1 QSA - Guide - 2013 FINAL

Yum! Brands INC.
(KFC, Pizza Hut, and Taco Bell)
QUALITY SYSTEMS AUDIT
2013 version
These Guidelines are for use with Yum! Brands Quality Systems Audit and in
Supplier Approval Evaluations. Items in BOLD PRINT are Automatic Failures for
"No points" categories. Those elements not applicable to the supplier shall be
designated as n/a on the score sheet. The score is calculated on a weighted
percentage factor for each category and is based on the total possible points for
each question.
Each question scoring an Automatic Failure or No Points score is to have a

corrective action inserted into the Action Plan section of the score sheet. The
action plan is to be completed with the supplier's input.
If a supplier's process or product makes it impossible to meet standards exactly

as written, the supplier may request alternate minimum standards from Yum!
Brands. Alternate minimum standards are issued only under extreme
circumstances, and only if the Yum! Brands QA department agrees that Alternate
Minimum Standards (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.
Yum! Brands reserves the right to follow-up on all corrective actions noted in the
Quality Systems Audit.
Points noted in parenthesis - ex: (10 points) - represent points earned.
(*) Questions designated with an asterisk may be scored n/a for first time
audits only.
Yum! Brands product must be in production at time of audit.
__________________________ DEFINITIONS __________________________
Assessment Sections:
"Category" means the section to be assessed (ex: 1.0, 2.0, etc.)
"Element" is the specific bulleted requirement within the category (ex:
1.1, 1.2, etc.) and sub-bullets.
"Criteria" is the explanation of each audit point.
For the purposes of this assessment:
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"single" occurrence refers to one instance
"isolated" occurrences refers to two or three instances
"numerous" occurrences refers to more than three instances up to
systematic
"systematic failure" refers to repeated instances of numerous
occurrences over several days
"maintained" means kept up-to-date and on file at the facility
"established" means written and implemented
"program” written instructions which include procedures and
other documentation
“procedures" written procedures that define the process
"documentation" refers to established documents supplied to verify
guideline requirements.
"records" refer to the actual data collected and maintained,
based on the criteria outlined in the procedures.
Auditor is to review between1% and 10% of records
since the last assessment, enough to get a
representative sample. If issues are found, an
additional sample of records should be reviewed to
determine if the issue is isolated or reoccurring. All
record corrections shall be single lined out (so that
the correction can still be read) and initialed. White-
out shall not be used in correcting records.
"analytical tests" refers to the chemical, microbiological or
instrumental physical testing used to verify
compliance to specification. These tests can be
performed by QA, manufacturing or the laboratory.
“training” training must be completed at hire and annually
(within a 12 month period)
“annual” refers to “within a 12 month period”
“Identification” Method used to distinguish product determined to be non-
conforming from product released for use or shipment.
“Segregation” Method used to maintain separation of product
determined to be non-conforming from product released
for use or shipment. A designated section of the storage
area is recommended for segregation purposes, but at a
minimum, non-conforming product must be located on
pallets that do not contain acceptable product. Acceptable
product shall not be stored in a designated "HOLD" area.
“Rework” Product removed from normal flow and reincorporated into
another batch. When product is removed from the normal
flow and additional work is required to bring the product
into compliance with the specification / Quality Assurance
Program. This would include repacking, metal detection
failures, and quality requirement failures. It does not
include processes that are constantly adding back as part
of the process. No reworks for microbiological failures are
allowed without specific permission from the appropriate
Yum! Brands Quality Assurance contact in writing.
“Work in Process” Product which is held-over or removed from the
natural production flow to be blended later into
production
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“COA” Certificates of Analysis (COA) are actual laboratory
and/or testing results performed on specific
ingredient attributes by lot. COAs are generally sent
along to the customer verifying the lot has been
tested and stating the outcome of those test results. If
used for specification compliance, COAs must
accompany each load. The COA must verify each lot
is tested on the key attributes, and each attribute is
found in compliance.
“LOG” Letter of Guarantee is a general statement of
Wholesomeness
“QAP” Quality Assurance Program. The Quality Assurance
Program defines the frequency, methodology, and
disposition of testing involved with producing Yum!
Brands products. Suppliers are required to adhere to
steps listed in the Quality Assurance Programs. Any
variance from the Quality Assurance Program must
be obtained in writing from Yum! Brands Quality
Assurance prior to the change.
“Specification” product requirements document that describes the
properties of the materials that are used in Yum!
Restaurants – including required properties and the test
methodologies used to measure the materials.
“ Core Element” This symbol denotes a core element. Audits done
by Yum auditors can include either the full QSA audit or
just the core elements as determined by QA
management within Yum. All supplier internal
assessments must include the full set of QSA elements.
“controlled documents” Yum Brands proprietary documents or supplier
documents containing Yum proprietary information
“Batch Processing” a specified volume or mass of ingredients are
combined and undergo processing simultaneously
as unit (such as mixing or cooking) before being
transferred to a further processing step (e.g.
canning, baking).
In certain situations, multiple questions may be marked for the same finding. The
Yum! Brands representative shall use their judgment and record the finding
under the most appropriate audit point. Circumstances, however, may warrant
the Yum! Brands representative to mark down the issue in multiple locations.
It is important to understand that local laws and practices may differ from certain
guidelines. In all cases, the more complete or restrictive will prevail. It is
important the Yum! Brands representative realize these differences and evaluate
the supplier accordingly.
The Yum! Brands representative must have copies of the QAP and HACCP
program in hand while reviewing the supplier's records and observing the
production process.
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________________________________________________________________
Quality Systems Assessment Guidelines
1.0 DOCUMENT CONTROL
1.1 (*) There is an established link between associated supplier documents and Yum!
Brands Quality Systems Audit requirements.
(Observation of Records)
All points (10 points): The supplier has established a link, which describes the location
of manuals, procedures and records needed for each element in the Yum! Brands
Quality Systems Audit. It could be as simple as a copy of the audit with the location of
the element’s documentation and records location written in the comment section. This
could be included as part of the quality manual. If the supplier's quality manual is Yum!
Brands specific, it could serve as the link.
Minor non-conformance (7 points): At least 80% of documents and records are linked
and remaining 20% are readily accessible.
Major non-conformance (3 points): 50 - 79% of documents and records are linked.
No points: No points will be awarded if less than 50% of the documents and records are
linked.
1.2 Procedures for control of formulas, specifications, processes and procedures are
established.
(Procedures - Documentation)
All points (10 points): Supplier has a formal procedure to control the following on
confidential documents:
• circulation of controlled documents
• track the copies of controlled documents
• how Yum Brands initiated or approved revisions and Yum provided revised
documents are handled
• dispose of obsolete materials
• maintain a master list of documents
• procedures ensure authorized individuals have current materials and identify that the
location of such materials is controlled, as appropriate. This includes subsequent
verification that procedures are effective
• all copies of Yum! Brands documents and specifications are required to have
confidentiality statements such as, "Confidential", "Controlled Duplication",
"Proprietary Information", "Do not Remove from Facility"
A "master list" of proprietary documents shall include:

• reference to all Yum! Brands proprietary documents (specifications, QA programs,
specifications, manuals, formulations, etc.) provided to the supplier
• the location of the documents and all copies
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• person responsible for updating documents for local distribution and local system
updates
• a chronological list of specifications revisions/changes for Yum! Brands products,
where applicable (supplier has received more than one version of a document)
*NOTE: If supplier has not been given Yum! Brands specifications or QAPs yet, view
general procedures used by supplier.
This element addresses procedures for revision and control of sensitive documents.
Observations are graded in subsequent audit points.
Minor non-conformance (7 points):

• Procedures do not address one element in the above requirements.
• Master list is missing one Yum! Brands proprietary document.
Major non-conformance (3 points):

• Procedures do not address two elements in the above requirements.
• Master list is missing two Yum! Brands proprietary documents.
• master list does not correlate with Yum! Brands Restaurants' specifications or
formula revision dates
No points: No points will be awarded if any one of the following is encountered:

• no procedures
• no master list
• more than two elements of the above requirements are not addressed
• Master list is missing three Yum! Brands proprietary documents
1.3 (*) Current Yum! Brands formulas, specifications and Quality Assurance Program
requirements are on file.
(Documentation)
All points (30 points): Check to ensure the supplier is using the current Yum! Brands
specifications, formulations and/or Quality Assurance Program (QAP) for all Yum!
Brands products. Any written alternate minimum standards approved by Yum! Brands
Quality must be in writing and available for review.
If the Yum! Brands product formula is proprietary to supplier, supplier shall have written
alternate minimum standards from the appropriate Yum! Brands QA contact stating the
product formula specification is unavailable. Without the written alternate minimum
standards, points will be deducted.
The specifications, formulations and Quality Assurance Program shall be:

• current (most current, regardless of specification status) and on file in the facility or
access to current documents in SMW
• circulated and accessible to only employees who need the information
Minor non-conformance (20 points): One of the following constitutes a minor non-
conformance:
• disorganized filing system (specifications, formulas and/or QAP requirements difficult
to access)
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• correct information used in process, but out-dated specifications, formulas and or
QAP requirements on file
Major non-conformance (10 points): One of the following constitutes a major non-
conformance:
• out-dated specifications, formulas and/or QAP on file and being used in process
• specification or QAP (or portions thereof) have not been circulated to the
appropriate people
No points: No points will be awarded if the following is encountered:

• unapproved or no specifications, formulas and/or QAP on file for products currently
being produced
1.4 Controlled documents are secured and access restricted.

(Observation)
All points (30 points): The procedure defined to control proprietary documents such as:
formulas, manufacturing procedures, material specifications and confidential
communications is followed. Documents are controlled to prevent access by
unauthorized personnel.
Workers that do not require access to confidential documents or public shall not have
access to the confidential information. Only authorized personnel have access to
controlled documentation.
*NOTE: If supplier has not yet received Yum! Brands documents, view supplier's
general process for controlling confidential documents.
Minor non-conformance (20 points): Documents are not located in an area accessible
to workers that do not require access to confidential documents, but could be accessed
without a security procedure such as obtaining a key or written authorization, or without
being observed by an authorized individual responsible for the documentation.
Major non-conformance: No major non-conformance category for this element.

• proprietary documents are in circulation and in possession of workers that do
not require access to confidential documents
• proprietary documents are observed unattended/unsecured in a public area of
the facility.
1.5 Quality records are maintained on file for the time specified by Yum! Brands
Restaurants.
(Observation of Records)
Review associated production records from the appropriate retention period and award
points according to the following.
All points (20 points): Quality records are maintained on file, either paper or electronic,
based on the following guidelines:
• shelf-life is less than 6 months: retain records for 1 year
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• shelf-life is more than 6 months: retain records for 2 years
*NOTE: If supplier has not yet generated Yum! Brands records, review supplier's
general process for maintaining files.
Minor non-conformance (15 points): There are isolated incidents where records are not
kept for the specified length of time.
Major non-conformance (6 points): One of the following will constitute a major non-
conformance:
• numerous instances where records are not kept for the specified length of time
• files are kept for the shelf-life of the product, but no longer
No points: Files are not kept for a minimum of the shelf-life of the product
2.0 PRODUCT QUALITY
2.1 Conformance to specification/formulation is measured according to sample

size, frequency and by the method indicated in the Yum! Brands Product
Specification / Quality Assurance Program.
(Records - Observation)
All points (30 points): The Yum! Brands representative shall verify through records
and observation that the inspection methods and frequencies outlined in the Yum!
Brands Product Quality Assurance Program and specifications are measured as
defined. Any variance to Yum! Brands Quality Assurance Program or specification
requirements shall require a written alternate minimum standards (AMS). Records
should be reviewed for compliance to the specification / QAP. Personnel
conducting testing should be able to explain the process of testing.
The following will constitute all points:

• Observations and records are consistent with methods and frequencies in Yum!
Brands QAP
• supplier-developed quality programs were pre-approved in writing by the appropriate
Yum! Brands QA.
• personnel can explain and demonstrate the correct procedures outlined in the QAP
• results indicate test was within specification or QAP requirements.
• any out of compliance results will be handled appropriately and all product back to
the last good check and forward to the next good check will be placed on hold
• Yum! Brands product must be in production at time of audit. If product is not in
production, the product manager must approve 24hrs prior to the audit.
Yum! Brands representative to have copies of the QAP in hand while reviewing the
supplier's records and observing the production process. The Quality Assurance
Program(s) shall be used while reviewing records to verify compliance to requirements.
Minor nonconformance (20 points): One of the following will constitute a minor
nonconformance:
• correct and current methods used, but isolated instances of missed inspections or
timings are observed
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• one quality control point is not monitored at the prescribed frequency or by the proper
method without an approved and documented alternate minimum standards
• Yum! Brands product not in production at time of audit with prior approval by the QA
product manager
Major nonconformance (10 points): One of the following will constitute a major
nonconformance:
• the correct methods are being used, but there are numerous instances of missed
inspections or timings
• two quality control points are not monitored at the prescribed frequency or by the
proper method without an approved and documented alternate minimum standards
• the sample size has been reduced without an approved and documented alternate
minimum standards
• the supplier's Quality Program has not been pre-approved, in writing, by the
appropriate Yum! Brands QA contact.
• personnel conducting tests do not demonstrate complete knowledge of tests from
interviews.

• incorrect methods used to monitor the process
• systematic failure of inspection frequency meeting QAP Guidelines
• systematic failure to maintain records
• deviations in frequency or method which could allow or has allowed
nonconforming product to pass into the system
• single instances of quality control points not monitored
• personnel conducting tests have little or no knowledge testing requirements
from interviews
• no records available
• results of tests are outside specification / QAP limits and corrective actions not
taken
• Yum! Brands product not in production at time of audit without prior approval
by the QA product manager
2.2(*) The product and packing conform to specification / Quality Assurance

Program through observation. Any non-conformance is handled
appropriately.
(Observation)
All points (20 points): Observe and evaluate product testing conducted by plant
personnel for adherence to Quality Assurance Program requirements and methods.
Product from current production or storage shall be evaluated for compliance to
specification, including packing and labeling requirements. If the product, packing
and/or labeling does not meet all specification requirements and applicable Quality
Program, the non-conformance must be handled appropriately by placing the product on
hold.
Minor non-conformance (15 points): A single observation of an isolated instance of

incorrectly packed, labeled or weighed product without corrective action.
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Major non-conformance: No major non-conformance category for this element.

• the product does not meet all specification requirements and the non-
conformance was not handled immediately and the product was not placed on
hold
• more than one observation in one area of incorrectly packaged, labeled and/or
weighed without corrective action
• process observation shows a practice which negatively impacts product
quality or food safety
• product is found to have a potential health risk and the appropriate action is
not taken
2.3 Foreign material control methods are used and are evaluated to ensure
proper operation.
(Procedure - Observation - Records)
All points (15 points): For all Yum! Brands food products, appropriate foreign material
control must be in place and working and positioned as close to the final packing as
possible. Products packed in foil containers must have metal detection in line before
packing or use imaging systems after packing.
For metal detectors and imaging devices, verification of sensitivity is conducted by

passing the required standards three times each in the normal flow of the product with
the standard at the leading, middle, and trailing edge of the product where possible. The
metal detector must detect and positively reject each product with the standard.
Unless signed alternate minimum standards are provided or a Yum! Brands specification
or Quality Assurance Program indicates different standards; the following standards
must be used:
All products other than fresh and bulk frozen poultry or pre-washed pre-chopped
produce:
1.5 mm ferrous
2.5 mm stainless (316 grade)
2.0 mm nonferrous
Fresh and bulk frozen poultry:

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

2.5 mm ferrous
3.0 mm nonferrous
Supplier can use stricter minimum metal detection standards.
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Note: Coffee, tea, fountain drink mixes, and UHT milk products are exempted from the
metal detection standards as long as rare earth magnets, screening and filtration
systems or other metal elimination processes are used. Aerosol spray cans are exempt.
The auditor will verify the following:

• traps, screens, filters, metal detectors, magnets, imaging and reject systems must be
regularly monitored with results and corrective actions recorded and available for
review
• foreign material control devices must be checked at a frequency and method that
complies with the Yum! Brands specifications/requirements and/or QA Program
• at a minimum, metal detection and imaging systems testing must be conducted at
start-up, at breaks, after maintenance and at the end of a production run
• If device fails test, "appropriate action" is for supplier to place all product between
acceptable checks on hold and repair the device. Product must be then run through
a properly functioning device before release
• metal detection devices and imaging systems must have a product rejection device,
if physically possible (physically possible is approximately 25 pounds / 11.34kg or
less), not just an alarm or belt shut off mechanism
• for metal detection systems that do not have a positive rejection device, but does
have an alarm, warning light, or belt shut off mechanism there must be a
documented program on how the system is restarted, and the disposition of suspect
product
• a product rejection log must be kept with analysis and corrective actions recorded for
any foreign materials
• the auditor shall observe a test and verify that metal detection and imaging units on
Yum! Brands product lines are functioning properly. Auditor shall confirm the
appropriate sensitivity and methods are being used, and they conform to product
specification and QA program. The auditor will observe that the positive reject
device is operating correctly. If the metal detector or imaging device fails, the auditor
will observe that rejected product is handled correctly. If Yum! Brands product is not
being produced on the day of the audit, auditor will still verify functionality with the
sensitivity required by the product being run, and will confirm that wands with the
appropriate Yum! Brands sensitivity are available.
nonconformance:
• records contain isolated instances of incomplete or missing information
• metal detector fails auditor's check and plant takes appropriate corrective action (all
product between acceptable checks was placed on HOLD).

nonconformance:
• records contain numerous instances of incomplete or missing information
• frequency or sensitivity of metal detector, imaging system, traps, screens, filters and
magnets inspections do not meet Yum! Brands product requirements
• there is no documented program for the operation and restarting of metal detectors
or imaging systems that do not have positive rejection device if physically possible,
but there is another rejection method such as a line stop and alarm or warning light
• observed incorrect method / standard being used
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No points: No points will be awarded if one of the following situations is encountered:
• metal detector fails auditor's check and plant does not take appropriate
corrective action
• auditor cannot verify all product has been through a functioning metal
detection or imaging system, as required
• systematic missing or incomplete records
• no records of inspection of foreign material control devices
• no follow up corrective action on nonconformance
• no foreign material control devices or program
2.4 Testing procedures are established for all product attributes in the
specification(s) / Quality Assurance Program(s).
(Procedures/Records/Observation)
All points (15 points): Formal methods and/or procedures (Standard Operating
Procedures/ Work Instructions) for all physical, chemical and microbiological tests are
documented and utilized for raw materials and finished product testing. Only approved
(AOAC, BAM, supplier procedures with Yum approval, etc.) procedures are used. Any
deviation in test protocol from those outlined in the specification or quality assurance
program requires written alternate minimum standards from the appropriate Yum! Brands
QA contact. All tests required in the specification and Quality Assurance Program are
included in this requirement.
Records:
• Microbiological testing records demonstrate compliance to the specification / QAP
requirements
• Chemical testing records demonstrate compliance to the specification / QAP
requirements
• Physical finished product testing records demonstrate compliance to the specification
/ QAP requirements
Observations:
• Microbiological testing follows the requirements of approved methods
• Chemical testing observed follows the requirements of approved methods.
• Physical finished product testing observed follows the requirements of approved
methods
Minor non-conformance (10 points): One of the following will constitute a minor non-
conformance:
• single instance of missing procedure
• single/isolated instance(s) of incomplete procedures or missing records
• single incident of method deviating from procedure
Major non-conformance (5 point): One of the following will constitute a major non-
conformance:
• isolated instances of missing procedures
• numerous instances of incomplete procedures/records or missing records
• single/isolated instance(s) of unapproved methods/procedures
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• numerous instances of missing procedures
• numerous instances of unapproved methods/procedures
• records indicate systematic failure due to the number of incomplete or missing
records
• no records
2.5 Individuals are formally trained to conduct assigned testing and QA evaluations.
Skills shall be assessed
(Procedures - Records - Observation)
All points (10 points): Review the procedures and records to determine if the individuals
responsible for conducting tests and quality inspections are properly trained. This
includes all individuals who are performing physical, chemical and/or microbiological
analysis required in the specification / QAP. Training will be verified through a record
review and observation of individuals performing tests.
The training program shall:

• define the skill requirements, and training method(s)
• evidence of employee training both initial and annual training updates. Examples
may include: check sheet copy of a successfully completed test, supervisor's
evaluation form.
• have exit criteria to assess the effectiveness of the training. Exit criteria includes
what steps or tasks must be learned, and a test or evaluation by a supervisor against
a defined set of criteria
• contain a tracking program by individual to track training received and assess
progress against training skills needed.
• If initial training is not evident due to employee’s long tenure with the company, a
document that the employee has been grandfathered into the program is acceptable.
This only applies to the period prior to beginning Yum! Brands Quality Systems
Audit.
conformance:
• training records contain isolated omissions (missed dates or missed sessions)
• one element of the training program is missing
conformance:
• training and/or tracking records contain numerous omissions
• training records not available for all employees conducting product testing
• two elements of the training program is missing.
• training frequency is more than annually but less than 18 months

• a documented training program for personnel does not exist
• more than two elements of the training program are missing
• it is observed that personnel do not know how to properly conduct testing or
calculate the results.
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• corrective actions not implemented where observations show training to be
inadequate.
• training frequency exceeds 18 months
2.6 A process is established to manage the accuracy and precision of all KPI testing.
(Procedures - Records)
All points (5 points): The supplier shall demonstrate a process is established to
manage the precision and accuracy of all KPI testing. Statistical comparison should be
used where possible. For the attributes that are not compared statistically, the program
shall describe the calibration methods for the attribute. The comparative standard is the
methodology or standard that is used to measure the results against.
The procedure shall include:

• methods of calibration of all testing associated with all KPIs identified in the product
specification / KPI report
• calibration of methods for all personnel responsible for testing
• calibration sessions for all personnel at least twice annually
• identification of the comparative standard for each test
• acceptance criteria or acceptable measurement error tolerance
• action plan for all of out of tolerance results
Records shall include:

• results of calibration sessions
• corrective actions for the results that are not within tolerance
conformance:
• records or procedures contain single/isolated omission(s)
• records contain single/isolated deviation(s) from the schedule
• comparative standard not identified for each attribute
conformance:
• records or procedures contain numerous omissions
• numerous deviations from the testing schedule are noted
• reference standards are not used when appropriate
• individuals conducting like testing are not calibrated
• an acceptable accuracy deviation from the standard has not been defined
• corrective action is not taken when and where issues are identified
• Procedure does not include all KPIs.

• two or more major non-conformances
• accuracy and precision testing are not conducted and/or documented
• corrective actions not taken when measurement errors exceed specified tolerances
• no procedure
2.7(*) A procedure is established for notifying Yum! Brands in writing of changes in

manufacturing or material supply, prior to production.
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All points (5 points): A procedure assigns responsibility and defines methods to ensure
Yum! Brands is informed of any changes in materials or process. The procedure should
include the notification of R&D / QA of the brand that the product is supplied to. Yum!
Brands shall confirm authorization to proceed. It is not acceptable for a supplier to say
they do not make changes. They must have a procedure.
conformance:
• Yum! Brands approved changes, after the fact. Product was placed "on-hold"
pending written approval. Data was collected on the processes.
• Yum! Brands contact not included in procedure
conformance:
• changes were made and only verbal notification was given
• product was not placed on hold pending approval

• supplier made changes to the process or materials without notifying the appropriate
Yum! Brands R&D/QA contact
• no procedure
3.0 PRODUCT, INGREDIENT AND MATERIAL TRACKING
3.1 Procedures for lot identification and tracking for all raw ingredients, packing and
finished product are established.
(Procedures)
All points (30 points): The plant has documented procedures which define how raw
ingredients and packing materials are identified and tracked to finished product
use by date/manufacture codes.
The procedures shall include:

 methods to ensure traceability through each stage of the process. This includes
each stage of the process from the receipt of raw materials through shipment to the
first external customer. Documentation must link transition lot numbers.
 how packing and raw ingredients are coded
 identification of what records are used for traceability
 what specific traceability information is on each record
 who is responsible for completing each record (can be specific by job title)
 a method to link each ingredient and food contact packing material to finished
product lots
 methods used to code finished product with use by dates or kill dates for fresh
poultry
 method use to track production codes/use by dates shipped to each external
customer
NOTE: Labels and returnable containers for poultry are not considered packing
materials.
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conformance:
 the procedures only allow for tracking to one day's production for a batch system
 procedures do not support proper or legible coding
 procedures do not support coding that can identify/link product to external customer
 records used are not identified in the procedure
• one element of the above missing
conformance:
 packing material is not traced to finished product lots
• two elements of the above missing

• raw material coding is not tracked to finished product lots
• the inability to trace any one finished product to external customer
• no written procedures
3.2 Finished products, packing materials and raw ingredients are properly identified
to ensure traceability.
(Observation)
All points (20 points): All lots of raw ingredients, packing materials and finished product
shall be clearly identified in such a way that they can be easily tracked. Finished
product must be legibly coded with use by dates or kill dates for fresh poultry and
accordance to Yum labeling requirements. All incoming ingredients shall be identified
to ensure traceability. Finished product is being properly stacked so that code dates
are visible on at least two sides of the pallet.
Minor non-conformance (15 points): The following will constitute a minor non-
conformance:
• a single instance of finished product is not legibly coded with required use by dates
or kill dates for fresh poultry
• single instance of incoming ingredient and packaging without identification for
traceability.
• a single instance of finished product is not properly stacked so that code dates are
visible on at least two sides of the pallet.
Major non-conformance (6 points): The following will constitute a major non-

conformance:
• isolated instances of incoming ingredients/materials without identification which
ensures traceability.
• isolated instances of finished product is not legibly coded with required use by dates
or kill dates for fresh poultry
• isolated instances of finished product not properly stacked so that code dates are
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• numerous instances of finished product without required use by dates or kill dates for
fresh poultry
• numerous instances of finished product incorrectly coded
• numerous instances of incoming ingredients/materials without identification for
traceability.
• numerous instances of finished product not properly stacked so that code dates are
3.3 Records for lot identification and tracking for all raw ingredients, packing
and finished product are maintained.
(Records)
All Points (30 points) All records to track raw ingredients, food contact packing and final
product to first external customer are maintained. Records shall identify:
• all lots of raw ingredients and packing material and their link to specific codes
assigned to finished product
• which production codes are shipped to each customer
NOTE: Labels and returnable containers for poultry are not considered packing
materials.
conformance:
• records exist but do not allow for easy tracking
• records contain single/isolated omission(s)
conformance:
• records contain numerous omissions.

• raw material coding is not tracked through records to finished product lots
• the inability to trace by record more than one raw food ingredient
• the inability to trace by records any one finished product
3.4 A procedure is established to ensure proper product rotation. Oldest code

dated raw product is used first. No expired items are found ready for
production. Oldest code dated finished product shipped first.
(Observation / Procedures - Records)

All Points (20 points) Incoming ingredients, packing and finished product shall be
rotated using a manufacture date not receiving dates. If no manufacture date is
evident, items/stock shall be dated with the receipt and expiration dates. This
information shall be placed on the ingredients/stock upon receipt and the dates
shall be placed (at a minimum) on the pallet or on a bottom outside case. Stock
is rotated by available code date and meets shelf life requirement. Automated
systems based off supplier assigned pallet tickets or bar coding must be able to
distinguish older product that is received out of rotation so it is used in production
first. If oldest date is not shipped first, written Alternate Minimum Standards for
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shipping out of rotation must be approved by the appropriate Yum! Brands
contact in writing prior to shipment.
conformance:
• single/isolated instance(s) of incoming stock not dated with either the manufacturer
date or the receiving date and expiration date
• one item out of rotation per the product shelf life
• single/isolated instance(s) of finished product not being rotated.
conformance:
• numerous instances of incoming stock not dated with either the manufacturer date or
the receiving date and expiration date
• ingredients and packing are not rotated, but no expired ingredients or product are
found
• Automated systems using pallet tickets or bar coding not capable of identifying or
making product/ingredient available for use based on manufacturing date – Use
oldest product/ingredient first.
• numerous instances of finished product not being rotated.
No Points: No points will be awarded if any of the following is encountered:

 expired ingredients are found in storage ready for use
 expired finished product is found in storage or ready for shipment
4.0 PURCHASING AND CONTROL OF INCOMING INGREDIENTS
4.1 Second Tier suppliers specifications/quality requirements for all ingredients and
packaging materials are maintained.
(Documentation)
All points (15 points): Verify that second tier supplier raw material specifications are
kept current, and quality requirements are on file. Review a list of major raw ingredients
for a Yum! Brands product and then ask to see the supplier’s approved specifications.
All specifications supplied to second-tier suppliers must specify those attributes
important to the user (similar to KPIs). The specifications should be generated by the
supplier to provide to their suppliers.
Second Tier Suppliers: are the suppliers who provide ingredients and packaging
materials to Yum! Brands suppliers.
For fresh poultry - internally produced poultry - this includes a current product
specification and/or a copy of the KFC Poultry Manual. For externally produced whole
birds, a list of quality requirements shall be maintained.
For Yum! Brands proprietary ingredients where the second-tier supplier is approved and
specified by Yum! Brands, the supplier is not required to have a specification on file
unless specified by the Yum! Brands Product Manager in writing.
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• Isolated instances of missing, incorrect or outdated (including hand written changes)
raw material specifications are found.
• Isolated instances of second tier suppliers specifications being used as the suppliers
specification

• Numerous instances of missing, incorrect or outdated (including, hand written
changes) raw material specifications are found.
• Numerous instances of second tier suppliers specifications being used as the
suppliers specification
No points: Specifications not available.
4.2 Procedures for inspection, approval and disposition of raw ingredients and
packing materials are established.
(Procedures)
All points (15 points): To receive all points a supplier shall have documented
procedures
• detail the receiving procedure for all materials and ingredients that includes
sanitation / condition of the carrier, and requirements for accepting incoming
materials
• for verifying compliance to specification. Either through COAs accompanying each
load with test results for each key attribute or by the testing of all key attributes upon
receipt of each load. Procedure should include comparison to specification when
COA is used for compliance to specification prior to approval and release.
• detailing the sampling plan when samples are tested in-house or by an outside
laboratory, testing frequency and testing methods for incoming materials.
• outlining the procedure which places materials that require further testing prior to
use, "on-hold" until the appropriate QC inspections can be made, a positive hold-
release program. The hold process must include methods to prevent release prior to
verification of compliance to specification.
• requiring of "Letters of Guarantee" for each ingredient and packing material supplier.

• Sampling procedures, testing frequency and testing methods exist for major
materials, but not all raw materials. (For example, procedures do not exist for salt as
a marinade ingredient.) In this case "materials" include all ingredients and packing
materials

• one of the above required elements is missing.
No Points: No points will be awarded if:

• more than one element is missing
• no procedure is established
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4.3 Supplier has an approved supplier program established for all their raw
ingredient and packing suppliers.
(Procedures – Documentation)
All points (15 points): To be awarded all points a supplier shall have a program which
clearly defines process by which their suppliers become approved as a raw material or
packaging supplier and at a minimum shall include the following:
• product quality and food safety as approval criteria.
• an evaluation of ingredient suppliers for all ingredients, packaging ( both food
contact and non-food contact), and processing aids used in ingredients and
packaging for production of Yum! Brands products. This evaluation shall
include:
• the country of origin for ingredients
• identification of allergens processed on the same lines, and/or facility,
• food safety audits performed at the ingredient supplier’s facility containing
the minimum elements expected in a food safety audit that are listed below
• the Quality Assurance contact
• program for the control of non-conforming ingredients and products
• vendor risk assessment of their suppliers
• preventative maintenance programs
• recall program
• Classification of ingredients and packaging material (both food contact and
non-food contact). The supplier will develop an internal list based on the food
safety risk of the ingredients and packaging (both food contact and non-food
contact). The classification list must be dated and controlled.
• High food safety risk (includes medium risk classifications)
• Low food safety risk
Note: If the classification of ingredients and all packaging has not been done, all
ingredients will be considered high risk for the audit requirements in 4.4
• defines how suppliers' performance will be monitored and tracked

• defines corrective actions for supplier performance problems
• a current dated approved supplier list
• criteria for disqualification
• requiring food safety audits from second tier suppliers of ingredients and packaging
material (both food contact and non-food contact) at a minimum of annually. Audits
may be conducted by the supplier, or a third party, but audit results must be on hand
for review. The food safety audits should contain basic elements similar to the Yum!
Brands food safety audits listed below.
• requiring a review of supplier audits, and addressing critical issues identified in the
audits – records of the reviews completed in 4.4
Note: If the ingredient is purchased through a broker or trading company, the food
safety audit for the “manufacturer of the ingredient” is still required.
Minimum elements expected in the food safety audit:

• Pest Control
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• Sanitation
• Operations and Facility
• Good Manufacturing Practices
• Product protection
• Product Recovery
• Security
Current Global Food Safety Initiative (GFSI) benchmarked audits may be accepted
for the supplier audits. In lieu of the full GFSI a non-expired GFSI certificate issued
by an approved certification body is acceptable.
For fresh produce products, there should be a field audit available in lieu of the Food
Safety Audit. The field audit should contain at least the following elements:
• Perimeter evaluation
• Animal tracks / droppings
• Worker hygiene
• Irrigation Water standards
• Handling practices
Minor non-conformance (10 points): One element in the approved supplier program is
missing or is incomplete.
Major non-conformance (5 points): Two elements in the approved supplier program

requirements are missing.

• more than two elements are missing
• no program
4.4 Supplier tracks performance of Second Tier raw ingredient and packaging
suppliers, and maintains corrective actions on file.
(Records)
All points (15 points): Second tier suppliers' performance is monitored, tracked and
documented. Follow-up/corrective action is taken, documented and effective. Supplier
data tracking shall include positive records of:
• specification compliance
• number of complaints
• delivery problems
• corrective actions when issues are identified
• food safety audits from second tier suppliers
• records of ingredient and packaging (both food contact and non-food contact)
supplier audit reviews are current, and contain action items from critical issues
identified in the audits. The audits should contain basic elements similar to the Yum!
Brands food safety audits.
Minimum elements expected in the food safety audit:

• Pest Control
• Sanitation
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• Product Recovery
• Security
Minimum elements expected in the fresh produce field audit:

• Perimeter evaluation
• Animal tracks / droppings
• Worker hygiene
• Irrigation Water standards
• Handling practices
Note: Actual audits or evidence of the audit should be available for review.
Objective evidence should verify the minimum expected elements outlined above
are contained in the audit. Audits should be from the current calendar year or the
previous calendar year. At a minimum, the cover sheet providing the results should
be made available for the auditor’s review if the audit is of a proprietary nature.
Current Global Food Safety Initiative (GFSI) benchmarked audits may be accepted for
the supplier audits. In lieu of the full GFSI a non-expired GFSI certificate issued by an
approved certification body is acceptable.
conformance:
• records contain isolated omissions.
• single instance of missing food safety audits from low risk ingredient second tier
suppliers
conformance:
• records of supplier performance contain numerous omissions
• record data is inconsistent with program procedures
• no corrective action documented when issues are identified
• isolated instances of missing food safety audits from low risk ingredient second tier
suppliers
• audit records do not contain all of the listed elements
• records do not show that the audit results were reviewed, or no action items
developed for critical issues
• single instance of missing food safety audits from high risk ingredient second tier
suppliers

• no records
• suppliers' performance not monitored
• numerous instances of missing food safety audits from low risk ingredient
second tier suppliers
• isolated instances of missing food safety audits from high risk ingredient
second tier suppliers
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4.5 Records indicate incoming materials (ingredients/packaging)are from
approved suppliers and meet specification requirements based on in-
house testing or Certificates of Analysis. Letters of Guarantee are
maintained for each supplier.
(Records)
All points (15 points): This element is meant to be a review of records not an
observation. Receiving records indicate that all released incoming materials (food
ingredients and packing materials):
• are sourced from a list of approved suppliers used in Yum formula (s)
• meet Yum! Brands specification and QAP requirements based on in-house testing or
a Certificate of Analysis.
• when COA is used as acceptance, evidence that COA has been compared to
specification for compliance before approval and release.
• Letters of Guarantee are on file for each supplier.
• food contact packaging shall be food grade approved
• receiving records for trailer sanitation and condition are maintained

• single/isolated instance of a missing Letter of Guarantee
• records contain a single omission.
conformance:
• records contain isolated omissions
• numerous instances of missing Letters of Guarantee
• out of specification non food contact packaging materials are received and not
disposed of per program requirements

• materials received from disapproved or non-approved suppliers
• records contain numerous omissions
• out of specification materials (food contact) are received and not disposed of
per program requirements
• material(s) used that were not verified as meeting specification
4.6 Ingredients and packing delivered to the production area have been
approved, released for use and are from approved suppliers
(Records - Observation)
All points (15 points): A process inspection verifies all materials in use have gone
through a release process. Material shall be placed "on-hold", tested (if applicable) and
then released. Verification should be made by choosing product in production area and
following process back to release authorization. Electronic bar coding is an acceptable
method of identifying acceptable product, but should be referred to in the procedures.
Procedures are referenced in 4.2 of this document.
conformance:
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• ingredients awaiting approval are not segregated or identified.
• non food contact packaging materials are not approved.
conformance:
• ingredient was released from an "unapproved" supplier and observed
• food contact packaging materials are not approved.
• ingredients awaiting approval are neither segregated nor identified

• ingredient that was released from an "unapproved" supplier is observed in use
• ingredient that has not been released for use is observed
• ingredient that has not been through the inspection and approval process
observed in use.
4.7 Verify the retention sample process described in the QAP

(Observation - Records)
All points (10 points):
• Verify the collection of retention samples meet the requirements of the specification
/QAP
• Observation of the retention samples at the end of shelf life meet the requirements of
the specification /QAP
• Review of recent records from at least two production dates demonstrate compliance
to the specification / QAP requirements
Score N/A if not required by QAP.
Minor nonconformance (7 points):

• single instance of samples not being retained at prescribed frequency
Major nonconformance (3 point):

• isolated instances of samples not being retained at prescribed frequency
• records contain single/isolated deviations(s) from the scheduled test frequency
• records contain instances of noncompliance to procedure
No Points:
• numerous instances of missing samples
• numerous instances of incomplete records
• numerous records missing
5.0 PRODUCT PROTECTION
5.1 A documented HACCP program, including training is established.

(Program - Records)
All points (30 points): There must be a documented HACCP program for each of Yum!
Brands Restaurants' product lines. The program must be based on the HACCP
principles and include the following:
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• Principle 1 -hazard analysis and risk assessment of all Yum! Brands product
processes are on file for review and includes:
• hazards that are reasonably expected to occur
• hazard evaluation to determine severity and probability of risk
• scientific basis for the control measures in place
• Principle 2 - identification of CCP’s and placement on a flow chart of the process
• Principle 3 -established control limits for each CCP
• Principle 4 -established monitoring procedures for each CCP
• Principle 5 - defined corrective action for each CCP noncompliance
• Principle 6 - established verification procedures (including validation) for each CCP
• Principle 7 - established record-keeping and documentation procedures for each
CCP
• training established for employees (ongoing at minimum annually)
Minor nonconformance (20 points): The following will constitute a minor

nonconformance: (There is not a minor nonconformance category for this audit point.)
Major nonconformance (10 points): The following will constitute a major

nonconformance: (There is not a major nonconformance category for this audit point.)

• no HACCP program for one or more of Yum! Brands' product lines
• HACCP program lacks one or more of the above requirements
5.2 CCP’s are monitored according to documented procedures with

appropriate action taken and recorded.
(Records)
All points (15 points): The auditor shall verify compliance to the following:
• CCP’s shall be monitored with the frequencies indicated in the HACCP program
• appropriate corrective action must be documented
• records shall be available to Yum! Brands certified auditor for review

nonconformance:
• single instance of incomplete records on conforming parameters
Major nonconformance (5 points): The following will constitute a major

nonconformance:
• isolated instances of incomplete records on conforming parameters

• lack of specific corrective action for follow-up
• lack of verification that the follow-up has addressed the issue
• frequency does not match frequency specified in program
• there are numerous incomplete records
• no action taken when a nonconforming parameter was identified
• no monitoring of CCP’s
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5.3 Annual water quality reports are on file.
(Records)
All points (10 points): The supplier maintains records of water quality checks. The
plant shall meet local regulatory requirements and standards for potable drinking water.
The sample for testing must be drawn from inside the plant from different points of use.
Specifically, suppliers shall test for:
• Total Plate Count
• coliforms
• E. coli (not necessary if none detected on coliform count)
• Nitrates/Nitrites (products affected by Nitrates/Nitrites, example: required for
poultry)
• the heavy metals -- lead and mercury
• off flavors and odors
• in surface or bore water usage plants (exclusive of town or city water) the supplier
shall also test for Cryptosporidium and Giardia if one of the following is not met:
i) a 2 micron or smaller filter is used or
ii)the product will be heat processed at either the plant or the restaurant
For any process that uses steam that comes into contact with ingredients or finished
product, ensure that boiler treatment chemicals are food safe approved and are added at
the appropriate concentrations.
Dry plants ARE required to test water (example: for hand washing purposes). Yum!
Brands QA shall provide additional information and requirements, where necessary, to
the auditor.

nonconformance:
• it has been more than 12 months but less than 18 months since a water quality
check has been performed, and the facility has not had a water quality problem in the
past

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

• no record of water / steam quality testing exists
• water is not potable
• chemicals used in boiler treatment (for any process that uses steam that
comes into contact with ingredients or finished product) are not food safe.
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5.4 Contacts and training are maintained for product recoveries.
(Records)
All Points (15 points): Product Recovery Contact Lists shall be current, updated
annually and defined as below:
• Supplier's Contacts (within supplier's company): Each contact shall have copy of
current Recovery/Withdrawal Program and contact list.
• Supplier's Emergency Contacts are current in the Yum! Brands Supplier
Management Website. There must be a minimum of three current emergency
contacts listed in the plant profile with the contact type as “Emergency Contact”.
Identify with a number (1, 2 or 3) after the name.
• Second Tier Supplier's Contacts: (raw ingredient or packing supplier to supplier
being audited) business and after hour phone/pager numbers required
• Appropriate Yum! Brands Contacts
• Appropriate distribution contacts (distribution centers, broker/vendor etc.,)
• Supplier emergency contacts have received annual management training of the Yum
Brands Crisis Management Program (see Yum reference site on Crisis
Management).
NOTE: All lists should include contacts for 24-hour/7 day per week accessibility
to a minimum of two individuals. If both a Recovery Team and a Contact list
exist, they both shall be included in the program.
nonconformance.
• disorganized records
• contact list has isolated omissions
• supplier’s local contact list is not up to date
• supplier’s contacts in the Yum! Brands Supplier Management Website is not up to
date

nonconformance:
• one contact list is missing

• more than one contact list is missing
• Supplier emergency contact list is missing or not current from the Yum!
Brands Supplier Management Website
• Yum Brands Crisis Management Program training not conducted annually
5.5 Auditor verifies supplier can identify, track and locate 100% of raw
materials used in Yum! Brands product to finished Yum! Brands product
lots, and on to first external customer "within 2 hours.”
(Observation - Records)
All points (30 points): The auditor will select a single raw food ingredient or food contact
packing material code number or lot number and ask the supplier to trace it to finished
product lots, rework, any work in process, product on hold or destroyed (if applicable)
onto the first external customer within 2 hours.
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The auditor will initiate a test of the supplier’s product recovery during the course of this
audit, and is required to begin the recovery a minimum of 4 hours prior to close of day,
to assure the supplier enough time for recovery completion and to correct any issues
that may arise.
AUDITOR GUIDELINE: When tracing a raw ingredient, first identify total quantity of raw
ingredient received by supplier. This raw ingredient quantity must be 100% reconciled to
initial raw ingredient batch records, including portions used or still in storage. From this
point on, only percentage of raw ingredient product used for Yum! Brands product is to
be traced through to finished product and to first external customer. No need to trace
non-Yum! Brands used raw ingredient amount to finished product/external customer.
Supplier's procedure shall include the ability to trace packing materials as raw
ingredients.
To receive full points, 100% of the ingredient or packing material must be traced to
finished product, as well as 100% of the finished product lots to first external customer
within the 2-hour time frame and completes the “Product Information Data sheet” (the
supplier portion)
Note: If the supplier uses a theoretical loss (shrink / yield) calculation for ingredients due
to processing, this calculation must be completed prior to the test during the audit.
nonconformance:
• process does not or cannot track packing materials to finished product lots
• isolated instances of incomplete or missing records
nonconformance:
• numerous instances of incomplete or missing records
• Product information data sheet missing or incomplete
• >100 - 105% or 99.5% to 99.9 of total product/ingredient is located in 2hours
• No Points: No points will be awarded if any of the following is encountered:

• supplier does not have the ability to track and locate product
• process cannot or does not track one raw ingredient or rework
• < 99.5 or >105% of the total product/ingredient is located
• tracking takes more than 2 hours to complete
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A B C D E F
Amount of Amount of B/A * 100 = % Total Amount of Total Amount E/D * 100 = %
Ingredient Ingredient of Ingredients Product of Product of Product
Received at Located in Recovered Produced Recovered Located
Plant Product, in
Storage or
Disposed
Total Difference [(100-C)] +

from Target [(100-F)] =
Total Variation
6.0 PRODUCT STORAGE AND SHIPPING
6.1 Procedures are established to ensure storage and transport conditions meet
Yum! Brands requirements.
(Procedures)
All points (20 points): Procedures are defined and conditions are monitored to insure
that product is properly stored and transported without detrimental effect to product
quality or package integrity and per Yum! Brands product specifications / Quality
Assurance Program.
Procedure shall include:

• storage conditions including sanitation and cleanliness
• temperature monitoring for storage and product temperatures
• off-site storage facilities monitoring for sanitation, cleanliness
• off-site storage facilities temperature monitoring
• the inspection of shuttle, container, and out-bound trailers for physical condition,
sanitation, pest control, glass
• the monitoring of pre-cooling temperatures of transport vehicles prior to loading
All trailers, including dry-only trailers shall be:

• clean. (clean so as to prevent cross contamination or offensive odors.
• free of pest evidence or infestation.
• sound: (walls and ceiling are in good condition; no holes exposing insulation or
outside air; no cracks or panel separation; door seals are intact).
The following shall be addressed in the procedures:

• method of inspection
• frequency of inspection
• responsibility for inspection
• action to be taken if an issue is found
** If Yum! Brands product is not being produced or stored at the time of the assessment,
verify supplier's written procedures to maintain storage and transport conditions for Yum!
Brands products.
Shuttles are trailers or trucks that are used to transfer product between the
manufacturing and storage facilities.
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• one or more procedures are not completely defined
conformance:
• one of the above elements is not addressed or defined
No points: No points to be awarded if the following exists:

• no documented procedures for the inspection of the physical condition, sanitation
and/or temperature control of out bound trailers or shuttles
• more than one element is not addressed
• no documented procedures for control of product storage
6.2 Records verify products are stored and transported according to Yum!
Brands requirements.
(Records)
All points (30 points): Records indicate conditions and/or temperatures are monitored to
ensure product is properly stored and transported to protect product quality and packing
integrity including freezers, coolers, cool docks, and warehouses. Storage temperatures
shall be recorded at least twice per day or have a continuous on-line temperature
recorder where temperature sensitive ingredients and temperature sensitive finished
products are stored. If an on-line temperature recorder is used, then manual verification
of storage temperatures shall be done daily and recorded. Dry storage and general
warehouse conditions should be monitored for sanitation and general conditions.
Records shall include:

• logs of storage temperatures monitored twice per day for temperature sensitive
ingredients and finished products, if no continuous recording device, or daily with a
continuous on-line recorder
• logs for dry storage and non-refrigerated materials, sanitation and general conditions
• inspection logs verify each out-bound trailer, container, or shuttle pre-cooling
temperature meet requirements according to the Quality Assurance Program or if not
specified by specification or QAP - minimum of at least 40o F / 4.4o C for refrigerated
products, and 10o F -12o C for frozen
• verification that all outbound trailers and shuttles are inspected for cleanliness,
physical condition, pest control, exposed glass, and refrigeration units that are
functioning properly to maintain product temperature, with sign-off
• outbound trailers are locked or sealed with seal number recorded upon leaving
loading dock
• product temperatures are recorded and meet Quality Assurance Program
temperature requirements
• no damaged Yum! Brands product is loaded
• product is palletized to protect product during transport; no pallet overhang, proper
stacking and wrapped as needed
• product is properly palletized to protect against damage
• that all non-conformances have been handled according to procedures and Quality
Assurance Program requirements
• off-site storage facility information. Whenever outside storage facilities are used for
Yum! Brands products, records from those facilities shall be reviewed by the supplier
and readily available for review during the assessment. Records of routine
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monitoring by the supplier shall verify compliance to all Yum! Brands storage and
transport requirements, including sanitation, storage temperatures for temperature
sensitive products, product shipping temperatures for temperature sensitive
products, and trailer security and conditions when the product is shipped.
• off-site storage facility food safety audits are available for review. Food Safety audits
shall be done at a minimum of annually. Suppliers may conduct the audits, or have a
third party conduct the audit. Records shall be available at the supplier’s facility.
• records show that the off-site storage audits are reviewed and action items
developed for critical issues identified in the audits.
The food safety audits for off-site storage shall contain basic elements similar to the
Yum! Brands food safety audits.
Minimum elements expected in the audit:
• Pest Control
• Sanitation
• Security
Note: Actual audits or evidence of the audit shall be available for review. Objective
evidence shall verify the minimum expected elements outlined above are contained in
the audit.
Minor non-conformance (20 points):One of the following will constitute a minor non-
conformance:
• one storage temperatures not monitored at the prescribed frequency or method
• records incomplete / missing for one element
• isolated instances of incomplete or missing records for storage sanitations /
conditions
conformance:
• two storage temperatures not monitored at the prescribed frequency or method
• records incomplete / missing for two elements
• single/isolated instance of outbound trailer or shuttle not inspected for temperature
• numerous omissions in records
• single / isolated instances of product temperatures not recorded for temperature
sensitive products at shipping
• one element is not evaluated
• audit records do not contain all of the listed elements
• records do not show that the off-site storage audit results were reviewed, or no action
items developed for critical issues
• numerous instances of incomplete or missing records for storage sanitations /
conditions
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• no monitoring of storage temperatures for temperature sensitive ingredients
and finished products
• no product temperatures for temperature sensitive ingredients and finished
products recorded at shipping
• records incomplete / missing for three or more elements
• deviations in frequency or method of observation which could allow or has
allowed non-conforming product to pass into the system
• off-site storage facilities not audited
• outbound trailers are not locked and/or sealed upon leaving loading dock
6.3 Finished product is stored and transported per Yum! Brands requirements
and in such a way as to protect the integrity and performance of the
product.
(Observation)
All points (30 points): Conditions indicate product is properly stored, loaded and
transported per Yum! Brands Quality Assurance Program / product specifications.
Conduct temperature tests of product being shipped. All temperatures meet the
requirement of the specification / QAP.
During handling, storage, staging, or loading, the following shall be observed and
verified:
• all products shall be managed through a fully enclosed loading dock

• all temperature sensitive product shall be managed through a temperature-controlled
loading dock.
• frozen and chilled product may be staged on a temperature-controlled cool dock
ready for loading or storage for no more than 30 minutes. Once staging begins, the
loading or storage of chilled or frozen product must be completed within 1 hour or
less each
 packaging integrity
• no torn, punctured or leaking cases
• no opened or condensation stained cases
• no dirty or crushed cases are evident during handling, storage or loading
 corrective action is taken when issues are discovered
 outbound trailers and transfer trucks are inspected for physical condition,
cleanliness, exposed glass, pest activity and sanitation condition
 outbound trailer and transfer trucks are precooled to required temperatures, if the
product requires temperature control
 staged and outbound trailers are locked and / or sealed
 all storage conditions meet Yum! Brands requirements for temperature controls,
sanitation and general conditions.
• docks must be enclosed and cooled to less than 45° F / 7° C if temperature sensitive
items are shipped
• inspection logs verify each out-bound trailer or shuttle pre-cooling temperature meet
requirements according to the Quality Assurance Program or if not specified by
specification or QAP - minimum of at least 40o F / 4.4o C for refrigerated products,
and 10o F -12o C for frozen
 if the supplier uses outside storage facilities, the auditor may accept records of
supplier visit, if travel to the outside storage facility is not practical.
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** If Yum! Brands product is not available, verify conditions on any visible product.
It is important to verify refrigerated and/or freezer goods are stored at the proper
temperature and that trucks transporting these goods are in good condition, locked, and
pre-cooled to appropriate temperature to protect the product prior to loading.
Minor non-conformance: (20 points) The following will constitute a minor non-
conformance:
• single pallet or stack observed during handling, storage, staging, or loading with torn,
punctured, leaking, open, crushed, stained or dirty cases present or pallet stack
height does not meet QAP/Specification requirement.
• single / isolated observation of trailers not being locked while on the premises

• isolated pallets or stacks observed during handling, storage, staging, or loading with
torn, punctured, leaking, open, crushed, stained or dirty cases present or pallet stack
height does not meet QAP/Specification requirement.
• a single observation of incorrect product temperature handling with corrective action
• numerous instances of trailers not being locked while on the premises
• dock not enclosed
• cool dock temperature does not meet requirements
No points: No points will be awarded if the following exists:

• auditor observes any instance of product stored, shipped, staged, or loaded in
conditions which do not meet product temperature and all other Yum! Brands
requirements
• auditor observes any instance of a truck or trailer being loaded which has not
been inspected for adherence to Yum! Brands requirements.
• numerous pallets or stacks observed during handling, storage or loading with
torn, punctured, leaking, open, crushed, stained or dirty cases present
• outgoing trailers not locked and / or sealed upon leaving loading dock
• Yum! Brands representative observes any instance of product shipped or
loaded which does not meet product temperature requirements
6.4 Shipping records verify Yum! Brands branded products are shipped only to Yum!
Brands approved Distribution centers.
(Records)
All points (20 points): Record review verifies Yum! Brands branded products are
shipped only to approved distribution facilities.
Minor non-conformance: (15 points) The following will constitute a minor non-
conformance:
• single/isolated instance(s) of incomplete shipping records

conformance:
• numerous instances of incomplete shipping information
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No points: No points will be awarded if the following exists:
• any instance of product shipped to unapproved distribution centers
• systematic failure to maintain customer shipping information in shipping records
7.0 CONTROL OF NON-CONFORMING PRODUCT
When rework is used with different use by dates, the original use by date should be
applied to the product to be sure that the product does not result in expired ingredients
or ingredients that expire before the use by date.
7.1 Facility has procedures for the identification, segregation and disposition
of non-conforming raw materials, packing and finished products.
(Procedures)
All points (20 points): Facility has procedures and methods to ensure:
• the determination of the number of cases represented, and where located, by each
product sampling and testing. This is to ensure all product between acceptable tests
is captured when a non-conformance occurs
• the identification of non-conforming raw ingredients, packing and finished products
• the segregation of non-conforming raw ingredients, packing and finished products
• the determination of the disposition of non-conforming raw ingredients, packing and
finished products
• identifying appropriate responsibility and provisions for sign-off on product disposition
-- initials or by computer sign-off
• when a non-conformance occurs, product between acceptable tests are held, and
verification of corrective actions recorded.
Evaluate the method used to identify how much product is represented by each
sampling or product test and determine if it is sufficient to capture all non-conforming
product. If time stamps or case numbers are not utilized, the procedure should explain
how much product are represented for tests, and how all affected product is captured for
isolation from the normal product flow.
Computerized identification and segregation is acceptable, but shall be evaluated to

determine if it ensures non-conforming product is handled correctly.
conformance:
• one element above not included
Major Non-conformance (6 points): One of the following will constitute a major non-
conformance:
• procedures do not include methods for determining sample size and re-sampling
• procedures to identify, segregate and dispose of non-conforming product are not
documented, but supplier is actually identifying, segregating and disposing properly
of non-conforming product
• two elements above not included
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• no procedures
7.2 Facility maintains records for the identification, segregation and

disposition of non-conforming raw materials, packing and finished
products.
(Records)
All points (20 points): All non-conforming product and the disposition of said product
must be recorded individually in a log (manual log or in a computer). Appropriate sign-
off on product disposition is required: by computer access or initialed records. Supplier
maintains the following records:
• the number of cases of product placed “on hold”
• identification of non-conforming raw materials, packing and finished products
• the disposition and corrective actions taken on non-conforming raw materials,
packing and finished products
conformance:
• single instance of missing or incomplete records
• one element above not documented on records
Major Non-conformance (6 points): One of the following will constitute a major non-
conformance:
• isolated instances of missing or incomplete records
• records do not include the number of cases of product placed “on hold”
• no non-conforming product log is in place.

• two elements above not properly documented on records
• numerous instances of missing or incomplete records
• records indicate supplier is not actually identifying, segregating and disposing
properly of non-conforming product
• no records
• systematic failure to maintain all records
7.3 Records of non-conforming product can be physically matched with

product lots held in holding area awaiting disposition.
(Observation/ Records)
All points (20 points): Any non-conforming product held can be matched to records.
Product is identified and segregated from acceptable product. (Investigate a recent
example of non-conforming program management). There shall be 100% reconciliation
of non-conforming cases.
Focus on matching records with product observed. Procedures have been fully covered
in other elements.
conformance:
• non-conforming product is identified per procedure, but is not segregated. 100%
reconciliation with records.
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• non-conforming product is segregated from acceptable product but is not properly
identified as such. 100% reconciliation with records.

conformance:
• records do not specify a final disposition
• non-conforming products are identified and segregated, however complete
reconciliation (less than 1% of total non-conforming product outstanding) with
records cannot be accomplished.
• Codes from held product do not match codes on records.

• non-conforming product is not identified nor segregated
• more than 1% reconciliation cannot be accomplished
• no records
7.4 Procedures are established to ensure product quality or formulation is not

compromised by or during the rework process.
(Procedures)
All points (20 points): To receive all points, the procedures shall clearly define any
handling procedures and address:
• defining methods of rework

• how rework is identified on production records for traceability of rework introduced
into a different production code.
• identification of materials designated for rework and who may approve the use of
rework
• how to control the addition of rework and "work in process" so the product continues
to conform to specification and functional requirements
• temperature limits for temperature sensitive products
• time limits for product awaiting rework
• shelf life limits to ensure that rework does not reduce required shelf life.
• the maximum rework addition allowed
• maximum add-back rate allowed. In this reference add-back is when held product is
blended in with ongoing production at a defined rate.
• methods to ensure temperatures, counts and measurements (as applicable) are
maintained during the rework process.
• Rework or work in process handling procedures specify what type and formula of
rework or work in process may be added to Yum Brands Products.
• defining testing for reworked product to verify compliance to specification / Quality
Assurance Program including time limits to ensure that rework does not create shelf
life issues.
If a supplier does not use rework, a document stating "no rework is used" shall be kept
on file.
conformance:
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• one element of above is not included in procedures
• supplier does not use rework and does not have a document stating : no rework
is used”
Major non-conformance (6 points): The below will constitute a major non-conformance.

• more than one element above is not included in procedures.

• no procedure to determine the amount of rework which can be used
• rework addition procedure exceeds allowed limits
• no procedures
• traceability of rework not included in procedure
7.5 Records indicate the addition of rework does not compromise product
quality, product quality requirements are met and "rework" and Work in
Process can be traced to finished product codes.
(Observation/ Records)
All points (20 points): To receive all points, records will:
• verify rework is controlled so product continues to conform to specification and
functional requirements
• include maximum level of rework allowed for Yum! Brands products
• documented temperature requirements are not exceeded (for temperature sensitive
products)
• documented hold time for rework has not been exceeded
• rework and work in process shall be tracked to the extent to insure inclusion in any
product recall, if applicable. Records are maintained.
Review records to verify if rework is used as a method of disposition. If the supplier's

procedure/policy states no reworking of product, yet records or observations indicate
rework occurred, the supplier will lose all points to this question.
Review records to ensure:

• the lot/batch/production records indicate the quantity and lot number of rework used
in production. All rework and "work in process" is traceable to finish product lots to
ensure traceability.
• records for rework include temperature (for temperature sensitive products) and time.
• lot/batch/production records can be reconciled with product disposition for rework.
• rework and "work in process" production records can be traced to finished product
• the addition of rework does not exceed maximum levels specified by Yum! Brands or
in-plant procedures. If possible, observe the practice of adding rework to confirm the
process matches the procedures.
• product with rework is tested to verify compliance to specification / Quality Assurance
Program.
If no rework is used, the production records should indicate and observations verify that,
no rework is added back. If procedures, records and observations verify a supplier does
not use rework, this question shall be scored N/A.
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conformance:
• isolated instances of missing or incomplete records.

conformance:
• Rework with a different ingredient list added to Yum! Brands Product

• the number of omissions or missing records indicated systematic failure
• lot/batch/production records do not indicate either quantity or identify lot
number of rework used
• rework addition exceeds allowed limits
• rework is found when the procedures indicate the supplier does not rework
• documented temperature limits exceeded
• documented hold time requirement exceeded
• no records
8.0 PROCESS CONTROL
8.1 The supplier shall identify and outline processing steps which effect product
KPIs. Procedures shall include provisions for ensuring the production of the
product is controlled.
(Procedures – Records - Observation)

All points (20 points): A supplier's procedure must clearly define:
• the flow of Yum! Brands products from point of material selection through to
shipping, using a flow chart or similar format.
• a number, letter or similar designation for each step of the process that is "key" to the
control of product KPIs.
The key steps identified on the process illustration shall be listed in a matrix or similar
format and will include:
• a reference for each key process stage to the appropriate standard operating
procedure or work instruction used to control that stage
• testing methods used to control each key stage of the process
• parties responsible for controlling each key stage
• operating limits for each key stage which will ensure specification limits are met
• corrective action to be taken when limits are not achieved
• records shall be maintained.
Key processes are defined as stages of the total process that have a direct impact on
product KPIs.
conformance:
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• one element above not defined (e.g. responsible parties)
• one key process or procedure not completely defined, (i.e. missing one element, the
measure, control procedure, individual responsible or corrective action).
• single/isolated inappropriate response(s) when settings or measures are out of
defined operating ranges
• single step in process not included in flow chart from observation
conformance:
• records contain numerous omissions
• two elements above not defined
• two key processes or procedures are not completely defined, (i.e. missing the
measure, control procedure, individual responsible, or corrective action)
• numerous inappropriate responses when settings or measures are out of defined
operating ranges
• documented procedures not followed
• isolated instances of differences in actual process differing from flow chart from
observation
• observation of the process shows that the flow chart is not accurate

• no records are available
• more than two elements above not defined
• more than two processes or procedures are not defined
• key process steps are not identified
• temperature control is not adequate to protect product integrity
• no monitoring program
• no procedures are established to control operating limits.
8.2 Specific work instructions or Standard Operating Procedures are established for
all key Yum! Brands process stages identified in 8.1.
(Procedures)
All points (20 points): Work instructions are established for all key Yum! Brands
processes. These instructions shall include all key operating parameters and equipment
settings.
Note: If processes are not identified in 8.1, but the facility has all of the documentation
required, points can be awarded.
Work Instructions - How to perform a specific job task from the perspective of the person
who will be performing the task. These are often used in training. Work instructions
may reference other documents for specific equipment settings.
Standard Operating Procedures (SOPs) SOPs are similar to work instructions, but
include how to operate and set-up equipment (production, maintenance, quality control).
conformance:
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• specific work instructions/SOPs or operating parameters are missing for one key
process setting or piece of equipment
• SOPs contain isolated omissions for operating parameters or specific work
instructions.
• SOPs or work instructions lack sufficient detail to fully explain the process
conformance:
• specific work instructions or operating parameters are missing for multiple key
process settings or pieces of equipment
• SOPs contain numerous omissions.
• single / isolated missing SOPs
No Points: No points will be awarded if work instructions/SOPs are not established.
8.3 There are documented job descriptions and qualifications for personnel
performing key process steps identified in 8.1. Training programs are established
and records are maintained.
(Procedures - Documentation - Records)
All points (10 points): Each job shall be defined and documented, including:
• job title
• job summary - a short summary of the overall objective of the job
• job qualification - requirements for job entry.
Training program shall include:

• job training methods
• skills to be learned
• responsible parties for training
• a method to track employee progress with records maintained
• exit criteria for measuring training effectiveness with records maintained
The training program for this element is for the jobs that are identified in the process
map / diagram from 8.1, and should include operators or any other job that has an
impact on controlling the KPIs. The training program for those individuals responsible for
conducting tests and quality inspections is addressed in 2.5.
conformance:
• one element is not well defined or is missing
• job descriptions, requirements and training programs are defined. However, there
are single/isolated instance(s) of incomplete records.
conformance:
• numerous instances of missing records
• two elements are not well defined or are missing
No points No points will be awarded if any one of the following is encountered:

• more than 2 elements are missing
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• no records
• no training program
8.4 A procedure is established to maintain product quality during the startup and
change over of operations.
All points (15 points): Procedures for setting up and changing-over equipment are
documented. At a minimum, the procedures should include verification of ingredients,
allergen controls, packaging material, and labels. For changeovers, removal of previous
ingredients, sanitation, change of ingredients, packaging, and labeling. These shall
include:
• start up checklists that include verification of ingredients, packaging material, labeling
with sign-off
• a list of tasks for change-over that includes, removal of previous ingredients, allergen
controls, sanitation, change of ingredients, packaging, and labeling
• responsible parties for completing each task
conformance:
• one element not established
• single/isolated instance(s) of procedures not being followed
• records contain isolated omissions
conformance:
• two elements are not established
• numerous instances of procedures not being followed
• records contain numerous omissions.
• observation shows that one part of procedure not being followed

• more than two elements are not established
• no procedure or procedure is not defined
• observation shows that more than one part procedure not being followed
• no records
8.5 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. Records are maintained.
All points (15 points): A process exists for establishing and maintaining calibration and
accuracy of key testing equipment used in Quality Assurance labs and in manufacturing.
This shall include:
• identifying all key measuring equipment
• maintaining schedules for calibration testing
• documenting methods and frequency of calibration
• identifying appropriate reference standards
• establishing procedures for proper maintenance of reference standards
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• identifying and maintaining external calibration where appropriate.
• daily checks for thermometers and scales used in the process unless otherwise
defined in the QAP; including, floor scales, fill load cells, and quality testing scales.
• the auditor shall observe a calibration to verify the thermometers and scales on
product line are functioning properly. Auditor shall confirm the reference standards
conform to standards defined in the program.
"Key" Measurement Equipment -- any equipment used to measure a product attribute,

which is in the specification or product Quality Assurance Program. This shall include
autoclave and metal detector calibration if involved in testing Yum! Brands product.
If a piece of equipment cannot be calibrated, there shall be record indicating the

equipment has been inspected and has been removed from service.
conformance:
• one element is not clearly defined, (i.e. calibration procedure, frequency, calibration
records or verification)
• one piece of equipment is not included
• records show single/isolated missed calibration
• one instance of the thermometers or scales that does not match calibration
standards.
• daily checks for thermometers and verification scales not completed.
• Scales tested are “off” between 0.2 % - 0.5% on certified weight and is being used
• Thermometers tested are “off” 1 degree F/ .5 C from the stated limits of the
thermometer and is being used.
conformance:
• two elements are not defined
• two pieces of equipment are not included
• records show numerous missed calibrations
• the frequency of calibration deviates from the program.
• isolated /numerous instances of the thermometers and / or scales that do not match
calibration standards
• Scales tested are “off” more than 0.5% of certified weight and is being used
• Thermometers tested are “off” more than 1 degree F/.5C from the stated limits of the
thermometer and is being used.

• no defined process for calibration
• no program
• no records
• more than two elements are not defined
• more than two key measurement tools are excluded.
8.6 An effective maintenance program is established. Records are maintained.

(Procedures – Records- Observation)
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All points (10 points): An effective maintenance program for preventative maintenance
and on-going repairs shall include:
• responsibility for performing maintenance tasks for preventative maintenance and
repairs
• tasks to be performed during preventative maintenance - these are generally broken
down by piece or types of equipment
• frequency at which tasks are to be performed as part of a preventative maintenance
program
• process for identifying and scheduling maintenance needs such as a "work order"
process
• process for verifying scheduled and emergency maintenance has been performed --
both for PM and repairs
• work orders are promptly processed and closed
• equipment appears to be maintained and functioning properly
conformance:
• one element above not included
• single/isolated incident(s) of a scheduled or needed maintenance not taking place
• single/isolated instance(s) of incomplete or missing records
• single observation of equipment not properly maintained and/or not functioning
properly
conformance:
• two elements above not included
• numerous incidents of a scheduled or needed maintenance not taking place
• documented procedures not being followed.
• isolated observations of equipment not properly maintained and/or not functioning
properly

• systematic failure to maintain program
• no records
• no documented program
• numerous observations of equipment not properly maintained and/or not functioning
properly
8.7 Statistical methods are understood and used effectively to control and improve
production processes.
(Observation / Documentation - Records)
All points (10 points): Implementing statistical methods into production process will
include:
• statistical process control integrated into the processing procedures and practiced by
production personnel at a minimum for all KPIs identified on the Yum! Brands KPI
reports, Quality Assurance Programs, or Specification.
• control charts have defined upper and lower control limits, not specification limits
42
• operating personnel demonstrate fundamental understanding of statistical control
• documented procedures for the use of charts and how to identify and respond to
"special causes"
• SPC rules should be documented and personnel trained
• production personnel appropriately respond to out of control circumstances or
decision rules for control charts
Control Charts should be in the area where measurements are taken, and updated when
the tests are completed. QC can conduct the actual charting, but production personnel
must understand and react appropriately to "out of control" processes. Confirmation of
the proper use of control charts may be made through observation. Simply having
control charts does not support an automatic award of points. For batch systems it may
not be used for real time process control but must be used for long term continuous
improvement.
conformance:
• there are single/isolated incident(s) of errors or inappropriate response to out of
control signals.
• control charts are not up to date in production
• single KPI control point not charted
• SPC rules are not documented
• Personnel completing the charting are not trained
conformance:
• there are numerous incidents of errors or inappropriate response to out of control
signals.
• control charts have specification limits, and not calculated upper and lower control
limits
• isolated KPI control points not charted

• no response to out of control signals
• charts have no control limits
• systematic failure in keeping records
• numerous KPI points not charted
• no procedure for use of control charts and how to identify and respond to "special
causes"
• statistical methods are not used to control or improve the production process.
9.0 CONTINUOUS IMPROVEMENT
9.1 A quality awareness program is in place which includes the defined vision or
mission statement of the organization.
(Observation / Procedures - Documentation)
All points (5 points): The vision or mission statement of the organization shall be clearly
defined and communicated to all levels. Quality awareness is evident throughout the
43
organization. There shall be an established program for the ongoing formal exchange of
quality information.
Key elements to assess:

• vision or mission statement is posted or is provided to all employees
• communication of vision/mission statement: Assess the methods used to
communicate vision and mission statement to all personnel.
• exchange of information: The program shall provide for the ongoing exchange of
information. It shall include written communication from management to production
employees and, encourage feedback from employees back to management.
"Awareness" includes both a process for new hires as well as ongoing awareness for
employees.
conformance:
• single/isolated incident(s) of deviations from the program
• mission statement not fully communicated
• program does not address how the mission is communicated to the employees.
conformance:
• numerous deviations from the program
• employees are found to be unaware of quality policy and/or mission statement
No Points: No points will be awarded if any one of the following is encountered:

• program is not established
• no vision statement
9.2 A program for continuous improvement of quality and productivity is established.

Records are maintained.
All points (10 points): A continuous improvement program shall be established. The
program shall:
 define the process used for continuous improvement
 define the measurement and tracking tools used
 define goals and objectives
 provide for performance to be measured against those goals
Records shall be maintained.
Continuous Improvement is considered long term improvement. There shall be

evidence of active continuous improvement in progress. This does not have to
specifically deal with Yum! Brands processes, but the supplier should be able to
demonstrate how Yum! Brands benefits.
Continuous Improvement involves identification of the problem, evidence of data

gathered for analysis, an improvement strategy, and evidence of data gathered to
support improvement with a summary of the project. Projects should be documented
with participants and actions taken to improve the condition, and summaries to support
44
conclusions. Continuous improvement involves a structured process not just list of goals
or minutes from meetings.
Projects should be documented with the problem statement, the objectives, participants,
measures used, and the summary. At the conclusion of the project, there should be
evidence that the project was reviewed by the team sponsor or upper management.
Tools that may be used may include brainstorming, cause and effect diagrams, Pareto
charts, PDCA, DMAIIC, control charts.
conformance:
• single/isolated instances of incomplete records
• one of the above elements is missing, but the supplier has made progress in
establishing a continuous improvement program
conformance:
• numerous elements are not addressed
• only little progress is made in either quality improvement or value engineering
initiatives

• no program is established
• failure to maintain records
• no progress is made in quality or productivity improvement
9.3 Continuous Improvement: Review of KPI reports

(Records)
All points (20 points): Review KPI attribute results with the facility management to
determine if continuous improvement is being driven. For those attributes, that have a Cpk
< 1.0 & a sigma level < 3.0, plans for improving the KPI attribute should be developed and
discussed. The action plan and time frame should be recorded in the comment section of
the Audit Assessment form. Action plans may include a DMAIC review with an ongoing
review until improvement in quality level is substantiated. An adverse trend is defined as
three consecutive data points, that have a Cpk < 1.0 & a sigma level < 3.0.
If the supplier is not required to complete a report, a written statement shall be on file from
the appropriate Yum! Brands QA contact and, the Yum! Brands representative shall score
this element as n/a.
Minor nonconformance (15 points): There is no minor nonconformance for this element

nonconformance:
• KPI reports show adverse trends and corrective action plan has been generated, but
not implemented.
45
• There is no written statement on file from the appropriate Yum! Brands QA contact
indicating supplier is not required to complete a report

• No corrective action plan has been generated for adverse trends observed in KPI
reports
9.4 Procedures are established for addressing customer complaints. The data is
analyzed and utilized to resolve complaints and drive continuous improvement.
All points (20 points): Procedures for documenting customer complaints and issues
shall define and record positive records in how to:
• collect information - includes complaints received from Yum!
• record information
• track information
• summarize information
• address corrective action
• Identified corrective action should be made part of the existing process
Supplier shall contact the appropriate Yum! Brands QA contact before contacting Yum!
Brands restaurants or franchisees. If agreed to between Yum! Brands and the supplier,
then the customer will be contacted by the supplier.
While customer feedback can be collected and analyzed at headquarters, the

information must be discussed with and evidence be made available at the plant. This
information is used to focus on the conditions which led to the issues/complaints and to
help implement corrective action for resolution.
"Resolved" is defined by the supplier, but implies that some action was taken and Yum!
Brands and/or the customer was contacted to verify resolution. Unacceptable
resolutions are: "looked at the records and found no problems," "addressed with
employees on the line," "told the supervisor," "took corrective action."
Evidence of improvement strategy may be short-term or long-term depending on the

situation. Evidence of long-term improvement may be chartering of a Process
Improvement team to address reoccurring issues. Short-term may involve the action
taken on a one time specific situation. Repetitive issues should have a long term
treatment.
If the complaint collection and tracking is a corporate function, there should be objective
evidence at the facility of the process, and records to prove compliance.
conformance:
• single/isolated instance(s) of missing or incomplete records
• single/isolated instance(s) where issues are not resolved or the improvement
strategy is not developed and implemented
• single/isolated instance(s) where the effectiveness of the corrective action is not
verified
46
conformance:
• numerous instances where issues are not resolved or the improvement strategy is
not developed and implemented.
• numerous instances where effectiveness of corrective action is not verified

• no documented procedure to collect customer feedback
• records of customer feedback are not maintained
• systematic failure to resolve issues or develop and implement improvement
strategies
• no evidence that customer issues are resolved
9.5 Procedures are established for conducting internal assessments based on the
Yum! Brands Quality Systems Audit.
All points (15 points): Procedures are established to conduct internal assessments of
Yum! Brands Quality Systems Audit a minimum of once per year. Procedures shall
document the following:
• designated, qualified auditor (this may be an individual or a position)
• the person or position responsible for scheduling the audit
• audit frequency
• audit process
• management review
• follow-up on areas of opportunity
Action plans shall be developed to address non-conformances and, re-assessments

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

the auditor must have formal auditor training.
Formal Auditor Training - shall be similar to ISO Lead Auditor trained (not necessarily
certified), ASQ pre-certification training, etc. The auditors shall have documentation of
formal training as a quality auditor. HACCP, GMP, or informal training is not acceptable
as formal training.
Audit experience and/or "self-study" alone does not satisfy the criteria for "properly
trained". In-house training is acceptable if the instructor is trained and certified by a
recognized body and the training program meets Yum! Brands criteria for training.
Minimum elements for training should include the knowledge defined in ISO-19011.
ISO, GMP or HACCP self audits can be used to satisfy certain sections of the Yum!
Brands audit as long as the supplier covers all sections of both Yum! Brands audit and is
able to demonstrate the audit points or sections are covered in their internal self-audits.
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Improvement teams or individuals should use this information for improvement
opportunities and to process follow-up audit findings Audit results shall be reviewed and
supported by senior management.
conformance:
• single/isolated instance(s) of issues not resolved
• one key element is not addressed
conformance:
• numerous instances of issues not resolved
• more than one element is not addressed
• auditor's formal training meets most, but not all requirements
• the auditor has not had any practical experience
• numerous instances of frequency violation
• audit corrective action plans are not documented
• follow-up assessments not conducted
• it has been more than 12 months but less than 18 months since the last assesment

• self-audit procedures are not documented
• no corrective action taken on assessment findings
• auditor has not had formal training.
• More than 18 months since last assessment
9.6 An ongoing training program is established for all facility employees with regard
to GMPs, Food and Worker Safety, and Customer Awareness.
All points (10 points): Training elements are defined and training sessions are
scheduled for new employee orientation, as well as on-going training.
Program shall include:

• schedule for training at intervals, at minimum annually
• GMPs, Food Safety and appropriate worker safety training
• records of training for all employees
This training applies to all facility employees. On-going can mean weekly or monthly, or
at a minimum on an annual basis (unless specified differently by a regulatory agency).
Customer Awareness would apply on an as needed basis.
conformance:
48
• single/isolated instance(s) of incomplete or missing training records
• single/isolated instance(s) of personnel not attending
• one key element of training is missing or deficient
conformance:
• numerous instances of incomplete or missing training records
• numerous instances of personnel not attending
• two key elements of training are missing or deficient

• no program
• training records are not maintained
• more than two key elements of training are missing or deficient
• training for GMPs and Worker/Food Safety not conducted in past 12 months
9.7(*) Corrective action plans from previous Yum! Brands audits have been completed.
(Observation)
All points (10 points): The supplier can demonstrate all corrective action plans from the
previous Yum Brands audits were completed on time, and were effective in addressing
issues. Observation should confirm that the documented corrective action plan is
completed.
*NOTE: If this is the supplier's first assessment with Yum! Brands or if there’s no action
plan generated from the last Quality Systems Audit, score this question as n/a.
Minor non-conformance (7 points): Substantial progress was made in addressing

items, but one corrective action item was not completed within the time frame allotted.
Major non-conformance (3 points): Some progress was made, but action plans were
not completed within the allotted time or failed to adequately address problems.
No points: Little or no progress made in addressing items mentioned in action plan.
9.8. Yum! Brands GFSI Certification Acceptance Program

(Documentation)
All Points (10 points):
• Supplier must post all key information (audit schedule, certification body and auditor,
preliminary report, full final report, certificate, issue date and expiry date) in the
Supplier Management Website (SMW) within reasonable timeframes.
• Supplier will notify their QA manager within Yum!, in writing, within 24 hours of a failed
or expired GFSI audit.
• Supplier must have written approval from QA management within Yum to participate
in the program
If supplier is not participating in the Yum Brands GFSI Certification Acceptance program
and is getting an FSA audit this question is scored NA.
Minor non conformance: No minor non conformance category for this element
49
Major non conformance: No major non conformance category for this element
No points:
• Key information (audit schedule, certification body and auditor, preliminary report,
full final report, certificate, issue date and expiry date) is not posted in the
Supplier Management Website (SMW).
• Supplier did not notify their QA manager within Yum!, in writing, within 24 hours
of a failed or expired GFSI audit.
10.0 FOOD SAFETY ISSUES (Point deductions for observed food safety issues)
This section captures any critical Food Safety Issues which are observed during the
course of a Quality Systems Audit.
This section is not meant to take the place of a Food Safety Audit; therefore, minor
observations will be scored per the criteria. Potential contamination is a partial
deduction and actual contamination is a full deduction and an automatic failure of the
assessment.
10.1 Observed Pest Control Issues

No Deduction:
• no issues observed during the regular course of the Quality Systems Assessment.
Partial Deduction (-1 points):

• Single / isolated instance of pest control issues
Major Deduction (-3 points):

• Pest control devices or chemicals are located so that food, packing and/or food
contact surfaces have the potential of being contaminated.
Full Deduction (-10 points):

• pest control devices or chemicals are located so that food and/or packing is
being contaminated.
• pest are observed contaminating product, packing or ingredients.
10.2 Observed Sanitation Issues

No Deduction:

• single / isolated instances of poor cleaning practices.
• single / isolated instances of sanitation issues.

• cleaning chemicals are not secured.
• there is the potential of cross contamination.
50
• multiple instances of poor cleaning practices.

• product contamination is observed during wash-downs
10.3 Observed Operations and Facility Conditions

No Deduction:

• single/ isolated facility issues are observed in several different areas.

• numerous facility issues are observed in several different areas.
• potential contamination of product, ingredient or packing due to facility
contamination.

• actual contamination of product, ingredient or packing contamination is
observed due to facility condition.
10.4 Observed GMP Violations

No Deduction:

• single/ isolated GMP violations are observed -- these can be violations by the
employees, contractors, visitors or government inspectors

• numerous GMP violations are observed with the potential for product contamination -
- these can be violations by the employees, contractors, visitors or
government inspectors

• actual product adulteration is observed
• there are no hand washing facilities
10.5 Observed Product Protection Issues

No Deduction:
Partial Deduction (-1 point):

• single/ isolated product protection issues are observed in several different areas.

• any potential risk of product, ingredient or packing material contamination is
observed.
• there is no segregation of raw and fully cooked areas.
51
• observation of product or food contact surface contamination
52

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Yum! Brands INC.

(KFC, Pizza Hut, and Taco Bell)

QUALITY SYSTEMS AUDIT

Each question scoring an Automatic Failure or No Points score is to have a

If a supplier's process or product makes it impossible to meet standards exactly

Points noted in parenthesis - ex: (10 points) - represent points earned.

Yum! Brands product must be in production at time of audit.

__________________________ DEFINITIONS __________________________

For the purposes of this assessment:

Quality Systems Assessment Guidelines

1.0 DOCUMENT CONTROL

Major non-conformance (3 points): 50 - 79% of documents and records are linked.

A "master list" of proprietary documents shall include:

Minor non-conformance (7 points):

Major non-conformance (3 points):

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

The specifications, formulations and Quality Assurance Program shall be:

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

1.4 Controlled documents are secured and access restricted.

Major non-conformance: No major non-conformance category for this element.

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

2.0 PRODUCT QUALITY

2.1 Conformance to specification/formulation is measured according to sample

The following will constitute all points:

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

2.2(*) The product and packing conform to specification / Quality Assurance

Minor non-conformance (15 points): A single observation of an isolated instance of

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

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

Fresh and bulk frozen poultry:

Pre-washed pre-chopped produce:

Supplier can use stricter minimum metal detection standards.

The auditor will verify the following:

Major nonconformance (5 points): One of the following will constitute a major

The training program shall:

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

The procedure shall include:

Records shall include:

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

2.7(*) A procedure is established for notifying Yum! Brands in writing of changes in

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

3.0 PRODUCT, INGREDIENT AND MATERIAL TRACKING

The procedures shall include:

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

Major non-conformance (6 points): The following will constitute a major non-

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

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

3.4 A procedure is established to ensure proper product rotation. Oldest code

(Observation / Procedures - Records)

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

4.0 PURCHASING AND CONTROL OF INCOMING INGREDIENTS

Minor non-conformance (10 points):

Major non-conformance (5 points):

No points: Specifications not available.

Minor non-conformance (10 points):

Major non-conformance (5 points):

No Points: No points will be awarded if:

• defines how suppliers' performance will be monitored and tracked

Minimum elements expected in the food safety audit:

Major non-conformance (5 points): Two elements in the approved supplier program

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

Minimum elements expected in the food safety audit:

DEFINITIONS