Supplier & Raw Material Approval and Performance Monitoring Procedure

Start with raw-material risk before approving the supply route

Each raw material or justified raw-material group is subject to a documented risk assessment before approval. The assessment considers allergen, microbiological, chemical and physical hazards, variety or species cross-contamination, vulnerability to food fraud or substitution, legislative and customer-specific requirements, and the material’s intended use and significance within finished products.

The outcome determines the approved supply route, acceptance requirements, sampling and testing, supplier monitoring and re-approval frequency, and any additional verification needed. Review is required when the material, supplier, process or supply chain changes, after a withdrawal or recall involving the material, when new or emerging risks are identified, and at least every three years.

Match supplier approval evidence to the level of risk

Supplier approval is undertaken alongside the raw-material risk assessment and may use recognised GFSI-benchmarked certification, supplier audit, questionnaire approval or a combination. Certification-based approval requires technical or quality management to verify certificate authenticity, validity, renewal cycle and scope, including that the raw materials supplied are covered.

Where applicable certification is absent, a risk-based audit is completed before approval. The audit covers the supplier’s product safety management system, traceability, HACCP or food safety plan, product security and food defence, authenticity controls, good manufacturing practices, allergen management and corrective action. Questionnaire approval is limited to documented low-risk cases and cannot replace certification or an on-site audit where the risk assessment requires them. Approval is formally authorised by technical or quality management only after the relevant evidence has been found satisfactory.

Keep approval current through performance and traceability review

Ongoing supplier monitoring can consider delivery and service performance, responsiveness and corrective-action closure, current certificates and questionnaires, raw-material sampling or testing, documentation reliability and actions from previous evaluations or audits. Significant changes or new risk information can lead to reassessment of approval status and, where necessary, a different approval method.

Supplier traceability is verified during initial approval and thereafter at intervals determined by risk and at least every three years; verification may include mass balance and document review. Where agents, brokers or wholesalers are used, the last manufacturer, packer or consolidation point is identified and approval requirements are applied to the last manufacturer or packer unless the intermediary holds appropriate GFSI-benchmarked certification. The approved supplier list identifies approved materials and any restrictions or conditions, and only listed suppliers may be used for purchasing.

Turn risk assessment into intake acceptance and change control

Technical or quality management maintains a documented raw-material acceptance matrix derived from the risk assessment. It distinguishes the acceptance method from the criteria that must be met and can require sampling and testing, visual inspection, consignment-specific certificates of analysis, or certificates of conformance where appropriate and supported by risk assessment. Materials are not released until the required acceptance and verification activities have been completed satisfactorily.

Changes to specifications, supplier approval status, manufacturing processes, formulation, packaging format, labelling, certification or other relevant attributes are formally reviewed and approved before implementation where they may affect product safety, legality, authenticity or quality. Current requirements are communicated to goods receipt personnel, and unexpected or unapproved changes found at receipt place the material on hold pending technical review and disposition.

Control exceptions with documented justification and compensatory measures

Where standard approval methods cannot be applied, the procedure requires the exception to be documented and justified and compensatory measures, such as increased sampling or testing, to be defined. This includes customer-prescribed suppliers, bulk agricultural or open-commodity raw materials and situations where supplier information is limited. For customer-branded products, the exception is communicated to the customer.

Approve and monitor service providers according to risk

Service providers whose activities may affect product safety, legality, authenticity or quality are approved before work begins through a documented, risk-based process. Approval may include certification or accreditation, competence and capability, documented controls, legal compliance, insurance where appropriate, audit and performance history. Formal contracts or service-level agreements define responsibilities, service expectations and controls for identified risks.

Ongoing monitoring uses risk and defined performance criteria. Service reports, delivery against agreed requirements, non-conformances, complaints, incidents, performance data and reassessment can all contribute evidence; where concerns arise, the procedure provides for escalation, increased monitoring, corrective action, suspension or removal from the approved service-provider list.

Treat outsourced processing as a controlled extension of production

Outsourced processing, including intermediate work carried out off-site and returned to the company, is subject to documented, risk-based approval and monitoring. The activity is declared to the customer, with formal customer approval obtained before introduction or modification where customer requirements, product specifications or contractual agreements apply. Approval uses applicable BRCGS or GFSI-benchmarked certification, supplier audit, or a combination, supported by traceability, contracts and a formal service specification.

Risks from outsourced processing are incorporated within the site’s food safety plan, and inspection and testing are defined according to the process risk, associated hazards, processor controls and historical performance. Where results show that product requirements have not been met, the product is managed under the Non-conforming Product Control Procedure; inspection, on-site testing and laboratory analysis, where undertaken, follow the Product Inspection, On-site Testing & Laboratory Analysis Procedure.

Separate technical approval from purchasing and receipt

Senior management provides resources and supports risk-based approval, suspension or removal decisions. Technical or quality management leads raw-material risk assessment, verifies supplier evidence, approves suppliers and outsourced processors, defines intake requirements, manages exceptions, approves and monitors service providers, and reviews performance. Procurement purchases only from approved suppliers and service providers, while goods-in or warehouse personnel verify source and status, complete the defined receipt checks and report deviations.

Connect approval evidence with the wider FSQMS

The procedure links pre-approval risk assessment with current approval status, intake acceptance, change control, service-provider oversight and outsourced-processing verification. The Record Completion & Maintenance Procedure governs completion and maintenance of the records generated, while the Document Control Procedure governs document control for the approved supplier list, specifications, forms and supporting templates.