CART-PAR Final Draft 11/4/13 - Food Safety News · The Food Safety Modernization Act (FSMA) a...

Intelligent Checklist For Quality and Safety in the Supermarket

November 2013 ©2013 Center for Advancing Retail Technology LLC 2

Report Structure Section I Executive Summary Section II Industry Context Section III Solution Elements Section IV In-Store Implementation Section V Outcomes Section VI Conclusions

Section I Executive Summary

Meticulous compliance with temperature control and monitoring practices is a fundamental necessity for food service providers in order to assure product quality and safety. As both hot and cold menu offerings continue to expand in the supermarket environment, this activity grows more complicated, placing a greater burden upon operators to maintain excellence. Many observe that existing paper-based recordkeeping processes are no longer adequate for the modern grocer.

With these issues in mind, two retailers collaborated on in-store deployments of a food safety and intelligent checklist platform beginning in summer 2013. The activity was focused on deli and prepared foods departments located at one store of a regional supermarket chain and a single-store independent grocer.

The platform (PAR EverServ® SureCheck®) uses digital temperature testing devices linked wirelessly to a cloud-based server application. Among multiple benefits of this arrangement, the platform helps food service associates to better manage temperature monitoring activities in a timely manner, while faithfully capturing an activity log that may be monitored to prove compliance.

Results to date indicate improvement on several key performance dimensions compared with previously existing paper-based record keeping methods. Participating retailers report the platform has:

• Enabled superior workplace practices without added stress • Provided better control and mitigation of risk • Improved outcomes on health safety inspections • Enabled the delivery of better quality prepared foods, leading to happier, more satisfied

customers and growing sales.


Section II Industry Context

Fresh food and deli departments are a high priority for grocery shoppers, with 75% indicating they are either “very important” or “somewhat important” to the selection of their primary store in a 2012 survey conducted by Booz & Co.1

From 2007 through 2012, fresh prepared foods in retail grocery stores grew at an annual rate of between five and six percent and are projected to expand between six and seven percent between 2013 and 2017, says a study by Technomic and A.T. Kearney.2 Across the U.S. in 2011, deli prepared foods averaged dollar sales of $11,306 per week per store, up 6.8% from $10,589 the previous year, according to the Perishables Group.3 Market research firm Packaged Facts estimated supermarket sales of prepared foods at $14 billion for 2011.4

As these big numbers would imply, shoppers are generally confident about the safety and quality of the products they obtain from grocery food service. In the Booz & Co. survey, 43% of respondents said they agree strongly with the statement “I trust the prepared food my grocery store sells.”5 This is less than the majority, making the statement appear slightly contradictory.

With a few exceptions, this confidence has been well-founded. Conscientious safe preparation and handling practices are in place at virtually all the nation’s supermarkets, guided by the FDA’s Hazard Analysis & Critical Control Points (HACCP) regulations, periodic inspections, training and supervision.

Nevertheless, the need for systematic and reliable food quality and safety practices in supermarkets and other food service establishments is not a matter of controversy. About 1 in 6 (or 48 million) Americans gets sick each year from contaminated food, according to the Center for Disease Control. Last year, 3,000 deaths resulted.6

“The ultimate responsibility for food safety at the retail level lies with retail and food service operators and their ability to develop and maintain effective food safety management systems,” says the U.S. FDA Website. “It is essential that regulatory program managers design an inspection program based on HACCP principles that guides and supports their field staff in assisting operators with incorporating these principles into their routine activities.”7

Successful practices for maintaining safety and quality of prepared foods should be structured to address and control the following risk factors, as identified by the CDC:

1. Purchasing food from unsafe sources 2. Failing to cook food correctly 3. Holding food at incorrect temperatures 4. Using contaminated equipment 5. Practicing poor personal hygiene

Businesses that serve food are obligated do everything possible to mitigate these risks. There are well-established, scientifically designed procedures that, when followed diligently and systematically, are known to ensure that food sold to consumers is safe.


HACCP originated in the early 1960s as a collaborative effort between the Pillsbury Company, NASA and the U.S. Army Laboratories with the goal of providing safe food for space expeditions. NASA already used a system of “Critical Control Points” in engineering management, so this was adopted as the basis. Pillsbury was the first company to apply a HACCP system to food production. Today it is the national standard.

The Food Safety Modernization Act (FSMA) a sweeping reform of food safety laws, became Federal law in 2011. Among its provisions is the requirement that any company with annual revenue of $500,000 or more must maintain a HACCP program. The seven HACCP principles are:

1. Conduct Hazard Analysis 2. Determine Critical Control Points 3. Determine Critical Limits 4. Establish Monitoring Procedures 5. Develop Corrective Actions 6. Establish Verification Procedures 7. Establish a record keeping system

Considering the demanding routine of the typical supermarket deli or food service department, maintaining, supervising and documenting all of these practices on a daily basis adds up to a challenging agenda. Many organizations rely on paper checklists to organize and track required tasks. Even where these are well coordinated, it is a constant battle to maintain the desired compliance levels.

For the present field study, the two participating retailers deployed SureCheck® Intelligent Checklist™ from ParTech, Inc., a technology-enabled platform that enables food service establishments to practice food safety as a scientific discipline and systematically maintain these seven principles.

As we will discuss here, the SureCheck platform can be a highly effective tool for managing the complexity and detail of vital HACCP programs while making the tasks easier and more manageable for store associates. The platform may also be employed to schedule, manage and confirm other critical maintenance and cleanliness tasks throughout the retail establishment.

Section III Solution Elements The SureCheck solution platform used this in-store field study consists of three primary components, which are deployed using wireless hand-held devices and desktop computers:

• Mobile App – A mobile application that delivers intelligent checklists of required food monitoring and safety tasks to store associates via hand-held devices

• TMDs – Temperature Measuring Devices in several form factors (probes, RFID tags, temperature tags, location tags, and/or infrared sensors) are linked wirelessly to hand-held devices via Bluetooth

• Software Application – A cloud-based server application used to manage schedules, set-up checklists, communications, reporting, intelligence, and secure data storage


Figure 1. The core components of the tested food quality and safety platform. Left: desktop PC with touch

screen and cloud-based software. Right: wireless temperature probe paired with handheld device and

mobile app. (Photos: Tina Lieberman)

Taken together, these components constitute an intelligent system for scheduling, implementing, supervising and documenting food service safety and quality checks. The platform is designed to provide an easy-to-follow framework to organize the numerous tasks associated with HAACP compliance and to deliver highly accurate reports suitable for both internal quality control and health safety inspections.

The SureCheck system hardware units deployed in each store (Figure 1) include:

• Hand-held mobile devices, design optimized for use in a food prep environment • PAR Temperature Measuring Devices (TMD) • A networked, desktop computer located in the deli area with a flat-panel touch screen. Workers

use this terminal to review checklists, track tasks, and view reports on completed checklists.

The in-deli PC is an optional component that adds convenience for department associates. Any internet-enabled computer or hand-held device can securely access the cloud-based reporting.

Section IV In-Store Implementation For the two retail locations participating in this study, the field experience was focused on defining excellent daily practices that leverage the SureCheck platform. Goals were to ensure and document high-quality outcomes, ease of use, employee compliance and the best possible product safety and quality.

Experience to date has defined seven steps to success using the SureCheck platform for Food Safety and Intelligent Checklist:

1. Institute a plan to pay relentless attention to temperature control 2. Install enabling tools that cut time, ensure accuracy and capture data


3. Design excellent practices that are easy to follow 4. Execute the practices consistently and well 5. Assure transparency and accountability 6. Institute a learning process 7. Continuously earn and reinforce customer trust

Associates (cooks and department staff) and supervisors were trained on the system operation with these principles in mind. Training typically requires two hours or less, since the devices are intuitive in design and the intelligent checklist provides direct task guidance and performance feedback.

The systems were initially deployed in parallel with an existing paper checklist-based process. Shortly after the tests commenced (as confidence was demonstrated) the participants switched over to SureCheck only, and continued to capture performance data that indicate excellent results.

Dashboard - System implementation enables on-demand access to a variety of information by both department associates and managers. For this installation, this is accomplished using a touch-screen PC (Figure 2) located within the deli area. The dashboard is also accessible from any internet enabled computer. Reports include pending and completed checklist details; time/temperature records; violation reports; corrective actions; cooking checklists; and a variety of daily summaries by store, by manager, by store group, etc. Reports may be rolled up to regional or headquarters level according to management requirements. Report and data access are subject to rights management controls. Records may be rapidly accessed for food safety inspectors.

Figure 2. SureCheck touchscreen dashboard enables food service workers and management to access

checklists; confirm task completion; identify and correct issues; and generate a variety of reports.


Hot Foods – Testing began with the most frequently sold prepared items, which include fried and rotisserie chicken. Correct cooking temperatures for fried chicken, for example, are confirmed using the PAR TMD probe as they are removed from the fryer.

To enable tracking of shelf life, times are recorded and each batch is assigned a color code, which is entered on the department’s computer. Packages are labeled with matching colored adhesive dots to help assure product rotation and enable tracking of shelf life.

The retailer maintains a similar time and temperature record for rotisserie chickens, which are prepared on a “just-in-time” basis throughout most of the day. Color-coding the packages is a key quality and safety step, since the chickens are displayed in a self-serve warming unit on the selling floor.

Similar processes are applied to other hot prepared items, including those made in batches and kept at holding temperature in steam tables.

Temperature Control – Holding areas for both cold and hot foods must be maintained within defined temperature ranges. These include cold cases in the deli department and freezers in the back room. Tolerances and acceptable holding times are defined for each food type according to HAACP best practices.

If hold times are occasionally exceeded or temperatures fall out of tolerance due to human error or equipment failure, the system displays a checklist of remediation steps for associates to follow, such as discarding or relocating at-risk foods, requesting equipment maintenance, alerting supervisors, etc. Each remediation step is recorded by the system when completed for later QA reporting.

Figure 3. Deli worker checks cold food temperatures using a handheld probe and wireless device.

Manager Walk-Through – Periodic inspections and compliance checks are performed by managers, using an intelligent walk-through checklist. These are also called “sweep walks” and they are structured


to ensure that important factors are not overlooked. In addition to direct observation of food safety practices, the walk-throughs may be designed to monitor other important routine maintenance activities, such as:

• Store lighting (check for bulbs that need replacement) • Ambient air temperatures (such as in the checkout area) • Restroom conditions (cleanliness and in proper supply)

To document time and location for some of these checks, the manager scans RFID tags mounted in the covered areas of the store. This provides assurance that tasks are performed according to the prescribed schedule.

Reporting – The SureCheck system captures checklist, compliance, and performance data for all these activities within a single data repository that may be accessed for both required record-keeping and on-the-fly reporting as required by managers.

The system allows the retailer to set thresholds and define corrective action plans. Examples include correct cooking temperatures, time frames for completion, and action steps to follow if a cooler is out of temperature range.

Section V Outcomes Outcomes of the present test indicate the system has delivered a high degree of reliability and ease of use. Collected data indicate SureCheck allows the retailer to maintain:

• Consistency – It provides a platform for repeatable and measurable information (temperatures, tasks) and logging for HAACP programs.

• Speed and Efficiency – It reduces or eliminates the need for “pen and paper” checklist management, making data collection quicker and less tedious.

• Accuracy – Automated data collection (temperatures, times, RFID tags) and archiving provides a defendable audit trail of required monitoring data.

• Scalability – Mobile data capture synchronizes with “cloud-based” infrastructure across any number of devices or stores.

• Immediacy – By design, users are prompted to fix potential hazards via pre-programmed corrective actions, so problems are resolved immediately.

• Ease of Use – Users experience a better checklist workflow and reporting. Administration requires very little training.

In the initial deployments for the present test, improvements were evident in several areas of food service practice beginning within the first week. Participating retailers noted:

• Improved Record Keeping – Retailers noted an immediate improvement in collecting and tracking essential food preparation data. Retrieval from the centralized database is instantaneous and reports may be more efficiently generated.


• Accountability – The system communicates and proves accountability for all the different users involved in delivering safe, high quality prepared foods. It makes certain that temperatures are being taken on time and on plan. Retailers observe how this was hard to drill down on using the previous paper checklist process.

• Quick Adoption – Retailers report that associates became easily and quickly acclimated to the new tools and system, with minimal training required.

• Measurable Time Savings – Manager reports that the typical time spent by an assistant deli manager to collect required time and temperature data was cut to approximately 1½ minutes, versus a typical 15 minutes using the old process (90 percent faster).

• Reduced Error – The automated system minimizes chances for mistakes due to missed checklist items or incorrect data transcription.

• Lower Shrink/Higher Quality – Better temperature controls lead to fewer expired or spoiled items, saving costs of discarded product and ensuring a higher quality, better tasting product for customers.

Clearing Obstacles – Participating retailers noted that the SureCheck platform was effective at eliminating obstacles to team success while contributing to improved compliance.

One senior manager noted, “It has helped us to focus greater attention to this area of food service practice. From our test experience, our department manager reports greater confidence about the validity of our previous processes too. But now we are able to observe how reporting is improved.”

He continued, “We can easily generate reports from the previous day. I’ve been pleased to be able to monitor how many temps were taken. It’s also a simple matter to review the charts on color and quantities.”

“These reports enable me to get a feel for how it’s going on.”

Making Paper Logs Obsolete – The study allowed the retailers to directly compare the validity of the intelligent checklist versus the old-style paper log system it replaced. An assistant manager who has been “living the process” had the following observations:

“I think it works much better than paper log,” she said. “It’s getting into our routine and establishing a habit of doing checks every two hours on the cold holds too.” Her department is following the HACCP requirement of between 2 and 4 hours between temperature checks.

Correct Preparation Temps – A retail manager observed that the system has already had a positive impact on cooking temperatures.

“The reports confirm that our cooks have all been very good at making sure the temps are where they should be,” he said.

Early on, the system helped identify that some cooked chicken temperatures were above the threshold, which has an undesirable impact on product taste and can lead to waste. The retailer was able to detect and correct, using report data to reinforce employee training.


The manager said he was encouraged from the standpoint of reducing shrink, and increasing quality assurance. “We can deliver better quality food for customers and discard less due to loss of quality,” he said.

Inspections Done Easy – Food service establishments are subject to periodic inspection by local authorities. The retailers participating in the SureCheck test report that the logs helped inspections go more smoothly. One manager said, “Health inspectors on recent visits were quite impressed to learn we now have such a system in house.”

He added another example, “When inspectors checked our hot soups, we had a record of correct temperatures to show.”

Practice Improvements – In the initial phase of testing, a participating retailer had limited its use of the system to managing heated, prepared foods. Now it is being used to monitor the deli department on a day-to-day basis.

Prior to implementation of SureCheck, the retailer had been checking case temperatures just once per day (each morning).

The manager added that putting SureCheck into play with new employees provided an opportunity to consider new processes and procedures. His team reviewed how hot hold was accomplished with the benefit of the data captured by the system. “It provided a good opportunity to tweak some practices,” he said.

Managers report satisfaction with task compliance and confirmation that checklists are actually being completed. They have good visibility into corrective actions, improved reporting, and evidence of process consistency. There are costs advantages in time saved, and effort that used to be devoted to completing forms. This frees associates to pay more attention to customer service.

An assistant manager related an interaction she had with an employee who had just finished some product temperature checks. “He told me it feels normal now. It’s easier and more accurate. My team manager has commented on how much easier the logs and paperwork are to use.”

She added, “The whole magic is how it focuses people on whole area of food safety.”

Section VI Conclusions One of the mantras of food safety in general is: “Protect your customers. Protect your brand.” Food service retailers of any size – one store to 100 stores or more – need to be concerned with food safety and quality in order to mitigate risk, and to assure ongoing customer satisfaction and trust.

Preparing and handling prepared foods properly takes discipline at the store level for every step of the process, from food prep to cooking to holding. This is where an automated checklist tool like SureCheck can be so helpful.


The platform tested in this field deployment delivers improved product consistency, desirable process transparency, ease of use, reliable data logs, low cost to implement and maintain, reduced shrink, more satisfied shoppers.

Technology such as PAR's SureCheck solution can be an important tool in food safety regimens. Used properly, it can pay for itself.

Should a business sell food that is of substandard quality, or worse makes someone ill, the customer is unlikely to purchase from that business again. They are also likely to tell family and friends that they had a bad experience. In some extreme cases, such incidents lead to legal action and bad publicity. High quality food handling practices enabled by SureCheck provide a key line of defense against such adverse incidents.

But there are also numerous direct benefits:

• Potential for labor savings of up to 60% • No more paper – eliminate purchase and storage cost • Increased visibility into stores and the ability to affect employee behavior more directly • The system is not just suitable for food safety – the platform can be applied to virtually any type

of operational checklist • Ability to efficiently implement ad hoc activities like product recalls • Potential ability to reduce outside audit expense

The ultimate success of an automated checklist system comes down to its ability to establish and reinforce customer trust that the retailer will provide consistent, high quality, and above all, safe products, day in and day out.


Appendix

About NGA and CART:

The National Grocers Association (http://nationalgrocers.org) is the national trade association representing the retail and wholesale grocers that comprise the independent sector of the food distribution industry. The Center for Advancing Retail & Technology (http://advancingretail.org) and the NGA have partnered to bring a unique service to the retail industry: The NGA Innovation Center, a network of live store environments in different markets across the U.S. available to research sponsors for testing merchandising concepts and piloting innovative solutions. CART partners are solution providers and academic institutions who serve and study the grocery industry.

About ParTech Inc.:

ParTech, Inc. (PAR), a wholly owned subsidiary of PAR Technology Corporation, has been a leading provider of restaurant and retail technology for more than 30 years. PAR offers technology solutions for the full spectrum of restaurant operations, from large chain and independent

table service restaurants to international quick service chains. PAR’s SureCheck® Intelligent Checklist™ solution is helping restaurant and retail food services companies improve food safety and checklist management. PAR’s Hospitality business also provides hotel management systems with a complete suite of powerful tools for guest management, recreation management, and timeshare/condo management. In addition, PAR offers the spa industry a leading management application specifically designed to support the unique needs of the resort spa and day spa markets, a rapidly growing hospitality segment. In addition to solutions for the restaurant industry, PAR products are improving the customer experience in retail, including the cruise, hotel, casino and entertainment industries. For more information visit the Company’s Web site at www.partech.com.


This NGA/CART case study was produced with essential cooperation from:

www.leesmarket.com

www.mycountymarket.com

Independent research and editorial services by V•S•N Strategies (http://vsnstrategies.com)

For press inquiries about the case study or

to learn more about CART, please contact:

Schuyler Hawkins

Vice President, Research Engineering

Center for Advancing Retail & Technology

Phone: 1-877-712-2538

Email: [email protected]


Sources: 1 FMI U.S. Grocery Shopper Trends 2012, Booz & Company analysis 2 Fresh Prepared Foods, A Growth Driver for Your Company, Technomic/A.T. Kearney, 2013 3 Deli Prepared Food Sales Show Growth, InStore Buyer, May 2011 4 Prepared Foods and Ready-to-Eat Foods at Retail: The New Competition to Retail, Packaged Facts,

2010. 5 FMI U.S. Grocery Shopper Trends 2012, Booz & Company analysis 6 CDC Vital Signs, Center for Disease Control http://www.cdc.gov/vitalsigns/FoodSafety/ 7 Managing Food Safety: A Regulator's Manual, U.S. Food & Drug Administration, http://www.fda.gov/Food/GuidanceRegulation/HACCP/ucm2006812.htm

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