Yum STAR食品安全(06英文版)

Yum! Brands Global Restaurants, Inc.(A&W Restaurants; KFC, Long John Silver’s; Pizza Hut, and Taco Bell)Food Safety Audit GuidelinesAudit and Approval Evaluation2006 revisionThese guidelines are for use in Approval and Ongoing Food Safety evaluations of food suppliers that supply products for Yum! Brands Global Restaurants, Inc.1. Points noted in parentheses (10 points) represent points earned.2. All criteria in BOLD PRINT are Automatic Failures (Non conformances for internationalmarkets) of the audit. Automatic Failures appear under the "No points" categories. Only the bolded line of criteria will results in immediate failure of this audit. Observation of any actual product contamination by a Yum! Brands auditor triggers an Automatic Failure of theaudit/evaluation; however, the audit shall be taken through to completion to identify any further issues.A utomatic failures of an Approval Audit will result in a Non-Approval rating.3. Each question scoring an Automatic Failure is to have a corrective action inserted into theAction Plan section of the score sheet. This information is to be completed by the auditor with the supplier's input.4. If a supplier's process makes it impossible to meet guidelines exactly as written, the suppliermay request a "Letter of Variance" from Yum! Brands R&D/QA. A "Letter of Variance" is issued only under extreme circumstances and only with the approval of the appropriate Yum! Brands QA Contact. The document shall be signed by the Yum! Brands QA contact and forwarded to the supplier. The supplier shall request and keep on file an updated"Letter of Variance" annually.5. Documentation faxed to the facility at time of audit is not acceptable.6. When guidelines refer to product, the reference is to any product manufactured for Yum!Brands restaurants' use.7. All Systems/procedures must be in place prior to a plant attaining Approved Status.AUDITOR is to ensure procedures are established even if Yum! Brands product is not yet being produced in facility.8. Those elements not applicable to the type of audit or the supplier being audited shall bedesignated as N/A on the score sheet.__________________________ DEFINITIONS __________________________Every deviation cannot be noted in the Guidelines, therefore the following will be used when scoring the audit:Full conformance means all Guideline requirements are metMinor nonconformance refers to single/isolated instance(s) of failure to meetGuideline requirementsMajor nonconformance’s refer to numerous instances of failure to meetGuideline requirementsNo points shall be given if there is systematic failure to meetGuideline requirementsNo points shall be awarded if there are no records, written programor proceduresAudit Sections:"Category" means the section being assessed (example: 1.0, 2.0,etc.)"Element" the specific bulleted requirement within the audit point(example: 1.1, 1.2, etc.)"Criteria" is the explanation of each audit pointFor the purposes of this audit/evaluation:"single" occurrence one instance"isolated" occurrences two or three instances"numerous" occurrences more than three instances"maintained" kept up-to-date and are on file at the facility being audited"established" written and implemented"documentation" established documents supplied to confirm Guidelinerequirements"program/procedures" written program or written procedures"records" actual data collected and maintained, based on the criteriaoutlined in the procedures. Auditor to review between 1%and 10% of records since the last audit, enough to get arepresentative sample. If issues are found, an additionalsample of records should be reviewed to determine if theissue is isolated or reoccurring. All record corrections shallbe single lined out (so that the correction can still be read)and initialed. White-out shall not be used in correctingrecords.GMP's Good Manufacturing Practicesfailure"significant" systematic"systematic" systems are not in place or obviously not fully implemented"meat" red and white meats (fish, seafood, beef, poultry, lambpork, etc.)"analytical tests" refers to the chemical, microbiological or instrumentaltesting used to verify compliance to Yum! Brandsspecification.Yum! Brands Global Restaurants reserves the right to audit all corrective actions noted on audits.In certain situations, multiple audit questions could be marked down for the same finding. In this situation, the auditor should use his/her best judgment and record the finding under the most appropriate audit point. Circumstances may warrant the auditor to mark down an issue in multiple locations.It is important to understand that local laws and practices may differ from certain audit guidelines. In all cases, the more restrictive requirement will prevail. It is important that the auditor realize these differences and judge the supplier accordingly.______________________________________________________________________AUDIT GUIDELINES1.0 PEST CONTROL(Documents faxed to the supplier at the time of audit are not acceptable.)1.1 A documented pest control program is established. Pest Control Operator (PCO)is licensed, insured and certified(Program - Documentation)All points (20 points): Supplier must provide a documented pest control program. The service shall be provided by a licensed, insured and certified Pest Control Operator, or the service may be provided by a licensed, insured and certified pest control service. A PCO from within the supplier's organization who is licensed, insured and certified can apply pesticides, or a Pest Control Operator trainee can apply pesticides if authorized under local laws to apply pesticides.A license and certificate may be one and the same in some locations, but the name must match the name signed on service reports. If on-site employee is certified, he/she may supervise someone else applying pesticides. Under either scenario, copies of all documents should be maintained at the facility. License(s), insurance and certification must be current.The program shall include:• a designated pest control operator (PCO) or company name• defined frequency of scheduled service intervals: shall be minimum monthly basis• how all traps, bait stations, glueboards and insectocutors shall be labeled (include PCO initials and date inspected• how unit inspections will be tracked. (Example: if electronic scanning of units is done or punch cards are used, that date and initials are on final report)• approved list of pesticides used in the plant: where they are applied and how they areapplied• up-to-date schematic map - map shall be dated and have all traps, bait stations, glue boards and insectocutors designated and identified in a way to allow for ease of tracking andtrending• pest control company's proof of liability insurance• license for company (updated as required)• certification for the PCOIn countries where certifications are not used/available, the supplier shall furnish documentation that pest control operator has formal and ongoing training.In some areas, the application of non-restricted chemicals (example: foggers for flying pests) does not require an applicator's license, however, all chemicals used in a facility are to be listed in the pest control program manual on an "approved list of chemicals," whether they are applied by licensed or non-licensed plant personnel.NOTE: Documentation faxed to the supplier at the time of the audit is not acceptable for adherence to the criteria. Points are to be deducted.Minor nonconformance (15 points): One of the following will constitute a minor nonconformance:• single/isolated instance(s) of unclear or incomplete documentation• one element of above requirements is not on file or current (frequency addressed as a major nonconformance)• schematic map is not up-to-date/complete• list of approved pesticides not up to date or completeMajor nonconformance (6 points): The following will constitute a major nonconformance:• two or more elements in the above list of requirements are not available or current• scheduled service intervals are less frequent than monthlyNo points: No points will be awarded if one of the following situations is encountered:• pest control services conducted by non-certified or non-licensed individual• more than two elements are not available or current• no program1.2 Pesticides are approved for use in a food manufacturing facility. Handling andmixing procedures, Material Safety Data Sheets (MSDS) and pesticide labels areon file. All pesticides are properly labeled and stored.(Documentation-Observation)Full Conformance: (15 points): All pesticides must be:• all pesticides must be approved for use in a food manufacturing facility• MSDS must be provided for pesticides used• MSDS must be readily available for employees' reference• labels and mix procedures shall be on fileIf pesticides are kept on site, they:• must be properly labeled• stored (according to MSDS) in a locked, secured area accessible to authorized personnel only• glue boards are not classified as pesticides but shall be stored away from food products • empty pesticide containers shall be labeled " for insecticide use only" or similarUnlicensed/unapproved pest control chemicals are not acceptable for use in a food processing plant (example: cans of Raid).Auditor to pick 3-4 chemicals that are applied in the plant and check for MSDS sheets and sample labels. Check to see if the PCO wrote in a new chemical in the manual that does not normally appear on the service log.NOTE: Glue boards are not considered pesticides.Hard copies of MSDS sheets shall be located in the plant.• If supplier subscribes to a faxable MSDS sheet service, the fax must be available within 10 minutes and there shall be appropriate signage and 24 hour access to phones and faxmachine.• Multi-lingual MSDS may also be available through a faxable MSDS service. Multilingual MSDS not required if translator on site.**NOTE: This is the only instance in which faxed documents at the time of a Yum! Brands audit are acceptable.Minor nonconformance (10 points): One of the following will constitute a minor nonconformance:• MSDS and labels available, but filing system or fax system are disorganized making quick access to the information difficult• single/isolated instance of missing MSDS and/or sample label• single/isolated instance(s) of pesticides secured on site, but not properly labeled• single/isolated empty pesticide container(s) not labeled "insecticide use only" or similar• glue boards found stored with food productsMajor nonconformance (5 point): One of the following will constitute a major nonconformance: • greater than three MSDS and/or labels are missing for pesticides (s) found in use• concentration mix directions are missing for pesticide(s) found in use• records indicate incorrect concentrations used for pesticides• numerous instances of pesticides secured on site, but not properly labeled• pesticides are segregated on site, but not held under lock and key• numerous empty pesticide containers not labeled "insecticide use only" or similarNo points: No points will be awarded if the following situation is encountered:• use of non-regulatory approved material.• pesticides not secured and/or labeled and found in common storage with food or packaging material• any pesticide storage or pest control equipment maintenance issue which hascontaminated product or packing1.3 PCO (Pest Control Operator) service reports, including usage logs, are current andavailable for review.(Records)All points (10 points): Supplier must provide service reports from the pest control organization or complete inspection records if service is performed internally. They must include:• individual conducting service• services performed• date of service• application method used• chemicals, quantities and concentrations used• signs of activity• scheduled follow-up based on pest activity, if necessary• corrective actions documented for frequent activity or other issues noted on service reports or separate reportThe service log records shall indicate the application method used for each chemical. The auditor is to verify that the application method agrees with the standards/methods of application noted in the service contract and by the manufacturer.AUDITOR: Match the PCO who fills out the service logs to the PCO who signs off on the traps, to the PCO whose certification is in the book, making sure all 3 match.Minor nonconformance (7 points): One of the following will constitute a minor nonconformance: • frequencies not matching those outlined in the pest control program• single/isolated instances of missing or incomplete information/records• single element missingMajor nonconformance (3 points): One of the following will constitute a major nonconformance: • numerous instances of missing or incomplete information/records• two elements missingNo 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 missing1.4 There is a pest activity trend report with corrective action(s) identified.(Records)All points (5 points): Documentation is available which:• identifies and analyzes pest activity• trend analysis for all pest control/monitoring devices (including traps, bait stations,glueboards, pheromone traps, insectocutors, electronic pulse units, etc.)• includes follow-up/corrective actions documented when a trend is identifiedThe auditor should look for a pictorial representation of activity by trap or station over time. All traps shall be included in review, however, only activity is diagrammed. This could be in the form of a Pareto chart, a frequency diagram or a checklist (Yum! Brands does not specify the type of chart to be used).Minor nonconformance (3 points): One of the following will constitute a minor nonconformance: • trend analysis is conducted, but follow up actions are not formalized• one type of pest control/monitoring device is not trended• single/isolated instance of missing recordsMajor nonconformance (1 points): One of the following will constitute a major nonconformance: • two types of pest control/monitoring devices are not trended• numerous instances of missing recordsNo points: No points will be awarded if one of the following situations is encountered:• there are no records kept of historical pest activity• more than two types of pest control/monitoring devices are not trended1.5There is no evidence of INTERNAL pest activity.(Observation)Full conformance (10 points): All areas should be free of reoccurring/existing "internal" pest activity. Specifically there shall be:• no reoccurring/existing rodent activity and/or bird nesting observed around the interiorperimeter of the facility• no evidence of live animals observed inside the facility such as cats, dogs, deer, etc.• no evidence of excreta/pellets• no evidence of pests including insects, spiders/webbing, rodents, lizards, ants or birds in the facility or on product, ingredient or packing• no evidence of gnawed bags/cases or rodents on stored stock or numerous excreta on the floor/shelves of any storage area• no decomposed rodent(s) or other animals (frogs, lizards, etc.) in traps. The interior traps shall be checked often and the dead rodent(s) or other animals removed• glueboards shall be free of significant insect build upNote: Any live insect activity is an issue and should be graded accordingly. Insects should be at a very minimum on glue boards. Active cobwebs with spiders are considered pest activity; however, old and dusty cobwebs are evidence of poor housekeeping and should be scored in section 3.3.Minor nonconformance (7 points) One of the following will constitute a minor nonconformance: • single/isolated instance(s) of pest activity noted on the interior of the facility which does not pose an immediate threat of product contamination• freshly trapped rodent found in trap (or internal bait station - International)Major nonconformance(3 points) One of the following will constitute a major nonconformance: • numerous instances of insect activity noted in the interior of the facility• insect activity which has the potential for contaminating product• numerous instances of significant numbers of insects found on glue boards• evidence of live animals observed inside the facilityNo points: No points will be awarded if one of the following situations is encountered:• decomposed rodents in traps• any observation of contaminated ingredient, product or product contact material1.6 There is no evidence of EXTERNAL pest activity.(Observation)Full conformance (10 points): All areas shall be free of reoccurring/existing external pest activity. Specifically there shall be:• no reoccurring/existing rodent activity (significant burrows, trails, excreta, tracks), animal spoors and/or bird nesting observed around the exterior perimeter of the facility (within 20 ft / 6 meters)• no decomposed rodent(s) or other animals (frogs, lizards, etc.) in bait stations or alongperimeterThe exterior bait stations shall be checked often and the dead rodent(s) removed. Decomposed rodent(s) or other animals shall not be evident and could render the bait stations ineffective. Gnawed rodenticide blocks (bait) and freshly trapped rodents should be noted as observations but no points should be deducted in this section.Minor nonconformance (7 points): The following will constitute a minor nonconformance:• single/isolated instance of reoccurring/existing rodent activity (burrows, trails, excreta,tracks, animal spoor) and/or bird nesting observed around the exterior perimeter of thefacility or trailers/containersMajor nonconformance (3 points): The following will constitute a major nonconformance:• numerous instances of reoccurring/existing activity around the exterior perimeter of the facility will be considered a major nonconformanceNo points: No points will be awarded if one of the following situations is encountered:• evidence of significant rodent activity (burrows, trails, excreta, tracks, animal spoor) • decomposed rodent(s) or other animals (frogs, lizards, etc.) in bait stations1.7 All pest control devices are located in such a manner as not to contaminateproduct, packing materials or equipment.(Observation)All points (10 points): Care is taken to locate pest control devices in such a manner that they do not pose a threat to contaminating product, packing or raw materials. This includes the following restrictions:• bait stations and other pesticides shall be used outside the facility. (In countries where bait inside a dry goods storage area is common practice, the bait station must be secured. The bait must not be granular and must be contained and secured inside a bait station)• if used, insectocutors shall be regularly cleaned out (kept free from a build-up of insects and debris which has the potential for "spilling over")• if used, insectocutors must be at least 10 feet (3 meters) from covered/protected product or packing material and at least 30 feet (10 meters) from exposed product, equipment, orpacking material. Insectocutors shall not be located above dock doors. Hallways where product passes through are exempt from these distances, as long as product does not stop or is not stored in hallway• If used, electronic pulse units (such as Vector Fly Systems) or units that solely capture by a glue board type paper shall not be located over dock doors and must be at least 5 feet (1.5 meters) from protected or exposed product or packing material• no fly swatters shall be evident in production or storage areasIn general, traps, glue boards and all pest control devices, including insectocutors, must be positioned and maintained in a manner to prevent contamination.Minor nonconformance: (7 points): One of the following will constitute a minor nonconformance:• one instance of improperly positioning or maintaining an insectocutor or electronic pulse unit in a storage or loading area (covered/protected product)• single/isolated instance of a fly swatter found in production or storage areaMajor nonconformance (3 points): One of the following will constitute a major nonconformance: • more than one instance of improperly positioning or maintaining an insectocutor orelectronic pulse unit in a storage or loading area (covered/protected product)• numerous instances of fly swatters found in production or storage areaNo points: No points will be awarded if one of the following situations is encountered:• one instance of bait/poison inside the facility (in U.S.), or an instance of bait/poison inside processing area or any area with the potential for product contamination• a pest control device which is positioned/maintained in such a manner that has the potential for product, food contact packaging, or food contact equipmentcontamination• any observation of contamination of product or product contact material1.8 The number and placement of pest control devices are effective. (Interior of facility). (Observation)All points (10 points): As a guide to number and placement of traps and bait stations:• traps shall be positioned at a maximum of 25 feet (8 meter) intervals around the interior perimeter of the building area and around interior perimeters of all walled-in dry food and packing storage areas, including cool docks. Office areas are exempt. If a wall is less than25 feet (8 meters) long, it shall have at least one device.• freezers and coolers shall have mechanical traps only located within 6 feet (2 meters) on both sides of entry doors, both inside and outside of the doorway. If there is any instance of wall/ floor damage on coolers or freezers that would facilitate entry of rodents, additional traps should be present.• inside the facility, only traps (no glue boards) shall be placed within 6 feet (2 meters) of both sides of all outside exit/entry doors (including coolers and freezers). This includes both sides of the pedestrian doors. Effort shall be made to avoid placing traps on curbing.• traps should be positioned so that openings are parallel with and closest to the wall• glue boards must be maintained and in proper positions if used as alternatives to trapstations (elsewhere than either side of entry doors).• if mechanical wind-up traps are used, they must be wound. Winding is checked bytriggering the spring device to operate the trap. The trap must be rewound after testing. • approximately 10% of all pest control units shall be checked by the auditor• traps are encouraged in all practical areas of the plant, including production areas. High trafficked areas and areas that are constantly wet may be excused from trap requirements (ex: poultry cooler or other frequent wash down areas) where maintenance and consistent performance is prohibitive. No exemptions will be granted for trap placement by exterior doors.• interior of traps, bottom of glue boards shall have service labels dated and initialed after each treatment by the recorded PCO. (Electronic scan method or punch cards areacceptable as long as PCO initials/signature are on final report, and the cards/scan codes are inside the device requiring the PCO to open the station.)Local regulations may require exceptions/differences to above guidelines. At all times, local regulations must be met.Minor nonconformance (7 points): One of the following will constitute a minor nonconformance: • single/isolated instance(s) of traps and glue boards not working properly or inadequately maintained• single instance of missing trap or glue boardMajor nonconformance (3 points): One of the following will constitute a major nonconformance: • isolated instances of a missing trap or glue board• numerous combined instances of traps or glue boards not working properly or inadequately maintained• traps or glue board not positioned at proper intervals• traps or glue boards found without service label or dateNo points: No points will be awarded if one of the following situations is encountered:• numerous incidences of traps or glue boards not used where GMP’s would allow their use • systematic failure to maintain traps and glueboards1.9 The number and placement of traps and bait stations are effective. Bait stations aresecured and tamper resistant. (Exterior of facility)(Observation)All points (10 points): As a guide to number and placement of traps and bait stations:• bait stations shall be positioned at maximum of 50 foot (15 meters) intervals around the exterior of the building perimeter, except where there is public access. (Public access is defined as access easily gained by the general public such as parking lots or sidewalks, school areas or area of environmental concern.)• bait stations shall be secured to minimize movement of the device and be tamper resistant.Bait stations shall be secured with either a ground rod or a chain, or glued to thewall/ground, or secured with patio blocks. Bait stations must be tamper resistant through the use of screws, latches, locks or by other effective means• bait in bait stations shall be secured inside the bait station by a rod (horizontal or vertical) above the floor of the station, or the bait station is designed so bait cannot be removed by a rodent or "float away" in a heavy rain. No loose or granular rodenticide to be used.• no bait stations shall be missing entire bait• no bait shall be found outside bait station• no old or moldy bait observed• exterior stations should be within 20 feet (6 meters) of outside dumpster areas• approximately 10% of the pest control units shall be checked by the auditor (auditor does not have to check bait station/traps beyond the immediate exterior junction of structure and ground)• interior of traps/bait stations shall have service labels dated and initialed after eachtreatment by the recorded PCO. (Electronic scan method or punch cards are acceptable as long as PCO initials/signature are on final report, and the cards/scan codes are inside the device requiring the PCO to open the station.)• unlocking device for bait traps should be available at the facilityMinor nonconformance (7 points): One of the following will constitute a minor nonconformance: • single/isolated instance(s) of traps or bait stations not working properly or inadequately maintained (all are present)• single instance of missing trap or bait station• single/isolated instance(s) of improperly securing and/or making a bait station tamperresistant• single/isolated instance(s) of unsecured bait inside bait stations• single/isolated instance(s) of bait stations missing bait or having moldy baitMajor nonconformance (3 points): One of the following will constitute a major nonconformance: • isolated instance(s) of a missing trap or bait station• numerous combined instances of traps or bait stations not working properly or inadequately maintained• numerous instances of improperly securing and/or making a bait station tamper resistant • numerous instances of unsecured bait inside bait station。