2014 distribution food safety and quality audit approval ... audit guidelines final.pdf · yum!...

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

2014 DISTRIBUTION FOOD SAFETY and QUALITY AUDIT Approval and Ongoing Audit

Each distribution center is to conduct a minimum of one warehouse and one transportation audit per year, conducted at the cost of the distributor (each to be confirmed by local YRI QA in international regions). A passing score for distributors is 85% with no Automatic Failures. The Distributor is to ensure one passing score is achieved annually. Program Overview: To meet our mission of being the consumer’s favorite brands, we must deliver 100% customer satisfaction. Our ability to achieve this requires that Food Safety and Quality be built into every process we use, starting with the sourcing of materials and ending with the delivery of the highest level of service and superior products to our customers. Our distributor food safety and quality audit is targeted at building quality and food safety into every process. In certain situations, multiple audit questions could be marked down for the same finding. The auditor will use his/her best judgment to record under the one most appropriate audit point. Extreme circumstances, however, may warrant one issue to be addressed in multiple areas. It is important to understand that local laws and regulations may differ from audit requirements. In all cases, the more restrictive will prevail. It is important that the auditor realizes these differences and judge the distributor accordingly. Yum! Brands reserves the right to audit all corrective actions noted on audits. 1. (10 points) - Points noted in parentheses represent points possible. (Program – Documentation - Records) – indicates what will be reviewed in each question. 2. Automatic Failures: If an Automatic Failure occurs during the audit, the audit should proceed to completion

in order to identify any other non-compliance. All automatic failures: • are in Bold print and appear under the “No Points” section. Only the Bolded line will result in

Automatic Failure. • occur with a single observation of actual product contamination. Follow-up-to-Failure Audits • Failures require a follow-up audit be conducted within 60 days • Failures that occur in Sections 1-7, require all seven sections be re-audited. • Failure of the Transportation audit, requires a full Transportation audit be conducted • Do NOT count towards the DC’s required number of audits per year

Non-conformance / Action Plan: An Action Plan is to be written for each Automatic Failure or No Points non-conformance and each is to be satisfied prior to next audit.

3. Approval Audits: • All systems must be written and in place prior to approval • No Yum product shall be stored, handled or transferred through a warehouse prior to Approval by Yum

January 2014 CONFIDENTIAL & PROPRIETARY

__________________________ DEFINITIONS __________________________

Full Service Distributors - Have cooler, freezer, temperature-controlled cool dock and dry storage capabilities. Once approved, the center can distribute product for all Yum concepts. Before a center begins handling raw protein items, the center must review requirements with QA management within Yum! to ensure proper procedures are in place. Dry–Only Distributors – Handle only dry products Produce-Only Distributors – Handle only produce items Product - refers to any item manufactured for use in a Yum Brands restaurant, kiosk or mobile unit including but not limited to: food, premiums, packaging, small wares, etc.

Poultry Only Distributors – Handle only fresh poultry. To sell a frozen chicken product or other unlike product requires further approval from the division. Scoring - Not all requirements are applicable to every center and, therefore, centers to be scored ONLY for those items that apply. The score is calculated on a weighted percentage factor for each category and is based on the total possible points for each question. Not every deviation in the audit can be addressed directly, therefore, the auditor shall use the following when scoring an issue not directly addressed in the non-conformances:

Full conformance means all requirements are met Minor non-conformance refers to a single/isolated instance(s) of failure to meet requirements Major non-conformance refers to numerous instances of failure to meet requirements. No points shall be given if there is systematic failure to meet requirements shall be given if there are no records, no written program or no procedures.

Audit Sections: “Category” refers to the section being assessed (ex: 1.0, 2.0, etc) “Element” the specific bulleted requirement within the question.

Each missing bullet point topic that is not addressed is scored as a missing element.

“Criteria” is the explanation of each question

For the purpose of this audit: “single” occurrence one instance “isolated” occurrences two or three instances “numerous” occurrences more than three instances “documentation” established documents supplied to confirm requirements “established” written and/or implemented “practiced” act of being executed to meet requirement “exit criteria” a written or electronic verification of comprehension “GMP's” refers to Good Distribution Practices “maintained” kept up-to-date and on file at the facility being audited “meat” refers to any proteins (fish, seafood, beef, poultry, lamb pork, etc.) “program systematic implementation of a process confirmed by observation “procedures” Requires a written procedure. When written procedures are required, a

center that does not engage in said practice shall have a written statement signed by management confirming same.

“records” data collected and maintained. 1% to 10% of records since the previous audit are to be reviewed (or enough to get a representative sample). Additional records can be reviewed.

Record Corrections: All record corrections shall be single-lined out (so the correction can still be read) and initialed. Whiteout shall not be used to correct records. It is not acceptable to input one data point and draw a line through subsequent points to indicate multiple confirmations.

"significant" systematic failure


"systematic" systems are not in place or obviously not fully implemented “training” training must be completed at hire and annually (within a 12 month period).

All training shall include exit criteria which confirms trainees’ comprehension of referenced topics (attendance lists are not sufficient). Confirm that each bullet point topic is addressed when exit criteria is required. Each missing bullet point topic that is not addressed in the exit criteria is scored as a missing element. (confirm training records against active employees list)

“annual” refers to “within a 12 month period”. “unlike products” are a different type of product than the type being compared too. Example: a raw protein product is an unlike product to produce. “thermometers” distributors and auditors are required to use thermometers guaranteed by manufacturer and calibrated to be no greater than +/- 1°F (0.6°C) in accuracy. For product temperatures infrared thermometers are not approved.

“DC qualified auditor” to be considered qualified, the auditor must have formal “auditor” training. In-house (internal) training is acceptable if it includes knowledge defined in ISO-19011. Proof of training must be available for review. “sensitive products” products that require temperature control.


TABLE of CONTENTS

1. ADMINISTRATION 2. DISTRIBUTION PROTOCOL 3. EQUIPMENT AND FACILITY 4. PRODUCT PROTECTION 5. TEMPERATURE CONTROL 6. SANITATION 7. PEST CONTROL 8. TRANSPORTATION AUDIT


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AUDIT REQUIREMENTS

1.0 ADMINISTRATION 1.1 A documented PRODUCT SECURITY PROGRAM is established and employees trained.

Records are maintained. (Documentation – Records - Observation) All Points (15 points): The center shall have a Product Security Program in place with employees trained and records maintained. Documentation shall include:

• a designated Security Officer with name and 24/7 phone number listed. • list of local, provincial / state and national emergency contacts (if permisable by law). Include

name and company with 24/7 numbers. List to be updated annually. • a strategy for the notification of appropriate authorities in the event of crisis. • have access to and confirm management training of the Yum Brands Crisis Management

Program (see Yum reference site on Crisis Management). • the distributor’s emergency contact list, QA Hotline/Headquarters contact list (if applicable) and

center manager’s information are current in the Supplier Tracking Assessment and Recognition (STARnet) Website

• physical facility - how access to center is controlled (strangers, visitors, contractors, 3rd party drivers, loss of id badges).

• all trailers loaded with or transporting Yum products must remain locked/sealed at all times when not in use – onsite or offsite - unless in the loading/unloading process.

• computer access – how it is restricted • training strategy for employees at hire and ongoing. • employee training occurs. Annual training with exit criteria available. • strategy to ensure contracted transporters have product security measures in place.

(Consider including specific security requirements in contracts and verify that measures are being met).

• confirmation that contracted transporters have or have been requested on an annual basis to provide a copy of their Product Security Program.

Records: • confirmation of annual Security training of all employees with exit criteria • confirm annual management training of Yum Brands Crisis Management Program with exit

criteria. • confirmation of annual review of Product Security Program

Minor non-conformance (10 points): Any one of the following will constitute a minor non-conformance:

• one or two elements missing in procedure/documentation • single/isolated instance of missing or incomplete records • single instance of no exit criteria on file

Major non-conformance (5 points): Any one of the following will constitute a major non-conformance:

• three elements missing in procedure/documentation • numerous instances of missing or incomplete records • lack of emergency contacts with 24/7 numbers • lack of or incomplete documentation


• program not reviewed at minimum annually • single/isolated instance of contracted transporters not being asked on annual basis for

Product Security Program. • isolated instances of no exit criteria

No Points (0 points): No points will be awarded if any of the following is encountered:

• no designated Product Security Officer • more than three elements missing in procedure. • systematic failure to maintain records • employee security training not conducted annually • Yum Brands Crisis Management Program training of management not conducted annually • distributor’s emergency QA Hotline contact (if applicable), and center manager’s

information is missing or not current in the Supplier Tracking Assessment and Recognition (STARnet) website

• numerous instances of contracted transporters not being asked on annual basis for Product Security Program.

• Access to the facility is not controlled • single observation of a trailer loaded with Yum Brands products (not in

loading/unloading process) found unlocked/unsealed. • no Product Security Program in place

1.2 A documented Quality Control or HACCP Program is established. (Documentation - Records) Full conformance (10 points): There shall be a documented Quality Control Program (or HACCP program) for product movement through the distribution center. Documentation shall include:

• identified QCP's/CCP’s on a flow chart • define the critical limits for each QCP/CCP • define the corrective action for each QCP/CCP non-compliance • define the persons responsible for monitoring each QCP/CCP • define frequency of monitoring • define on which documents each QCP/CCP measurement is recorded

Records • confirmation of annual review confirming review has been done and non-conformances

addressed.

Minor non-compliance (7 points): The following will constitute a minor non-conformance: • single element missing from documentation

Major non-compliance (3 points): The following will constitute a major non-conformance:

• isolated elements missing from documentation No points: (0 Points) No points will be awarded if one of the following situations is encountered:

• no documentation available • no flow charts or QCP's/CCP’s identified • Program not reviewed annually

1.3 Employees are aware of Yum Brands Receiving, Warehouse and Loading Requirements in

their area of responsibility. (Observation) Full conformance (10 points): Employees shall be aware of Yum requirements in their work area. This evaluation shall be determined through auditor interview with an employee.


AUDITOR: With the consent of the center management, ask one (1) Receiver, Warehouse or Loader what the Yum requirements (important aspects) are in his/her area of responsibility and the critical limits. You may generally prompt the employee if they have not recited all bullet points below. Record bullets missed on Score Sheet. Receivers at minimum shall indicate all of the below:

• all chilled product to be received between 34° – 40°F (1°C to 4°C) • fresh poultry to be received between 28° – 36°F (-2° to 2° C) • frozen product temperature to be received at < 10°F (< -12°C) • check for Yum approved suppliers (if applicable in their system) • check to ensure product has sufficient shelf life • know to follow center’s product non-compliance procedures

Interior Warehouse personnel shall indicate all of the below:

• chilled product to be stored between 34° – 40°F (1°C to 4°C) • fresh poultry to be stored between 28° – 36°F (-2° to 2° C) • frozen product to be stored at 0°F, max < 10°F (-18°C, max < -12° C) • chemicals and raw meat are to be segregated and protected from unlike product • know to follow center’s product non-compliance procedures

Loaders at minimum shall indicate all of the below:

• produce, sour cream, and oil and mayonnaise-based dressings are not to be loaded within the 2’x 2’ (0.6m x 0.6m) area in the chilled compartment at the freezer bulkhead.

• all produce to be loaded on pallets • mushrooms and sliced green onions to be wrapped with an open-netting shrink wrap or other

means to allow full air circulation. • chemicals and raw meat are to be segregated and protected from unlike product • know to follow center’s product non-compliance procedures

Minor non-conformance: There is no minor non-conformance in this category. Major non-conformance: There is no major non-conformance in this category.

No points (0 points): No points will be awarded if any one of the following is encountered:

• employee is unaware of one of the requirements in area of responsibility • employee is unaware of correct critical limits • employee is unaware of appropriate action if non-compliance occurs

1.4 A documented Product Recall/Withdrawal Program is established and verified. (Program - Documentation – Observation - Records) Full conformance (15 points): The distributor shall have a Product Recall/Withdrawal Program for Yum Brands products to include: food, food contact packaging, retail packaging premiums and smallwares. Auditor verifies the distribution center’s program is organized to identify, track and locate 100% of an identified product by code date within 2 hours whether in-warehouse, on a delivery truck, at outside storage or delivered to Yum restaurants. The auditor will select a single food item, food contact packaging, retail packaging or premium code number or lot number and ask the distributor to trace it from the supplier to the restaurant. This would include all product lots, product on hold or destroyed (if applicable) within 2 hours. Program shall include the following:

• ensure 100% of items can be tracked within two (2) hours by code date (lot code, if applicable) using internal records to the appropriate outbound truck route. If center must


recall >100% to ensure inclusion of all recalled product, that is acceptable as long as it supports and details the process.

• an outline of responsibilities of Recall Team: specifically for i) recovery, ii) reconciliation and iii) final disposition of recovered product

• proper notification of Yum Brands Quality Assurance • proper protocol of when and if the media or regulatory agency will be notified regarding Yum

products. Yum Brands Quality Assurance shall be contacted prior to any media communication and as soon as possible after regulatory contact.

Documentation on file and current: • Internal Recall Team Contact List with names and 24/7 phone numbers • a Supply Chain Management (UFPC in U.S.) Contact List with 24/7 phone numbers for each

Yum Brand managed • QA Hotline phone numbers for each Yum Brand managed (if applicable in your region). • contact list for Yum Brands QA contacts with 24/7 phone number, for each Brand managed

Records: • are to identify the supplier product code dates, to link to receipt of incoming product and then

confirm by code date product that was shipped to the restaurant. Receipt records shall be used to verify the source and amount of the product received.

• The receipt totals shall match the amount tracked to the restaurant. Observation:

• The auditor to select a single food item, food contact packaging, retail packaging or premium item code number or lot number and ask the distributor to trace it from the supplier to a Yum restaurant within 2 hours. This includes all of the product lot cases including, product on hold and destroyed (if applicable).

Minor non-conformance (10 points): One of the following will constitute a minor non-conformance:

• one element is missing or incomplete • single record element missing • one contact list is not current

Major non-conformance (5 points): One of the following will constitute a major non-conformance: • two elements are missing or incomplete • isolated instances of record elements missing • one contact list / document not available • only 99.5 – 99.9% of the item/product could be located within 2 hours.

No points: (0 points): No points will be awarded if any one of the following is encountered:

• three or more key elements are missing • three or more key record elements are missing • less than 99.5% of item/product could be located within 2 hours • no documented Product Recovery program • tracking takes more than 2 hours to complete • distributor does not have the ability to track and locate product by code date

1.5 Product Recovery is tested annually with Mock Recall. Records are maintained. (Documentation - Records) Full conformance (10 points): The distributor conducts an annual Mock Product Recovery to test the accuracy of their program. An actual Recall does not take the place of a Mock Recovery. This test shall not involve notifying Yum Brands QA or Yum restaurants. Documentation shall include:

• Individual/position responsible for the Mock Recovery • Recovery initiated “outside of normal business hours” (for example: 8am to 5pm M-F)


• non-conforming product, disposed product, product in outside storage warehouses • confirmation of annual review by center management • written overview by the Recall Team of the test's effectiveness • an action plan for any issues uncovered or opportunities identified • re-test within 60 days any part of the Mock Recovery that failed. • Summary page listing traceability results: the number of cases received into DC product name, product number, code date and supplier name number of cases located with total percentage found where the cases were located - at store, in inventory, on route, at store, or damaged. date and time test initiated and completed with total duration.

Records: (to support Summary Page) • receiving records indicating product name, number of cases received with product code dates • inventory control records showing case count and code date • shipping records along with Disposition of Damaged Product Log, if applicable. • completed Product Information Data Sheet (the DC portion)


• one or two elements missing • single/isolated incomplete or missing records

Major non-conformance (3 points): One of the following will constitute a major non-conformance:

• three or more elements missing • Mock Recovery not initiated outside of normal business hours • numerous instances of incomplete or missing records • the distributor's last Mock Product Recovery was not completed within 12 months (>12

months and <18 months since last Mock Product Recall). • only 99.5 – 99.9% of the item/product could be located within 2 hours. • No confirmation of annual review • Lack of written overview/Action Plan from annual review • Product Information Data Sheet missing or incomplete


• No Summary Page • a combination of 2 or more major non-conformance criteria. • the distributor has not tested the system in more than 18 months. • < 99.5% of product can be located • Mock Product Recovery takes more than 2 hours • the distributor does not have the elements necessary to track and locate product by

code date. 1.6 An ongoing Food Safety and HazMat training program is established for all facility employees. (Documentation – Records - Observation) Full conformance (10 points): Employee training program shall include the following elements. Documentation shall confirm:

• training is conducted at hire and, at minimum, annually • all employees are trained on Food Safety and HazMat/HazCom (glass, chemicals, etc.)

Records: • verify comprehension with exit criteria

Observation:


• Auditor ask any employee: a question regarding what actions are taken when a hazardous material is found in and around products. Record on audit score sheet whether answer is inclusive.


• one or two documents/element are missing or incomplete • single/isolated instance(s) of incomplete or missing exit criteria


• three documents/elements are missing or incomplete • numerous instance(s) of incomplete or missing exit criteria • employee trained less frequently than annually or not at hire

No points: (0 points): No points will be awarded if any one of the following is encountered: • more than three documents/elements are missing or incomplete • Food Safety or HazMat/HazCom not included in employee training • employee cannot sufficiently answer auditor's question • systematic failure to maintain exit criteria

1.7 Replenishment/Depot Procedures are in place and a procedure established for

significant changes in distribution practices due to natural disaster or emergency. (Procedure - Documentation) Full conformance (10 points): Replenishment/Depot procedure is complete and in place. Procedures are established for response to significant changes in distribution practices due to a natural disaster and loss of power. Replenishment/Depot Procedures include (see sample program on Yum Quality website or contact Yum QA)

• detailed, center-specific strategy of how a center will replenish its stores within 24 hours (after receipt of product) in response to an emergency or core product Recall or Withdrawal.

• program to be reviewed annually. Disaster Procedure shall include:

• strategy to protect product integrity and temperature in event of power loss. • alternative product temperature control methods (added trailers, outside storage, use of

generator, etc.) • contact names and phone numbers for alternative temperature control methods, if applicable • criteria for determining if product should be destroyed. • accountability for destruction (person or position) • program to be reviewed annually.

Documentation:

• First page of Yum’s sample program template posted in STARnet (or similar document) to be completed and on file.

• 24/7 phone numbers for field contacts and/or restaurants Minor non-conformance (7 points): The following will constitute a minor non-conformance:

• one or two element(s) incomplete or missing Major non-conformance (3 points): Any one of the following will constitute a major non-conformance:

• three elements incomplete or missing • no annual review on file



• more than 3 incomplete or missing elements • Replenishment/Depot or disaster procedure not current • Contact template or similar document not complete or on file • no written disaster procedure • no written Replenishment/Depot procedure.

1.8 Outside Storage facilities are audited and approved prior to use. (Documentation) Full conformance (5 points): For any outside storage used to store or cross dock Yum Products at any time, or identified as part of an emergency contingency, the distributor is responsible to maintain the following documentation. Documentation:

• current list and location of outside storage facilities being used. • copy of semi-annual Food Safety Distribution Audit on facility. • copy of requested Outside Storage facility’s Food Security Program.

AUDITOR / CENTER: Distributor may conduct the audit using the Yum DC audit or have a third party company conduct a Food Safety audit. If no "outside storage" is used, confirmation shall be in writing and signed by management.

Minor non-conformance: (3 points) The following will constitute a minor non-conformance:

• no written and/or signed documentation confirming outside storage is not used

Major non-conformance: (1 point) The following will constitute a major non-conformance: • outside storage facility audited less frequently than twice per year

No points: (0 points): No points will be awarded if the following is encountered:

• current list of outside storage facilities with location not on file, if applicable • outside storage facility Food Safety audits not available / not audited • copy of Outside Storage facility’s Food Security Program not available.

1.9 Process is in place to collect and trend customer feedback from Yum restaurants. Records

are maintained. (Records) Full conformance (10 points): Records confirm center documents and trends customer complaints and QA Hotline issues, where applicable. Process is in place to

• record, trend and resolve Yum customer restaurant complaints, and QA Hotline calls, where applicable)

Records • confirm trending of Yum restaurant complaints, and QA Hotline calls, where applicable • confirm resolution and corrective actions of each call


• single/isolated instances of incomplete or missing records • single/isolated instances where issues are not resolved

Major non-conformance (3 point): One of the following will constitute a major non-conformance:

• numerous instances of incomplete or missing records • numerous instances where issues are not resolved • trend analysis is not conducted


No Points: (0 points): No points will be awarded if any one of the following is encountered:

• customer issues are not documented or resolved • systematic failure to maintain records

1.10 A Self Audit is conducted semi-annually (every six months) using the Yum Brands Warehouse and Transportation Audit. Records are maintained. Action plans from previous Yum audit are complete.

(Documentation - Records) Full conformance (5 points): The distribution center shall conduct a semi-annual self-audit using the Yum Distribution Quality and Transportation Audit and score sheets. Documentation shall confirm:

• center is using the current Yum Brands DC Warehouse and Transportation audit Records:

• confirm audit was conducted by a qualified auditor • confirm semi-annual frequency for audit • confirm completed audit used Yum score sheets • list management sign-off confirming review of audit • contain resolution document on areas of opportunity with management sign-off • action items from previous Yum-conducted audit are complete

Minor non-conformance (3 points): The following will constitute a minor non-conformance:

• single/isolated instance(s) of missing or incomplete records

Major non-conformance (1 points): One of the following will constitute a major non-conformance: • numerous missing or incomplete records • one self audit not available for the past 12 months • management sign-off missing on required document

No Points: (0 points) No points will be awarded if any one of the following is encountered:

• center not using the Yum Brands Warehouse and Transportation audit • no records are available • no self audits performed in past twelve months • all action items from previous Yum audit are not complete • auditor has not had “auditor” training

2.0 DISTRIBUTION PROTOCOL 2.1 A GMP Program is established. Signs supporting GMP's are posted appropriately and

employees are complying with GMP's. (Procedure - Records - Observation) Full conformance (10 points): The center shall have a GMP program established. The Code of Federal Regulations (U.S. 21 CFR, Part 110) or local code of regulations shall be used as a basis for requirements. Employees are to be trained at hire and on annual basis with confirmation by exit criteria. Procedure:

• GMP signage to be in areas where product is stored, staged or handled, and have minimum criteria of: no smoking, drinking or eating. If entire facility is non-smoking and guests/drivers sign and agree to this GMP, posted signs need not include “no smoking”.


• GMP's signs are to be posted at all direct entrances to warehouse storage/staging or product handling areas

• “Wash hands before returning to work” signs are to be posted in applicable language or as pictorials in: restrooms, break rooms, product storage areas and in Receiving and Shipping, directing employees to wash their hands when they become soiled or contaminated.

Records: • Employee GMP training is conducted at hire and annually with exit criteria available.

Observations: confirm above signs are posted appropriately • employees are complying with center’s written GMP program no food, beverages, gum chewing, eating, drinking or use of tobacco products in product

storage, staging or handling areas. no evidence of eating, drinking or tobacco use in interior warehouse refuse containers, other

than in designated break room areas. designated smoking areas are outside of center and not near product handling areas. Personal items (clothing-items that come and go with employee) are not allowed in product

storage, staging or handling areas. good personal hygiene is practiced by all employees.


• single/isolated instance(s) of incomplete or missing employee exit criteria • single/isolated instance(s) of signage non-conformance • single/isolated instance(s) of individuals or interior refuse containers not complying to

GMP's • procedure missing single element


• numerous instances of incomplete or missing employee exit criteria • numerous instances of signage non-conformance • employee training is conducted less frequently than annually • single/isolated instance(s) of an individual eating, drinking or smoking in product storage,

staging or handling areas • procedure missing two elements

No points: (0 points): No points will be awarded if one of the following is encountered:

• systematic signage non-conformance • no employee GMP training conducted • numerous instances of individuals or interior refuse containers not complying to GMP's • one instance where personal hygiene poses a significant risk of product contamination. • procedure missing three elements or no procedure available

2.2 An ongoing training program is established for all warehouse employees. (Documentation – Records - Observation)

Full conformance (10 points): Warehouse employees are trained on Yum product handling requirements as outlined below.

Documentation confirms:

• training is conducted at hire and, at minimum, annually • Receivers and Loaders are trained on respective Yum handling procedures to include each

bullet under Records in questions 4.5 & 4.6. Records:

• exit criteria shall include all bullet points in procedure questions 4.5 and 4.6 for Receivers and Loaders respectively


• all records are current and up to date • show verification of training comprehension with exit criteria

Observation: Auditor ask any one Receiver or Loader a question regarding his/her area of responsibility. He/she must be able to answer auditor’s questions correctly. Incorrect information will constitute a non-conformance. Omissions to be addressed with auditor’s prompting. Record on audit score sheet whether answer is inclusive. Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• one or two element are missing or incomplete • single/isolated instance(s) of incomplete or missing exit criteria


• three elements are missing or incomplete • numerous instance(s) of incomplete or missing exit criteria • Receiver and Loader trained less frequently than annually or not at hire


• more than three elements are missing or incomplete • exit criteria do not confirm training on Yum specific requirements (4.5/4.6) • employee cannot sufficiently answer auditor's question • no Receiver and Loader training conducted • systematic failure to maintain exit criteria

2.3 Internal DRIVER TRAINING for STANDARD and KEY DROP deliveries is effective and

designed to protect Yum Brands product. Training is conducted at hire and annually with records maintained.

(Records) Full conformance (15 points): This question addresses driver training records only. Center shall have exit criteria verifying internal drivers training for both Standard and Key Drop (if applicable) deliveries. Exit criteria verifying comprehension for each driver shall be available.

Driver training requirements to include:

• Product Security – ability to recognize any challenge to product integrity during route (ex: broken seal/lock, etc) and to take appropriate preventive and corrective actions.

• procedure for handling vehicle breakdown on route to ensure product safety and quality. • maintaining a daily-calibrated thermometer. • take and record food temperatures of item listed below in “Delivery Driver” section.

The product temperatures must be documented on the store’s invoice copy. • records to be available at the center for auditor review and left at restaurant for management

review upon arrival. • take and record trailer temperature settings twice per route-day - a.m. and near end of route • handle fragile items (example: taco shells, frozen dough disks) with care. • procedure for protection of product during delivery in case of rain • take product temperature by opening case, do not puncture primary packaging. Re-tape

case. • if a product temperature >2°F (1.0°C) outside of specification range, record final disposition. • all trailer doors to remain closed and locked unless loading/unloading is in progress. • cases must not touch the outside ground during delivery process. Cases can be protected

with a clean slip sheet (cardboard protection) or similar guard.


• all refrigerated and frozen items to be placed into correct storage unit in restaurant. No chilled or frozen product to be left outside of cooler or freezer unless restaurant personnel are present and take possession of product.

• driver to wash and/or sanitize hands after handling raw protein items. • driver to maintain protection between fresh protein items and unlike products. • do not stack unlike products on top or below of fresh proteins (to prevent cross-

contamination). Standard Delivery Drivers shall: Take and record temperatures of the following products twice per route-day.

• Chilled: fresh chicken, (if applicable) and TB Shredded Lettuce, KFC Cole Slaw or PH Mushrooms*

• Frozen: 1 meat and 1 breaded chicken or 1 cheese * Key Drop Delivery Drivers shall:

Take and record product temperatures at each delivery. • 1 produce, 1 fresh poultry, if applicable, or a refrigerated product if poultry is not available. • 1 frozen meat

*If designated products are not on the load, take temperatures of other products. Records:

• center shall present exit criteria verifying driver comprehension of each of the above bullet points, as applicable

• shall confirm training is conducted annually

AUDITOR: Review exit criteria records which shall verify competency of drivers. Ensure one record per driver (review 1 to 10% of records). Minor non-conformance (10 points): Any one of the following will constitute a minor non-conformance:

• single/isolated instance(s) of missing elements • single instance of no exit criteria available for a driver


• numerous instances of missing elements • Food Security or trailer locking not included in driver training • driver trained less frequently than annually or not at hire • two instances of no exit criteria available for drivers


• systematic failure to maintain records • three or more instances of no exit criteria available for drivers • no driver training conducted.

2.4 Records review of Yum Standard and Key Drop (if applicable) deliveries. (Records) Full Conformance (20 points): Auditor to review between 1 and 10% of standard and key drop delivery records since last audit. Records are available and confirm:

• driver thermometer is calibrated daily (suggest driver Temperature Log)


• specified product temperatures are recorded. If specified products are not on load, driver to temp another product.

• product temperatures to be within specification. Any product temperature >2°F (1°C) outside the specification range shall have record of final disposition

• trailer compartment temperatures readings are recorded twice per route and are within specification

• all products on Yum restaurant delivery tickets are Yum approved • all destinations of Yum products are approved Yum distributors or restaurants. • each Key Drop delivery is clearly identified • for Key Drop deliveries product temperatures are recorded and left at restaurant


• single/isolated instance(s) of incomplete records • single/isolated instance(s) of temperatures not taken of appropriate product • single/isolated instance(s) of trailer temperatures not recorded • single/isolated instance (s) of thermometer calibration not recorded


• numerous instances of incomplete records • numerous instances of temperatures not taken of appropriate product • numerous instances of trailer temperatures not recorded • product delivered >2°F (1°C) and <3°F (1.5°C) with no record of final disposition • three instances of thermometer calibration not recorded


• systematic failure to maintain records or record product temperatures • product delivered >3°F (1.5°C) outside of specification • single instance of a Yum product being shipped to an unapproved destination • single instance of an unapproved product being delivered to Yum restaurant

2.5 Centers utilizing third-party drivers to perform BACK HAULS, PRODUCT PICK UPS or SPECIAL DELIVERIES of Yum products shall ensure that all drivers are provided with Yum product handling requirements. Records are maintained.

(Documentation – Records) Full conformance (15 points): Center shall have documentation and records on file confirming 3rd party drivers are provided with Yum handling requirements for each load. (Definition of Special Delivery is use of a 3rd party commercial vehicle).

Documents: - Handling requirements shall include: • trailers/vehicles to be locked/sealed prior to departure and at all times unless loading or

unloading • transportation vehicle must be able to maintain product temperature requirements. • driver to be aware of any challenges to product integrity during route • Unsealed trailer loads (where driver has access to load at dock) driver shall verify: Yum product does not have the potential of becoming contaminated items are loaded correctly with appropriate temperature management trailer/vehicle is clean (good condition, no offensive odor and free of pest activity.) bulkheads and door seals in good condition, where applicable curtains on chilled and freezer sections are intact and in good condition, where applicable

• Trailer temperature readings are recorded and confirmed by driver prior to departure: Chilled - ambient temp < 40°F (4°C)


Frozen - ambient < 10°F (< -12° C)

Records are available and confirm each of the following: • trailer/vehicle is locked/sealed before departure. • ambient temperatures are recorded and correct for cooler and freezer, if applicable. • driver has Yum product temperature and handling requirements on hand • center shall present confirmation that each 3rd party driver was provided a copy of Yum back

haul or product handling procedures.

Non-Sealed Loads - (driver able to view load at dock) • checked for potential contamination. • trailer is clean, in good condition, no offensive odor and free from pest activity. • bulkheads, door seals and curtains are in good condition (where appropriate) • items loaded correctly in appropriate compartment

AUDITOR: • If center does not hire/use Back Haul or Special Delivery services for Yum products, center

shall provide written confirmation by management.


• single/isolated instance(s) of incomplete records • no written and/or signed documentation confirming Back Haul are not used • single/isolated instance(s) of trailer temperatures not recorded on a refrigerated vehicle.


• numerous instances of incomplete records • documentation/records do not confirm 3rd party drivers have Yum criteria for each load • numerous instances of trailer temperatures not recorded, where appropriate


• systematic failure to maintain records • single instance of a Yum product being shipped to an unapproved destination • single instance of an unapproved product being delivered to Yum restaurant

2.6 Center has a customer pick-up/Hot Shot (non-commercial vehicle) delivery program

that meets Yum Brands QA standards. Records are maintained. (Records - Observation) Full conformance (15 points): Center to have a customer pick-up program which allows product pick-ups ONLY if the following criteria and pick-up vehicle requirements are met Note: If customer pick-ups deliveries do not occur, distributor shall have a written statement signed by management confirming this as a non-practice. Records for Customer Pick-Up using personal-type vehicle shall confirm:

• transaction as a customer pick up • customer pick up is by an approved Yum customer/restaurant • the customer/driver’s signature confirms compliance to Yum standards • travel distance to restaurant is less than 1 hour when transport includes temperature sensitive

products. • center confirms refrigerated / frozen items are placed in a temperature controlled vehicle in

portable coolers and/or covered with clean freezer blanket


• center takes and records one chilled and one frozen product temperature (if applicable). • center confirms the vehicle transporting Yum products is:

− locked prior to leaving the center − enclosed and no open bed trucks − using air conditioning/heating to maintain appropriate vehicle ambient temperature − clean and does not appear to have transported animals, fuel or gasoline − not used to live in with no personal items in contact with Yum products

Observation • If the auditor finds any non-compliance to the above, the auditor has the authority to terminate

the customer pick up process.


• single/isolated missing or incomplete records • no written and/or signed documentation confirming center does not allow customer pick-

ups Major non-conformance (5 points): Any one of the following will constitute a major non-conformance:

• numerous missing or incomplete records • records do not specify transaction as customer pick ups


• temperature sensitive product released to a store further than 1 hour away • customer pick up product is released to a non-Yum-approved customer • a temperature sensitive item observed being loaded without adequate temp

protection • no records maintained

2.7 Center has a program for the identification, segregation and disposition of non-

conforming product or donation product. (Documentation - Records - Observation) Full conformance (15 points): Center has documentation to confirm the proper identification, segregation and disposition of non-conforming items. Records are maintained. Documentation shall confirm:

• the segregation, identification and handling of all non-conforming product, whether received damaged, returned damaged or damaged in warehouse are managed appropriately.

• all destroyed product has code dates recorded • no rework of Yum products is allowed • no Yum proprietary product is given or sold to a third party without prior approval from QA

management within Yum! QA management within Yum! shall provide disposition instructions (product de-imaging, selling/donating restrictions etc.)

• all non-conforming product is held in appropriate temperature control Records:

• non-conforming product log includes product name, code date and quantity. • manner in which non-conforming product is destroyed, if required

Observations: • non-conforming product is segregated and properly identified • all product is kept within appropriate temperature control • auditor review electronic identification process and confirm product is isolated.


Minor non-conformance (10 points): One of the following will constitute a minor non-conformance: • one or two element missing • single/isolated instances of missing or incomplete records


• three elements missing • numerous instances of missing or incomplete records • one instance of code date not recorded • auditor observes any non-conforming product not properly identified

No points (0 points): No points will be awarded if any one of the following is encountered:

• more than three elements missing • non-conforming product not held within the appropriate temperature control • systematic failure to maintain records • two or more instances of code date not recorded • missing one or more designated area(s) for non-conforming product • no log of destroyed product • Yum product found sold or given to an unauthorized third party without Yum QA

prior authorization. • center found reworking Yum Product

3.0 EQUIPMENT AND FACILITY 3.1 Housekeeping and upkeep are acceptable for INTERIOR of the facility. Mold and frost

removal practices are acceptable for coolers and freezers. (Observation) Full conformance (15 points): Interior housekeeping is effective with no obvious cleanliness issues. Physical inspection of the facility shows all areas are properly maintained to prevent product contamination and to maintain integrity. Observation:

• trash receptacles are emptied frequently to prevent overflow • there are an adequate number of trash receptacles and they are in good condition/repair with

no offensive odor evident • no food products are to be found in internal trash receptacles or dumpsters. • trash and spills are promptly cleaned up (no aged spills) • no significant, dirt or dust/cobwebs observed in facility (dust on cartons addressed in 4.4) • Idle equipment and spare parts are clean, stored apart from food products so as to not cause

pest harborage. All pipes are stored 6” or more above the ground with ends capped • floors, walls and ceilings in product storage areas are clean

Freezers, coolers or cool docks shall confirm: • no aged ice build-up evident in freezer. Frost build up shall be kept to a minimum. • no leaking condensation • no mold/mildew is evident


• single/isolated instance(s) of minor housekeeping issues which does not pose a risk to item/packaging

• single/isolated instance(s) of improperly maintained trash receptacles or trash build up, inadequate number or odor evident


• single/isolated instance(s) of aged ice build-up in freezer, condensation leaks or mold/mildew


• numerous instances of housekeeping issues • a single condition which poses a potential risk of product/packing contamination • numerous instances of aged ice build-up in freezer, condensation leaks or mold/mildew • single instance of a standing/aged spill not cleaned up

No points: (0 points): No points will be awarded if one of the following situations is encountered:

• systematic failure to maintain appropriate housekeeping • systematic failure to maintain inside trash receptacles, remove trash build up • two or more conditions which pose a potential risk of product/packing contamination • failure to prevent significant ice build-up, condensation leaks or significant mold/mildew • any observation of direct contamination of product or packaging material

3.2 Housekeeping upkeep is acceptable for EXTERIOR grounds of facility. (Observation) Full conformance - (10 points) Housekeeping of Exterior grounds is acceptable. Observation confirms:

• ground around center is clean and litter free • no standing water (consider recent rains). Any drainage or down spout issues should be

addressed here • no weeds, tall grass or trash build-up within the immediate 20 feet / 6 meters area around

building • equipment or storage sheds shall be kept outside of a 20' (6 m) perimeter around building.

Outside the 20 foot (6 m) area and within a 100 foot (33m) inspection perimeter, equipment and piping shall be a minimum of 6" (15 cm) off the ground. All piping shall be stored on racks with ends sealed to prevent pest harborage.

• outside dumpsters/compactor areas and trash receptacles are free of debris, significant odor, residue build up and are closed

• trailer washing area(s) is free of debris, odor and residue build up and drains are working properly to avoid standing water. (Not applicable if washing area is not connected to warehouse).

• pipe or building openings on outside of building shall be screened to prevent pest entrance Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• single/isolated instance(s) of inadequately maintained grounds which does not pose a risk of pest attraction or harborage

• single/isolated instance(s) of reoccurring standing water (outside of recent rains) or down spout issue

• single/isolated instance(s) of non-compliance for outside trash receptacles/dumpsters • pipe/openings on outside of building are not screened to prevent pest entrance


• numerous instances of inadequately maintained grounds • numerous instances of trash build up or odor evident • inadequately maintained trailer washing area • numerous instance of non-compliance for outside trash receptacles • equipment or piping stored incorrectly outside of 20ft (6m) perimeter



• systematic failure to properly maintain grounds, remove litter and weeds • systematic failure to remove trash build up • excessive areas of standing water • equipment, storage shed or piping stored within 20 ft (6 m) of building, without pest control

monitoring in surrounding area 3.3 Center upkeep and repairs are complete for physical structure walls, floors and ceilings with

no temporary repair materials used. (Observation) Full conformance (10 points): Physical inspection of the center shows: Observation confirms:

• general maintenance and appearance appear to be properly maintained • exterior walls are of sound construction, with no cracks or openings • interior ceiling, walls and floors of all storage areas in good repair with no leaks or cracks • all repairs are professionally completed without the use of improvised materials • any existing temporary repairs are to be dated and time stamped when installed


• inspection shows improvised repair or damage, which does not pose a threat to product or packing contamination and is dated

• single/isolated instances of improperly maintained walls, floor or ceilings • improvised repair is not dated and/or time stamped


• numerous instances of damaged or improperly maintained walls, floors or ceilings No points: No points will be awarded if one of the following situations is encountered:

• multiple areas of potential contamination/damage • systematic failure to maintain walls, floors and ceilings • improvised repair in food storage areas of the facility, which poses a risk of product or

packing contamination or has been in place for longer than 30 days 3.4 Lights and other breakable materials are shatterproof or shielded to prevent potential

product contamination. Center shall have a Glass Policy. (Procedure - Observation) Full conformance (15 points): All lights and other breakable materials are tempered (preferably shatterproof) or shielded to prevent shattering. Glass Policy and Procedure shall include:

• all lights in warehouse and product storage and staging areas (freezers, coolers, dry storage and dock areas) and in trailers are to be tempered, shatterproof or shielded in a way to prevent shattering in the event of a breakage. This includes but not limited to: ceiling bulbs, dock loading lamps, clock faces, computer screens (touch screens exempt), emergency lights, forklift lights and lights in transport trailers/ containers.

• all glass panes/windows adjacent to product storage areas or areas where product passes through are to be tempered, shatterproof or shielded to prevent shattering.

• protocol for storing "For Sale" glass items in racks (glassware, beakers, etc) • guidelines for broken glass incidents. Who is responsible for release of the area, the required

criteria to do so and approved glass and contaminated product disposal procedures. Observation:

• all glass is tempered, shatterproof or shielded • if plastic sheaths are used on light bulbs, end caps must be in place


Note: The only exceptions to this glass policy are a fire extinguisher in a glass case and glass fire alarm pulls. AUDITOR: If overhead lights in any product storage area do not appear to be shielded, check inventory of bulbs to make sure they are either Teflon safety coated or considered shatterproof. Minor non-conformance (10 points): The following will constitute a minor non-conformance:

• single/isolated element(s) missing in Glass Policy • single/isolated instance(s) of exposed glass or other breakable materials corrected during

the audit that does not pose a risk of contaminating product or packing Major non-conformance (5 points): The following will constitute a major non-conformance:

• single/isolated instance of exposed glass or other breakable materials which may pose a risk of contamination and is corrected during the audit


• no end caps on plastic sheaths around light bulbs • single instance of exposed glass or other breakable materials which poses a risk of

contaminating product or packaging and is not corrected during audit • no written Glass Policy • systematic failure to shield all glass • any observation of direct contamination of product or packing items by glass

3.5 All racks and pallets are well maintained. (Observation) Full conformance (10 points): Racks shall be in good repair, cleaned frequently to remove any spillage and dirt/dust build-up. Pallets shall be in good condition with no splintering. Corrective action must be taken to protect product. Observation confirms:

• racks in good repair/condition • racks cleaned frequently • pallets in good condition. No splintering that could cause product penetration/ contamination • pallets are required to be unbroken, free of debris or pest and/or other contamination, and

shall be in good to excellent condition. Protruding nails are not permitted under any circumstances


• single/isolated instance(s) of a rack needing cleaning • single/isolated instance(s) of pallet needing repair


• numerous instances of racks needing repair or cleaning • numerous instances of pallets needing repair • single instance of pallet not able to properly hold product

No points: (0 points): No points will be awarded if any of the following is encountered:

• systematic failure to maintain racks • systematic failure to maintain pallets in good condition • pallet in use on Yum Brands product that poses potential risk of contamination • actual product contamination observed from the pallet (s) (e.g. splinters, wood

chips, nails)


3.6 Forklifts and pallet jacks and floor cleaners/sweepers are well maintained and properly

stored. Batteries are properly stored. (Observation) Full conformance (10 points): Forklifts, pallet jacks and any floor cleaning or sweeping equipment shall be in good condition and properly stored. Observation confirms:

• no leaking batteries or other fluids are found • no gasoline (petrol)/diesel powered equipment shall be used inside the center • storage and charging area is at minimum 6 ft (2m) from product. No batteries stored above,

next to or under product. Office records may be stored near batteries. • battery storage areas are clean

Note: In areas where product/packing is transported but does not stop, the 6 foot (2m) minimum is waived. Minor non-conformance (7 points): The following will constitute a minor non-conformance:

• single/isolated instance of not meeting above criteria

Major non-conformance (3 point): The following will constitute a major non-conformance: • numerous instances of not meeting the above criteria • forklift batteries are stored/charged next to and within 6 feet (2 m) of product or packing • leaking battery found in a fork lift that is not being used to transport product or packing

materials No points: (0 points): No points will be awarded if one of the following is encountered:

• forklift transporting product is leaking fluids or battery fluids • batteries are found stored above or below product or packing materials • significant evidence of leaking in stored batteries • use of a gasoline (petrol)/diesel powered equipment

3.7 Doors and openings are pest resistant. Cracks and crevices have been sealed. Dock doors remain closed at all times when not in use.

(Observation) Full conformance (10 points): The center shall have all openings to the outside closed or protected to deter pest entrance/infestation. The center shall pay special attention to cracks, door weather strips, dock door seals, dock door bumpers and dock leveler strips/brushes. Auditor shall deduct points for any openings that is due to neglect and/or will easily allow pest entrance. Observation confirms:

• screens at openings are all intact • window panes in good repair • weather stripping and seals on pedestrian doors are in good repair • dock door seals shall be in place to prevent pests from entering and to prevent loss of

temperature where appropriate • dock door bumpers shall be in place and in good repair to prevent pests from entering during

loading or unloading and to prevent loss of temperature where appropriate • dock leveler strips/brushes are well maintained and in place • cracks and crevices are sealed to prevent the entrance/harborage of pests • windows are kept closed except when covered by screens


• doors and dock doors remain closed at all times when not in use Minor non-conformance (7 points): The following will constitute a minor non-conformance:

• single instance of non-conformance to above requirements Major non-conformance (3 point): The following will constitute a major non-conformance:

• two instances of non-conformance to above requirements No points: (0 points): No points will be awarded if one of the following is encountered:

• three or more non-conformance to above requirements • dock door left open and unattended in temperature controlled dock area • no dock door bumpers on any dock door

3.8 Doors and/or curtains are evident at all refrigeration, freezer and cooler product storage

areas. (Observation) Full conformance (10 points): There shall be doors and/or curtains at doorways into all temperature controlled storage or staging areas (cooler, freezer and cool dock) to aid in temperature management. The only exception is where the cooler and cool dock are one room without doorways (open concept). Observation confirms:

• all temperature-controlled rooms to have a self-closing door or curtain. If door/curtain is not self-closing, permanent curtains must be in place. Open-concept cooler/cool dock areas are not required to have doors or curtains as long as proper room temperatures are maintained.

• doors and curtains shall be properly used, in good repair and tight closing Minor non-conformance: There is no minor non-conformance in this category. Major non-conformance (3 point): The following will constitute a major non-conformance:

• single/isolated instance(s) of a door/curtain in need of repair or not properly being used • single/isolated instance(s) of a door/curtain not tight closing • single/isolated instance(s) of a self-closing device not operational.


• numerous instances of non-conformance to the above elements • a single refrigerated or frozen product storage/staging area with no door or curtain, where

required • a non-self closing door used without back-up curtain

3.9 A minimum 18" (46 cm.) inspection perimeter is maintained throughout storage areas. (Observation) Full conformance (10 points): An inspection perimeter (a painted solid or single line is recommended) is maintained to allow for the proper inspection of pest control devices, cleaning, good air circulation and to deter pest harborage. Observation confirms:

• all product storage areas (dry, chilled and frozen) to have an 18" (46 cm) perimeter inspection zone.

• the inspection perimeter can be less than 18" (46 cm), however, access to traps for inspection and cleaning must be possible.


• If room is too small to maintain an 18 inch (46 cm) perimeter the bottom rack can be 18 inches (46 cm) off the floor or the area cleaned and inspected monthly with records available for review.

• any product on pallets stored outside of a racking system maintains an 18” inspection zone at the wall. (staging areas are exempt as long as staging is temporary).


• a single/isolated instance(s) (area) of not adhering to the inspection perimeter requirements

Major non-conformance (3 point): The following will constitute a major non-conformance

• numerous instances (areas) where the inspection perimeter is not being maintained. No points: (0 points): No points will be awarded if one of the following is encountered:

• the facility does not maintain inspection perimeters. • room too small for 18” perimeter and no cleaning/inspection process in place

4.0 PRODUCT PROTECTION 4.1 Measures are taken to prevent cross contamination from fresh meat (poultry, beef,

pork, fish, etc) iced product and condensation. Hand washing/sanitizing areas are available and functioning, where appropriate.

(Observation) Full conformance (10 points): Care must be taken to prevent cross contamination from fresh meat (poultry, beef, pork, fish, etc), milk cartons, shell eggs or iced product to other food items. Auditor shall observe:

• fresh meat is a minimum of 4 ft (1.3m) (one pallet width) on all sides from unlike product in both storage or staging areas. No meat is found stored above non-meat product.

• milk cartons, shell eggs or "iced" products are not stored above unlike product where dripping/condensation can cause contamination.

• effective hand wash or hand sanitizing stations are available within or very close to the raw meat storage area. Each station is stocked with anti-microbial/bacterial soap or sanitizing solution and utilized appropriately.

• employees wash and sanitize hands immediately after handling fresh meat products or tubs (full or empty).

AUDITOR: If distributor does not handle raw chilled meat or other high risk products (listed above), this question can be scored n/a. This question does not apply to further processed or frozen meat. Minor non-conformance: There is no minor non-conformance in this category. Major non-conformance (3 points): One of the following will constitute a major non-conformance:

• one instance of non-conformance to storage or staging requirements • hand washing or sanitizing station is not available within reasonable distance from raw

meat storage and/or properly stocked. • inadequate hand washing or hand sanitizing stations (no sanitizer, antibacterial soap or

hot water) No points: (0 points): No points will be awarded if one of the following situations is encountered:

• one instance of non-Yum Brands product contamination • raw meat, milk cartons, shell eggs or "iced" product stored above unlike product


• inadequate hand washing or hand sanitizing observed after handling raw meat or meat tubs

• single instance of a Yum product contamination observed 4.2 There are no actual instances of product adulteration / contamination observed. (Observation) Full conformance (10 points): The center is maintained to prevent product contamination and to protect product integrity. Observation confirms:

• no product adulteration or contamination by foreign materials (such as glass, razor blades, human blood, poisonous or hazardous chemicals, etc.).

• no condensation near or dripping on product • no ice build-up on product/cases • only food-grade lubricants are used on product storage units or areas of equipment that come

in direct contact with product cases. • no employee working around product is observed with an illness, open lesion, bleeding or

infected wound or any other abnormal source of microbial contamination. Minor non-conformance: There is no minor non-conformance in this category. Major non-conformance: (3 points): The following will constitute a major non-conformance:

• one instance of non-compliance to above elements • one instance of potential contamination


• one instance of non-Yum Brands product contamination • any observation of direct contamination of Yum Brands product, ingredients,

packing material or product contact surface area.

4.3 Yum Brands product is held and handled in the appropriate temperature controlled environment. All products to be managed through an enclosed and temperature-controlled dock/staging area, as appropriate.

(Observation) Full conformance - (10 points): All Yum Brands items are stored in the appropriate storage location within the center. Observation confirms:

• all products to be stored per label requirements and/or per Yum authorized reference; dry items in dry storage, refrigerated items in the cooler and frozen items in the freezer.

• all products shall be managed through a fully enclosed loading dock. • All temperature sensitive products shall be managed through a temperature-controlled

loading dock, or method (based on risk analysis and testing) approved by the Yum Division QA that ensures product temperatures are maintained to specification during the loading/unloading process. For distributors who are not staging product on the dock for longer than 5 minutes, the loading dock need not be temperature controlled.

Note: 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. Minor non-conformance: There is no minor non-conformance in this category.


Major non-conformance: There is no major non-conformance in this category. No Points (0 points): No points will be awarded if any of the following occurs:

• frozen/chilled items staged on a refrigerated cool dock, staging area or elsewhere in excess of 30 minutes for cross docking/loading/unloading purposes

• product found staged for >5 minutes on an unrefrigerated dock or exceeded method approved by the Yum Division QA

• product found stored in the incorrect location per the Yum Brands product matrix • handling Yum Brands product from an unenclosed or non-temperature controlled

staging/cool dock area, where required

4.4 All Items are handled and stored in the center per item requirements and to protect the integrity of the products and packing.

(Observation) Full conformance (10 points): Conditions indicate all products (Yum or non-Yum) are properly handled and stored per product specifications. Observation confirms:

• product is properly handled and stored without detrimental effect to product quality or package integrity

• no torn, punctured, leaking, opened, contaminated, condensation stained, dirty or crushed cases

• all items are on pallets, no items rested/stored on the floor • stacks are straight, no tipping resulting in product damage • no excess dust evident on cases (facility dust addressed in 3.1) • smallwares are stored in an orderly manner • pallet height must be such as not to buckle or damage the bottom layer (s) of product. No

case overhang on pallets and no pallet stacking. Minor non-conformance (7 points): The following will constitute a minor non-conformance:

• single instance of non-conformance to the above elements Major non-conformance (3 points): The following will constitute a major non-conformance:

• two instances of non-conformance to above elements No points: (0 points): No points will be awarded if any of the following is encountered:

• numerous instances of non-conformance to above elements • systematic failure to properly maintain integrity of stored product and/or packing.

4.5 Product RECEIVING (unloading) program is practiced to protect Yum Brands product and packing integrity. Records are maintained.

(Records - Observation) Full conformance - (20 points): Records address all elements of proper product protection during receiving as defined below.

Records shall verify:

• Receiver uses a daily calibrated thermometer • Yum! Brands receiving protocol (if applicable) was followed when load has a temperature

monitoring device. Trailer

• ambient temperatures of trailer freezer and cooler sections (taken from trailer readout prior to unloading) are within specification to maintain proper product temperatures.


• trailers are inspected for evidence of tampering (broken lock, torn cartons, etc.) and actual/potential contamination

• incoming trailer doors are locked or sealed with seal numbers recorded before unloading begins

• loads with a temperature monitoring device have been downloaded and the Yum! Brands protocol has been followed (if applicable)

Product • for multiple products one temperature is taken for each temperature sensitive Yum product

received. • for single load three product temperatures are taken (one case at the front, middle and back

of load) if the load is all one Yum product. • Temperature non-conformances or refusals are noted with corrective actions. • each incoming product has code date/lot number recorded and meets Yum Brands Shelf Life

requirements • any damage to carton(s) (which affects internal product quality) and corrective actions are

recorded. Damaged product received by the DC has code dates recorded for traceability purposes.

• if chilled produce, sour cream, mayonnaise or oil-based dressings is found stored within the 2ft x 2ft (0.6m x 0.6m) area at the juncture of the freezer bulkhead and the floor, Receiver to verify product temperatures and condition and record corrective actions

• trailer is clean, for example: no offensive odors, no potential/actual cross contamination, no pest infestation and no unshielded/unprotected glass.

• any refused product will be noted on Receiving Records. Receiver’s Observation:

• any non-compliance to the above elements shall be corrected before receiving is complete. • product has not been or does not have the potential of being contaminated by an unlike

product on the load. AUDITOR: Randomly select and review between 1 and 10% of Yum receiving records since previous audit, enough to get a representative sample. Confirm all bullet points for Records above are included. Minor non-conformance (15 points): One of the following will constitute a minor non-conformance:

• no confirmation Receiver thermometer is calibrated • single/isolated instance(s) of missing records/data • single/isolated observation(s) of non-conformance to above


• numerous instances of missing records/data • numerous observation(s) of non-conformance to above • one or two temperatures not recorded on “one product load” where 3 temps are required

No points (0 points): No points will be awarded if any of the following is encountered:

• no records confirming trailers are locked or sealed upon arrival or no seal numbers recorded

• one non-conforming product received with no corrective action noted or recorded • one temperature-sensitive product received without any temperature taken • one food product received without code date recorded • single observation of receiving product or packaging that is contaminated • systematic failure to maintain records

4.6 Trailer/Container LOADING program is practiced to protect Yum Brands product and

packing integrity during loading and transport. Records are maintained.


(Records - Observation) Full conformance - (20 points): Records verify proper product protection during loading and include all elements below. Records shall confirm – (each full bullet point):

• all loaded outbound trailer doors are locked before the trailer leaves dock area • trailers are verified clean before loading begins.

1. trailer is clean. (clean so as to prevent cross contamination or offensive odors; drain holes are free of obstructions and exterior is clean).

2. trailer is free of pest evidence or infestation. 3. trailer is sound: (walls and ceiling are in good condition; no holes exposing insulation or

outside air; no cracks or panel separation; door seals are intact) 4. interior trailer lights have shatterproof/tempered shields or contain shatterproof bulbs. 5. Bulkheads are in good repair and clean. 6. trailer has clean curtains and in good repair at temperature controlled compartment

doors. Only when raw meats are handled through the same compartment door as unlike product can curtains be removed to protect against cross contamination.

• product is loaded according to Yum Brand requirements – in correct compartment (or in a manner that accomplishes effective temperature control),

• product is loaded according to carton instructions, no heavy items on top of fragile items and in good condition).

• produce, sour cream and mayonnaise/oil based-dressings are not loaded within the 2ft (0.6m) x 2ft (0.6m) area at the juncture of the freezer bulkhead and the floor.

• all produce is on pallets, sliced mushrooms and sliced green onions are stacked and wrapped to allow for maximum air circulation (With open net-wrapped or stabilizers and straps. Full shrink wrap not allowed.)

• fresh meats and chemicals are transported as defined below. • bulkheads are in good repair and fit securely.

Observations: Auditor is expected to view the loading of at least one trailer during audit, and find: • all loaded trailers with Yum product have doors locked/sealed after loading is complete and

before the trailers leaves the dock area • all elements above are being implemented • any observation of non-compliance is corrected before trailer leaves the center

PRODUCE, SOUR CREAM and Mayonnaise and oil-based dressing: All must be loaded into the cooler section of the trailer, kept outside of a 2ft (0.6m) x 2ft (0.6m) juncture of the freezer bulkhead and the floor. RAW MEATS: Fresh meats (poultry, beef, pork, fish, etc) shall be loaded segregated, on a designated pallet and protected to prevent cross contamination to unlike items and pallet shall be shrink-wrapped and protected by a clean slip-sheet on all sides that are adjacent to unlike product or in a manner that accomplishes effective segregation and is approved by Yum Distribution QA. CHEMICALS: Chemicals shall be segregated and not loaded on the same pallet as food, premiums or paper items. Chemicals shall be secured to prevent movement during transportation. Minor non-conformance (15 points): One of the following will constitute a minor non-conformance:

• single/isolated instance of incomplete records • single instance of an ill-fitting bulkhead gap to wall.


• numerous instances of incomplete records • single/isolated instance(s) of records not confirming the locking of an outbound trailer • numerous instances of damaged cases observed loaded


• two or more instances of an ill-fitting bulkhead gap to wall

No points: (0 points): No points will be awarded if any on the following is encountered: • more than three elements of records missing/not defined • single element above not being recorded • single observation of produce floor loaded • single observation of produce/sour cream/mayonnaise based dressings loaded within the

2 ft x 2 ft (0.6m x 0.6m) area of the juncture of cooler floor at the freezer bulkhead • single observation of mushrooms or green onions wrapped in solid shrink wrap • single observation of a trailer loaded with Yum product not locked before trailer

leaves dock area. • single instance of exposed glass in trailer • single observation of product loaded into the incorrect trailer compartment

affecting product temperature control • fresh meat or chemicals not segregated and protected from unlike product • single observation of loading a contaminated trailer (ex: fresh blood, pests, etc) • any instance of contaminated product or package being loaded onto trailer • systematic failure to maintain records

4.7 Program is established to ensure all products purchased for and shipped to Yum Brands Restaurants are approved and from approved Yum suppliers. Center has access to and is using an authorized source/list of Yum approved products and suppliers. (Program- Documentation - Observation) Full conformance (10 points): Program (written or electronic) is in place to ensure: Program identifies:

• how center ensures products are Yum Approved and from approved suppliers • that the center’s program and approved products list are reviewed annually by management

Documentation confirms:

• list of center’s approved products • all products supplied to Yum restaurants are approved and from approved Yum suppliers. • access to and use of an authorized list of Yum approved products and suppliers • no substitutions are allowed without prior approval from the division • customer invoices are maintained to confirm compliance

Observation: • confirms only Yum approved products are loaded for Yum Brands restaurants.

AUDITOR: During your observation, use Worksheet #1 to record supplier id #’s on select Yum dry, chilled and frozen products to verify products are approved and from approved suppliers.


• one or two elements are missing or incomplete Major non-conformance (3 points): The following will constitute a major non-conformance:

• three elements are missing or incomplete No points: (0 points): No points will be awarded if any one of the following is encountered:

• more than three elements missing from program • product substitution made without prior written approval from the divisions • program does not ensure only approved products are supplied to Yum restaurants • center does not have or cannot confirm access to an up to date Yum Approved

Suppliers and Product List January 2014 CONFIDENTIAL & PROPRIETARY

• Procedure or centers approved product list is not reviewed annually by management (by corporate or center management)

• no written/electronic program

4.8 Inventory is managed by code dates to ensure proper rotation and shelf life of Yum Brands product. Oldest code dated product is distributed first. No expired Yum Brands items found "ready-for-distribution".

(Documentation - Observation) Full conformance (10 points): Center shall manage and rotate Yum products by code date. No expired product ready for distribution. AUDITOR:

1. Observe and record on Worksheet #1 code dates of chosen dry, chilled and frozen Yum products. Verify products have the minimum required shelf life due the restaurant.

2. Conduct inventory exercise: Choose a stored product and match case count by code date to inventory system/program. Inventory count shall agree with system count, allowing for variation for the daily picking process.

System/process confirms:

• product is rotated by code date. Rotation is not based on FIFO (first in, first out), but on shipping oldest product first

• all Yum Brands product "ready for distribution" (not on hold) is within shelf life due the restaurant.

• strategy to ensure short shelf life products (<12 days total shelf life) shipped on routes longer than one day are managed to ensure minimum shelf life upon receipt at store.

• product shipped from U.S. to International Destinations (or long distances that challenge product integrity) shall be freshest product available.

Documentation:

• inventory system confirms case counts of inventory are accurate by code date Observation:

• code date of products are visible and easily read when palletized either by manufacturers’ label or centers’ pallet tag

• product is rotated by code date • oldest product is ready for distribution first (allow for recently received product with older code

date). • all Yum product in storage and ready for distribution meets minimum shelf life to the

restaurants Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• one item out of rotation (allow for recently received product) • single/isolated instance(s) of code date and/or DC’s pallet tag not clearly legible


• two items out of rotation (allow for recently received product) • numerous instances of code date/and or DC’s pallet tag not clearly legible. • product in storage found mislabeled by center with incorrect code date/traceability marker

No points: (0 points): No points will be awarded if any of the following is encountered:

• inventory assessment did not confirm effective inventory management practices/system • any observation of a product that does not offer the minimum shelf life due to the

restaurant • system does not manage/rotate product by code date


• one expired product found "ready-for-distribution" 5.0 TEMPERATURE CONTROL 5.1 FACILITY temperatures are maintained according to Yum standards. Records are

maintained. (Records - Observation) Full conformance (15 points): A process shall be in place to monitor and record ambient temperatures of temperature-controlled product storage, staging and transfer areas (cool dock, coolers, chicken coolers, freezers and storage trailers/containers) for Yum products. Records include:

• Individual responsible for taking room temperatures and date. • verification of thermometer calibration (handheld to be calibrated daily, automated devices

guaranteed calibrated by manufacturer are calibrated appropriately and available for auditor review.)

• room ambient temperatures meet specifications as defined in below matrix • ambient temperature(s) of each temperature-controlled storage and staging area

− If manual system: manual verification/recording is required 2x’s/day - 7 days/week or each day in which product is held, cross docked or staged. Manual temperatures to be taken in the front, middle and back of each storage area and in one location on the cool dock. (moved from last bullet point).

− If automated system: manual verification/record is required each day of center operation, unless center also has a working alarm, monitored 24/7 and is set appropriately in designated areas. Auditor must be able to confirm alarms are functioning and confirm temperature records are accurate.

− If a graph or log/chart is used, it shall be current and dated. Graph line shall show no evidence of duplication/overwriting of more than 3 hours;

• corrective action to be taken if temperature is out of specified range AUDITOR - Observations:

• take and record ambient air temperatures at front, middle and back of coolers and freezers, one temperature on cool dock and one temperature of any storage trailer.

AMBIENT ROOM TEMPERATURE ranges, or method (based on risk analysis and testing)

approved by the Yum Division QA that maintains temperatures which will maintain product quality, meet shelf life requirements and prevent pathogenic growth (for example: limiting the growth of Listeria Monocytogenes). More stringent limits are acceptable:

Room Target Temp

Fahrenheit Celsius

Cool dock 34° - 45°F 1° to 7° C Freezer 0°F, max < 10°F -18°C, (max < -12° C)

Cooler 34° - 40° F 1° to 4° C Chicken Cooler 28° - 36° F -2° to 2° C

Additional temperatures required by local requirements / regulations shall be included. Local QA and distribution centers are responsible to know and comply with local requirements and regulations.


Minor non-conformance (10 points): One of the following will constitute a minor non-conformance: • single/isolated instance(s) of record omissions • single instance of handheld thermometer calibration not occurring or recorded • ambient temperature in any individual storage area found to exceed the acceptable limits

by >1°F (0.6°C) and ≤2°F (1.0°C). Major non-conformance (5 points): One of the following will constitute a major non-conformance:

• numerous instances of record omissions • two instances of handheld thermometer calibration not occurring or recorded • single instance of automated temperature equipment calibration not occurring or recorded • single instance of a room temperature not recorded as required • ambient temperature in any individual storage area found to exceed the acceptable limits

by >2°F (1°C) and ≤3°F (1.5°C). • records indicate storage area not within temperature with no corrective actions noted


• three or more instances of handheld thermometer calibration not occurring/recorded • two instances of automated temperature equipment calibration not occurring or recorded • two or more instances of a room temperature not recorded as required • systematic failure to maintain temperature records for any area • ambient temperature in any compartment found to exceed the acceptable limits

above 3°F (1.5°C) or more 5.2 On-site Yum PRODUCT temperatures conform to Yum Brands standards. (Observation) Full conformance (60 points): Auditor verifies Yum products are maintained according to Yum Brand’s Temperature requirements.

TEMPERATURE MONITORS: Auditors using temperature monitors (9 monitors total) shall do the following: • Insert temperature recorders into KFC Cole Slaw, PH mushrooms and TB Lettuce or other

temperature sensitive products. Full-service with poultry distributors insert 3 (of the 9) recorders in fresh poultry Poultry Only Distributors insert all 9 recorders in fresh poultry

• Results of recorders to be scored in the Transportation Audit AUDITOR:

• Calibrate your thermometer and record on score sheet. • Take product temperatures as indicated below • For Approval Audits where Yum Brands products are not yet in center, this question

can be scored n/a. • If non-Yum Brands product is observed temperature abused, insert comments but do not

deduct points

On-Site Product Temperatures: Take and record one temperature for each of the following Yum products:

• three (3) frozen items • three (3) chilled items:

Include KFC Fresh Poultry, PH Mushrooms and TB Lettuce, if available. • three (3) cool dock staged Yum products (excluding product On Hold) • If center utilizes a conveyer system, track 2 cooler and 2 freezer items and verify product

temperatures at trailer entry. Record as cool dock items.

SCORING:


If product temperature is out of specification range: 1. Take 2 additional temperatures using 2 different thermometers and temp same or

alternate case to verify deviation. 2. If two out of three temperatures are out of matrix, use the highest (or lowest) temperature

and score per below. Record the temperature on score sheet.

On-Site Product Temperatures: Score as: Within specification Full points ≤1°F (0.6° C) outside of spec range 3 points for that product >1°F to ≤2°F (>0.6° to 1.0°C) outside of spec range 1 point for that product >2°F (>1.0°C) outside of spec range 0 points for that product and Auto Failure

Minor non-conformance: Score according to above. Major non-conformance: Score according to above. No points (0 points): No points will be awarded if the following is encountered:

• one product is found to be greater than 2°F (1.2°C) above spec range. 5.3 Pre-Cooling is practiced to protect Yum Brands product temperatures. Records are

maintained. (Records - Observation) Full conformance (15 points): Center shall have records confirming the pre-cooling of outgoing trailers/containers prior to loading of Yum product. NOTE: - Center can pre-cool entire trailer to <10°F (-12°C), or method (based on risk analysis and

testing) approved by the Yum Division QA that maintains temperatures which will maintain product quality, meet shelf life requirements and prevent pathogenic growth (for example: limiting the growth of Listeria Monocytogenes).

- Bulkheads are to be pre-cooled with/in trailer, if used - It is not expected the ambient trailer temperature remain < 40°F (+4°C) or < 10°F (-12°C) during loading process.

Records shall verify:

• individual responsible for recording temperatures • reefer settings for chilled and frozen sections are within center’s specified range • ambient temperatures of chilled and frozen sections are verified from reefer/trailer readout to

be in the below range prior to loading. o Cooler section Pre-cooled to < 40°F (+4°C) o Freezer section Pre-cooled to < 10°F (-12°C), or method (based on risk analysis

and testing) approved by the Yum Division QA that maintains temperatures which will maintain product quality, meet shelf life requirements and prevent pathogenic growth (for example: limiting the growth of Listeria Monocytogenes).

Observations: • trailers are temperature controlled • trailers shall have three compartments - frozen, chilled and dry, or compartmentalized in a

manner that accomplishes effective product temperature control • trailers designated as fresh-Poultry Only can be single compartment • reefer settings on trailers are in accordance with center’s requirements


• single/isolated instances of missing or incomplete records Major non-conformance (5 points): One of the following will constitute a major non-


conformance: • numerous instances of missing or incomplete records • numerous instances of records missing verification of settings • single/isolated instance of records confirming a trailer was not within temperature specifications prior to loading

No points: (0 points): No points will be awarded if any one of the following is encountered: • trailer setting not within center’s specified range • trailer not compartmentalized in a manner that accomplishes effective product

temperature control • trailer not temperature controlled • no pre-cooling log maintained • numerous instance of records confirming a trailer was not within temperature

specifications prior to loading

5.4 Current Yum Brands Shelf Life/Temperature Matrices and special exceptions are on file and in use by Operations.

(Documentation - Observation) Full conformance (10 points): Distributors shall maintain and be using current Yum Shelf Life/Temperature Matrices. Documentation:

• DC’s shall maintain an up-to-date SLTM matrix for the brand and products they manage. • Shelf life extensions or special allowances shall be in writing and on file. All exceptions must

be from Yum QA (not UFPC/SCM) and signed. Emails (no signature) are acceptable if confirmed to be from Yum QA.

Observation: • all matrices are current within last 30 days • all matrices are circulated to appropriate center management (receivers, loaders and

warehousemen). • distribution personnel are using matrices correctly to assess incoming product.

Minor non-conformance (7 points): There is no minor non-conformance in this category. Major non-conformance (3 points): The following will constitute a major non-conformance:

• outdated Shelf Life/Temperature Matrices or Yum QA exception in use by Operations. No points: (0 points): No points will be awarded if any of the following is encountered:

• unauthorized product exception in use • matrices not circulated or in use by appropriate personnel • auditor observes shelf life / temperature evaluation being performed improperly • center is missing one applicable Yum Brand’s matrix

6.0 SANITATION 6.1 A master sanitation/cleaning program is established. Records are maintained. (Documentation - Records - Observation) Full conformance (25 points): Center shall have a documented master sanitation/cleaning program with records maintained for daily/weekly/monthly verification (office areas excluded). Documentation includes:

• SOP’s for each task, to include the following: frequency of cleaning


position responsible for task how to clean the area approved cleaning products used

• all product storage areas and staging areas • physical structure (walls, dock doors, ceilings, etc) • cleaning/sanitation of equipment (forklifts, pallet jacks, etc) • all trailers to be sanitized to reduce the number of microorganisms. • preventive measures to avoid re-contaminating cleaned areas, especially where raw meats

are handled Records:

• a schedule for each area / task with how often it is to be cleaned • confirmation by person responsible initialing each task is completed • verification sign-off/initials by management confirming completion of each task (or group of

tasks). Observations:

• no evidence of product or packing contamination from cleaning. • proper cleaning practices are observed/evident. • no cross contamination practices are evident, to include use of proper cleaning utensils and

equipment. • cleaning equipment (mops, buckets, etc) used for fresh meat storage area to be specific and

labeled for that area or thoroughly cleaned and sanitized before utilized near unlike product.

Minor non-conformance (20 points): One of the following will constitute a minor non-conformance: • single/isolated instance(s) of incomplete records or documentation • single/isolated instance(s) of inadequate cleaning practices


• numerous instances of incomplete records or documentation • numerous instances of inadequate cleaning practices


• systematic lack of adequate cleaning practices • cleaning order, procedures and use of equipment do not conform to good sanitation

practices. No consideration given to the possibility of re-contaminating clean areas • cleaning equipment used for raw meat area observed being used to clean a non-raw

meat area without being cleaned or sanitized prior to re-use • product/packing item contamination from cleaning equipment/chemicals observed • no records • no sanitation/cleaning program

6.2 A training program for the sanitation/cleaning crew is established and available for review. (Documentation - Records) Full Conformance - (15 points): The center shall have verification of training for all sanitation/cleaning personnel. Documentation:

• training documents show, at minimum, an outline of training topics/materials. • includes food safety while utilizing chemicals around food products.

Records confirm: • training occurs annually • personnel in attendance of training • training is current for all sanitation/cleaning personnel


• on-the-job training where applicable • exit criteria verifies each crew member comprehension

Video recordings or computer-based training may be used as a documented training program as long as content is available at minimum in outline form. Minor non-conformance (10 points): One of the following will constitute a minor non-conformance:

• single/isolated instance(s) of incomplete or unavailable training records/exit criteria • single instance of training held less frequently than annually


• program does not include food safety • incomplete training documentation • numerous instances of incomplete records • numerous instances of incomplete exit criteria


• no training records or documentation • no exit criteria confirming comprehension • systematic failure to provide training • no program in place

6.3 Cleaning and sanitizing chemicals used in the warehouse are approved for use in a

food handling facility. Material Safety Data Sheets (MSDS/SDS) and sample labels are available.

(Documentation - Observation) Full conformance (15 points): Auditor confirms: Documentation:

• sample label and MSDS/SDS are on file for each cleaning and sanitizing chemical used in the warehouse; both industrial and commercially purchased products. (example: Ajax, window cleaner, toilet bowl cleaner, floor cleaner, etc.)

• confirms product is approved for use in a food handling facility and/or meets local regulatory guidelines

• confirms center has multilingual MSDS/SDS available or onsite translator if employees are of a second language

Observation: • personnel have unobstructed access to MSDS/SDS sheets

Note: If the center uses a faxable/online MSDS/SDS service, the document must be available within 10 minutes and there shall be appropriate signage and employee access to phones, fax machine and computers.

AUDITOR: Randomly select two (2) cleaning or sanitizing chemicals and verify MSDS/SDS and labels are available to employees. Minor non-conformance (10 points): One of the following will constitute a minor non-conformance:

• MSDS/SDS and labels available, but filing system is disorganized making quick access to the information difficult for employees or auditor

• single/isolated instance(s) of missing or illegible MSDS/SDS and/or sample label • If using faxable/online MSDS/SDS service, MSDS/SDS not available within 10 minutes

limit


Major non-conformance (5 points): One of the following will constitute a major non-conformance: • greater than three MSDS/SDS and/or labels are missing for chemicals found in use • MSDS/SDS not readily available for employee reference

No points: (0 points): No points will be awarded if any one of the following is evident

• no MSDS/SDS and/or labels available • chemical being used with no proof it is approved for use in food handling facility • use of non regulatory or non-approved chemical

6.4 Cleaning and sanitizing equipment and chemicals for distribution center's use are

properly stored and labeled. (Observation) Full conformance (15 points): Cleaning/sanitizing equipment and chemicals are labeled and properly stored. Observation confirms: Cleaning equipment -

• organized and appear cleaned prior to storage • segregated (brooms, mops, floor cleaners) and stored away from food and packing materials • stored so as to not cause rodent/pest harborage

Each approved chemical - • is segregated from food, packing materials and unapproved chemicals • is secured under lock and key to prevent unauthorized use • is properly labeled to identify contents • not found leaking or damaged

Storage area is locked. Office cleaning chemicals not approved for use in a food handling facility shall be stored in a secured area outside of product storage areas and apart from approved chemicals. Cleaning chemicals/sanitizers may be in warehouse if i) they are secured to prevent tampering and ii) do not pose a risk of product contamination (example: sanitizer bottles on wall racks, drums of cleaning product for use in floor scrubbers). Minor non-conformance (10 points): One of the following will constitute a minor non-conformance:

• single/isolated instance(s) non-conformance to above elements • approved chemical(s) stored among unapproved chemicals


• numerous instances of non-conformance to above elements • one instance of a secured cleaning chemical not labeled

No points: (0 points): No points will be awarded if any of the following instances is encountered: • cleaning equipment stored so as to cause rodent harborage • one instance of a cleaning chemical not secured • more than one instance of secured cleaning chemicals not labeled • a single instance of an approved cleaning chemical(s) found in a product storage area

with the potential of product contamination • cleaning chemicals are leaking • chemical storage area is not locked • one unapproved chemical found in storage area • cleaning chemical stored with food or packaging materials with potential risk of

contamination


6.5 Chemicals and pesticides "For Sale" are stored segregated. Material Safety Data

Sheets (MSDS/SDS) are available. (Documentation - Observation) Full conformance (15 points): Chemicals and pesticides "For Sale" in the facility are to be stored segregated. A pallet width distance is generally considered to be 4 feet (1.2 meters). Center must be aware that Sodium hypochlorite sanitizer is the same as bleach and stored the same as bleach. AUDITOR: If center does not sell chemicals, question to be scored n/a. Documentation:

• MSDS’s/SDS’s shall be available for all chemicals and pesticides stored “For Sale”. • hard copies MSDS/SDS shall be accessible to all employees

Observation - Chemicals and pesticides “For Sale” are: • not stored within a one pallet-width distance of all sides of products – food, premiums,

packing materials and smallwares. • not stored above or within one pallet-width distance next to paper items (plates, cups, straws,

napkins, etc.) or small wares. Paper items and smallwares may be stored above chemicals. • chemicals shall not be leaking or damaged • bleach is not stored above/below/or directly next to corrosive chemicals

Note: If the center uses a faxable/online MSDS/SDS service, the document must be available within 10 minutes and there shall be appropriate signage and employee access to phones, fax machine and computers. Minor non-conformance (10 points): One of the following will constitute a minor non-conformance:

• MSDS/SDS are available, but filing system is disorganized making quick access to the information difficult for employees or auditor

• single/isolated instance(s) of missing or illegible MSDS/SDS • If using faxable/online MSDS/SDS service, MSDS/SDS not available within 10 minutes

limit

Major non-conformance (5 points): One of the following will constitute a major non-conformance: • greater than three MSDS/SDS are missing • MSDS/SDS not readily available for employee reference • single/isolated chemical/pesticide storage proximity issue • a chemical/pesticide is leaking but there is no contamination to products


• no MSDS/SDS are available • numerous chemical/pesticide storage proximity issue • a chemical/or pesticide is stored above food products • a chemical/pesticide has leaked directly onto a product/case

6.6 Break areas, locker rooms, rest rooms and hand wash sinks are maintained in a clean and

orderly manner. (Observation) Full conformance (15 points): Break areas, locker room, rest rooms and hand wash stations are to be clean and free of loose trash/refuse, mold or spillage residue. Observation confirms:

• drains should function properly (no standing water)


• rest room supplies shall be adequate and accessible (with warm water (85°F, 29°C or greater) within 30 seconds, toilet paper, paper towels or air dryers, and anti-microbial/bacterial soap.)

• rest room fixtures are in good operating condition and clean • ladies rest rooms and unisex rest rooms shall have covered sanitary receptacles in each stall • hand washing facilities are clean and available, have clean running water, are stocked and

being used. • no offensive odor shall be evident • all rest rooms shall have doors. No windows shall open directly into food storage areas. • trash cans shall be available in all break areas and rest rooms • break room, locker room and rest rooms cleaned daily


• one instance of non-conformance to the above requirements

Major non-conformance (5 point): The following will constitute a major non-conformance: • two instances of non-conformance to the above requirements

No points (0 points): No points will be awarded if one of the following situations is encountered:

• systematic failure to meet above requirements • three or more instances of non-conformance to the above requirements is evident • stocked hand wash stations are not readily available or are not used • one instance of a hand wash station with no warm water available within 30 seconds

7.0 PEST CONTROL 7.1 A documented pest management program is established. (Program - Documentation) Full Conformance - (15 points): Distributor must provide a documented pest management program. Program shall define:

• a designated pest management professional (PMP) or company name • frequency of scheduled services: minimum of monthly • list of Approved Pesticides used; type of pesticide with appropriate concentrations, where and

how it is applied • how unit inspections will be tracked and verified. • that all traps (applicable to rodents and insects), bait stations, glue boards and insect glue

light traps have an internal service label and be identified externally for ease of reference • service labels or reports provide confirmation of who inspected the unit and on what date

(punch card can correspond to the service report). Documentation:

• a dated and up-to-date (minimum annually) schematic map, which has all traps, bait stations, glue boards and insect glue light traps (insect zappers that cause the insects to explode and create a risk for product contamination are not allowed inside the facility) units identified for ease of reference


• single/isolated instance(s) of unclear or incomplete documentation • one element in above requirements is not documented • schematic map is not up to date, dated or complete

Major non-conformance (5 points): The following will constitute a major non-conformance:

• two or more elements in the above list of requirements are not documented


• scheduled service intervals are less frequent than monthly • monthly review not conducted • list of Approved Pesticides is not up-to-date or inclusive


• no written program/contract 7.2 Pest Management Professional is licensed, insured and certified (Documentation) Full Conformance - (10 points): Service shall be provided by a licensed, certified and insured Pest Management Professional or pest control service. A PMP from within the distributor’s organization who is licensed, insured and certified can apply pesticides or a PMP trainee, if local laws authorized. If on-site employee is certified, he/she may supervise someone else applying pesticides, as long as trainee has proof of training and meets local requirements. Under either scenario, copies of all training documents shall be maintained at the facility. License(s), insurance and certification must be current. A license and certificate may be the same in some locations. The distributor shall provide current copies of:

• pest management company's proof of indemnity insurance • license for company (updated as required) • certification for the PMP, any trainee or internal personnel involved in the program

In countries where certifications are not used, the distributor shall furnish documentation that the Pest Management Professional has formal and ongoing training. In some areas/regions, the application of non-restricted chemicals (ex: foggers for flying pests) does not require an applicator's license, however, there shall be evidence of training on file. Example: certification, exit exam, etc. Minor non-conformance (7 points): The following will constitute a minor non-conformance:

• one element in the above requirements is not on file or current Major non-conformance (3 points): The following will constitute a major non-conformance:

• two elements are not available or current No points: (0 points): No points will be awarded if any one of the following is evident:

• more than two elements are not available or current • pest management services conducted by non-certified or non-licensed individual, or

license/certification, etc. is expired 7.3 Pesticides are approved for use in a food handling facility. Material Safety Data Sheets

(MSDS/SDS) and pesticide labels are on file. (Documentation - Observation) Full Conformance - (15 points): All pesticides must be used in accordance with their labels. Documentation:

• pesticides used internally must be approved for use in a food handling facility. • pesticides used outside the facility to be used in accordance with regulatory guidelines • MSDS/SDS and sample labels must be legible and provided for each pesticide used • center has multilingual MSDS/SDS available if employees are of a second language, or has

an onsite translator Observation:

• MSDS/SDS must be readily available for employees' reference Non-commercial/unlicensed/unapproved pest management chemicals shall not be used in a food handling facility (example: cans of Raid).


AUDITOR: Choose two (2) currently used pesticides from the list of Approved Pesticides or Service Report and check for MSDS/SDS and labels. Note: If the center uses a faxable/online MSDS/SDS service, the document must be available within 10 minutes and there shall be appropriate signage and employee access to phones, fax machine and computers. Minor non-conformance (10 points): One of the following will constitute a minor non-conformance:

• MSDS/SDS and labels available, but filing system is disorganized making quick access to the information difficult for employees or auditor

• single/isolated instance(s) of missing or illegible MSDS/SDS and/or sample label • If using faxable/online MSDS/SDS service, MSDS/SDS not available within 10 minutes

limit

Major non-conformance (5 points): One of the following will constitute a major non-conformance: • greater than three MSDS/SDS and/or labels are missing for pesticide(s) found in use • MSDS/SDS not readily available for employee reference

No points: (0 points): No points will be awarded if any one of the following is evident:

• no MSDS/SDS and/or labels available • pesticides used internally are not approved for use in a food handling facility. • pesticides used outside the facility are not used in accordance with regulatory guidelines

7.4 Pest Management Professional service reports, including usage logs are current and

available for review. (Records) All Points - (10 points): Distributor shall provide service reports from the authorized Pest Management Professional or internal inspection service. The service logs shall be current for each application. Records to include:

• individual conducting service • services performed • date of service • pesticides listed are on list of Approved Pesticides • application method of each chemical agrees with the method of application noted in the

service contract and by the manufacturer. Moved from auditor note. • chemicals, quantities and concentrations used • signs of activity • scheduled follow-up based on pest activity, if necessary • corrective actions documented for frequent activity or other issues noted on service report or

separate report AUDITOR: Match PMP who fills out the service logs to the PMP who signs off on the traps, to the

PMP whose certification is in the book. Make sure all three match. Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• single/isolated instances of missing or incomplete information/records • frequencies do not match the minimum outlined in the pest management program


• numerous instances of missing or incomplete information/records


No points: (0 points):No points will be awarded if one of the following situations is encountered:

• no service reports • the number of incomplete records indicates systematic failure • more than two elements missing

7.5 There is no evidence of INTERNAL pest activity. (Observation) Full conformance (10 points): All areas should be free of "internal" pest activity. Observations will confirm:

• no evidence of pest or pest activity in the facility, including but not limited to: insects, cockroaches, rodents, spiders/webbing, rodents, lizards, ants, birds, cats, dogs, goats, or their excreta /pellets, etc

• no evidence of gnawed bags/cases of product • no decomposed rodent(s) or other animals (frogs, lizards, etc.) shall be found in traps, glue

boards or insect glue light traps • glue boards are free of significant insect/dust build up

Note: Insects should be at a very minimum on glue boards. Active cobwebs with spiders are considered pest activity; however, old, dusty cobwebs are evidence of poor housekeeping and should be scored in Internal Housekeeping – Question 3.1. Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• single/isolated instance of pest activity noted on the interior of the facility which does not pose an immediate threat of product/packing contamination

• freshly trapped rodent found in trap Major non-conformance (3 points): One of the following will constitute a major non-conformance:

• numerous instances of pest activity noted in the interior of the warehouse • pest activity which has the potential for contaminating product • numerous instances of significant insects/build up found on glue boards


• decomposed rodents in or outside of internal units • any observation of contaminated product, product contact material or product

packing • evidence of a live rodent (not in trap), a cockroach or an animal observed inside the

facility 7.6 There is no evidence of EXTERNAL pest activity. (Observation) Full conformance - (10 points): All areas shall be free of reoccurring/existing external pest activity. Observation confirms:

• no rodent activity (significant burrows, trails, excreta, tracks), animal spoor and/or bird nesting observed around the exterior perimeter of the facility (within 20 ft / 6 meters) or around trailers/containers

• no decomposed rodents or other animals (frogs, lizards, etc.) in or near bait stations or along perimeter

• no cats, dogs, chickens, goats or other animals • no significant insect or bird activity


Exterior bait stations shall be checked often and the dead rodent(s) removed. Decomposed rodent(s) or other animals shall not be evident. Gnawed rodenticide blocks (bait) and freshly trapped rodents should be noted as observations but no points are to be deducted.

Minor non-conformance (7 points): (There is no minor nonconformance category for this audit point.): Major non-conformance (3 points): The following will constitute a major non-conformance:

• single instance of rodent activity (including burrows, trails, excreta, tracks, animal spoor) and/or bird nesting observed around the exterior perimeter of the facility or trailers/containers

• single instance of other activity around the exterior perimeter of the facility or a trailer/container


• isolated instance of rodent, bird or pest activity (including burrows, trails, excreta, tracks, animal spoor) around building perimeter or trailers/containers

• any found decomposed rodent(s) or other animals (frogs, lizards, etc.) • any found cats, dogs, chickens, goats or other animals

7.7 The number and placement of INTERIOR traps are effective and do not pose the threat

of product contamination. (Observation) Full conformance (10 points): Below is a guide to the number and placement of traps and bait stations:

Observation confirms: INTERIOR Pest Control Units:

• dry food and packing storage areas and cool dock traps (can alternate with glue boards) shall be at a maximum of 25 foot (8 meters) intervals around all interior perimeters. Office areas are exempt. If a wall is less than 25 feet (8 meters), it shall have at least one device.

• freezers and coolers: doorways shall have one trap (no glue boards) located within 6 feet (2m) of both sides of entry doors, both inside and outside. (If there is any instance of wall/floor damage in coolers or freezers that would facilitate entry of rodents, additional traps should be present. Personnel doors between two temperature controlled storage areas (not the cool dock or areas that open to the outside) are exempt from having traps on both sides unless pest activity is noted.

• inside facility: traps (no glue boards) shall be placed within 6 feet (2 meters) of both sides of all exit/entry pedestrian doors (including in coolers and freezers) and dock doors

• traps should be positioned so that openings are parallel with and closest to the wall • glue boards must be maintained and in proper position, if used as alternatives to trap stations. • units shall be identified externally for ease of reference • interior of traps and bottom of glue boards shall have service labels clearly dated and initialed

with each treatment by the PMP on record. Electronic scan method or punch cards are acceptable as long as auditor can confirm the PMP who conducted service and the date of service.

• pest control devices shall be placed behind battery storage areas where practically feasible • In countries where bait stations are allowed inside storage areas by local regulations, the bait

must be solid - not granular - and secured inside an indestructible and locked bait station. • If used, insect glue light traps shall not be located over dock doors and must be at least 5 feet (1.5 meters) from protected or exposed product or packing material Hallways where product passes through are exempt from these distances. • no fly swatters shall be observed or used in product storage areas


Local regulations may require exceptions to above requirements. At all times local regulations must be adhered to.

Note: traps are encouraged in all practical areas of the center. High trafficked areas and areas that are constantly wet (ex: meat staging areas) to the extent that maintenance is prohibitive, may be excluded from trap requirements.

AUDITOR: Check approximately 10% of traps and Insect light glue traps. Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• single/isolated instance(s) of non-conformance to the above • single/isolated instance(s) of a fly swatter found in storage area


• numerous instances of non-conformance to the above • a pest control device which is positioned/maintained in such a manner that it has the

potential for contaminating product, packing or equipment • single/isolated instance(s) of improperly positioning or maintaining an insect light glue trap

unit in a storage or loading area • one instance of an electronic zapper that causes the insects to explode and can create a

risk for product contamination being used in the facility No points: (0 points): No points will be awarded if one of the following situations is encountered:

• systematic failure to one element above • one instance of a bait/poison inside the facility (in U.S.). Or an instance of

bait/poison inside a storage area with the potential for product contamination (outside U.S.)

• any observation of contamination to product, packing or product contact material/equipment by a pest control device

7.8 The number and placement of EXTERIOR pest control bait stations are effective and do not

pose a threat of product contamination. Bait stations are secured and tamper resistant. (Observation)

Full conformance (10 points): Below are the requirements to the number and placement of traps and bait stations: Observation confirms: EXTERIOR Pest Management Units shall be bait stations and:

• bait stations should be at a maximum of 50-foot (15 meters) intervals around the exterior of the building perimeter. Exceptions are made where access is easily gained by the public such as parking lots or sidewalks, exposed to school areas or areas of environmental concern.

• a bait station shall be within 20 feet (6 meters) of all outside dumpsters • bait stations shall be secured with either a ground rod, chain, glued to the wall/ground or

secured with patio blocks. All bait stations shall be tamper resistant through the use of screws, latches, locks or other effective means.

• block bait shall be secured inside the bait station by either a vertical or horizontal rod. No granular or pouched pellets of rodenticide shall be used. Granular ant bait is allowed inside the station if applied according to regulatory guidelines.

• bait stations shall not be missing entire bait or have very old or moldy bait • no bait shall be found outside the bait station • bait stations shall have service labels clearly dated and initialed with each treatment by the

PMP on record. Electronic scan method or punch cards are acceptable as long as auditor can confirm the PMP who conducted service and the date of service.


• units are identified externally for ease of reference • unlocking device for bait traps shall be available at the facility

Local regulations may require exceptions to above requirements. At all times local regulations must be adhered to. Baits containing rodenticide (poison) are not allowed inside the facility. AUDITOR: Check approximately 10% of bait stations. Auditor does not have to check bait stations beyond the immediate exterior of the building (ground wall juncture). Minor non-conformance (7 points): One of the following will constitute a minor non-conformance:

• single/isolated instance(s) of non-conformance to the above • no units within 20 feet 6 meters of outside dumpster areas


• numerous instances of non-conformance to the above. No points: (0 points): No points will be awarded if one of the following situations is encountered:

• systematic failure to one element above • one instance of bait found outside a bait station • unlocking device for bait traps is not available

7.9 All pesticides for center use and stored on-site are labeled and properly stored. (Observation) Full Conformance - (10 points): If pesticides are kept on site, they must follow the below requirements. Observation confirms:

• properly labeled • stored under lock and key in an area accessible to authorized personnel only • stored segregated from food and packaging products • glue boards are not classified as pesticides but shall be stored away from food products. • empty or full pesticide containers shall be labeled “for insecticide use only” or similar

AUDITOR: • This audit point shall be scored n/a if there are no pesticides for center’s use stored on-site. • Pesticides and chemical “For Sale” are scored in question 6.5


• single/isolated instance of a secured, empty or full pesticide containers not labeled "insecticide use only" or similar

• glue boards found stored with product Major non-conformance (3 points): The following will constitute a major non-conformance:

• numerous instances of secured, empty or full pesticide containers not labeled "insecticide use only" or similar


• pesticides are segregated on site, but not held under lock and key Not Auto Fail • unsecured pesticide found in general storage with food or packing material • any pesticide storage or pest control equipment maintenance issue which has

contaminated product or packing 8.0 TRANSPORTATION AUDIT


8.1 Yum Brands PRODUCT and TRAILER temperatures on deliveries are documented and

recorded. Driver thermometer is available, calibrated and in use. (Records - Observation) Full Conformance (10 points): Delivery driver is to verify and record product and trailer temperatures per below requirements with a thermometer guaranteed by manufacturer to be within +/- 1°F (0.6°C). Proof that thermometer in use is calibrated daily to be provided to the auditor. Driver Records shall be available and confirm:

• daily thermometer calibration (can be on warehouse records) • TRAILER: cooler and freezer ambient temperatures are recorded from trailer gauges twice

per route-day (beginning and near end of day) with center-specified ranges listed for comparison.

• PRODUCT: is delivered within Yum’s specifications. Yum product temperature ranges are listed as reference. STANDARD DELIVERY- temperatures of the following products are recorded twice per route-day.

Chilled: fresh chicken, (if applicable) and TB Shredded Lettuce, KFC Cole Slaw or PH Mushrooms*

Frozen: 1 meat and 1 breaded chicken or 1 cheese * *If designated products are not on the load, take temperatures of other products

KEY DROP DELIVERY- below product temperatures are recorded for each delivery.

1 produce, 1 fresh poultry, if applicable, or a refrigerated product if poultry is not available.

1 frozen meat product temperatures must be documented on the store’s invoice copy.

Observation: • driver is using a calibrated thermometer • auditor to confirm calibration by ice water

IMPORTANT: Any product temperature >2°F (1.0°C) outside of specification range, driver is required to record disposition of product.


• single/isolated missing or incomplete records Major non-conformance (3 points): One of the following will constitute a major non-conformance:

• records do not confirm thermometer calibration • numerous instances of missing or incomplete records • recorded ambient trailer temperature are not within center’s specified range • records do not include all appropriate Yum products, if present • single product delivered >2°F (1°C) outside of required range with corrective action noted • driver thermometer proven to be out of calibration by more than 1°F (.6°C).

No point (0 points): No points will be awarded if any one of the following is encountered:

• product or ambient trailer temperature requirements not available to driver • three or more instances of missing product or ambient trailer temperatures • no product or ambient trailer temperature records • driver does not have a thermometer. • required Key Drop product temperatures not recorded in customers invoice copy • single product delivered >2°F (1°C) outside of required range with no corrective

actions noted.


8.2 Auditor confirms Yum Brands PRODUCT temperature control methods are effective. (Observation) Full conformance (40 points): All Yum products conform to temperature requirements. Auditor to take temperatures inside the trailer at delivery Observation confirms: The following products (if present on the truck) meet Yum temperature specifications. If the following products are not present, another Yum product is to be substituted. (Accuracy of thermometer must be +/- 1°F [0.6°C] max.)

• TB Sliced green onions or shredded lettuce and frozen meat • PH Mushrooms or green peppers and frozen cheese or frozen meat • KFC Fresh chicken or Cole slaw and frozen breaded chicken

SCORING: - Observe and record on Worksheet #2 If one product temperature is out of the temperature specification range do the following: 1. Take 2 additional product temperatures using 2 different thermometers and temp same or

alternate case to verify temperature deviation. 2. If two out of three temperatures are out of matrix, use the highest (or lowest) temperature

taken and score per below. Record the temperature on score sheet. Product Temperatures: Score as:

Within specification Full 4 points ≤1°F (0.6° C) outside of spec range 3 points for that product >1°F to ≤2°F (>0.6° to 1.0 C) outside of spec 1 point for that product >2°F (>1.0°C) outside of spec range 0 points for that product and Auto Failure

U.S. AUDITORS - who inserted temperature monitors into product cases at center location. Score these items as n/a until data from monitors are returned to you. Upon receipt of data, take the lowest and highest temperatures of each monitor, per product and insert on the score sheet. See Temperature Monitor Procedures on STARnet. Minor non-conformance: Score as noted above. Major non-conformance: Score as noted above. No points (0 points): No points will be awarded if the following is encountered:

• monitor not returned to auditor • one product is found to be greater than 2°F outside of spec range.

8.3 Condition and integrity of PRODUCT on trailer, ready for delivery or delivered is not

compromised. All product is in the correct trailer section. (Observation) Full conformance (10 points): Auditor observes condition of product on truck Observation confirms:

• all items are loaded into the appropriate trailer compartment or in a manner that accomplishes effective temperature control .

• produce, sour cream, mayonnaise and oil-based dressings are not loaded within the 2ft (0.6m) x 2ft (0.6m) area at the juncture of the freezer bulkhead and the floor.

• all produce is loaded on a pallet. Slip-sheets can be used in addition to pallets, but pallets are mandatory.


• if distributed, PH mushrooms and TB green onions are on pallets and stacked to allow for maximum air circulation: open, netted shrink-wrap, corner stabilizers with straps, etc. No full plastic shrink wrap shall be used.

• fresh meat is loaded in a segregated manner (see details below) • chemicals are loaded in a segregated manner (see details below) • all product is loaded according to carton instructions (example: arrows pointing up!). Intl -

Crate arms to be in proper position to avoid crushing of product in crate below. • all product is loaded in good condition: no torn, punctured, leaking, opened, crushed, stained,

dirty, contaminated or damaged cases ready for delivery. • heavy items are not on top of fragile items (pre-fried shells, produce, etc.) • leaking or damaged products are segregated to prevent cross contamination and marked "Do

Not Use” or similar. • RAW MEATS: Raw proteins (poultry, beef, pork, fish, etc) are segregated, on a designated

pallet and protected to prevent cross contamination to unlike items. Pallet shall be shrink-wrapped and protected by a clean slip-sheet on all sides that are adjacent to unlike product, or in a manner that accomplishes effective segregation and approved by Yum Distribution QA

• CHEMICALS: Chemicals are segregated and not loaded on the same pallet as food, premiums or paper items. Chemicals shall be secured to prevent movement during transportation.


• one instance of the above requirements not met. Major non-conformance (3 points): The following will constitute a major non-conformance:

• two instances of the above requirements not being met

No points (0 points): No points will be awarded if any one of the following is encountered. • three or more instances of the above requirements not met. • fresh meat or chemical loaded in a way that poses potential product contamination • single observation of produce floor loaded • single instance of unauthorized chilled product loaded within the 2ft x 2ft (0.6m x 0.6m)

area at the juncture of the freezer bulkhead and the floor. • single observation of mushrooms or TB sliced green onions on pallet wrapped with

solid/standard shrink wrap. • a single product loaded into the incorrect trailer compartment affecting product

temperature control • single instance of product cross contamination

8.4. Driver's unloading process protects product integrity. (Observation) Full Conformance (10 points): Auditor will review driver's unloading process and temperature taking procedures. Observation confirms:

• trailer arrives at store with all trailer doors locked/sealed. • animals are not allowed in the trailer cab or trailer compartments • all trailer compartments remain closed and locked/sealed until unloading of that section

begins. When unloading is complete, the door to that section shall be closed and relocked/resealed.

• all products are handled per carton instructions (fragile, arrow up). • driver takes product temperatures by opening carton and placing thermometer against

primary packaging. Primary packaging is not to be punctured. • any cartons opened to take product temperatures shall be re-sealed/taped before delivered


• no "down-loading" of items onto outside ground during delivery. Cases must be fully protected from touching the ground.

• refrigerated and frozen items are delivered directly into the respective restaurant cooler or freezer immediately upon unloading from the trailer. The driver may leave the chilled and frozen product on floor inside restaurant if instructed to do so by personnel who are present

• chicken tubs to be loaded onto trailer segregated and protected from unlike products/packing. • during unloading, trailer door to be closed when trailer is unattended for any significant length

of time to protect product temperature and for product safety. Minor non-conformance (7 points): The following will constitute a minor non-conformance:

• single instance of product not delivered with arrows up Major non-conformance (3 points): One of the following will constitute a major non-conformance:

• single non-conformance to above • single instance of product downloaded allowing case to touch the ground.

No points (0 points): No points will be awarded if any one of the following is encountered.

• two or more non-conformances to above • refrigerated and frozen items not delivered directly into the correct restaurant cooler or

freezer. • single trailer door not relocked/resealed immediately after unloading or improper lock

management when trailer is unattended for any significant length of time during unloading (> 10 minutes).

• chicken tubs being returned are not segregated or protected from unlike product • single instance of driver puncturing outer case or primary packaging to take

product temperature. • all trailer doors not locked/sealed upon arrival at restaurant • all trailer doors not relocked/resealed before truck leaves restaurant

8.5 Products on the trailer ready for delivery to a Yum Brands restaurant are approved

items from approved suppliers and meet Shelf Life requirements. No expired products are found. (Record results on Worksheet #1.)

(Observation and Records) Full conformance (10 points): Auditor to review products on the truck ready for delivery to a Yum restaurant and confirm products are approved and from approved suppliers, and within shelf life. Auditor to:

• record the supplier name and/or id. • record the product code date information. • confirm products are approved and from an approved Yum Brands supplier, as verified by the

most recent Yum standards reference document. • confirm remaining shelf life on product meets minimum shelf life due the restaurant, as

confirmed by the most recent Yum standards reference document.

Auditor - Observe and record on Worksheet #2 Minor non-conformance: There is no minor non-conformance in this category. Major non-conformance: There is no major non-conformance in this category. No points (0 points): No points will be awarded if:

• any observation of a product that does not offer the minimum shelf life due the restaurant being delivered


• any observation of an unapproved item or item from an unapproved supplier • any observation of an expired product being delivered

8.6 Trailer equipment in good condition. (Observation) Full conformance (10 points): Auditor to evaluate delivery trailer condition. Observation confirms:

• trailer is clean. (appears clean to prevent cross contamination and/or offensive odors; drain holes are free of obstructions and exterior is clean).

• trailer is free of pest evidence or infestation. • trailer is sound: (walls/ceiling in good condition; no holes exposing insulation or

outside air; no cracks or panel separation; door seals are intact). • interior trailer lights are working and shielded with shatterproof covers and/or contain

shatterproof bulbs • trailer has clean curtains that are in good repair at each temperature controlled compartment

door. Only when raw meats are handled through the same compartment door as unlike product can curtains be removed to protect against cross contamination. This must be confirmed in writing by management. Note: curtains can be trimmed at bottom to allow driver to view ramp.

• bulkheads are in good repair (no exposed insulation) with no gaps (> ½ in [1.3 cm] x 3 in [7.6cm]) at walls floor or ceiling. Only approved insulating material, such as particle foam, must be used.

• cooling units in good repair • no cross contamination observed, such as blood/fresh meat trailer. • trailer inspected for tampering. Locks are intact, no evidence of foreign materials on

interior. • product transport dollies to be in good condition with no temporary repair to handles

that may be source of contamination.

Minor non-conformance (7 points): One of the following will constitute a minor non-conformance: • single instance of not meeting above requirements • single instance of a bulkhead condition or gap


• two or more instances of not meeting above requirements • two instances or more of bulkhead condition or gap • unapproved insulating material used to fill gaps or gaps are not filled. • curtains at temperature controlled compartment doors are in need of repair

No points (0 points): No points will be awarded if one of the following situations is encountered:

• any evidence of blood/fresh meat spillage in the trailer from a prior trailer load. • any evidence of insect or rodent infestation • potential product contamination exists • no curtains at temperature controlled compartment doors, as required • any evidence of product cross contamination • non-shatterproof or unshielded light bulb found exposed in trailer

8.7 Driver/helper personal hygiene and handling practices are sanitary. No cross

contamination practices are observed. (Observation)


Full conformance (10 points): Auditor to observe driver/helper handling and personal hygiene practices. Observation confirms:

• no evidence of personal food, eating, gum chewing, drinking or smoking/chewing tobacco in the trailer or restaurant delivery area.

• when delivering fresh meat (poultry, beef, pork, fish) the driver/helper must wash and sanitize his/her hands thoroughly (soap and hot water) after handling raw protein and also before handling unlike product. This includes chicken tubs whether full or empty.

• Driver and helper are well groomed and practice good personal hygiene Minor non-conformance: There is no minor non-conformance for this category. Major non-conformance (3 point): The following will constitute a major non-conformance:

• single evidence of personal food or drink, or gum chewing in the trailer or restaurant delivery area.

No points (0 points) No points will be awarded if any of the following is encountered:

• driver/helper seen eating, drinking, chewing gum or smoking/chewing tobacco in the trailer or restaurant

• driver/helper personal hygiene potential for product contamination • driver/helper not washing and sanitizing hands thoroughly after handling fresh

meat or cases/tubs (full or empty).

- end -
