Compliance reference

Lookup tables for lot and supplier compliance. For how any of it behaves, start with How the release gate works.

Document types

Which types are offered depends on where you're uploading. A lot takes batch paperwork; a supplier takes certificates that belong to the company.

On a lot

Type	What it is	Expires?
Certificate of Analysis	Lab results for the batch	No
Batch Record	Your own production record for a batch you made	No
Specification Sheet	The standard the batch was made or bought to	No
Lab Report	Test results that aren't a formal COA	No
Batch Photo	Photo of the pallet, label or seal	No
Other	Anything else worth keeping with the batch	No

A Certificate of Analysis has no expiry because it certifies a batch at a point in time — it records what the batch was, and that doesn't lapse.

On a supplier

Type	What it is	Expires?
NSF Certificate	The supplier's NSF certification	Yes
GMP Certificate	The supplier's GMP certification	Yes
TIC Documentation	Third-party inspection or certification	Yes
Label Version	An approved label artwork version	Yes
Insurance Certificate	The supplier's certificate of insurance	Yes
Audit Report	An audit of the supplier or their site	Yes
Specification Sheet	A standard held at supplier level	Yes
Other	Anything else belonging to the supplier	Yes

Fields

Field	Notes
Issuer	The lab, certifying body or auditor — not the supplier being certified
Reference	The document's own number, for matching against the issuer's records
Issued	When it was written
Expires	When it lapses. Offered only for types that expire
Description	Free text

A Batch Photo carries none of the provenance fields — a photo has no issuing body or report number.

COA verdicts

Verdict	Condition	Effect on stock
COA passed	Every required analyte has a result, all results inside their limits	None
COA out of spec	At least one result outside its limit	Lot quarantined on a quality-control hold
COA incomplete	A required analyte has no result	None — the lot stays sellable
No specification	The product has no Quality Spec	None — nothing to judge against

Optional analytes don't affect completeness, but a value entered against one is still judged.

Quality Spec fields

Field	Notes
Analyte	The measured property. Match your lab's wording — results are matched to spec rows by this name
Method	The test method, e.g. ICP-MS, AOAC 990.12
Acceptance limit	A minimum, a maximum, or a range
Unit	The unit results are reported in
Required	Whether a missing result makes the lot read as incomplete

Limits are snapshotted onto each result when it's entered, so editing a spec never re-judges lots already assessed.

Reserve sample statuses

Status	Units held?	Meaning
Retained	Yes	In your possession, retention clock running
Sent to Lab	Yes	Out for third-party testing. Requires a lab name
Returned	Yes	Back in your possession after testing
Discarded	Yes	Destroyed after the retention period

Every status holds the units. Discarded included — the sample was physically destroyed, so releasing the hold would return units to available-to-promise that no longer exist.

Retain until defaults to one year past the lot's expiry date, per 21 CFR 111.83. Entering one yourself overrides that and is recorded as a deliberate choice.

Supplier compliance states

State	Meaning
Compliance current	Every required certificate is on file and in date
Compliance incomplete	At least one required certificate is missing or expired
(no indicator)	The supplier has no required certificate types

Certificate chips read Valid, Expiring (within 60 days) or Expired.

Renewal reminders fire at 90, 60, 30 and 15 days before expiry, once per threshold per certificate.

Permissions

To do this	You need
View lot documents, results, samples	Inventory access
Upload or remove lot documents	Permission to manage quality data
Enter COA results, record a verification	Permission to manage quality data
Add or change reserve samples	Permission to manage quality data
Edit a product's Quality Spec	Permission to manage quality data
Upload supplier certificates, set required types	Permission to update suppliers

Managing quality data is deliberately separate from adjusting stock. Filing a Certificate of Analysis is not a stock movement, and a quality reviewer shouldn't need the ability to change inventory in order to do it.

Where each thing lives

Looking for	Go to
Documents on one batch	The lot's Documents tab
Any document, by batch number	Inventory → Compliance Docs
A supplier's certificates	The supplier's Compliance tab
Reserve samples for a batch	The lot's Samples tab
A lot's acceptance limits	The product's Quality Spec tab
Stock held by a failed result	Inventory → Stock Holds