1. Date: The date this assessment was generated on.

2. Supplier: The name of the supplier the assessment is for.

3. Site: The name of the site for the supplier may populate here (this can only be set when a full assessment programme is created directly from the supplier/material in MasterData and not using the template route).

4. Material: The name of the material the assessment is for (no material will be here if the record is a supplier assessment).

5. Primary Assessor: The name of your primary employee responsible for the record after the supplier completes their stage (data collection) of the record (This is defined in the programme). This is a mandatory field.

6. Secondary Assessor: The name of your employee responsible for the record after the supplier completes their stage (data collection) of the record if the primary assessor is not available. (This may have been defined in the programme, however this is not a mandatory field and can be left blank).

7. Primary Contact: This is the name of the supplier primary contact responsible for completing the assessment (This was defined in the programme.)

8. Secondary Contact: This is the name of the supplier secondary contact responsible for completing the assessment if the primary contact is not available. (This may have been defined in the programme, however this is not a mandatory field and can be left blank.)

9. Position: The job position of the person completing the assessment.

10. Save: If you generate a record manually and need it to be sent to the portal for the supplier to complete, remember to click Save (A scheduled assessment goes off through the portal automatically).

The Supplier Details section will populate with any details already completed for the supplier in MasterData. The supplier can update the fields as required.

1. Supplier Contact Information:  The supplier's phone and website details can be added/updated.

2. Contacts: The supplier can click 'Add Line' to add multiple contacts with an email and phone number for the contact person. This email will be used for email notifications that are sent to the supplier contact if they are given access to the portal. The 24-hour-contact field should contain a full phone number (with a country code). If a contact was already invited to the portal to complete the assessment they will see their details here when completing this section.

3. Postal Address: The supplier's postal address details will populate here if completed in MasterData, if not and its blank, the supplier contact filling in this section can add the information.

4. Physical Address: If the supplier's physical address details are the same then "Same as Postal Address" can be clicked to copy over the details. The supplier's physical address drives the map.

5. Save: Clicking 'Save' will save the details added to this section.

6. Save & Submit: Clicking 'Save and Submit' means all the details in this section has been completed and the record is ready to be progressed on to the next stage.

Both the Doclist and Checklist shown are generated from the programme applied and the checklist will always appear before the doclist. If any Corrective Actions are selected they will generate in the next stage.

1. No.: This is the question or document number.

2. Requirement: What is to be done. In the case of a Doclist, this will typically require the upload of a Document. In the case of a Checklist, a question would need to be answered.

3. Response: This is the response options for the questions in the checklist. Click into each response field opposite the questions to select the response.

4. Comments/Observations: The supplier will use this field to provide detailed answers to each question in the checklist and doclist if applicable. 

5. File: The supplier should click 'Add file' in the doclist to attach the requested documents. Only documents attached in the doclist go automatically into a folder in the documents module created for the supplier. Click here to refer to an article on secure file uploading in assessments.

6. Corrective Action: On reviewing the data collection stage the supplier completed, if any non-conformances require a supplier corrective action record to be created, tick the Corrective Action Box.

7. Decision: If there is no issue with each requirement you can click the field opposite in the decision column to select 'Accept' (In the assessment programme you can set 'Accept' to appear automatically against each field). When the assessor is reviewing the data collection stage if they see a non-conformance but don’t want to generate a corrective action record they can simply select 'Return' in the decision column and then select Save & Return at the bottom of the stage to send the requirement back to the supplier. 

8. Returned Decisions: Return fields will be highlighted in orange. If there was an attached document to a returned field, this document will disappear.

9. Red Asterix: Mandatory fields will have a red Asterix beside the No. column. Mandatory fields are set in the checklist/doclist. In an assessment record a checklist with a mandatory requirement will require the 'Response' field to be completed and in the doclist the 'Add File' field.

When Save & Submit is selected, any mandatory fields in the checklist and doclist which haven't been completed will be highlighted in red. The response field highlights in red for checklists and the Add File field for mandatory documents.

10. Document: Any document associated in the checklist or doclist will appear in the column as this document icon. To download and complete the document, the supplier simply clicks the document icon and the download should start automatically.

11. Review Date: This column is added for the Doclist grid only. The review date for the document can be set by using the calendar feature provided. If the supplier does not set the review date for the document the assigned assessor can set the review date. When the review date occurs, an automatic document review will open up and notify both the supplier and customer about the out-of-date document that needs to be re-uploaded. 

12. Report: Either the supplier or the assigned assessor can use this field for any overall or additional comments.

13. Save & Return: When reviewing the assessment, the Assessor will click Save & Return to send back one or more questions/requirements (after selecting 'Return' in the decision column) to the supplier with which they were unhappy.

14. Save: Click Save to save any changes made in the stage. Mandatory fields will not be required to be completed on clicking Save.

15. Save & Submit: The assessor will click Save & Submit when they are happy to progress to the next stage. When Save & Submit is selected, any mandatory fields in the checklist and doclist which haven't been completed, will be highlighted in red. The response field highlights in red for checklists and the Add File field for mandatory documents.

Note: In the supplier portal when the supplier is happy with everything they have completed they will be clicking a button called Save & Return. An automatic email notification will be sent to the primary assessor to notify them the supplier has completed and returned the assessment. If the assessment programme was setup to include a secondary assessor, they will also receive the notification that the supplier has returned the assessment. When an assessor is reviewing what the supplier completed, if they 'Return' any lines, an email notification saying 'Your Customer has Returned Your Assessment' is sent to the supplier contact who originally completed and returned the assessment record i.e. if the primary supplier contact completed and returned the assessment, then they will receive the return notification or, if it was the secondary contact who originally returned the assessment then they will received the return notification. 

Document Approval:

Documents attached in the Doclist may require individual approval from an approver or multiple approvers. When the Data Collection stage of the assessment is Saved and Submitted by the Primary or Secondary Assigned Assessor, the documents attached in the doclist will then require approval by the approvers. An email notification will be sent to the approvers for each document and an action will appear in the Documents module Actions tab for each document pending approval.

Please click HERE for more details on approving documents attached in a doclist. 

1. No. & Requirement: The number and requirement fields from which the non-conformance was raised pull-down automatically from the data collection stage.

2. Comments / Observations: This field also automatically pulls down from the data collection stage. If there was nothing completed in this field in the data collection stage, it will be mandatory to put comments for the supplier in here.

3. Non-Conformance Category: The level of importance assigned to the non-conformance. When you open the folder, you will be able to choose from system non-conformance categories (minor, major, critical or recommendation) or from your own non-conformances coming from Master Data. When raising supplier corrective actions from within an assessment, the non-conformance category selected will be linked to the risk model in the supplier corrective action record.

4. Responsible: Assign the responsible person for the Corrective Action. When using supplier portals, it should be the Primary Contact from the Supplier.

5. Due Date: The due date that the Corrective Action is to be completed by. This is a mandatory field.

6. Report: Use this field for any comments.

7. Save & Submit: Only when you select Save & Submit, will the supplier corrective action record generate and be linked at the top of the assessment record.

This stage is used to conduct a preliminary risk assessment of the Supplier or Material.

1. Hazards: Select any Hazards associated with the material you are assessing.

2. Score Result: The score result of the checklist in the Data Collection Stage appears here, as it can be used as a criterion for risk assessing.

3. Criteria: All the risk criteria will be listed in this column. All the criteria were defined in the risk assessment model.

4. Risk Value: For each criterion click into the risk value field and select the value from the drop-down.

5. Uncertainty: Select the uncertainty value from the drop-down (If the risk assessment model being used did not have uncertainty enabled, the column won't be displayed here).

6. Total Risk: The system automatically calculated the total risk.

7. Attach/Link: You can attach any documents or links to any websites.

8. Report: You can use the report field to put any comments to justify the risk value selected.

9. Outcome: The system will automatically populate the risk outcome here.

10. Document: If the risk assessment model has criteria with an associated guidance document, the user can click on the document symbol to view the document e.g. data on high-risk countries.

Note: If the risk is High/Medium, the assessment record will proceed to the next stage 'Determination of Control' (if enabled in the assessment programme). If the selected risk is None/Low, the assessment will skip these stages and proceed to the final Approval stage at the bottom of this page (Please note this will depend on how the risk assessment was built i.e., what is considered significant and if the workflows are enabled in the programme).

This stage is designed to guide you in determining what kind of control, if any, might be required for this Supplier or Material. The output of the decision tree will either be control required or not required, according to how you have designed the Decision Tree. If there is no control required, then the assessment will skip the next two stages and go to the final Approval stage. Your decision tree can be built to link an outcome/result with a specific control that you have built. If this is in place, the control associated with the decision outcome will automatically populate in the next stage of the assessment called Control Planning.

1. Answer: Choose the answer to each question from the drop-down. Depending on how the decision tree is built you may be prompted to jump over certain questions.

2. Result: The result will automatically populate here. If a control is required and needs to be monitored the next stage of the record will open. If not, you will proceed to the Approval stage.

3. Decision Report: Use this field for any comments.

Note: If your decision tree results are associated with controls, the controls will automatically appear when this stage opens. If you do not have this but you do have predefined control models, then they can be selected by clicking 'Add Control' shown above. Several System Control models are also available, and which have been prepared according to FSMA requirements. If you don't have any controls predefined, you can simply define them here.

1. Control name: The name which describes the activity e.g. auditing.

2. Control limit: The specific point at which the product may become unsafe e.g. temperature in the case of a heat treatment control.

3. How: How the control measure or procedure is conducted.

4. Responsible: Person who is responsible for ensuring the control measure is conducted as per specification and schedule.

5. Frequency: How often the control measure needs to be conducted e.g. every two years in the case of audits.

6. Corrective Action: The action to be taken if the critical limits are not met.

7. Records: The record where the data and evidence supporting the fulfillment of the control is maintained.

8. Verification: The activity that confirms that all the elements of the control are in place, adequate and capable of producing safe and legal food.

Now that you have established the controls required for this particular Supplier or Material it may be possible to adjust the Risk in the presence of these controls. In this case, only the Probability of the Risk should change and not the Severity.

1. Hazards: Any hazards selected in the risk assessment presence of the control stage will automatically be populated here.

2. Risk Value: Select the risk values for the criteria.

1. Score: Final Score which is automatically calculated if there is a score associated with the responses.

2. Result: State whether the result is a Pass or Fail.

3. Rating: Assign the final rating.

4. Status: This is where you determine whether the Supplier or Material is Approved and should show up on your Approved Supplier List or if they are Not Approved.

5. Scope of Approval: If required you can select the Scope of Approval. This allows you to limit or further define the Scope of Approval for the Supplier or Material. For example, you may want to approve Suppliers / Materials based upon certain conditions e.g., temporary approval, specific category approval, for a particular region or group of plant sites, etc. (In the assessment programme you can define the scope of approval types and which are mandatory or not mandatory). Click into the fields under the 'Name' column to select the scope of approvals for each type e.g. region. You can choose multiple scopes of approvals at one time for each type.

6. Next Assessment Details: This allows you to define when the next assessment record will automatically generate and be sent to the supplier's portal (The scheduler in the programme automatically updates). By default, it will populate with the next assessment date (this is based on the frequency already set e.g. if it is set to 1 year then the next due date that appears will be for next year). You can edit the due date and update the frequency if required. If you would like an action notice you can set that here too (The record will open in advance of the assessment due date. This will depend on the number of days completed).

7. Summary: A summary of the Assessment is automatically created by the Assessment Programme.

8. Responses: Displays the number of responses from the Checklist in the Assessment.

9. Report: Make any final notes or observations in the Report section.