SUPPLIER QUESTIONNAIRE

SUPPLIER QUESTIONNAIRE
Company Name: Ref.No:
Version

Please complete this questionnaire, by hand and within 30 days return to (Name of
contact person).

Name and title of person returning

the questionnaire
Date

Are you: Producer Distributor Contract Contract Lab

manufacturer

Name of substance/s supplied

Annexes: Questonnaire APIs/Excipients/Packaging/QC-Labs/Toll Manufacturer etc.

1 General Information

1.1 Primary contacts

1.1.1 Name of company

1.1.2 Adress of company

1.1.3 Telephone Number

1.1.4 Fax Number

1.1.5 E-Mail

1.1.6 Web site

1.1.7 Name of Chief Executive

1.1.8 Name of Sales Respresative

1.1.9 Name of QP/Members of the

Quality Unit

1.1.10 Name of person responsible

for Quality Management

1.1.11 Name of person responsible

for Regulatory Affairs

1.1.12 Name of person responsible

for Customer Service

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1.1.13 Company organigram

1.1.14 Number of employees in

total

1.1.15 Number of employees in

QC/QA/QM

1.1.16 Number of employees in

production

1.1.17 Number of employees in

Administration

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1.2 Company Profile

1.2.1 If the company is part of a

larger group, give the name and
address of head office
1.2.2 Legal Status of the Company

1.2.3 Annual Turnover 1 10 10 100 100 1000 >1000

1.2.4 Founding year

1.2.5 Business activities

1.2.6 Subsiduaries

1.2.7 Area of production sites

1.2.8 Location of production sites

1.3 General commercial and Customer Service

1.3.1 Would you allow us or a third

party to inspect your facilities? YES NO

1.3.2 Has any other company or

third party audited you? If yes, how YES NO
many?

1.3.3 Would you provide us a copy

of a third party audit report? YES NO

1.3.4 Please note down any major

customers particularly
pharmaceutical customers, with
whom you work (optionel)

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1.3.5 If any other companies are subcontracted in any of the activities related to this product
please give their name and address.

Activity Name and Address

1.4 Site Information

1.4.1 Would you supply a site

master file? YES NO

2 Quality System

2.1 Quality Policy

2.1.1 Is your company registred at Please attach copy of the registration letter
the responsible GMP authority

2.1.2 Is your company under Please state name and adresss of the authority
surveillance by the responsible
GMP authority

2.1.3 Does the company have Please attach copy

current ISO / HACCP / IFS / GMP
or any other relevant certification?

2.1.4 Does the certification apply to

the whole operation? YES NO

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2.1.5 If NO, please explain the

scope of the certification

2.1.6 If the company is not certified,

do you have plans to get certified? YES NO

2.1.7 If YES, when is your first

inspection expected?

2.1.8 Does your company have a

Quality Manual? If so, attach table YES NO
of contens

2.1.9 Has any Authority or

Regulatory body inspected your YES NO
facilities? Please state Name and
Country:

2.2 Quality Improvement

2.2.1 Do you carry out self-

inspections of your facilities and YES NO
systems?

2.2.2 How often?

2.2.3 How do you monitor

effectiveness and closure of
corrective actions?

2.2.4 How is the senior

management kept aware of the
quality improvement program?

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2.3 Purchasing

2.3.1 How are you suppliers

approved, and by whom?

2.3.2 Do you maintain a list of

certified, and acceptable suppliers, YES NO
categorised accordingly?

2.3.3 Do your systems allow you to

use products of unapproved YES NO
suppliers?

2.3.4 Do you purchase against

agreed specifications only?

2.4 Materials Management Warehousing & Dispatching

2.4.1 What type of pest control

system do you use?

2.4.2 How often do you inspect for

pests?

2.4.3 Are storage conditions

monitored/controlled in warehouse? YES NO

If Yes please state the ranges

2.4.4 How do you dispatch finished

goods?
own transport contract transport

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2.4.5 Do you consider the rules of

Good Distribution and YES NO
Transportation Practice?

If YES please SPECIFY

2.5 Materials Management Labelling

2.5.1 What checks are carried out on

incoming materials?

2.5.2 Do you apply in house identily

labels on incoming goods? YES NO

2.5.3 If not how do you identify

materials?

2.5.4 Do you operate First in First

out ?
YES - manual Yes - comuterised No

2.5.5 Do you operate a material

location system?
YES - manual Yes - comuterised No

2.5.6 If the system is computerised,

is it validated? YES NO

2.5.7 Do you store more than one

product per location? YES NO

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2.5.8 Do you operate a quarantine

system for incoming raw materials? YES NO

2.5.9 How do you prevent quarantine

material from being used?

2.5.10 Do you have a status labelling

system? YES NO

2.5.11 How is your batch numbering

system build up?

2.5.12 What system do you use to

maintain he traceability of materials?

2.5.13 How are rejected materials

separated?

2.6 Document Control

2.6.1 Is there a formal system for

reviewing and updating SOPs,
specifications, manufacturing YES NO
instructions?

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2.6.2 How do you ensure that

obsolete/ superseded documents
according to 2.7.1 are not used?

2.6.3 How long, how and where are

batch documents archived?

2.7 Change Control

2.7.1 Is a change control system in

place? YES NO

2.7.2 What scopes are subjected to

Change Control?

2.7.3 By whom are risks of changes

assessed, classified and authorized?

2.7.4 When and how do you inform

your customers about changes?

2.7.5 Are you willing to sign a change

control agreement YES NO

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2.8 Deviation Management

2.8.1 Is a deviation management

system in place? YES NO

2.8.2 What scopes are subjected to

Deviation Management?

2.8.3 By whom are risks of deviations

assessed? Who determines
correctives and preventive actions?

2.8.4 When and how do you inform

your customers about deviations?

2.9 Training

2.9.1 Is a GMP compliant training

system in place? YES NO

2.9.2 Is training documented and

verified by testing? YES NO

2.9.3 At what interval do you retrain

staff?

2.9.4 Which training other than GMP

is carried out?

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2.10 Complaints and Recall

2.10.1 Is there a formal complaint

procedure? YES NO

2.10.2 Do you report findings to

customers? YES NO

2.10.3 Who is responsible for this

procedure?

2.10.4 In what time period would you

normally reply to a formal complaint?

2.10.5 Is there a recall policy?

YES NO

2.10.6 Who is responsible for recalls?

2.10.6 How do you ensure

traceability of all products an case of
a recall?

2.11 Computer Systems

Are IT Systems Is the computer Does data storage

used? system validated? comply with US
requirements (21
CFR part 11)
2.11.1 For Yes No Yes No Yes No
documentation

2.11.2 Warehousing Yes No Yes No Yes No

2.11.3 Laboratory Yes No Yes No Yes No

(LIMS)

2.11.4 Manufacturing Yes No Yes No Yes No

process control

2.11.5 ERP Yes No Yes No Yes No

(Enterprise Resource
planning)

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3 Quality Testing and Release of Materials and Products

3.1 Quality Control laboratory facilities and systems

3.1.1 Do you have on-site laboratory

or QC facilities? YES NO

3.1.2 If yes, what kind of testing do

you apply?

3.1.3 Is your QC department

independent from production? YES NO
(please provide organigram)

3.1.4 Do use contract laboratories?

YES NO

3.1.5 If Yes, which labs and which

tests?

3.1.6 Are the labs accredited/

certified? According to which
standard?

3.1.7 Are the labs qualified and

audited by your company or a third
party?

3.1.8 Are written quality contracts in

place?

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3.1.9 Are all laboratory instruments

and measuring devices & calibrated? YES NO

Comment:

3.1.10 Do you maintain a calibration

schedule? YES NO

3.1.11 Are there written instructions

for the laboratory equipment? Operation YES NO

Mainteneance YES NO

Calibration YES NO

Cleaning YES NO

3.1.12 Do you have a sampling plan

for the material delivered to us?
Please give a short description.

3.1.13 Who conducts sampling and

where?

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3.2 Quality Control laboratory testing

3.2.1 Do you have specifications for

the raw materials, intermediates and YES NO
finished products?

3.2.2 Do you use reference

standards? YES NO

If Yes, which ones: EP USP OTHER

3.2.3 Is a written procedure for

handling of reference standards,
chemicals and reagents in place?

3.2.4 What testing is carried out on

the final product?

3.2.5 Are there written instructions for

the tests? YES NO

3.2.6 Are the tests validated or do

you use verified compendial
methods?

3.2.7 How do you deal with out of

spec test results?

3.2.8 Do you retain samples from raw

materials and finished products? YES NO

3.2.9 If YES, please indicate amount,

storage time and conditions

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3.2.10 Do you provide certification of

each batch/ lot of product? Certificate of Analysis

certificate of conformance

other

3.2.11 Can provide certification to

include a specific customer YES NO
requirement?

3.2.12 Do you execute storage

stability testing acc. to ICH and can YES NO
you provide corresponding stability?

3.2.13 If YES, please indicate the

shelf live/ retest date and
corresponding storage conditions.

3.3 Batch Release

3.3.1 Are there written procedures for

the dispositioning (approval or YES NO
rejection ) of incoming materials?

3.3.2 Are there written procedures for

the dispositioning (approval or YES NO
rejection ) of finished products?

3.3.3 Does a qualified person/ quality

unit review the batch records before YES NO
the batch is released and certified?

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3.4 Hygiene system

3.4.1 Are you operating a functional

hygiene system? If YES please YES NO
specify?

3.4.2 What areas are included by this

system?

3.4.3 Please describe the fey

elements and scopes of your hygiene
plan.

3.4.4 Do you operate a hygiene

monitoring system? If YES please YES NO
specify.

3.4.5 How do you evaluate your

hygiene monitoring system? Please
specify.

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3.5 Final evaluation by submittor:

No significant Minor Mayor Deficiencies N.A

deficiencies deficiencies deficiencies not
acceptable
2.1 Quality Policy

2.2 Quality
Improvement
2.3 Purchasing

2.4 Materials
Management
Warehousing &
Dispatching
2.5 Materials
Management -
Labelling
2.6 Document Control

2.7 Change Control

2.8 Deviation
Management
2.9 Training

2.10 Complaints and

Recall
2.11 Computer
Systems
3.1 Quality Control
laboratory facilities
and systems
3.2 Quality Control
laboratory testing
3.3 Batch Release

3.4 Hygiene system

Name and title of person

evaluating the
questionnaire

Date

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