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GMA Ingredient Supplier

Benchmarking Questionnaire

www.gmaonline.org

History
2008 GMA Publishes Food Supply Chain Handbook,
http://www gmaonline org/publications/index cfm
http://www.gmaonline.org/publications/index.cfm

2009 GMA Microbiological Safety Committee conducts to


survey to measure supply chain food safety practices
2010 GMAs Leading Supplier Practices Share Group
(LSPSG) is formed
Spring 2012 LSPSG decides to re
re-issue
issue supplier survey in
much more detail
Julyy 2012: The results are in...

www.gmaonline.org

Thanks to...
The 90 150 food industry suppliers who took time to
participate in the survey
Audrey Rubio, GMA SurveyMonkey SME
Bonnie Welshons
Welshons, Chair of the LSPSG
Survey Champions:
o
o
o
o

Brent Brehmer, Hormel Foods


Mark Carlson, MOM Brands (formerly Malt-O-Meal)
Evie Severyn, Land-O-Lakes
Penny Marsh, Kerry Ingredients

www.gmaonline.org

Question 1: Company Size (based on annual sales)


Answer Options

Response
Percent

Response
Count

Micro Cap: < $250 Million

50.7%

72

Small Cap: $250 Million

16.2%

23

Mid Cap: $1 to $8 Billion

21.8%

31

Large Cap: > $8 Billion

11.3%

16

answered question

142

Micro Cap: < $250 Million


Small Cap: $250 Million
Mid Cap: $1 to $8 Billion
Large Cap: > $8 Billion

Question 2:
Is your company a member of the Grocery Manufacturers Association?

Answer Options

Response
Percent

Response
Count

Yes

20.3%

30

No

59.5%

88

Don't Know

20.3%

30

answered question

148

Yes
No
Don't Know

Question 3: Number of domestic (US) ingredients purchased

Answer Options

Response Response
Percent
Count

< 100

49 7%
49.7%

71

100 - 500

26.6%

38

500 - 1,000

7.0%

10

1 000 - 1,500
1,000
1 500

5 6%
5.6%

> 1,500

11.2%

16

answered question

143

< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500
1 500

Question 4: Number of foreign (non-US) ingredients purchased


Answer Options

Response
Percent

Response
Count

< 100

68.8%

97

100 - 500

17.7%

25

500 - 1,000

5.7%

1 000 - 1,500
1,000
1 500

1 4%
1.4%

> 1,500

6.4%

answered question

141

< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500

Question 5: Number of domestic (US) ingredients supplying locations

Answer Options

Response
Percent

Response
Count

< 100

65 2%
65.2%

92

100 - 500

23.4%

33

500 - 1,000

7.1%

10

1,000 - 1,500

2.1%

> 1,500

2.1%

answered
d question
i

141

< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500
,

Question 6: Number of foreign (non-US) supplying locations


Answer Options

Response
R
Percent

Response
R
Count

< 100

83.5%

116

100 - 500

12.2%

17

500 - 1,000

0.7%

1,000 - 1,500

0.0%

> 1,500

3.6%

answered question

139

< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500

Question 7: What product categories does your company produce (per FDA RFR Commodities
Definitions)? (Check all that apply)
Response
Response Count
Answer Options
Percent
14 8%
14.8%
20
Acidified/Low Acid Canned Foods (LACF)
11.9%
16
Animal Food/Feed
14.1%
19
Bakery
10.4%
14
Beverages
3.7%
5
Breakfast Cereals
5.2%
7
Chocolate/Confections/Candy
24.4%
33
Dairy
8.9%
12
Dressings/Sauces/Gravies
2.2%
3
Egg
12 6%
12.6%
17
Frozen Foods
14.8%
20
Fruit and Vegetable Products
0.0%
0
Game Meats
6.7%
9
Meal Replacement/Nutritional Food and Beverages
1.5%
2
Nuts/Nut Products/Seed Products
3 0%
3.0%
4
Oil/Margarine
3.7%
5
Pasta
7.4%
10
Prepared Foods
3.7%
5
Produce - Fresh Cut
3.0%
3
0%
4
Produce - Raw Agricultural
2.2%
3
Seafood
5.9%
8
Snack Foods
2.2%
3
Soup
23.7%
32
Spices and Seasonings
15 6%
15.6%
21
Stabilizers/Emulsifiers/Flavors
5.2%
7
Colors/Texture Enhancers
5.9%
8
Sweeteners
11.1%
15
Whole and Milled Grains and Flours
answered question
135

Question 7 Contd: What product categories does your company produce


(
(per
FDA RFR C
Commodities
diti D
Definitions)?
fi iti
)? (Ch
(Checkk allll that
th t apply)
l )

30.0%
25.0%
20.0%
15.0%
10.0%
5.0%
0.0%

Question 8: What documents does your company require for initial raw
material supplier qualification/desk audit?
Answer Options
Continuing Letter of Guarantee
Certificate of Insurance
Food Facility Registration Number
Plant Name and Address
Supplier Contacts (e.g. Recall)
Third Party Food Safety Audit (e.g. BRC, SQF, NSF)
Third Party Audit - Accept Full Audit Only
Third Party Audit - Accept Cover Page / Score
Third Party Audit - With Corrective Actions
y
Control Program
g
(e.g.
( g HACCP
Food Safety/Preventative
flow & CCP charts)?
Allergen Program Info (Product/Line/Facility)
Raw Material Spec Info (e.g. Kill Step, Micro, Nutrition,
Shelf Life, Claims, Package Type, Chemical Migration)
FDA/CFIA Approval Letters
Country of Origin
Treatment (e.g. Ethylene Oxide, Irradiation)
Supplier Approval Program & Process
Trace & Recall Program
Ingredient Statement / Label
Other (please specify)

answered question

Response
R
Percent

Response Count

90.2%
75.4%
59.0%
96.7%
87.7%
73.8%
27.9%
32.8%
39.3%

110
92
72
118
107
90
34
40
48

70 5%
70.5%

86

84.4%

103

77.9%

95

34.4%
86.1%
36.9%
46.7%
63.1%
81.1%

42
105
45
57
77
99
16
122

Question 8 Contd: What are the documents your company requires for initial raw
material supplier qualification/desk audit? (Check all that apply)

120.0%
100 0%
100.0%
80.0%
60.0%
40.0%
20.0%
0.0%

Question 8 Contd: What are the documents your company


requires for initial raw material supplier qualification/desk audit?
Other Please fill in the blank
Product Spec, Product Label, MSDS, GMO Statement, Shelf life and lot coding
details
msds
Halal Certificate, Kosher Certificate
GAP Audits
Kosher, Halal, Organic
Halal Certification, Kosher Certification
C
CA Transparency
a spa e cy Act
ct o
of 2010,
0 0, Kosher
os e Ce
Cert,
t, G
GMO
O State
Statement,
e t, Ou
Our
questionnaire (depending on their audit)
Questionnaire
Product specs, allergen.
g
NA
custom survey
questionaire that covers general quality programs
product documentation p
per each ingredient.
g
All p
kosher
www.gmaonline.org

Question 8 Contd: What are the documents your company


requires for initial raw material supplier qualification/desk audit?
Other Please fill in the blank
Organic Certificates where applicable, Kosher, and HALAL
COAs,
COAs Kosher certificates
certificates, gluten statement
statement, rBST free statement
Quality Questionaire, Religious Compliance Certification, NOP Compliance,
Biosecurity, Crisis Management, Product Specifications, MSDS, Certificate of
Naturalness, NOn-GMO Statement, Allergen Cross Contamination Prevention
Program, CT-PAT compliance, Prop 65 compliance, COA's, Employee
Training, Chemical Control, Supplier Audit and Approval Program, HACCP and
cGMP compliance statement, Recall Program, Process Flow with CCP's,
HACCP Summary
Summary, Positive Hold Release Program
Program, GLP program
program, CAR
program, Pesticide Program for Facility and raw materials, and FIFO/FEFO
system.
16 responses

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Question 9: What is the frequency of requesting updated documents from suppliers?


Answer Options
At Initial Request Only
Once a Year
Every 2 Years
Every 3 Years
Every 5 Years
Depends on Risk
No Frequency Established

answered question

Response
Percent
3.3%
53.3%
8.2%
10.7%
1.6%
18 9%
18.9%
4.1%

Response
Count
4
65
10
13
2
23
5
122

At Initial Request Only


O
Once
a Year
Y
Every 2 Years
Every 3 Years
Every 5 Years
Depends on Risk
No Frequency Established

Question 10: Company requires suppliers to complete a supplier questionnaire?

Yes - For All


Depends on Risk
No

Answer Options

Response
Percent

Response
Count

Yes - For All

60.3%

73

D
Depends
d on Ri
Riskk

19 8%
19.8%

24

No

19.8%

24

answered question

121

Question 11: If yes, what is frequency of each supplier location completing the
questionnaire?

At Initial Request Only


Once a Year
Every 2 Years
Every 3 Years
Every 5 Years
Depends on Risk
No Frequency Established

Response
Percent

Response
Count

At Initial Request Only

23.5%

24

Once a Year

25.5%

26

E
Every
2Y
Years

9 8%
9.8%

10

Every 3 Years

10.8%

11

Every 5 Years

2.0%

Depends on Risk

18 6%
18.6%

19

No Frequency Established

9.8%

10

Answer Options

answered question

102

Question 12: Have you asked your suppliers to become GFSI certified?

Yes

No

NotYet,
ButPlanTo

Yes

Response
Percent
18.9%

Response
Count
23

Not Yet, But Plan To

23.0%

28

No

58.2%

71

Answer Options

answered question

122

Question 13: What percentage of suppliers locations are GFSI certified?


Answer Options

Response
Percent

Response
Count

< 10%

35.5%

39

10-25%

28.2%

31

25-50%

20.0%

22

50 75%
50-75%

5 5%
5.5%

>75%

10.9%

12

answered question

110

< 10%
10-25%
25-50%
50-75%
>75%

Question 14: Do you require on-site visit to the ingredient supplier prior to purchase?

Y
Yes
No

Depends
on
on
Ingredient
Risk

Answer Options

Response
Percent

Response
Count

Yes

9.8%

12

Depends on Ingredient Risk

52.5%

64

N
No

37 7%
37.7%

46

answered question

122

Question 15: Do you require Certificates of Analysis (COAs) on incoming ingredients?

Answer Options

Response
Percent

Response
Count

No

13 6%
13.6%

14

Yes

86.4%

89

answered question

103

No

Yes

Question 16: What is required on COAs per ingredient category?


(check all that apply)
Answer Options

Acidified/Low Acid Canned Foods (LACF)


Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
Gums/Stabilizers
Legumes
Liquor
Meats
Nuts/Seeds
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
Starches
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

Micro
Micro (No
Pathogens) (Pathogens)

4
3
2
11
3
10
9
27
10
13
13
16
18
15
16
20
1
1
6
7
4
4
2
2
25
22
23
13
13

2
4
4
21
6
11
11
39
20
14
16
14
13
20
22
22
4
1
10
12
4
4
2
5
35
20
15
12
19

Chemical

Physical
Attributes

Identity (e.g.
Authenticity,
GMO)

Other

Not
Applicable

Response
Count

6
2
4
12
3
22
11
32
10
24
37
33
47
17
20
30
4
2
7
8
8
4
2
3
25
29
27
23
18

7
3
10
16
5
25
11
34
14
25
33
32
43
20
29
33
7
1
7
12
8
6
3
3
29
33
34
22
22

2
3
2
11
4
15
8
14
3
8
17
15
19
10
13
14
3
0
3
6
2
1
0
0
11
11
15
14
9

2
2
2
4
1
10
4
12
7
7
11
13
13
10
8
9
3
1
3
4
6
3
4
2
12
9
11
8
9

40
37
32
23
35
25
33
14
28
23
15
18
10
27
19
19
37
40
33
31
30
34
36
36
22
19
19
23
22

47
42
43
47
42
55
47
59
50
51
58
60
60
55
54
59
45
42
45
49
41
44
43
42
63
57
57
50
50

Question 17: How often do you require a COA on incoming ingredients?


Answer Options

Acidified/Low Acid Canned Foods (LACF)


Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
G
Gums/Stabilizers
S
Legumes
Liquor
Meats
Nuts/Seeds
Oh
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
S
Starches
h
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

Each Lot /
Shipment

Quarterly

Every 6
Months

Annually

Other

Never

Not
Applicable

Response
Count

7
3
10
22
5
31
14
41
20
28
42
40
49
24
33
38
6
1
9
18
18
7
5
4
37
39
40
26
24

0
0
0
1
1
0
0
1
1
0
0
1
0
1
1
1
1
0
1
1
0
1
0
0
1
0
0
0
1

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
1
0
0
0
0

0
0
0
0
1
1
1
1
0
1
1
1
1
1
0
1
0
0
0
0
0
0
0
0
0
1
0
1
1

1
1
1
1
1
1
1
2
1
1
1
1
2
1
1
1
2
1
1
1
1
1
2
1
1
1
1
1
1

0
0
0
0
0
1
0
0
0
0
0
0
1
0
0
1
0
0
0
0
0
0
0
0
0
0
0
0
0

38
37
33
26
34
23
31
15
28
22
16
19
9
28
22
17
35
38
34
30
28
34
37
33
23
18
20
23
25

46
41
44
49
42
57
47
60
50
52
60
61
61
54
56
59
43
40
44
50
47
43
43
38
62
58
60
51
51

answered question

90

Question 18: If you require pathogen testing on incoming ingredients, do you


also require an adequate environmental sampling program (i.e. as suggested in
GMA's "Control of Salmonella in Low-Moisture Foods" document)?
Answer Options

Response
Percent

Response
Count

Yes

35.2%

32

No

37.4%

34

Not Applicable

27.5%

25
91

answered question

Yes
No
Not Applicable

Question 19: Do you conduct testing on incoming ingredients?


Answer Options
Acidified/Low Acid Canned Foods (LACF)
Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
Gums/Stabilizers
Legumes
Liquor
Meats
Nuts/Seeds
Oth
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
Starches
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

Micro (No
Micro
Chemical
Pathogens) (Pathogens)
0
1
0
4
1
3
1
14
5
2
2
6
5
10
9
3
0
1
4
2
2
2
3
1
10
5
8
5
4

0
1
0
5
2
4
3
11
3
4
4
6
4
8
7
4
0
1
3
2
1
1
1
3
12
7
8
5
4

1
0
0
2
1
5
1
11
4
5
12
9
15
10
6
6
1
1
3
3
5
0
5
3
12
9
11
6
3

Identity (e.g.
Physical
Authenticity,
Attributes
GMO))
2
2
1
5
2
10
2
11
5
6
14
14
17
15
9
8
3
1
2
5
4
1
8
1
14
12
15
6
4

0
1
0
1
1
3
0
0
0
1
3
5
9
7
2
2
2
0
2
0
1
0
1
1
2
3
4
4
1

Other

No

1
1
2
4
3
3
3
6
2
3
3
3
6
4
4
2
2
1
2
2
1
1
1
2
6
4
5
5
3

13
9
12
15
9
20
14
20
15
20
22
22
28
13
15
24
11
9
10
13
12
12
10
9
16
23
20
16
16

Not
Response
Applicable
Count
40
39
38
29
38
29
36
22
34
28
24
26
16
33
27
24
39
41
37
35
31
37
35
39
27
25
25
29
30

answered question

56
52
53
56
53
63
55
65
57
60
67
69
71
67
62
62
55
52
53
56
52
53
55
52
65
65
64
59
56
102

Question 20: How often do you conduct testing on incoming ingredients?


Answer Options
Acidified/Low Acid Canned Foods (LACF)
Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
G
Gums/Stabilizers
/St bili
Legumes
Liquor
Meats
Nuts/Seeds
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
Starches
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

Each Lot /
Shipment

Quarterly

Every 6
Months

Annually

Other

Never

Not
Applicable

Response
Count

2
4
0
9
5
9
4
17
5
6
18
12
19
20
11
9
4
1
4
3
6
1
9
3
11
11
12
6
5

0
0
1
1
0
0
1
1
1
2
1
1
2
1
3
2
0
0
1
2
0
1
0
0
3
1
2
2
1

0
0
0
0
0
1
0
1
0
0
0
2
0
0
0
0
0
0
0
1
0
0
0
0
1
2
2
0
1

0
0
0
0
0
2
0
1
1
1
2
2
4
0
2
2
0
0
0
1
3
0
0
0
2
3
2
1
2

2
1
2
2
1
2
3
3
2
4
4
5
5
3
4
3
1
1
2
1
1
2
2
1
6
4
3
4
2

6
5
7
7
6
12
7
13
9
12
11
13
14
7
11
12
6
5
6
6
7
8
6
5
9
12
13
10
9

41
39
38
32
36
30
35
22
34
29
26
28
20
33
27
25
38
40
36
36
32
36
34
37
29
24
25
29
31

51
49
48
51
48
56
50
58
52
54
62
63
64
64
58
53
49
47
49
50
49
48
51
46
61
57
59
52
51

answered question

100

Question 21: Do you conduct pathogen or other testing (i,e,. pesticide


residues) that could result in a recall for the supplier/manufacturer should the
test fail?

Yes

No

Answer Options

Response Percent

Response Count

Yes

32.7%

34

No

67.3%

70

answered question

104

Question 22: If yes, do you work with each supplier to afford them the
opportunity to Hold all product that would be affected by the test results?

Yes
Not
Applicable
No

Answer Options

Response Percent

Response Count

Yes

32.5%

25

No

7.8%

Not Applicable

59 7%
59.7%

46

answered question

77

Question 23: Number of dedicated Quality professionals managing your


Supplier Quality Program:

0 6 companies responded
.25
25
1 15 companies responded
1.5 2 companies responded
2 22 companies responded
3 13 companies responded
4 9 companies responded
5 4 companies responded
6 6 companies responded
7 2 companies responded
8
9
10

12
13
15
16
18
25 2 companies responded
50
> 100 2 companies responded

93 responses
www.gmaonline.org

Question 24: Number of Quality Assurance professionals who are


qualified to conduct ingredient supplier audits:

0 5 companies responded
1 25 companies responded
1.5
2 24 companies responded
25
2.5
3 7 companies responded
4 7 companies responded
5 5 companies responded
6 3 companies responded
8 2 companies responded
10 4 companies responded
< 10

15 2 companies responded
16
17
> 100
> 300

www.gmaonline.org

Question 25:
Do you use contract auditors to perform your company supplier audits?

Answer Options

Response
Percent

Response Count

Yes

28.3%

26

No

71.7%

66

answered question

Yes

No

92

Question 26: If yes, does the outside audit firm use...

Answer Options

Your Company Audit Checklist


One of Their Audit Checklists

Response
Percent

Response
Count

29.2%

70.8%

17
9

Other (please specify)

answered question

24

Your Company Audit


Checklist
One of Their Audit Checklists

Question 26 Contd: If yes, does the outside audit firm use...


Other Please fill in the blank

An audit checklist created jointly by the company and the outside auditor.
Both sometimes ours and sometimes theirs
Both,
theirs, depending on arrangment/risk
We only have updated (yearly) required documentations.
no audits performed
Silliker Third Party Audit or equal
It depends on the requirements of audit.
Only require a 3rd party audit - have not designated which audit scheme.
Only foreign suppliers
Accept suppliers 3rd party audits

www.gmaonline.org

Question 27: Total number of ingredient supplying locations:

1 20 28 response
20 50 15 response
50 100 12 response
100 200 8 response
200 500 6 response
500 1000 6 response
1000 3500 5 response
> 3500 2 response

www.gmaonline.org

Question 28: Total number of ingredient supplier


audits completed per year:

0 21 response
1 20 36 response
20 50 8 response
50 100 3 response
100 200 6 response
200 500 2 response
500 1000 1 response
1000 3500 2
response
> 3500 response

Other
Based on risk
One per supplier per year
Less than a few
N/A
All via survey, random
site visits based on
survey results

www.gmaonline.org

Question 29: Of the number of ingredient supplier audits


completed per year, what is the percentage completed by:
DedicatedSupplyQuality
Professional

ContractAuditor(s)

CompanyQuality
Professional(e.g.Site
( g
QualityManager)

0% 5%:20responses

0% 5%:23responses

0% 5%:21responses

5% 10%:
5%
10%:2responses
2 responses

5% 10%:
5%
10%:7responses
7 responses

5% 10%:
5%
10%:4
4 responses

10%20%:

10%20%:1response

10%20%:1response

20%30%:3responses

20%30%:2responses

20%30%:1response

30% 40%
30%40%:

30% 40%
30%40%:

30% 40% 1
30%40%:1response

40%50%:1response

40%50%:

40%50%:

50%60%:

50%60%:

50%60%:

60%70%:

60%70%:

60%70%:1response

70%80%:7responses

70%80%:1response

70%80%:2responses

80%90%:
80%
90%:4responses
4 responses

80%90%:
80%
90%:

80%90%:
80%
90%:

90%100%:8responses

90%100%:8responses

90%100%:11responses

42 responses totaled 100%

www.gmaonline.org

Question 30: In general, using a high-medium-low risk profile,


how often do you audit supplier locations?
Frequency of Audit
Answer Options

High-risk Suppliers
Medium-risk Suppliers
Low-risk Suppliers

Annual

Every 1-2
years

Every 3-4
years

Every 5-6
years

Never

Other

N/A

Count

25

14

12

15

82

10

13

21

12

80

10

36

83

Question 31: If you have developed your own audit tool/checklist to be


conducted at a supplier location, is the audit comprehensive?
Answer Options

Comprehensive
Targeted (e.g., Food Safety)
Not Applicable

Response
Percent

Response
Count

50.0%

42

19.0%

16

31.0%

26

Comprehensive
Targeted (e.g. Food Safety)
Not Applicable

Question 31 Contd: If you have developed your own audit


tool/checklist to be conducted at a supplier location, is the audit
comprehensive?
If targeted, please list how your audit differs from a normal Third-Party Audit:
Food Safety only: HACCP & Pre-requisite
Pre requisite programs and Specification review
review.
GFSI certified locations have a more targeted assessment
very similar
not as many questions because most of our suppliers only supply processing
aids
Non-reconditionable items (residues, allergens etc.)
Supp
Suppliers
e s in quest
question
o a
are
e co
contract
t act g
growers
o es
Heavily geared toward HACCP, Sanitation, Allergen, and Salmonella controls
Focus on traceability, hazard analysis, corrective action to Third party audit and
fm investigation
g
and prevention

www.gmaonline.org

Question 32: How often do you audit your domestic (US) suppliers?
Answer Options
Acidified/Low Acid Canned Foods (LACF)
Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
Gums/Stabilizers
Legumes
Liquor
Meats
Nuts/Seeds
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
Starches
S
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

Annual

1-2 years

3-4 years

5-6 years

Never

1
1
1
3
1
0
1
9
4
0
3
2
4
4
4
2
2
0
3
3
3
0
5
2
4
2
1
0
2

0
1
2
4
0
3
2
7
4
1
2
2
4
4
3
2
1
1
1
4
1
1
0
0
7
1
2
1
4

0
0
1
2
2
4
2
7
1
3
5
8
4
4
5
3
0
0
2
1
1
2
1
0
4
7
9
5
3

0
0
0
0
0
2
1
0
0
4
1
2
7
0
2
2
0
0
0
2
0
0
1
0
2
3
4
3
1

6
2
3
4
1
10
4
5
2
6
10
8
13
7
5
8
3
2
2
1
3
3
3
2
5
6
7
5
4

Response
Count
3
51
1
43
4
47
5
47
3
44
5
51
3
45
5
53
5
49
7
46
9
52
8
51
11
55
5
53
7
51
10
49
2
44
1
44
4
46
4
48
5
44
4
45
1
44
2
42
8
54
13
52
9
54
7
47
7
47
answered question
77

Other

Not
Applicable
41
38
36
29
37
27
32
20
33
25
22
21
12
29
25
22
36
40
34
33
31
35
33
36
24
20
22
26
26

Question 33: How often do you audit your foreign (non-US) suppliers?
A
Answer
O i
Options
Acidified/Low Acid Canned Foods (LACF)
Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candyy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
Gums/Stabilizers
Legumes
Liquor
Meats
Nuts/Seeds
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
Starches
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

A
Annual
l

1 2 years
1-2

3 4 years
3-4

5 6 years
5-6

N
Never

Oh
Other

Not
Applicable

Response
Count

1
0
1
3
1
0
2
5
3
0
2
2
2
5
2
1
1
0
2
2
1
0
2
2
4
2
1
0
2

0
0
0
2
0
3
0
4
2
2
2
2
2
2
2
3
1
1
0
3
0
0
0
0
2
2
2
3
3

1
0
0
1
2
2
1
1
0
2
4
3
4
4
1
1
0
0
1
1
0
1
0
0
0
3
5
3
3

0
0
0
0
0
1
1
0
0
1
0
1
2
0
1
1
0
0
0
0
0
0
0
0
1
1
2
0
0

5
2
3
3
1
5
4
5
2
6
5
5
10
5
4
5
2
2
2
2
3
3
3
2
4
8
7
4
4

2
1
2
4
3
5
3
2
2
5
7
6
9
6
7
6
1
2
2
3
3
2
1
2
8
7
6
6
4

39
38
38
31
34
32
33
32
37
27
30
29
22
31
31
28
38
37
37
35
36
37
37
36
32
25
26
30
30

48
41
44
44
41
48
44
49
46
43
50
48
51
53
48
45
43
42
44
46
43
43
43
42
51
48
49
46
46

answered question

73

Question 34: Do you have additional requirements for foreign (non-US)


suppliers as compared to domestic ones?

Answer Options

Response
Percent

Response
Count

Yes

20.0%

17

No

80.0%

68

Yes

No

Question 34: Do you have additional requirements for foreign


(non-US) suppliers as compared to domestic ones?
Other Please Fill in the Blank
Heavy Metal, Authenticity testing
Purchase frozen commodities China,, Thailand through
g International Buying
y g Group.
p Also
pesticide testing.
Documents and chemical residue as well as other analytical
All must be audited at least once by company auditor prior to using material in
commercial application
Detailed HACCP documentation
FDA compliance
Information on Country of Origin
Pesticide test of raw materials
Security assessment
Audits as a needed basis, agreements, terms, etc.
Compliance with all California and US regulations
Other recognized 3rd party auditors
Source COO statements, and recognized third party audits
Additional testing for heavy metals, antibiotics
Melamine testing if appropriate
Melamine
M l i for
f China
Chi and
d Pesticides
P ti id for
f non-US
US raw agricultural
i lt l iingredients
di t

www.gmaonline.org

Question 35: Do you have any additional requirements for brokers or


distributors?
Answer Options

Yes
No
If yes, please explain

answered question

Response
Percent

Response
Count

15.1%

13

84.9%

73
10
86

Broker: An agent that facilitates


transactions between a buyer & seller. A
broker does not take title to the goods.
Distributor: A firm that purchases goods,
stores them and resells them to
manufacturers

Yes
No

Question 35: Do you have any additional requirements for brokers


or distributors?
Other Please Fill in the Blank

Broker or buying group from China, Thailand must have food safety focused supplier
approval program.
All manufacturing sites must be qualified. Regardless of who we pay for the material.
Required to produce a COI and LOG from their company
They must purchase from approved suppliers
All frieght hauled by D.O.T. regestered company
Need to have required documentation from the manuf.
We expect the broker to gather all required documents for us annually or during initial
approval
General 3rd Party audit with corrective action
Distributors must maintain all vendor documents as outlined in the GMP and or GFSI
codes

www.gmaonline.org

Question 36: How often do you audit your distributors?


Answer Options
Acidified/Low Acid Canned Foods (LACF)
Animal Food/Feed
Bakery
Cocoa/Chocolate/Confections/Candy
Coffee/Tea
Colors
Cultures
Dairy
Eggs
Emulsifiers
Fats/Oils
Flavors
Food Grade Chemicals
Fruits and Vegetables
Grains/Flour
Gums/Stabilizers
Legumes
Liquor
Meats
Nuts/Seeds
Other
Pasta
Produce (Fresh Cut and Raw Agricultural)
Seafood
Spice/Seasoning/Herbs
Starches
Sweeteners
Vitamins and Fortification Blends
Yeast and Yeast Extracts

Annual
1
1
0
0
0
0
0
1
0
0
0
0
2
4
2
1
1
0
2
1
0
0
3
1
3
1
1
0
0

1 - 2 years 3 - 4 years 5 -6 years


0
0
1
0
0
1
0
4
0
0
1
1
4
2
1
0
0
0
0
0
0
0
1
0
0
0
1
2
0

0
0
0
1
0
2
0
2
1
1
2
2
2
3
2
1
1
0
0
1
0
1
0
0
2
2
2
2
2

0
0
0
0
0
0
1
0
0
0
0
1
1
0
0
0
0
0
0
0
0
0
0
0
1
0
1
0
0

Never
9
5
5
9
7
11
6
13
8
11
11
15
17
9
11
16
5
4
6
8
6
6
6
5
12
15
11
9
10

Other

Not
Response
Applicable
Count

1
38
1
35
2
33
4
28
2
33
3
29
2
34
5
23
3
33
6
25
6
28
5
27
6
19
3
29
6
27
5
24
1
35
1
35
2
33
2
32
4
32
2
33
2
32
2
34
8
26
7
24
5
26
1
30
4
28
answered question

49
42
41
42
42
46
43
48
45
43
48
51
51
50
49
47
43
40
43
44
42
42
44
42
52
49
47
44
44
71

Question 37: Does your firm have levels of supplier location approval
ratings (e.g., Approved, Conditional, Approved, Disqualified)?

Answer Options

Response
Percent

Response
Count

Yes

65.6%

59

No

34.4%

31

answered question

90

No

Yes

Question 38: If a supplier location doesnt achieve supplier approval, do


you have an exemption/probation process?

Answer Options

Response
Percent

Response
Count

Yes

65.6%

59

No

34.4%

31

No

Yes

Question 39: If you have an exemption/probation process, do you have time


limits for this exemption/probation status?

Answer Options

Response
Percent

Response
Count

Yes, 60 days

21.7%

15

Yes, 180 days

15.9%

11

Yes, 1 year

11.6%

No time limits given

50.7%

35

answered question

69

Yes, 60 days
Yes, 180 days
Yes, 1 year
No time
N
i
limits
li i
given

Question 40: Please list ways


y a supplier will become "Disqualified"?

Quality

Food Safety

Quality Issues- 17
Recurring quality issues 3
Unacceptable response to quality
issues - 2
Appearance of ingredient
deliveries 2
Lack of quality controls

Food safety violations 5


Lack of food safety controls
Poses food
f
safety
f
risk 3
Critical food safety issues - 6
Recurring Food safety issues 4
Put on FDAs Auto Detention List
Product contamination 10
Failed pathogen/micro testing on
product
d t-3
Recalls 8
Inadequate food safety programs
Ad lt t d product
Adulterated
d t or packaging;
k i
economic adulteration
www.gmaonline.org

Question 40 Contd: Please list ways a supplier will become


"Disqualified"?
Disqualified ?

Nonconformance

Non conforming product 2


No intent to comply with terms and
conditions 2
Failure to comply with terms and
conditions 1
Recurring minor issues 4
Failure to meet
specifications/requirements
(product or vendor approval
process) 15
Too many
rejections/product/product testing
failures - 3

Unacceptable Sanitation 2
Failure to implement salmonella
control program; pest control
program; environmental
i
l
monitoring
No HACCP plan implemented 2
Critical failure to any aspect of the
company survey/company review
2
Failure to implement corrective
actions - 2

www.gmaonline.org

Question 40 Contd: Please list ways a supplier will become


"Disqualified"?
Disqualified ?

Business Practices

Audit Results

Delayed deliveries; Too slow 5


No show on scheduled delivery
Unresponsive to requests
Dissatisfied with product - 2
Excessive damages 2
Ethics; unethical; dishonesty
Poor complaint resolution; poor
customer service 3
Recurring complaints; poor
service
i -2
Cost increase; expensive in cost;
unacceptable price
Lapse in insurance
Inability to supply

No audit 4
Audit results; poor audit - 5
Failed audit (3rd party/2nd party)
9
Does not meet standards for third
party audit
F il
Failure
off facility
f ilit visit
i it

www.gmaonline.org

Question 40 Contd: Please list ways a supplier will become


"Disqualified"?
Disqualified ?

Documentation

Failure to complete Supplier


Approval Package 3 responses
Unable to produce or failure to
provide necessary documentation
13
Incorrect/inaccurate/falsification of
data 3

www.gmaonline.org

Question 41: Will you disqualify a supplier location from use in one segment
of your business, but allow them to be used in other segments?
Answer Options

Response Percent Response Count

Yes

30 3%
30.3%

27

No

69.7%

62

answered question

89

Yes

No

Question 42: Do you use a risk assessment process to identify high,


medium & low risk ingredients and/or suppliers?

No

Yes

Answer Options

Response Percent

Response Count

Yes

85.4%

76

No

14.6%

13

answered question

89

Question 43: Do you have a formal process to identify ingredient and/or


supplier risks?

No

Yes

A
Answer
Options
O ti

Response
p
Percent

R
Response
C
Countt

Yes

75.0%

66

No

25 0%
25.0%

22

answered question

88

Question 44: Which of the following attributes are considered in your risk
assessment?

Answer Options
p

Response
p
Percent

Response
p
Count

73.5%

61

71.1%

59

Country of Origin

66.3%

55

Chemicals (e.g., Heavy metals)

55.4%

46

Pesticides

50.6%

42

Level/Percent of the Ingredient in the Formulation

47.0%

39

Validated Kill Step at the Suppliers Facility

42.2%

35

Volume Purchased

38.6%

32

Single Source Supplier Location

37 3%
37.3%

31

Economic Factors of the Supplier, e.g. Stability

31.3%

26

The Use of a Distributor to Procure the Ingredient

13.3%

11

13 3%
13.3%

11

12.0%

10

Microbiological Sensitivity Including History of Outbreaks


A li ti off the
Application
th ingredient
i
di t in
i your process, e.g. pre/post
/
t kill addition
dditi

Age of the Facility in Which the Ingredient is Manufactured


The Use of a Broker to Procure the Ingredient

11

Other (please specify)

80 Respondents

Question 44 Contd: Which of the following attributes are


considered in your risk
Other Please Fill in the Blank

History, number & severity, of required supplier action items


Antibiotics other drugs in aquaculture feed
Antibiotics,
Water supply
Time delivery factor
Repeat non-conformance
non conformance
Temperature, quality of product, cleanliness of transportation
Foreign material
Potential Allergen
History of compliance
RA based on GMP and food safety practices
Previous audit performance
Supplier performance
Whose audit is it? (e.g., ours, AIB, SQF, BRC, Silliker, etc.)

www.gmaonline.org

Question 45: Do you evaluate your ingredient suppliers suppliers?

Yes

No

Answer Options

Response Percent

Response Count

Yes

22.5%

20

No

77.5%

69

answered question

89

Question 46: Number of domestic (US) product-contact packaging supply


locations?
< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500

Answer Options
< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500
1 500

Response
Percent
90.6%
4.7%
4.7%
0.0%
0 0%
0.0%

answered question

Response Count
77
4
4
0
0
85

Question 47: Number of foreign (non-US) product-contact packaging supply


locations?
Answer Options

Response
Percent

Response
Count

< 100

96 4%
96.4%

80

100 - 500

1.2%

500 - 1,000

1.2%

1,000 - 1,500

0.0%

> 1,500

1.2%

answered question

83

< 100
100 - 500
500 - 1,000
1,000 - 1,500
> 1,500

Question 48: What documents are required for product-contact packaging


suppliers qualification/desk audit
Response
Percent

Response
Count

Continuing Guarantee

90.7%

78

Plant Name and Address

90 7%
90.7%

78

Supplier Contacts (e.g. Recall)

82.6%

71

Certificate of Insurance

73.3%

63

Raw Material Spec Info (e.g. Shelf Life,


Package Type, Chemical Migration)

69.8%

60

Country of Origin

64.0%

55

54.7%

47

50.0%

43

48.8%

42

Food Safety/Preventative Control Program


(e.g. HACCP flow & CCP charts)?

46.5%

40

Third Party Audit - With Corrective Actions

37.2%

32

Third Partyy Audit - Accept


p Full Audit Onlyy

22.1%

19

Third Party Audit - Accept Cover Page / Score

22.1%

19

Answer Options

Trace and Recall Program


Third Party Food Safety Audit (e.g. BRC,
SQF, NSF)
FDA/CFIA approval letters

answered question

86

Question 49: What is the frequency of requesting updated documents from


packaging suppliers?

Once a Year
Every 2 Years
Every 3 Years
Every 5 Years
No Frequency
Established

Answer Options
Once a Year
Every 2 Years
Every 3 Years
Every 5 Years
No Frequency Established
Other (please specify)

answered question

Response
Percent
52.4%
7.1%
11.9%
6.0%
22 6%
22.6%

Response
Count
44
6
10
5
19
2
84

Question 50: Do you require product-contact packaging suppliers to


complete a supplier questionnaire?
Answer Options

Response
Percent

Response
Count

Yes

53 4%
53.4%

47

Depends on Risk

5.7%

No

40.9%

36

answered question

88

No
Yes

Depends
onRisk

Question 51: What is the frequency of having each packaging supplier


location complete the supplier questionnaire?
Response
Percent

Response
Count

Once a Year

24.6%

15

Every 2 Years

13.1%

Every 3 Years

13.1%

Every 5 Years

3.3%

Depends on Risk

13.1%

No Frequency Established

32.8%

20

Answer Options

y)
Other ((please specify)

answered question

1
61

Once a Year
Every 2 Years
Every 3 Years
Every 5 Years
Depends on Risk
No Frequency
Established

Question 52: Have you asked your product-contact packaging suppliers to


become GFSI certified?
Answer Options

Response
Percent

Response
Count

Y
Yes

14 0%
14.0%

12

Not Yet, But Plan To

18.6%

16

No

67.4%

58

answered question

86

Yes
NotYet,
ButPlan
To
No

Question 53: What percentage of your product-contact packaging


suppliers are GFSI certified?

<10%
10 25%
1025%
2550%
5075%
>75%

Answer Options

Response
Percent

Response Count

< 10%
10-25%
25-50%
50-75%
50
75%
> 75%

64.9%
64
9%
16.9%
5.2%
3.9%
9.1%

50
13
4
3
7

answered question

77

Question 54: Do you conduct on-site audits of your


product-contact packaging suppliers?

Yes
No

Notyet,
Not
yet
butplanto
Answer Options

Response Percent

Response Count

Yes

34.9%

30

Not yet, but plan to

8.1%

No

57.0%

49

answered question

86

Question 55: Do you require any additional information from your


product-contact packaging suppliers?

Migration testing results


Specification Sheets
Sheets,
Certificates of Compliance
FDA Approved and Temperature Requirements
Allergen
Food safety questionnaire
Compliance to FDA, Cal FDA, EPA, Cal EPA, Cal DPR, Prop 65, Food Contact
Compliance,
Co
p a ce, Application
pp cat o Verification,
e cat o , Co
Contents
te ts o
of Co
Component,
po e t, Detailed
eta ed
Specifications, Stack pattern if applicable, Test results and methodologies etc..
FDA Food Grade Status Cert
Several package
g specific documents related to known safety
y issues
Same as ingredient suppliers
LOG stating they meet all federal regulations for product contact packaging
g
Conformance with EU regulations
No of respondents = 11
www.gmaonline.org

Question 56: Is there a formal process for evaluating your suppliers


(e.g., scoring system)?

No

Yes

Answer Options

Response
Percent

Response
Count

Yes

65.2%

58

No

34.8%

31

answered question

89

Question 57: Is the evaluation determined by a cross-functional team


(e.g., purchasing, tech services, R&D)?

No

Yes

Answer Options

Response
R
Percent

Response
R
Count

Yes

71.3%

57

N
No

28 8%
28.8%

23

answered question

80

Question 58: Do you use some type of numerical rating?

Yes

No

Answer Options

Response Percent

Response Count

Yes

39.0%

32

No

61.0%

50

answered question

82

Question 59: Which of the following are in your assessment?

Response
Percent

Response Count

Complaints

89.5%

68

Quality

89.5%

68

On Time Delivery

72.4%

55

Cost

68.4%

52

Technical Support

51.3%

39

Not Applicable

3.9%

Answer Options

Oth (please
Other
( l
specify)
if )

No of respondents = 76

Question 59 Contd: Which of the following are in your assessment?

100.0%
90 0%
90.0%
80.0%
70.0%
60.0%
50.0%
40.0%
30.0%
20.0%
10.0%
0.0%
On Time
Delivery

Complaints Technical
Support

Quality

No of respondents = 76

Cost

Not
Applicable