Supplier - Vendor Audit Form -SC2024

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

General Information

• Risk Category

  High

  Normal

  Low

  N/A

• Reason for Audit

  Select New Supplier Assesment Current Supplier Re Assesment Current Supplier Issues Reported Follow up to CA's

  • New Supplier Assesment
  • Current Supplier Re Assesment
  • Current Supplier Issues Reported
  • Follow up to CA's

Audit Results

• Supplier Status

  Approved

  Pending Completion of CA's

  Not Approved

• OIP's Noted

• Minor's Noted

• Major's Noted

• Critical's Noted

• Auditor Comments:

• Re Audit Date

  Date

Quality Systems

• Is there a Quality System in place

  Yes

  No

  N/A

• Is the Quality System Adequately Communicated to all appropriate Levels

  Yes

  No

  N/A

• a) Is the Quality System Evaluated at a Routine Frequency: Ingredient and direct packing(annually) increased Frequency May be required by use of Risk Factors: Volume, region, Single Source, Regulatory, Microbial Risk, Third Party Audit Results below Ralcorp Requirements, CA follow up, other noted by Ralcorp Auditor.<br>b) Self Inspection Criteria monitor<br>i) Facility Sanitation<br>ii) Facility Quality Programs<br>iii) GMP and Personnel Practices<br>iv) HACCP and Control Point Management<br>v) Facility Infrastructure and Maintenance

  Yes

  No

  N/A

Training

• A Supplier/ Vendor Shall ensure that employees are knowledgable regarding current Quality, Food Safety and Good Manufacturing Practices applicable to their respective responsibilities.

  Yes

  No

  N/A

• A Supplier Shall maintain a documented new employee training program for Quality and Food Safety ( HACCP, Allergens, GMP's, Sanitation and Quality Procedures).

  Yes

  No

  N/A

• A Supplier Shall conduct documented annual employee training program for Quality and Food Safety ( HACCP, Allergens, GMP's, Sanitation and Quality Procedures).

  Yes

  No

  N/A

Preventative Maintenance

• A Supplier Shall maintain a documented Preventive Maintenance Program. This program Shall identify key equipment in the manufacturing process and have documented procedures detailing calibration frequencies, tolerances and corrective actions.

  Yes

  No

  N/A

Traceability/Recall/Crisis Management

• A supplier shall have a traceability program in place that tracks history of the product from receipt of raw materials to specific finished lots delivered to NGSM

  Yes

  No

  N/A

• A supplier traceability program shall include and account for:<br>i) Raw Materials<br>ii) Finished Product<br>iii) Rework<br>iv) Product on hold<br>v) Product in transit / storage

  Yes

  No

  N/A

• A Supplier Shall have a unique number system that is traceable in documentation that identifies a specific production lot and it's production history.

  Yes

  No

  N/A

• A Supplier Shall have a documented Recall Plan in place.

  Yes

  No

  N/A

• A Supplier Shall have a documented Crisis Management Plan in place.

  Yes

  No

  N/A

Functioning HACCP*

• 1) A supplier SHALL have HACCP plans for all products produced for Ralcorp, or alternatively SHALL be able to demonstrate the lack of risk or hazard.

  Yes

  No

  N/A

• 2) A supplier SHALL have a HACCP plan that is in accordance with Codex, National Advisory Committee on Microbiological Criteria (NACMCF), FDA and/or CFIA guidelines.<br>a) HACCP Plans are specific for each production line, process and/or type of product. Each plan SHALL address microbiological, chemical and physical hazards associated with each production line, process and/or type of product.<br>b) Content of the HACCP plan SHALL include:<br>i) A documented hazard analysis.<br>ii) Determination of Critical Control Points (CCP's).<br>iii) Establishment of critical limits for Food Safety.<br>iv) Establishment of monitoring procedures for each CCP.<br>v) Establishment of corrective action to be taken when a critical limit deviation occurs.<br>vi) Establishment of a record‐keeping system.<br>vii) Establishment of verification / validation procedures.<br>c) HACCP plans SHALL also include the following documentation.<br>i) Process flow charts for each production line, process and/or type of product.<br>ii) A facility Master HACCP Plan showing points b(ii) through b(vii)7 listed above.<br>iii) A HACCP deviation and corrective action log.<br>iv) CCP records.<br>v) Revision Log.

  Yes

  No

  N/A

• 3) A supplier SHALL provide annual training on the prerequisite programs to support the HACCP Plan.

  Yes

  No

  N/A

• 4) A supplier SHALL not permit product to leave their control until HACCP documents are reviewed, the applicable process was monitored in accordance with the HACCP plan, and verification that critical limit deviations were handled in accordance with the HACCP plan has been completed.

  Yes

  No

  N/A

• 5) A supplier SHALL have its HACCP plan reviewed on an annual basis by a qualified agency (e.g. AIB, Silliker,<br>NSF‐Cook & Thurber, GMA/FPA Safe) or as part of a recognized GFSI certification (e.g. SQF)

  Yes

  No

  N/A

Foreign Material Control

• 1) A supplier SHALL have programs in place to prevent chemical and physical contamination of materials that may not be covered by a general HACCP Plan.<br>2) Chemical Control Program<br>a) A Hazard analysis must be conducted to address risks associated with non‐industrial chemicals including:<br>i) Naturally occurring chemicals (toxins, alkaloids, etc.)<br>ii) Agricultural (insecticides, fungicides, herbicides, etc.)<br>iii) Added Chemicals (Nitrites, Sulfites, color additives, etc.)<br>iv) Indirect Chemicals (Cleaning, Industrial Lubricants, fumes, etc.)<br>b) A supplier SHALL establish a chemical approval and control program, inclusive of chemicals for pest control, sanitation and maintenance.<br>c) A supplier SHALL ensure that all chemicals are approved for use in food plants; and are classified and used per the USDA, FDA, or CFIA (as applicable) referenced classifications for food contact, incidental food contact, or non‐food contact.<br>d) MSDS sheets SHALL be available for all non‐food chemicals.<br>3) Physical Contamination Control Program.<br>a) A supplier SHALL maintain proper work procedures, frequency of compliance checks, inspection, and maintenance of all foreign material control devices (including, but not limited to, metal detectors, filters, screens, sifters, x‐ray, magnets.)<br>b) A supplier SHALL ensure that all materials entering and leaving its facility are free of foreign material, infestation and contamination.<br>c) A supplier SHALL sift dry ingredients prior to packaging to identify and eliminate foreign material or insects. The equipment used for sifting SHALL be monitored per industry standards to ensure effectiveness.<br>d) A supplier SHALL strain liquid ingredients to identify foreign material and prevent contamination of liquids. The equipment used for straining SHALL be monitored per industry standards to ensure effectiveness.<br>e) A supplier SHALL ensure that the quality of water, ice, steam and gases that come in contact with food or food –contact surfaces is suitable for use in food.<br>f) Maintenance SHALL develop procedures to reduce the risk of foreign material contamination.<br>g) A preventative maintenance program SHALL be in place to prevent injury, guard against equipment failure and prevent potential foreign material contamination.<br>h) A supplier SHALL maintain effective procedures for the prevention of glass and hard plastic contamination.<br>i) A documented procedure SHALL be in place to report, investigate, and correct all foreign material contamination.

  Yes

  No

  N/A

• 2) Chemical Control Program<br>a) A Hazard analysis must be conducted to address risks associated with non‐industrial chemicals including:<br>i) Naturally occurring chemicals (toxins, alkaloids, etc.)<br>ii) Agricultural (insecticides, fungicides, herbicides, etc.)<br>iii) Added Chemicals (Nitrites, Sulfites, color additives, etc.)<br>iv) Indirect Chemicals (Cleaning, Industrial Lubricants, fumes, etc.)<br>b) A supplier SHALL establish a chemical approval and control program, inclusive of chemicals for pest control, sanitation and maintenance.<br>c) A supplier SHALL ensure that all chemicals are approved for use in food plants; and are classified and used per the USDA, FDA, or CFIA (as applicable) referenced classifications for food contact, incidental food contact, or non‐food contact.<br>d) MSDS sheets SHALL be available for all non‐food chemicals.

  Yes

  No

  N/A

• 3) Physical Contamination Control Program.<br>a) A supplier SHALL maintain proper work procedures, frequency of compliance checks, inspection, and maintenance of all foreign material control devices (including, but not limited to, metal detectors, filters, screens, sifters, x‐ray, magnets.)<br>b) A supplier SHALL ensure that all materials entering and leaving its facility are free of foreign material, infestation and contamination.<br>c) A supplier SHALL sift dry ingredients prior to packaging to identify and eliminate foreign material or insects. The equipment used for sifting SHALL be monitored per industry standards to ensure effectiveness.<br>d) A supplier SHALL strain liquid ingredients to identify foreign material and prevent contamination of liquids. The equipment used for straining SHALL be monitored per industry standards to ensure effectiveness.<br>e) A supplier SHALL ensure that the quality of water, ice, steam and gases that come in contact with food or food –contact surfaces is suitable for use in food.<br>f) Maintenance SHALL develop procedures to reduce the risk of foreign material contamination.<br>g) A preventative maintenance program SHALL be in place to prevent injury, guard against equipment failure and prevent potential<br> foreign material contamination.<br>h) A supplier SHALL maintain effective procedures for the prevention of glass and hard plastic contamination.<br>i) A documented procedure SHALL be in place to report, investigate, and correct all foreign material contamination.

  Yes

  No

  N/A

Raw Material Control

• 1) A supplier SHALL have controls in place to ensure purchased raw materials held or used in goods to be supplied to NGSM, or held for delivery to NGSM, comply with written specifications and all applicable government regulations.<br>a) Employees SHALL have adequate training, to the depth necessary by their contact with raw materials, to ensure compliance with the policy outlined above.<br>b) A supplier SHALL establish a documented vehicle inspection program. This program SHALL be performed prior to shipping any materials to NGSM.

  Yes

  No

  N/A

• 2) A supplier SHALL have a program in place and documented that allows change or modification to material specifications.<br>a) Changes or modifications to finished products provided to Ralcorp SHALL NOT be done without the knowledge and written approval of Ralcorp.

  Yes

  No

  N/A

• 4) A supplier SHALL ensure that raw materials are kept in storage under the appropriate environmental conditions, using FIFO, and other Quality Programs as required.

  Yes

  No

  N/A

Process Controls

• 1) A supplier SHALL have a system in place ensuring that their processing and packaging of products meets all regulatory requirements, product specifications, and applicable NGSM expectations as set forth herein.

  Yes

  No

  N/A

• 2) A supplier SHALL have a documented plan for calibration, training and maintenance of controls and testing equipment (including timing pumps, temperature measurement devices, scales, meters, and metal detectors) used by all applicable employees.<br>a) A supplier SHALL calibrate equipment against standard of known accuracy.<br>b) A Supplier SHALL establish, document, and maintain calibration procedures that address the following:<br>i) Specification of measurement standards and equipment to be used and the acceptable level of accuracy;<br>ii) Calibration intervals and the adjustment thereof;<br>iii) Indication of calibration status;<br>iv) Out‐of‐tolerance conditions;<br>v) Out‐of‐calibration conditions – assessing and documenting the validity of previous inspections and<br>test results when inspection, measuring, and test equipment is found to be out‐of‐calibration;<br>vi) Handling, preservation, traceability, and storage of Measuring and Test Equipment and measurement standards;<br>c) A supplier SHALL maintain a calibration history for Measurement and Test Equipment.<br>d) Calibration history and records SHALL be considered Quality Records and are to be maintained for a minimum of 24 months from date of manufacture for Ralcorp.

  Yes

  No

  N/A

• 3) A history or log of process changes must be maintained. The change documentation SHALL include<br>a) Description of the change.<br>b) Reason for the change.<br>c) Person approving the change.<br>d) Date of implementation.

  Yes

  No

  N/A

• 4) A supplier SHALL verify that it maintains proper process controls by following appropriate Finished Product Testing Protocols.<br>a) A supplier SHALL establish documented procedures to ensure that appropriate inspection and testing in conjunction with the control of various activities and processes which affect quality are followed.<br>b) A supplier SHALL provide a Certificate of Analysis with physical and analytical results according to the product specifications, as requested by NGSM.<br>c) A supplier SHALL supply raw data regarding the manufacturing of product if requested to do so for NGSM.

  Yes

  No

  N/A

Hold/Rework/Release

• 1) A supplier SHALL have in place documented procedures and controls to prevent the inadvertent shipment of non‐conforming products.

  Yes

  No

  N/A

• 2) Disposition of non‐conforming product (Hold, Rework, Release, Destroy) SHALL only be done by authorized individuals.

  Yes

  No

  N/A

• 3) A supplier SHALL have a documented management plan demonstrating that employees administering “holds” have been properly trained and that all other employees show an understanding of the methods and principles of the Hold Policy.

  Yes

  No

  N/A

• 4) A supplier SHALL have a system in place to segregate, control, track, and ensure specification standards regarding the use of rework and/or holdover.

  Yes

  No

  N/A

Facility Audits

• 1) A supplier SHALL be able to demonstrate their commitment to the production of safe and quality products<br>by the development, implementation, and execution of Quality Systems. This SHALL be verified by various facility audits.

  Yes

  No

  N/A

• 2) A supplier SHALL have an annual External Third Party Audit.

  Yes

  No

  N/A

• 3) NGSM SHALL have the right to verify supplier compliance and regulatory standards through undertaking affirmative measures, such as on‐site audits of production facilities including unannounced visits if deemed necessary.

  Yes

  No

  N/A

Pest Control

• 1) A supplier SHALL have a documented pest control program (eg: Insects, Rodents, Birds) in place adequate<br>to effectively exclude pest entry / activity into the facility and surrounding area.<br>a) Pest Control Program SHALL be managed by adequately trained personnel.<br>b) Individuals executing application of pesticides SHALL be licensed or supervised by a licensed Pest<br>Control Operator.<br>c) All pesticide applications SHALL be in compliance with all applicable government regulations for food manufacturing facilities in the country of origin and be approved for treatment of food processing facilities within the United States and Canada.<br>

  Yes

  No

  N/A

• 2) A supplier SHALL have a documented Pest Control Log which is current and includes the following:<br>a) Applicator license on file;<br>b) MSDS sheets for all chemicals used;<br>c) Weekly inspection reports utilizing site maps of pest control measures;<br>d) Pesticide application records;<br>e) Copies of all pesticide labels used;<br>f) Chemical storage requirements;<br>g) Verification of insurance of contractor for pest control.

  Yes

  No

  N/A

• 3) A supplier SHALL utilize various control measures to limit pest activity. These include, but are not limited<br>to: traps, bait stations, glue boards.<br>

  Yes

  No

  N/A

Security/Bioterrorism Preparedness

• 1) A supplier SHALL have in place facility security risk control measures to prevent intentional harm to product and process.<br>a) The applied control steps should be based on risk analysis of exposure to an intentional threat.<br>b) An action plan SHALL be required if security is compromised.

  Yes

  No

  N/A

• 2) Security SHALL be sufficient to ensure that access to the facility is only for authorized personnel.

  Yes

  No

  N/A

• 3) Food Security, GMP policies/procedures, and safety rules SHALL be reviewed with all employees, contractors and visitors PRIOR to access to the facility.

  Yes

  No

  N/A

• 4) Supplier’s facilities SHALL be registered with the FDA and/or their respective country’s regulatory agency.<br>Email address: https://www.access.fda.gov/oaa

  Yes

  No

  N/A

Change Notification/Mandatory Contact/Formula Verification*

• 1) A supplier must immediately notify Ralcorp if any of the following occur with regard to ingredients supplied, purchased or brokered:<br>a) Supplier undertakes a recall for any product sold by supplier.<br>b) Supplier reports an incident through the Reportable Food Registry. (http://rfr.fda.gov)<br>c) Alleged or confirmed illness or death related to a product sold by supplier.<br>d) Improper release of a HACCP deviation ingredient.<br>e) Supplier is subject of a regulatory action related to, or which may affect the supply of, product supplied to Ralcorp.<br>f) Change in allergen profile (notification must be 90 days in advance of change) of supplier and/or its manufacturing facilities.<br>g) Change in nutritional profile (notification must be 90 days in advance of change).<br>h) Change in functionality profile of the product (notification must be 90 days in advance of change).<br>i) Change in manufacturing location (notification must be 90 days in advance of change).

  Yes

  No

  N/A

• 2) A supplier SHALL maintain documented formulas.<br>a) A supplier SHALL make no changes to formulas or a product provided to Ralcorp without Ralcorp written approval.<br>b) A supplier SHALL maintain historical logs documenting all formula changes to products provided to Ralcorp.<br>c) A supplier SHALL conduct an annual review of all formulas, of products provided to Ralcorp.

  Yes

  No

  N/A

• 3) Approved changes to ingredients SHALL be properly documented and uploaded to iCiX prior to shipment to Ralcorp.

  Yes

  No

  N/A

• 4) In the event FDA activities warrant, a supplier (and/or authorized chain customer representative) SHALL promptly provide Ralcorp with appropriate complete written information and instructions required for us<br>to initiate a timely and well‐executed recall.<br>a) A supplier SHALL within 2 hours of determination of a recall (or withdrawal) provide notification to Ralcorp QA regarding the affected product(s). For recalls, this information SHALL include the Reportable Food Registry file number.<br>b) A supplier SHALL within 6 hours of determination of a recall provide Ralcorp with a written notification whose audience will be our potentially affected customers. Required elements of this communication<br>SHALL include:<br>i) Document SHALL be on supplier’s letterhead,<br>ii) Item number; product description (including label, pack size, and UPC code); and lot number,<br>iii) The reason for and classification of the recall,<br>iv) Customer Disposition Instructions, and<br>v) A contact at the supplier, including a toll‐free phone number, for customers who have additional concerns.

  Yes

  No

  N/A

Continuous Supply Plan

• 1) A supplier SHALL have a documented plan in place to ensure that materials ordered for Ralcorp with an adequate agreed lead time SHALL be supplied in that timely manner.

  Yes

  No

  N/A

Quality Record Retention

• 1) A supplier SHALL ensure that documentation is available for the purpose of verifying its Quality and Food Safety systems.<br>

  Yes

  No

  N/A

• 2) A supplier SHALL maintain Quality Records for a minimum of 24 months from the date of shipment to Ralcorp of the related product.

  Yes

  No

  N/A

Environmental Monitoring and or Microbiological Testing*

• 1) A supplier SHALL have in place an Environmental Microbiological Monitoring Program.

  Yes

  No

  N/A

• 2) If a supplier is supplying to Ralcorp a microbiologically sensitive material, then a supplier SHALL have one of the following programs in place:<br>a) A validated and documented “kill step” with an environmental monitoring program to ensure that recontamination does not occur and a microbiological testing program for all materials prior to release that follows a statistically sound sampling plan and tested using a ISO 17025 certified laboratory.<br>b) In lieu of pathogen testing, provide documentation of exception (e.g. irradiation, ETO, PPO, sterilization etc.).<br>A supplier SHALL have in place satisfactory microbiological testing procedures for all raw materials to ensure compliance to Ralcorp specifications.<br>Ralcorp must be notified before a change in outside laboratory sourcing.

  Yes

  No

  N/A

• 3) A supplier SHALL conduct verification testing on a predetermined frequency for all testing methods.

  Yes

  No

  N/A

• 4) A supplier SHALL provide the Certificate of Analysis (COA) with microbiological results for every lot.

  Yes

  No

  N/A

Complaint Management

• 1) A supplier SHALL define the methods and responsibility for handling and investigating the cause and resolution of complaints from customers and authorities.

  Yes

  No

  N/A

• 2) A supplier SHALL show that complaints are analyzed by personnel knowledgeable about the incident.

  Yes

  No

  N/A

• 3) Corrective Action SHALL be implemented commensurate with the seriousness of the incident.

  Yes

  No

  N/A

• 4) A supplier SHALL maintain customer complaint / corrective action records for a minimum of 24 months from the date of shipment to Ralcorp.

  Yes

  No

  N/A

Co-Manufacturing Co-Packing

• 1) A supplier that uses contract manufactures SHALL have written procedures for approving and monitoring such contract manufactures to ensure that any raw materials provided by that meet Ralcorp’s Quality and Food Safety requirements.

  Yes

  No

  N/A

• 2) Ralcorp SHALL approve use of any co‐packer prior to use.

  Yes

  No

  N/A

• 3) A supplier SHALL verify that all packed materials have a Country of Origin Statement. For blended items, the supplier SHALL verify component Countries by percentage.

  Yes

  No

  N/A

Supplier Approval

• 1) A supplier SHALL have a documented Supplier Approval Program in place that details the responsibilities and methods for selecting, evaluating, approving and monitoring all Approved Suppliers.<br>a. A supplier approval program SHALL contain at a minimum:<br>i. Agreed specifications.<br>ii. Risk analysis of raw material received.<br>iii. A summary of the Food Safety Plan and food safety controls implemented by the Approved Supplier.<br>iv. Methods for granting Approved Supplier status.<br>v. Methods and frequency of monitoring Approved Suppliers.<br>vi. An emergency / unforeseen supplier contingency<br>vii. Methods and frequency of reviewing supplier performance and status.

  Yes

  No

  N/A

• 2) The monitoring of Approved Suppliers SHALL be based on the prior good performance of a supplier and the risk level of the raw materials supplied.

  Yes

  No

  N/A

• 3) Records of inspections and audits of Approved Suppliers SHALL be maintained for 24 months.

  Yes

  No

  N/A

Label Control

• 1) A supplier SHALL have controls in place to assure that labels are correctly and consistently applied to all products produced for or supplied to Ralcorp.

  Yes

  No

  N/A

• 2) Label controls SHALL assure that labels applied to Ralcorp products meet all regulatory requirement and specification needs of Ralcorp.<br>a. All labels SHALL accurately describe the product.<br>b. All labels SHALL clearly exhibit the name and address of the manufacturer, packer or distributor, lot number, net quantity statement, best before date, ingredient statement, store conditions, preparation instructions, allergens, health marks and Ralcorp product code.<br>c. Correct labels SHALL be applied to each product.

  Yes

  No

  N/A

• 3) Label controls SHALL include procedures to account for and or destroy unused pre‐printed labels at the end of a run to assure the next run of product is not inadvertently mislabeled.

  Yes

  No

  N/A

Product Labeling Requirements

• 1) A supplier SHALL be required to attach a Product Label to each shipping container.<br>a) All raw materials shipped to Ralcorp SHALL contain labels that include the Date of Manufacturing of the material and a use within date.<br>b) Labels SHALL also contain the following information: Supplier or Manufacturer’s name; material name and Ralcorp resource number for the material; net weight; kosher symbol and allergen status.

  Yes

  No

  N/A

• 2) All materials should have at least 50% of the shelf life remaining when received at a Ralcorp facility, and SHALL have been stored at optimal conditions unless specified otherwise within the material specification.<br>Materials with less than 50% remaining will be accepted at the discretion of the Quality group at the receiving location.

  Yes

  No

  N/A

Weight Control*

• 1) A supplier SHALL have a Weight Control Program that complies with all applicable regulatory requirements. This program SHALL include:<br>a. Application of statistical process controls.<br>b. Routine scale calibration.<br>c. Corrective and Preventative action plans and guidelines for handling non‐compliant product.

  Yes

  No

  N/A

Rework Control

• 1) A supplier SHALL have a Rework Control Program in place to control the use of rework material in any product supplied to Ralcorp. This program SHALL include:<br>a. Appropriate controls SHALL be in place to control microbial growth and contamination of rework<br>and subsequent finished product.<br>b. Rework containing potentially undeclared allergens must be identified, segregated, controlled, and incorporated into the same and/or appropriately labeled product.<br>c. Product formulas and processing directions SHALL have specific provisions regarding the use of rework material, including:<br>i. Amount of rework to be used.<br>ii. Acceptable criteria.<br>iii. Conditions of storage.<br>iv. Reprocessing steps.<br>v. Identification of allergens.<br>vi. Use in like‐labeled products.<br>vii. Age limitations.<br>viii. Special handling requirements.<br>ix. Lot number identification for traceability.<br> <br>

  Yes

  No

  N/A

Plant Structure

• 1) A supplier’s facility SHALL be of adequate design and construction to assure production of safe quality products.

  Yes

  No

  N/A

• 2) The facility SHALL be structurally sound

  Yes

  No

  N/A

• 3) Internal structures must be of adequate and suitable design and construction for their uses.

  Yes

  No

  N/A

• 4) Sufficient ventilation SHALL be provided to remove fumes, dust, steam or other gases from the surrounding operation where necessary.

  Yes

  No

  N/A

• 5) Materials used to construct the facility SHALL be appropriate for use in food production plants.

  Yes

  No

  N/A

• 6) Whenever possible, wooden pallets should be avoided. Equipment made of wooden materials (including pallets) SHALL be in good condition, designed and maintained so as not to become a source of physical, microbiological or pest contamination.

  Yes

  No

  N/A

• 7) Product contact surfaces SHALL be constructed of materials that will not contribute to a food safety risk.

  Yes

  No

  N/A

• 8) Light fittings SHALL be shatterproof, manufactured with a shatterproof covering or fitted with protective covers and/or recessed into or fitted flush with the ceiling so as not to contribute to a food safety risk.

  Yes

  No

  N/A

Country of Origin*

• 1) A supplier SHALL have a Country of Origin Program in place to document the country of manufacturing for each product manufactured for Ralcorp.

  Yes

  No

  N/A

• 2) A supplier SHALL maintain as part of their Country of Origin Program the source country of each raw material utilized in the manufacturing of products for Ralcorp.

  Yes

  No

  N/A

• 3) A supplier SHALL supply the country of manufacturing as well as the country of origin of the raw materials.

  Yes

  No

  N/A

Transportation

• 1) Delivery of material(s) to Ralcorp SHALL be accomplished using suitable equipment designed for transporting such material.

  Yes

  No

  N/A

• 2) Suppliers SHALL have in place a documented vehicle inspection program applicable to all inbound and outbound shipments.

  Yes

  No

  N/A

• 3) The delivery equipment SHALL be clean and well maintained, conform to all applicable regulatory and industry standards, prevent exposure of material to potential contamination or adulteration (including off odors, hazardous chemicals, etc.), and capable of maintaining adequate environmental conditions (e.g.: temperature, humidity).

  Yes

  No

  N/A

• 4) Where applicable, deliveries SHALL be on clean, dry, undamaged pallets free from off‐odors and transported according to Ralcorp requirements.

  Yes

  No

  N/A

• 5) Supplier’s original seals on individual containers SHALL be intact upon receipt.

  Yes

  No

  N/A

• 6) Damaged containers, which fail to provide protection to protect integrity and/or quality, will be rejected.

  Yes

  No

  N/A

• 7) Bulk tankers shall carry appropriate documentation (e.g., seal integrity) and must have one of the following processes in place to ensure proper food safety:<br>a. Dedicated container (e.g. bulk truck, railcar, etc.)<br>b. Wash certificate<br>c. Documentation of acceptable product present in the previous 3 loads (acceptable product is like food product)

  Yes

  No

  N/A

Required Documentation

• 1) Suppliers to Ralcorp SHALL be required to use the iCiX (International Compliance Information Exchange) website to automate and manage the process of maintaining supplier documentation.

  Yes

  No

  N/A

• 2) Each facility that supplies product to Ralcorp SHALL maintain site specific documents. If Supplier’s facility is already a member of iCiX, there is no additional charge to add Ralcorp information to Supplier’s site on iCiX.

  Yes

  No

  N/A

• 3) To register with iCiX, log onto www.icix.com and click on the “Sign Up” button.

  Yes

  No

  N/A

• 4) For any information or technical questions regarding iCiX or the registration process, please contact iCiX directly at 1‐877‐888‐4249 or at membersupport@icix.com

Auditor Closing Section

• Pictures of Documents Pertaining to the Audit

  Media

• Auditor Closing Comments

  Sign

• RFBP Auditor Signature

  Drawing

Supplier Acknowledgment

• Supplier Comments

• Supplier / Vendor Signature - Audit Acknowledgment

  Sign

• Picture of Business Card

  Media