FSA - Guide - 2013 FINAL PDF

Yum! Brands, Inc.
(KFC, Pizza Hut, and Taco Bell)
Food Safety Audit

Audit and Approval Evaluation
2013 version
These guidelines are for use in Approval and Ongoing Food Safety evaluations of food
suppliers that supply products for Yum! Brands, Inc.
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 result 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. The
score is calculated on a weighted percentage factor for each category and is based
on the total possible points for each question.
Automatic failures of an Approval Audit will result in a Non-Approval rating.
3. Each question scoring an Automatic Failure or No Points is to have a request for

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 (AMS) from Yum! Brands QA.
AMS 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 updated Alternate Minimum Standards annually.
5. Documentation faxed or emailed 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 __________________________
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Full conformance means all requirements are met
Minor nonconformance refers to single/isolated instance(s) of failure to
meet requirements
Major nonconformance’s refer to numerous instances of failure to meet
requirements
No points shall be given if there is systematic failure to meet
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.) and sub-bullets
“requirement” required points of the element
"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
requirements
"program” written instructions which include procedures and
other documentation
“procedures" written procedures that define the process
"records" actual data collected and maintained, based on the
criteria outlined in the procedures. Auditor will
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 recurring. 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.
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“Ready-to-eat (RTE)” means that the food is ready to eat as produced at
the supplier without a need for further
cooking/processing (i.e., a microbial kill step) at a
restaurant
“EPTP” The Yum! Brands Environmental Pathogen Testing
Program (EPTP)
“training” training must be completed at hire and annually
(within a 12 month period)
“annual” refers to “within a 12 month period”
“job skills” learned and personal abilities you need for a
specific job
“COA” Certificates of Analysis (COA) are actual laboratory
and/or testing results performed on a specific
ingredient attributes by lot. COAs 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, COAs
must accompany each load. The COA must verify
each lot is tested on the key attributes, and each
attribute is found in compliance.
“LOG” Letter of Guarantee is a general statement of
wholesomeness.
“Batch Processing” a specified volume or mass of ingredients are
combined and undergo processing simultaneously
as unit (such as mixing or cooking) before being
transferred to a further processing step (e.g.
canning, baking).
Yum! Brands 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
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.
The Yum! Brands representative must have copies of the HACCP program in
hand while reviewing the supplier's records and observing the production
process.
______________________________________________________________________
AUDIT GUIDELINES
1.0 PRODUCT PROTECTION
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1.1 A documented HACCP program, including training is established.
(Program - Records)
All points (15 points): There must be a documented HACCP program for each of Yum!
Brands Restaurants' product lines. The program must be based on the HACCP
principles and include the following:
 Principle 1 - hazard analysis and risk assessment of all Yum! Brands product
processes are on file for review and includes:
 hazards that are reasonably expected to occur
 hazard evaluation to determine severity and probability of risk
 scientific basis for the control measures in place
 Principle 2 - identification of CCP’s and placement on a flow chart of the process
 Principle 3 - established control limits for each CCP
 Principle 4 - established monitoring procedures for each CCP
 Principle 5 - defined corrective action for each CCP noncompliance
 Principle 6 - established verification procedures (including validation) for each CCP
 Principle 7 - 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: (There is not a minor nonconformance category for this audit point.)
Major nonconformance (3 points): The following will constitute a 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:

 no HACCP program for one or more of Yum! Brands' product lines
 HACCP program lacks one or more of the above requirements
1.2 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
 at least one individual that is responsible for the maintenance and update of the
HACCP program has had formal initial and ongoing HACCP training from an
accredited (external) HACCP course provider
 review of all HACCP plans annually and prior to 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 QA.. The HACCP
review team shall be a multidisciplinary group of Ops, QA, maintenance and production
members.
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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 or more CCP outdated
 no program
 no defined corrective action
 systematic failure to maintain records
 self audits not conducted
 changes were made to the HACCP program without notifying Yum! QA
 no certified and current HACCP training completed by at least one individual with
the responsibility for maintenance and updating the HACCP program
1.3 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

nonconformance:
 single instance of incomplete records on conforming parameters

nonconformance:
 isolated instances of incomplete records on conforming parameters

 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 action taken when a nonconforming parameter was identified
 no monitoring of CCP’s
1.4 Employees are aware of CCP’s and the critical limits in their area and take
appropriate action.
(Observation - Records)
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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

 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.
 single observation of CCP being exceeded and no action taken.
1.5 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/ready to eat 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. Foot baths and
hand stations must be cleaned and free of particulates, dirt and debris and changed
often enough to keep the sanitizer concentration in the acceptable range (note:
concentrations are checked in section 4.5)
 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
 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.)

nonconformance:
 foot baths (if appropriate), uniform changes and gloves are provided, but the auditor
observes one instance of employee misusing

nonconformance:
 foot baths or hand sanitation stations are a potential source of contamination due to
infrequent changing of the sanitizing solution or not being kept clean
 not restricting the use of tools to critical areas where needed
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 reuse of single use containers
 finished product container used for other than intended use

 traffic patterns do not discriminate between raw and cooked/ready to eat
production areas
 employees are not using cross contamination control measures
1.6 There are no potential or actual instances of product

adulteration/contamination observed.
(Observation)
All points (10 points): The auditor does not observe any instance(s) of actual or
potential product adulteration or contamination. This section includes any
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.)

 the auditor observes a condition of imminent potential product contamination
 the auditor observes actual product contamination
1.7 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 from different points of use.
Specifically, suppliers shall test for:
 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
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For any process that uses steam that comes into contact with ingredients or finished
product, ensure that boiler treatment chemicals are food safe approved and are added at
the appropriate concentrations.
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.

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

nonconformance:
 it has been more than 18 months since a water quality check was performed without
a quality issue
 testing did not include all required elements
 sample was not drawn at plant
 proper concentrations are not being used for chemicals used in boiler treatment (for
any process that uses steam that comes into contact with ingredients or finished
product)

 no record of water quality testing exists
 water is not potable
 chemicals used in boiler treatment (for any process that uses steam that
comes into contact with ingredients or finished product) are not food safe
1.8 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 (based on suppliers risk
assessments), especially in CIP systems and where processing water is recycled
(back flow devices are used to prevent flow backwards from the desired flow)
 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
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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.

nonconformance:
 single/isolated instance(s) of missing or incomplete records, but filtration is used.
 no risk assessment for backflow devices
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 do not coincide with the scheduled or recommended frequency
 no corrective action when filters needed repair or to be replaced
 inadequate filter size

 systematic failure to keep records
 water is not filtered
 a combination of two or more major non-conformances
 no backflow devices in CIP system or other appropriate areas
 no procedure
1.9 Foreign material control methods are used and are evaluated to ensure
proper operation.
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.
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:
All products other than fresh and bulk frozen poultry or pre-washed pre-chopped
produce:
1.5 mm ferrous
2.5 mm stainless (316 grade)
2.0 mm nonferrous
Fresh and bulk frozen poultry:

3.0 mm ferrous
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3.5 mm nonferrous
Pre-washed pre-chopped produce:

2.5 mm ferrous
3.0 mm nonferrous
Suppliers can use stricter minimum metal detection standards.
Note: Coffee, tea, fountain drink mixes, and UHT milk products are exempted from the
metal detection standards as long as rare earth magnets, screening and filtration
systems or other metal elimination processes are used. Aerosol spray cans are exempt.
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
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)
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nonconformance:
 records contain numerous instances of incomplete or missing information
 frequency or sensitivity of metal detector, imaging system, traps, screens, filters and
magnets 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
 observed incorrect method / standard being used

 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
1.10 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 with observation and records review:
Facility Temperatures
 procedures shall define the process by which 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 with records maintained, where temperature
sensitive ingredients and products are stored or staged, 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 per manufacturer's requirements
or per the QAP. Inadequate facility temperature control may be determined by
observation or by records
Product Temperatures and Shipping

 procedures shall define the process by which Yum Brands product 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
 loaders to have daily calibrated thermometer with calibration records available
 product must meet minimum Yum required temperatures prior to loading
 for Yum! Brands refrigerated or frozen products / ingredients, product temperatures
shall be documented before products are shipped with a minimum of 3 temperatures
for each product taken during loading process
 docks must be enclosed and cooled to less than or equal to 45° F / 7° C
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 inspection logs/ records verify each out-bound trailer or shuttle pre-cooling
temperature meet requirements according to the specific Yum product temperature
requirements or QAP
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 that proactively notify plant personnel when triggered. If the
automatic recording and alarms are not in use, then 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 handled by the supplier.

nonconformance:
 single/isolated omission(s) in the records
 one instance of improper facility 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)
single instance of no pre-cooling temperatures recorded

nonconformance:
 numerous omissions in the records
no manual facility temperatures taken with automated, continuous on-line system
 two or more observances of improper temperature control with corrective action
 numerous instances of failure to record outgoing product temperatures
 numerous instances of no-pre-cooling temperatures recorded
 cool dock not enclosed
 cool dock temperature does not meet requirements

 no records
 systematic failure to record outgoing product temperatures
 systematic failure to record pre-cooing temperatures
 records confirm trailer pre-cooling not within specification requirements
 records confirm single instance of product shipped that does not meet
minimum Yum temperature requirements
1.11 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 required by local
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requirements / regulations must also be included. Control methods are effective and
include the following:
facility has determined if it has any food allergens in the facility and has an
established allergen list
risk assessment determined for all ingredients
training for allergen handling practices and control
training for spill management
 where an allergen is present, there is a record confirming that the ingredient label on
packaging is correct
 processing order or change over procedures specifically address ensuring allergens
are not transferred to a non-allergen containing product
 procedures for the identification of allergens present in the facility
 sanitation procedures and practices do not allow cross contamination of allergens to
non-allergen /other allergen products
 ingredient weighing/handling practices do not allow for cross contamination of
allergens to non-allergen / other allergen products and ingredients
 restriction on food products brought in by staff, contractors and visitors
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.

nonconformance:
 training records for spill management or handling and control are not complete
 risk assessment for all ingredients has not been completed

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
 one allergen present in facility is not on the list but no actual cross contamination of
allergens is observed by the auditor
 one element not included in procedure

 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
2.0 PRODUCT RECOVERY AND FOOD SECURITY
2.1 A documented Product Recall Program is established.

(Program – Records)
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All Points (15 points): The program shall have written procedures for the following
elements:
 procedures to identify, track and locate 100% of an identified product by code
date/Use By Date within 2 hours whether in-house, on a truck, at outside storage or
delivered to a first external customer.
 the reconciliation and disposition of recovered product
 notification of Yum! Brands Quality Assurance by telephone within two (2) hours of
incident discovery. Leaving a message on voicemail or sending a fax without
personal contact is not acceptable.
 decision protocol defining when and if a regulatory agency will be notified
 outlines of responsibilities for individuals on suppliers Recall Team
 report any media contact to Yum and delay any contact with media or regulatory
officials, unless required by law, either in person or through statements, until
consultation with Yum Crisis Core Team.
 develop media and/or regulatory communications in conjunction with Yum Public
Relations / Marketing, as necessary.
 replace the affected product at the restaurant level and is also responsible for all
documentation regarding reconciliation of quantities shipped, recovered, replaced
and/or destroyed.
 Have access to and confirm annual management training of the Yum Brands Crisis
Management Program (see Yum reference site on Crisis Management)
If any crisis took place subsequent to the prior audit, auditor has to confirm by checking
records that the procedure has been followed.

nonconformance.
 one element is missing or incomplete

nonconformance:
 two elements are missing or incomplete
No points: No points will be awarded if any of the following is encountered:

 numerous elements of the program are missing or incomplete
 Yum Brands Crisis Management Program training of management not
conducted annually
 records show that the procedure was not followed when crisis occurred
 no documented program
2.2 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. There must be a minimum of three current emergency
contacts listed in the plant profile with the contact type as “Emergency Contact”.
Identify with a number (1, 2 or 3) after the name.
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 Second Tier Supplier's Contacts: (raw ingredient or packing supplier to supplier
being audited) business and after hour phone/pager numbers required
 Appropriate Yum! Brands Contacts
 Appropriate distribution contacts (distribution centers, broker/vendor etc.,)
 Supplier emergency contacts have received annual management training of the Yum
Brands Crisis Management Program (see Yum reference site on Crisis
Management)
,
NOTE: All lists should include contacts for 24-hour/7 day per week accessibility
to a minimum of three individuals. If both a Recovery Team and a Contact list
exist, they both shall be included in the program.

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

nonconformance:
 one contact list is missing
No points: No points will be awarded if the following is encountered:

 more than one contact list is missing
 Supplier emergency contact list is missing or not current from the Yum!
Brands Supplier Management Website
 Yum Brands Crisis Management Program training not conducted annually
2.3 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
- completed “Product Information Data sheet” (the supplier portion)
- a summary of calculations
- the test's effectiveness including amount of product recovered
- a documented review by the Recall Team
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- 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 2 hours to complete and/or recovering
<99.5% 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
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 consolidator distribution centers who distribute to distribution centers
iii) Yum! Brands approved supplier which uses the product as a raw ingredient
v) an export facility that will export the product to another country.
(Records will be reviewed in section 2.4)

nonconformance.
 one element of above is not clearly defined
 one element is missing

nonconformance:
 two elements are missing

 more than two elements of the program are missing
2.4 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).
Note: If the test is conducted prior to the beginning of normal business hours, the test
should be conducted and finished at least an hour before normal business hours. If
the test is done after normal business hours, it should not begin less than an hour
after the conclusion of normal business hours.
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 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
- completed “Product Information Data sheet” (the supplier portion)
- 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
Note: a failure is defined as taking longer than 2 hours to complete and/or
recovering <99.5% 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

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 - 105% or 99.5% to 99.9 of total product/ingredient is located in 2hours
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
 < 99.5 or >105% of the total product/ingredient is located
 product recovery takes more than 2 hours
2.5 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.”
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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.
The auditor will initiate a test of the supplier’s 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.
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 and complete the “Product Information Data sheet” (the
supplier portion).
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.
nonconformance:
 process does not or cannot track packing materials to finished product lots
 isolated instances of incomplete or missing records

nonconformance:
 Product Information Data Sheet missing or incomplete
 100 - 105% or 99.5% to 99.9 of total product/ingredient is located in 2hours
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
 < 99.5 or >105% of the total product/ingredient is located
 tracking takes more than 2 hours to complete
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A B C D E F
Amount of Amount of B/A * 100 = % Total Amount of Total Amount E/D * 100 = %
Ingredient Ingredient of Ingredients Product of Product of Product
Received at Located in Recovered Produced Recovered Located
Plant Product, in
Storage or
Disposed
Total Difference [(100-C)] +

from Target [(100-F)] =
Total Variation
2.6 A documented Food Security Program is established.

(Program)
All Points (15 points): The supplier shall have a documented security program in place
for the management of food security. The program shall address the following:
 a designated person responsible for the program with name and 24 hour contact
information
 a list of governmental and regulatory emergency contacts with strategy for the
notification in the event of crisis
 physical facility - how access to facility is controlled (strangers, visitors, contractors,
3rd party drivers, loss of id badges, etc.).
 employees – personnel practices related to security
 howcomputer systems used for process controls are controlled and access
restricted
 receipt and control of raw materials and packaging
 control of operations (security of water and air)
 finished products control for storage and shipping
 scheduled evaluation of the security program

nonconformance.
 one element is not addressed

nonconformance:
 two elements are not addressed

 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
2.7 An annual program is established to review the Food Security Program. Records
with corrective actions are available.
(Program - Records)
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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 and reviewed by management
 areas of improvement are identified
 corrective actions with timelines are developed to address areas of improvement

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

nonconformance:
 frequency of auditing and updating is not followed

 no self audit program
 no defined corrective actions
 self audits not conducted
2.8 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 enclosed, locked and/or sealed vehicles/containers/railcars. In case
of seals the numbers are recorded.
 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

nonconformance:
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 two elements of the above missing
 numerous instances of missing records

 more than two elements of the above missing
 systematic failure to keep records
 outgoing trailers containing Yum product not locked and / or sealed upon
leaving loading dock
3.0 Tracking and Control of Product, Material, and Ingredients
3.1 Procedures for lot identification and tracking for all raw ingredients, packing and
finished product are established.
(Procedures)
All points (10 points): The plant has documented procedures which define how raw
ingredients and packing materials are identified and tracked to finished product use by
date/manufacture codes.
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. Documentation must link transition lot numbers
 identification of what records are used for traceability
 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 ingredients are coded
 a method to link each ingredient and food contact packing material to finished
product lots
 methods used to code finished product with use by dates or kill dates for fresh
poultry 
 method used to track production codes/use by dates shipped to each external
customer
NOTE: Labels and returnable containers for poultry are not considered packing
materials.

nonconformance:
 the procedures only allow for tracking to one day's production for a batch systems
 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
 one element of the above missing

nonconformance:
 packing material is not traced to finished product lots
 two elements of the above missing
21
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
3.2 Finished products, packing materials and raw ingredients are properly identified
to ensure traceability.
(Observation)
All points (10 points): All lots of raw ingredients, 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 use by dates or kill dates for fresh poultry and
accordance to Yum labeling requirements. All incoming ingredients shall be identified
to ensure traceability. Finished product is being properly stacked and positioned so
code dates are visible on at least two sides of the pallet

nonconformance:
 a single instance of finished product is not legibly coded with required use by dates
or kill dates for fresh poultry
 single instance of incoming ingredient and packaging without identification for
traceability.
a single instance of finished product is not properly stacked so that code dates are
not visible on at least two sides of the pallet.

nonconformance:
 isolated instances of incoming ingredients/materials without identification which
ensures traceability.
 isolated instances of finished product is not legibly coded with required use by dates
or kill dates for fresh poultry
 isolated instances of finished product not properly stacked so that code dates are not
visible on at least two sides of the pallet.

 numerous instances of finished product without required use by dates or kill dates for
fresh poultry
 numerous instances of finished product incorrectly coded
 numerous instances of incoming ingredients/materials without identification for
traceability.
 numerous instances of finished product not properly stacked so that code dates are
not visible on at least two sides of the pallet
3.3 Second Tier suppliers specifications/quality requirements for all ingredients and
packaging materials are maintained.
(Documentation)
22
All points (10 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, raw materials, and
packaging materials to Yum! Brands suppliers.
For fresh poultry - internally produced poultry - this includes a current product
specification and/or a copy of the KFC Poultry Manual. For externally produced whole
birds, a list of quality requirements shall be maintained.
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.

 Isolated instances of missing, incorrect or outdated (including hand written changes)
raw material specifications are found.
 Isolated instances of second tier suppliers specifications being used as the suppliers
specification
Major nonconformance (3 points):

 Numerous instances of missing, incorrect or outdated (including, hand written
changes) raw material specifications are found.
 Numerous instances of second tier suppliers specifications being used as the
suppliers specification
No points: Specifications not available.
3.4 Procedures for inspection, approval and disposition of raw ingredients and
packing materials are established.
(Procedures)
All points (10 points): To receive all points a supplier shall have documented
procedures:
 detail the receiving procedure for all materials and ingredients that includes
sanitation and condition 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 when samples are tested in-house or by an outside
laboratory, testing frequency and testing methods for incoming materials.
23
 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 "Letters of Guarantee" for each ingredient and packing material supplier.

 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 (3 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
3.5 Records indicate incoming materials (ingredients/packaging) 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)
All points (10 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 used in Yum formula (s)
 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.
 food contact packaging shall be food grade approved
 receiving records for trailer sanitation and condition are maintained

 single/isolated instance of a missing Letter of Guarantee
 Records contain a single omission.

nonconformance:
 records contain isolated omissions
 numerous instances of missing Letters of Guarantee
 out of specification non food contact packaging materials are received and not
disposed of per program requirements
24
 materials received from disapproved or non-approved suppliers
 records contain numerous omissions
 out of specification materials (ingredients and food contact materials) are
received and not disposed of per program requirements
 material(s) used that were not verified as meeting specification.
3.6 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 of their suppliers
 preventative maintenance programs
 recall program
 Classification of ingredients and packaging material (both food contact and
non-food contact) 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 (includes medium risk classifications)
 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 3.7
 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 3.7
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Note: If the ingredient is purchased through a broker or trading company, the food
safety audit for the manufacturer of the ingredient is still required.
Minimum elements expected in the food safety audit:

 Pest Control
 Sanitation
 Operations and Facility
 Good Manufacturing Practices
 Product protection
 Product Recovery
 Security
Current Global Food Safety Initiative (GFSI) benchmarked audits may be accepted
for the supplier audits. In lieu of the full GFSI a non-expired GFSI certificate issued
by an approved certification body is acceptable.
For fresh produce products, 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.

 more than two elements are missing
 no program
3.7 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 positive records of:
 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.
26
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 fresh produce 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. At a minimum, the cover sheet providing the results should be made available
for the auditor’s review if the audit is of a proprietary nature.
Current Global Food Safety Initiative (GFSI) benchmarked audits may be accepted for
the supplier audits. In lieu of the full GFSI a non-expired GFSI certificate issued by an
approved certification body is acceptable.
Minor non-conformance (7 points): One of the following will constitute a minor non-
conformance:
 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 non-
conformance:
 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
 single instance of missing food safety audits from high risk ingredient second tier
suppliers

 no records
27
 suppliers' performance not monitored
 numerous instances of missing food safety audits from low risk ingredient
second tier suppliers
 Isolated instances of missing food safety audits from high risk ingredient
second tier suppliers
Questions 3.8, 3.9, and 3.10 apply to leafy green and tomato production facilities. In
some markets outside the U.S., this is evaluated based on direction from QA
management within Yum. If not evaluated score this point (s) as NA.
3.8 Supplier tracks pre-planting and pre-harvest conditions of leafy greens, green
onions and Cilantro, and maintains corrective actions on file.
(Records)
All points (10 points): Pre-planting and Pre-harvest audit records shall be available for
all leafy green products including Cilantro and green onions. There shall be training
records available for the auditors that conducted the audits. Records to be reviewed:
・ Pre-planting records shall include pre-planting assessment for risk.
・ Pre-harvest audits for each lot
・ Corrective action records when there is a risk identified from pre-harvest audits
Corrective actions records shall include the disposition of the field and product from the
affected field. Including actions taken to mitigate risk (Buffer zones, cleaning of
equipment, field prohibited).
Training Records:
Training records for all auditors conducting the pre-plant and pre-harvest audits should
be matched to the person identified that conducted the audits. Training should be from
an accredited Good Agricultural Practices, Yum! Brands approved body (GAP). Training
may also be accomplished with a certified auditor of the approved program.
Pre-planting audits should be available and may include the entire field (ranch) for the
pre-plant audit. For each production lot, there should be a pre-harvest audit that is
traceable to the production lots. Review a minimum of two raw material lots for the
verification of risk assessment performed. Select lots from production records or raw
material inventory.

conformance:
・ single instance of missing pre-plant audit
・ single instance of missing pre-harvest audit
・ single instance of missing training record for an auditor
conformance:
・ single instance of a missing corrective action record for pre-plant audit
・ single instance of a missing corrective action record for pre-harvest audit
28
・ no auditor training records for two auditors

・ single instance of missing both the pre-plant and pre-harvest audit for a
production lot
・ Isolated instances of missing corrective action records both pre-plant and pre-
harvest
・ no audit records
・ no record of any auditor training
3.9 Pre-process Pathogen testing. Supplier tracks pathogen testing for all lots of
Yum! Brands products, including leafy greens, cilantro and tomatoes.
(Records)
All points (10 points): Pathogen testing for all production lots of Yum! Brands produce
should be available for review. Results of testing for E. coli O157:H7 and Salmonella
should be available for review.
Auditor should select lots of previous production for records review. Records should be
reviewed to be sure that the testing was completed, and the results are negative.
Auditor should select one lot of leafy greens and tomatoes, if both are present.

・ single instance of missing pathogen test
・ no testing results available
3.10 Pre-Harvest Irrigation Water Use Testing

(Records)
All points (10 points):
Foliar water testing frequency should be completed per Leafy Greens Marketing
Agreement (LGMA) Figure 1A. Decision Tree for Pre-Harvest Water Use – Foliar
Applications whereby edible portions of the crop are contacted by water (e.g. overhead
irrigation, pesticide/fungicide applications). Testing plan should include:
・ For any given water source (municipal, well, reclaimed water, reservoir, or other
surface water) it is required to be sampled and tested at a minimum frequency per
LGMA Figure 1A. Decision Tree for Pre-Harvest Water Use – Foliar Applications
whereby edible portions of the crop are contacted by water.
o All water testing will include generic E. coli
o Generic E. coli USL: 126MPN/100 ML (geometric mean n = 5 samples)
o Generic E. coli USL: 235 MPN/100 ML (for any single sample)
・ If generic E. coli is detected above acceptable limit, water may not be used for
irrigation. If detected in irrigation water (in use), field will not be harvested or used for
Yum! Brands.
29
Non-Foliar water testing frequency should be completed per LGMA Figure 1B.
Decision Tree for Pre-Harvest Water Use – Non-Foliar Applications whereby edible
portions of the crop are NOT contacted by water (e.g. furrow or drip irrigation,
dust abatement water). Testing plan should include:
・ For any given water source (municipal, well, reclaimed water, reservoir, or other
surface water) it is required to be sampled and tested at a minimum frequency per
LGMA Figure 1B. Decision Tree for Pre-Harvest Water Use – Non-Foliar Applications
whereby edible portions of the crop are NOT contacted by water.
o All water testing will include generic E. coli
o Generic E. coli USL: 126MPN/100 ML (geometric mean n = 5 samples)
o Generic E. coli USL: 576 MPN/100 ML (for any single sample)
・ If generic E. coli is detected above acceptable limit, water may not be used for
irrigation. If detected in irrigation water (in use), field will not be harvested or used for
Yum! Brands.
conformance:
・ single instance of missing water test
conformance:
・ single instance of a missing corrective action record for water test

・ no records
4.0 SANITATION
4.1 A master sanitation program is established. Cleaning procedures and

practices are designed and established so as to prevent cross
contamination.
(Program - Records)
All points (10 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 to support each requirement of the program. 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
 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
30
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.

nonconformance:
 single/isolated instances of incomplete records
 one element above is missing in program

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 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
4.2 A training program for the sanitation crew has been established.
(Program - Records)
All points (10 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. There should be records for the results of the exit
criteria to prove comprehension
 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
31
 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.

nonconformance:
 single/isolated instance(s) of incomplete training records
 one element is missing

nonconformance:
 two elements are missing
 the training records are outdated
 ongoing training frequency is more than annually but less than 18 months

 no written program
 more than two elements are missing
 systematic failure to provide training
 no training records
 ongoing training exceeds 18 months
4.3 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 current and available for all
cleaning and sanitizing chemicals; both industrial and commercially purchased
products. In certain instances regulatory agencies (ex: the FDA 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.
32
Auditor shall randomly select at minimum four (4) chemicals to check and verify
documentation.

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

nonconformance:
 greater than three missing MSDS and/or sample labels

 one instance of "approved" cleaning chemical or sanitizer being used in an
unapproved application
 unapproved chemicals being used
4.4 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
 segregated from pest control chemicals
 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
 cleaning equipment and utensils that are specific to one area (raw vs. cooked) are
thoroughly cleaned and sanitized before they are moved to a different area
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).

nonconformance:
33
 single/isolated instance(s) of equipment not properly stored (left in hallways around
production areas when not in use)
 isolated instances where cleaning equipment does not appear to be properly cleaned
prior to storage
 single/isolated observation of equipment specific to one area (raw vs. cooked) that
are not thoroughly cleaned and sanitized before they are moved to a different area
 single/isolated observation of equipment specific to one area (raw vs. cooked) in an
area where the equipment is not designated for

nonconformance:
 cleaning chemical storage is segregated, but not secured
 numerous instances of improperly cleaned and stored equipment
 numerous observations of equipment specific to one area (raw vs. cooked) that are
not thoroughly cleaned and sanitized before they are moved to a different area
 numerous observations of equipment specific to one area (raw vs. cooked) in an
area where the equipment is not designated for
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
4.5 Cleaner and sanitizer concentrations and applications comply with the Sanitation
Program.
 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, or conductivity may be used for verification of sanitizer and
cleaning chemical concentrations. Test strips should be capable of measuring levels
above the documented concentration. If conductivity is used the graphs showing
dependence between concentration & conductivity are available in facility
 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, testing kit, or graphs showing dependence between concentration &
conductivity (for facilities that use conductivity to prove concentrations) for the 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.
34
Where conductivity is used to prove sanitation levels in cleaning / sanitation of the
facility, test strips are not required for verification. For dip stations that are mixed and
used, verification by test strips or testing kits are required.

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.

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

 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
 no test strips or expired
 sanitizer and/or cleaning chemical (s) are expired
4.6 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.
 cleaning effectiveness is monitored through documented inspections
 pre-operative inspection records and visual impression of the auditor indicate the
program is effective
 records have a detailed list of the equipment and indicate follow-up is assigned and
corrective action takes place (this could include regulatory / government inspections)

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)
35
nonconformance:
 numerous incomplete inspection records
 numerous instances of follow up action not documented
 observation of numerous minor cleaning issues (non food contact area)

 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
4.7 Testing of food contact surfaces is utilized to monitor the effectiveness of cleaning
and/or sanitation procedures.
(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,
testing would only be required after down time and/or cleaning and prior to restarting.
Surface testing is not required for flour mills.
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
 flour mills, must collect an in-process sample after detailed cleaning (inside
equipment product surfaces) at least twice per year for micro-testing.
Commercially sterilized products, such as canned vegetables, pure oil or shortening

(with NO added ingredients such as seasonings) are exempt from this requirement.

nonconformance:
 single/isolated instance of frequency or a follow-up test missed
 written program missing one element

nonconformance:
 numerous instances of frequency or a follow-up tests missed
 written program missing two elements
36
 no microbiological monitoring program
 written program missing more than two elements
Questions 4.8 & 4.9 apply to all facilities that produce Ready to Eat products for Yum!
Brands. In some markets outside the U.S. this is evaluated based on direction from QA
management within Yum. If not evaluated or if product is not RTE, score this point (s) as
NA
4.8 Supplier complies with the requirements of the Yum Environmental Pathogen
Testing Program (EPTP).
All points (10 Points): Ready-to-Eat products require compliance with the Yum EPTP
program, the auditor will review program compliance including:
・ Design of supplier EPTP program complies with the Yum EPTP required minimum
number of samples, frequency of sampling, pathogens to test for, and corrective actions
・ Random review of EPTP records demonstrates compliance with minimum number of
samples, frequency of sampling, pathogens to test for, and corrective actions
conformance:
・ single program design element not meeting Yum EPTP requirements
・ single instance of missing sampling identified during record review
conformance:
・ Isolated instances of program design elements not meeting Yum EPTP requirements
・ Isolated instances of a missing sampling identified in record review

・ no program
・ corrective actions not taken per the Yum EPTP
・ program does not include all pathogens to test for as described in Yum EPTP
・ more than three program design elements not meeting Yum EPTP requirements
・ more than three instances of missing samplings identified in record review
4.9 Finished product pathogen testing is done by the supplier for Ready to Eat
products and records show proper disposition of positive product
All points (10 Points): Finished product testing records for pathogens (either voluntarily
or per Yum! requirements) show the disposition of any positive test results. A
documented program explains the corrective actions to be taken for any product that…..
 The auditor will randomly review records of finished product pathogen testing and
determine disposition of finished products that tested positive for pathogens.
37
 The supplier must not release any product that tested positive for pathogens. No
retesting of finished product for pathogens is allowed.
Auditor Note: For products that are not required by Yum! Brands, regulatory agencies, or
testing is not done voluntarily; this question should be marked as N/A, and a comment
must be made to indicate that no finished product testing is done.
Minor non-conformance: There is not a minor nonconformance category for this audit
point.
Major non-conformance (3 points): The following will constitute a major non-

conformance:
・ If finished product pathogen testing is done, the written corrective action program
does not address actions to take for a positive.

・ Finished product with a positive pathogen result was released
・ For finished product pathogen testing, there is no documented program to
describe corrective actions to take for a positive test result
・ Finished product pathogen testing program allows for re-testing of a positive
・ Finished product with a positive pathogen result was re-tested and then
released
・ Finished product pathogen testing is not completed when required per Yum
EPTP, product specification, or QAP
 products leaves the suppliers control before negative pathogen results are
available for any product
4.10 Equipment design and condition allow for proper cleaning.

(Observation)
 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.

nonconformance:
 cleaning is generally effective, but single/isolated areas pose a problem without
modifications being made
38
 single/isolated instance(s) of a broken (hard to clean) or wooden handled utensil

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
5.0 PEST CONTROL

(Documents faxed to the supplier at the time of audit are not acceptable.)
5.1 A documented pest control program is established. Pest Management

Professional PMP 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 Management
Professional, or the service may be provided by a licensed, insured and certified pest
control service. A PMP from within the supplier's organization who is licensed, insured
and certified can apply pesticides, or a Pest Management Professional 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 on-site 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 management professional (PMP) or company name
 defined frequency of scheduled service intervals: shall be minimum monthly basis
 how all traps, bait stations, glue boards and insect glue light traps (insect zappers
that causes the insects to explode are not allowed inside the facility) shall be labeled
(include PMP 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 insect light traps 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 PMP
In countries where certifications are not used/available, the supplier shall furnish
documentation that pest management professional has formal and ongoing training.
39
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 designated safe for a food environment and listed in the pest control program
manual on an "approved list of chemicals," whether they are applied by licensed or non-
licensed plant personnel.
NOTE: Documentation faxed/emailed to the supplier at the time of the audit is not
acceptable for adherence to the criteria. Points are to be deducted.
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

nonconformance:
 two elements in the above list of requirements are not available or current
 scheduled service intervals are less frequent than monthly

 pest control services conducted by non-certified or non-licensed individual
 more than two elements are not available or current
 no program
5.2 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)
All Points: (15 points): 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).
40
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 PMP 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.

 If supplier subscribes to an externally managed 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/emailed documents at the time of a
Yum! Brands audit are acceptable.
nonconformance:
 MSDS and labels are current (less than 5 years old) and 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

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

 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
5.3 PMP (Pest Management Professional) service reports, including usage logs, are
current and available for review.
(Records)
All points (10 points): Supplier must provide service reports from the pest management
organization or complete inspection records if service is performed internally. They must
include:
 individual conducting service
 services performed
41
 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
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 PMP who fills out the service logs to the PMP who signs off on
the traps/bait stations, to the PMP whose certification is in the book, making
sure all 3 match.

nonconformance:
 frequencies not matching those outlined in the pest control program
 single/isolated instances of missing or incomplete information/records
 single element missing

nonconformance:
 numerous instances of missing or incomplete information/records
 two elements missing

 no service reports
 the number of incomplete records indicates systematic failure
 more than two elements missing
5.4 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, insect light traps, 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).

nonconformance:
 trend analysis is conducted, but follow up actions are not formalized
 single/isolated instance of missing records
42
 single/isolated instance of an individual trap / station not included in trending

nonconformance:
 one type of pest control/monitoring devices are not trended
 numerous instances of missing records
 numerous instances of an individual trap / station not included in trending

 there are no records kept of historical pest activity
 two types of pest control/monitoring devices are not trended
 no corrective action taken
5.5 There is no evidence of INTERNAL pest activity.

(Observation)
All points (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, cockroaches, 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 6.5.
Minor nonconformance (7 points) One of the following will constitute a minor

nonconformance:
 single 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:
 isolated 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
 decomposed rodents in traps
43
 numerous instances of insect activity noted in the interior of the facility
 any observation of contaminated ingredient, product or product contact
material
 evidence of a live rodent (not in trap) or an animal observed inside the facility
5.6 There is no evidence of EXTERNAL pest activity.

(Observation)
All points (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, cockroaches, flies or other animals 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
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) should be noted as observations
but no points should be deducted in this section.

nonconformance:
 single instance of reoccurring/existing rodent activity (burrows, trails, excreta, tracks,
animal spoor) and/or bird nesting or cockroaches, flies or other animals observed
around the exterior perimeter of the facility or trailers/containers

nonconformance:
 isolated instances of reoccurring/existing activity rodent activity (burrows, trails,
excreta, tracks, animal spoor) and/or bird nesting or cockroaches, flies or other
animals around the exterior perimeter of the facility will be considered a major
nonconformance
 decomposed rodent(s) or other animals (frogs, lizards, etc.) in bait stations

 evidence of significant rodent activity (burrows, trails, excreta, tracks) and/or
bird nesting , significant tracks or trails of other wild animals
5.7 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)
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 if used, insect glue light traps shall be regularly cleaned out (kept free from a build-up
of insects and debris which has the potential for "spilling over")
 If used, insect glue light traps 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 insect glue light traps should be fitted with catch trays
In general, traps, glue boards and all pest control devices, including insect glue light
traps , must be positioned and maintained in a manner to prevent contamination.
Minor nonconformance: (7 points): One of the following will constitute a minor

nonconformance:
 one instance of improperly positioning or maintaining insect glue light trap in a
storage or loading area (covered/protected product)
 single/isolated instance of a fly swatter found in production or storage area

nonconformance:
 more than one instance of improperly positioning or maintaining insect glue light trap
or in a storage or loading area (covered/protected product)
 numerous instances of fly swatters found in production or storage area
 one instance of an electronic zapper that causes the insects to explode being used in
the receiving, processing, storage or loading area

 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
5.8 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:
 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).
45
 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, insect glue light 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.)
Local regulations may require exceptions/differences to above guidelines. At all times,

local regulations must be met.

nonconformance:
 single/isolated instance(s) of traps, insect glue light traps, and glue boards not
working properly or inadequately maintained
 single/isolated instance(s) of traps and glue boards not placed properly
 single instance of missing trap or glue board
 single / isolated instance of a trap, insect glue light traps, or glue board found without
service label or date

nonconformance:
 isolated instances of a missing trap or glue board
 numerous combined instances of traps, insect glue light 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

 numerous incidences of traps or glue boards not used where GMP’s would allow
their use
 systematic failure to maintain traps, insect glue light traps and glueboards
5.9 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. In public access area follow label
requirements. (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.)
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 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 PMP. (Electronic scan method or punch cards are
acceptable as long as PMP initials/signature are on final report, and the cards/scan
codes are inside the device requiring the PMP to open the station.)
unlocking device for bait traps should be available at the facility so that the traps may
be examined during the audit

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
 single/isolated instance of bait station found without service label or date

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
 numerous instances of bait station found without service label or date

 numerous incidences of traps or bait stations not used where GMP’s would allow
their use
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 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
6.0 OPERATIONS AND FACILITY:
6.1 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

nonconformance:
 single/isolated instance(s) of incomplete records
 single incidence of loose or unaccounted for parts or tools in the processing area.

nonconformance:
 program only targets certain pieces of equipment
 program only addresses start-ups
 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.

 two elements are missing from the program
48
 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
6.2 Procedures for facility inspections (including production areas, non-production

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.

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

nonconformance:
 two or more above elements are missing
 numerous instances of follow up actions not in place for issues noted
 frequency of inspection is more than monthly but less than quarterly

 no procedures for inspection
 inspection is less frequent than quarterly
6.3 Procedures are established for conducting internal assessments based on Yum!
Brands Food Safety Audit .
(Procedures - Records)
All points (5 points): Procedures are established to conduct internal assessments of
Yum! Brands Food Safety Audit a minimum of once per year. Procedures shall
document the following:
 designated, qualified auditor (this may be an individual or a position)
 the person or position responsible for scheduling the audit
 audit frequency
49
 audit process
 management review
 follow-up on areas of opportunity
Action plans shall be developed to address non-conformances and, re-assessments

made on those audit points to validate the effectiveness of the corrective action.
Internal assessments are conducted by qualified auditors. To be considered qualified,

the auditor must have formal auditor training.
Formal Auditor Training - shall be similar to ISO Lead Auditor trained (not necessarily
certified), ASQ pre-certification training, etc. The auditors shall have documentation of
formal training as a quality auditor. HACCP, GMP, or informal training is not acceptable
as formal training.
Audit experience and/or "self-study" alone does not satisfy the criteria for "properly
trained". In-house training is acceptable if the instructor is trained and certified by a
recognized body and the training program meets Yum! Brands criteria for training.
Minimum elements for training should include the knowledge defined in ISO-19011.
ISO, GMP or HACCP self audits can be used to satisfy certain sections of the Yum!
Brands audit as long as the supplier covers all sections of both Yum! Brands audit and is
able to demonstrate the audit points or sections are covered in their internal self-audits.
Improvement teams or individuals should use this information for improvement

opportunities and to process follow-up audit findings Audit results shall be reviewed and
supported by senior management.
conformance:
 single/isolated instance(s) of incomplete or missing records
 single/isolated instance(s) of issues not resolved
 one key element is not addressed
conformance:
 numerous instances of issues not resolved
 more than one element is not addressed
 auditor's formal training meets most, but not all requirements
 audit corrective action plans are not documented
 it has been more than 12 months but less than 18 months since the last assesment
No Points: No points will be awarded if any one of the following is encountered:

 self-audit procedures are not documented
 no corrective action taken on assessment findings
 auditor has not had formal training.
 More than 18 months since last assessment
50
6.4(*) Corrective action plans from previous Yum! Brands audit have been completed.
(Observation)
All points (10 points): The supplier can demonstrate all corrective action plans from the
previous Yum Brands audit were completed on time, and were effective in addressing
issues. Observation should confirm that the documented corrective action plan is
completed.
*NOTE: If this is the supplier's first assessment with Yum! Brands, score this question
as N/A.
Minor non-conformance (7 points): Substantial progress was made in addressing

items, but one corrective action item was not completed within the time frame allotted.
Major non-conformance (3 points): Some progress was made, but action plans were
not completed within the allotted time or failed to adequately address problems.
No points: Little or no progress made in addressing items mentioned in action plan.
6.5 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, over exposed product, in lights, or in the
ceiling
 no condensation leaks near or dripping on product , product contact surfaces, or
product packing material or pooled water observed in floors
 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

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
51
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

 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
6.6 Housekeeping is acceptable for EXTERIOR grounds of facility.

(Observation)
All Points (5 points): Grounds are:
 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.

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)

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)
52
 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.
6.7 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
 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 openings are sealed against pest entry and kept closed (includes inspection
of screens, weather stripping, loading dock doors, dock levelers, doors, windows,
etc.)
Note: Duct tape may be used on ducts.

nonconformance:
 inspection shows single/isolated temporary 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
 single/isolated instance of dock door seals and/or brushes not intact or present

nonconformance:
 inspection shows numerous temporary repairs used longer than one shift which do
not pose a threat to product or packing contamination
 inspection shows temporary 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
 numerous instance of dock door seals and/or brushes not intact or present

 numerous areas of potential contamination
53
 any instance of contamination of a product contact surface
 any observation of direct contamination of product, ingredients or packing
materials
6.8 A minimum 18" (45 cm) inspection perimeter is maintained throughout the storage
areas.
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.

nonconformance:
 single/isolated instances of the inspection perimeter not being maintained
 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

 the facility does not maintain inspection perimeters
 no documentation of cleaning activities if area is too small to maintain perimeters
6.9 Walkways, permanent ladders and conveyors are shielded to protect product
and packing materials from possible contamination.
(Observation)
All points (5 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
54
 No condensate observed dripping on food or food contact areas

nonconformance:
 single/isolated instance of unshielded ladders, walkways or conveyors

nonconformance:
 numerous instances of unshielded ladders, walkways or conveyors

 any noted contamination of food contact surface
material
6.10 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 or have shatter proof bulbs 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
 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
 Incident reports / records are maintained
The procedure shall include:

 a list of all essential glass and brittle plastics (plastic pens or breakable implements)
with the items on the list checked at a minimum of monthly 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, insect glue light traps, 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
55
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
 single/isolated instance of documented glass or hard plastic not included in the
essential glass and brittle plastics inspection records
frequency of inspections less than once a month but at least quarterly

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
 inspection shows single/isolated unshielded/breakable material which would not
pose a risk to finished product, raw ingredients or packing materials and is not
 numerous instances of undocumented glass or hard plastic omitted from the
essential glass and brittle plastics
 no list of glass and brittle plastics
 numerous instances of documented glass or hard plastic not included in the essential
glass and brittle plastics inspection records
 no incident report / record maintained
 frequency of inspections less then quarterly
No points: No points will be awarded if one of the following situations is encountered.

 systematic failure to shield or make all glass shatterproof
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
 no records of glass and hard plastics inspections
56
6.11 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 7.7. Hand wash "signage"
addressed in 7.8)

nonconformance:
 single/isolated instance(s) of nonconformance to above requirements

 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
6.12 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
 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)

 isolated instances 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)

 multiple potential product contamination threats
57
 any observation of direct contamination of product, product contact surface,
ingredients or packing material
6.13 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.

nonconformance:
 single/isolated instance of not meeting the above criteria

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)

 forklifts or pallet jacks conveying product, packaging materials, or ingredients 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
6.14 Only food grade approved lubricants are used in food contact areas.
(Observation - Documentation - Records)
 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)
58
 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
 grease gun labels are not legible
 food grade and non-food grade grease guns stored together without physical
separation
 food grade lubricants not stored apart from non-food grade items
 any lubricant used for food contact surfaces observed not labeled or labels not
legible
 no records available

 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
materials
6.15 All containers are properly labeled.

(Observation - Documentation)
 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

nonconformance:
 single/isolated instance(s) of improperly or unlabeled containers in non-production
areas
 single/isolated instance(s) of container labels not being legible in non-production
areas
 color coding signage posted but not in production area (if color coding used)

nonconformance:
59
 numerous instance(s) of improperly or unlabeled containers in non-production areas

 any instance of improperly labeled or unlabeled containers in production areas
 any instance container labels not being legible 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)
6.16 All areas are free from potentially hazardous materials that may contaminate
food product or packing material.
(Observation)
 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/sanitizers 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".

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

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

 auditor observes hazardous, unknown, unlabeled or potentially hazardous or
unapproved materials that potentially could adulterate food or packing
materials
material or any instance of contamination of a product contact surface.
7.0 GOOD MANUFACTURING PRACTICES
7.1 GMP Program is established. Signs supporting GMP’s are posted appropriately.
(Program – Documentation - Observation)
All points (10 points): A GMP policy is established. The GMP program is written to
include:
60
 an effective GMP program for all employees, visitors and contractors is available –
that includes appropriate dress and personal hygiene requirements
 GMP’s must be posted for all employees, contractors and visitors
 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
7.2)
All areas found in questions 7.3, 7.4, 7.5, 7.6, 7.7, 7.8 and 7.9 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).

nonconformance:
 Good Manufacturing Procedures have been developed, but guidelines are not
posted
 No signage supporting GMP’s, but policy is posted

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

 procedures for GMP’s are not defined
 no training for GMP’s
7.2 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.

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

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

 self-audits are not conducted or less frequently than once each year
 records do not exist
7.3 Employees are complying with GMP’s.
61
(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 production 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) and brightly colored
The above applies to production and areas where ingredients and product packing is
being handled.
NOTE: Company-provided uniforms and cloth caps are addressed in outer garment
policy question 7.4
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
7.4 An outer garment policy is established.

(Observation - Program)
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.
62
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 or is over exposed food or food contact
surfaces
 conditions for the cleaning / changing of gloves should be established
 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
 one missing element from program
Major nonconformance (3 points): The following constitutes a major nonconformance:

 numerous instances of non-compliance to the above
 two missing elements from program

 systematic non-compliance to a garment policy
 no written garment program / policy
 three or more missing elements from program
7.5 Personal items are stored away from processing areas.

(Observation)
 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

nonconformance:
 single instance of non-compliance to the above requirements that does not pose a
threat of contaminating product or packing material.

nonconformance:
63
 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

 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
7.6 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).

 one or more individuals observed with a medical condition which likely poses
the risk of product contamination
material or any instance of contamination of a product contact surface will be
an automatic failure.
7.7 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. Warm water is defined as water that reaches
100°F (38°C) within one minute (or as defined by the local food code).
 If hand dip stations are used, they must be cleaned and free of particulates, dirt and
debris and changed often enough to keep the sanitizer concentration in the
acceptable range (note: concentrations are checked in section 4.5)
64
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.

nonconformance:
 one instance(s) of one hand wash station that does not meet the above requirements
 one hand dip station is not maintained
 single observation of employees not washing hands

nonconformance:
 two or more instances of hand wash stations not meeting all of the above standards
 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
 more than one observation of employees not washing hands

 stocked hand wash stations are not readily available
 hand wash stations are not used
7.8 Signs supporting hand washing are posted appropriately.

(Observation)
 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

nonconformance:
 single/isolated instance(s) of signage nonconformance

 numerous instances of signage nonconformance

 no signage posted
 systematic signage nonconformance
 signage not posted in restrooms
7.9 Work areas are orderly with tools and processing supplies properly stored.
(Observation)
65
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

nonconformance:
 single/isolated instance of clutter in a work area where there is not the potential for
food or packing contamination

nonconformance:
 numerous areas of clutter which potentially will not contaminate food or packing, but
hinders worker performance.

 food contact surfaces are exposed to spare parts or contamination due to improperly
stored supplies or cluttered work areas
7.10 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 micro laboratory
 have a procedure for contamination control if pathogens are part of the testing
program
 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.
66
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.

nonconformance:
 limited workspace which inhibits employees' ability to properly perform their jobs
 a single/isolated observation of clutter
 a single/isolated observation of unclean equipment, tables, floors, cabinets or wash
areas is observed
 one instance of non-compliance with the above requirements.

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.
 inadequate design to prevent contamination of products being manufactured
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.
67

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Yum! Brands, Inc.

(KFC, Pizza Hut, and Taco Bell)

Food Safety Audit

1. Points noted in parentheses (10 points) represent points earned.

Automatic failures of an Approval Audit will result in a Non-Approval rating.

3. Each question scoring an Automatic Failure or No Points is to have a request for

4. If a supplier's process makes it impossible to meet guidelines exactly as written, the

5. Documentation faxed or emailed to the facility at time of audit is not acceptable.

7. All Systems/procedures must be in place prior to a plant attaining Approved Status.

__________________________ DEFINITIONS __________________________

For the purposes of this audit/evaluation:

1.0 PRODUCT PROTECTION

Minor nonconformance (7 points): The following will constitute a minor

Major nonconformance (3 points): The following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

1.2 An annual program is established to review internal existing HACCP plans.

Major nonconformance (1 points): One of the following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

1.3 CCP’s are monitored according to documented procedures with

Minor nonconformance (7 points): The following will constitute a minor

Major nonconformance (3 points): The following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

Minor nonconformance (7 points): The following constitutes a minor nonconformance:

Major nonconformance (3 points): The following constitutes a major nonconformance:

No points: No points will be awarded if one of the following situations is encountered:

1.5 Measures are taken to prevent cross contamination

Minor nonconformance (7 points): One of the following will constitute a minor

Major nonconformance (3 points): One of the following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

1.6 There are no potential or actual instances of product

No points: No points will be awarded if one of the following situations is encountered:

1.7 Annual water quality reports are on file.

Minor nonconformance (3 points): The following will constitute a minor

Major nonconformance (1 points): One of the following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

1.8 Facility has established a procedure to prevent foreign material contamination

Minor nonconformance (3 points): The following will constitute a minor

Major nonconformance (1 point): One of the following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

For metal detectors and imaging devices, verification of sensitivity is conducted by

Fresh and bulk frozen poultry:

Pre-washed pre-chopped produce:

Suppliers can use stricter minimum metal detection standards.

The auditor will verify the following:

No points: No points will be awarded if one of the following situations is encountered:

1.10 Product and facility temperature control measures are effective.

Product Temperatures and Shipping

Temperature conditions should be measured and recorded as documented while the

Minor nonconformance (3 points): One of the following will constitute a minor

Major nonconformance (1 points): One of the following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

1.11 Food allergen control measures are effective.

Minor nonconformance (7 points): One of the following will constitute a minor

Major nonconformance (3 points): The following will constitute a major

No points: No points will be awarded if one of the following situations is encountered:

2.0 PRODUCT RECOVERY AND FOOD SECURITY

2.1 A documented Product Recall Program is established.

Minor nonconformance (10 points): The following will constitute a minor

Major nonconformance (5 points): The following will constitute a major

No points: No points will be awarded if any of the following is encountered:

2.2 Contact lists are maintained for product recoveries.

Minor nonconformance (7 points): One of the following will constitute a minor

DEFINITIONS