KFC Supplier Audit and Approval Evaluation Guidelines

Food Safety Audit Guidelines
Audit and Approval Evaluation 2009 revision 

Yum! Brands Global Restaurants, Inc.(A&W Restaurants; KFC, Long John Silver’s; Pizza Hut, and Taco Bell)
These guidelines are for use in Approval and Ongoing Food Safety evaluations of food suppliers that supply products for
Yum! Brands Global Restaurants, Inc.(A&W Restaurants; KFC, Long John Silver’s; Pizza Hut, and Taco Bell)
 
1. Points noted in parentheses (10 points) represent points earned.
 
2. All criteria in BOLD PRINT are Automatic Failures of the audit. Automatic Failures
appear under the "No points" categories. Only the bolded line of criteria will results
in immediate failure of this audit. Observation of any actual product contamination
by a Yum! Brands auditor triggers an Automatic Failure of the audit/evaluation;
however, the audit shall be taken through to completion to identify any further issues.
Automatic failures of an Approval Audit will result in a Non-Approval rating.

3. Each question scoring an Automatic Failure is to have a corrective action inserted
into the Action Plan section of the score sheet. This information is to be completed
by the auditor with the supplier's input.

4. If a supplier's process makes it impossible to meet guidelines exactly as written, the
supplier may request alternate minimum standards from Yum! Brands R&D/QA.
Alternate minimum standards are issued only under extreme circumstances and only
with the approval of the appropriate Yum! Brands QA Contact. The document shall
be signed by the Yum! Brands QA contact and forwarded to the supplier. The
supplier shall request and keep on file an updated alternate minimum standards
annually.

5. Documentation faxed to the facility at time of audit is not acceptable.
6. When guidelines refer to product, the reference is to any product manufactured for
Yum! Brands restaurants' use.
7. All Systems/procedures must be in place prior to a plant attaining Approved Status.
AUDITOR is to ensure procedures are established even if Yum! Brands product is
not yet being produced in facility.
8. Those elements not applicable to the type of audit or the supplier being audited shall
be designated as N/A on the score sheet.
__________________________ DEFINITIONS __________________________
Every deviation cannot be noted in the Guidelines, therefore the following will be used
when scoring the audit:
Full conformance means all Guideline requirements are met
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Minor nonconformance refers to single/isolated instance(s) of failure to
meet Guideline requirements
Major nonconformance’s refer to numerous instances of failure to
meet Guideline requirements
No points shall be given if there is systematic failure to meet
Guideline requirements
No points shall be awarded if there are no records, written
program or procedures
Audit Sections:
"Category" means the section being assessed (example: 1.0,
2.0, etc.)
"Element" the specific bulleted requirement within the audit
point (example: 1.1, 1.2, etc.)
"Criteria" is the explanation of each audit point
For the purposes of this audit/evaluation:
"single" occurrence one instance
"isolated" occurrences two or three instances
"numerous" occurrences more than three instances
"maintained" kept up-to-date and are on file at the facility being
audited
"established" written and implemented
"documentation" established documents supplied to confirm
Guideline requirements
"program/procedures" written program or written procedures
"records" actual data collected and maintained, based on the
criteria outlined in the procedures. Auditor to
review between 1% and 10% of records since the
last audit, enough to get a representative sample.
If issues are found, an additional sample of records
should be reviewed to determine if the issue is
isolated or reoccurring. All record corrections shall
be single lined out (so that the correction can still
be read) and initialed. White-out shall not be used
in correcting records.
GMP's Good Manufacturing Practices
"significant" systematic failure
"systematic" systems are not in place or obviously not fully
implemented
"meat" red and white meats (fish, seafood, beef, poultry,
lamb pork, etc.)
"analytical tests" refers to the chemical, microbiological or
instrumental testing used to verify compliance to
Yum! Brands specification.
Yum! Brands Global Restaurants reserves the right to audit all corrective actions noted
on audits.
In certain situations, multiple audit questions could be marked down for the same
finding. In this situation, the auditor should use his/her best judgment and record the
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finding under the most appropriate audit point. Circumstances may warrant the auditor
to mark down an issue in multiple locations.
It is important to understand that local laws and practices may differ from certain audit
guidelines. In all cases, the more restrictive requirement will prevail. It is important that
the auditor realize these differences and judge the supplier accordingly.
______________________________________________________________________
 

AUDIT GUIDELINES
1.0 PEST CONTROL
(Documents faxed to the supplier at the time of audit are not acceptable.)
1.1 A documented pest control program is established. Pest Control Operator
(PCO) is licensed, insured and certified
(Program - Documentation)
All points (20 points): Supplier must provide a documented pest control program. The
service shall be provided by a licensed, insured and certified Pest Control Operator, or
the service may be provided by a licensed, insured and certified pest control service. A
PCO from within the supplier's organization who is licensed, insured and certified can
apply pesticides, or a Pest Control Operator trainee can apply pesticides if authorized
under local laws to apply pesticides. A license and certificate may be one and the same
in some locations, but the name must match the name signed on service reports. If onsite
employee is certified, he/she may supervise someone else applying pesticides.
Under either scenario, copies of all documents should be maintained at the facility.
License(s), insurance and certification must be current.
The program shall include:
• a designated pest control operator (PCO) or company name
• defined frequency of scheduled service intervals: shall be minimum monthly basis
• how all traps, bait stations, glueboards and insectocutors shall be labeled (include
PCO initials and date inspected
• how unit inspections will be tracked. (Example: if electronic scanning of units is done
or punch cards are used, that date and initials are on final report)
• approved list of pesticides used in the plant: where they are applied and how they
are applied
• up-to-date schematic map - map shall be dated and have all traps, bait stations, glue
boards and insectocutors designated and identified in a way to allow for ease of
tracking and trending
• pest control company's proof of liability insurance
• license for company (updated as required)
• certification for the PCO
In countries where certifications are not used/available, the supplier shall furnish
documentation that pest control operator has formal and ongoing training.
In some areas, the application of non-restricted chemicals (example: foggers for flying
pests) does not require an applicator's license, however, all chemicals used in a facility
are to be listed in the pest control program manual on an "approved list of chemicals,"
whether they are applied by licensed or non-licensed plant personnel.
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NOTE: Documentation faxed to the supplier at the time of the audit is not acceptable for
adherence to the criteria. Points are to be deducted.
Minor nonconformance (15 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of unclear or incomplete documentation
• one element of above requirements is not on file or current (frequency addressed as
a major nonconformance)
• schematic map is not up-to-date/complete
• list of approved pesticides not up to date or complete
Major nonconformance (6 points): The following will constitute a major
nonconformance:
• two elements in the above list of requirements are not available or current
• scheduled service intervals are less frequent than monthly
No points: No points will be awarded if one of the following situations is encountered:
• pest control services conducted by non-certified or non-licensed individual
• more than two elements are not available or current
• no program
1.2 Pesticides are approved for use in a food manufacturing facility. Handling
and mixing procedures, Material Safety Data Sheets (MSDS) and pesticide
labels are on file. All pesticides are properly labeled and stored.
(Documentation-Observation)
Full Conformance: (15 points): All pesticides must be:
• all pesticides must be approved for use in a food manufacturing facility
• MSDS must be provided for pesticides used
• MSDS must be readily available for employees' reference
• labels and mix procedures shall be on file
If pesticides are kept on site, they:
• must be properly labeled
• stored (according to MSDS) in a locked, secured area accessible to authorized
personnel only
• glue boards are not classified as pesticides but shall be stored away from food
products
• empty pesticide containers shall be labeled " for insecticide use only" or similar
Unlicensed/unapproved pest control chemicals are not acceptable for use in a food
processing plant (example: cans of Raid).
Auditor to pick 3-4 chemicals that are applied in the plant and check for MSDS sheets
and sample labels. Check to see if the PCO wrote in a new chemical in the manual that
does not normally appear on the service log.
NOTE: Glue boards are not considered pesticides.
Hard copies of MSDS sheets shall be located in the plant.
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• If supplier subscribes to a faxable MSDS sheet service, the fax must be available
within 10 minutes and there shall be appropriate signage and 24 hour access to
phones and fax machine.
• Multi-lingual MSDS may also be available through a faxable MSDS service.
Multilingual MSDS not required if translator on site.
**NOTE: This is the only instance in which faxed documents at the time of a Yum!
Brands audit are acceptable.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
• MSDS and labels available, but filing system or fax system are disorganized making
quick access to the information difficult
• single/isolated instance of missing MSDS and/or sample label
• single/isolated instance(s) of pesticides secured on site, but not properly labeled
• single/isolated empty pesticide container(s) not labeled "insecticide use only" or
similar
• glue boards found stored with food products
Major nonconformance (5 point): One of the following will constitute a major
nonconformance:
• greater than three MSDS and/or labels are missing for pesticides (s) found in use
• concentration mix directions are missing for pesticide(s) found in use
• records indicate incorrect concentrations used for pesticides
• numerous instances of pesticides secured on site, but not properly labeled
• pesticides are segregated on site, but not held under lock and key
• numerous empty pesticide containers not labeled "insecticide use only" or similar
No points: No points will be awarded if the following situation is encountered:
• use of non-regulatory approved material.
• pesticides not secured and/or labeled and found in common storage with food
or packaging material
• any pesticide storage or pest control equipment maintenance issue which has
contaminated product or packing
1.3 PCO (Pest Control Operator) service reports, including usage logs, are current
and available for review. (Records)
All points (10 points): Supplier must provide service reports from the pest control
organization or complete inspection records if service is performed internally. They must
include:
• individual conducting service
• services performed
• date of service
• application method used
• chemicals, quantities and concentrations used
• signs of activity
• scheduled follow-up based on pest activity, if necessary
• corrective actions documented for frequent activity or other issues noted on service
reports or separate report
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The service log records shall indicate the application method used for each chemical.
The auditor is to verify that the application method agrees with the standards/methods of
application noted in the service contract and by the manufacturer.
AUDITOR: Match the PCO who fills out the service logs to the PCO who signs off on
the traps, to the PCO whose certification is in the book, making sure all 3
match.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• frequencies not matching those outlined in the pest control program
• single/isolated instances of missing or incomplete information/records
• single element missing
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• numerous instances of missing or incomplete information/records
• two elements missing
No points: No points will be awarded if one of the following situations is encountered:
• no service reports
• the number of incomplete records indicates systematic failure
• more than two elements missing
1.4 There is a pest activity trend report with corrective action(s) identified.
(Records)
All points (5 points): Documentation is available which:
• identifies and analyzes pest activity
• trend analysis for all pest control/monitoring devices (including traps, bait stations,
glueboards, pheromone traps, insectocutors, electronic pulse units, etc.)
• includes follow-up/corrective actions documented when a trend is identified
The auditor should look for a pictorial representation of activity by trap or station over
time. All traps shall be included in review, however, only activity is diagrammed. This
could be in the form of a Pareto chart, a frequency diagram or a checklist (Yum! Brands
does not specify the type of chart to be used).
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• trend analysis is conducted, but follow up actions are not formalized
• one type of pest control/monitoring device is not trended
• single/isolated instance of missing records
Major nonconformance (1 points): One of the following will constitute a major
nonconformance:
• two types of pest control/monitoring devices are not trended
• numerous instances of missing records
No points: No points will be awarded if one of the following situations is encountered:
• there are no records kept of historical pest activity
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• more than two types of pest control/monitoring devices are not trended
1.5 There is no evidence of INTERNAL pest activity.
(Observation)
Full conformance (10 points): All areas should be free of reoccurring/existing "internal"
pest activity. Specifically there shall be:
• no reoccurring/existing rodent activity and/or bird nesting observed around the
interior perimeter of the facility
• no evidence of live animals observed inside the facility such as cats, dogs, deer, etc.
• no evidence of excreta/pellets
• no evidence of pests including insects, spiders/webbing, rodents, lizards, ants or
birds in the facility or on product, ingredient or packing
• no evidence of gnawed bags/cases or rodents on stored stock or numerous excreta
on the floor/shelves of any storage area
• no decomposed rodent(s) or other animals (frogs, lizards, etc.) in traps. The interior
traps shall be checked often and the dead rodent(s) or other animals removed
• glueboards shall be free of significant insect build up
Note: Any live insect activity is an issue and should be graded accordingly. Insects
should be at a very minimum on glue boards. Active cobwebs with spiders are
considered pest activity; however, old and dusty cobwebs are evidence of poor
housekeeping and should be scored in section 3.3.
Minor nonconformance (7 points) One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of pest activity noted on the interior of the facility which
does not pose an immediate threat of product contamination
• freshly trapped rodent found in trap
Major nonconformance (3 points) One of the following will constitute a major
nonconformance:
• numerous instances of insect activity noted in the interior of the facility
• insect activity which has the potential for contaminating product
• numerous instances of significant numbers of pests found on glue boards
No points: No points will be awarded if one of the following situations is encountered:
• decomposed rodents in traps
• any observation of contaminated ingredient, product or product contact
material
• evidence of live animals observed inside the facility
1.6 There is no evidence of EXTERNAL pest activity.
(Observation)
Full conformance (10 points): All areas shall be free of reoccurring/existing external
pest activity. Specifically there shall be:
• no reoccurring/existing rodent activity (significant burrows, trails, excreta, tracks),
animal spoors and/or bird nesting observed around the exterior perimeter of the
facility (within 20 ft / 6 meters)
• no decomposed rodent(s) or other animals (frogs, lizards, etc.) in bait stations or
along perimeter
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The exterior bait stations shall be checked often and the dead rodent(s) removed.
Decomposed rodent(s) or other animals shall not be evident and could render the bait
stations ineffective. Gnawed rodenticide blocks (bait) and freshly trapped rodents
should be noted as observations but no points should be deducted in this section.
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• single/isolated instance of reoccurring/existing rodent activity (burrows, trails,
excreta, tracks, animal spoor) and/or bird nesting observed around the exterior
perimeter of the facility or trailers/containers
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• numerous instances of reoccurring/existing activity around the exterior perimeter of
the facility will be considered a major nonconformance
No points: No points will be awarded if one of the following situations is encountered:
• evidence of significant rodent activity (burrows, trails, excreta, tracks),
significant tracks or trails of other wild animals
• decomposed rodent(s) or other animals (frogs, lizards, etc.) in bait stations
1.7 All pest control devices are located in such a manner as not to contaminate
product, packing materials or equipment.
(Observation)
All points (10 points): Care is taken to locate pest control devices in such a manner that
they do not pose a threat to contaminating product, packing or raw materials. This
includes the following restrictions:
• bait stations and other pesticides shall be used outside the facility. (In countries
where bait inside a dry goods storage area is common practice, the bait station must
be secured. The bait must not be granular and must be contained and secured
inside a bait station)
• if used, insectocutors shall be regularly cleaned out (kept free from a build-up of
insects and debris which has the potential for "spilling over")
• if used, insectocutors must be at least 10 feet (3 meters) from covered/protected
product or packing material and at least 30 feet (10 meters) from exposed product,
equipment, or packing material. Insectocutors shall not be located above dock
doors. Hallways where product passes through are exempt from these distances, as
long as product does not stop or is not stored in hallway
• If used, electronic pulse units (such as Vector Fly Systems) or units that solely
capture by a glue board type paper shall not be located over dock doors and must be
at least 5 feet (1.5 meters) from protected or exposed product or packing material
• no fly swatters shall be evident in production or storage areas
• All insecticutors / electronic pulse units should be fitted with catch trays
In general, traps, glue boards and all pest control devices, including insectocutors, must
be positioned and maintained in a manner to prevent contamination.
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Minor nonconformance: (7 points): One of the following will constitute a minor
nonconformance:
• one instance of improperly positioning or maintaining an insectocutor or electronic
pulse unit in a storage or loading area (covered/protected product)
• single/isolated instance of a fly swatter found in production or storage area
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• more than one instance of improperly positioning or maintaining an insectocutor or
electronic pulse unit in a storage or loading area (covered/protected product)
• numerous instances of fly swatters found in production or storage area
No points: No points will be awarded if one of the following situations is encountered:
• one instance of bait/poison inside the facility (in U.S.), or an instance of
bait/poison inside processing area or any area with the potential for product
contamination
• a pest control device which is positioned/maintained in such a manner that
has the potential for product, food contact packaging, or food contact
equipment contamination
• any observation of contamination of product or product contact material
1.8 The number and placement of pest control devices are effective. (Interior of
facility).
(Observation)
All points (10 points): As a guide to number and placement of traps and bait stations:
• traps shall be positioned at a maximum of 25 feet (8 meter) intervals around the
interior perimeter of the building area and around interior perimeters of all walled-in
dry food and packing storage areas, including cool docks. Office areas are exempt.
If a wall is less than 25 feet (8 meters) long, it shall have at least one device.
• inside the facility, only traps (no glue boards) shall be placed within 6 feet (2 meters)
of both sides of all outside exit/entry doors (including coolers and freezers). This
includes both sides of the pedestrian doors. Effort shall be made to avoid placing
traps on curbing.
• traps should be positioned so that openings are parallel with and closest to the wall
• glue boards must be maintained and in proper positions if used as alternatives to
trap stations (elsewhere than either side of entry doors).
• if mechanical wind-up traps are used, they must be wound. Winding is checked by
triggering the spring device to operate the trap. The trap must be rewound after
testing.
• approximately 10% of all pest control units shall be checked by the auditor
• traps are encouraged in all practical areas of the plant, including production areas.
High trafficked areas and areas that are constantly wet may be excused from trap
requirements (ex: poultry cooler or other frequent wash down areas) where
maintenance and consistent performance is prohibitive. No exemptions will be
granted for trap placement by exterior doors.
• interior of traps, bottom of glue boards shall have service labels dated and initialed
after each treatment by the recorded PCO. (Electronic scan method or punch cards
are acceptable as long as PCO initials/signature are on final report, and the
cards/scan codes are inside the device requiring the PCO to open the station.)
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Local regulations may require exceptions/differences to above guidelines. At all times,
local regulations must be met.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of traps and glue boards not working properly or
inadequately maintained
• single instance of missing trap or glue board
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• isolated instances of a missing trap or glue board
• numerous combined instances of traps or glue boards not working properly or
inadequately maintained
• traps or glue board not positioned at proper intervals
• traps or glue boards found without service label or date
No points: No points will be awarded if one of the following situations is encountered:
• numerous incidences of traps or glue boards not used where GMP’s would allow
their use
• systematic failure to maintain traps and glueboards
1.9 The number and placement of traps and bait stations are effective. Bait stations
are secured and tamper resistant. (Exterior of facility)
(Observation)
All points (10 points): As a guide to number and placement of traps and bait stations:
• bait stations shall be positioned at maximum of 50 foot (15 meters) intervals
around the exterior of the building perimeter, except where there is public access.
(Public access is defined as access easily gained by the general public such as
parking lots or sidewalks, school areas or area of environmental concern.)
• bait stations shall be secured to minimize movement of the device and be tamper
resistant. Bait stations shall be secured with either a ground rod or a chain, or glued
to the wall/ground, or secured with patio blocks. Bait stations must be tamper
resistant through the use of screws, latches, locks or by other effective means
• bait in bait stations shall be secured inside the bait station by a rod (horizontal or
vertical) above the floor of the station, or the bait station is designed so bait cannot
be removed by a rodent or "float away" in a heavy rain. No loose or granular
rodenticide to be used.
• no bait stations shall be missing entire bait
• no bait shall be found outside bait station
• no old or moldy bait observed
• exterior stations should be within 20 feet (6 meters) of outside dumpster areas
• approximately 10% of the pest control units shall be checked by the auditor (auditor
does not have to check bait station/traps beyond the immediate exterior junction of
structure and ground)
• interior of traps/bait stations shall have service labels dated and initialed after each
treatment by the recorded PCO. (Electronic scan method or punch cards are
acceptable as long as PCO initials/signature are on final report, and the cards/scan
codes are inside the device requiring the PCO to open the station.)
• unlocking device for bait traps should be available at the facility
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Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of traps or bait stations not working properly or
inadequately maintained (all are present)
• single instance of missing trap or bait station
• single/isolated instance(s) of improperly securing and/or making a bait station tamper
resistant
• single/isolated instance(s) of unsecured bait inside bait stations
• single/isolated instance(s) of bait stations missing bait or having moldy bait
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• isolated instance(s) of a missing trap or bait station
• numerous combined instances of traps or bait stations not working properly or
inadequately maintained
• numerous instances of improperly securing and/or making a bait station tamper
resistant
• numerous instances of unsecured bait inside bait station
• numerous instances of bait stations missing bait or having moldy bait
• traps or bait stations not positioned at proper intervals
No points: No points will be awarded if one of the following situations is encountered:
• numerous incidences of traps or bait stations not used where GMP’s would allow
their use
• systematic failure to maintain traps or bait stations
• systematic failure to secure bait or bait stations or to make bait stations tamper
resistant
• one instance of bait found outside a bait station
• unlocking device for bait traps is not available
2.0 SANITATION
2.1 A master sanitation program is established. Cleaning procedures and
practices are designed and established so as to prevent cross
contamination.
(Program - Records)
All points (20 points): There is a documented master sanitation program to include a
cleaning schedule of the physical structure, equipment and all other areas of the facility.
Records shall be maintained. The program shall include:
• frequency of cleaning
• identify responsible position for task
• all defined methods and procedures for each task (SOP's)
• the cleaning products and concentrations used
• individual accountability and sign-off for each task completed (a position or a name;
typically the sanitation supervisor)
• cleaning procedures are designed and ordered to prevent potential contamination of
product and re-contamination of cleaned areas
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• cleaning equipment and utensils are specific to one area (raw vs. cooked) or
thoroughly cleaned and sanitized before they are moved to a different area
For CIP systems, the sanitation program and records should include:
• all automatic cleaning systems practices are monitored and maintained per the
cleaning program with cleaning chemicals and concentrations documented
• the written program includes frequency and how to monitor temperature, flow rates
or velocity in open systems, and pressure and/or cycle times in closed systems
• system should be calibrated and recorders verified, per manufacturer's requirement
• records are maintained with corrective/follow-up actions documented
NOTE: The segregation of raw and cooked cleaning equipment is not necessary if the
product produced is a non-potentially hazardous food.
Minor nonconformance (15 points): One of the following will constitute a minor
nonconformance:
• single/isolated instances of incomplete records
• one element above is missing in program
Major nonconformance (6 points): One of the following will constitute a major
nonconformance:
• numerous instances of incomplete records
• two or more elements are missing in program
• cleaning equipment and utensils are not specific to areas
• procedures and cleaning order have the potential for re-contaminating previously
cleaned areas
No points: No points will be awarded if one of the following situations is encountered:
• no records
• no written program
• order, procedures and use of equipment do not conform to good sanitation
practices
• no consideration given to the possibility of re-contaminating clean areas
2.2 A training program for the sanitation crew has been established.
(Program - Records)
All points (15 points): The supplier must have a documented training program for the
sanitation personnel which includes job skills, job safety and food safety. Records must
be kept for each individual assigned to the sanitation crew that verifies he/she has been
appropriately trained. If an outside company is utilized, supplier must maintain copies of
training records of crew members. If members are trained as a team, the team member
training must be reflected in records. The auditor shall verify that:
• training program includes a summary of how training will occur and the exit criteria
used to verify skill requirements
• training program includes job skills, job safety and food safety
• training is ongoing (at minimum annual basis)
• training records are kept current with date of training and name of employees
attending training
• training records document on-the-job training, when applicable
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• cleaning assignments are based on skill qualification
Training programs must address job basics and any specialized training. Video
recordings or computer-based training may be used as the documented training program
as long as records confirm attendees.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of incomplete training records
• one element is missing
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
• numerous instances of incomplete records
• two elements are missing
• the training records are outdated
• ongoing training frequency is more than annually but less than every 3 years
No points: No points will be awarded if one of the following situations is encountered:
• no written program
• more than two elements are missing
• systematic failure to provide training
• no training records
• ongoing training exceeds 3 years
2.3 Cleaning and sanitizing chemicals are approved for use in a food processing
facility. Material Safety Data Sheets and labels are available.
(Documentation – Records - Observation)
All points (10 points): The auditor shall verify that:
• all cleaning and sanitizing chemicals utilized in the facility must be approved for
application in a food handling facility and/or meet regulatory guidelines
• label or supporting documentation must state that the product is approved for use in
a food processing plant
• labels and Material Safety Data Sheets (MSDS) must be available for all cleaning
and sanitizing chemicals; both industrial and commercially purchased products. In
certain instances regulatory agencies (ex: the FDA and USDA in the US) provide
suppliers with "letters of approval" for chemicals used in the facility. If applicable, the
supplier must have them available and supply approval documents for all chemicals
and sanitizers used within their facility
Note:
• If supplier subscribes to a faxable MSDS sheet service, the fax must be available
within 10 minutes and there shall be appropriate signage and 24 hour access to
phones and fax machine.
• Multi-lingual MSDS may also be available through a faxable MSDS service.
Multilingual MSDS not required if translator on site.
**NOTE: This is the only instance in which faxed documents at the time of a Yum!
Brands audit are acceptable.
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Auditor shall randomly select at minimum four (4) chemicals to check and verify
documentation.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• all materials approved for application, but MSDS and/or sample labels (chemical,
hazard data sheets) are not readily available and easy to locate
• single/isolated instance of a missing MSDS and/or sample label
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• greater than three missing MSDS and/or sample labels
No points: No points will be awarded if one of the following situations is encountered:
• one instance of "approved" cleaning chemical or sanitizer being used in an
unapproved application
• unapproved chemicals being used
2.4 Cleaning equipment and chemicals are properly stored.
(Observation)
All points (10 points): Cleaning equipment and chemical storage areas shall be:
• organized
• properly cleaned prior to storage
• segregated from food and packing materials
• secured to prevent unauthorized use of cleaning equipment and/or chemicals.
Typically this would be a locked closet or "cage" located in a general storage room.
Acceptable alternatives to a lock and key would be in an area which cannot be
accessed by the general work force -- such as in a closet in the plant manager's
office
Any office cleaning chemicals which are not approved for use in food
processing/manufacturing areas shall be stored in a secured area outside of
processing/manufacturing areas and stored apart from chemicals approved for use in a
food processing/manufacturing area. (example: chemicals stored under a sink in the
office restroom area)
For CIP systems, chemicals may be in use while other production lines are operating
provided there is not the potential for product contamination, i.e. cross linkage. This
shall be verified by the auditor who will observe the routing of piping.
Cleaning chemicals/sanitizers may be in processing/production area if they are secured
and do not pose a risk of product contamination (example: sanitizer bottles on wall
racks, drums of chlorine on pallets for automatic dispensing systems or hand dip
stations).
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of equipment not properly stored (left in hallways around
production areas when not in use)
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• isolated instances where cleaning equipment does not appear to be properly cleaned
prior to storage
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• cleaning chemical storage is segregated, but not secured
• numerous instances of improperly cleaned and stored equipment
No points: No points will be awarded if the following situation is encountered:
• cleaning chemicals are stored with food and packaging materials, in the same
room or above, and run the risk of contaminating food or packaging materials
2.5 Cleaner and sanitizer concentrations and applications comply with the Sanitation
Program.
(Observation - Records)
All points (10 points): The auditor shall verify that:
• sanitizer and cleaning chemical concentrations and applications must match the
requirements of the cleaning program and the manufacturer's recommendation for
the application
• automatic systems must be routinely calibrated per the manufacturer's suggested
frequency. Records should be available to show that the system is functioning
properly
• a "no rinse" sanitizer out of an automatic mix system shall have periodic verification -
minimum quarterly
• test strips or kits may be used for verification of sanitizer and cleaning chemical
concentrations. Test strips should be capable of measuring levels above the
documented concentration. Conductivity can be used on CIP systems as a
determination of proper operation but is not a substitute for verification testing
• cleaner and sanitizer concentrations shall be recorded on a log list that is signed and
dated each time a manual mixture is made
The auditor may take steps to verify concentrations of hand sanitizers and/or sanitizing
solution(s) by having the appropriate person mix the solution or obtain a sample of
already mixed solution and test it with test strips or a test kit. If supplier does not have
test strips or testing kit for auditor's concentration verification, it will be interpreted that
there is "systematic failure to use correct concentrations," as they cannot be verified.
Auditor may choose to only review records.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• records are unclear or contain isolated omissions, but chemicals appear to be used
within established concentrations
• single/isolated instance(s) of a chemical found being used at the incorrect
concentration
• cleaner and sanitizer concentration log kept but not signed and dated each time a
mixture is made
• test strips are not capable of measuring concentrations above the documented
levels.
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Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• records contain numerous omissions
• numerous instances of chemicals found to be used at incorrect concentration levels
• record of automatic system being calibrated, but less than manufacturer's suggested
frequency
No points: No points will be awarded if one of the following situations is encountered:
• systematic failure to maintain records
• systematic failure to use correct concentration of chemicals
• sanitizer concentrations are not checked (verified) or recorded
• cleaning chemical concentrations are not recorded
• no record of automatic system being calibrated
2.6 A pre-operative inspection is documented and includes a visual inspection to
confirm equipment is cleaned and sanitized (including tear down if
necessary) prior to start up - daily or as appropriate. Effective cleaning
practices are evident.
(Observation - Records)
All points (15 points): The auditor shall verify that:
• cleaning effectiveness and overall facility sanitation is monitored through
documented inspections
• pre-operative inspection records and visual impression of the auditor indicate the
program is effective
• records indicate follow-up is assigned and corrective action takes place (this could
include regulatory / government inspections)
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
• single/isolated omission(s) in inspection records
• single/isolated instance of follow-up action not documented
• observation of a single/isolated minor cleaning issue (non food contact area)
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
• numerous incomplete inspection records
• numerous instances of follow up action not documented
• observation of numerous minor cleaning issues (non food contact area)
No points: No points will be awarded if one of the following situations is encountered:
• systematic failure to maintain records
• no pre-operative inspection conducted
• no follow up action is conducted
• the auditor observes build-up on a food contact surface due to inadequate
cleaning practices
2.7 Testing of food contact surfaces is utilized to monitor the effectiveness of cleaning
and/or sanitation procedures.
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(Program - Records)
All points (10 points): Microbiological or bio-luminance testing is used to monitor the
after down-time cleaning /sanitation effectiveness. Testing shall be used in both wet and
dry operations and should be appropriate to environment being tested. For dry plants,
such as flour mills, testing would only be required after down time and/or cleaning and
prior to restarting.
Written programs include and records show:
• a plan to systematically test all food contact areas
• frequency of testing
• criteria for acceptable tests
• follow-up actions and plans for re-testing if standards are exceeded (may be based
on the Yum! Brands Quality Assurance Program or plant guidelines)
• records of findings are kept and follow up actions are documented. Additional testing
conducted to verify resolution
• bio-luminance is acceptable as long as the method is applicable to the use
Commercially sterilized products, such as canned vegetables, pure oil or shortening
(with NO added ingredients such as seasonings) are exempt from this requirement.
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• single/isolated instance of frequency or a follow-up test missed
• written program missing one element
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• numerous instances of incomplete records
• numerous instances of frequency or a follow-up tests missed
• written program missing two elements
No points: No points will be awarded if one of the following situations is encountered:
• no microbiological monitoring program
• systematic failure to maintain records
• written program missing more than two elements
2.8 Equipment design and condition allow for proper cleaning.
(Observation)
All points (10 points): The auditor shall verify that:
• processing and packing equipment is well maintained and designed to allow
thorough cleaning without dead spots and other areas which could conceal food and
debris
• food contact surfaces, food handling utensils and cleaning utensils must be in good
condition and made of materials which are easily cleaned (not of porous material,
such as wood)
Note: Flour mill processing equipment (example: spouts, purifiers, roll-stand cabinets,
and sifter components including boxes and sieves) is exempt from the no wood
requirement as long as the wood used is in good condition without evidence of cracks or
splinters.
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Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• cleaning is generally effective, but single/isolated areas pose a problem without
modifications being made
• single/isolated instance(s) of a broken (hard to clean) or wooden handled utensil
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• cleaning is generally effective, but numerous areas pose a problem without
modifications being made
• numerous instances of broken (hard to clean) or wooden handled cleaning or food
utensils
No Points: No points will be awarded if one of the following situations is encountered:
• condition of equipment will not allow for proper cleaning under normal operating
conditions
• more than five areas pose a problem without modifications
3.0 OPERATIONS AND FACILITY:
3.1 A maintenance-related food safety program is established. Records are
maintained
(Program – Records - Observation)
All points (10 points): The supplier must have a written maintenance-related food safety
program that defines the following elements and maintains records:
• a procedure for ensuring that proper cleaning and sanitation procedures occur before
equipment is placed back into service following maintenance
• a procedure for the notification of production and sanitation personnel when
maintenance work is complete (records of notification of sanitation personnel may be
contained in sanitation reports)
• a procedure for reconciling parts and tools after maintenance is performed. All parts
and tools must be accounted for by checking a list or initial/signature on records
indicating all parts and tools are reconciled. (Any missing tools, parts or pieces of
equipment shall be documented and immediately brought to the attention of
management.)
• records show that parts and tools are reconciled, and food contact zones have been
cleaned and sanitized before release to production
• No loose or unaccounted for parts or tools are found in the processing areas from
observations
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• single/isolated instance(s) of incomplete records
• single incidence of loose or unaccounted for parts or tools in the processing area.
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• program only targets certain pieces of equipment
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• program only addresses start-ups
• numerous instances of incomplete records
• one of the above requirements is missing
• tools and parts reconciliation not included
• isolated incidences of loose or unaccounted for parts or tools in the processing area.
• isolated instances where no evidence could be provided that cleaning did take place
after maintenance on food contact surfaces.
No points: No points will be awarded if one of the following situations is encountered:
• systematic failure of the program, indicated by systematic missing or
incomplete records
• numerous observations of loose or unaccounted for parts or tools in the
processing area.
• numerous instances where no evidence could be provided that cleaning did
take place after maintenance on food contact surfaces.
• no program
3.2 Procedures for monthly facility inspections (including production areas, nonproduction
areas and surrounding grounds) are established. Records are
maintained.
(Program - Records)
All points (5 points): Procedures for periodic inspections have been established.
Procedures shall include:
• inspection frequency, including review (at minimum, conducted monthly)
• who is responsible for conducting inspections (may be individual or group)
• check list of areas inspected (must include production areas, non-production areas,
and surrounding grounds)
• documentation of findings with follow-up corrective actions
Grounds include to property line or 100 feet (30.5m) from the plant, which ever is less
and all dumpster (waste disposal) areas.
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• one of the above elements missing
• single/isolated instance(s) of follow up actions not documented for issues noted
• single/isolated instance(s) of incomplete or missing records
Major nonconformance (1 points): One of the following will constitute a major
nonconformance:
• two or more above elements are missing
• numerous instances of follow up actions not in place for issues noted
• numerous instances of incomplete or missing records
• frequency of inspection is more than monthly but less than quarterly
No points: No points will be awarded if one of the following situations is encountered:
• no procedures for inspection
• systematic failure to maintain records
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• inspection is less frequent than quarterly
3.3 Housekeeping is acceptable for INTERIOR of the facility. Mold and frost
removal practices are acceptable for coolers, refrigerated production areas
and freezers.
(Observation)
All Points (10 points): Interior housekeeping is clean with no obvious cleanliness
issues. Physical inspection of the facility shows all areas to be properly maintained to
prevent possible product contamination and to protect product integrity.
• trash receptacles are emptied frequently to prevent overflow
• there are an adequate number of trash receptacles and they are in good
condition/repair with no offensive odor evident
• trash and product spills are promptly cleaned up (no aged spills).
• no aged ice build-up evident in freezer / frost build up shall be kept to a minimum
• no mold/mildew shall be evident in cooler
• walls and ceilings in storage areas are clean (practices to maintain acceptable levels
shall be evaluated for effectiveness)
• idle equipment stored in a clean condition and manner so as to not encourage
rodent/pest activity or harborage
• floors, walls, drains, and ceilings are clean
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of minor housekeeping issues which do not pose a risk to
ingredient/product/packing
• single/isolated instance(s) of improperly maintained trash receptacles or
trash/product build up, inadequate number or odor evident
• single/isolated instance(s) of aged ice build-up evident in freezer or mold/mildew in
coolers
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• numerous instances of housekeeping issues
• a single condition which may pose the potential risk of ingredient/product/packing
contamination is observed
• numerous instances of improperly maintained or inadequate number of trash
receptacles or trash/product build up
• numerous instances of aged ice build-up evident in freezer or mold/mildew buildup in
coolers or refrigerated areas
No points: No points will be awarded if one of the following situations is encountered:
• multiple potential product contamination threats
• any instance of contamination of a product contact surface area
• any observation of direct contamination of product, ingredients or packaging
material
3.4 Housekeeping is acceptable for EXTERIOR grounds of facility.
(Observation)
All Points (5 points): Grounds are:
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• clean and litter free
• no weeds, tall grass, or idle equipment stored within the immediate vicinity (20 feet /
6 meters) of the building.
• no standing water (consider recent rains) / any drainage issues or issues with down
spouts are addressed here
• all trash dumpsters to have and use lids and remain covered with no odor or trash
build up around the dumpsters
• outside the 20 foot (6 m) area, idle equipment and pipes must be stored in a clean
condition so as to not cause rodent harborage or encourage pest activity (stored at
least 6 inches (15 cm) off the ground and pipes must have ends sealed)
Auditor shall look no further than 100 feet (30 meters) from structure. There shall be no
other business conducted within this 100 foot perimeter (30 meters) of building that may
risk the contamination of food products or packing.
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of inadequately maintained grounds that do not pose a
risk of pest attraction or harborage
• single/isolated instance(s) of trash/dumpster build up, odor evident or uncovered
• single/isolated instance(s) of standing water (not including recent rains)
Major nonconformance (1 point): One of the following will constitute a major
nonconformance:
• numerous instances of inadequately maintained grounds that do not pose a risk of
pest attraction or harborage
• single/isolated instance(s) of inadequately maintained grounds that may pose a risk
of pest attraction or harborage
• numerous instances of trash/dumpster build up, odor evident or uncovered
• numerous instances of standing water (not including recent rains)
No points: No points will be awarded if one of the following situations is encountered:
• systematic failure to properly maintain grounds, remove litter and weeds
• systematic failure to remove trash/dumpster build up
• excessive areas of standing water
• storage of equipment in a manner which encourages pest activity or provides rodent
harborage
• a business that poses a potential or actual risk of contamination to food product or
packing is located within 100 feet (30 meters) of the plant.
3.5 Facility repairs are complete for equipment, physical structure, walls, floors
and ceilings with no temporary repair materials used. Doors and openings
are pest resistant.
(Observation)
All points (5 points): Physical inspection of the facility shows:
• general maintenance and appearance are properly maintained
• exterior walls are of sound construction, with no cracks or openings
• interior ceiling, walls and floors including coolers and freezers are in good repair with
no leaks or cracks
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• all repairs and equipment modifications are professionally completed without the use
of string, tape, wire or other improvised materials
• at times temporary repairs may be necessary to complete the shift's production run
and shall not pose a risk to food safety. Repairs of this nature are acceptable as
long as the repairs are labeled with date and time.
• Exterior doors are sealed against pest entry and kept closed (includes inspection of
screens, weather stripping, loading dock doors, dock levelers, etc.)
Note: Duct tape may be used on ducts.
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• inspection shows single/isolated improvised repair used longer than one shift that
does not pose a threat to product or packing contamination
• single/isolated instance(s) of improperly maintained walls, floor, ceiling, or doors
Major nonconformance (1 point): One of the following will constitute a major
nonconformance:
• inspection shows numerous improvised repairs used longer than one shift which do
not pose a threat to product or packing contamination
• inspection shows improvised repair in food production areas which may pose a risk
of product or packing contamination
• numerous instances of improperly maintained walls, floors, ceilings, or doors
No points: No points will be awarded if one of the following situations is encountered:
• numerous areas of potential contamination
• any instance of contamination of a product contact surface
• any observation of direct contamination of product, ingredients or packing
materials
3.6 A minimum 18" (45 cm) inspection perimeter is maintained throughout the storage
areas.
(Observation - Records)
All points (5 points): An inspection perimeter is maintained to allow for the proper
inspection of storage areas and to deter harborage of pests.
Note: This area shall be measured from the wall at the floor - if an interior column exists
which imposes on the 18 inch (46 cm) distance, there must be access around column for
maintenance and pest control management. If an inspection perimeter is physically
impossible, it is permissible that the bottom rack be 18 inches (46 cm) off the floor, which
is typically the situation found in freezers with racking systems. Inspection perimeters
are not required in product staging areas.
If the room is too small to effectively maintain an 18 inch (46 cm) perimeter or if the
bottom rack is not 18 inches (46 cm) off the floor, the area must be cleaned and
inspected at a minimum of monthly and documentation of these activities must be
available for each specific area.
Minor nonconformance (3 points): The following will constitute a minor
nonconformance:
• isolated instances of the inspection perimeter not being maintained
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• single/isolated instance of missing cleaning records for areas too small to maintain
perimeters
Major nonconformance (1 point): The following will constitute a major nonconformance:
• numerous instances of the inspection perimeter not being maintained
• numerous instances of missing cleaning records for areas too small to maintain
perimeters
No points: No points will be awarded if the following situation is encountered:
• the facility does not maintain inspection perimeters
• no documentation of cleaning activities if area is too small to maintain perimeters
3.7 Walkways, permanent ladders and conveyors are shielded to protect product
and packing materials from possible contamination.
(Observation)
All points (10 points): All walkways, permanent ladders and conveyors have shielding
to prevent overflow and product contamination.
• walkways and ladders over product conveying belts or open bins of ingredients are
shielded with a least 3” (7 cm) kick plates (the intent is to prevent dirt or foreign
objects from falling onto food or food contact surfaces or into food packing materials)
• electric motors which are located directly over exposed product are shielded
• hand held hoists or other mechanical lifting devices shall have appropriate product
protection as the situation warrants (no observed food safety/contamination visible)
• HVAC (High Velocity Air Conditioning Units) or other types of refrigeration units have
catch pans for condensate control
• No condensate observed dripping on food or food contact areas
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• single/isolated instance of unshielded ladders, walkways or conveyors
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• numerous instances of unshielded ladders, walkways or conveyors
No points: No points will be awarded if one of the following situations is encountered:
• any noted contamination of food contact surface
• any observation of direct contamination of product, ingredients or packing
material
3.8 A glass and brittle or hard plastics policy shall be written and implemented.
Lights and other breakable materials are shielded to prevent potential
contamination.
(Procedure – Observation- Records)
All points (10 points): All lights and glass are shielded to prevent product or packing
contamination in the event a bulb or glass pane breaks.
This policy shall include:
• that no glass or brittle plastics are to be used in the facility, except where absolutely
necessary.
• that no glass should be brought into the facility in employees’ personal effects
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• reporting of eyeglass breakage and lost contacts lenses
• the control of glass that is located on site (example: laboratory glassware,
breakrooms, maintenance, etc.)
• glass control, guidelines for broken glass incidents
• glass disposal instructions
• brittle or hard plastic disposal instructions
• disposition and disposal of potentially contaminated product
The procedure shall include:
• a list of all essential glass and brittle plastics and the items on the list checked on a
regular basis to ensure that any accidental breakage is noted
• handling of any glass that is broken in the facility.
• any brittle or hard plastic that is broken in a location where it could jeopardize the
product.
• all lights and glass in areas of production, warehousing and storage (example:
emergency lights, insectocutors, clock faces, forklift truck, loading lights, etc.)
• computer or video monitors shall be covered with a plastic film to prevent shattering
during breakage (touch screens are exempt)
• office glass that is not tempered. Tempered glass does not require a film.
• If glass is used to package non-Yum! Brands products, this production must be on a
different line, segregated from Yum! Brands products, and specifically addressed in
the glass policy
The only exception to this glass policy is a fire extinguisher.
Examples of brittle plastics are acrylic, Lucite, Optix, Plexiglas, and Polycast.
Brittleplastics can shatter in a manner similar to glass. Examples of soft plastics include
polycarbonates, Lexan, Tuffac, and Unicar. The soft plastics crack but do not shatter.
Note: If overhead lights in warehouse are not shielded, check the inventory of bulbs to
make sure they are Teflon safety coated or have a plastic sheath and are acknowledged
as shatterproof.
Minor nonconformance: (7 points): The following will constitute a minor
nonconformance:
• single/isolated instance of unshielded glass corrected during audit that would not
pose a food safety risk
• single/isolated instance of undocumented glass or hard plastic omitted from the
essential glass and brittle plastics list
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• no glass policy in place to manage glassware on-site, or policy does not include all
elements
• inspection shows single/isolated unshielded/breakable material which may pose a
food safety risk to finished product, raw ingredients or packing materials and is
corrected during the audit
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• inspection shows single/isolated unshielded/breakable material which would not
pose a risk to finished product, raw ingredients or packing materials and is not
corrected during the audit
• numerous instances of undocumented glass or hard plastic omitted from the
essential glass and brittle plastics
• no list of glass and brittle plastics
• no records of glass and hard plastics inspections
No points: No points will be awarded if one of the following situations is
encountered.
• systematic failure to shield or make all glass shatterproof
• any observation of direct contamination of product, ingredients or packing
material or any instance of contamination of a product contact surface
• inspection shows single/isolated unshielded/breakable material which would
pose a risk to finished product, raw ingredients or packing materials and is not
corrected during the audit
3.9 Break areas, locker rooms, restrooms and wash stations are maintained in a clean
and orderly manner.
(Observation)
All points (5 points): Break areas, locker rooms, restrooms and wash stations (if
applicable) shall be kept free of loose trash/rubbish, mold and spillage residue. For full
points:
• drains must function properly (no standing water)
• rest room supplies must be adequate and accessible (toilet paper, warm water,
paper towels/air dryers and anti-microbial/bacterial soap)
• rest room fixtures are in good operating condition and clean
• no offensive odor shall be evident
• trashcans must be in all break areas and rest rooms, and women's rest rooms shall
have covered sanitary receptacles in stalls
("Usage" of hand wash facilities is addressed in Element 4.7. Hand wash "signage"
addressed in 4.8)
Minor nonconformance (3 points): The following will constitute a minor
nonconformance:
• single/isolated instance(s) of nonconformance to above requirements
Major nonconformance (1 point): The following will constitute a major nonconformance:
• numerous instances of nonconformance to above requirements
No points: No points will be awarded if the following situations is encountered:
• systematic failure to properly maintain areas
3.10 Air ventilation through the facility is adequate with no odors or airborne
contaminants which could carry over to product.
(Observation)
All points (5 points): The auditor will verify compliance to the following:
• no condition exists which could deposit airborne contaminants into product,
ingredients or packing materials
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• no condition exists that could allow a carry over of odors to the product or packing
(example: ammonia leaks in freezers, etc.).
• auditor observes adequate ventilation in all production areas.
Minor nonconformance (3points): The following will constitute a minor nonconformance:
• single instance of dust, airborne particulate or offensive odor noted in non-production
areas which poses no threat to product or packing materials (auditor determines odor
is not strong enough to permeate food and/or packing materials)
Major nonconformance (1 point): The following will constitute a major nonconformance:
• isolated instances of dust, airborne particulate or offensive odor noted in nonproduction
areas which poses no threat to product or packing materials (auditor
determines odor is not strong enough to permeate food and/or packing materials)
No points: No points will be awarded if one of the following situations is encountered:
• multiple potential product contamination threats
• any observation of direct contamination of product, product contact surface,
ingredients or packing material
3.11 Forklifts and batteries are well maintained and properly stored.
(Observation)
All points (5 points): Forklifts and batteries are well maintained and batteries are
properly stored. The auditor will verify compliance to the following:
• no leaking batteries or other fluids are found
• no gasoline(petrol) or diesel powered forklifts shall be used inside the facility
• storage and charging area is clean and away from immediate item
storage/processing areas
• access must be available behind battery storage areas where pest control devices
may be in place (or under batteries if battery storage is wall mounted)
• batteries shall be stored a minimum of 6 feet (2 m) away from any stored food or
packing materials. In areas where product/packing passes through or is transported
but does not stop, the 6 foot (2m) minimum is not applicable. Office records may be
stored near batteries
• battery storage shall be clean underneath (any liquid or unknown spill from a forklift
shall be addressed here)
• forklifts and pallet jacks shall be reasonably clean and free of aged spills
Note: This audit point may be scored N/A if no forklifts or pallet jacks are used.
Minor nonconformance (3 points): The following will constitute a minor
nonconformance:
• single/isolated instance of not meeting the above criteria
Major nonconformance (1 point): One of the following will constitute a major
nonconformance:
• numerous instances of not meeting the above criteria
• leaking batteries found in fork lifts in production area(s) but forklifts are not conveying
product or ingredients/packing materials)
No points: No points will be awarded if one of the following situations is encountered:
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• forklifts conveying product are leaking any fluids
• batteries are found stored above or below food
• leaking batteries are used in forklifts which are conveying product or packing
• significant evidence of leaking batteries
• a single gasoline(petrol) or diesel powered forklift is used inside the facility
3.12 Only food grade approved lubricants are used in food contact areas.
(Observation - Documentation - Records)
All points (5 points): The auditor will verify compliance to the following:
• only food grade lubricants are used in all product/packing contact areas
• only food grade lubricants are stored in production/storage area(s)
• food grade verbiage should be visible on the label of lubricants and grease guns
(color coding acceptable with signage to support)
• food grade lubricants shall be stored apart from non-food grade items so as to
eliminate any user confusion between the two
Minor nonconformance (3 points): One of the following constitutes a minor
nonconformance:
• auditor observes non-food grade lubricants stored with food grade materials
• records indicate non-food grade lubricants have been used in some areas which do
not pose an immediate risk of contaminating finished product, raw ingredients, or
packing materials
Major nonconformance (1 point): One of the following constitutes a major
nonconformance:
• auditor observes unapproved materials found in food processing area
• grease guns are not labeled/color coded for food and non-food grade grease
No points: No points will be awarded if one of the following situations is encountered:
• records indicate non-food grade lubricants have been used in some areas
which pose a risk of contaminating finished product, raw ingredients or
packing materials
• any instance of contamination of a product contact surface
• any observation of direct contamination of product, ingredients or packing
3.13 All containers are properly labeled.
(Observation - Documentation)
All points (10 points): The auditor will verify compliance to the following:
• all containers, including trash receptacles and spray bottles are properly labeled and
the labels are legible
• Color-coding is an acceptable method of identification if there is evidence of training
and understanding by the staff. Signage shall be posted in production area as well
as other appropriate areas of the facility indicating the code usage
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• single/isolated instance(s) of improperly or unlabeled containers in non-production
areas
• color coding signage posted but not in production area (if color coding used)
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Major nonconformance (3 points): The following will constitute a major
nonconformance:
• numerous instance(s) of improperly or unlabeled containers in non-production areas
No points: No points will be awarded if one of the following situations is encountered:
• any instance of improperly labeled or unlabeled containers in production areas
• systematic failure to properly label containers in non-production areas
• no color coding signage in facility (if color coding used)
• no evidence of training on color coding (if color coding used)
3.14 All areas are free from potentially hazardous materials that may contaminate
food product or packing material.
(Observation)
All points (10 points): The auditor will verify compliance to the following:
• hazardous materials are securely stored to prevent unauthorized use. Typically this
would be a locked closet or cage located in a storage room
• hazardous materials shall be stored away from all food and packing materials and
production areas
• inkjet ink and cleaners may be stored in packing area as long as contained in a
closed, labeled container
A hazardous material is "any material that due to its chemical, physical or biological
nature causes safety, public health, or environmental concerns".
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• auditor observes single/isolated hazardous or unapproved materials stored with food
ingredients or packing material, but no unapproved materials found in food
processing areas. There is no risk of product or packing material contamination
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• auditor observes numerous hazardous or unapproved materials stored with food
ingredients or packing material, but no unapproved materials found in food
processing areas. There is no risk of product or packing material contamination
No points: No points will be awarded if one of the following situations is encountered:
• auditor observes hazardous, unknown, unlabeled or potentially hazardous or
unapproved materials that potentially could adulterate food or packing
materials
• any observation of direct contamination of product, ingredients or packing
material or any instance of contamination of a product contact surface.
4.0 GOOD MANUFACTURING PRACTICES
4.1 GMP Program is established. Signs supporting GMP’s are posted appropriately.
(Program - Documentation)
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All points (10 points): A GMP policy is established. The GMP program is written to
include:
• an effective GMP program for all employees, visitors and contractors is available -
appropriate dress and personal hygiene
• GMP’s must be posted for all employees, contractors and visitors as appropriate
• Employees are trained on GMP’s on an ongoing basis (at least annually)
• an established and effective self-audit program (self audit records reviewed under
4.2)
All areas found in questions 4.3, 4.4, 4.5, 4.6, 4.7, 4.8 and 4.9 shall be covered. GMP’s
shall be based on the local code of regulations. (Code of Federal Regulations [21 CFR,
part 110] in the US).
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• Good Manufacturing Procedures have been developed, but guidelines are not
posted
• No signage supporting GMP’s, but policy is posted
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• program does not address all GMP’s or does not have a visitor/contractor worker
section
• no self audit program established
• ongoing training occurs but has been 12 to 18 months
No points: No points will be awarded if the following situations is encountered:
• procedures for GMP’s are not defined
• no training for GMP’s
4.2 Self-audits on GMP points are conducted monthly, at a minimum, and include
corrective action.
(Records)
All points (10 points): Self-audits on GMP points must be conducted every month.
Results of the audits and the corrective action taken must be recorded.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
• self-audits are conducted, but there are single/isolated omission(s) in the records
• self audits are conducted less frequently than monthly but at least quarterly
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• numerous omissions in record keeping
• self audits are conducted less frequently than quarterly, but at least once annually
• GMP self-audits do not address follow up/corrective actions
No points: No points will be awarded if one of the following situations is encountered:
• self-audits are not conducted or less frequently than once each year
• records do not exist
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4.3 Employees are complying with GMP’s.
(Observation)
All points (20 points): Employees compliance to GMP policy must be assessed.
Visitors, contractors and maintenance staff are also required to comply. The local Code
of Federal Regulations shall be used as a basis for requirements. Some of the more
common compliance criteria are:
• use of hair restraints made of a fine gauge mesh or solid material that covers all hair
(furnished by employer and to remain on-site)
• use of beard restraints
- uncovered mustaches are allowed in production areas, but are limited to:
i) trimmed to edge of mouth
ii) trimmed close to face
• all food-handling employees shall wear clothing to cover any body hair that poses a
contamination risk to product or raw materials
• no gum chewing, eating or use of tobacco products in any area other than a
designated area
• no exposed jewelry or watches worn in the facility (plain wedding bands and medical
alerts are acceptable)
• no false eyelashes, false nails, strong perfumes, body glitter or jewels, or exposed
nail polish worn in the facility
• outer pockets, above the waist, are sewn shut and/or empty
• no baseball-style caps shall be worn.
• ear plugs should be tethered (preferred method) or brightly colored
The above applies to production, storage and shipping dock areas where ingredients,
packing, and finished product is being handled.
NOTE: Company-provided uniforms and cloth caps are addressed in outer garment
policy question 4.4
Minor nonconformance (15 points): One of the following constitutes a minor
nonconformance:
• single/isolated instance(s) of employees who are not complying with GMP’s
• single/isolated instance(s) of visitors or contractors not complying with GMP’s
• single/isolated instance(s) of eating, drinking per evidence in interior refuse
containers
Major nonconformance (6 points): One of the following constitutes a major
nonconformance:
• numerous instances of employees failing to comply with GMP’s
• numerous instances of visitors or contractors not complying with GMP’s
• numerous instances of eating or drinking per evidence in interior refuse containers
No Points: No points will be awarded if the following is encountered:
• systematic failure to comply to GMP’s
4.4 An outer garment policy is established.
(Observation - Program)
Confidential Document – Yum! Brands Global Restaurants, Inc.
All points (10 points): Supplier has established an outer garment program for persons
working in direct contact with food, food contact surfaces or food packing materials.
Employees must wear a clean outer garment that remains within the work area (does not
go to and from work). The program shall include:
• that employees wear clean outer garments to cover street clothes when they come in
contact with exposed food, food contact surfaces, food equipment or packing
materials
• employees shall wear protective coverings where bare skin (example: arm sleeve
coverings) may come in contact with exposed food or food contact surfaces
• the removal of the protective garment when employee leaves the workstation: i.e.
goes to the rest room, on break or outside the building, and the subsequent re-robing
when reentering work area
• individuals must not be permitted to move freely from one type of process area to
another without a garment change where the possibility of cross contamination exists
with a potentially hazardous material (e.g. from a raw to a cooked area)
• outer garments, including any cloth head coverings used for warmth, must be clean
at the start of each shift
Minor nonconformance (7 points): The following constitutes a minor nonconformance:
• isolated instances of non-compliance to the above
Major nonconformance (3 points): The following constitutes a major nonconformance:
• numerous instances of non-compliance to the above
No points: No points will be awarded if the following is encountered:
• systematic non-compliance to a garment policy
4.5 Personal items are stored away from processing areas.
(Observation)
All points (10 points): The auditor will verify compliance to the following:
• all production and ingredient, packing and food storage areas must be free of
personal items; example: fans, radios, caps, coats, etc.
• items supplied or approved by supplier and remain in the facility are not defined as
personal items (example: radios on desks)
• employees must be provided with personal storage areas or lockers
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• single instance of non-compliance to the above requirements that does not pose a
threat of contaminating product or packing material.
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• single instance of non-compliance to the above requirements in an area where food
or ingredients are being processed or where food and other raw materials is being
packed or stored
• multiple instances that do not pose a threat of contaminating product or packing
materials
No points: No points will be awarded if one of the following situations is encountered:
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• more than one instance of non-compliance in an area where food and raw materials
or ingredients are being processed or where food is being packed or stored
• employees are not provided with an area to store personal affects or personal items
4.6 Medical problems are not a source of contamination.
(Observation)
All points (10 points): Any person who appears to have an illness, an open lesion, or
wound or any other abnormal source of microbial contamination shall be excluded from
any operation which may result in contamination until the condition is corrected. All
bandages must be covered with a non-porous covering such as latex or plastic gloves.
The intent of this audit question is to address obvious contamination caused by medical
issues. It is in no way attempting to ascertain the medical condition of the facility's
employees.
Minor nonconformance: (There is no minor nonconformance category for this audit
point.)
Major nonconformance: (There is no major nonconformance to this audit point).
No points: No points will be awarded if one of the following situations is encountered:
• one or more individuals observed with a medical condition which likely poses
the risk of product contamination
• any observation of direct contamination of product, ingredients or packing
material or any instance of contamination of a product contact surface will be
an automatic failure.
4.7 Hand washing facilities are adequate and are used.
(Observation)
All points (10 points): Hand washing facilities shall:
• be made available in the restrooms
• be made available in the area of production (in addition to restroom hand washing)
prior to returning from the restroom to the production area
• be available when moving from a raw to cooked area when dealing with potentially
hazardous product
• have hands free operation (knee, foot pedals or automated rather than handles)
• have suitable drying devices
• be stocked with warm water and soap. The use of bacteriostatic soap is strongly
recommended. Warm water is defined as water that reaches 85°F (29°C) within 30
seconds (or as defined by the local food code).
• If hand dip stations are used, they must be cleaned and changed often enough to
keep the sanitizer concentration in the acceptable range (note: concentrations are
checked in section 2.5)
Cloth towels of any sort are not acceptable to Yum! Brands. Paper towel dispensers
should not require hands to touch dispenser to expose towel for retrieval. Hand sinks
need not be within the production area if they are nearby and have appropriate signage
posted.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance:
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• one instance(s) of one hand wash station that does not meet the above requirements
• one hand dip station is not maintained
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• two or more instances of hand wash stations not meeting all of the above standards
-- no soap, drying facility or use of cloth towels
• two or more hand dip stations not maintained
• there are isolated instances of employees not using the hand wash or hand dip
stations
• there are no hand washing stations in or near production areas other than restroom
hand washing stations
No points: No points will be awarded if the following is encountered:
• stocked hand wash stations are not readily available
• stocked hand wash stations are not used
4.8 Signs supporting hand washing are posted appropriately.
(Observation)
All points (5 points): The auditor will verify compliance to the following:
• hand wash signs must be posted in all applicable languages or as pictorials
• "Wash Hands" sign(s) must be posted and observed in all rest rooms (office and
production areas), break rooms and locker rooms
• signs shall be located in the processing areas which direct employees to wash their
hands before work, after each break and when their hands become soiled or
contaminated
Minor nonconformance (3 points): The following will constitute a minor
nonconformance:
• single/isolated instance(s) of signage nonconformance
Major nonconformance (1 point): The following will constitute a major nonconformance:
• numerous instances of signage nonconformance
No points: No points will be awarded if one of the following situations is encountered:
• no signage posted
• systematic signage nonconformance
• signage not posted in restrooms
4.9 Work areas are orderly with tools and processing supplies properly stored.
(Observation)
All points (10 points): Work areas (including maintenance shops/areas) must be kept
orderly. This includes:
• cleaning and storing equipment between uses
• keeping areas free of clutter to enable workers to perform their function
• storing tools properly when not in use
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
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• single/isolated instance of clutter in a work area where there is not the potential for
food or packing contamination
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• numerous areas of clutter which potentially will not contaminate food or packing, but
hinders worker performance.
No points: No points will be awarded if the following situations is encountered:
• food contact surfaces are exposed to spare parts or contamination due to improperly
stored supplies or cluttered work areas
4.10 Facility and personnel adhere to good laboratory practices which are understood
by all personnel responsible for laboratory testing. All media, reagents and
chemicals are received, prepared and stored under appropriate conditions.
(Observation / Records)
All points (5 points): The auditor shall verify compliance to the following:
• laboratory has sufficient work and storage space and overall facilities to handle the
work load
• the laboratory is well-organized, clean and free of clutter
• No food, beverages or personal items are stored in the laboratory
• no eating, drinking or smoking allowed
• micro designated lab coats and/or other protective clothing are restricted for use only
in the laboratory
• the facility is designed so there is a separation that will prevent laboratory practices
from having a detrimental effect on manufacturing
• testing equipment is clean and well-maintained
• media, prepared media, reagents and chemicals are used within their shelf life
• media, prepared media, reagents and chemicals are dated when opened or prepared
• the laboratory maintains and documents appropriate storage and testing
temperatures as necessary
• portioned containers, such as pH buffer or media filled test tubes, shall have each
portion identified and labeled appropriately with use by dates.
• all media, prepared media, reagents and chemical containers to be labeled, including
distilled water.
If the facility does not have on-site laboratory testing and they do not pull any samples,
the auditor shall designate this element as an n/a. If samples are pulled, media and
handling techniques shall be evident.
If the facility doesn't have an on-site laboratory, the auditor shall select N/A for this audit
point.
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• limited workspace which inhibits employees' ability to properly perform their jobs
• a single/isolated observation of clutter
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• a single/isolated observation of unclean equipment, tables, floors, cabinets or wash
areas is observed
• one instance of non-compliance with the above requirements.
Major nonconformance (1 point): One of the following will constitute a major
nonconformance:
• numerous observations of clutter
• numerous observations of unclean equipment, tables, floors, cabinets or wash areas
is observed
• Micro laboratory coats are worn outside the lab
• facility does not provide workers with lab coats or other protective outer clothing
• inappropriate storage of products that are to be tested - e.g. frozen products being
stored in a refrigerator awaiting testing
• lab is not well maintained
• testing equipment is in disrepair
• two instances of non-compliance with the above requirements.
No points: No points will be awarded if any of the following in encountered:
• eating, drinking or smoking is observed in the laboratory (or there is evidence of)
• storage of food or beverage items in the laboratory is observed
• there is no separation between the laboratory and production areas
• more than two instances of non-compliance with the above requirements.
5.0 PRODUCT PROTECTION
Failure to have a documented HACCP program is an automatic failure and will
result in the loss of points for 5.1, 5.2, 5.3 and 5.4.
5.1 A documented HACCP program, including training is established.
(Program - Records)
All points (10 points): There must be a documented HACCP program for each of Yum!
Brands Restaurants' product lines. This plan must include the following:
• hazard analysis and risk assessment of all Yum! Brands product processes are on
file for review
• identification of CCP’s and placement on a flow chart of the process
• established control limits for each CCP
• established monitoring procedures for each CCP
• defined corrective action for each CCP noncompliance
• established verification procedures and updating as necessary
• established record-keeping and documentation procedures for each CCP
• training established for employees (ongoing at minimum annually)
Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• HACCP program lacks one of the above requirements
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Major nonconformance (3 points): The following will constitute a major
nonconformance:
• HACCP program lacks two of the above requirements
No points: No points will be awarded if one of the following situations is encountered:
• no HACCP program for one or more of Yum! Brands' product lines
• HACCP program lacks three or more of the above requirements
5.2 An annual program is established to review internal existing HACCP plans.
Records on corrective actions available for review.
(Program - Records - Documentation)
All points (5 points): The self-audit program to review existing HACCP plans shall
include:
• who is responsible for conducting the internal HACCP review
• review of all HACCP plans annually and whenever any changes are made to a
process to ensure alignment of the HACCP program with the process
• a revision history shall be maintained
Corrective actions for issues found during self audits are on record and available for
auditor review. Changes to HACCP programs that impact Yum! Brands products and/or
is in conflict with existing specifications shall be sent to Yum! Brands, if requested by
Yum! Brands QA.
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• responsibility for updating the program or auditing is not defined, but self audits are
conducted annually
• single/isolated instance(s) of incomplete records
Major nonconformance (1 points): One of the following will constitute a major
nonconformance:
• frequency of auditing and updating is not followed
• numerous instances of incomplete records
• one CCP outdated
No points: No points will be awarded if one of the following situations is encountered:
• more than one CCP outdated
• no program
• no defined corrective action
• systematic failure to maintain records
• self audits not conducted
5.3 CCP’s are monitored according to documented procedures with
appropriate action taken and recorded.
(Records)
All points (10 points): The auditor shall verify compliance to the following:
• CCP’s shall be monitored with the frequencies indicated in the HACCP program
• appropriate corrective action must be documented
• records shall be available to Yum! Brands certified auditor for review
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Minor nonconformance (7 points): The following will constitute a minor
nonconformance:
• single instance of incomplete records on conforming parameters
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• isolated instances of incomplete records on conforming parameters
No points: No points will be awarded if one of the following situations is encountered:
• lack of specific corrective action for follow-up
• lack of verification that the follow-up has addressed the issue
• frequency does not match frequency specified in program
• there are numerous incomplete records
• no formal action taken when a nonconforming parameter was identified
• no formal monitoring of CCP’s
5.4 Employees are aware of CCP’s and the critical limits in their area and take
appropriate action.
(Observation - Records)
All points (10 points): Employees must be aware of CCP’s in their areas and
appropriate action to take should the critical limits be exceeded. This can be determined
through casual employee interviews and record reviews. With the approval of the
supplier, ask one employee what the CCP is in his/her area, the critical limits, and what
the appropriate action is should the limits be exceeded.
Minor nonconformance (7 points): The following constitutes a minor nonconformance:
• single observation of an employee unaware of what action to take if critical limits in
their area are exceeded
Major nonconformance (3 points): The following constitutes a major nonconformance:
• single observation of an employee unaware of the critical limits or existence of a
CCP in an area for which they are directly responsible
No points: No points will be awarded if the following situations is encountered:
• single observation of an employee unaware of both the action to take if critical limits
are exceeded and the existence of a CCP in his her area.
5.5 Measures are taken to prevent cross contamination
(Observation)
All points (10 points): Care must be taken to prevent cross contamination. This can be
accomplished by:
• segregating raw and fully cooked production areas (This may be a physical barrier or
other means of controlling foot and equipment traffic patterns. A simple chain or
rope does not qualify as a barrier since it can be easy crossed by employees.)
• using dedicated (identifiable) tools for critical areas of the process
• using foot baths (when appropriate) and hand sanitation stations
• changing uniform, gloves and hair coverings (suggest color coded)
• ensuring ingredient containers from regulated or microbiologically-sensitive products
(milk, eggs, etc.) are single use containers or sanitized between use
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• forklifts are equipment and care is taken not to cross contaminate product/packing
• measures are taken to prevent cross contamination from one product to another
• finished product containers are not used for anything other than finished product
(example: storage, trash, spills, etc.)
Minor nonconformance: One of the following will constitute a minor nonconformance:
• foot baths (if appropriate), uniform changes and gloves are provided, but the auditor
observes one instance of employee misusing
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• foot baths or hand sanitation stations are a potential source of contamination due to
infrequent changing of the sanitizing solution
• not restricting the use of tools to critical areas where needed
• reuse of single use containers
• finished product container used for other than intended use
No points: No points will be awarded if one of the following situations is encountered:
• traffic patterns do not discriminate between raw and cooked production areas
• employees are not using cross contamination control measures
5.6 There are no potential or actual instances of product
adulteration/contamination observed.
(Observation)
All points (15 points): The auditor does not observe any instance(s) of actual or
potential product adulteration or contamination. This section includes catch pans under
motors directly over product, as well as any other potential/actual areas for
contamination which were not captured in another section of the audit.
Auditor's Note: This section is used to capture any potential or actual contamination
not captured elsewhere in the audit. Award full points here if observations were
captured elsewhere in the audit. Score here if problems are systematic and not fully
captured in another area of audit.
Minor nonconformance: (There is not a minor nonconformance category for this audit
point.)
Major nonconformance: (There is not a major nonconformance category for this audit
point.)
No points: No points will be awarded if one of the following situations is encountered:
• the auditor observes a condition of imminent potential product contamination
• the auditor observes actual product contamination
5.7 Annual water quality reports are on file.
(Records)
All points (5 points): The supplier maintains records of water quality checks. The plant
shall meet local regulatory requirements and standards for potable drinking water. The
sample for testing must be drawn from inside the plant. Specifically, suppliers shall test
for:
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• Total Plate Count
• coliforms
• E. coli (not necessary if none detected on coliform count)
• Nitrates/Nitrites (products affected by Nitrates/Nitrites, example: required for
poultry)
• the heavy metals -- lead and mercury
• off flavors and odors
• in surface or bore water usage plants (exclusive of town or city water) the supplier
shall also test for Cryptosporidium and Giardia if one of the following is not met:
i) a 2 micron or smaller filter is used or
ii) the product will be heat processed at either the plant or the restaurant
Any alternate minimum standards to the above must be in writing from the appropriate
Yum! Brands QA contact and kept on file at plant.
Dry plants ARE required to test water (example: for hand washing purposes). Yum!
Brands QA shall provide additional information and requirements, where necessary, to
the auditor.
Minor nonconformance (3 points): The following will constitute a minor
nonconformance:
• it has been more than 12 months but less than 18 months since a water quality
check has been performed, and the facility has not had a water quality problem in the
past
Major nonconformance (1 points): One of the following will constitute a major
nonconformance:
• it has been more than 18 months since a water quality check was performed
• testing did not include all required elements
• sample was not drawn at plant
No points: No points will be awarded if one of the following situations is encountered:
• no record of water quality testing exists
• water is not potable
5.8 Facility has established a procedure to prevent foreign material contamination
from water/ice, when water/ice is used as an ingredient or is in contact with a
food ingredient.
(Program - Records)
All points (5 points): Facility has established a water filtration procedure to prevent
foreign material contamination from water/ice when water/ice is an ingredient or is in
contact with a food ingredient.
• requirements are for a 10 micron water filter or smaller to be used at point of use or
earlier in the flow when water/ice will come in contact with food or specifically where
water/ice is used as an ingredient
• all of the water in the plant does not have to be filtered
• back flow devices shall be installed where necessary, especially in CIP systems and
where processing water is recycled (back flow devices are used to prevent flow
backwards from the desired flow)
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• if ice is used or purchased, supplier ensures these requirements are met
All filtration devices shall have a maintenance record indicating:
• the date of last check
• the condition of the equipment and filter
• corrective action where filters have needed repairing or replacing
• the individual who performed the maintenance
For poultry plants, chiller water shall be considered an ingredient. In salad or produce
manufacturing, this would include the water used to wash pasta, vegetables, etc.
For dry plants with no water contact, this element to be scored N/A.
Minor nonconformance (3 points): The following will constitute a minor
nonconformance:
• single/isolated instance(s) of missing or incomplete records, but filtration is used.
Major nonconformance (1 point): One of the following will constitute a major
nonconformance:
• ice used as ingredient does not meet above requirements.
• numerous instances of missing or incomplete records
• records are not maintained for all devices
• records do not coincide with the scheduled or recommended frequency
• no corrective action when filters needed repair or to be replaced
• inadequate filter size
No points: No points will be awarded if one of the following situations is encountered:
• systematic failure to keep records
• water is not filtered
• a combination of two or more major nonconformances
• no backflow devices in CIP system or other appropriate areas
• no procedure
5.9 Foreign material control methods are used and are evaluated to ensure
proper operation.
(Observation - Records)
All points (15 points): For all Yum! Brands food products, appropriate foreign material
control must be in place and working and positioned as close to the final packing as
possible. Products packed in foil containers must have metal detection in line before
packing or use imaging systems after packing. (Refer to the Yum! Brands Global
Restaurant Metal Detection Program and product specification for specific product
requirements).
For metal detectors and imaging devices, verification of sensitivity is conducted by
passing the required standards three times each in the normal flow of the product with
the standard at the leading, middle, and trailing edge of the product where possible. The
metal detector must detect and positively reject each product with the standard.
Unless signed alternate minimum standards are provided or a Yum! Brands specification
or Quality Assurance Program indicates different standards, the following standards
must be used:
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All products other than fresh injected poultry or pre-washed pre-chopped produce:
1.5 mm ferrous
2.5 mm stainless (316 grade)
2.0 mm nonferrous *
Fresh injected poultry:
3.0 mm ferrous
4.5 mm stainless (316 grade)
3.5 mm nonferrous *
Pre-washed pre-chopped produce:
2.5 mm ferrous
3.5 mm stainless (316 grade)
3.0 mm nonferrous *
* not necessary to test nonferrous standards in the USA or Canada
Note: Coffee, tea, fountain drink mixes, and UHT milk products are exempted from the
metal detection standards as long as rare earth magnets are used.
The auditor will verify the following:
• traps, screens, filters, metal detectors, magnets, imaging and reject systems must be
regularly monitored with results and corrective actions recorded and available for
review
• foreign material control devices must be checked at a frequency and method that
complies with the Yum! Brands specifications/requirements and/or QA Program
• at a minimum, metal detection and imaging systems testing must be conducted at
start-up, at breaks, after maintenance and at the end of a production run
• If device fails test, "appropriate action" is for supplier to place all product between
acceptable checks on hold and repair the device. Product must be then run through
a properly functioning device before release
• metal detection devices and imaging systems must have a product rejection device,
if physically possible (physically possible is approximately 25 pounds / 11.34kg or
less), not just an alarm or belt shut off mechanism
• for metal detection systems that do not have a positive rejection device, but does
have an alarm, warning light, or belt shut off mechanism there must be a
documented program on how the system is restarted, and the disposition of suspect
product
• a product rejection log must be kept with analysis and corrective actions recorded for
any foreign materials
• the auditor shall observe a test and verify that metal detection and imaging units on
Yum! Brands product lines are functioning properly. Auditor shall confirm the
appropriate sensitivity and methods are being used, and they conform to product
specification and QA program. The auditor will observe that the positive reject
device is operating correctly. If the metal detector or imaging device fails, the auditor
will observe that rejected product is handled correctly. If Yum! Brands product is not
being produced on the day of the audit, auditor will still verify functionality with the
sensitivity required by the product being run, and will confirm that wands with the
appropriate Yum! Brands sensitivity are available.
Confidential Document – Yum! Brands Global Restaurants, Inc.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
• records contain isolated instances of incomplete or missing information
• metal detector fails auditor's check and plant takes appropriate corrective action (all
product between acceptable checks was placed on HOLD).
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
• records contain numerous instances of incomplete or missing information
• frequency or sensitivity of metal detector or imaging system inspections do not meet
Yum! Brands product requirements
• there is no documented program for the operation and restarting of metal detectors
or imaging systems that do not have positive rejection device if physically possible,
but there is another rejection method such as a line stop and alarm or warning light
No points: No points will be awarded if one of the following situations is encountered:
• metal detector fails auditor's check and plant does not take appropriate
corrective action
• auditor cannot verify all product has been through a functioning metal
detection or imaging system, as required
• systematic missing or incomplete records
• no records of inspection of foreign material control devices
• no follow up corrective action on nonconformance
• no foreign material control devices or program
5.10 Product and facility temperature control measures are effective.
(Procedures - Records - Observations)
All points (5 points): The auditor must verify that all temperature control measures are
effective:
• procedures shall define the process by which Yum! Brands facility temperatures are
monitored and documented in each critical area: coolers, freezers, cool docks or any
storage trailers where temperature sensitive ingredients and products are stored.
• FACILITY TEMPERATURES shall be recorded , where temperature sensitive
ingredients and products are stored , manually "twice" daily if no automated
temperature graph recorder is used. If an automated, continuous on-line
temperature graph recorder is used, facility temperatures shall be manually taken
and recorded "once daily."
• temperature recording devices must be calibrated frequently per manufacturer's
requirements. Inadequate facility temperature control may be determined by
observation or by records. Records must be maintained of routine facility
temperature checks where temperature sensitive ingredients and products are
stored.
• for Yum! Brands refrigerated or frozen products / ingredients, product temperatures
shall be documented before products are shipped
• docks must be enclosed and cooled to less than 50o F / 10 o C if temperature
sensitive items are shipped
Temperature conditions should be measured and recorded as documented while the
facility is in production. Weekends and holidays may be monitored with electronic
recorders and alarms. If the automatic recording and alarms are not in use, then
Confidential Document – Yum! Brands Global Restaurants, Inc.
temperatures must be measured and recorded manually when there is product or
ingredients present at the facility
This audit point will be scored N/A if there are no temperature sensitive products or
ingredients.
Minor nonconformance (3 points): One of the following will constitute a minor
nonconformance:
• single/isolated omission(s) in the records
• one instance of improper temperature control with corrective action
• temperature recording devices not calibrated or per frequency requirements
• no written verification of device calibration per manufacturer's requirements
• manual temperatures taken only once daily (facilities without automated recorders)
Major nonconformance (1 points): One of the following will constitute a major
nonconformance:
• numerous omissions in the records
• two or more observances of improper temperature control with corrective action
No points: No points will be awarded if one of the following situations is encountered:
• no records
• systematic failure to maintain records
• observed issue(s) without corrective action
• cool dock not enclosed
• cool dock temperature does not meet requirements
5.11 Food allergen control measures are effective.
(Procedures - Records - Observations)
All points (10 points): There is a documented food allergen program that identifies
allergens in raw materials and finished products and defines the control of the allergens.
At a minimum, the following food allergens must be addressed: peanuts, soybeans, milk,
eggs, fish, crustacean, tree nuts, and wheat. Additional allergens may be identified by
local requirements / regulations and must also be included. Control methods are
effective and include the following:
• facility has determined if it has any food allergens in the facility
• processing order or change over procedures specifically address ensuring allergens
are not transferred to a non-allergen containing product
• sanitation procedures and practices do not allow cross contamination of allergens to
non-allergen products
• ingredient weighing/handling practices do not allow for cross contamination of
allergens to non-allergen products and ingredients
Note: All points will be awarded if the plant has documented that no allergens are
present in the facility and none are observed by the auditor.
Minor nonconformance: (There is not a minor nonconformance category for this audit
point.)
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Major nonconformance (3 points): The following will constitute a major
nonconformance:
• potential cross contamination issues are found in sanitation or ingredient handling
practices but no actual cross contamination of allergens is observed by the auditor
No points: No points will be awarded if one of the following situations is encountered:
• facility has not determined if any allergens are present in the facility
• processing order or change over procedures do not specifically address
prevention of allergen transfer to a non-allergen product
• auditor observes cross contamination of an allergen to a non-allergen product
or ingredient
• auditor observes cross contamination of an allergen to another allergen
product or ingredient
6.0 PRODUCT RECOVERY AND FOOD SECURITY
6.1 A documented Product Recall Program is established.
(Program)
All Points (15 points): The program shall have written procedures for the following
elements:
• the identification and location of suspect product
• the reconciliation and disposition of recovered product
• notification of Yum! Brands Quality Assurance
• decision protocol defining when and if a regulatory agency will be notified
• outline of responsibilities for individuals on suppliers Recall Team
Minor nonconformance (10 points): The following will constitute a minor
nonconformance.
• one element of above is not clearly defined
Major nonconformance (5 points): The following will constitute a major
nonconformance:
• one element of above is missing
No points: No points will be awarded if any of the following is encountered:
• more than one element of the program is missing
• no documented program
6.2 Contact lists are maintained for product recoveries.
(Records)
All Points (10 points): Product Recovery Contact Lists shall be current, updated
annually and defined as below:
• Supplier's Contacts (within supplier's company): Each contact shall have copy of
current Recovery/Withdrawal Program and contact list.
• Supplier's Emergency Contacts are current in the Yum! Brands Supplier
Management Website.
• Second Tier Supplier's Contacts: (raw ingredient or packing supplier to supplier
being audited) business and after hour phone/pager numbers required
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• Appropriate Yum! Brands Contacts
NOTE: All lists should include contacts for 24-hour/7 day per week accessibility
to a minimum of two individuals. If both a Recovery Team and a Contact list
exist, they both shall be included in the program.
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance.
• disorganized records
• contact list has isolated omissions
• supplier’s local contact list is not up to date
• supplier’s contact list in the Yum! Brands Supplier Management Website is not up to
date
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• one contact list is missing
• Supplier contact list is missing from the Yum! Brands Supplier Management Website
No points: No points will be awarded if the following is encountered:
• more than one contact list is missing
6.3 A Mock Recovery Program is established.
(Program)
All Points (10 points): Mock Recovery Program procedures to include the following:
• a mock recovery must trace either an ingredient or a food contact packing to finished
product and onto the first external customer within 2 hours
• frequency of Mock Recovery (at least annually)
• time of day Mock Recovery is to be conducted (at least once per year, test must be
conducted after normal business hours (generally 8 am to 5 PM M-F)
• testing of individuals on contact list to confirm understanding of their responsibility
during a Recovery
• summary of traceability results which includes:
- identification of which raw ingredient or packaging material traced
- date and time test initiated and completed
- overview of records that were reviewed to obtain the amounts of product
involved
- a summary of calculations
- the test's effectiveness including amount of product recovered
- a documented review by the Recall Team
- list of who should be notified in the case of a real recovery
- a review of any issues uncovered or opportunities to improve the system
• a provision for re-testing any part of the mock recovery that fails within 60 days
Note: a failure is defined as taking longer than 4 hours to complete and/or recovering
<95% or >105%
First external customer - (defined as the first customer outside control of supplier;
freight forwarding warehouses contracted by the supplier are considered to still be in
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the supplier’s control and are not the First External Customer). First external customer
can be:
i) a distribution center that distributes directly to Yum! Brands restaurants
ii) another Yum! Brands approved supplier which uses the product as a raw ingredient
iii) an export facility that will export the product to another country.
(Records will be reviewed in section 6.4)
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance.
• one element of above is not clearly defined
• one element is missing
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• two elements are missing
No points: No points will be awarded if any of the following is encountered:
• more than two elements of the program are missing
• no documented program
6.4 Supplier conducts "annual" Internal Mock Recovery.
(Records)
All Points (15 points): Supplier shall conduct an annual after-hours Internal Mock
Recovery. It is suggested that the Mock Recovery be impromptu and initiated by the
supplier's corporate QA. An actual recall does not eliminate the need for a Mock
Recovery.
The auditor will verify the following elements are included:
• Mock Recovery to include a raw food ingredient OR a food contact packing material
traced to finished product and onto the first external customer (defined as the first
customer outside the control of the supplier) all within 2 hours.
• Mock Recovery shall be tested annually after normal business hours (generally 8 am
to 5 PM M-F). Testing should not begin any sooner than an hour prior to the
beginning of normal business hours or within on hour after the normal business
hours listed.
• traceability shall include product held, shipped, work in-process, reworked and
destroyed, if applicable
• a summary of the test shall include the following and be provided to the auditor:
- identification of which raw ingredient or packaging material traced
- date and time test initiated and completed
- overview of records that were reviewed to obtain the amounts of product involved
- a summary of calculations
- a documented review by the Recall Team
- the test's effectiveness including amount of product recovered
- list of who should be notified in the case of a real recovery
- a review of any issues uncovered or opportunities to improve the system
• documented re-test any part of the mock recovery that fails within 60 days
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Note: a failure is defined as taking longer than 4 hours to complete and/or
recovering <95% or >105%
AUDITOR NOTE: Review the supplier's last Mock Recovery records. If a supplier
locates more product during a Mock Recovery than was actually produced, the supplier
shall not receive full points (see standards below). However, for bulk ingredients such
as products stored/received in silos, rail cars, supplier is allowed to trace raw ingredients
to finished product using estimated amounts of bulk ingredients.
Suppliers are asked to NOT phone contacts on the lists during a Mock Recovery,
as confusion between a Mock Recovery and an Actual Recall may occur.
Minor nonconformance (10 points):
• single/isolated instances of incomplete or missing records
• supplier's test recall did not include one of the required elements
• (100.5% - 105%) or (99.5% - 95%) of product is located within 2 hours.
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
• re-test of a recall deficiency was not conducted within the required 60 days
• supplier's test recall did not include more than one of the required elements
• numerous instances of incomplete or missing records
• supplier's last Mock Recall test was conducted 13-18 months ago
• (100.5% - 105%) or (99.5% - 95%) of product is located in 2 - 4 hours
No points: No points shall be awarded if any one of the following is encountered:
• a combination of major nonconformance criteria
• supplier does not have the elements necessary to track and locate product or
packaging
• supplier hasn't tested the system in over 18 months
• <95% or >105% of the product is located
• product recovery takes more than 4 hours
The auditor will initiate a test of the suppliers product recovery during the course of this
audit, and is required to begin the recovery a minimum of 4 hours prior to close of day,
to assure the supplier enough time for recovery completion and to correct any issues
that may arise.
6.5 Auditor verifies supplier can identify, track and locate 100% of raw
materials used in Yum! Brands product to finished Yum! Brands product
lots, and on to first external customer "within 2 hours.”
(Observation - Records)
All points (15 points): The auditor will select a single raw food ingredient or food contact
packing material code number or lot number and ask the supplier to trace it to finished
product lots, rework, any work in process, product on hold or destroyed (if applicable)
onto the first external customer within 2 hours.
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If supplier does not track packing materials, another ingredient will be chosen and
the score begins at a minor nonconformance.
AUDITOR GUIDELINE: When tracing a raw ingredient, first identify total quantity of raw
ingredient received by supplier. This raw ingredient quantity must be 100% reconciled to
initial raw ingredient batch records, including portions used or still in storage. From this
point on, only percentage of raw ingredient product used for Yum! Brands product is to
be traced through to finished product and to first external customer. No need to trace
non-Yum! Brands used raw ingredient amount to finished product/external customer.
Supplier's procedure shall include the ability to trace packing materials as raw
ingredients.
To receive full points, 100% of the ingredient or packing material must be traced to
finished product, as well as 100% of the finished product lots to first external customer
within the 2-hour time frame.
Note: If the supplier uses a theoretical loss (shrink / yield) calculation for ingredients due
to processing, this calculation must be completed prior to the test during the audit.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
• process does not or cannot track packing materials to finished product lots
• isolated instances of incomplete or missing records
• combined total variation of the amount of raw material traced plus the amount of
finished product tracked is > 0% but < 5% of the 100% target in 2 hours (see
calculation table below for reference)
• 100% of product traced, but tracing took 2-4 hours
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
• numerous instances of incomplete or missing records
• combined total variation of the amount of raw material traced plus the amount of
finished product tracked is > 0% but < 5% of the 100% target in 2 - 4 hours (see
calculation table below for reference)
No Points: No points will be awarded if any of the following is encountered:
• supplier does not have the ability to track and locate product
• process cannot or does not track one raw ingredient or rework
• the combined total variation of the amount of raw material traced plus the
amount of finished product tracked, is more than 5% of the 100% target
• tracking takes more than 4 hours to complete
Confidential Document – Yum! Brands Global Restaurants, Inc.
A B C D E F
Amount of
Ingredient
Received at
Plant
Amount of
Ingredient
Located in
Product, in
Storage or
Disposed
B/A * 100 = %
of Ingredients
Recovered
Total Amount of
Product
Produced
Total Amount
of Product
Recovered
E/D * 100 = %
of Product
Located
Total Difference
from Target
[(100-C)] +
[(100-F)] =
Total Variation
6.6 A documented Food Security Program is established.
(Program)
All Points (15 points): An individual is assigned responsibility for food security. The
program shall have written procedures addressing the following elements:
• management of food security
• physical facility
• employees
• computer systems used for process controls
• raw materials and packaging
• operations (security of water and air)
• finished products
• security strategies
• evaluation
Minor nonconformance (10 points): The following will constitute a minor
nonconformance.
• One or two elements are not addressed
Major nonconformance (5 points): The following will constitute a major
nonconformance:
• three elements are not addressed
No points: No points will be awarded if any of the following is encountered:
• more than three areas of the program are not addressed
• no person at the facility or in the company is assigned responsibility for food
security
• no documented program
6.7 An annual program is established to review the Food Security Program. Records
with corrective actions are available.
(Program - Records)
All Points (10 points): A self-audit program to review food security shall include:
• who is responsible for conducting the internal review
• self audit is conducted at least annually
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• areas of improvement are identified
• corrective actions with timelines are developed to address areas of improvement
Minor nonconformance (7 points): One of the following will constitute a minor
nonconformance.
• responsibility for updating the program or auditing is not defined, but self audits are
conducted annually
• single/isolated instances of incomplete or missing records
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
• frequency of auditing and updating is not followed
• numerous instances of incomplete or missing records
No points: No points will be awarded if any of the following is encountered:
• no self audit program
• no defined corrective actions
• systematic failure to maintain records
• self audits not conducted
6.8 Measures are in place to ensure product and facility security.
(Records - Observation)
All Points (10 points): Measures to ensure product and facility security shall include:
• supplier shall record whether incoming ingredients, packaging, and finished product
are received in locked and/or sealed vehicles/containers/railcars. Seal numbers are
recorded. Supplier to encourage all secondary suppliers to ship raw ingredients in
locked vehicles/containers/railcars.
• all staged vehicles containing food products shall remain locked while on supplier’s
premises
• all outgoing vehicles shall be locked and/or sealed before leaving the supplier’s dock
• all entries to food handling and storage areas are secured or access restricted
• laboratory access is restricted including access to sensitive materials (example:
reagents and bacterial/drug/toxin positive controls)
• adequate interior and exterior lighting of the facility
• water wells, water storage and water handling facilities are secured
• access to computer process control systems is restricted
• for facilities with direct pneumatic conveyance of ingredients or products (flour, dry
mix, etc.), access to air intake points must be secured to the extent possible
(example: using fences, sensors, guards, video surveillance, locks, etc.)
Minor nonconformance (7 points): The following will constitute a major
nonconformance:
• one element of the above missing
• single/isolated instance of missing records
Major nonconformance (3 points): The following will constitute a major
nonconformance:
• two elements of the above missing
• numerous instances of missing records
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No points: No points will be awarded if the following is encountered:
• more than two elements of the above missing
• systematic failure to keep records
Note: For any supplier that does not receive a Quality Systems Assessment section 7
applies
7.0 Tracking and Control of Product, Material, and Ingredients
7.1 Procedures for lot identification and tracking for all raw materials, packing and
finished product are established.
(Procedures)
All points (15 points): The plant has documented procedures which define how raw
ingredients and packing materials are identified and tracked to finished product lots.
The procedures shall include:
• methods to ensure traceability through each stage of the process. This includes each stage
of the process from the receipt of raw materials through shipment to the first external
customer.
• identification of what records are used for traceability
• how each record is used
• what specific traceability information is on each record
• who is responsible for completing each record (can be specific by job title)
• how packing and raw materials are coded
• a method to link each ingredient and food contact packing material to finished product lots
• methods used to code finished product with month/day/year/lot
• method use to track production codes shipped to each external customer
NOTE: Labels and returnable containers for poultry are not considered packing
materials.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
• the procedures only allow for tracking to one day's production
• procedures do not support proper or legible coding
• procedures do not support coding that can identify/link product to external customer
• records used are not identified in the procedure
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
• the inability to trace any one raw food ingredient
• packing material is not traced to finished product lots
No points: No points will be awarded if any one of the following is encountered:
• raw material coding is not tracked to finished product lots
• the inability to trace any one finished product to external customer
• no written procedures
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7.2 Finished products, packing and raw materials are properly identified to ensure
traceability.
(Observation)
All points (15 points): All lots of raw materials, packing materials and finished product
shall be clearly identified in such a way that they can be easily tracked. Finished
product must be legibly coded with month, day, year and lot designation. All incoming
ingredients shall be identified to ensure traceability.
Minor nonconformance (10 points): The following will constitute a minor
nonconformance:
• a single instance of finished product is not legibly coded with month, day, year and
lot designation
• single instance of incoming ingredient without identification for traceability.
Major nonconformance (5 points): The following will constitute a major
nonconformance:
• isolated instances of incoming ingredients/materials without identification which
ensures traceability.
• isolated instances of finished product without month/day/year and lot designation
No points: No points will be awarded if any one of the following is encountered:
• numerous instances of finished product without month/day/year and lot designation
• numerous instances of finished product incorrectly coded
• numerous instances of incoming ingredients/materials without identification for
traceability.
7.3 Second Tier suppliers specifications/quality requirements for all ingredients and
packaging materials are maintained.
(Documentation)
All points (15 points): Verify that second tier supplier raw material specifications are
kept current, and quality requirements are on file. Auditor to view a list of major raw
ingredients for a Yum! Brands product and then ask to see the supplier’s approved
specifications. All specifications supplied to second-tier suppliers must specify those
attributes important to the user (similar to KPI's). The specifications should be generated
by the supplier to provide to their suppliers.
Second Tier Suppliers: are the suppliers who provide ingredients and packaging
materials to Yum! Brands suppliers.
For Yum! Brands proprietary ingredients where the second-tier supplier is approved and
specified by Yum! Brands, the supplier is not required to have a specification on file
unless specified by the Yum! Brands Product Manager in writing.
Minor nonconformance (10 points): Isolated instances of missing, incorrect or outdated
(including hand written changes) raw material specifications are found.
Major nonconformance (5 points): Numerous instances of missing, incorrect or
outdated (including, hand written changes) raw material specifications are found.
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No points: Specifications not available.
7.4 Procedures for inspection, approval and disposition of raw ingredients and
packing materials are established.
(Procedures)
All points (15 points): To receive all points a supplier shall have documented
procedures:
• detail the receiving procedure for all materials and ingredients that includes
sanitation of the carrier, and requirements for accepting incoming materials
• for verifying compliance to specification. Either through COA's accompanying each
load with test results for each key attribute or by the testing of all key attributes upon
receipt of each load. Procedure should include comparison to specification when
COA is used for compliance to specification prior to approval and release.
• detailing the sampling plan, testing frequency and testing methods for incoming
materials.
• outlining the procedure which places materials that require further testing prior to use
"on-hold" until the appropriate QC inspections can be made, a positive hold-release
program. The hold process must include methods to prevent release prior to
verification of compliance to specification.
• requiring the maintenance of "Letters of Guarantee" for each ingredient and packing
material supplier.
• obtaining new Letters of Guarantee when ownership of a supplying company
changes
Certificates of Analysis (COA) are laboratory and/or testing results performed on a
specific ingredient attributes by lot. COA's are generally sent along to the customer
verifying the lot has been tested and stating the outcome of those test results. If used for
specification compliance, COA's must accompany each load. The COA must verify each
lot is tested on the key attributes, and each attribute is found in compliance.
A Letter of Guarantee is a general statement of wholesomeness -- it may also contain a
general statement on the conformance to specific requirements.
Minor nonconformance (10 points): Sampling procedures, testing frequency and testing
methods exist for major materials, but not all raw materials. (For example, procedures
do not exist for salt as a marinade ingredient.) In this case "materials" include all
ingredients and packing materials
Major nonconformance (5 points): One of the above required elements is missing.
No Points: No points will be awarded if:
• more than one element is missing
• no procedure is established
7.5 Records indicate incoming materials are from approved suppliers and meet
specification requirements based on in-house testing or Certificates of Analysis.
Letters of Guarantee are maintained for each supplier.
(Records)
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All points (20 points): This element is meant to be a review of records not an
observation. Receiving records indicate that all released incoming materials (food
ingredients and packing materials):
• are sourced from a list of approved suppliers
• meet Yum! Brands specification requirements based on in-house testing or a
Certificate of Analysis.
• When COA is used as acceptance, evidence that COA has been compared to
specification for compliance before approval and release.
• Letters of Guarantee are on file for each supplier.
Minor nonconformance (15 points):
• single instance of a missing Letter of Guarantee
• Records contain a single omission.
Major nonconformance (6 points): One of the following will constitute a major
nonconformance:
• isolated instances of missing Letters of Guarantee
• records contain isolated omissions
• materials received from disapproved or non-approved suppliers but materials meet
specification requirements.
No points: No points will be awarded if any one of the following is encountered:
• materials received from disapproved or non-approved suppliers but materials
do not meet specification requirements
• records contain numerous omissions
• out of specification materials are received and not disposed of per program
requirements
• material(s) used that were not verified as meeting specification.
7.6 Supplier has an approved supplier program established for all their raw
ingredient and packing suppliers.
(Procedures – Documentation)
All points (10 points): To be awarded all points a supplier shall have a program which:
• clearly defines process by which their suppliers become approved as a raw material
or packaging supplier and at a minimum shall include the following:
• product quality and food safety as approval criteria.
• an evaluation of ingredient suppliers for all ingredients, packaging ( both food
contact and non-food contact), and processing aids used in ingredients and
packaging for production of Yum! Brands products. This evaluation shall
include:
• the country of origin for ingredients
• identification of allergens processed on the same lines, and/or facility,
• food safety audits performed at the ingredient supplier’s facility containing
the minimum elements expected in a food safety audit that are listed below
• the Quality Assurance contact
• program for the control of non-conforming ingredients and products
• vendor risk assessment
• preventative maintenance programs
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• recall program
• Classification of ingredients and packaging material (both food contact and
non-food contact) based on ingredient risk from Yum! Brands Quality
Assurance. If the list has not been received from Yum! Brands QA, the supplier
will develop an internal list based on the food safety risk of the ingredients and
packaging (both food contact and non-food contact). The classification list must
be dated and controlled.
• High food safety risk
• Low food safety risk
Note: If the classification of ingredients and all packaging has not been done, all
ingredients will be considered high risk for the audit requirements in 7.7
• defines how suppliers' performance will be monitored and tracked
• defines corrective actions for supplier performance problems
• a current dated approved supplier list
• criteria for disqualification
• requiring food safety audits from second tier suppliers of ingredients and packaging
material (both food contact and non-food contact) at a minimum of annually. Audits
may be conducted by the supplier, or a third party, but audit results must be on hand
for review. The food safety audits should contain basic elements similar to the Yum!
Brands food safety audits listed below.
• requiring a review of supplier audits, and addressing critical issues identified in the
audits – records of the reviews completed in 7.7
Minimum elements expected in the food safety audit:
• Pest Control
• Sanitation
• Operations and Facility
• Good Manufacturing Practices
• Product protection
• Product Recovery
• Security
If the ingredient comes directly from the farm for processing, there should be a field
audit available in lieu of the Food Safety Audit. The field audit should contain at least
the following elements:
• Perimeter evaluation
• Animal tracks / droppings
• Worker hygiene
• Irrigation Water standards
• Handling practices
Minor non-conformance (7 points): One element in the approved supplier program is
missing or is incomplete.
Major non-conformance (3 points): Two elements in the approved supplier program
requirements are missing.
Confidential Document – Yum! Brands Global Restaurants, Inc.
No points: No points will be awarded if any one of the following is encountered:
• more than two elements are missing
• no program
7.7 Supplier tracks performance of Second Tier raw ingredient and packaging
suppliers, and maintains corrective actions on file.
(Records)
All points (10 points): Second tier suppliers' performance is monitored, tracked and
documented. Follow-up/corrective action is taken, documented and effective. Supplier
data tracking shall include:
• specification compliance
• number of complaints
• delivery problems
• corrective actions when issues are identified
• food safety audits from second tier suppliers
• records of ingredient and packaging (both food contact and non-food contact)
supplier audit reviews are current, and contain action items from critical issues
identified in the audits. The audits should contain basic elements similar to the Yum!
Brands food safety audits.
Minimum elements expected in the food safety audit:
• Pest Control
• Sanitation
• Operations and Facility
• Good Manufacturing Practices
• Product protection
• Product Recovery
• Security
Minimum elements expected in the field audit:
• Perimeter evaluation
• Animal tracks / droppings
• Worker hygiene
• Irrigation Water standards
• Handling practices
Note: Actual audits or evidence of the audit should be available for review. Objective
evidence should verify the minimum expected elements outline above are contained in
the audit. Audits should be from the current calendar year or the previous calendar
year.
Minor non-conformance (7 points): One of the following will constitute a minor nonconformance:
• records contain isolated omissions.
• single instance of missing food safety audits from low risk ingredient second tier
suppliers
 
Major non-conformance (3 points): One of the following will constitute a major nonconformance:
Confidential Document – Yum! Brands Global Restaurants, Inc.
• records of supplier performance contain numerous omissions
• record data is inconsistent with program procedures
• no corrective action documented when issues are identified
• isolated instances of missing food safety audits from low risk ingredient second tier
suppliers
• audit records do not contain all of the listed elements
• records do not show that the audit results were reviewed, or no action items
developed for critical issues
No points: No points will be awarded if any one of the following is encountered:
• no records
• suppliers' performance not monitored
• numerous instances of missing food safety audits from low risk ingredient
second tier suppliers
• single instance of missing food safety audits from high risk ingredient second
tier suppliers