Packaging Supplier Facility Audit

2010 version
by Plant

Supplier Information

Supplier Company:
Audit Location:
Country:

Audit Date: Status:

Type of Audit: Concept(s)
:
To be Reviewed by:

Score Summary
CRITERIA SCORE WEIGHTING WEIGHTED SCORE

1.0 Pest Control 15%

2.0 Sanitation 15%

3.0 Operations and Facility 15%

4.0 Good Manufacturing Practices 15%

5.0 Product Protection 20%

6.0 Product Recovery and Security

20%
100%

Total Score

AUDITOR: Has this audit passed or failed?

Auditor's Signature: Suppliers Representative's Signature:

__________________________________________ __________________________________________
NOTE: This Yum! Brands Audit is proprietary to Yum! Brands.
Supplier's signature authorizes release of this audit report to Yum! Brands.
 Packaging Supplier Facility Audit
2003 version
by Plant

Supplier Information
Company:
Plant Location:
Audit Date:

Auditor(s) Supplier Representatives

1.0 Pest Control Score Comments

1.1 A documented pest control program 20–15-6-0 Automatic failure
is established.
1.2 Pesticides are approved for use in a 15–10-5-0 Automatic failure
food manufacturing facility*.
Handling and mixing procedures,
Material Safety Data Sheets (MSDS)
and pesticide labels are on file. All
pesticides are properly labeled and
stored.
1.3 PCO (Pest Control Operator) service 10-7-3-0
reports, including usage logs, are
current and available for review.
1.4 There is a pest activity trend report with 5-3-1-0
corrective action(s) identified.
1.5 There is no evidence of INTERNAL 10-7-3-0 Automatic failure
pest activity.

1.6 There is no evidence of EXTERNAL 10-7-3-0 Automatic failure

pest activity.

1.7 All pest control devices are located in 10-7-3-0 Automatic failure
such a manner as not to contaminate
product, packing materials or
equipment.
1.8 The number and placement of pest 10-7-3-0
control devices are effective. (Interior of
facility).
1.9 The number and placement of traps and 10-7-3-0
bait stations are effective. Bait stations
are secured and tamper resistant.
(Exterior of facility)

Possible Points:
Total Points:
 2.0 Sanitation Score Comments
2.1 A master sanitation program is 15-10-5-0 Automatic failure
established.
2.2 A training program for the sanitation 10-7-3-0
crew has been established.
2.3 Cleaning and sanitizing chemicals 15-10-5-0 Automatic failure
are approved for use in the facility.
MSDS and labels are available.
2.4 Cleaning equipment and chemicals 10-7-3-0- N/A Automatic failure
are properly stored.
2.5 Cleaner and sanitizer concentrations 10-7-3-0- N/A
and applications comply with the
Sanitation Program.
2.6 Adequate machinery maintenance and 15-10-5-0- N/A
effective cleaning practices are evident.
2.7 Water quality testing and monitoring 15-10-5-0 Automatic failure

2.8 Equipment design and condition allow 10-7-3-0

for proper cleaning.
Possible Points:
Total Points:

3.0 Operations and Facility Score Comments

3.1 A maintenance related product 10-7-3-0 Automatic failure
safety program is established.
Records are maintained.
3.2 Procedures for monthly facility 5-3-1-0
inspections (including production areas,
non-production areas and surrounding
grounds) are established. Records are
maintained.
3.3 Housekeeping is acceptable for 10-7-3-0 Automatic failure
INTERIOR of the facility.
3.4 Housekeeping is acceptable for 10-7-3-0
EXTERIOR grounds of the facility.
3.5 Facility repairs are complete for 5-3-1-0 Automatic failure
equipment, physical structure, walls,
floors, and ceilings with no
temporary repair materials used.
3.6 A minimum 18" (46 cm) inspection 5-3-1-0
perimeter is maintained throughout the
storage areas.
3.7 Doors and openings are pest resistant. 5-3-1-0
3.8 Walkways, permanent ladders and 5-3-1-0- N/A Automatic failure
conveyors are shielded to protect
product and packing materials from
possible contamination.
3.9 Lights and other breakable materials 10-7-3-0 Automatic failure
are shielded to prevent potential
contamination. Facility shall have a
glass policy.
3.10 Break areas, locker rooms, restrooms 5-3-1-0
and wash stations are maintained in a
clean and orderly manner.
3.11 Air ventilation through the facility is 5-3-1-0- N/A Automatic failure
adequate with no odors or airborne
contaminants which could carry
over to product.
3.12 Forklifts and batteries are well 5-3-1-0
maintained and properly stored.
3.13 Idle equipment and spare parts are 5-3-1-0
properly cleaned and stored.
3.14 All containers are properly labeled. 5-3-1-0

3.15 All potentially hazardous materials 10-7-3-0 Automatic failure

and non-food grade lubricants that
may contaminate product or packing
materials are not potential food
contact risks.
Possible Points:
Total Points:

4.0 Good Manufacturing Practices Score Comments

4.1 GMP Program is established. Signs 15-10-5-0
supporting GMPs are posted
appropriately.
4.2 Self-audits on GMP points are 15-10-5-0
conducted at a minimum monthly and
include corrective action.
4.3 Employees are complying to GMPs. 20-15-6-0 Automatic failure

4.4 Personal items are stored away from 10-7-3-0- N/A

processing areas.
4.5 Medical problems are not a source 10-0 Automatic failure
of contamination.
4.6 Hand washing facilities are adequate 10-7-3-0 Automatic failure
and are used.
4.7 Signs supporting hand washing are 5-3-1-0
posted appropriately.
4.8 Work areas are orderly with tools and 10-7-3-0
processing supplies properly stored.
4.9 Facility and personnel adhere to Good 5-3-1-0- N/A
Laboratory practices which are
understood by all personnel
responsible for laboratory testing.
Possible Points:
Total Points:
 5.0 Product Protection Score Comments
5.1 There are no actual or potential 30-0 Automatic failure
instances of product
adulteration/contamination
observed.
5.2 Foreign material/QA control 30-20-10-0 Automatic failure
devices/methods are used and
evaluated to ensure proper
operation.
5.3 Adequate product/case tracking 15-10-5-0
systems are in place.
5.4 Supplier has an approved supplier 25-18-9-0
program established for all raw material
suppliers.
Possible Points:
Total Points:

6.0 Product Recovery Score Comments

6.1 A documented Product Recall 15-10-5-0 Automatic failure
program is established.
6.2 Contact Lists are maintained for 10-7-3-0 Automatic failure
product recoveries.

6.3 A Mock Recovery Program is 10-7-3-0 Automatic failure

established.
6.4 Supplier conducts "annual" Internal 15-10-5-0 Automatic failure
Mock Recovery.
6.5 Auditor verifies supplier can 15-10-5-0 Automatic failure
identify, track and locate 100% of
raw materials used in Yum! Brands
product to finished Yum! Brands
product lots and on to first external
customer "within 2 hours".
6.6 A documented Food Security 15-10-5-0 Automatic failure
Program is established.
6.7 An annual program is established to 10-7-3-0
review the Food Security Program.
Records with corrective actions are
available.
6.8 Measures are in place to ensure 10-7-3-0
product and facility security.
Possible Points:
Total Points: