Page 417 - Onboarding May 2017

C4-Managing relationship and contractual obligations with
R3-Continuity of supply Distributor Services Agreement
distributors through period review of the Distributor Services
Distributor BP 200 Distributor Status Change Logistics R4-Food Safety Agreement (DSA) & C53-Market Distribution Agreement (MDA) Periodic Preventive P1 QA's Email
Relationship Corrective
Management R5-Compromised product quality C15-CSCS holds joint and collaborative discussions with QA to Market Distribution Agreement
determine a solution
Supplier/ Distributor Funding
C16-Managing relationship and contractual obligation with Questionnaire on brand
R11-Fradulent activities which are subject of public suppliers/distributors through Supplier/ Distributor Funding registration website and Approval
scrutiny and investigation Questionnaire and Approval
BP 210 Distributor Funding & Contributions Logistics Periodic Preventive P1 CSCS Code of Conduct
R9-Damage to brand and company reputation by C29-Follow CSCS Code of Conduct
unethical behavior or incompetence Reconciliation Spreadsheet
C32-Segregation of duties showing committed vs. received
amounts
C4-Managing relationship and contractual obligations with
distributors through period review of the Distributor Services
R4- Food Safety Agreement (DSA) & C53-Market Distribution Agreement (MDA). Preventive Distributor Services Agreement
BP 230 Facility Audits Logistics R9, R15, R16 Periodic P1
R5-Compromised product quality C15-CSCS holds joint and collaborative discussions with QA to Corrective QA's Audit Database
determine a solution
R11-Fradulent activities which are subject of public
scrutiny and investigation
R12-Legally unsound contracts heavily biased in C4-Managing relationship and contractual obligations with
distributor’s favor distributors through period review of the Distributor Services
BP 520 Distributor Contracts Logistics R1, R2, R4, Agreement (DSA) and C53-Market Distribution Agreement (MDA). Periodic Preventive P1 Distributor Services Agreement
R5, R9
R13-Exploited and manipulated by monopolies,
cartels and hostile contractors
R14-1-Poorly designed contracts' terms and
conditions
Procurement/ R3-Continuity of supply C15-DineEquity's risk management function initiates conversations Periodic P1 Correspondence between CSCS
and QA and supplier
between parties to determine a solution.
Brand
BP 630 Critical Event Management (Storms, Fire, etc.) R18 Corrective
Product Management/ R4-Food Safety C36-Maintain data visibility around products, vendors, and Continuous P1 HAVI (CSCS Integrated Supply
Logistics
Management & suppliers to quickly react to unexpected events Chain System)
Enforcement Procurement/ R4-Food Safety C15-CSCS holds joint and collaborative discussions with QA and Email correspondence between
supplier to determine a solution
CSCS and QA
Logistics /
BP 660 Quality Holds on Products at Supplier or DC R9 Periodic Preventive P1
Brand R5-Compromised product quality C36-Maintain data visibility around products, vendors, and HAVI (CSCS Integrated Supply
Management
suppliers to quickly react to unexpected events Chain System)
Authorization by different
personnel
C32-Segregation of duties
Contract Guidelines
Rebate Procurement/ R11-Fradulent activities which are subject of public C29-Follow CSCS Code of Conduct
Management BP 47 Freight Rebates Administration scrutiny and investigation R9, R18 Continuous Preventive P1 CSCS Code of Conduct
C54-Executed Freight Agreements
C55-Volume Report from Distributor Executed Freight Agreements
Volume Report from Distributor
C32-Segregation of duties
Produce DC R4-Food Safety C54-Executed Produce Distribution Agreements Executed Produce Distribution
Agreement
Compliance BP 690 Produce Distributor Compliance Logistics R5-Compromised product quality R9, R11, R18 Continuous Preventive P1
C55-Volume Report from Distributor and Danaco (Third-party DC Volume Report (Danaco)
Produce Solution)
PROCUREMENT
Control Characteristics
Business Process BP ID Business Process Name CSCS Primary Risk (s) Secondary CONTROL ACTIVITY (IES) Control Frequency Control Primary 1 (P1 - Critical Control), EVIDENCE OF CONTROL
Category Business Unit Risk (s) (continuous, daily, Nature Primary 2 (P2 - Significant Control),
monthly, periodic) Secondary (S)
C1-Managing relationship and contractual obligations with Review of Mutual Confidentiality
R1-Ineligible supplier or distributor who does not DineEquity and Brand through periodic review of Mutual Agreement / Rules of
BP100 New Supplier Procurement meet CSCS and DineEquity's standards and R2, R3, R4, Confidentiality Agreement / Rules of Engagement (MCA/ROE) Periodic Preventive P2 Engagement (MCA/ROE)
R5, R9
qualifications Havi Registration
C29-Follow CSCS Code of Conduct CSCS Code of Conduct
C6-Selecting eligible supplier based on reviewing responses from Havi
R1-Ineligible supplier or distributor who does not Request for Proposal (RFP) process, if applicable
BP110 Supplier Selection / Approval Procurement meet CSCS and DineEquity's standards and R2, R3, R4, Periodic Preventive P1 Emails between CSCS and QA
R5, R9
qualifications C7-CSCS engages QA in the selection process. CSCS does not
move forward with final contracting without QA approval Facility Approval
R1-Ineligible supplier or distributor who does not C6-Selecting eligible supplier based on reviewing responses from Brand notifications
Request for Proposal (RFP) process, if applicable
meet CSCS and DineEquity's standards and R2, R4, R5,
BP120 Sole Source Supplier Approval Procurement qualifications R9, R17, R18- C7-CSCS engages brands and QA in this process. CSCS does not Periodic Preventive P1 Review with the Board evident in
Board Material
1
R3-Continuity of supply move forward with final contracting without QA and brands'
approval. Category managers submit business cases to brands. Cost savings database & ideas
C1-Managing relationship and contractual obligations with
DineEquity and Brand through periodic review of Mutual
R1-Ineligible supplier or distributor who does not Confidentiality Agreement / Rules of Engagement (MCA/ROE) Review of Mutual Confidentiality
meet CSCS and DineEquity's standards and R2, R3, R4, Agreement / Rules of
BP125 Supplier Selection for Proprietary Product Procurement qualifications R5, R9, R17, C6-Selecting eligible supplier based on reviewing responses from Periodic Preventive P1 Engagement (MCA/ROE)
R18-1 Request for Proposal (RFP) process, where applicable
R22-Leak of Confidential Information Brand notifications
C7-CSCS engages brands in the process. CSCS does not move
forward with final contracting without brands' approval
BP 140 Facility Approval Procurement / R4-Food Safety R3, R5 C7-CSCS engages QA in this process. CSCS does not move Periodic Preventive P1 Correspondence between CSCS
Logistics forward with final contracting without QA approval and QA showing QA's approval
Correspondence between CSCS
R2-Ineligible product which does not meet CSCS C7-CSCS engages QA, brands, and supplier in the process. CSCS and QA showing QA's approval
and DineEquity's standards and qualifications (For Food only)
BP 150 Product Approval (Food and Non-food) Procurement R3, R4, R9 does not move forward with final contracting without QA and Periodic Preventive P1
Supplier R5-Compromised product quality brands' approval Approved Supplier and Product
List by QA (For Food only)
Relationship
Management Procurement/ R3-Continuity of supply C13-Monitoring key, high-risk, and high-value inventory through Brand Emails
Authorization for Inventory Purchase, where applicable
BP160 & Supplier Performance Management (DE or CSCS Issues) Brand R4-Food Safety R2, R15, Continuous Preventive S
BP170 R17, R18-1 PRC Program Summary, if
Management C15-CSCS holds joint and collaborative discussions with QA and applicable
R5-Compromised product quality supplier to determine a solution through Alternate Sourcing Process