS


The BRC encourages and facilitates meetings of the certification bodies participating in the scheme (cooperation groups) to
discuss maers arising from the implementation of the Standard and issues of interpretation. These groups report regularly to the
BRC on operational issues, implementation, and suggested improvements. Representatives from the cooperation groups aend
the TAC meetings.

International advisory board


Advises on policy, developments, and scheme governance

BRC executive
Scheme management

Technical advisory committee


Multistakeholder group providing technical advice on the scheme

Certification body cooperation groups


Issues of interpretation and consistency
of the Standard

FIGURE 3 TECHNICAL GOVERNANCE STRUCTURE FOR THE MANAGEMENT OF THE STANDARDS

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ACHIEVING CONSISTENCYCOMPLIANCE

PART IV MANAGEMENT AND GOVERNANCE


The maintenance of a high and consistent standard of audit and certification and the ability of the certificated companies to
maintain the standards achieved at the audit are essential to ensure confidence in the scheme and to the value of certification.
The BRC therefore has an active compliance programmer to supplement the work of accreditation bodies and ensure high
standards are maintained.

The BRC scheme may only be provided by certification bodies registered and approved by the BRC and accredited by a
BRC-recognized accreditation body. All auditors undertaking audits against the Standard must meet the BRC auditor
competence requirements and shall be registered with the BRC. All audits undertaken against the Standard shall be uploaded to
the BRC Directory, which provides the BRC with an oversight of the activity of the certification bodies and the opportunity to
review the quality of the reports produced.

To support the Standard, the BRC operates a compliance program, which reviews the performance of the certification bodies,
samples the quality of audit reports and levels of understanding of the scheme requirements, and investigates any issues or
complaints. As part of this program the BRC provides feedback on the performance of each certification body through a key
performance indicator (KPI) program.

On occasions, the BRC may audit the offices of certification bodies and accompany auditors on audits at sites to observe their
performance. The BRC may also undertake independent visits to certificated companies to ensure standards of food safety and
quality are being maintained in line with their certification status and to ensure that the audit and reporting process is to the
expected standard.

CALIBRATING AUDITORS
A key component of the scheme is the calibration of auditors to ensure a consistent understanding and application of the
requirements. All certification bodies are required to have processes to calibrate their own auditors. An essential element of the
training and calibration of auditors is the witnessed audit program. Auditors are observed during an audit and provided with
feedback on the performance of the audit. In order to ensure consistency between certification bodies and for the purposes of
accreditation, an audit may be witnessed by a BRC representative or accreditation body auditor. Guidelines apply to these
activities to ensure that companies are not disadvantaged by the presence of two auditors. This process forms an essential part of
the scheme and companies are obliged to permit witnessed audits as part of the conditions for certification.

FEEDBACK
Companies audited against the Standard may wish to provide feedback to the certification body or the BRC on the performance
of the auditor. Such feedback sent to the BRC will be considered in confidence. Feedback provides a valuable input to the BRC
monitoring program for certification-body performance.

COMPLAINTS AND REFERRALS


The BRC has implemented a formal complaint and referral process, which is available to organizations involved with
theGlobalStandards. A document detailing the Global Standards referral process can be found on the website
(at www.brcglobalstandards.com).

From time to time, failure to apply the principles and criteria of the BRC Global Standards at certificated companies may be
reported to the BRC by, for example, retailers and companies conducting their own audits. In this event, the BRC will request a
documented report of the reasons for the complaint and refer this report, in confidence, to the certification body conducting the
audit. The BRC will require a full investigation of the issues raised and a report from the certification body to be submied to the
BRC within 28 calendar days (or such shorter time as specified by the BRC in urgent cases).

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APPENDICES

APPENDIX 1
Other BRC Global Standards 56

APPENDIX 2
Qualifications, training, and experience
requirements for auditors 57

APPENDIX 3
Certificate template 59

APPENDIX 4
Glossary 60

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APPENDIX 1
OTHER BRC GLOBAL
STANDARDS
The BRC has developed a range of Global Standards which set out the requirements for the manufacture of food and consumer
products, the packaging used to protect the products, and the storage and distribution of these products. The other BRC
Standards complement the Global Standard for Retail and provide a standard for the auditing and certification of suppliers.

The BRC Global Standard for Food Safety is a certification standard for the manufacture and packing of food and drink
products. It sets out requirements based on the HACCP (Hazard Analysis and Critical Control Point) system, good manufacturing
practice, and supporting quality management systems. The Standard is Global Food Safety Initiative (GFSI)-benchmarked.

The BRC Global Standard for Packaging and Packaging Materials is a GFSI-benchmarked certification standard
that lays down the requirements for the manufacturing of packaging materials used for food and consumer products. Food and
nonfood businesses may request this from their suppliers of packaging.

The BRC Global Standard for Storage and Distribution is a certification standard that sets out the requirements for
storage, distribution, wholesaling, and contracted services for packaged food products, packaging materials, and consumer
goods. The Standard is not applicable to storage facilities under the direct control of the production facility management, which
are covered by the relevant manufacturing standard, e.g., the Global Standard for Food Safety.

The BRC Global Standard for Agents and Brokers sets out the requirements for companies in the food and/or food
packaging supply chain which provide services for the purchase, importation, or distribution of products. The companies may
also own their own processing, storage, or distribution facilities but these facilities are certificated to relevant production or
storage and distribution standards.

The BRC Global Standard for Consumer Products is a certification standard applicable to the manufacture and
assembly of consumer products. This specifically excludes food-associated products such as vitamins, minerals, and herbal
supplements, which fall within the scope of the BRC Global Standard for Food Safety.

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APPENDIX 2

APPENDICES
QUALIFICATIONS, TRAINING,
AND EXPERIENCE
REQUIREMENTS FOR AUDITORS

The following are the minimum requirements for auditors to conduct audits against the BRC Global Standard for Retail.

EDUCATION
The auditor shall have a degree in or shall have successfully completed a higher education course in a food-related, packaging or
bioscience discipline, or other relevant subject.

WORK EXPERIENCE
The auditor shall have a minimum of five years postqualification experience related to the food packaging or logistics industry.
This shall involve work in quality assurance functions within manufacturing, logistics, retailing, inspection, or enforcement. The
verification of the auditors ability to carry out work within specific product categories is the responsibility of the certification body.

QUALIFICATIONS
The auditor must have:

passed a registered management-system lead assessor course (e.g., International Register of Certificated AuditorsIRCA) or
the BRC third-party auditor course delivered by a BRC-approved trainer
completed a training course in HACCP (Hazard Analysis and Critical Control Point) (as evidenced by examination), based on
the principles of Codex Alimentarius and of at least two days duration, and be able to demonstrate competence in the
understanding and application of HACCP principles. It is essential that the HACCP course is recognized by the industry (and its
stakeholders) as being appropriate and relevant.

AUDIT TRAINING
Auditors must have successfully completed a period of supervised training, including witnessed audits, in practical assessment
through 10 audits or 15 audit days involving food or packaging safety audits against Global Food Safety Initiative (GFSI)-approved
Standards, ISO 22000 or ISO 9000 series (at a food business), of which at least two audits must be against one or more of the
BRC Global Standards.

Certification bodies must establish training programs for each auditor, which will incorporate:

successful completion of the BRC auditor training course for the Global Standard for Retail, delivered by a BRC-approved
trainer
a period of initial training covering product safety, HACCP and prerequisite programs, and access to relevant laws and
regulations
a period of supervised training to cover quality management systems, audit techniques, and specific category knowledge
assessment of knowledge and skills for each category
documented signoff aer the satisfactory completion of the training program.

Each auditors training program shall be managed and approved by a person within the certification body who can demonstrate
technical competence in the categories in which training is given.

Full detailed training records of the individual shall be maintained by the certification body throughout the term of employment,
and retained for a minimum period of five years aer (s)he leaves the employment of the certification body.

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EXCEPTIONS
Where a certification body employs an auditor who does not fully meet the specific criteria for education but has been assessed
as competent, there shall be a fully documented justification in place to support the employment of the auditor.

RESPONSIBILITY OF THE CERTIFICATION BODY


It is the responsibility of the certification body to ensure processes are in place to monitor and maintain the competence of the
auditor to the level required by the Standard.

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APPENDIX 3

APPENDICES
CERTIFICATE TEMPLATE

Auditor number CERTIFICATION BODY NAME OR LOGO

[Certification body name, certification body number] certifies that, having conducted an audit

For the scope of activities:

Including voluntary modules of:

Exclusions from scope:

Product categories:

At COMPANY NAME
SITE CODE
AUDIT SITE ADDRESS

Has achieved Grade:

Meets the requirements set out in the

BRC GLOBAL STANDARD for RETAIL

ISSUE 1: AUGUST 2016

Audit program: [announced, unannounced option 1 or option 2, reissued after extension to scope]

Date(s) of audit: [include two date ranges for unannounced option 2. If an extension to scope, include
original audit date and visit date]

Certificate issue date:

Re-audit due date: from to

Certificate expiry date:

Accreditation BRC logo


body logo Authorized by

Name and full address of certification body


Certificate traceability reference
This certificate remains the property of [name of certification body]
If you would like to feedback comments on the BRC Global Standard or the audit process directly to BRC,
please contact enquiries@brcglobalstandards.com or call the Tell BRC Hot line +44 (0)20 7717 5959.

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APPENDIX 4
GLOSSARY

Accreditation The procedure by which an authoritative body gives formal recognition of the competence of a
certification body to provide certification services against a specified Standard.
Age-restricted sales Products where the local or other governing body requires the purchaser of the product to have
reached a minimum age.
Agent A company that facilitates trade between a site or company and their raw material or packaging
suppliers or their customers through the provision of services, but does not at any point own or take
title to the goods.
Allergen A known component of food which causes physiological reactions through an immunological
response (e.g., nuts and other items identified in legislation relevant to the country of production or
sale).
Announced audit An audit where the company agrees the scheduled audit day in advance with the certification body.
Audit A systematic examination to measure compliance of practices with a predetermined system, and
whether the system is implemented effectively and is suitable to achieve objectives, carried out by
certified bodies.
Auditor A person possessing the appropriate competence and skills to carry out an audit.
Authenticity Food authenticity is ensuring that food or raw materials purchased and offered for sale are of the
nature, substance, and quality expected.
Brand owner The owner of a brand logo or name who places the said logo or name onto retail products.
Branded product Products bearing the logo, copyright, or address of a company that is not a retailer.
BRC Global Markets A recognition and audit scheme designed for sites which are either very small and for whom the full
program Standard may not be appropriate, or developing their food safety management systems.
Broker A company which purchases or takes title to products for resale to businesses (e.g., manufacturers,
retailers, or food service companies) but not to the ultimate consumer.
Calibration A set of operations that establishes, under specified conditions, the relationship between values of
quantities indicated by a measuring instrument or measuring system, or values represented by a
material measure or reference material, and the corresponding values realized by standards.
Certificate suspension Revocation of certification for a given period, pending remedial action on the part of the company.
Certificate withdrawal Where certification is revoked. Certification may only be regained following successful completion of
the full audit process.
Certification The procedure by which an accredited certification body, based on an audit and assessment of a
companys competence, provides wrien assurance that a company conforms to a standards
requirements.
Certification body A provider of certification services, accredited to do so by an authoritative body and registered with
the BRC.
Clause A specific requirement or statement of intent that a site must comply with in order to achieve
certification.
Codex Alimentarius A body responsible for establishing internationally recognized standards, codes of practice, and
Commission guidelines, of which HACCP (Hazard Analysis and Critical Control Point) is one standard.
Company The entity with legal ownership of the site which is being audited against a BRC Global Standard.
Competence Demonstrable ability to apply skill, knowledge, and understanding of a task or subject to achieve
intended results.
Compliance Meeting the regulatory or customer requirements concerning product safety, legality, and quality.

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APPENDICES
Consumer The end consumer of the finished product, commodity, or service.
Contamination Introduction or occurrence of an unwanted organism, taint, or substance to packaging, food, or the
food environment. Contamination includes physical, chemical, biological, and allergenic
contamination.
Contractor or supplier A person or organization providing services or materials.
Control To manage the conditions of an operation to maintain compliance with established criteria, and/or the
state in which correct procedures are being followed and criteria are being met.
Control measure Any action or activity which can be used to prevent or eliminate a product safety hazard or reduce it to
an acceptable level.
Controlled document A document which is identifiable and for which revisions and removal from use can be tracked.
Thedocument is issued to identified individuals and their receipt of the document is recorded.
Cook A thermal process designed to heat a food item to a minimum of 70C for 2 minutes or equivalent.
Alternative cooking processes may be accepted or required where these meet recognized national
guidelines and are validated by scientific data.
Correction Action to eliminate the cause of a detected nonconformity.
Critical control point A step at which control can be applied and which is essential to prevent or eliminate a food or product
(CCP) safety hazard or reduce it to an acceptable level.
Customer A business or person to whom a service or product has been provided, either as a finished product or
as a component part of the finished product.
Customer focus A structured approach to determining and addressing the needs of an organization to which the
company supplies products and which may be measured by the use of performance indicators.
End consumer The ultimate consumer of a foodstuff, who will not use the food as part of any food business operation
or activity.
Flow diagram A systematic representation of the sequence of steps or operations used in the production or
manufacture of a particular food item.
Food defense Procedures adopted to assure the safety of raw materials and products from malicious contamination
or the.
Food fraud Fraudulent and intentional substitution of, dilution of, or addition to a product or raw material, or
misrepresentation of the product or material, for the purpose of financial gain, by increasing the
apparent value of the product or reducing the cost of its production.
Food handler Anyone who handles or prepares food, whether open (unwrapped) or packaged.
Food raw materials Food ingredients, additives, and processing aids used in the manufacture of a product.
Food safety Assurance that food will not cause harm to the consumer when it is prepared and/or eaten in the
intended way.
Food security Procedures adopted to assure the continued availability of raw materials and products.
Fundamental A requirement of the Standard that relates to a system which must be well established, continuously
requirement maintained, and monitored by the company as absence or poor adherence to the system will have
serious repercussions on the integrity or safety of the product supplied.
Global Food Safety Managed by the Consumer Goods Forum, a project to harmonize and benchmark international food
Initiative (GFSI) safety standards (www.mygfsi.com).
Good hygiene practice The combination of process, personnel, and/or service control procedures intended to ensure that
products and/or services consistently achieve appropriate levels of hygiene.
Good manufacturing Implemented procedures and practices undertaken using best practice principles.
practice
Hazard An agent of any type with the potential to cause harm (usually biological, chemical, physical, or
radiological).
Hazard Analysis and A system that identifies, evaluates, and controls hazards which are significant for food safety.
Critical Control Point
(HACCP)

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High-risk area A physically segregated area, designed to a high standard of hygiene, where practices relating to
personnel, ingredients, equipment, packaging, and environment aim to prevent product
contamination by pathogenic micro-organisms.
In-store sampling The practice of offering products free of charge for customers to consume on the premises.
Incident An event which has occurred that may result in the production or supply of unsafe, illegal, or
nonconforming products.
Initial audit The BRC audit at a company/site which is not in possession of a valid BRC certificate. This may be the
first audit at a site or a subsequent audit of a site whose certification has lapsed.
Internal audit General process of audit, for all the activity of the company. Conducted by or on behalf of the
company for internal purposes.
Job description A list of the responsibilities for a given position at a company.
Key staff Those staff whose activities affect the safety, legality, and quality of the finished product.
Legality In compliance with the law in the place of production and in the countries where the product(s) is/are
intended to be sold.
Manufacturer A company which produces product from raw materials and/or components and packs the product
into retail units or supplies product in bulk to a packing company that packs the product into retail
units. A packer that packs product into retail units from bulk-supplied material can also be classed as
a manufacturer.
May Indicates a requirement or text which provides guidance but is not mandatory for compliance to the
Standard.
Monitoring A planned sequence of observations or measurements of defined control parameters to assess
whether predefined limits are being met.
Nonconformity The nonfulfillment of a specified product safety, legal, or quality requirement or a specified system
requirement.
Open product area An area in which product is open to the environment (i.e., not fully enclosed in packaging or within
equipment/pipes).
Outer packaging Packaging which is visible when the product is released from the site. For example, a cardboard box
could be considered outer packaging even if wrapped in clear film.
Performance indicators Summaries of quantified data that provide information on the level of compliance against agreed
targets (e.g., customer complaints, product incidents, laboratory data).
Potable water Water being safe to drink, free from pollutants and harmful organisms, and conforming to local legal
requirements.
Premises A physical building or place owned by the company and audited as part of a site.
Prerequisite The basic environmental and operational conditions in a food business which are necessary for the
production of safe food. These control generic hazards covering good manufacturing practice and
good hygienic practice and shall be considered within the HACCP study.
Preventive action Action to eliminate the fundamental, underlying cause (root cause) of a detected nonconformity and
prevent recurrence.
Procedure Agreed method of carrying out an activity or process which is implemented and documented in the
form of detailed instructions or process description (e.g., a flowchart).
Processed food A food product which has undergone any of the following processes: aseptic filling, baking, baering,
blending, boling, breading, brewing, canning, coating, cooking, curing, cuing, dicing, distillation,
drying, extrusion, fermentation, freeze drying, freezing, frying, hot filling, irradiation, microfiltration,
microwaving, milling, mixing, being packed in modified atmosphere, being packed in vacuum
packing, packing, pasteurization, pickling, roasting, slicing, smoking, steaming, or sterilization.
Processing aid Any substance not consumed as a food by itself, intentionally used in the processing of raw materials,
foods, or their ingredients to fulfill a certain technological purpose during treatment or processing,
and which may result in the unintentional but technically unavoidable presence of the residues of the
substance or its derivatives in the final productprovided that these residues do not present any
health risk and do not have any technological effect on the finished product.

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APPENDICES
Product recall Any measures aimed at achieving the return of an unfit product from customers and end consumers.
Product withdrawal Any measures aimed at achieving the return of out-of-specification or unfit products from customers,
but not from end consumers.
Protective clothing Clothing designed to protect the product from potential contamination by the wearer.
Quality Meeting the customers specification and expectation.
Quantity control Check on amount of product in the pack. May be related to weight, volume, number of pieces, size,
etc.
Raw material Any base material or semifinished material used by the organization for the manufacture of a product.
Raw material includes packaging material.
Ready-to-cook food Food designed by the manufacturer as requiring cooking or other processing effective to eliminate or
reduce to an acceptable level micro-organisms of concern.
Ready-to-eat food Food intended by the manufacturer for direct human consumption without the need for a full cook.
Ready-to-heat food Food designed by the manufacturer as suitable for direct human consumption without the need for
cooking. The heating of the product is intended to make the product more palatable.
Requirement Those statements comprising a clause with which compliance will allow sites to be certificated.
Retail brand A trademark, logo, copyright, or address of a retailer.
Retailer A business selling products to the public by retail.
Retailer-branded Products bearing a retailers logo, copyright, address, or ingredients used to manufacture within a
products retailers premises. These are products that are legally regarded as the responsibility of the retailer.
Risk The likelihood of occurrence of harm from a hazard.
Risk analysis A process consisting of three components: risk assessment, risk management, and risk
communication.
Risk assessment The identification, evaluation, and estimation of the levels of risk involved in a process to determine an
appropriate control process.
Root cause The underlying cause of a problem, which, if adequately addressed, will prevent a recurrence of that
problem.
Schedule A tabulated statement giving details of actions and/or timings.
Senior management Those with strategic/high-level operational responsibility for the company and the capability to
authorize the financial or human resources necessary for the implementation of the Standard.
Shall Signifies a requirement to comply with the contents of the clause.
Should Signifies that compliance with the contents of the clause or requirement is expected or desired.
Site A unit of a company; the entity which is audited and which is the subject of the audit report and
certificate.
Specification An explicit or detailed description of a material, product, or service.
Specifier A company or person requesting the product or service.
Standard, the The Global Standard for Retail Issue 1.
Supplier The person, firm, company, or other entity to which a sites purchase order to supply is addressed.
Suspension Where certification is revoked for a given period, pending remedial action on the part of the company.
Traceability Ability to trace and follow raw materials, components, and products through all stages of receipt,
production, processing, and distribution, both forward and backward.
Trend An identified paern of results.
Unannounced audit An audit undertaken on a date unknown to the company in advance.
User The person or organization who requests information from the company regarding certification.
Utilities Commodities or services, such as electricity or water, which are provided by a public body.
Validation Obtaining evidence through the provision of objective evidence that a control or measure, if properly
implemented, is capable of delivering the specified outcome.
Vehicle Any device used for the conveyance of product which is capable of being moved upon highways,
waterways, or airways. Vehicles can be motorized (e.g., a truck) or nonmotorized (e.g., container or
railcar).

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Verification The application of methods, procedures, tests, and other evaluations, in addition to monitoring, to
determine whether a control or measure is or has been operating as intended.
Where appropriate In relation to a requirement of the Standard, the company will assess the need for the requirement
and, where applicable, put in place systems, processes, procedures, or equipment to meet the
requirement. The company shall be mindful of legal requirements, best practice standards, good
manufacturing practice and industry guidance, and any other information relating to the manufacture
of safe and legal product.
Workwear Company-issued or authorized clothing designed to protect the product from potential
contamination by the wearer.

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APPENDIX 5

APPENDICES
ACKNOWLEDGMENTS

The BRC is grateful to all of those who had input in one form or another to the development of this Standard. In particular, we wish
to thank the members of the technical working groups who supported the development. Their names are listed alphabetically
below.

Aaron Campbell SAI Global

Sherry Casey Loblaws

Neil Checkes Sobeys

Alison Cousins BRC Global Standards

Paul Damaren SAI Global

Martin Fowell Silliker

Tyler Hove Sobeys

Paul Marra Wegmans

Christine Mulcahy Loblaws

Laura Nelson Alchemy

Vilas Samineni Metro

Hillary Thesmar FMI

David Wilkes Retail Council of Canada

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