Professional Documents
Culture Documents
FSA - Guide - 2013 FINAL PDF
FSA - Guide - 2013 FINAL PDF
2013 version
These guidelines are for use in Approval and Ongoing Food Safety evaluations of food
suppliers that supply products for Yum! Brands, Inc.
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.
6. When guidelines refer to product, the reference is to any product manufactured for
Yum! Brands restaurants' use.
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.
1
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
2
“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
3
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)
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.
4
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
1.4 Employees are aware of CCP’s and the critical limits in their area and take
appropriate action.
(Observation - Records)
5
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.
6
reuse of single use containers
finished product container used for other than intended use
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.)
7
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.
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
8
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.
1.9 Foreign material control methods are used and are evaluated to ensure
proper operation.
(Observation - Records)
All points (15 points): For all Yum! Brands food products, appropriate foreign material
control must be in place and working and positioned as close to the final packing as
possible. Products packed in foil containers must have metal detection in line before
packing or use imaging systems after packing.
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
9
4.5 mm stainless (316 grade)
3.5 mm nonferrous
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.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
records contain isolated instances of incomplete or missing information
metal detector fails auditor's check and plant takes appropriate corrective action (all
product between acceptable checks was placed on HOLD)
10
Major nonconformance (5 points): One of the following will constitute a major
nonconformance:
records contain numerous instances of incomplete or missing information
frequency or sensitivity of metal detector, 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
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
11
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
This audit point will be scored N/A if there are no temperature sensitive products or
ingredients handled by the supplier.
12
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.
13
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.
14
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.
15
- 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.
16
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.
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.”
17
(Observation - Records)
All points (15 points): The auditor will select a single raw food ingredient or food contact
packing material code number or lot number and ask the supplier to trace it to finished
product lots, rework, any work in process, product on hold or destroyed (if applicable)
onto the first external customer within 2 hours.
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.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
process does not or cannot track packing materials to finished product lots
isolated instances of incomplete or missing records
18
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
2.7 An annual program is established to review the Food Security Program. Records
with corrective actions are available.
(Program - Records)
19
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
20
two elements of the above missing
numerous instances of missing records
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.
NOTE: Labels and returnable containers for poultry are not considered packing
materials.
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
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.
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.
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
25
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.
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
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
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
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.
Minor non-conformance (7 points): One of the following will constitute a minor non-
conformance:
・ single instance of missing pre-plant audit
・ single instance of missing pre-harvest audit
・ single instance of missing training record for an auditor
Major non-conformance (3 points): One of the following will constitute a major non-
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
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.
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.
Minor non-conformance (7 points): One of the following will constitute a minor non-
conformance:
・ single instance of missing water test
Major non-conformance (3 points): One of the following will constitute a major non-
conformance:
・ single instance of a missing corrective action record for water test
4.0 SANITATION
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.
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.
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.
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.
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
4.5 Cleaner and sanitizer concentrations and applications comply with the Sanitation
Program.
(Observation - Records)
All points (10 points): The auditor shall verify that:
sanitizer and cleaning chemical concentrations and applications must match the
requirements of the cleaning program and the manufacturer's recommendation for
the application
automatic systems must be routinely calibrated per the manufacturer's suggested
frequency. Records should be available to show that the system is functioning
properly
a "no rinse" sanitizer out of an automatic mix system shall have periodic verification -
minimum quarterly
test strips, or kits, 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.
35
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
numerous incomplete inspection records
numerous instances of follow up action not documented
observation of numerous minor cleaning issues (non food contact area)
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.
36
No points: No points will be awarded if one of the following situations is encountered:
no microbiological monitoring program
systematic failure to maintain records
written program missing more than two elements
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).
(Program - Records - Documentation)
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
Minor non-conformance (7 points): One of the following will constitute a minor non-
conformance:
・ single program design element not meeting Yum EPTP requirements
・ single instance of missing sampling identified during record review
Major non-conformance (3 points): One of the following will constitute a major non-
conformance:
・ Isolated instances of program design elements not meeting Yum EPTP requirements
・ Isolated instances of a missing sampling 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
(Program - Records - Documentation)
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.
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.
38
single/isolated instance(s) of a broken (hard to clean) or wooden handled utensil
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.
Minor nonconformance (15 points): One of the following will constitute a minor
nonconformance:
single/isolated instance(s) of unclear or incomplete documentation
one element of above requirements is not on file or current (frequency addressed as
a major nonconformance)
schematic map is not up-to-date/complete
list of approved pesticides not up to date or complete
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
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: This is the only instance in which faxed/emailed documents at the time of a
Yum! Brands audit are acceptable.
Minor nonconformance (10 points): One of the following will constitute a minor
nonconformance:
MSDS and labels 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
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.
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).
42
single/isolated instance of an individual trap / station not included in trending
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.
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
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.
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)
44
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.
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.)
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.)
46
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
47
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
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
Grounds include to property line or 100 feet (30.5m) from the plant, which ever is less
and all dumpster (waste disposal) areas.
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
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.
Minor non-conformance (3 points): One of the following will constitute a minor non-
conformance:
single/isolated instance(s) of incomplete or missing records
single/isolated instance(s) of issues not resolved
one key element is not addressed
Major non-conformance (1 points): One of the following will constitute a major non-
conformance:
numerous instances of incomplete or missing records
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
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.
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.
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
51
Major nonconformance (3 points): One of the following will constitute a major
nonconformance:
numerous instances of housekeeping issues
a single condition which may pose the potential risk of ingredient/product/packing
contamination is observed
numerous instances of improperly maintained or inadequate number of trash
receptacles or trash/product build up
numerous instances of aged ice build-up evident in freezer or mold/mildew buildup in
coolers or refrigerated areas
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.
52
No points: No points will be awarded if one of the following situations is encountered:
systematic failure to properly maintain grounds, remove litter and weeds
systematic failure to remove trash/dumpster build up
excessive areas of standing water
storage of equipment in a manner which encourages pest activity or provides rodent
harborage
a business that poses a potential or actual risk of contamination to food product or
packing is located within 100 feet (30 meters) of the plant.
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.)
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.
(Observation - Records)
All points (5 points): An inspection perimeter is maintained to allow for the proper
inspection of storage areas and to deter harborage of pests.
Note: This area shall be measured from the wall at the floor - if an interior column exists
which imposes on the 18 inch (46 cm) distance, there must be access around column for
maintenance and pest control management. If an inspection perimeter is physically
impossible, it is permissible that the bottom rack be 18 inches (46 cm) off the floor, which
is typically the situation found in freezers with racking systems. Inspection perimeters
are not required in product staging areas.
If the room is too small to effectively maintain an 18 inch (46 cm) perimeter or if the
bottom rack is not 18 inches (46 cm) off the floor, the area must be cleaned and
inspected at a minimum of monthly and documentation of these activities must be
available for each specific area.
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
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
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.
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)
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.
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.
6.14 Only food grade approved lubricants are used in food contact areas.
(Observation - Documentation - Records)
All points (5 points): The auditor will verify compliance to the following:
only food grade lubricants are used in all product/packing contact areas
only food grade lubricants are stored in production/storage area(s)
food grade verbiage should be visible on the label of lubricants and grease guns
(color coding acceptable with signage to support)
58
food grade lubricants shall be stored apart from non-food grade items so as to
eliminate any user confusion between the two
59
numerous instance(s) of improperly or unlabeled containers in non-production areas
6.16 All areas are free from potentially hazardous materials that may contaminate
food product or packing material.
(Observation)
All points (5 points): The auditor will verify compliance to the following:
hazardous materials are securely stored to prevent unauthorized use. Typically this
would be a locked closet or cage located in a storage room
hazardous materials shall be stored away from all food and packing materials and
production areas
inkjet ink and cleaners/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".
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).
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.
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
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
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
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.
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
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.
67