Supplier Approval Toolkit – Risk-Based Qualification System (Word, Excel)

Most supplier audit tools give you a checklist. This gives you
a complete qualification system — from first contact with a new
supplier all the way through to a signed, scored audit record
and a central register that tells you, at any moment, exactly
which suppliers are approved, which are overdue, and which have
open corrective actions.

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THE PROBLEM THIS SOLVES
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If a regulator or certification auditor asks you tomorrow to
show your supplier approval records, what would you hand them?

Most companies have a collection of inconsistent forms,
spreadsheets from different people, and no clear record of
who approved which supplier or when. That is the gap this
Toolkit closes.

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HOW IT WORKS
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Every supplier goes through the same risk-based process:

→ Score the supplier on 5 risk factors using the Risk
Assessment Matrix. The weighted score calculates
automatically and assigns a tier: Critical, High,
Medium, or Low.

→ The tier tells you which audit to run:
Critical / High → Full On-Site Audit (212 questions)
Medium → Desk Audit (57 questions, no site visit)
Low → Self-Assessment Questionnaire only

→ Every finding flows into the central CAPA Log.
Every approval decision is recorded in the Approved
Supplier Register with the next audit due date.

→ Both parties sign. The supplier signs a formal
declaration. You have a complete, defensible audit trail.

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WHAT'S INCLUDED — 7 FILES
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📄 FILE 1 — Setup Guide & Legal Disclaimer (Word)
Read first. Token map, setup steps, compliance baseline.

📄 FILE 2 — Supplier Approval Procedure (Word)
The governing document. Defines decision rules, roles,
audit frequencies, approval and suspension criteria.

📊 FILE 3 — Risk Assessment & Tiering Matrix (Excel)
Score 5 weighted factors. Tier and required audit type
auto-calculate. Tracks all suppliers in one register.

📊 FILE 4 — Supplier Self-Assessment Questionnaire (Excel)
Send to the supplier before qualification. They declare
their certifications, food safety systems, and compliance.

📊 FILE 5 — Pre-Qualification Desk Audit Checklist (Excel)
57 questions across 10 areas. For lower-risk suppliers.
No site visit needed. Live auto-scoring.

📊 FILE 6 — Full On-Site Audit Checklist (Excel)
212 questions across 20 areas. For critical and high-risk
suppliers. Live scoring, Audit Sign-Off, Supplier
Declaration. Both parties sign.

📊 FILE 7 — Approved Supplier Register & CAPA Log (Excel)
Central record of every supplier's approval status, risk
tier, last audit score, next audit due, and open CAPAs.
Color-coded by status.

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WHO IT'S FOR
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→ QA managers building or formalising a supplier
qualification programme
→ Supply chain and procurement teams who need a
consistent, auditable approval process
→ Food safety and PCQI professionals managing
FDA 21 CFR 117 supply-chain programme requirements
→ HACCP and compliance consultants setting up
supplier systems for clients
→ Co-packers and contract manufacturers auditing
their own ingredient and packaging suppliers

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EASY SETUP — 3 STEPS
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1. Download and unzip
2. Find & Replace your company name and initials
(under 5 minutes)
3. Risk-tier your first supplier and start

Fully editable in Microsoft Word & Excel.
Fully customizable to your brand colours.

Also available: the Full On-Site Audit Checklist
(File 6) as a standalone product — search our shop.

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This toolkit is for internal supplier qualification purposes.
It does not constitute regulatory or certification advice and
does not guarantee compliance or audit outcomes with any
third-party or regulatory body.