GMP Quality Supplier Audit Questionnaire 1663569818
GMP Quality Supplier Audit Questionnaire 1663569818
GMP Quality Supplier Audit Questionnaire 1663569818
1. General Information
1.1. Are customer audits and/or inspections by agencies permitted? Yes No
1.2 Is the decision to release or reject a product for sale independent from production? Yes No
1.7 Please, give a brief flow diagram of the process, including information about where in- Ref:
process controls are performed. Special attention must be given to the last step in the
process e.g. reagents, precipitation agent and solvents
Supplier Quality Questionnaire
5.6 If, for capacity reasons, you combine material coming from more than one particular piece or part of process
equipment into one lot/batch:
5.6.1 Is the lot/batch being homogenised prior to packaging? Yes No N/A
5.7 Do you manufacture according to a written procedure for each product Yes No N/A
supplied to the market?
5.8 Are these procedures approved by QA? Yes No N/A
5.9 Do you have a batch record for each batch/lot manufactured? Yes No N/A
5.9.1 If yes, do the batch records detail the following:
▪ Description, Lot Number & Quantities of Material used? Yes No N/A
▪ Processing Conditions (Temperature, Times etc)? Yes No N/A
▪ The identification of the Person who performed the particular Yes No N/A
step?
▪ Results of any In-process tests? Yes No N/A
▪ All deviations from standard conditions? Yes No N/A
▪ All cleaning operations carried out before & after batch Yes No N/A
manufacture?
5.9.2 If yes, for how long do you keep the batch records? Yes No N/A
5.9.3 If yes, are these records formally checked and approved by QA? Yes No N/A
5.10 Do you maintain lot separation during
▪ Manufacturing? Yes No N/A
▪ Packaging? Yes No N/A
▪ Storage? Yes No N/A
Supplier Quality Questionnaire
5.11 Do you maintain records of use, maintenance for process equipment, in Yes No N/A
order to demonstrate the traceability in batches, product processed and
personnel?
5.12 Are computers used to store records of manufacture, testing, storage or Yes No N/A
distribution for the product you supply?
5.12.1 If yes, have these computer systems been validated (i.e.. have the Yes No N/A
complete life cycles of the systems been assessed and documented
including stages of planning, specifications, programming, testing,
commissioning, documentation, operation, monitoring and modifying)?
5.13 Do all product containers bear identification labels, e.g. stating batch/lot Yes No N/A
number, product name etc.?
5.14 Is there expiry or retest dates defined for all material? Yes No N/A
5.15 Is there storage conditions defined for all material? Yes No N/A
5.16 Is the product identifiable throughout the manufacturing process? Yes No N/A
5.17 Is traceability of all raw materials used, maintained throughout Yes No N/A
manufacture?
5.18 Is there a procedure in place to prevent cross-contamination? Yes No N/A
5.19 Are line clearances undertaken between product changes during Yes No N/A
manufacturing and labelling? (i.e. Where a variety of products are
manufactured on one site, do you carry out an independent, recorded
check, immediately prior to a production run to verify the areas are free
from previous starting materials, products documentation and waste and
that it is fit for use)?
5.20 Do you use dedicated equipment for the production of the product in Yes No N/A
question?
5.20.1
If no, please provide details of other product types manufactured using
this equipment:
5.28 Is there a documented procedure that clearly defines when blending of Yes No N/A
non-conforming product is allowed?
5.29 How long do you keep the analytical and production records (number of
Years
years)?
5.30 Do you have plant shutdowns (holidays, maintenance)? Yes No N/A
5.30.1 If yes, which one(s)? main hol
5.31 Do you have manufacturing alternatives/fall back? Yes No N/A
5.32 How many weeks of inventory do you have for the product(s) involved:
5.32.1 ▪ Raw materials?
5.32.2 ▪ Semi-finished product?
5.32.3 ▪ Finished product?
Supplier Quality Questionnaire
6. Materials Control
6.1 Do you have an approved supplier list? Yes No N/A
6.2 Do you have agreements in place with all your suppliers that require
them to notify you of any change in raw material or the manufacturing Yes No N/A
process of the product supplied?
6.3 Do you have written specifications for all incoming raw material? Yes No N/A
6.4 Who is responsible for establishing and approving the specifications of
raw materials?
6.5 Do you require a manufacturer’s certificate of analysis for all material
Yes No N/A
received in the company?
6.6 Are Certificates of Analysis routinely compared against a written
Yes No N/A
specification?
6.7 Do you routinely test receipted materials to verify conformance with the
Yes No N/A
supplier certification?
6.8 Do you have procedures for the control of raw materials? Yes No N/A
6.9 Are records kept that show full traceability of raw materials? Yes No N/A
6.10 Do you maintain information records for raw materials which include the following:
▪ Your lot Identity? Yes No N/A
▪ Suppliers Lot No? Yes No N/A
▪ Date of Receipt? Yes No N/A
▪ Quantity? Yes No N/A
▪ Suppliers name? Yes No N/A
▪ Shelf Life? Yes No N/A
▪ Test Results? Yes No N/A
▪ Specification? Yes No N/A
▪ Accepted/Rejected? Yes No N/A
▪ Retained Sample? Yes No N/A
6.11 Please describe how material is issued from stock:
6.12 Do you have defined areas for Receipt, Identification, Sampling and
Yes No N/A
Quarantine of incoming materials?
6.13 Are scheduled stock checks performed? Yes No N/A
6.14 Do you have a rework/reprocess policy? Yes No N/A
Supplier Quality Questionnaire
7. Quality Control
7.1 Is Quality Control (QC) independent of Production? Yes No N/A
7.2 Please describe the QC laboratory facilities and the tests these
laboratories are capable of performing:
7.3 Are records kept of all samples that are submitted to the laboratories? Yes No N/A
7.4 If so, do these records include the following:
▪ Date sample received? Yes No N/A
▪ Identity of samples? Yes No N/A
▪ Results of testing? Yes No N/A
▪ Date sample taken? Yes No N/A
7.5 Are there formal written procedures for all performed tests? Yes No N/A
7.6 Are the analytical methods validated? Yes No N/A
7.7 Are control samples routinely run with assays? Yes No N/A
7.8 Are analytical calculations checked by a second person? Yes No N/A
7.9 Do you perform trend analysis on analytical results? Yes No N/A
7.10 Are the results of reference standard testing maintained on file? Yes No N/A
7.11 Is there a procedure for documenting and investigating out-of-
Yes No N/A
specification results?
7.12 Do you use any contract laboratories? Yes No N/A
7.13 Have you qualified/evaluated these contract laboratories? Yes No N/A
7.14 What types of testing is contracted out?
8. Quality Assurance
8.1 Is there an independent Quality Assurance (QA) department within the
Yes No N/A
company?
8.2 Who is responsible for evaluation and approval:
▪ of specifications of end products?
▪ of critical manufacturing process parameters?
8.3 Do you have procedures covering the release or rejection of material? Yes No N/A
8.4 Who is responsible for release and reject of your end product?
8.5 On which quality data do you base the release of the product?
8.6 Are batch records reviewed / approved before the batch is dispatched? Yes No N/A
8.7 Are deviations and non-conformances investigated, documented and
Yes No N/A
filed?
8.8 Do you communicate doubts regarding the quality of the product to the
Yes No N/A
customers?
8.8.1 Even when the product is still within specification? Yes No N/A
8.9 Would you notify your Customer of any significant deviations that occur
Yes No N/A
during manufacturing?
8.10 Do you introduce changes according to a written procedure? Yes No N/A
8.11 Do you inform your customers about changes? Yes No N/A
8.11.1 If yes, how do you inform them?
8.11.2 Do you wait for approval of customers on major changes? Yes No N/A
8.11.3 Would you notify your Customer in writing prior to implementing
significant changes in analytical test methods, specifications or
Yes No N/A
manufacturing procedures/process, use of raw material source form
animal, human or vegetable origin?
8.11.4 Would you notify your Customer in writing prior to implementing major
Yes No N/A
changes in plant, site of production or contract manufacturing?
8.13 Do you supply a Certificate of Analysis with each batch? Yes No N/A
8.13.1 If ‘YES’, will the Certificate of Analysis include actual analytical results? Yes No N/A
8.14 Will you supply a Certificate of Sterilization with each batch? Yes No N/A
Supplier Quality Questionnaire