TL Quality Self-Audit Step 1 of 16 6% SUPPLIER QUALITY QUESTIONNAIREFacility Name Name of person completing this form First Last Email CERTIFICATIONSIs this facility currently accredited against a GFSI recognized Food Safety Standard or Quality Management system? Yes No What Quality Management and/or GFSI Standard? BRC FSSC22000 SQF IFS ISO22000 SYNERGY 22000 ISO 9000 SA 8000 ISO 14000 ISO 18000 TASCC GMP HACCP HARCP GAP BAP GFSI What is the frequency of the third party audits? When was the last audit conducted? What was the result of the audit? What is the name of the certification body? Is this facility certified under any of the following programs? (Please send certificate) Kosher Halal EU Organic Non-GMO Gluten-free Vegan Carbon-free Allergen Statement Fair trade Does the company have a Liability and recall Insurance? Yes No REGULATORY AUDITS AND LEGISLATIONHas this facility been audited or inspected by US FDA or USDA? Yes No What date was this inspection done? Does the facility comply with all government legislation pertaining to food within the country of manufacture and the countries to which it is sold? Yes No Has the company ever had any food products rejected by the US FDA, USDA, equivalent organization of other countries or that of the resident country in the last 5 years? Yes No If yes, please specify the details.Is the facility registered with the US FDA? Yes No What is the registration number? INTERNAL AUDITSDo you use internal hygiene audits to verify food safety and hygiene standards? Yes No Are these audits documented? Yes No What is the frequency of these audits? Are these audits reviewed by management? Yes No Are monthly GMP audits performed at the facility with procedures for correction of items out of compliance? Yes No Are you prepared to allow employees to visit your plant and to inspect and assess your operation? Yes No HAZARD ANALYSIS AND FOOD DEFENSE PROGRAMSWho is the person primarily responsible for the implementation and maintainance of the HACCP Program?Is there a HACCP team? Yes No Are meetings held at regular intervals? Yes No Does the management team evaluate the effectiveness of the HACCP system on an annual basis? Yes No Are microbiological, chemical and physical hazards are considered in the HACCP Plan? Yes No Please specify how each hazard is controlled in your facilityWhen was the HACCP plan last revised by the HACCP team?Has the HACCP plan been reviewed and or certified by a third party? Yes No When was the HARPC plan revised by the HACCP team?Have any hazards been identified for the HARPC plan? Yes No What Preventative controls have been put in place to mitigate these hazards?Is there an effectctive monitoring program to provide assurance that preventative controls are consistently being performed? Yes No Is there documented verification that the preventative controls are effective? Yes No Is there currently a brittle plastic/glass policy in place? Yes No Does the company have a Food Defense Plan? Yes No Is the access to the facility secured and under surveillance? Yes No Are background checks completed on new employees? Yes No Are measures in place to prevent sabotage? Yes No Does the facility have procedures that restrict non-employees access to the facility? Yes No Does this facility have a documented shipping and receiving program for all vehicles arriving and departing? Yes No Does the facility have documented outbound trailer inspection procedures? Yes No Are tamper evident seals applied by a trained company employee on all shipments before they depart the facility? Yes No Does this company participate in C-TPAT or any other equivalent WCO accredited security program? Yes No GOOD MANUFACTURING PRACTICES - FACILITIESIs the facility located, designed, constructed and maintained to prevent contamination and allow safe production of product? Yes No Are facility buildings, roofs, walls and floors of suitable construction and designed to facilitate maintainance and sanitary operations? Yes No Are doors and windows designed and maintained to prevent pests from entering the facility? Yes No Are restrooms facilities and handwash stations adequate, stocked and in good repair? Yes No Are employees provided lunchrooms/breakrooms or other eating facilities clearly segregated from the food production area? Yes No Are staff facilities designed to ensure separation of private and working clothes? Yes No What year was the manufacturing facility built? When was the facility/processing lines last remodeled or refurbished? What is the size of the manufacturing facility? How many employees? Please list all the products manufactured by this facility GOOD MANUFACTURING PRACTICES - EQUIPMENT MAINTAINANCE AND CALIBRATIONIs there a written and implemented preventative maintainance program? Yes No Is there a procedure in place to cover temporary repairs? Yes No Are food grade lubricants used where there is possibility of cross-contamination? Yes No Is stainless steel the only metal which food ingredients contact? Yes No Is there a system for regular calibration of relevant instruments? Yes No GOOD MANUFACTURING PRACTICES - SANITATIONIs there a documented sanitation program? Yes No Is the Master sanitation schedule documented and followed that encompasses all areas of the facilities? Yes No Is cleaning effectiveness verified through documented inspections of processing/packaging equipment prior to line start-up/restart using swabs? Yes No Are cleaning staff trained to comply with cleaning schedules? Yes No Who is responsible for the implementation and compliance reviews of the plant sanitation schedule? Are there SSOPs (Sanitation Standard Operating Procedures) documented and followed? Yes No How often are food contact surfaces, including utensils, cleaned and sanitized to keep them free from physical and chemical contamination and to reduce microbial population? How often are non-food contact surfaces cleaned to prevent contamination or adulteration? Are only food-grade cleaning compounds used and properly labeled, stored and identified? Yes No Is there a colour coding system used for utensils, brooms, mops, trash containers and food contact items? Yes No GOOD MANUFACTURING PRACTICES - PEST CONTROLIs there an ongoing pest management program for insects, rodents and bird control? Yes No Is a third party Pest Control company utilized? Yes No If yes, please indicate which company How frequently do they service? Are premises secured to prevent entrance of pests and is this controlled and documented? Yes No Are corrective actions documented by the Pest Control company? Yes No Is Fumigation done before shipping? Yes No If yes, please indicate the Fumigant used Is this treatment done as per customer request? Yes No Is there a licensed or trained pest control operator at the facility? Yes No Are records of the Pest control logs maintained? Yes No If yes, for how long? Are all pesticides, chemicals and other compounds stored onsite for pest control properly labeled and kept in locked secured areas away from any food storage or processing area? Yes No Are all pesticides, chemicals and other compounds stored on site for pest control allowed for usage under organic regulations? Yes No How does the company control pesticides on the product? Is there annual pesticide testing? Yes No Are the results available? Yes No GOOD MANUFACTURING PRACTICES - PERSONNEL TRAINING AND PRACTICESIs there a documented Good Manufacturing Practices (GMPs) program in place? Yes No Are employees trained at hire and on an annual basis at minimum? Yes No Are employees routinely trained in job performance and food safety issues? Yes No Are employees required to wear protective coverings such as coats, hairnets, beard covers, gloves and boots while in areas where food products are exposed? Yes No Is there a jewelry policy in place within the food processing area of the facility? Yes No Do employees practice good personal hygiene and are proper hand washing procedures followed by staff, contractors and visitors? Yes No Are there documented policies restricting employees with infectious diseases, conditions or open wounds from handling products? Yes No Are there documented training programs in place? Yes No Is the management of the facility trained in areas of food safety, including HACCP related activities, sanitation procedures and GMPs? Yes No Is eating, drinking and smoking prohibited in the production area? Yes No Are medical screening procedures in place for all employees, contractors and visitors who will be entering the production area? Yes No Is there any training given to wildcrafters or consolidators? Yes No Third parties are not involved in production GOOD MANUFACTURING PRACTICES - RECALL AND TRACEABILITYDoes this facility have a documented Recall and Traceability system in place? Yes No How often are mock recalls done? When did this facility conduct its last mock recall exercise? What % recovery was obtained? Has this facility or any of its products ever been involved in a recall or market withdrawal? Yes No If yes, please provide detailsWas a root cause analysis done? Yes No Are all ingredients traceable to the original source, including farm, country/region, storage, transportation, processing facilities? Yes No Does this facility have a documented crisis management program in addition to the product recall program? Yes No Please provide an example of a lot number Please describe in detail how you formulate the lot numbers and what these number representPlease describe the traceability system in detailHave you ever had a sale for any of your food products rejected by a direct or indirect customer due to a food safety concern in the last 5 years? Yes No If yes, please provide details and resolutionHave you rejected purchases of any food products from your suppliers in the last 5 years due to a food safety concern? Yes No If yes, please provide details and resolutionIs the company able to trace products within 4hrs in case of an emergency? Yes No Is a delivery always from a single unique batch? Yes No GOOD MANUFACTURING PRACTICES - ALLERGEN AND CHEMICAL CONTROL PROGRAMDoes the facility have a documented allergen control program in place? Yes No Does this facility have dedicated systems/lines for products containing allergens? Yes No Are you able to guarantee allergen free production Yes No If the production lines are not dedicated, please briefly describe your cleaning procedures to prevent cross-contaminationDoes this facility use separate scheduling and sanitation as part of its allergen control program and is this documented? Yes No Does the facility use dedicated personnel and equipment to specify allergen related products or processes? Yes No How do you verify that allergens have been cleaned from the production lines?Have the employees and management received allergen awareness training and is this training documented? Yes No Are allergens handled in the facility? Yes No List all allergens in the facilityAre allergen containing ingredients segregated in storage? Yes No Does the manufactured product contains allergens? Yes No Is there a procedure for receiving relevant allergen information from suppliers? Yes No Are allergen hazards considered as part of the HACCP plan? Yes No Is all relevant allergen information mentioned in the specification(s), including "may contain traces of " Yes No If no, please commentHave you had any recalls due to allergens during the last 2 years? Yes No If yes, please add comments about the corrective actionsAre raw materials, intermediates and finished products containing allergens handled on site identified and listed? Yes No If no please add commentIs there a documented chemical control program? Yes No Are all chemicals (cleaners and sanitizers) approved for the intended use and allowed for usage under organic regulations? Yes No Are all cleaners and sanitizers labeled and used for specific purposes only? Yes No GOOD MANUFACTURING PRACTICES - CUSTOMER COMPLAINT PROGRAMDoes the company have a documented Customer complaint program? Yes No What actions are taken when a complaint is received about one of your products, please give detailsIs the program effective and are complaints handled efficiently? Yes No QUALITY CONTROL - PROCEDURES/PROCESS CONTROLSIs there a Quality Assurance manual? Yes No Does this document include an organizational chart that indicates which positions are responsible for compliance to the QA/QC system? Yes No Is there a vendor approval program in place for your raw material suppliers? Yes No Are suppliers audited based on risk assessment? Yes No Is proper control maintained over time, temperature, humidity, pressure and other process variables to minimize contamination and microbial growth? Yes No Are proper testing methods used to check for quality of ingredients and finished products? Yes No Are approved packaging material used that will provide suitable protection to the product? Yes No Are storage facilities sanitary and free of harmful substances? Yes No Are trucks and products inspected at receiving and before loading and is this information documented? Yes No Are procedures in place for verification and handling of temperature sensitive items? Yes No Does the facility have written procedures for the handling and storage of raw materials, work in progress and finished products? Yes No Are written raw material and finished product specifications documented, readily available for reference and kept current? Yes No Does the primary packaging cope with EG 1935/2004 or EG 10/2011 and is there a migration test and a declaration of compliance present? Yes No Does the product follow proper labeling and is not adulterated or misbranded within the meaning of section 402 (a) (4) of the FDA act? Yes No Do you exclusively handle non-GMO materials in the plant and do you have a system to safeguard that all supplies you receive are non-GMO? Yes No Do you sell any irradiated products? Yes No Do you operate a stock rotation system? Yes No Is all organic waste collected in a closed container? Yes No Do you have a California Prop 65 Statement? Yes No If yes, please explainAre you the primary producer of the product or reseller? Producer Reseller Please indicate the technical expertise of the Quality Control staffDo you have Research and Development capabilities? Yes No Is there a formalized receiving department? Yes No Is there a sampling plan? Yes No Is the sampling carried out by Quality Control? Yes No Is inspected material adequately identified as to acceptance or rejection? Yes No Are materials adequately identified? Yes No Are there written procedures for production control? Yes No If you manufacture or handle at risk GMO crops do you have an IP (Identity Preserved) Program? Yes No If you manufacture or handle at-risk GMO crops are you able to provide PCR (Polymerase Chain Reaction) reports for 3 past batches for each crop and annual PCR testing program results? Yes No Do middlemen or consolidators do the processing? Yes No What percentage of your business is Organic and how long have you been processing them?How many processing and storage facilities do you have and where are they located?What bulk packaging formats do you offer? QUALITY CONTROL - TESTINGIs there a documented procedure in place for testing incoming raw materials/ingredients? Yes No Is non-conforming product segregated and controlled to protect against inadvertent shipment? Yes No Is water currently used in products and for rinsing of equipment tested at least 2 times a year? Yes No Please indicate all tests done on water supplyPlease describe the water source(s) that supply the facilityPlease indicate all the physical, chemical and microbiological tests that are done on product/ingredients manufactured, please indicate the microbiological limitsIs testing done in-house? Yes No If the lab is in-house please indicate the capabilitesDo you have a procedure in place if a positive test for Salmonella, Listeria or any other microbe of concern is found during testing? Yes No Do you do environmental testing? Yes No Please describe programWhat is the frequency of sampling within the zone with the greatest potential for cross-contamination?Do you perform shelf life/durability testing on your product (s)? Yes No Are results available upon request? Yes No Are the tests performed by an accredited laboratory? Yes No Do you do annual pesticide testing and are these results available? Yes No Does your company do heavy metal testing? Yes No What is the frequency? Are these results available? Yes No QUALITY CONTROL - FOREIGN MATERIAL CONTROLDoes the facility have documented procedures for foreign matter control? Yes No Does this facility utilize X-ray equipment? Yes No Are metal detectors currently in use in the facility? Yes No Please specify the location, frequency of monitoring and detection limitsHow often is the metal detector checked for proper functioning?What does the metal detector do when goods are rejected?Are screens, filters or sifters currently in use in the facility? Yes No Please specify the location and frequency of monitoring.Are magnets currently in use in the facility? Yes No Please specify the location and frequency of monitoringWhat actions are taken if metal is discovered on the magnet?Does the facility have mitigating process controls to prevent wood contamination? Yes No Please describe Ethical Trade and Human RightsDo you currently have a programme to ensure that forced labour does not exist in your operations and supply chain? Yes No Are you certified under some fair trade or ethical trading program? Yes No Do your supplier audits include points on slavery and human trafficking? Yes No Do you have company standards on forced labour and slavery for employees and contractors? Yes No Have your employees, particularly those in charge of supply chain management, been trained to understand forced labour and slavery and how to mitigate the risk of them in their respective supply chain? Yes No What management systems do you have in place at your sites to tackle forced labour?Do you retain workers’ documents? If so, where are documents kept and do you have a policy to manage this? Yes No
