Claimed Material Assessment Questionnaire (V 2.0)
Section
Quality
Management
System
Workflow Q#
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Version 2.0
Question
Does the factory have a
dedicated and appropriate
process flow diagram
chart/factory map indicating the
area, machines, critical control
points and sections dedicated to
claimed material?
Does the factory have a
documented, effective
implemented document control
with retention policy, including
current version, record
keeping/timeline and proper
disposal?
Guidance
1- Process Flow Chart/Plant Layout should be relevant to claimed material standard and represent
designated machines, outsourced production, and storage areas.
2- Any discrepancies, if highlighted, must be investigated to cross check the process flow or machine &
storage location.
3- Verify if the product flow as specified in the process chart has been effectively implemented in the
factory to ensure that the claimed materials are kept segregated and there is no contamination/ mixing.
4- The Process Flow Chart and Manufacturer Control Plan should clearly call out the critical control points.
It is the point where the failure of compliance to the SOPs may lead to major discrepancies in factory's
operations. Some of the examples of critical control points included but are not limited to:(a) Raw material receipt
(b) Raw material storage
(c) Production (may have several processes)
(d) Finishing
(e) Packaging
(f) Finished product storage
5- It is recommended to also review the factory lay out/ ground plan, including on-campus subcontracted
factories dealing with production.
1- Review record retention, maintenance guidelines and timelines against different document type.
(a) Purchase and sale records (Bill of lading, invoice, packing list).
(b) Input and output inventory information for mass balance calculation.
2- Verify that the record retention timeline should meet specific standard requirements.
3- Verify the method of record retention (software/ hard copy) and disposal timeline for past physical
records.
Required Documentation
1- Plant Layout
2- Manufacturing Control Plan
3- Process Flow Chart
1- Record retention policy
document
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Supplier
Managemen
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Does the staff in charge of critical
control points within the factory
understand the purpose and
requirement of the processes as
defined in their SOPs, guidelines
and procedures?
Does the factory have a
documented procedure for
seeking approvals from their
certification bodies for logo
usage?
Does the factory have a
documented procedures of the
factory to Identify and handle
nonconforming material at
incoming and outgoing stage?
Does the supplier have an
authorized list of raw material
suppliers having information
pertaining to their name, location
and the kind of material
procured?
1- The organization should maintain and communicate clearly defined roles and responsibilities for all
staff and management that may have an impact on the implementation of the applicable claim
certification standard.
2- The staff involved in production of claimed products must have clear understanding of the claimed
material process and SOP & their role in the same.
3- Documented training records of related staff should be available to validate that they have undertaken
training for the applicable claimed certification standard, claimed material process/procedure and SOP.
4- The results of self-assessment and claimed material sample should be available for review.
5- Depending upon the size of operations the assessor may decide a number of interviewees to question.
1- The documented procedure should demonstrate that the factory must check the required statutory
compliance for all logos and labels being or will be used on Target products.
2- There should be a standardized process for approaching logo approvals with the factory.
2- For each certification logo being used on Target products, a formal logo approval should be obtained
from certification body and submitted to Target.
3- The logo usage must meet the specifications as mentioned in the respective standard.
4- The factory identified a designated person/ position for seeking approvals.
5- If there are plans/proposals to place claimed material logos as marketing label, the information should
be duly documented on the comment section of this question.
1- If a nonconforming material is identified at an incoming stage, there should be a formal documented
procedure to define its treatment along with the turnaround time for the same.
2- For nonconforming material inadvertently delivered by the factory, there should be a separate
procedure to inform the buyer, subsequent steps and turnaround time for the same.
1- Factory must maintain a controlled list of raw material suppliers and sub-contractors, processors,
operators list with authorization / approval dates for specialty raw material supplier based on supplier
evaluation process.
2- For subcontractors, factory must include a legal record of subcontracting.
3- If the raw material supplier list is being updated for removal or addition; reason and date should be
mentioned.
4- The controlled list must include, not limited, to the following:
-Date of last verification of validity of supplier certificate.
-Scope of supplier's certificate
-Material type
-Raw material supplier's certification code
1- Duly Signed Training Records
2- Organization Chart and Roles
& Responsibilities
3- Claim certification standard
SOP
1- Documented procedure or
equivalent
2- Logo approval records (if
any)
1- Formal documented
procedures for treatment of
nonconforming material
received and dispatched
1- Authorized supplier list
including any relevant
subcontractor list
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Does the factory have a
documented qualification criteria
for adding/removing raw material
suppliers from its authorized list
before initiating purchases?
For any outsourced processes on
claimed material, does the Factory
have a documented process to
ensure that segregation &
traceability of claimed material is
always maintained in addition to
the compliance with the
requirements of Third Party
standard?
Is incoming raw material verified
against all the requirements as
stated in factory PO aligning the
certification standard?
-Claim of material procured
-If claim certification standard specifies any compliance requirement with subcontracting, such
requirements must be duly adhered by the factory.
5- Randomly select one or two and check its validity. Factory staff should able to communicate how to
control, who to source and how to maintain the list.
1- Factory must perform supplier evaluation covering both initial and ongoing suppliers in terms of
capability, capacity, quality, on time shipment along with authorization/ certification check from
certifying/ licensing bodies before approving a supplier of a claimed materials.
2- Supplier evaluation must additionally cover the identification, segregation, handling and traceability
system at raw material supplier end ensuring zero chances of contamination.
3- If raw material supplier is purchasing from an agent, the agent must provide proof of the above to the
supplier showing compliance with these requirements.
4- Evaluations are not required for raw material supplier from whom no purchases have been made
within last 12 months.
1- Ensure there is process to obtain mass balancing, traceability, controlled segregation plans.
2- The ownership of the raw material should remain with the Vendor/ Factory at all stages of processing.
3- For any new subcontracting Factory is being added, sourcing and RMA team should be duly informed in
advance. The same should be included into the Process Flow Diagram & MCP as this is clearly identified
point of risk.
4- Review subcontractor evaluation records with supportive evidence such as contract, agreement or any
other document stating the legal arrangement between factory and subcontractor.
5- Job work details, invoices issued by subcontracting Factory.
6- Additional requirements of Third party standards in case of outsourcing/ Job work.
1- Identify discrepancies in all supporting documentation/records of raw material purchases between the
factory and its supplier.
2- Information contained in the product marking and corresponding documents such as POs, invoice, bill
of lading, transaction certificate or other relevant purchase certificate.
3- Verify unit counts or pre-weight the packages to verify the claimed materials units/weight on packaging
or product marking before storing for production.
4- Review incoming POs, invoices, contracts. The information as stated in Factory's PO should match with
the corresponding supplier's sales invoice, for example, quantity, type, quality, color, weight, material
claim etc.
1- Copy of Supplier's certificate
2- Supplier evaluation report or
template
1- Outsourcing contract,
subcontractor evaluation and
material balance records of the
subcontracting factory.
1- Incoming material inspection
process required and optional
to upload any other evidence
such as declaration from the
supplier, transaction certificate,
invoices, etc.
5- Check if the factory has an escalation procedure of any discrepancy observed at the time of incoming
material verification. Escalation procedures is defined as having a decision-making process to determine
the necessary action to take when one finds something wrong on site.
6- Documentation of product performance tests specific to product type such as for strength, flexural, fire
resistance, etc.
7- The claim of the product and certification code should be clearly mentioned in supplier's sales invoice,
if applicable.
Organic
Organic
Raw
Material
Storage
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Does the factory have an
understanding and full visibility of
their whole supply chain from lint
cotton to fabric?
Does the factory have an
evaluation plan on their supply
chain if there is a trader involved
between the raw material
processing factory and its
manufacturer of its raw material?
Does the factory have designated
areas to store or stack the claimed
material to avoid
mixing/contamination and
maintained effectively?
Note: If no incoming raw material has been purchased, ensure to check past documentations or
templates. The intention is to have a process in place.
1- Verify if factory can present mass balance by volume and transaction templates demonstrating
connectivity of entire supply chain from upstream raw materials stages to finished fabric/garment.
2- Acceptable documents are ginner Non-GMO/Pesticide test reports, transaction certificate, country of
origin certificate, PO/Invoices or approved documentation under standard scope of IFOAM family or any
credible documents demonstrating traceability from finished products to its cotton origin.
Common scenarios are:
For vertical supply chain where yarn is the incoming raw material, then transactions records must link up
to lint cotton.
For non-vertical supply chain where fabric may be the incoming material, then transaction records up to
fiber must be presented and knowledge of cotton origin by presenting test report.
With involvement of trader, there is a possibility that country of origin/supplier information may not be
clearly available, which increases the risk. Check if factory has the capability to obtain any certificate or
any third party certified documentation to prove cotton origin to organic certified ginner/farm.
1- Check the method adapted by the factory and verify if there is ample space to store and maintain
segregation of the claimed raw material.
2- Check for effectiveness of segregation technique.
(a) Claimed raw material is being handled separately from normal material.
(b) Raw material is moved to processing area securely.
3- Record any opportunities of claimed raw material being mixed with other material.
4- Verify if floor has SOPs/guidelines to handle claimed materials.
1- Set of documentation listed
in the guideline to demonstrate
full visibility of supply chain.
1- Certificate or license
showing cotton origin from
certified ginner/farm
1- SOP/guidelines indicating
the segregation techniques
such as for example, are wise,
color coding, batch accounting,
etc
Production
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Does the factory ensure that
claimed material is kept clearly
identified from
unclaimed/material with different
claim so as to avoid any mixing or
substitution?
Does the factory test its end to
end internal traceability system at
a regular frequency to ensure it
works and maintains detailed
documented records of such
evaluations?
Does the factory have material
consumption sheet to explain how
much claimed material is needed
for program in scope and If the
material stock found sufficient
according to consumption need?
5- Interview the people to understand their level of awareness with respect to segreation procedures and
how effectively systems are followed.
Note - Segregation is defined as a method to keep claimed raw material separately to minimize and avoid
chances of mixing with other raw materials. For example, allocating specific area for keeping claimed
materials, placards, identification, stacks with boards etc.
1- The factory should have detailed documented procedures clearly stating the methodology as adapted
by them to maintain identification of the claimed material.
2- If the factory already has some claimed material in its possession, check the on-ground implementation
of identification technique. It should be consistent with the methodology as stated in factory procedures.
3- The review is not only limited to documentation verification but also check the effectiveness of on
ground implementation.
Identification refers to the physical distinction created by the factory for easy recognition of claimed raw
material through all the stages of processing. For example and not limited to color coding and bar coding.
1- The factory periodically (at least annually) confirms that their traceability system is working. Ask the
factory to provide records in the form of reports or meeting minutes that would support the factory is
ensuring the effectiveness of the "end to end" traceability system.
2- The factory needs to show that they can backtrack/ trace a PO for the claimed product all the way back
to the purchase of components (i.e. cotton, packaging, etc.) If there has not been any production for
claimed material yet then verify for existing product at factory.
3- Randomly select a finished product and have the factory demonstrate the lot/batch number of the raw
materials & components used to manufacture these finished product.
4- Claimed materials shall be clearly traceable (on documents as well as physically) as they move through
the production.
5- The source of all claimed material is reviewed such as origin type and country of origin.
Traceability refers to the ability of the factory to establish the raw material batch from which a final
product has been manufactured. Such traceability should be supported by linking of evidences on raw
material procurement, WIP documentation trail to the final product.
1- The factory should be able to present consumption calculation sheet for the program in scope with
respect to wastages and allowances involved.
2- Verify the quantities of raw material procured is accurate and in line with the methodology as specified
in the factory consumption sheet.
Note: If no raw materials have been procured, past records or template can be reviewed.
1- Photographs on floor
instructions, SOPs and WIP
storage area
1- Internal traceability audit
procedures
2- Internal audit reports and
supporting evidences
1- Consumption calculation
sheet
2- Supporting documentations:
raw material receipt records,
inward registers, issuance slips,
outward registers, suppliers'
sales invoices, wastage records
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Does the factory have a bill of
materials (BOM) or similar
documentation describing content
and source of each raw material
component in a product?
Does the factory maintain a
documented list of machines
identified for the production of
claimed materials?
Does the factory maintain records
for scrap/waste generated, reused
and sent to disposal, incineration
or additional recycling?
Does the factory follow a mixing
plan, Mass Balance formula
enabling to identify the
connection to mother lots of the
raw material utilized and blend
ratio produced for final product?
The factory shall provide a bill of materials that identify the content of different claimed material in a
product. They should have a mechanism for controlling the product formula.
1- Check the designated machine list and their production records to confirm if the material has been
processed on these machines.
2- Randomly select some other machines to check their record if they have been running claimed
material.
3- Interview the production staff to check their awareness level with regards to machine identification
and cleaning routines for claimed material.
4- The Process Flow Diagram & the MCP should call out the designated machines being used.
1- Factory shall submit the conversion waste rate and records and demonstrate how the waste is
calculated for scrap generated, reused, and sent to disposal, incineration or additional recycling etc.
2- Check the amount of wastage for different claims and they must be recorded separately at all steps of
production.
3- Verify the amount of wastage incurred for both pre and post-consumer wastage separately.
4- Check the production reports to assess right first time yield of material vs claimed material to assess
the utilization of wastage factor.
5- The residual wastage of claimed fiber manufacturing process should not be mixed back into the
production lot.
6- If the factory has spinning capability, verity if there is any process/practice to avoid mixing of reclaimed
fiber (wastage) from production floor.
1- Check if the factory have valid mass balance formula.
2- Validate number of lots to confirm the accuracy of mixing plans.
3- Mixing plans should have valid lot identification.
4- Claimed materials should be traceable back to their purchasing / transaction certificates.
5- Used quantity and balance quantity for claimed material lots match production records and technical
specs.
Note: Mass Balance Guideline can be found in POL.
1- Bill of Materials
1- Machine List
1- Waste Disposal Records with
conversation rate
1- Mass Balance Sheet
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Organic
Organic
Organic
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Does the factory have
documented process for cleaning
routines in place for production
equipment to avoid cross
contamination? Is it being
implemented effectively?
Are development and production
recipes consistent and compliant
with Organic standards
(OCS/GOTS)?
Does the factory maintain a
controlled list of chemicals such as
dyes, pigments, chemicals and
auxiliaries in compliance with the
current organic standard GOTS?
Are chemicals used in organic
production stored properly in
accordance with their storage
1- Review the production records for designated machine along with cleaning routines (SOP - should
include detailed cleaning steps of relevant machines) to understand appropriate down time observed
during production hours to ensure that factory is following cleaning routines consistently.
2- Cleaning routines for machine stoppages and change-overs are documented for the chemical dosing
tank, dosing lines, automated color kitchen, weaving, finishing, etc.
1- Production recipes are traceable to development recipes.
2- The development recipe is the same in term of chemical ingredients and the ratio of chemical
quantities with the general production recipe.
3- Recipes are in accordance with OCS/GOTS compliance and include only authorized chemicals permitted
to use in production of goods under organic scope by self declaration / compliance certificates provided
by the chemical supplier to check the suitability of chemicals (applicable to patent chemistry only).
1- All chemicals below approved by an accredited GOTS certifying body to use (as applicable). Ensure selfdeclaration documents and testing reports are from within the last year or show proof the chemical was
purchased from an approved GOTS supplier (GOTS certificate). Examples include but are not limited to
below:
Knitting oils
Spinning waxes
Yarn finish
Sizing chemicals
Weaving oils
Dyestuffs
Pigments
Chemicals
Auxiliaries
Printing glues
Filling agents
Stain removers
Machine cleaners
Chemicals for pest control
Note this question is for factory that are certified for GOTS. For OCS, please mark N/A.
1- Dyes and chemicals shall be stored in accordance with MSDS.
2- Storage area should be neat & clean from dyes and chemical spills.
3- Factory is not using any recovered chemical in case of accidental spill to process Organic goods.
1- Cleaning routine
charts/records
1- Production recipes
1- List of chemicals and verify
against RSL
1- Photograph of chemical
storage area
compatibility plan with respect to
guidelines in Material Safety Data
Sheet (MSDS) to avoid chance of
cross contamination and hazard
due to non compatible nature?
Organic
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Does the factory have pest control
plan compatible with GOTS
requirements ?
Organic
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For factories using recycled water
and processing agents in their
organic production, are they
adequately preventing
contamination?
Organic
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Does the factory obtain a third
party test report(s) to indicate the
incoming raw materials are
verified as non-GMO and free of
known pesticides/harmful
chemicals?
4- Air circulation in store should be control to avoid cross contamination especially considering powder
state of some of the dyes and chemicals.
5- Weighing utensils shall be neat and clean preferably separate and designated for each and every
chemical in store.
6- If factory utilize same set of weighing utensils then it should be washed with the help of cleaning agents
to get contamination free.
1- The factory has an effectively implemented pest control program, i.e. no feces and pest related damage
are noticeable on the factory premises.
1- Factory's pest control plan
2- All chemicals being used for pest control must meet GOTS requirements and should not have any
and list of chemicals used in
chemicals prohibited under GOTS standard.
pest control
3- The chemicals as listed for pest control should conform to the requirements as mentioned in the
factory's pest control plan.
4- Check if the factory has any non-chemical pest control practices as well, for example, Air Flow, traps
etc.
Note this question is for factory that are certified for GOTS. For OCS, please mark N/A.
1- All sort of recycled chemicals and water (Sizing, Caustic, Water coming from post washing chambers,
water from effluent treatment plant) are not allowed to be utilized in production processes.
Unless:
(a) The factory is maintaining a suitable testing frequency of recycled chemical or water to check that
recycled chemical or water is suitable in accordance with OCS/GOTS chemical requirement at finished
goods.
(b) Records for the same must be maintained and shall be presented.
2- Water from heat exchangers can be used (as they are not chemically contaminated). The factory should
test this at defined & documented frequency to validate the same.
3- The factory must have a documented process for testing the quality & chemical contamination levels
for the water being used in production including the frequency of the tests.
Factory may present one of the following sample test report:
1- Test reports where factory’s incoming raw materials were tested.
2- Test reports that were tested at seed level farm to ginner with documentations clearly showing finished
goods linkage to the organic certified farm.
3- Verify if this check process is implementing in Manufacturer Control Plan.
1- Waste water testing records
1- Sample document showing
Non-GMO Test and Pesticide
test reports
Final Product
Packaging
and Storage
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Certification
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except
Supima
and COO
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Except
Supima
and COO
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Are finished goods appropriately
stored to avoid damage and
deterioration?
Does the factory have a valid
certification/ license and material
scope (as per online database)
from an authorized/ accredited
certifying organization pertaining
to the product claim?
Has the factory rectified all the
nonconformities and
implemented effectively the
corrective actions as identified
during its last third party
certification audit prior to Target’s
Claimed Material Assessment?
1- Verify storage conditions at the SITE to validate the storage practices.
2- Manufacturing processes must be adequate to ensure all goods are sufficiently dry prior to packaging.
3- The finished product should be stored properly and should not be exposed to conditions which may
deteriorate or affect the product.
(a) Finished goods and shipping cartons must not be stored outdoors.
(b) Finished goods and shipping cartons must be stored off the floor, away from walls on pallets or
shelving and be covered to prevent dust/dirt exposure (if appropriate).
(c) Shipping cartons must be dry and should not be damaged.
1- The factory's certification should be valid as per its latest status.
2- Verify whether the scope of the factory's certificate covers all its activities and products.
3- Verify whether the factory's manufacturing sites covered within certificate scope.
4- Verify that against what claim certification standards and versions the factory has been audited.
5- The validity of the external certification or license should be a minimum of 1 year from the day of the
audit.
1- Check for the third party audit report status and type of nonconformities issued (major/minor/critical).
2- Verify closure and supporting evidences as submitted by the factory, if these were reviewed and
responded by third party auditor.
3- Verify the confirmation from third party/ certification body on the closure of nonconformities.
4- Verify onsite implementation of nonconformity closures as stated in the documentation and supportive
evidences submitted by the factory.
1- Photographs of finished
material stocking area
1- Valid certification/license
1- Latest third party
certification audit report
2- Latest third part
nonconformity report
3- Supportive evidence
submitted by the factory