Food Safety Audit

c
Food
Safety
Audit
Date: 01/29/18 Food Safety Audit

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Confidential Information — Proprietary to Yum! Brands, Inc.
Yum! Food Safety Audit Contents Page
Introduction to Yum! 3
Yum! Food Safety Audit 3
Additional information
Audit Strategy (Observation vs. Desk Activities) and Time 4
Legislation 4
Training and Exit Criteria: 4
Qualified Internal Auditor 4
Food Safety Risk Assessment 5
Food Fraud & Food Defense 5
Food Safety Culture 6
Grading the Assessment 7
Definitions - Non-Conformances 7
Supplier Grading and Continuous Improvement Management Expectations 8
Unannounced Audits 9
Glossary 10
Audit standard
① Food Safety Risk Assessment 12
② Hazard Analysis and Critical Control Point (HACCP) 12
③ Food Safety Culture 15
④ Food Fraud and Food Defense 16
⑤ Pest Prevention 17
⑥ Good Manufacturing Practices (GMP) & Employee Health and Hygiene 19
⑦ Foreign Material Prevention and Control 22
⑧ Micro and Analytical Testing and Monitoring 24
⑨ Maintenance and Sanitation 26
⑩ Supplier Approval 28
⑪ Traceability 30
⓬ Fresh Produce Module (category specific requirements) 32
⓭ Dairy Module (category specific requirements) 32
⓮ Raw Animal Foods Module (category specific requirements) 33

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Introduction to Yum!
Yum! Brands, Inc., based in Louisville, Kentucky, has more than 43,000 restaurants in almost 140 countries and
territories. The Company’s restaurant brands – KFC, Pizza Hut and Taco Bell – are the global leaders of the
chicken, pizza, and Mexican-style food categories. Worldwide, the Yum! Brands system opens over six new
restaurants per day on average, making it a leader in global retail development.
Since our spin-off from PepsiCo in 1997, Yum! Brands has become a truly global company. We’re proud to be
the worldwide leader in emerging markets with nearly 17,000 restaurants, nearly twice as many as the nearest
competition. With about 2.5 restaurants per million people in the top 10 emerging markets, compared to 57
restaurants per million in the U.S., we are on the ground floor of global growth.
Importantly, we’re extremely proud of our 1.5 million associates around the globe and the unique culture we’ve
built, one that’s filled with energy, opportunity, and fun. We believe in our people, trust in their positive
intentions, encourage ideas from everyone and have actively developed a workforce that is diverse in style and
background. Yum! Brands is a place where anyone can, and does, make a difference.
Yum! Food Safety Audit

Yum! Quality Assurance standards are developed to ensure brand protection, food safety and the highest quality
products underpinning consumer confidence and satisfaction. To meet our mission of being the consumer’s
favorite brands, we must deliver 100% customer satisfaction. Our ability to achieve this requires that Food
Safety is built into every process we use, starting with the sourcing of materials and ending with the delivery of
the highest level of service and superior products to our customers.
Food Safety Audits (FSA) are performed in all food manufacturing facilities once per year or as determined by
the local Yum! Brands/Business Unit Quality Department. The audits may be performed by the Brand or Business
Unit QA or by third party auditors who have been selected and certified by the Yum! Brands Quality Department.
The audit format covers specific food safety and sanitation concerns. The audit evaluates the adequacy of
documentation, compliance to demonstrate procedure, effectiveness of procedures to control the process
within defined limits and the ability to implement corrective action and preventing actions plans.
The FSA was developed to specific food safety criteria required to be established within the manufacturing
facilities. The format and content of the audit are designed to allow assessment of the facility, operational
processes and systems and the demonstration of leadership and staff commitments to food safety.
Food safety is top priority at Yum! Brands and a primary focus. Our goal is to provide “Trust in Every Bite” by
maintaining an industry leading food safety program that minimizes food safety risk for our customers.
Additional information
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Audit Strategy (Observation vs. Desk Activities) and Time
The site is expected to be prepared and meet the Yum! audit requirements each and every day of operation and to have
appropriate team members available at all times during the audit.
The audit time may vary depending on the review of the audit requirements and the complexity and preparedness of the
supplier.
The audit must dedicate ample time (approximately 50%) to verification of the supplier’s food safety and general good
manufacturing practices through physical observation in and around the facility, as opposed to ‘desk audit’ activities.
Examples include observation of work activities and processes, employee behaviors, condition of facility, environment
and equipment, interview of plant personnel, and production area records.
Legislation
It is the Yum! expectation that the supplier facility will comply with all relevant legislation and regulatory requirements
applicable to the facility and to the market of production and use, which may go beyond specific Yum! audit requirements.
It is the facilities responsibility to meet specific government/regulatory requirements (e.g. risk assessments include HACCP,
food safety plans, pre-requisite and preventative control programs.). The Yum audit is not a government regulatory audit
and is not meant to replace it.
Training and Exit Criteria:

• All employees and agency staff working on the site shall be suitably trained.
• For all roles there will be a defined plan for what training is required. For each individual there will be a record
that can demonstrate that all training was completed with relevant documentation (certificate, test result,
attendance log, trainer sign off)
• All training requires exit criteria, in addition where a task is critical to food safety there will be suitable assessment
and sign off that the individual is competent in the task required.
• All training must be completed by a suitable qualified person. Where this is internal training the trainer must be
able to demonstrate that they are suitable qualified to give the training i.e. qualified in HACCP training
• There will be a planned review to check that all training is effective and individuals training is reviewed on a timely
basis
• Unless otherwise stated all training must be completed at hire and annually (within a 12 month period)
thereafter
Qualified Internal Auditor

• Appropriate post qualification work experience (at least 2 years in industry, e.g. production/QA)
• Qualified Internal Auditor has taken part in a third-party course related to auditing within a Food Manufacturer.
Shall be similar to ISO Lead Auditor (not necessarily certified) or ASQ pre-certification training, or other equivalent
training/certification. Such courses can be related to Internal Auditing and/or must contain at a minimum
practices defined in ISO 19011 – Guidelines for Auditing Management System. If approved by Brand/BU, the
training of internal auditor can be done internally.
• Attend formal HACCP training from an external HACCP course provider and have risk assessment training or FSMA
PCQI (Preventive Control Qualified Individual) as required by FDA Standards.
• Completed other internal auditor training as required by the Brand or BU.

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Food Safety Risk Assessment
Food Safety Risk Assessments must addresses all potential hazards. Includes hazards identified by HACCP program and
also potential hazards related to and include, but are not limited to food allergens, foreign material, sanitation,
suppliers, environment and others. A risk assessment is a thorough evaluation of the likelihood that a foreseeable hazard
could be present and the severity this would have on a consumer. Simple quadratic models can be used as shown below.
Identify your product and process (list one hazard per category) and assess the risk of each hazard using a risk assessment
matrix.
For example if the likelihood and the severity of the hazard is high then the risk of that hazard is high. A high risk rating
would mean that urgent action is required, and regular monitoring may be needed to manage the identified risk. A medium
rating could mean that action is needed, with occasional monitoring to mitigate the risk. Actual actions required are
determined by the facility.
Food Fraud & Food Defense

Food Fraud, the intentional substitution of a product or ingredient for economic gain, is of growing concern. Some
examples of food fraud are: misbranding, unapproved enhancements, unapproved substitutions, dilutions, and
mislabeling. There are overlaps between Food Fraud and Food Defense that is driven by the criminal’s motivation.
Economically driven motivation is Food Fraud and Ideological (malicious attacks) driven motivation is Food Defense.
Here at YUM! Brands, we are committed to the prevention of these food incidents with our trusted suppliers. Food
Fraud and Food Defense programs and their vulnerability assessments need to accurately assess areas of opportunity so
that corrective preventive measures can be established. With all of this in mind, YUM! Brands expects all of our
suppliers to have updated and engaged Food Fraud and Food Defense programs focused on mitigation and prevention
of risk in their facilities. We also expect documented and robust vulnerability assessments to be completed.
The below potentially useful references are provided to help the supplier in the development of their Food Fraud or
Food Defense program:
1. PAS 96:2014, Guide to protecting and defending food and drink from deliberate attack. Food Standards Agency.
http://www.food.gov.uk/sites/default/files/pas96-2014-food-drink-protection-guide.pdf
2. TACCP Treat Assessment and Critical Control, Point, A practical Guide, 2014. Campden BRI 2014.
www.campdenbri.co.uk
3. Food Defense Guide Recommendations DGAL_mai 2007, Food Defense Guidelines - Agriculture Ministery –May
2007. http://agriculture.gouv.fr/IMG/pdf/dgaln20078128z.pdf
4. The U.S. Pharmacopeial Convention (USP) Food Fraud Database. A searchable database composed of both
scientific and mainstream media reports on food fraud incidences. http://www.foodfraud.org/node

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5. CARVER + Shock. A set of vulnerability assessment tools.
http://www.fda.gov/Food/FoodDefense/FoodDefensePrograms/ucm376791.htm
6. Food Defense_Guide Recommandations DGAL_mai 2007 = Food Defense Guidelines – Agriculture Ministery –May
2007. http://agriculture.gouv.fr/IMG/pdf/dgaln20078128z.pdf
7. Guidance for Industry: Food Producers, Processors, and Transporters: Food Security Preventive Measures
Guidance, March 2003; Revised October 2007.
http://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInformation/FoodDefense/ucm08
3075.htm
8. French Resource: Guide des recommandations pour la protection de la chaîne alimentaire contre les risques
d’actions malveillantes, criminelles ou terrorists. http://agriculture.gouv.fr/IMG/pdf/guide-
2014_140214_V2_cle03f4ef.pdf
9. Fighting Food Fraud, European Parliamentary Research Service.
http://www.europarl.europa.eu/RegData/bibliotheque/briefing/2014/130679/LDM_BRI(2014)130679_REV1_EN.p
df
10. BRC, Understanding Vulnerabilities Assessment:
file:///C:/Users/pcz7428/Downloads/UNDERSTANDING%20VULNERABILITY%20ASSESSMENT%20(16).pdf
Food Safety Culture

A positive food safety culture mitigates the risk of a foodborne illness and food safety incidents. Research supports that
the most important factors for developing a food safety culture are senior leadership and management commitment
and worker food safety behaviors. If leadership/management creates a work environment that encourages proactive
food safety behavior and food safety culture, the plant teams will be encouraged to demonstrate proactive food safety
behavior. Consistency by senior leaders and management commitment plays a key role in setting the example for the
plant employees to follow. Have you ever wondered why some people do the right thing all the time and others only
when their supervisors are watching them? Food safety culture is a shared attitude by all employees (leadership,
managers and team members), especially with new employees who will tend to follow the dominant behaviors found in
the facility.
The below potentially useful references are provided to help the supplier in the development of their Food Safety
Culture program:
1. Yiannas, F. (2009). In Frank Yiannas. (Ed.), Food safety culture creating a behavior-based food safety
management system. New York: Springer, c2009.
2. Assessing Factors Contributing to Food Safety Culture in Retail Food Establishments;
http://www.foodprotection.org/files/food-protection-trends/Aug-12-Neal.pdf. This is a good reference on food
safety culture, it is geared towards retail but the principles are universal.
3. Article by Lone Jespersen. Food Safety Culture: Measure What You Treasure:
https://foodsafetytech.com/feature_article/food-safety-culture-measure-what-you-treasure/
4. Article by By Geoff Schaadt, Creating a Culture of Food Safety: http://www.foodsafetymagazine.com/magazine-
archive1/junejuly-2013/creating-a-culture-of-food-safety/
5. Best Practices for Building a Food Safety Culture; http://pgpro.com/webinars/best-practices-for-building-a-food-
safety-culture/
6. How to Create Food Safety Culture With Your Teams: http://www.foodprocessing.com/articles/2015/create-
food-safety-culture-with-your-teams/?show=all

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Grading the Assessment
The audit is intended as an objective assessment of the food safety management programs in the food facility and is
used to assess the food facilities compliance to the Yum! Audit requirements. The grade is dependent on the number
and severity of the non-conformities identified at the time of the audit. Each of the requirements have a designation of
F for Foundational, P for Primary or S for Secondary and the non-conformances will be scored per the below guidelines:
Definitions - Non-Conformances
Foundational: critical failure or a systemic failure to comply with food safety requirements that could directly impact
human health or brand reputation:
• The Brand or BU QA department will be contacted immediately by the auditor (while still finishing the audit) to
assess current and future product production.
• This situation is expected to trigger an escalation process and prompt an immediate risk assessment by the Brand or
Business Unit QA leaders on the supplier.
Note: A foundational requirement may be scored as a P or and S according to the below definitions.
Primary: failure to comply with the requirements based on the evidence available:
• The objective evidence does not show a complete program, or the requirement is not completely being met.
• Degree of compliance warrants a lesser non-conformance to Foundational.
• Numerous instances of incomplete records.
• Significant improvement will be needed to meet expectations.
• A systematic failure to develop or implement a program
Note: A Primary requirement may be scored as an S according to the below definition.
Secondary: requirement has not been fully met but based on objective evidence food safety of product will not be
compromised:
• Single instances where an audit requirement is not being met.
• Improvements are needed to meet expectations.
• Single/isolated instances of incomplete records
• Documentation is not clearly defined.
• Degree of compliance warrants a lesser non-conformance to Primary
• The goal of this assessment is to provide a clear picture of the food facilities ability to meet food safety requirements
as set by Yum! Brands. During the assessment, auditors shall give consideration to repeat or clustered deviations
against secondary requirements to determine if these should result in Primary deviations.
Where training, testing or a program is required to be conducted/reviewed annually (12 month cycle), if it has been
more than 18 months the full non-conformance will be given, if less than 18 months but greater than 12 months the
next lesser non-conformance will be given, unless otherwise indicated.
The auditor will evaluate documented policies and procedures, past and present monitoring records and facility
conditions and practices as they exist at the time of the audit. Scoring will be based on this objective observations.
Corrective actions taken during the audit will not remove the observation nor change the scoring but will be
documented in the audit report; it is encouraged, to correct the situation immediately. Existing documentation
provided to the auditor after the conclusion of the exit meeting will not change the scoring of the audit.
Corrective actions for any non-conformance noted in this audit must be implemented and documented. Corrective
action is defined as the correction of the immediate problem as well as prevention of re-occurrence of the problem.

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Table Summary of Audit Grading Criteria
GRADE Foundational NC Primary NC Secondary NC
Tier 1 0 ≤5 ≤10
Tier 2 0 6-12 11-15
Tier 3 0 13-18 16-20
Tier 4 0 19-24 21-25
No Tier 1 or more ≥25 ≥26
The above is the basic framework and requirements. The Brands and BUs can have additional audit grading criteria
requirements.
Supplier Grade Definitions and Continuous Improvement Management

Expectations
 Tier 2 - Brand/BU review the current volume per Brand/BU requirements.

 Tier 3 – In specific markets where a suppliers is not able to achieve tier 2 and they can still manage food safety,
based on a risk assessment the BU QA can consider to manage the supplier as a Tier 3 with an AMS.
 The above is the basic framework and requirements. The Brands and BUs can have additional audit grading tier
requirements.
 Re-audits, where required, will be conducted within a maximum of 60 days or as required by the Brand or BU QA
Dept.
 Corrective actions or a corrective action plans shall be completed within two weeks unless approved by Brand/BU.
Food safety critical corrective actions shall be completed immediately and as approved by the Brand/BU.

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Unannounced Audits
Unannounced Audit Program supports compliance to the Yum Global Food Safety Standards. Yum reserves the right to
conduct unannounced audits. Suppliers and distributors selected will be required to participate in this program.
Suppliers and distributors will be selected by Brand or BU QA to participate in the Unannounced Audit Program.
Decision to participate is at the discretion of the Brand or BU QA. Unannounced audits can be conducted for routine
audits to demonstrate the maturity of the suppliers/distributors systems or selection will be based on risk
analysis/assessment (e.g., poor performance, litigation, bad press events, recall/withdrawals, financial condition,
negative history, and customer complaints).
The unannounced audit dates will be coordinated between the auditor and the Brand or BU QA department. The
supplier/distributor will be informed that they are getting an unannounced audit and will not be notified of the actual
audit date.
Guidance for suppliers/distributors selected for an unannounced audit:
When will the unannounced audit be conducted? Up to 30 days (or as defined by the Brand/BU QA Dept.) before the
audit due date. For example if the last audit was done 28 Oct 2014, the unannounced audit would be conducted
between 29 Sept – 28 Oct 2015.
Will there be block out dates? Yes, program allows for a number of days (up to 5, or as defined by the Brand/BU QA) to
be blocked out from the audit as non-audited days. This is to accommodate dates where an audit would be
inappropriate (e.g. facility closures, remodels, planned customer visits etc.). Block out dates will include either five
consecutive days in one week (M-F) or a maximum of two consecutive days (M-F) dispersed weekly throughout the 30
day period. For example, a facility may block out March 16 – 20th (M-F) or they may block out two consecutive days each
week and one day on another week over the five potential weeks available in March. The supplier/distributor is
responsible to inform the auditor of the block out dates.
What if the auditor is denied access? If access is denied the site will be liable for the auditors cost per their contract
agreements. Brand or Business Unit QA will review performance for current and future production from this facility.
When does the audit start on the date of the audit? The date of the audit shall not be notified to the
supplier/distributor in advance of the audit and on the date of the audit, the audit will start no later than within 30
minutes (or as defined by the Brand/BU QA Dept.) of the auditor arriving on site.
Glossary
Alternate Minimum If a supplier's process or product makes it impossible to meet standards exactly as
Standard (AMS) written, the supplier may request an AMS from the Brand/BU QA. AMS are issued
only under extreme circumstances and only if the Brand or Business Unit QA
department agrees that the AMS are warranted. The document shall be signed by
appropriate Yum! Brands QA contact then forwarded to the supplier. All alternate
minimum standards must be maintained on file at the supplier and updated at a
minimum of annually. Alternate Minimum Standards received the day of the audit
will not count for the current audit, but will be included in future audits.

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Brand or Business Unit QA Person employed directly by KFC, Pizza Hut or Taco Bell corporate (not a franchise
organization) to manage Food Safety and Quality Assurance in a specific region or
part of the world. These employees partner with franchisees, auditors, suppliers
etc. to ensure regional compliance to Yum! global food safety policies and
standards.
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 specific 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.
Co-packer A co-packer is defined as any manufacturing site that handles product destined for
Yum! that is not defined as an upstream supplier, distributor or a production site.
This may include manufactures providing freezing, collation or packing facilities or
any facility that makes additions or amends to a product coming in to the Yum!
system.
• It is expected that any site that handles any products for Yum! where the
product is not in it’s final packaging will be audited as if a full production
site.
• If a co-packer is only applying marketing packaging or freezing to an
already sealed “customer ready” product the level of assessment will be
determined by Brand and BU QA.
EPTP The Yum! Brands Environmental Pathogen Testing Program (EPTP)
Food Defense Security of food stuff from malicious and ideologically motivated attack
Food Fraud Deliberate and intentional substitution, addition, tampering, or misrepresentation
of food, food ingredients, or food packaging; false or misleading statements made
about a product for economic gain (e.g. adulteration, tampering, theft, diversion,
simulations, counterfeiting, etc.,).
Isolated occurrences two or three instances.

Numerous occurrences more than three instances.
Potable Water Water that is sanitary, or safe to drink.
Raw Material Material used for the manufacture of product (e.g. finished product). Raw
material includes packaging material.
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.
Records Actual data collected and maintained, based on the criteria outlined in the
procedures. Auditor will review between 1% and 10% of records since 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.
Scientific Evidence Obtaining and evaluating scientific and technical information/references that are
used alone or in combination: Historically established process controls (e.g. milk
pasteurization parameters), reference to scientific or technical information (e.g.
published peer reviewed scientific studies), mathematical modeling and
scientifically valid data (e.g. challenge studies)

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Senior Leader Those with high-level responsibility for the facility and the capability to authorize
the resources necessary for the implementation of food safety programs and audit
standards
Validation That element of verification focused on collecting and evaluating scientific and
technical information to determine if the HACCP plan, when properly
implemented, will effectively control the hazards.
Verification Those activities, other than monitoring, that determine the validity of the HACCP
plan and whether the system is operating according to the plan.
Whistleblower The reporting by employees or former employees of illegal, irregular, dangerous or

unethical food safety practices by employers.
① Food Safety Risk Assessment

Supplier will have a documented Food Safety Risk Assessment Program that requires the review of all
potential food safety hazards. Program must include review and updates when there are any changes to
ingredients, process, environment, industry or customer.
1.1 The Food safety risk assessment program shall include:
(Program/Records)
1.1.1 The facility will have a documented Food Safety Risk Assessment Program P
1.1.2 The food safety risk assessments should be conducted by the HACCP (or similarly designated) team P
1.1.3 Risk Assessment training must be conducted for key team members including but not limited to QA,
maintenance and operations at a minimum of annually S for single incident and P for more than one

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Note: If included as part of HACCP plan or food safety plan, the food safety risk assessment program shall be clearly
defined and include the required elements.
1.2 Documented Risk Assessment available for all finished products/ingredients, packaging, environmental
concerns, equipment and processes. Risk assessments include:
(Procedure/Records)
1.2.1 What is the food safety risk (e.g. foreign material, allergen, illness, injury etc.) P
1.2.2 Assessment of risk; likelihood and severity of occurrence P
1.2.3 Communication to Brand/BU QA, the below are examples, but not limited to: P
1.2.4 Reviewed at minimum annually or when any of the following occur, but is not limited to: P
o Change in ingredients and/or recipe
o Change in processing conditions, process flow or equipment
o Updated or new processing line for Yum! products since last Yum! audit
o Change in food contact packaging, storage or distribution conditions
o Change in consumer use of finished product
o Emergence of a new risk (e.g. known adulteration of an ingredient)
o Responding to customer complaint reviews to prevent reoccurrence
o Following a recall/withdrawal
o New developments within industry including scientific information associated with ingredients,
process or product
② Hazard Analysis and Critical Control Point (HACCP)

The supplier will have an effective, documented Hazard Analysis Critical Control Point (HACCP) program
(designed to approved global recognized systems) that is fully implemented and maintained to ensure
safe products. The established control measures must have the identified scientific basis for being an
effective control and include a robust, documented corrective action plan for all non-conformances.
2.1 Multi-disciplinary team is established to define and review the HACCP plan.
(Program/Records)
2.1.1 Documented HACCP program (designed to approved global recognized systems) implemented F
2.1.2 HACCP team is established to review the HACCP plan P
2.1.3 HACCP team is represented by all key functions, this includes quality assurance, maintenance and
operations and may include but is not limited to (e.g. engineering, sanitation, product development, and
finance/purchasing, etc.) S
2.1.4 Product description and intended users is defined P
2.1.5 Verified process flow chart established which accurately depicts process from point of material receiving
through finished product shipping P
HACCP system implemented for the identification, evaluation, and control of food safety hazards. The program
shall be based on the seven principles:
Principle 1: Conduct a hazard analysis
Principle 2: Determine the critical control points (CCPs)
Principle 3: Establish critical limits
Principle 4: Establish monitoring procedures
Principle 5: Establish corrective actions
Principle 6: Establish verification procedures
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Principle 7: Establish record keeping and documentation procedures
2.2 All information needed to conduct the hazard analysis (Principle 1) are identified, documented and reviewed;
information shall include but is not limited to:
(Program/Record/Observation)
2.2.1 Historical hazards associated with raw ingredients, processing and food contact packaging P
2.2.2 Understanding and documentation of relevant factors that influence bacterial growth, potential chemical,
and physical hazards that are associated with the raw ingredients and specific processed food products P
2.2.3 Identification of scientific approach used to determine critical limits and these limits are clearly
understood and documented P
2.2.4 Hazard analysis completed for each process stage on the process flow chart (including rework, allergens,
foreign material, antibiotic and other additives, if applicable) P
2.2.5 No contamination with biological, chemical or physical hazards is observed F
2.2.6 No potential contamination with biological, chemical or physical hazards is observed P
2.3 Critical Control Points are identified (Principle 2)

(Program/Record)
2.3.1 Identification of method used to determine critical control points (e.g. decision tree) P
2.3.2 CCP (s) are identified in the process flow chart S
2.4 Evidence that control measure selected and critical limits identified (Principle 3) are capable of consistently
controlling the hazard. Evidence shall include:
(Program/Records)
2.4.1 Critical limits are established and validated as necessary to mitigate risk P
2.5 CCPs are monitored (Principle 4) according to documented procedure with appropriate action(s) taken and
recorded (Principle 5) if CCP tolerances are exceeded. Requirements include:
(Procedures/Records/Observation)
2.5.1 CCPs shall be monitored with the frequencies and methods indicated in the HACCP program P
2.5.2 Review of records, where acceptable limits have not been achieved, corrective actions for issues found
are on file P
2.5.3 Assess that corrective actions were effective (i.e. corrective actions address root cause) P
2.6 Verification procedures (Principle 6) and record keeping and documentation procedures (Principle 7) are
established
2.6.1 Defined verification methods/procedures used to determine that the HACCP system is in compliance are
established and critical limits are verified P
2.6.2 Record keeping and documentation is sufficient to demonstrate the HACCP controls are established and
effective P
2.7 The HACCP plan (s) shall be developed and managed by qualified staff and shall include:
(Records/Observation)
2.7.1 Identification of persons responsible for conducting the internal HACCP review S
2.7.2 The lead individual who is responsible for the maintenance and updating of the HACCP program has had
formal HACCP (or PCQI) training P
2.7.3 Employees managing/monitoring CCPs are aware of CCPs and the critical limits in their area(s) and what

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action to take if the limit(s) are exceeded. (Determined through both interview and training records
review) P
2.7.4 HACCP team will have specific HACCP training (internal or third party is acceptable) P
2.8 A program is established to review existing HACCP plans and any changes that impact Yum! Brands products are
communicated to Brand or Business Unit QA. Records and corrective actions are available and include:
2.8.1 Documented review of HACCP plans by the HACCP team annually including a revision history P
2.8.2 Review of HACCP plans prior to any changes based on food safety risk assessment in section 1.2 P
2.8.3 Changes to HACCP programs that impact Yum! Brands products or are in conflict with existing
specifications shall be approved by Yum! Brands QA prior to implementation P
2.9 Documented food allergen program that identifies allergens in raw materials and finished products and defines
the control of the allergens is established. 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 requirements /
regulations of both the country of manufacture and the country of destination must also be included. Control
methods are effective and include the following:
(Procedure/Records/Observation)
2.9.1 Procedures are established to manage food allergens in the facility P
2.9.2 Risk assessment determined for all ingredients including an established allergen list P
2.9.3 Annual training on allergen handling practices and control, including spill management S for single
incident and P for more than one
2.9.4 Where an allergen is present in the final product, there is verification that the allergen is listed on the
ingredient label, including any allergens that are present in the facility and are a potential cross-
contact/cross-contamination risk P
2.9.5 Ingredient weighing/handling/storage practices and processing order or change over procedures
specifically address ensuring allergens are not transferred to a non-allergen containing product/other
allergen products P
2.9.6 Sanitation procedures and practices do not allow cross contact of allergens to non-allergen /other
allergen products P
2.9.7 Cross contact of an allergen to a non-allergen product or ingredient and/or cross contact of an allergen to
another allergen product or ingredient F
③ Food Safety Culture

The supplier will establish a food safety culture program at all levels of the organization. Senior
management will provide evidence of the commitment to implementing and maintaining the
organization's food safety culture.
3.1 Supplier shall have a clearly communicated food safety policy that states the facilities intentions to meet
obligations to produce safe and legal products. The food safety policy shall be:
(Procedures/Record/Observation)
3.1.1 Food Safety Policy available P
3.1.2 Signed by the senior leader (s) S
3.1.3 Posted/communicated in languages appropriate to the staff S
3.2 Leadership and employees are aware of the food safety policy (e.g. do they know where the food safety policy is
and can explain it).
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(Observation)
3.2.1 Interviews with leadership verify understanding of the food safety policy P
3.2.2 Employees verify understanding of the food safety policy S
3.3 Methods and responsibilities related to Food Safety Culture are defined and shall include:
(Program/Records)
3.3.1 Policy/program on leadership responsibilities in support of Food Safety Culture is established P
3.3.2 Senior management reviews results (within 30 days) of internal Yum! self-audit and all external food
safety audits S for single incident and P for more than one
3.3.3 Ensures all identified food safety non-conformities in the above audits are effectively addressed to
prevent reoccurrence S for single incident and P for more than one
3.3.4 Defined tools used to measure the facilities food safety culture (e.g. employee food safety culture
surveys, other employee feedback gathering mechanisms) and follow-up actions needed S
3.3.5 If completed by Brand/BU QA, was progress made to the Yum Food Safety Culture & People Capability
Assessment little or no progress score S
3.3.6 Whistleblower procedures are established in support of food safety S
3.3.7 Reviewed annually by senior management S
3.4 There shall be evidence that significant food safety performance metrics (e.g., environmental analysis,
operators hygiene measures, microbiological analysis/ pathogen testing on products, identification of food safety
risk /zones, customer complaints) are:
3.4.1 Communicated and reviewed with appropriate staff S
3.4.2 Used to assess the facilities overall food safety performance strategy S
3.5 Procedures are established for conducting internal assessments on the Yum! Food Safety Audit. There is an
established link between associated supplier documents and the Yum! FSA audit requirements. Procedures shall
include:
(Procedures/Records)
3.5.1 Supplier has established a link, which describes the location of manuals, procedures and
records needed for each element in the Yum! Brands FSA audit S
3.5.2 Assessing each element of the Yum! FSA audit S
3.5.3 Conducted by a qualified auditor P
3.5.4 Corrective actions/plans are defined for all non-conformances S
3.5.5 Conducted at minimum annually P
Note: If the Brand/BU QA has accepted a GFSI recognized audit instead of the Yum FSA audit, the Yum FSA
internal assessment requirements above are still required.
3.6 All corrective actions from previous FSA Yum! Audit have been addressed.
3.6.1 Primary nonconformance corrective action implemented or completed within the
time frame allotted P
3.6.2 Secondary nonconformance (s) corrective actions implemented or completed within the time frame
allotted S
Note: In this situation multiple audit questions could be marked down for the same finding.

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3.7 Food safety complaints resolution process is established with risk assessments conducted as needed.
Procedures for resolving customer complaints shall include:
3.7.1 Collect, track/trend customer complaints S for single requirement and P for more than one
3.7.2 Address corrective actions P
3.7.3 Root cause and effectiveness of corrective actions to prevent reoccurrences is documented P
Note: Complaint analysis and resolution should drive continuous improvement of the food safety culture. Customer
complaints, identification of trends, or complaints such as illness or foreign material complaints should drive a
deeper analysis to create effective corrective actions.
④ Food Fraud and Food Defense

Supplier will have a documented Food Fraud and Food Defense Program including Vulnerability
Assessments. This program (s) must be designed to identify and mitigate all risks in the supply chain.
4.1 Food Fraud and Food Defense Vulnerability Assessments completed for each incoming ingredient and food
contact packaging material to include internal processing stages.
(Program/Records)
Food Fraud:
4.1.1 A Food Fraud program is established P
4.1.2 Food Fraud Vulnerability Assessments conducted on each raw ingredient and food contact packaging
material S for single incident and P for more than one
4.1.3 Food Fraud Risk Assessment matrix (or similar format) is used to demonstrate severity and likelihood of
risk with assigned risk levels for each raw ingredient and food contact packaging material P
4.1.4 Risk levels are used to prioritize responses and resources to mitigate risk (e.g. sampling, testing and
control measures for each level) P
4.1.5 Corrective actions are documented for any events P
Food Defense:
4.1.6 A Food Defense program is established P
4.1.7 Food Defense Vulnerability Assessments conducted at each stage, from ingredient sourcing, storage,
processing and shipment P
4.1.8 Corrective actions are documented for any events P
4.2 A documented program is established for management of food protection

(Procedure)
4.2.1 A designated person responsible for the program with name and 24 hour contact information S
4.2.2 A list of governmental and regulatory emergency contacts with strategy for the
notification in the event of crisis P
4.2.3 Physical facility - access to facility and practices related to security are controlled (employees, visitors,
contractors, 3rd party drivers, loss of identification badges, termination of employees, etc.) P
4.2.4 How computer systems used for process controls are secured and access restricted P
4.2.5 Receipt and control of raw materials and packaging P
4.2.6 Control of operations (e.g. security of water and air) P
4.2.7 Finished products control for storage and shipping P

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4.3 Controls are established at each stage of food protection.
(Records/Observations)
4.3.1 Incoming ingredients, packaging, and finished product are received in enclosed, secured and/or sealed
vehicles/containers/railcars. In case of seals, the numbers are recorded S for single incident and P for
more than one
4.3.2 Staged vehicles containing food products shall remain secured while on supplier’s premises P
4.3.3 All outgoing vehicles (including bulk trailers) shall be locked and/or sealed before leaving the supplier’s
dock P
4.3.4 All entries to food handling and storage areas are secured or access restricted/gated P
4.3.5 Laboratory access is restricted including access to sensitive materials (example: reagents and
bacterial/drug/toxin positive controls) P
4.3.6 Adequate interior and exterior lighting of the facility S
4.3.7 Water wells, water storage and water handling facilities are secured P
4.3.8 Securing of external silo’s and bulk unloading docks (e.g. for grains) P
4.3.9 Access to computer process control systems is restricted P
4.3.10 Other controls used to mitigate risk shall be used as necessary (e.g. unannounced inspections, security
guards, supervised management, employee reporting, video surveillance, etc.) S
4.4 Food Fraud and Food Defense programs will be kept updated.
(Program/Records)
A self-audit program to review food fraud and food defense shall include:
4.4.1 Who is responsible for conducting the internal review S
4.4.2 Conducted at least annually and reviewed by management P
4.4.3 Corrective actions with timelines are developed to address areas of improvement P
⑤ Pest Prevention
Facility will have an effective preventive pest management program established to minimize the risk of
intrusion or infestation.
5.1 Supplier will have a documented pest control program with service provided by an approved Pest Management
Professional (PMP).
(Program/Record/Observation)
5.1.1 Supplier will have a documented pest control program F
Pest control program shall include:
5.1.2 The company name and designated pest management professional S
5.1.3 Company required licenses, certifications, insurance, and other permits as required by government
agencies to perform services S for single requirement and P for more than one
5.1 4 Types of pests being monitored and/or controlled P
5.1.5 Minimum of monthly inspections, and more frequent as necessary depending on risk factors P
5.1.6 The number and placement of traps shall be effective to control pests and mitigate risk of entry into
facility S for single incident and P for more than one
5.1.7 Updated certification of pest control operators as per local regulation. Note: In countries where there is
no local regulations, the supplier shall furnish documentation that pest management professional has
formal and ongoing training S
5.1.8 Updated contract on scope of service maintained S
5.1.9 How all traps, bait station, glue boards and insect glue light traps, etc. shall be labelled with date of
inspection P
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5.1.10 Schematic map is current and dated S
5.1.11 Pesticides in use must be documented and approved for use by the relevant authority P
5.1.12 Safety Data Sheets (SDS) and product labels are available for all chemicals used S for single incident and P
for more than one
Service reports including logs are current and available for review, and include:
5.1.13 Date of service S
5.1.14 Application method used S
5.1.15 Chemicals, quantities and concentration used S for single requirement and P for more than one
5.1.16 Signs of pest activities P
5.1.17 Scheduled follow up based on pest activity, if necessary S
5.1.18 Corrective actions and recommendations are documented for frequency of activity or other issues
noted on service reports or may be listed on a separate report S for single requirement and P for
more than one
5.1.19 Individual conducting service S
5.1.20 Evidence that reports are being reviewed by the facility S
5.1.21 Trend analyses are on file for all types of pest being controlled/monitored S
5.1.22 Corrective actions are documented P
5.1.23 If pesticides are stored in the facility, they shall be secured in such a manner as not to contaminate
product, packing materials or equipment P
5.1.24 Pest control devices are effectively maintained S
5.1.25 No loose or granular rodenticide is approved for use. Bait stations (with poison bait) shall be used
outside the facility P
5.1.26 Pest control devices are located in such a manner as not to contaminate product, packaging materials or
equipment (e.g. insect light traps that use an electric grate to electrify flying insects (Insectocutors) are
not allowed if they create a risk) P
5.2 There is no evidence of internal and external pest activity

(Observation)
Internal
5.2.1 Evidence of a live rodent (not in trap) or an animal (e.g. cat, dog, deer, goat, bird, etc.) observed inside
the facility F
5.2.2 Any observation of contaminated ingredient, product, food contact packaging or food contact surfaces F
5.2.3 Evidence (isolated occurrence ) of insects, flies, ants and/or single instance of a cockroach observed
around the interior perimeter of the facility that does not impact food safety P
5.2.4 Spiders/webbing observed S
5.2.5 Other instances of pests activity noted in the interior of the facility S
5.2.6 No decomposed rodent (s) or other animals (frogs, lizards, etc.) in traps S
5.2.7 The interior traps shall be checked often and the dead rodent(s) or other animals removed. Glue boards
shall be free of significant insect build up S
External
5.2.8 Evidence of significant rodent activity (burrows, trails, excreta, tracks) and/or bird nesting/significant bird
activity, significant tracks or trails of other wild animals (within 32ft/10 meters) P
5.2.9 Other instances of (pests or animal )activity noted in the exterior of the facility S
5.2.10 Numerous instances of decomposed rodent(s) or other animals (frogs, lizards, etc.) in a bait stations or
along perimeter S
5.2.11 Unlocking device for bait traps should be available, with access controlled, at the facility so that the traps

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may be examined during the audit P
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 9.7 and should not be scored as pest activity
⑥ Good Manufacturing Practices (GMP) & Employee

Health and Hygiene
A Good Manufacturing Practices (GMP) and employee Health and Hygiene program is established
including use of appropriate personal protective equipment (PPE) to prevent the risk of product
contamination through employee contact.
6.1 GMP Program is established and includes:
(Procedure/Program/Records)
6.1.1 An effective GMP program for all employees, visitors and contractors is documented and
communicated/posted P
6.1.2 Establishing mapping (zone map) for hygienic zoning to differentiate areas based on risk of contaminating
product (e.g. non-manufacturing, transition /traffic flow, Basic GMP, pathogen control areas, etc.) S
6.1.3 A procedure is established that addresses notification by staff, contractors and visitors of any relevant
infection, disease, or condition which may be a source of transmission of foodborne diseases to products P
6.1.4 All staff are trained on GMP's (includes pest control awareness and reporting) on an ongoing basis ( at
minimum annually) S
6.2 Self-audits on GMP points are established

(Program/Records)
6.2.1 Self-audit GMP program is established P
6.2.2 GMP self-audits are conducted at minimum monthly S
6.2.3 Self-audit includes elements of the GMP program (e.g. personal hygiene, outer garment, hand washing,
staff changing room, staff washroom, lunch room, etc.) S
6.2.4 Results of the audits and corrective actions taken shall be recorded and communicated to appropriate
staff S
6.3 Employee Hygiene program is established that includes:
(Program/Records)
Minimum program criteria includes:
6.3.1 Use of hair and full beard (includes mustache) restraints made of a fine gauge mesh or solid material
(baseball caps are not acceptable) in production, processing and warehouse areas where exposed
product is handled S for single incident and P for more than one
6.3.2 Personnel who appear to have an illness, open lesions, 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 P
6.3.3 Minor cuts shall have a bandage (colored for ease of identification) and must be covered with a non-
porous plastic glove P
6.3.4 Smoking (includes e-cigarettes), chewing, eating or drinking shall not be permitted other than in
designated areas. Spitting is not permitted P
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6.3.5 No exposed jewelry or watches worn in the in production, processing and warehouse areas where
exposed product is handled (plain wedding bands and medical alerts are acceptable unless prohibited by
the facilities’ program) P
6.3.6 No false eyelashes, false/long nails, hair clips, strong perfumes, body glitter or jewels, or exposed nail
polish worn or other materials that can results in contamination in established GMP areas P
6.3.7 Use of gloves and arm sleeves that are colored for ease of identification (as necessary) where there is
direct contact with food products or as directed by Brand/BU QA S
6.3.8 Employee Hygiene training conducted, to include but is not limited to the above requirements (at
minimum annually) S
(Observation)
• The auditor will verify the above and for finding (s) assign a nonconformance as noted in the requirement
6.4 Supplier has established an outer garment program for persons working in direct contact with food, food
contact surfaces or food contact packaging materials.
(Program/Records)
The program shall include:
6.4.1 Employees must wear a clean outer garment that remains within the work area (does not go to and from
work) P
6.4.2 Dedicated footwear/shoe covers or foot baths will be utilized to prevent the introduction of contaminates
P
6.4.3 Where foot baths 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 P
6.4.4 Policy relating to the wearing of outer garment inside the processing area or away from the production
environment (e.g. removal before entering restrooms) P
6.4.5 Clothing and footwear and PPE worn by staff, visitors and contractors entering the food handling areas or
moving between low and high risk areas shall be maintained, stored, laundered (changed at least daily or
more frequent as needed) and worn so as not to present a contamination risk to products P
6.4.6 The design and condition of outer garment should be to prevent contamination of the product; as a
minimum containing no external pockets above the waist or sewn-on buttons S for single incident and P
for more than one
6.4.7 For non-disposable items (e.g. , gloves/aprons/hard hats/PPE) the condition and frequency for the
cleaning and changing shall be established S
(Observation)
• The auditor will verify the above and for finding (s) assign a nonconformance as noted in the requirement
6.5 Hand washing facilities are adequate and are used:

(Observation)
6.5.1 Be made available in the restrooms, in the area of production prior to returning from the restroom to the
production area, to all personnel access points and in accessible locations throughout food handling and
processing areas P
6.5.2 Are being used when moving from a raw to cooked area when dealing with potentially hazardous product
F
6.5.3 Have warm water, (temperature that reaches 100°F (38°C) or as defined by the local regulation P
6.5.4 Dispensed soap and approved sanitizer is available P
6.5.5 For those in the areas entering or in the production areas, have hands free operation (knee, foot pedals or
automated rather than handles) required and paper towel dispensers should not require hands to touch
dispenser to expose towel for retrieval or as approved by Brand/BU QA P
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6.5.6 Have suitable drying devices, air power hand dryers should be capable of drying hands within 20 seconds.
Cloth towels of any sort are not acceptable to Yum! Brands P
6.5.7 Hand washing and drying area is maintained in a sanitary condition S
6.5.8 If hand dip stations are used, they must be cleaned and free of particulates, dirt and debris and changed
often enough with potable water at the appropriate temperature to keep the sanitizer concentration in
the acceptable range P
6.5.9 Hand dip stations solution change and sanitizer strength verification records are maintained P
6.5.10 Signs supporting hand washing are posted in all applicable languages or as pictorials S for single incident
and P for more than one
6.5.11 Signs shall be located in the processing areas which direct employees to wash their hands before work,
after each break, after using the restroom and when their hands become soiled or contaminated S
6.6 Staff facilities shall be sufficient for the required personnel and be designed and operated to minimize the risk of
product contamination.
(Observation)
Staff changing rooms
6.6.1 Provided to enable staff and visitors to change into and out of outer garment and footwear as required P
6.6.2 Staff to keep their street clothing and personal items (including medications and cell phones) separate
from food processing and packaging areas. Cell phone use permitted if allowed by company policy and
poses no food safety risk S for single incident and P for more than one
Restrooms
6.6.3 Shall not open directly into production or packaging areas P
Lunch room/canteen
6.6.4 Maintained away from the food processing areas and shall be ventilated and have adequate lighting S
6.6.5 Shall be kept clean, organized and free from waste materials and pests S
6.6.6 Food is not stored outside of designated areas, including staff changing rooms S
6.6.7 Where eating of food is allowed outside during breaks, there shall be designated areas with appropriate
control of waste and pests S
⑦ Foreign Material Prevention and Control

Supplier will have a risk-based foreign material control and detection program. Foreign material detection
equipment used will be appropriate to detect and remove suspect foreign material risks.
7.1 Foreign Material Prevention Plan is established with validation of each foreign material control point for all Yum
product and includes Inbound Material (food products, packaging). Foreign material detection equipment used will
be appropriate to detect and remove suspect foreign material risks. Equipment will be dependent upon risk
assessment of a particular plant/industry. e.g. based on risk assessment a chicken operation with bones, cartilage,
cutters/shredders etc. may require mandatory x-ray All information needed to establish a risk-based approach to
foreign material elimination is identified, documented and reviewed; information shall include but is not limited to:
7.1.1 Foreign Material Prevention Program is established F
7.1.2 A multi-disciplinary team is established to define and review the foreign material plan. Team is
represented by all key functions, (i.e. operations, sanitation, engineering, quality assurance, product
development, maintenance, and finance/purchasing, etc.) S
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7.1.3 Program is established for line pre-start-up, change-over, post-maintenance and shutdown checks to
ensure foreign object risk are mitigated. This includes: S for single requirement and P for more than one
o Inspection of equipment and exposed product areas by appropriate personnel for foreign object
risks such as rubbing/wearing belts, gaskets, metal to metal contact, loose screws or material,
missing lock washers, overhead debris/risks, condensation points
o Inspection records/checklists are maintained with corrective actions
7.1.4 Multi-disciplinary team and members managing and working in the foreign material areas will have
specific foreign material control training annually S
7.2 The Foreign Material program will identify and control known internal plant risks associated with, but not
limited to, the following:
7.2.1 Assurance of zero wooden pallets throughout the processing area where exposed product is handled.
Wooden pallets are allowed in raw material and finished product storage areas S
7.2.2 Wood pallets used in other areas shall be of good quality and inspected. Pallets will have no exposed
nails, broken slats, splinters or debris that could cause product contamination or damage S
7.2.3 Metal detector or x-ray/imaging devices are required unless otherwise approved by Brand or Business
Unit QA based on risk assessment. The absence of metal detection or x-ray/imaging equipment will be
based on risk assessment and the use of effective alternative methods (e.g., liquids pass through a fine
mesh screen, or free-flowing product passes through magnets, filters, sieves other physical separation
equipment/technology) F
7.2.4 Screens, magnets and other approved alternative methods are regularly monitored with results and
corrective actions recorded P
7.2.5 For metal detectors and x-ray/imaging devices, verification of sensitivity is conducted by passing the
required standards, using ferrous, non-ferrous and stainless steel test pieces of the appropriate size,
based on the below table or as approved by Brand/BU QA. P
Metal type Fresh and bulk Pre-washed pre- All other products which do not
frozen poultry chopped produce fall into the first two categories
Ferrous 3.00mm 2.5mm 1.5mm
Non-ferrous 3.5mm 3.0mm 2.0mm
Stainless steel (316 4.5mm 3.5mm 2.5mm
grade)
7.2.6 Unless other methods are approved, metal detection and x-ray/imaging device systems testing must be
conducted at a minimum at start-up, at production breaks, after maintenance and when changing
products and end of shifts / production S for single incident and P for more than one
7.2.7 Whenever possible, the foreign object detection verification procedure shall specify physical
placement/location for the FO standards to simulate the conditions of least sensitivity. For example, if a
metal detector is least sensitive in the center of the aperture, this should be taken into consideration in
the placement of the metal standard P
7.2.8 Whenever possible, verification of sensitivity is conducted by passing each required standard three times
each in the normal flow of the product with the standard at the leading, middle, and trailing edge of the
product. The metal detector must detect and positively reject product with the standards S for single

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7.2.9 Acceptable rejection devices should be positioned as close to the final packing of product as possible, the
following are acceptable rejection devices: P
o Positive rejection - removes contaminated product from the production line to a locked container
with restricted access
o Belt stop - stops the line when contaminated product is detected at the metal detector including a
visual or audible alarm. This method should have a documented program on how the system is
restarted, and the disposition of suspect product
7.2.10 If the device fails test, “appropriate action” is for supplier to place all product between acceptable checks
on hold and repair the device. Procedure shall define how product is identified between acceptable
checks (e.g. case number, pallet ticket time, cases time on label / bag, inspection time, etc.) Product
must be then run through a properly functioning device before release. Any non-conforming Yum!
Products are fully documented as per the supplier hold policy and corrective action plan P
7.2.11 A ‘materials found’/ ‘rejection log’ is kept, and includes: S for single incident and P for more than one
o The size and type of material found
o The quantity of product affected
o False rejections are tracked
o Corrective action including preventative measures to avoid a reoccurrence
o Final disposition of the product is documented
7.2.12 The auditor shall observe a test and verify that metal detection and x-ray/imaging device units on
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 x-ray/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. P
7.2.13 If metal detection and x-ray/imaging device fails auditor’s check and plant takes appropriate corrective
action (all product between acceptable checks was placed on hold) S
7.2.14 Pens in use can be detected by the foreign material control device in use. Pens and thermometers shall
not have removable clips S for single incident and P for more than one
7.2.15 Program established to mitigate risk of sharps (e.g. knifes, blades, needles) and other
materials/equipment such as thermometers, pallets, gloves, ingredient packaging with records, and
corrective action maintained S for single incident and P for more than one
A written, documented glass and brittle plastic policy is established that includes but is not limited to:
7.2.16 A list of all essential glass and brittle plastics with the items on the list checked, based on risk, but as
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a minimum monthly S for single incident and P for more than one
7.2.17 Handling of any glass/brittle plastics that is broken or observed unprotected/unshielded. P
7.2.18 Disposition of potentially contaminated product S for single incident and P for more than one
7.2.19 Incident reports/records are maintained S for single incident and P for more than one
7.2.20 Where applicable, bone elimination program established to control the risk e.g. inspection tables, etc. P
7.2.21 Root-cause analysis completed for any foreign materials identified (e.g. in house, through customer
complaints, Internal / external audits, regulatory inspections) P
7.2.22 In the event of a foreign material incident found in Yum finished product that has been released the
supplier must contact the respective Brand/BU QA manager immediately F
⑧ Micro and Analytical Testing and Monitoring

The supplier will demonstrate compliance with Yum! Micro requirements and other analytical testing
critical to food safety including raw material, finished product and environmental pathogen testing
program (EPTP).
8.1 Supplier shall have a clearly communicated microbiological monitoring and testing policy that states the facilities
intentions to meet obligations to produce safe and legal products. The micro policy shall be:
(Procedures/Record/Observation)
8.1.1 Supplier shall have a microbiological and analytical monitoring and testing policy/procedure P
8.1.2 Signed by the senior leader (s) S
8.1.3 Available in languages appropriate to the staff S
8.1.4 Communicated to all appropriate staff S
8.2 Micro and analytical testing program requirements are documented and shall assure the following:
8.2.1 Inbound raw materials are tested based on risk assessment and applicable Yum! minimum requirements
(e.g., QAP, specifications, antibiotic residue) at the specified frequency P
8.2.2 Hold and release program established (inbound raw materials and finished products) P
8.2.3 A documented EPTP program is established which conforms to Yum's requirements regarding microbial
analysis specific to the plant environment and products being manufactured F
8.2.4 EPTP frequency of testing shall be conducted per the Yum program P
8.2.5 Finished product pathogen testing (where applicable) conforms to Yum requirements for specific
microbial targets and frequency of testing F
8.2.6 Other finished product testing conforms to Yum requirements P
8.2.7 Water, ice and steam (that comes into contact with ingredients or finished product) shall be potable and F
8.2.8 With adequate protection through filtration (10 micron or < unless to be used at point of use or
earlier in the flow or as otherwise approved by Brands/BUs) and backflow prevention P
8.2.9 Water tested at minimum annually (must be drawn from inside the plant from different points of use),
supplier shall test for: P
o Heterotrophic Plate Count
o coliform
o E. coli (not necessary if none detected on coliform count)
o Nitrates/Nitrites (products affected by Nitrates/Nitrites, example: required for poultry)
o heavy metals: lead and mercury
o off flavors and odors
Note: Dry plants are required to test water (e.g. for hand washing purposes).
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8.2.10 Micro and analytical testing program is reviewed at minimum annually, or more often (e.g. based on risk
assessment, customer complaints, new risk identified, etc.) by senior management S
8.2.11 A documented system for controlling of out of spec results for raw materials, in process product and
finished product is established P
8.2.12 Products temperatures at receiving, storage and loading are monitored and documented and meet the
required specifications S for single incident and P for more than one
8.3 Laboratories and testing methods are licensed/approved with documented training of lab personnel.
8.3.1 Laboratory testing must be in accordance with approved methods such as AOAC, FDA/BAM, or
equivalent, unless otherwise approved by Brands/BUs P
8.3.2 Procedures and practices are established to prevent any cross contamination between laboratory and
production facility P
8.3.3 Laboratory and testing equipment is clean and well-maintained S for single incident and P for more than
8.3.4 No eating, drinking or smoking allowed and no food, beverages or personal items stored S
8.3.5 External testing is done by an ISO 17025 accredited 3rd party laboratory P
8.3.6 In house micro testing is conducted by appropriately trained individuals: S for single requirement and P
for more than one
o With ongoing verification (i.e. proficiency testing with positive and negative controls). Note: there
are non-viable positive control options available
o Trained by a qualified individual (e.g. a microbiologist or equivalent through experience)
8.3.7 Records are on file and available which establish scientific basis for finished product shelf-life S
8.3.8 Any pathogen non-conforming micro for finished product for Yum! Products are fully documented and
communicated immediately to Yum! with a documented hold policy and corrective action plan F
8.4 Procedures are established for the calibration and accuracy of "key" measurement equipment and testing
equipment for labs, QC and manufacturing process, including schedules and reference standards.
8.4.1 Program identifies all food safety critical equipment and defines equipment that must be
calibrated and functioning for production S for single incident and P for more than one
8.4.2 Food safety critical equipment is calibrated and verified prior to placing back in to production
S for single incident and P for more than one
8.4.3 Procedure for the disposition of affected product if calibration fails P
8.3.4 Documenting methods and frequency of calibration and appropriate reference standards S
Note: key measurement equipment that is important food safety will be included (e.g. metal detection and x-
ray/imaging, pH equipment, thermometers etc.).
⑨ Maintenance and Sanitation

Supplier will establish and maintain the infrastructure of the building and equipment in a condition
suitable to support the production of safe, quality and legal food products. The facility maintenance and
sanitation plan will be effectively implemented and routinely verified including maintenance for food
safety.

Page 25
9.1 Documented maintenance program and procedures that cover all equipment and facilities. Records are
maintained for all maintenance tasks.
(Procedure/Records)
9.1.1 A documented schedule of preventive maintenance activities shall be established with a reconciliation
program to ensure completion of tasks P
9.1.2 Procedure shall define the process by which facility temperatures are monitored and documented P
9.1.3 Procedures include tool/part reconciliation following all maintenance tasks. Program evaluates
tools/maintenance workers as potential sources of contamination (physical, chemical, micro) with
necessary controls implemented P
9.1.4 Procedure identifies appropriate sign off by maintenance, sanitation, QA, etc. to ensure that cleaning and
sanitation is completed following maintenance/emergency repairs where appropriate and documented P
(Observation)
9.1.5 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 F for actual contamination, P for potential
9.1.6 Repairs and equipment modifications are professionally completed without the use of string, tape, wire
or other improvised materials and in a manner to prevent potential contamination. P
9.1.7 Temporary repairs may be needed to complete the shifts 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 with
defined completion for repair indicated. S
9.1.8 Protection of equipment and product (within production) adjacent to maintenance and construction
activities P
9.1.9 Food grade lubricants are used where needed and stored separately from non-food grade
chemicals/materials S for single incident and P for more than one
9.2 Food safety training completed for all maintenance employees.

(Procedure, Records)
9.2.1 Training must include process used between QA/Operations/Maintenance or as defined by supplier to
sign off that equipment is ready to re-start after maintenance P
9.2.2 Training completed annually S for single incident and P for more than one
9.3 Documented master sanitation program of all areas of facility including but not limited to storage, processing,
packing, product contact surfaces, maintenance and employee areas.
(Procedure, Records, Observation)
9.3.1 Documented master sanitation schedule is established F
9.3.2 Cleaning procedures will be specific to site and include what to clean, defined frequency, method, by
trained staff, approved chemical used including concentration and tools needed S for single requirement
9.3.3 Standards of acceptability are defined with individual accountability and sign-off for each task P
9.3.4 Program in place for testing of food contact surfaces (bio-luminance/micro) to monitor the effectiveness
of cleaning and/or sanitation procedures and corrective actions documented P
9.3.5 Equipment is designed for effective sanitation and sanitation impact is considered when any upgrades or
changes are made to equipment S
9.3.6 Equipment, floors, walls and ceilings cleaned as appropriate during production to maintain a hygienic
environment and in good condition/repair (e.g. cracks, leaks, unsanitary welds etc.) S for single incident
For Clean In Process (CIP) systems:
9.3.7 Design includes no potential cross contamination risks P
9.3.8 Validated initially and after changes and monitored per the cleaning program to ensure working
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properly P
9.3.9 Chemical concentrations, flow and temperature monitored and documented P
9.4 Sanitation employees are trained on each task that they perform.
(Procedure, Records)
9.4.1 Sanitation procedure/SOPs used to conduct the training S for single incident and P for more than one
9.4.2 On-the-job training/other methods of training available for each employee, when applicable S
9.4.3 Training is completed annually and records are maintained S for single incident and P for more than one
9.5 A documented pre-operational inspection program is established to assess sanitation effectiveness and line
conditions (e.g. condition of belts, blades) prior to startup of production.
(Procedure, Records, Observation)
9.5.1 Pre-operational inspections documented and verified S for single incident and P for more than one
9.5.2 Deficiencies are addressed and records are maintained before production start-up P
9.5.3 Corrective actions are documented P
9.6 Facility plan to address tools and container cross-contaminations is documented/posted, implemented and
understood by employees.
(Procedure/Observation)
9.6.1 Facility program to address tools and container cross-contamination is established P
9.6.2 Tools and containers observed are used properly according to facility plan S for single incident and P for
more than one
9.6.3 Tools and containers are color coded or labeled to easily document use for food contact, non-food
contact, rework, trash, bottles, etc. S
9.7 Interior/exterior facility cleanliness and all areas are properly maintained to prevent possible product
contamination and to protect product integrity.
(Records/Observations)
9.7.1 At minimum monthly facility housekeeping inspections (including production areas, non-production areas
and surrounding grounds) are established. Records are maintained S for single incident and P for more
than one
9.7.2 Floors, walls, drains, equipment, and ceilings are clean; facility kept clean and litter free S for single
9.7.3 No product, product contact surfaces, or product packaging material contamination observed F
9.7.4 No potential product, product contact surfaces, or product packaging material contamination observed P
9.7.5 Trash receptacles are emptied frequently to prevent overflow and kept in sanitary condition with no
offensive odors S for single incident and P for more than one
9.7.6 Chemical storage areas are segregated, clean, organized and secured S for single incident and P for more
than one
9.7.7 No condition exists which could deposit airborne contaminants S
9.7.8 Walkways and ladders over product conveying belts or open bins of ingredients are shielded with kick
plates to prevent contamination P
9.7.9 Idle equipment stored in a clean condition and manner so as to not encourage rodent/pest activity or
harborage S
9.7.10 No weeds, tall grass, or idle equipment stored within the immediate vicinity (20 feet / 6 meters) of the
building. Trees shall be appropriately trimmed to eliminate access by rodents/animals S
9.7.11 No standing water (consider recent rains) / any drainage issues or issues with down spouts are addressed
here S

Page 27
9.7.12 All trash dumpsters to have and use lids and remain covered with no odor or trash build up around the
dumpsters S
9.7.13 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) S
9.7.14 Potential pest access points are sealed against pest entry and kept closed S
⑩ Supplier Approval
The supplier will have an effective supplier approval and monitoring system to ensure that any potential
risks from raw materials (including packaging) to the safety, authenticity, legality, brand integrity and
quality of the final product are understood and managed.
10.1 A current approved ingredient & packaging supplier list is available for each production facility and will include:
(Procedure/Records)
10.1.1 Emergency contact (at minimum two) details available (name, phone and email) S for single incident and
P for more than one
10.1.2 Site address S
10.1.3 Products supplied P
10.1.4 Current list and location of outside storage and cross dock facilities being used for finished product P
10.2 Supplier approval will be based on risk assessment including risk classification which shall include but is not
limited to:
(Procedure/Records)
10.2.1 HACCP P
10.2.2 Identification of allergens processed on the same lines, and/or facility P
10.2.3 Food Fraud & Food Defense program review including vulnerability assessment for items provided P
10.2.4 Supplier food safety culture (e.g. programs, methods and responsibilities related to Food Safety Culture)
S
10.2.5 Effective traceability system established P
10.2.6 Foreign material mitigation program P
10.2.7 Visibility of the supply routes P
10.2.8 Supplier/3rd party food safety audit report (for the producing plant) P
Note: if more than two P is given in the above requirements score F

If the food safety audit addresses some of the above topics, it can be accepted as the objective evidence
Supplier approval status and risk classification will be assessed:

10.2.9 For high risk suppliers minimum annually, low risk supplier frequency defined by the facility S for single
10.2.10 Will be in the form of either or a combination of Food safety audit i.e. third party audit (includes
outside
storage and cross dock facilities), supplier audits, self-audit questionnaire (only for low risk packaging
suppliers) S for single incident and P for more than one
Food Safety Audits minimum expected elements:
o Pest Control
o HACCP
o Sanitation
Page 28
o Operations and Facilities
o Good Manufacturing Practices
o Product Protection
o Product Recovery (traceability)
o Food Defense
10.3 Monitoring the performance of raw ingredients and packaging suppliers can be demonstrated and shall
include but is not limited:
(Procedure/Records)
10.3.1 Certificate of Analysis (COA) /internal testing for key parameters within an ingredient P
10.3.2 Product must be fully inspected upon arrival for any quality defects, presence of insects or any other
foreign material contamination, with all incidents investigated, recorded and effectively actioned P
10.3.3 Receiving procedures include sanitation and condition of the carrier, and requirements for accepting
incoming materials P
10.3.4 Transportation of any other foods, packaging and/or other materials in these trailers/bulk containers will
ensure no contamination risk P
10.3.5 Complaints/non-conforming product P
10.3.6 Supplier performance reviews done at least annually P
10.3.7 Corrective action taken and recorded P
10.4 Specifications will be on file for all ingredient & packaging products used in manufacturing on site. These will
include as appropriate , but is not limited to:
(Procedure/Records)
10.4.1 Regularly reviewed, at minimum annually, or when ingredient and packaging changes occur P
10.4.2 Microbial tolerances P
10.4.3 Physical parameters P
10.4.4 Chemical P
10.4.5 Allergen P
10.4.6 Quality e.g. organoleptic tolerances P
10.4.7 Food contact packaging is food grade P
10.4.8 Any other necessary requirements as required by Yum to mitigate food safety risk P
10.4.9 Approved by the supplier QA P
10.4.10 Review and amendment history / log available P
⑪ Traceability
Supplier at any given time will be able to trace 100% of the raw and finished products through all stages
of the process from point of material receiving through shipment to first external customer within a 2-
hour timeframe.
11.1 The supplier will be able to demonstrate through systems, procedures and associated documentation they are
able to trace 100% of all products produced.
11.1.1 Shall have a traceability program established F
11.1.2 Includes one back and one forward trace for all food products, primary packaging, semi processed
product, rework, processing aides and non-conforming product P
11.1.3 For fresh produce and animal protein foods the supplier, in addition, can trace back to its origin (e.g.
field/farm) to the first external customer (s) P
Page 29
11.1.4 In addition, for bulk ingredients such as products stored/received in silos, the supplier shall at minimum
be able to provide all the lots and quantities that were stored in that silo since the last detail clean up
(silo was emptied and cleaned) within 2 hours P
11.1.5 Raw ingredients, food contact packaging, product in process and finished product are sufficiently labeled
(bar-code system may be used) to allow full traceability of the process P
11.2 The supplier will have a crisis team to deal with any withdrawals and recalls and can demonstrate:
11.2.1 Outline of responsibilities for individuals in the suppliers crisis team S for single incident and P for more
than one
11.2.2 Have access to and confirm annual management training of the Yum Brands Crisis Management Program
(see Yum! reference site on Crisis Management) – may be verified by print-out and sign-off sheet P
11.2.3 A minimum of two current supplier emergency contacts are listed in the plant profile on the Yum system
P
11.2.4 Have the current Brand/BU QA contacts P
11.3 Has a documented recall/product withdrawal procedure which includes as a minimum the following elements:
(Procedure/Records)
11.3.1 Procedures to identify, track and locate 100% of an identified product by code date/Use By Date within a
2 hour period wherever its location within the supply chain P
11.3.2 The reconciliation and disposition of recovered product P
11.3.3 Notification of Brand or Business Unit QA by telephone within two hours of incident discovery (leaving a
message on voicemail or sending a fax without personal contact is not acceptable) P
11.3.4 Decision protocol defining when and if a regulatory agency will be notified P
11.3.5 Reporting any media or regulatory officials contact to Yum! Immediately and delaying any contact with
media or regulatory officials, unless required by law (either in person or through statements), until
consultation with Yum! Crisis Core Team P
11.3.6 Replacement of the affected product at the restaurant level and responsibility for all documentation
regarding reconciliation of quantities shipped, recovered, replaced and/or destroyed S
11.3.7 All recalls/withdrawals will be documented with outcomes, root cause analysis, corrective actions, and
learnings recorded P
11.3.8 Will have retained samples which can be used for inspection as required by Brand/BU QA P
11.4 A mock recovery program is established and includes:

(Procedure/Records)
11.4.1 Annual mock recovery is available (either ingredient or food contact packaging) completed from forward
distribution (first external customer) back to ingredients, including grower where applicable P
11.4.2 Identification of which raw ingredient or packaging material traced, including summary of calculations.
<99.5% or > 105% of product recovered is classified as a failure P
11.4.3 Date and time test initiated and completed P
11.4.4 Overview of records reviewed to obtain the amounts of product involved P
11.4.5 Completed “Product Information Data sheet” (supplier section) or similar document as long as all
relevant information is captured P
11.4.6 Documented review by the Recall Team of the test's effectiveness including amount of product
recovered, outcomes, learning, issues & opportunities to improve the system P
11.4.7 Mock recall shall be achieved within 2 hours P
11.4.8 In addition, for bulk ingredients such as products stored/received in silos, the supplier shall at minimum
be able to provide all the lots and quantities that were stored in that silo since the last detail clean up
(silo was emptied and cleaned) within 2 hours P
Page 30
11.4.9 Re-testing any part of the mock recovery that fails within 60 days P
Note:
First external customer (defined as the first customer outside control of supplier) can be:
• A distribution center that distributes directly to Yum! restaurants
• Consolidator distribution centers who distribute to distribution centers
• Yum! approved supplier which uses the product as a raw ingredient
• An export facility that will export the product to another country
Freight forwarding warehouses contracted by the supplier are considered to still be in the supplier’s control and are
not the First External Customer.
11.5 Auditor verifies supplier can identity, track and locate 100% of raw materials used in Yum! Brands product to
finished lots. Auditor will select a single raw food ingredient or a food contact packaging material and ask the
supplier to trace it to finished products lots to first external customer. For fresh produce and animal protein foods
the supplier, in addition, will trace back to its origin (e.g. field/farm).
11.5.1 >99.5% or <105% of the ingredient or food contact packaging material selected must be traced to
finished product P
11.5.2 100% of the finished product lot selected shall be traced to first external customer P
11.5.3 Trace completed within >2-4 hours S
11.5.4 Trace completed >4 hours P
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.
⓬ Fresh Produce Module

Supplier will have a risk-based fresh produce sourcing, transportation, processing and cold chain
management program designed to mitigate risk of micro, foreign material, physical and chemical (e.g.
allergen, pesticide) contamination.
12.1 A Farm/Inbound Material Program is established for all Yum produce and includes:
12.1.1 Farms must be in compliance with Good Agricultural Practices (GAP certification) or equivalent GAP
program as approved by Yum! QA P
12.1.2 Produce transferred directly from the field/packing house to the processor in structurally sound,
clean trailer/containers S for single incident and P for more than one
12.1.3 Product is shipped to processors/restaurants in refrigerated trailers with temperatures documented
as per ingredient requirements P
12.2 The Produce (processing and delivery) program will incorporate all Yum! required risk mitigation steps as
follows: (Procedures/Records/Observation)
12.2.1 Processing water temperatures shall ensure the final product temperature for leafy greens, diced or
sliced onions/tomatoes/ peppers/carrots, other required items, achieves < or = to 5C/41F or as required
by the Brand and BU QA P
12.2.2 Each area of the plant must be maintained/recorded at the temperature specified in the plant
HACCP/prerequisite program or as required by the Brand and BU QA P

Page 31
12.2.3 Produce flume wash system must be effectively chlorinated and all produce must be 100% fully
submerged in the chlorinated water as per the Yum! Specification (or other approved method) P
12.2.4 Produce must be rinsed with potable water if specified in product requirements P
12.2.5 Produce must be shipped in refrigerated trailers with temperatures documented. Transportation of any
other foods, packaging and/or other materials in these trailers/bulk containers will ensure no
contamination risk of the produce transport P
12.2.6 Finished product, for the required Yum products, must be tested for Salmonella and E-coli at a frequency
specified by Yum! QA (or other testing method as defined in Yum! commodity specific testing
requirements) P
⓭ Dairy Module
Supplier will have a risk-based dairy (milk, cheese and other dairy based foods) sourcing, transportation,
processing and cold chain management program designed to mitigate risk of micro, foreign material,
physical and chemical contamination.
13.1 A Farm/Inbound Material Program is established for Yum products and includes:
13.1.1 Dairy transferred in structurally sound, clean, sanitized bulk tank containers (e.g. milk) P
13.1.2 Trailers and transport containers maintain required temperature controls P
13.1.3 Microbiological and analytical testing for dairy products is conducted as required (e.g. regulatory,
QAP, specification, etc.) P
13.2 The Dairy program will incorporate all Yum! required risk mitigation steps as follows:
13.2.1 Food Safety hazards to be accounted for during hazard analysis will include but are not limited to: one
missing is a P, more than one F
o Biological
 Bacterial pathogens
 Viruses
 Parasites
 Fungal toxins
 Human & animal health issues that may create adverse consumer perceptions or disrupt
supply chain (e.g., foot and mouth disease)
 Prions for beef
o Chemical
 Residues (i.e., veterinary drugs, antibiotics, additives, pesticides, sanitizers)
 Heavy metals (i.e., lead, cadmium, mercury, arsenic)
 Radionuclides (i.e., Strontium-90, Cesium-137, Iodine-131) ), as applicable if sourcing from
affected areas
o Physical
 Extraneous animal matter (e.g., hair, fecal material, filth etc.)
 Foreign material (e.g. metal, hard plastic, etc.)
13.2.2 Specific to dairy industry, the hazard analysis will consider economically motivated intentional
adulterants (food fraud) such as added materials, addition of toxic substances or dilution P
13.2.3 Dairy products shall be kept refrigerated at the temperature specified in the plant HACCP/ prerequisite
program P
13.2.4 Dairy products will be used within the specified shelf life as determined by the HACCP program P
13.2 5 Only dairy products produced from pasteurized milk will be used. In any case where unpasteurized dairy
Page 32
is considered, a risk assessment is required and use shall be approved by the Global Food Safety Council
F
13.2.6 Each area of the plant must be maintained/recorded at the temperature specified in the plant HACCP/
prerequisite program P
⓮ Animal Protein Food Module

Supplier will have a risk-based raw animal food (poultry, including eggs, beef, seafood, pork and other
raw animal foods) sourcing, transportation, processing and cold chain management program designed to
mitigate risk of micro, foreign material, physical and chemical contamination.
14.1 The Raw Animal Food program will incorporate all Yum! required risk mitigation steps as follows:
14.1.1 Food Safety hazards to be accounted for during hazard analysis will include but are not limited to: one
missing is a P, more than one F
o Biological
 Bacterial pathogens
 Viruses
 Parasites
 Fungal toxins
 Animal illnesses/issues that could impact or disrupt supply chain (e.g., avian flu, foot and
mouth disease)
 Prions for beef
 Seafood toxins for seafood
o Chemical
 Residues (i.e, veterinary drugs, antibiotics, additives, dioxins, pesticides, sanitizers)
 Heavy metals (i.e., lead, cadmium, mercury, arsenic)
 Radionuclides (i.e., Strontium-90, Cesium-137, Iodine-131), as applicable if sourcing from
affected areas
o Physical
 Extraneous animal matter (e.g., hair, fecal material, filth etc.)
 Foreign material (e.g. metal, hard plastic, bones, feathers, etc.)
14.1.2 Specific to raw animals food industry, the hazard analysis will consider economically motivated
intentional adulterants (food fraud) such as added materials and raw animal foods of species other than
specified P
14.1.3 Procedures are established for the control of microbial hazards (external and internal hazards associated
with the raw animal products and processing equipment) P
14.1.4 In slaughter facilities, located in the process facility, carcass and meat washing and decontamination is
being effectively applied. If the facility does not slaughter on premise they need to demonstrate
controls are in place at the slaughter facilities. P
14.1.5 Products shall be kept refrigerated at the temperature specified in the plant HACCP/prerequisite
program P
14.1.6 Each area of the plant must be maintained/recorded at the temperature specified in the plant HACCP/
prerequisite program P

Page 33

Food Safety Audit

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Food Safety Audit

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Date: 01/29/18 Food Safety Audit

Date: 01/29/18 Food Safety Audit

Yum! Food Safety Audit

Training and Exit Criteria:

Qualified Internal Auditor

Date: 01/29/18 Food Safety Audit

Food Fraud & Food Defense

Date: 01/29/18 Food Safety Audit

Food Safety Culture

Date: 01/29/18 Food Safety Audit

Date: 01/29/18 Food Safety Audit

Supplier Grade Definitions and Continuous Improvement Management

 Tier 2 - Brand/BU review the current volume per Brand/BU requirements.

Date: 01/29/18 Food Safety Audit

Guidance for suppliers/distributors selected for an unannounced audit:

Date: 01/29/18 Food Safety Audit

Isolated occurrences two or three instances.

Date: 01/29/18 Food Safety Audit

Whistleblower The reporting by employees or former employees of illegal, irregular, dangerous or

① Food Safety Risk Assessment

Date: 01/29/18 Food Safety Audit

② Hazard Analysis and Critical Control Point (HACCP)

2.3 Critical Control Points are identified (Principle 2)

Date: 01/29/18 Food Safety Audit

③ Food Safety Culture

Date: 01/29/18 Food Safety Audit

④ Food Fraud and Food Defense

4.2 A documented program is established for management of food protection

Date: 01/29/18 Food Safety Audit

5.2 There is no evidence of internal and external pest activity

Date: 01/29/18 Food Safety Audit

⑥ Good Manufacturing Practices (GMP) & Employee

6.2 Self-audits on GMP points are established

6.5 Hand washing facilities are adequate and are used:

⑦ Foreign Material Prevention and Control

Date: 01/29/18 Food Safety Audit

⑧ Micro and Analytical Testing and Monitoring

⑨ Maintenance and Sanitation

Date: 01/29/18 Food Safety Audit

9.2 Food safety training completed for all maintenance employees.

Date: 01/29/18 Food Safety Audit

Note: if more than two P is given in the above requirements score F

Supplier approval status and risk classification will be assessed:

11.4 A mock recovery program is established and includes:

⓬ Fresh Produce Module

Date: 01/29/18 Food Safety Audit

⓮ Animal Protein Food Module

Date: 01/29/18 Food Safety Audit

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