gma ingredient supplier benchmarking ... 1: company size (based on annual sales) response response...

GMA Ingredient Supplier Benchmarking QuestionnaireBenchmarking Questionnaire

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History

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

2009 GMA Microbiological Safety Committee conducts to survey to measure supply chain food safety practices

2010 GMA’s Leading Supplier Practices Share Group (LSPSG) is formed

Spring 2012 LSPSG decides to re issue supplier survey in Spring 2012 LSPSG decides to re-issue supplier survey in much more detail

July 2012: The results are in...y

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Thanks to...

The 90 – 150 food industry suppliers who took time to participate in the surveyparticipate in the survey

Audrey Rubio, GMA SurveyMonkey® SME Bonnie Welshons Chair of the LSPSG Bonnie Welshons, Chair of the LSPSG Survey Champions:

o Brent Brehmer, Hormel Foodso Mark Carlson, MOM Brands (formerly Malt-O-Meal)o Evie Severyn, Land-O-Lakeso Penny Marsh, Kerry Ingredientso Penny Marsh, Kerry Ingredients

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Question 1: Company Size (based on annual sales)

Response Response 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 MillionSmall Cap: $250 MillionMid Cap: $1 to $8 BillionLarge Cap: > $8 Billion

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

Answer Options Response Percent

Response CountPercent Count

Yes 20.3% 30

No 59.5% 88

Don't Know 20.3% 30


Yes

No

Don't Know

Question 3: Number of domestic (US) ingredients purchased


Response Count

< 100 49 7% 71< 100 49.7% 71

100 - 500 26.6% 38

500 - 1,000 7.0% 10

1 000 1 500 5 6% 81,000 - 1,500 5.6% 8

> 1,500 11.2% 16


< 100100 - 500500 - 1,0001,000 - 1,500> 1 500> 1,500

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


Response Count

< 100 68.8% 97

100 - 500 17.7% 25

500 - 1,000 5.7% 8

1 000 1 500 1 4% 21,000 - 1,500 1.4% 2

> 1,500 6.4% 9


100< 100100 - 500500 - 1,0001,000 - 1,500> 1,500

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


Response Count

100 65 2% 92< 100 65.2% 92

100 - 500 23.4% 33

500 - 1,000 7.1% 10

1,000 - 1,500 2.1% 3

> 1,500 2.1% 3

d i 141answered question 141

< 100100 - 500500 - 1,0001,000 - 1,500> 1,500 ,

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

R R Answer Options Response Percent

Response Count

< 100 83.5% 116

100 - 500 12.2% 17

500 - 1,000 0.7% 1

1,000 - 1,500 0.0% 01,000 1,500 0.0% 0

> 1,500 3.6% 5


< 100 100 - 500500 - 1,0001,000 - 1,500> 1,500

Question 7: What product categories does your company produce (per FDA RFR Commodities Definitions)? (Check all that apply)

Answer Options Response Percent Response Count

Acidified/Low Acid Canned Foods (LACF) 14 8% 20Acidified/Low Acid Canned Foods (LACF) 14.8% 20Animal Food/Feed 11.9% 16Bakery 14.1% 19Beverages 10.4% 14Breakfast Cereals 3.7% 5Chocolate/Confections/Candy 5.2% 7Dairy 24.4% 33Dressings/Sauces/Gravies 8.9% 12Egg 2.2% 3Frozen Foods 12 6% 17Frozen Foods 12.6% 17Fruit and Vegetable Products 14.8% 20Game Meats 0.0% 0Meal Replacement/Nutritional Food and Beverages 6.7% 9Nuts/Nut Products/Seed Products 1.5% 2

3 0% 4Oil/Margarine 3.0% 4Pasta 3.7% 5Prepared Foods 7.4% 10Produce - Fresh Cut 3.7% 5Produce - Raw Agricultural 3.0% 4Produce Raw Agricultural 3 0%Seafood 2.2% 3Snack Foods 5.9% 8Soup 2.2% 3Spices and Seasonings 23.7% 32Stabilizers/Emulsifiers/Flavors 15 6% 21Stabilizers/Emulsifiers/Flavors 15.6% 21Colors/Texture Enhancers 5.2% 7Sweeteners 5.9% 8Whole and Milled Grains and Flours 11.1% 15


Question 7 Cont’d: What product categories does your company produce ( FDA RFR C diti D fi iti )? (Ch k ll th t l )

30.0%

(per FDA RFR Commodities Definitions)? (Check all that apply)

15.0%

20.0%

25.0%

0.0%

5.0%

10.0%

Question 8: What documents does your company require for initial raw material supplier qualification/desk audit?

R Answer Options Response Percent Response Count

Continuing Letter of Guarantee 90.2% 110

Certificate of Insurance 75.4% 92

Food Facility Registration Number 59.0% 72

Plant Name and Address 96.7% 118

Supplier Contacts (e.g. Recall) 87.7% 107

Third Party Food Safety Audit (e.g. BRC, SQF, NSF) 73.8% 90

Third Party Audit - Accept Full Audit Only 27.9% 34

Third Party Audit - Accept Cover Page / Score 32.8% 40

Third Party Audit - With Corrective Actions 39.3% 48

Food Safety/Preventative Control Program (e.g. HACCP 70 5% 86 y g ( g flow & CCP charts)?

70.5% 86

Allergen Program Info (Product/Line/Facility) 84.4% 103

Raw Material Spec Info (e.g. Kill Step, Micro, Nutrition, Shelf Life, Claims, Package Type, Chemical Migration)

77.9% 95

FDA/CFIA Approval Letters 34.4% 42

Country of Origin 86.1% 105

Treatment (e.g. Ethylene Oxide, Irradiation) 36.9% 45

Supplier Approval Program & Process 46.7% 57

Trace & Recall Program 63.1% 77

Ingredient Statement / Label 81.1% 99

Other (please specify) 16


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

100 0%

120.0%

material supplier qualification/desk audit? (Check all that apply)

60.0%

80.0%

100.0%

0.0%

20.0%

40.0%

Question 8 Cont’d: What are the documents your company requires for initial raw material supplier qualification/desk audit? Other – Please fill in the blankOther – 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 CA Transparency Act of 2010, Kosher Cert, GMO Statement, Our C a spa e cy ct o 0 0, os e Ce t, G O State e t, Ou

questionnaire (depending on their audit) Questionnaire Product specs, allergen. NA g custom survey questionaire that covers general quality programs All product documentation per each ingredient.

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p p g kosher

Question 8 Cont’d: What are the documents your company requires for initial raw material supplier qualification/desk audit? Other – Please fill in the blankOther – Please fill in the blank

Organic Certificates where applicable, Kosher, and HALAL COAs Kosher certificates gluten statement rBST free statement COAs, Kosher certificates, gluten 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 Positive Hold Release Program GLP program CARHACCP Summary, Positive Hold Release Program, GLP 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?

Response Response Answer Options Response Percent

Response Count

At Initial Request Only 3.3% 4

Once a Year 53.3% 65

Every 2 Years 8.2% 10



18 9% 23Depends on Risk 18.9% 23

No Frequency Established 4.1% 5


At Initial Request OnlyO YOnce a YearEvery 2 YearsEvery 3 YearsEvery 5 YearsDepends on Risk

No Frequency Established

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

Yes For AllYes - For AllDepends on RiskNo

Answer Options Response Response Answer Options Percent Count

Yes - For All 60.3% 73

D d Ri k 19 8% 24Depends on Risk 19.8% 24

No 19.8% 24


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

At Initial Request OnlyOnce a YearOnce a YearEvery 2 YearsEvery 3 YearsEvery 5 YearsDepends on RiskNo Frequency EstablishedNo Frequency Established


Response Count

At Initial Request Only 23.5% 24


E 2 Y 9 8% 10Every 2 Years 9.8% 10



18 6% 19Depends on Risk 18.6% 19



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

Yes

Not Yet, But Plan ToNo


Yes 18.9% 23

Not Yet, But Plan To 23.0% 28

No 58.2% 71


Question 13: What percentage of supplier’s locations are GFSI certified?


< 10% 35.5% 39

10-25% 28.2% 31

25-50% 20.0% 22

50 75% 5 5% 650-75% 5.5% 6

>75% 10.9% 12

answered question 110answered question 110

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

Y

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

Yes

No

Depends onon

Ingredient Risk


Response Count

Yes 9.8% 12

Depends on Ingredient Risk 52.5% 64

N 37 7% 46No 37.7% 46


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


Response Count

13 6% 14No 13.6% 14

Yes 86.4% 89


No

Yes

Question 16: What is required on COAs per ingredient category? (check all that apply)

Answer Options Micro (No Pathogens)

Micro (Pathogens) Chemical Physical

Attributes

Identity (e.g. Authenticity, Other Not

ApplicableResponse

CountPathogens) (Pathogens) Attributes GMO) Applicable Count

Acidified/Low Acid Canned Foods (LACF) 4 2 6 7 2 2 40 47Animal Food/Feed 3 4 2 3 3 2 37 42Bakery 2 4 4 10 2 2 32 43Cocoa/Chocolate/Confections/Candy 11 21 12 16 11 4 23 47Coffee/Tea 3 6 3 5 4 1 35 42Coffee/Tea 3 6 3 5 4 1 35 42Colors 10 11 22 25 15 10 25 55Cultures 9 11 11 11 8 4 33 47Dairy 27 39 32 34 14 12 14 59Eggs 10 20 10 14 3 7 28 50Emulsifiers 13 14 24 25 8 7 23 51

13 16 37 33 17 11 15 58Fats/Oils 13 16 37 33 17 11 15 58Flavors 16 14 33 32 15 13 18 60Food Grade Chemicals 18 13 47 43 19 13 10 60Fruits and Vegetables 15 20 17 20 10 10 27 55Grains/Flour 16 22 20 29 13 8 19 54Gums/Stabilizers 20 22 30 33 14 9 19 59Gums/Stabilizers 20 22 30 33 14 9 19 59Legumes 1 4 4 7 3 3 37 45Liquor 1 1 2 1 0 1 40 42Meats 6 10 7 7 3 3 33 45Nuts/Seeds 7 12 8 12 6 4 31 49Other 4 4 8 8 2 6 30 41

4 4 4 6 1 3 34 44Pasta 4 4 4 6 1 3 34 44Produce (Fresh Cut and Raw Agricultural) 2 2 2 3 0 4 36 43Seafood 2 5 3 3 0 2 36 42Spice/Seasoning/Herbs 25 35 25 29 11 12 22 63Starches 22 20 29 33 11 9 19 57Sweeteners 23 15 27 34 15 11 19 57Sweeteners 23 15 27 34 15 11 19 57Vitamins and Fortification Blends 13 12 23 22 14 8 23 50Yeast and Yeast Extracts 13 19 18 22 9 9 22 50

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

Answer Options Each Lot / Shipment Quarterly Every 6

Months Annually Other Never Not Applicable

Response Count

7 0 0 0 1 0 38 46Acidified/Low Acid Canned Foods (LACF) 7 0 0 0 1 0 38 46

Animal Food/Feed 3 0 0 0 1 0 37 41

Bakery 10 0 0 0 1 0 33 44

Cocoa/Chocolate/Confections/Candy 22 1 0 0 1 0 26 49

Coffee/Tea 5 1 0 1 1 0 34 4231 0 0 1 1 1 23 57Colors 31 0 0 1 1 1 23 57

Cultures 14 0 0 1 1 0 31 47

Dairy 41 1 0 1 2 0 15 60

Eggs 20 1 0 0 1 0 28 50

Emulsifiers 28 0 0 1 1 0 22 5242 0 0 1 1 0 16 60Fats/Oils 42 0 0 1 1 0 16 60

Flavors 40 1 0 1 1 0 19 61

Food Grade Chemicals 49 0 0 1 2 1 9 61

Fruits and Vegetables 24 1 0 1 1 0 28 54

Grains/Flour 33 1 0 0 1 0 22 56

G S 38 1 0 1 1 1 17 59Gums/Stabilizers 38 1 0 1 1 1 17 59

Legumes 6 1 0 0 2 0 35 43

Liquor 1 0 0 0 1 0 38 40

Meats 9 1 0 0 1 0 34 44

Nuts/Seeds 18 1 0 0 1 0 30 50

O h 18 0 0 0 1 0 28 47Other 18 0 0 0 1 0 28 47

Pasta 7 1 0 0 1 0 34 43

Produce (Fresh Cut and Raw Agricultural) 5 0 0 0 2 0 37 43

Seafood 4 0 0 0 1 0 33 38

Spice/Seasoning/Herbs 37 1 1 0 1 0 23 62

S h 39 0 0 1 1 0 18 58Starches 39 0 0 1 1 0 18 58

Sweeteners 40 0 0 0 1 0 20 60

Vitamins and Fortification Blends 26 0 0 1 1 0 23 51

Yeast and Yeast Extracts 24 1 0 1 1 0 25 51


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)?


Response Count

Yes 35.2% 32

No 37.4% 34

Not Applicable 27.5% 25


YesNoNot Applicable

Question 19: Do you conduct testing on incoming ingredients?

Answer Options Micro (No Pathogens)

Micro (Pathogens) Chemical Physical

Attributes

Identity (e.g. Authenticity,

GMO)Other No Not

ApplicableResponse

Count)

Acidified/Low Acid Canned Foods (LACF) 0 0 1 2 0 1 13 40 56

Animal Food/Feed 1 1 0 2 1 1 9 39 52

Bakery 0 0 0 1 0 2 12 38 53

Cocoa/Chocolate/Confections/Candy 4 5 2 5 1 4 15 29 56

Coffee/Tea 1 2 1 2 1 3 9 38 53Coffee/Tea 1 2 1 2 1 3 9 38 53

Colors 3 4 5 10 3 3 20 29 63

Cultures 1 3 1 2 0 3 14 36 55

Dairy 14 11 11 11 0 6 20 22 65

Eggs 5 3 4 5 0 2 15 34 57

Emulsifiers 2 4 5 6 1 3 20 28 60

Fats/Oils 2 4 12 14 3 3 22 24 67

Flavors 6 6 9 14 5 3 22 26 69

Food Grade Chemicals 5 4 15 17 9 6 28 16 71

Fruits and Vegetables 10 8 10 15 7 4 13 33 67

Grains/Flour 9 7 6 9 2 4 15 27 62

Gums/Stabilizers 3 4 6 8 2 2 24 24 62

Legumes 0 0 1 3 2 2 11 39 55

Liquor 1 1 1 1 0 1 9 41 52

Meats 4 3 3 2 2 2 10 37 53

Nuts/Seeds 2 2 3 5 0 2 13 35 56

Oth 2 1 5 4 1 1 12 31 52Other 2 1 5 4 1 1 12 31 52

Pasta 2 1 0 1 0 1 12 37 53

Produce (Fresh Cut and Raw Agricultural) 3 1 5 8 1 1 10 35 55

Seafood 1 3 3 1 1 2 9 39 52

Spice/Seasoning/Herbs 10 12 12 14 2 6 16 27 65

Starches 5 7 9 12 3 4 23 25 65Starches 5 7 9 12 3 4 23 25 65

Sweeteners 8 8 11 15 4 5 20 25 64

Vitamins and Fortification Blends 5 5 6 6 4 5 16 29 59

Yeast and Yeast Extracts 4 4 3 4 1 3 16 30 56


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

Answer Options Each Lot / Shipment Quarterly Every 6

Months Annually Other Never Not Applicable

Response Count

Acidified/Low Acid Canned Foods (LACF) 2 0 0 0 2 6 41 51

Animal Food/Feed 4 0 0 0 1 5 39 49

Bakery 0 1 0 0 2 7 38 48

Cocoa/Chocolate/Confections/Candy 9 1 0 0 2 7 32 51

Coffee/Tea 5 0 0 0 1 6 36 48

Colors 9 0 1 2 2 12 30 56

Cultures 4 1 0 0 3 7 35 50

Dairy 17 1 1 1 3 13 22 58

Eggs 5 1 0 1 2 9 34 52

Emulsifiers 6 2 0 1 4 12 29 5418 1 0 2 4 11 26 62Fats/Oils 18 1 0 2 4 11 26 62

Flavors 12 1 2 2 5 13 28 63

Food Grade Chemicals 19 2 0 4 5 14 20 64

Fruits and Vegetables 20 1 0 0 3 7 33 64

Grains/Flour 11 3 0 2 4 11 27 58

G /St bili 9 2 0 2 3 12 25 53Gums/Stabilizers 9 2 0 2 3 12 25 53

Legumes 4 0 0 0 1 6 38 49

Liquor 1 0 0 0 1 5 40 47

Meats 4 1 0 0 2 6 36 49

Nuts/Seeds 3 2 1 1 1 6 36 50

Other 6 0 0 3 1 7 32 49Other 6 0 0 3 1 7 32 49

Pasta 1 1 0 0 2 8 36 48

Produce (Fresh Cut and Raw Agricultural) 9 0 0 0 2 6 34 51

Seafood 3 0 0 0 1 5 37 46

Spice/Seasoning/Herbs 11 3 1 2 6 9 29 61

Starches 11 1 2 3 4 12 24 57StarchesSweeteners 12 2 2 2 3 13 25 59

Vitamins and Fortification Blends 6 2 0 1 4 10 29 52

Yeast and Yeast Extracts 5 1 1 2 2 9 31 51


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?test fail?

Yes

No

Answer Options Response Percent Response CountAnswer Options Response Percent Response Count

Yes 32.7% 34

No 67.3% 70


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


Yes 32.5% 25

No 7.8% 6

Not Applicable 59 7% 46Not Applicable 59.7% 46


Question 23: Number of dedicated Quality professionals managing your Supplier Quality Program:Supplier Quality Program:

• 0 – 6 companies responded• 25

• 12• 13• .25

• 1 – 15 companies responded• 1.5 – 2 companies responded• 2 – 22 companies responded

• 13• 15• 16• 18• 2 – 22 companies responded

• 3 – 13 companies responded• 4 – 9 companies responded• 5 4 companies responded

• 18• 25 – 2 companies responded• 50• > 100 2 companies responded• 5 – 4 companies responded

• 6 – 6 companies responded• 7 – 2 companies responded• 8

• > 100 – 2 companies responded

• 8• 9• 10

93 responses

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93 responses

Question 24: Number of Quality Assurance professionals who are qualified to conduct ingredient supplier audits:qualified to conduct ingredient supplier audits:

• 0 – 5 companies responded• 1 – 25 companies responded

• 15 – 2 companies responded• 16• 1 – 25 companies responded

• 1.5 • 2 – 24 companies responded• 2 5

• 16• 17• > 100• > 300• 2.5

• 3 – 7 companies responded• 4 – 7 companies responded• 5 5 companies responded

• > 300

• 5 – 5 companies responded• 6 – 3 companies responded• 8 – 2 companies responded• 10 4 companies responded• 10 – 4 companies responded• < 10

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


Yes 28.3% 26

No 71.7% 66


Yes

NNo

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


Response Count

Your Company Audit Checklist29.2% 7

Your Company Audit Checklist

One of Their Audit Checklists70.8% 17

Other (please specify)9

Other (please specify)


Your Company Audit Checklist

One of Their Audit Checklists

Question 26 Cont’d: 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 depending on arrangment/risk Both, sometimes ours and sometimes theirs, depending on arrangment/risk We only have updated (yearly) required documentations. no audits performed Silliker Third Party Audit or equal 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 Only foreign suppliers Accept suppliers 3rd party audits

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Question 27: Total number of ingredient supplying locations:

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

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Question 28: Total number of ingredient supplieraudits completed per year:audits completed per year:

• 0 – 21 response Other• 1 – 20 – 36 response• 20 – 50 – 8 response

Other• Based on risk• One per supplier per year

• 50 – 100 – 3 response• 100 – 200 – 6 response

200 500 2 response

One per supplier per year• Less than a few• N/A

• 200 – 500 – 2 response• 500 – 1000 – 1 response• 1000 – 3500 – 2

• All via survey, random site visits based on survey results1000 3500 2

response• > 3500 – response

survey results

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Question 29: Of the number of ingredient supplier audits completed per year, what is the percentage completed by:

Dedicated Supply Quality Professional

Contract Auditor(s) Company Quality Professional (e.g. Site ( gQuality Manager)

0% ‐ 5%: 20 responses 0% ‐ 5%: 23 responses 0% ‐ 5%: 21 responses

5% ‐10%: 2 responses 5% ‐10%: 7 responses 5% ‐10%: 4 responses5% 10%: 2 responses 5% 10%: 7 responses 5% 10%: 4 responses

10% ‐20%: 10% ‐20%: 1 response 10% ‐20%: 1 response

20%‐30%: 3 responses 20%‐30%: 2 responses 20%‐30%: 1 response

30% 40% 30% 40% 30% 40% 130%‐40%: 30%‐40%: 30%‐40%: 1 response

40%‐50%: 1 response 40%‐50%: 40%‐50%:

50%‐60%: 50%‐60%: 50%‐60%:

60%‐70%: 60%‐70%: 60%‐70%: 1 response

70%‐80%: 7 responses 70%‐80%: 1 response 70%‐80%: 2 responses

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

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

90%‐100%: 8 responses 90%‐100%: 8 responses 90%‐100%: 11 responses

42 responses totaled 100%

Question 30: In general, using a high-medium-low risk profile, how often do you audit supplier locations?

Frequency of Audit

Answer Options Annual Every 1-2 Every 3-4 Every 5-6 Never Other N/A CountAnswer Options Annual years years years Never Other N/A Count

High-risk Suppliers 25 14 7 3 12 6 15 82

Medium-risk Suppliers8 10 13 8 21 8 12 80

Low-risk Suppliers 10 5 7 8 36 9 8 83

Question 31: If you have developed your own audit tool/checklist to be conducted at a supplier location, is the audit comprehensive?


Response Count

Comprehensive50.0% 42

19.0% 16

Targeted (e.g., Food Safety)

Not Applicable31.0% 26

ComprehensiveComprehensive

Targeted (e.g. Food Safety)

Not Applicable

Question 31 Cont’d: If you have developed your own audit tool/checklist to be conducted at a supplier location, is the audit comprehensive?comprehensive?

If targeted, please list how your audit differs from a normal Third-Party Audit: Food Safety only: HACCP & Pre-requisite programs and Specification review Food Safety only: HACCP & Pre requisite programs and Specification review. GFSI certified locations have a more targeted assessment very similar not as many questions because most of our suppliers only supply processing not as many questions because most of our suppliers only supply processing

aids Non-reconditionable items (residues, allergens etc.) Suppliers in question are contract growers Supp e s quest o a e co t act g o e s Heavily geared toward HACCP, Sanitation, Allergen, and Salmonella controls Focus on traceability, hazard analysis, corrective action to Third party audit and

fm investigation and preventiong

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Question 32: How often do you audit your domestic (US) suppliers?

Not Response Answer Options Annual 1-2 years 3-4 years 5-6 years Never Other Not Applicable

Response Count

Acidified/Low Acid Canned Foods (LACF) 1 0 0 0 6 3 41 51Animal Food/Feed 1 1 0 0 2 1 38 43Bakery 1 2 1 0 3 4 36 47Cocoa/Chocolate/Confections/Candy 3 4 2 0 4 5 29 47Coffee/Tea 1 0 2 0 1 3 37 44Colors 0 3 4 2 10 5 27 51Cultures 1 2 2 1 4 3 32 45Dairy 9 7 7 0 5 5 20 53Eggs 4 4 1 0 2 5 33 49Emulsifiers 0 1 3 4 6 7 25 46Emulsifiers 0 1 3 4 6 7 25 46Fats/Oils 3 2 5 1 10 9 22 52Flavors 2 2 8 2 8 8 21 51Food Grade Chemicals 4 4 4 7 13 11 12 55Fruits and Vegetables 4 4 4 0 7 5 29 53Grains/Flour 4 3 5 2 5 7 25 51Gums/Stabilizers 2 2 3 2 8 10 22 49Legumes 2 1 0 0 3 2 36 44Liquor 0 1 0 0 2 1 40 44Meats 3 1 2 0 2 4 34 46Nuts/Seeds 3 4 1 2 1 4 33 48Other 3 1 1 0 3 5 31 44Other 3 1 1 0 3 5 31 44Pasta 0 1 2 0 3 4 35 45Produce (Fresh Cut and Raw Agricultural) 5 0 1 1 3 1 33 44Seafood 2 0 0 0 2 2 36 42Spice/Seasoning/Herbs 4 7 4 2 5 8 24 54Starches 2 1 7 3 6 13 20 52S 1 2 9 4 7 9 22 54Sweeteners 1 2 9 4 7 9 22 54Vitamins and Fortification Blends 0 1 5 3 5 7 26 47Yeast and Yeast Extracts 2 4 3 1 4 7 26 47


Question 33: How often do you audit your foreign (non-US) suppliers?

A O i A l 1 2 3 4 5 6 N O h Not Response Answer Options Annual 1-2 years 3-4 years 5-6 years Never Other Not Applicable

Response Count

Acidified/Low Acid Canned Foods (LACF) 1 0 1 0 5 2 39 48Animal Food/Feed 0 0 0 0 2 1 38 41Bakery 1 0 0 0 3 2 38 44Cocoa/Chocolate/Confections/Candy 3 2 1 0 3 4 31 44yCoffee/Tea 1 0 2 0 1 3 34 41Colors 0 3 2 1 5 5 32 48Cultures 2 0 1 1 4 3 33 44Dairy 5 4 1 0 5 2 32 49Eggs 3 2 0 0 2 2 37 46

0 2 2 1 6 5 27 43Emulsifiers 0 2 2 1 6 5 27 43Fats/Oils 2 2 4 0 5 7 30 50Flavors 2 2 3 1 5 6 29 48Food Grade Chemicals 2 2 4 2 10 9 22 51Fruits and Vegetables 5 2 4 0 5 6 31 53Grains/Flour 2 2 1 1 4 7 31 48Grains/Flour 2 2 1 1 4 7 31 48Gums/Stabilizers 1 3 1 1 5 6 28 45Legumes 1 1 0 0 2 1 38 43Liquor 0 1 0 0 2 2 37 42Meats 2 0 1 0 2 2 37 44Nuts/Seeds 2 3 1 0 2 3 35 46Other 1 0 0 0 3 3 36 43Pasta 0 0 1 0 3 2 37 43Produce (Fresh Cut and Raw Agricultural) 2 0 0 0 3 1 37 43Seafood 2 0 0 0 2 2 36 42Spice/Seasoning/Herbs 4 2 0 1 4 8 32 51

2 2 3 1 8 7 25 48Starches 2 2 3 1 8 7 25 48Sweeteners 1 2 5 2 7 6 26 49Vitamins and Fortification Blends 0 3 3 0 4 6 30 46Yeast and Yeast Extracts 2 3 3 0 4 4 30 46


Question 34: Do you have additional requirements for foreign (non-US) suppliers as compared to domestic ones?


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 BlankOther – Please Fill in the Blank

• Heavy Metal, Authenticity testing• Purchase frozen commodities China, Thailand through International Buying Group. Also , g y g p 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 applicationcommercial application• Detailed HACCP documentation• FDA compliance• Information on Country of Origin• Pesticide test of raw materialsPesticide 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 auditorsOther recognized 3rd party auditors• Source COO statements, and recognized third party audits• Additional testing for heavy metals, antibiotics• Melamine testing if appropriate

M l i f Chi d P ti id f US i lt l i di t

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• Melamine for China and Pesticides for non-US raw agricultural ingredients

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


Response Count

Yes15.1% 13

No84.9% 73

If yes, please explain10


Broker: An agent that facilitates transactions between a buyer & seller. A broker does not take title to the goods.

Yes

NoDistributor: A firm that purchases goods, stores them and resells them to manufacturers

Question 35: Do you have any additional requirements for brokers or distributors?Other – Please Fill in the BlankOther – 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

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Question 36: How often do you audit your distributors?

Answer Options Annual 1 - 2 years 3 - 4 years 5 -6 years Never Other Not Applicable

Response Count

Acidified/Low Acid Canned Foods (LACF) 1 0 0 0 9 1 38 49Animal Food/Feed 1 0 0 0 5 1 35 42Bakery 0 1 0 0 5 2 33 41Cocoa/Chocolate/Confections/Candy 0 0 1 0 9 4 28 42Coffee/Tea 0 0 0 0 7 2 33 42Colors 0 1 2 0 11 3 29 46Cultures 0 0 0 1 6 2 34 43Dairy 1 4 2 0 13 5 23 48Eggs 0 0 1 0 8 3 33 45Emulsifiers 0 0 1 0 11 6 25 43Fats/Oils 0 1 2 0 11 6 28 48Fats/Oils 0 1 2 0 11 6 28 48Flavors 0 1 2 1 15 5 27 51Food Grade Chemicals 2 4 2 1 17 6 19 51Fruits and Vegetables 4 2 3 0 9 3 29 50Grains/Flour 2 1 2 0 11 6 27 49Gums/Stabilizers 1 0 1 0 16 5 24 47Legumes 1 0 1 0 5 1 35 43Liquor 0 0 0 0 4 1 35 40Meats 2 0 0 0 6 2 33 43Nuts/Seeds 1 0 1 0 8 2 32 44Other 0 0 0 0 6 4 32 42Pasta 0 0 1 0 6 2 33 42Pasta 0 0 1 0 6 2 33 42Produce (Fresh Cut and Raw Agricultural) 3 1 0 0 6 2 32 44Seafood 1 0 0 0 5 2 34 42Spice/Seasoning/Herbs 3 0 2 1 12 8 26 52Starches 1 0 2 0 15 7 24 49Sweeteners 1 1 2 1 11 5 26 47Vitamins and Fortification Blends 0 2 2 0 9 1 30 44Yeast and Yeast Extracts 0 0 2 0 10 4 28 44


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


Response Count

Yes 65.6% 59

No 34.4% 31


No

Yes

Question 38: If a supplier location doesn’t achieve supplier approval, do you have an exemption/probation process?


Response Count

Yes 65.6% 59

No 34.4% 31

No

YesYes

Question 39: If you have an exemption/probation process, do you have time limits for this exemption/probation status?


Response Count

Yes, 60 days 21.7% 15Yes, 60 days 21.7% 15

Yes, 180 days 15.9% 11

Yes, 1 year 11.6% 8

No time limits given 50.7% 35


Yes, 60 days

Yes, 180 days

Yes, 1 year

N i li i No time limits given

Question 40: Please list ways a supplier will become "Disqualified"? y

Quality Food SafetyQuality• Quality Issues- 17• Recurring quality issues – 3

Food Safety• Food safety violations – 5• Lack of food safety controls

f f 3• Unacceptable response to quality issues - 2

• Appearance of ingredient deliveries – 2

• Poses food safety risk – 3• Critical food safety issues - 6• Recurring Food safety issues – 4

deliveries – 2• Lack of quality controls

• Put on FDA’s Auto Detention List• Product contamination – 10• Failed pathogen/micro testing on

d t 3product - 3• Recalls – 8• Inadequate food safety programs

Ad lt t d d t k i

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• Adulterated product or packaging; economic adulteration

Question 40 Cont’d: Please list ways a supplier will become "Disqualified"?Disqualified ?

Nonconformance• Non conforming product – 2• No intent to comply with terms and

conditions – 2

• Unacceptable Sanitation – 2• Failure to implement salmonella

control program; pest control i l• Failure to comply with terms and

conditions – 1• Recurring minor issues – 4

program; environmental monitoring

• No HACCP plan implemented – 2Critical failure to any aspect of the• Failure to meet

specifications/requirements (product or vendor approval process) – 15

• Critical failure to any aspect of the company survey/company review – 2

• Failure to implement correctiveprocess) 15• Too many

rejections/product/product testing failures - 3

Failure to implement corrective actions - 2

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Business Practices Audit Results• Delayed deliveries; Too slow – 5• No show on scheduled delivery• Unresponsive to requests

• No audit – 4• Audit results; poor audit - 5• Failed audit (3rd party/2nd party) –

• Dissatisfied with product - 2• Excessive damages – 2• Ethics; unethical; dishonesty

9• Does not meet standards for third

party auditF il f f ilit i it• Poor complaint resolution; poor

customer service – 3• Recurring complaints; poor

i 2

• Failure of facility visit

service - 2• Cost increase; expensive in cost;

unacceptable price Lapse in insurance

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• Lapse in insurance• Inability to supply


DocumentationDocumentation• Failure to complete Supplier

Approval Package – 3 responsesUnable to produce or failure to• Unable to produce or failure to provide necessary documentation – 13

• Incorrect/inaccurate/falsification ofIncorrect/inaccurate/falsification of data – 3

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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?


Yes 30 3% 27Yes 30.3% 27

No 69.7% 62


Yes

No

Question 42: Do you use a risk assessment process to identify high, medium & low risk ingredients and/or suppliers?

No

Yes


Yes 85.4% 76

No 14.6% 13


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

NoNo

Yes

A O ti Response R C tAnswer Options p Percent Response Count

Yes 75.0% 66

No 25 0% 22No 25.0% 22


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

Answer Options Response Percent Response Count p p p

Microbiological Sensitivity Including History of Outbreaks73.5% 61

A li ti f th i di t i / t kill dditi71.1% 59

Application of the ingredient in your process, e.g. pre/post kill addition


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

37 3% 31Single Source Supplier Location 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% 11Age of the Facility in Which the Ingredient is Manufactured

13.3% 11

The Use of a Broker to Procure the Ingredient 12.0% 10


80 Respondents

Question 44 Cont’d: Which of the following attributes are considered in your riskOther – Please Fill in the BlankOther – Please Fill in the Blank

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

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Question 45: Do you evaluate your ingredient suppliers’ suppliers?

Yes

No


Yes 22.5% 20

No 77.5% 69


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

< 100

100 - 500

500 - 1,000

1,000 - 1,500

> 1,500


< 100 90.6% 77100 - 500 4.7% 4

500 - 1,000 4.7% 41,000 - 1,500 0.0% 0

1 500 0 0% 0> 1,500 0.0% 0


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


Response Count

< 100 96 4% 80< 100 96.4% 80

100 - 500 1.2% 1

500 - 1,000 1.2% 1

1,000 - 1,500 0.0% 0

> 1,500 1.2% 1


< 100100 - 500500 - 1,0001,000 - 1,500> 1,500

Question 48: What documents are required for product-contact packaging suppliers’ qualification/desk audit


Response Count

Continuing Guarantee 90.7% 78

90 7% 78Plant Name and Address 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


Trace and Recall Program54.7% 47

Trace and Recall ProgramThird Party Food Safety Audit (e.g. BRC, SQF, NSF)

50.0% 43

FDA/CFIA approval letters48.8% 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 Party Audit - Accept Full Audit Only 22.1% 19 y p y

Third Party Audit - Accept Cover Page / Score 22.1% 19


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

Once a Year

Every 2 Years

Every 3 Years

Every 5 YearsEvery 5 Years



Response Count





22 6% 19No Frequency Established 22.6% 19



Question 50: Do you require product-contact packaging suppliers to complete a supplier questionnaire?


Response Count

Yes 53 4% 47Yes 53.4% 47

Depends on Risk 5.7% 5

No 40.9% 36


No

Yes

Depends on Risk

Question 51: What is the frequency of having each packaging supplier location complete the supplier questionnaire?


Response Count





Depends on Risk 13.1% 8


Other (please specify) 1Once a Year

Every 2 Years

Every 3 Years

( y)


Every 3 Years

Every 5 Years

Depends on RiskDepends on Risk


Question 52: Have you asked your product-contact packaging suppliers to become GFSI certified?


Response Count

Y 14 0% 12Yes 14.0% 12

Not Yet, But Plan To 18.6% 16

No 67.4% 58


Yes

Not Yet, But Plan

To

No

Question 53: What percentage of your product-contact packagingsuppliers are GFSI certified?

< 10%

10 25%10‐25%

25‐50%

50‐75%

> 75%


10% 64 9% 50< 10% 64.9% 5010-25% 16.9% 1325-50% 5.2% 450-75% 3.9% 350 75% 3.9% 3> 75% 9.1% 7


Question 54: Do you conduct on-site audits of your product-contact packaging suppliers?

Yes

No

Not yetNot yet, but plan to


Yes 34.9% 30

Not yet, but plan to 8.1% 7

No 57.0% 49


Question 55: Do you require any additional information from your product-contact packaging suppliers?

Migration testing results Specification Sheets Specification Sheets, Certificates of Compliance FDA Approved and Temperature Requirements Allergen Allergen Food safety questionnaire Compliance to FDA, Cal FDA, EPA, Cal EPA, Cal DPR, Prop 65, Food Contact

Compliance, Application Verification, Contents of Component, Detailed Co p a ce, pp cat o e cat o , Co te ts o Co po e t, eta edSpecifications, Stack pattern if applicable, Test results and methodologies etc..

FDA Food Grade Status Cert Several package specific documents related to known safety issuesg y Same as ingredient suppliers LOG stating they meet all federal regulations for product contact packaging Conformance with EU regulations

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g

No of respondents = 11

Question 56: Is there a formal process for evaluating your suppliers (e.g., scoring system)?

No

Yes


Response Count

Yes 65.2% 58

No 34.8% 31


Question 57: Is the evaluation determined by a cross-functional team (e.g., purchasing, tech services, R&D)?

No

Yes

R R Answer Options Response Percent

Response Count

Yes 71.3% 57

N 28 8% 23No 28.8% 23


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

Yes

NoNo

Answer Options Response Percent Response CountAnswer Options Response Percent Response Count

Yes 39.0% 32

No 61.0% 50No


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

Answer Options Response Percent Response CountPercent

Complaints 89.5% 68

Quality 89.5% 68Quality

On Time Delivery 72.4% 55

Cost 68.4% 52

Technical Support 51.3% 39

Not Applicable 3.9% 3

Oth ( l if ) 2Other (please specify) 2

No of respondents = 76No of respondents = 76

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

90 0%

100.0%

60.0%

70.0%

80.0%

90.0%

30.0%

40.0%

50.0%

0.0%

10.0%

20.0%

On Time Complaints Technical Quality Cost Not


On Time Delivery

Complaints Technical Support

Quality Cost Not Applicable
