Supplier and Raw Material Approval & Monitoring
Aligned with BRCGS Food Safety Issue 9 – Clause 3.5
Requirement Overview
BRCGS Food Safety Issue 9, Clause 3.5 requires that all suppliers of raw materials and packaging undergo a documented approval and monitoring process to ensure their continued compliance with food safety, legality, and quality requirements.
Clause 3.5.1.1: “The company shall have a documented supplier approval and monitoring procedure to ensure that all suppliers of raw materials (including primary packaging) effectively manage risks to raw material quality and safety and are operating effective traceability processes.”
Proper supplier approval and ongoing performance monitoring are essential to ensure the integrity of raw materials and prevent food safety incidents.
Aligned with BRCGS for Storage & Distribution Issue 4 – Clause 4.3.1 & 4.3.3
Requirement Overview
BRCGS for Storage & Distribution requires that products moved via cross-docking are traceable and controlled at all times, even when they are not held in storage for extended periods.
Clause 4.3.1: “The company shall ensure that traceability is maintained at all stages, including during cross-docking operations.”
Clause 4.3.3: “Procedures shall be in place to ensure that all products handled, including those not stored on-site, remain under control and are not subject to contamination or substitution.”
Cross-docking operations must not compromise product traceability, safety, or integrity. Even with minimal handling and temporary presence, each product must be accurately identified, documented, and protected.
Key Compliance Objectives
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✓ Approve suppliers through risk-based assessments
✓ Monitor supplier performance through audits and verification
✓ Maintain traceability of materials to approved sources
✓ Document raw material specifications and testing
Step-by-Step Compliance Implementation
1. Develop a Supplier Approval Procedure
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Key Components:
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• Risk assessment of each supplier and raw material
• Documented approval criteria (e.g., certifications, audits, questionnaires)
• Assigning approval status (approved, conditional, not approved)
Evidence to Maintain:
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• Supplier approval SOP
• Completed supplier questionnaires or audit reports
• Approved supplier list with status and review dates
- • Risk assessment of each supplier and raw material • Documented approval criteria (e.g., certifications, audits, questionnaires) • Assigning approval status (approved, conditional, not approved)
- • Supplier approval SOP • Completed supplier questionnaires or audit reports • Approved supplier list with status and review dates
2. Define Raw Material Specifications
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Specifications Must Include:
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• Product description and technical data
• Food safety criteria (e.g., allergens, microbiological limits, chemical residues)
• Packaging requirements and handling instructions
Evidence to Maintain:
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• Signed and current raw material specifications
• Change control documents for specification updates
• Certificates of analysis or conformance
- • Product description and technical data • Food safety criteria (e.g., allergens, microbiological limits, chemical residues) • Packaging requirements and handling instructions
- • Signed and current raw material specifications • Change control documents for specification updates • Certificates of analysis or conformance
3. Monitor Supplier Performance
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Monitoring Activities Include:
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• Regular supplier audits or performance reviews
• Review of non-conformances and corrective actions
• Monitoring of delivery performance, COAs, and complaints
Evidence to Maintain:
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• Audit or review schedules and reports
• Non-conformance and CAPA records
• Supplier scorecards or performance summaries
- • Regular supplier audits or performance reviews • Review of non-conformances and corrective actions • Monitoring of delivery performance, COAs, and complaints
- • Audit or review schedules and reports • Non-conformance and CAPA records • Supplier scorecards or performance summaries
4. Manage Incoming Material Verification
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Verification Steps:
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• Physical inspection of incoming goods
• Sampling and testing of raw materials (where required)
• Approval before use in production
Evidence to Maintain:
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• Receiving logs and inspection forms
• COA/COC verification logs
• Material release documentation
- • Physical inspection of incoming goods • Sampling and testing of raw materials (where required) • Approval before use in production
- • Receiving logs and inspection forms • COA/COC verification logs • Material release documentation
Common Audit Findings & Recommended Fixes
| Audit Finding | Recommended Action |
|---|---|
| No formal supplier approval process | Implement documented risk-based supplier approval procedure |
| Missing or outdated supplier documentation | Review and update approval records annually |
| No performance monitoring | Track complaints, delivery issues, and food safety concerns |
| Lack of raw material specifications | Define detailed specs with food safety criteria and supplier sign-off |