Verification Checklists

A Specification Sheet details the specifications for an incoming article. A large company may have the capacity for extensive assurance testing for incoming ingredients. For small makers, a Verification Checklist based on the Specification Sheet is the easiest way to oversee the quality of incoming materials.

Purpose and Use

The Verification Checklist should be a fill-in form based on the Specification Sheet. As you complete the form, you walk through all the steps to verify the material and ensure it is what it should be.

You should complete the checklist when you receive the item and before you put it on your shelves with your already accepted and verified items. If you can’t get to the checklist immediately, set the item aside until you can (GMP guidelines call this “segregating”).

The checklist also serves as your permanent record that the item or ingredient is what it should be.

Form & Content

The list below details the points you should include in the checklist – much of it could be pre-printed from the Specification Sheet. The list contains some optional items as well.

General Information

• Item Name: From the Specification Sheet
• Date/Time Received: Fill-in space
• Lot Number Assigned: Fill-in space (see Ingredient Tracking)
• Expiration Date (if applicable): Fill-in space
• Shipper & Tracking Number (optional): Fill-in space. This information can be helpful if there is (or may have been) damage in shipping.
• Supplier Name: Fill-in space or from the Specification Sheet. If you have several suppliers for this item, you could list them and then just check off the one this order came from.

Checklist – each item checked off or initialed

• Is the package damaged? (YES / NO)
• Do the contents of the order match the packing slip? (YES / NO)
• Does the packing slip match the invoice and what you ordered? (YES / NO)
• Attach packing slip to Verification Checklist. (initial)
• Assign an internal lot number. (fill in the space in the general information section)
• What is the expiration date of the item (if applicable)? (fill in the space in the general information section)
• Is the item within the expiration date? (YES / NO)
• Mark or label the item with the internal lot number and expiration date (as applicable). (initial)
• Does the item meet all the criteria in the Specification Sheet? (YES / NO)
  Each requirement from the Specification Sheet should be listed and then initialed when the requirement is physically verified as having been met.
• Attach the Certificate of Analysis or supplier’s Statement of Conformity to the checklist. (initial)
• Supplier’s lot or batch number for the item (if any). (fill-in space)
• Was a retain sample taken? (YES / NO)
  If so, label the retain sample with the internal lot number.

Determination

• Does the item meet the required specifications? (YES / NO)
• If YES:
  • Move the item to inventory or storage. (initial)
  • Where is the item located? (fill-in space)
• If NO:
  • Segregate or set aside the item. (initial)
    (Do not put it with verified items)
  • What do you need to do to resolve the issues? (larger fill-in space)
    Write out what needs to be done based on what you found. For example, if the package was damaged during shipping, the order was incorrect, or the product was defective, you would need to resolve that with the supplier. If you ordered the wrong thing, the handling would be different.
  • How was the issue finally resolved? (larger fill-in space)
    Write down what the final resolution was.

Filing and Record-Keeping

The completed Verification Checklist, with any attachments, should become part of your permanent records.

If you keep paper records, you should file the form and attachments in a system that works for you. Either folders in a filing box or cabinet or binders would be workable. You could file the checklists by date or item/ingredient, whichever works better for you.

If you are paperless and keep only digital records, scan the documents and appropriately file them so you can retrieve them.

You should keep the records for several years after the item or ingredient has been used up. If it was an ingredient used in soap or cosmetic products, you should keep the records for several years AFTER the last possible date that a consumer would have and use the product.

Safety Substantiation

For cosmetic products, Specification Sheets and Verification Checklists for the ingredients in the product are part of your safety substantiation.

With the Specification Sheet, you set the requirements and specifications for the ingredient to ensure it is safe and will work correctly in your product.

With the Verification Checklist, you substantiate that the ingredient you actually received met the requirements and specifications and is, therefore, safe to use.