General • Audits

Vendor Audit Questionnaire

MaintainX

10/24/2021

Vendor Audit Questionnaire

Vendor Company Name:

Supplier Site Address:

Phone No:

Fax No:

E Mail:

Supplier Business Address (if different):

Phone No:

Fax No:

E Mail:

Material supplied to Sydco, covered by this questionnaire:

Is the Company a division/subsidiary of another corporation?

Yes
No
N / A

If Yes, Please Specify

This questionnaire was completed by:

Name:

Job Title:

Date:

Signature:

Management Responsibility

Is an organization chart available? If yes, please enclose a copy.

Yes
No
N / A

Are there any written job descriptions defining each individuals responsibilities

Yes
No
N / A

How many shifts of operation are there in the Production Area?

How many shifts of operation are there in QC Laboratory?

Approximately how many employees do you have?

Site total

QA/QC

Production

To whom does the QA/QC Manager report?

Does the company have a policy on EHS (Environmental, Health & Safety)?

Yes
No
N / A

Does the company have a policy on Quality?

Yes
No
N / A

Who is responsible for contacts with Sydco with regards to the following areas:

Quality:

Technical:

Commercial:

Are subcontractors (if used), used for significant steps or components in Preparation of Sydco¶s products?

Yes
No
N / A

The term subcontractors includes both contracted operations within Production and the Laboratory

Yes
No
N / A

If ³Yes´, please list and explain:

Can you please provide full Supply chain(s) for the referenced material(s) (i.e. Manufacturer, Testers, Providers of C of A / C of C, Packers / Repackers and Storage & Distribution)

Yes
No
N / A

If Yes´, please list & explain:

Quality Management System

What is the basis of your quality system, i.e. ISO?

Please state your Certificate/Registration reference and appropriate dates:

Have any regulatory agencies inspected your facility in the last five years?

Yes
No
N / A

If µYes¶, by whom, when and what were the results?

Are all procedures documented and approved?

Yes
No
N / A

Are there change control procedures in place?

Yes
No
N / A

Is there a procedure to notify customers of change?

Yes
No
N / A

Are QA/QC responsibilities well defined and independent?

Yes
No
N / A

Does QA/QC approve all analytical specifications and methods?

Yes
No
N / A

How is a batch (standard quantity) defined?

What is the batch numbering system? (Please explain in detail)

Do you assign shelf/expiry/retest-lives for all materials (incoming & produced)?

Yes
No
N / A

If Yes, please provide details.

Which department reviews and approves production procedures?

Are reference samples retained?

Yes
No
N / A

If Yes, for how long?

For how long are records retained?

Is there a self-audit program?

Yes
No
N / A

Incoming Goods

Is a list of approved suppliers used?

Yes
No
N / A

Is there a documented procedure for approval of suppliers?

Yes
No
N / A

Does this include audit of suppliers?

Yes
No
N / A

If bulk tankers are used, are they dedicated?

Yes
No
N / A

If not, is a cleaning certificate required?

Yes
No
N / A

Is there a system for monitoring or reviewing suppliers¶ performance?

Yes
No
N / A

Are there documented procedures for: - Inspecting material

Yes
No
N / A

Are there documented procedures for: - Testing material

Yes
No
N / A

Are established Purchase Specifications used?

Yes
No
N / A

What is the basis for acceptance of raw materials, i.e. testing, receipt of suppliers C of A or both?

Is a sampling plan in place?

Yes
No
N / A

Is a testing plan in place?

Yes
No
N / A

Warehouse

Are storage facilities/equipment/ rented or personnel contracted?

Yes
No
N / A

If ³Yes´, please provide details.

Are receipt and release procedures documented?

Yes
No
N / A

Is the supply chain documented?

Yes
No
N / A

How is material status controlled? (i.e. Physical, system or labelling)

How is rejected material controlled? (i.e. Physical, system or labelling)

Is there an identified sampling area?

Yes
No
N / A

Are all containers identified?

Yes
No
N / A

Is a First-In-First-Out or First-Expiry-First-Out system in use? (Identify)

Yes
No
N / A

Are shelf life/expiration dates used?

Yes
No
N / A

Is Temperature (T°), controlled and documented?

Yes
No
N / A

Comments:

Is Relative humidity (RH%), controlled and documented?

Yes
No
N / A

Comments:

Production

Is there more than one site or plant used for the manufacture of the specified material(s)?

Yes
No
N / A

If ³Yes´, please provide details.

Is plant equipment labelled as to its status and contents?

Yes
No
N / A

Is Pipe work labelled?

Yes
No
N / A

Are critical processes validated?

Yes
No
N / A

Does process documentation include:

Process instructions

Yes
No
N / A

Cleaning instructions

Yes
No
N / A

Cleaning records

Yes
No
N / A

Are cleaning processes validated?

Yes
No
N / A

Is there traceability throughout the process?

Yes
No
N / A

Is there an in-process monitoring system?

Yes
No
N / A

Is there an equipment use log?

Yes
No
N / A

Are all critical instruments calibrated?

Yes
No
N / A

Is there a preventative maintenance program?

Yes
No
N / A

Is reprocessing allowed?

Yes
No
N / A

Is there a non-conformance procedure?

Yes
No
N / A

Is the yield checked against defined limits?

Yes
No
N / A

Are different grades of material produced?

Yes
No
N / A

If Yes, how and at what stage are these differentiated/selected?

Is the plant dedicated or multi purpose?

If the plant is multi purpose, what other types of materials are produced in the unit(s)?

Please list any hazardous materials that are manufactured on your site (whether in dedicated or multi purpose facilities). E.g. herbicides.

Packing

Are packing operations segregated from production?

Yes
No
N / A

Are barcode readers in use?

Yes
No
N / A

Are areas labelled with the product being packed?

Yes
No
N / A

Are re-usable containers used?

Yes
No
N / A

Are cleaning procedures in place?

Yes
No
N / A

Are controlled procedures used for issuing labels and labelling?

Yes
No
N / A

Are label details checked?

Yes
No
N / A

Are there label reconciliation procedures?

Yes
No
N / A

Are there label disposal procedures?

Yes
No
N / A

How are containers security sealed?

Is material clearly labelled, including waste and reject material?

Yes
No
N / A

Computerized Systems

Do you have a list of the Computerized systems used by this facility?

Yes
No
N / A

If ³Yes´, do you identify the Computerized systems that are considered to have an impact on Quality of Product, or Service offered?

Yes
No
N / A

If Ye´, how is this documented?

Does your Quality system cover the quality of Computerized systems?

Yes
No
N / A

Do you have procedures in place for disaster recovery and restoring of data archives?

Yes
No
N / A

Do you have access security levels for the Computerized systems?

Yes
No
N / A

Do your procedures for validation cover the Computerized systems?

Yes
No
N / A

Do you have anti-virus protection?

Yes
No
N / A

Does the Change Control procedure include Computerized systems?

Yes
No
N / A

Laboratories, QA & QC

Is an equipment use log in place?

Yes
No
N / A

Are all instruments qualified (IQ, OQ, PQ)?

Yes
No
N / A

Are all instruments calibrated?

Yes
No
N / A

Is there a preventative maintenance program?

Yes
No
N / A

Are there documented procedures for:

Sampling

Yes
No
N / A

Sample handling

Yes
No
N / A

Sample labelling

Yes
No
N / A

Re-testing / Re-sampling

Yes
No
N / A

Specification generation

Yes
No
N / A

Analytical method generation

Yes
No
N / A

Control and review of analytical methods

Yes
No
N / A

Investigation of rejected material

Yes
No
N / A

Product complaints

Yes
No
N / A

Handling out of specification results

Yes
No
N / A

Are manual calculations checked by a second person?

Yes
No
N / A

Are data transcriptions checked by a second person?

Yes
No
N / A

Is all raw-data retained?

Yes
No
N / A

Are all standards traceable to their preparation and the reagents used?

Yes
No
N / A

Are analytical methods validated?

Yes
No
N / A

Do you perform stability testing on materials and/or products?

Yes
No
N / A

If so, what shelf life / retest dates are available for the referenced product(s)?

Do you perform annual product reviews or campaign reviews on products?

Yes
No
N / A

Material Release

Is the decision to release/reject product made by a person or function independent from production?

Yes
No
N / A

Is the final status recorded?

Yes
No
N / A

Are certificates issued for each batch?

Yes
No
N / A

Are certificates signed by QA/QC?

Yes
No
N / A

If not, who signs certificates?

Is shelf life or retest dates or expiry date provided on the C of A OR C of C's

Yes
No
N / A

Is there a documented recall procedure?

Yes
No
N / A

Transport

Is a list of approved hauliers in use?

Yes
No
N / A

Is temperature controlled transports used?

Yes
No
N / A

If ³Yes´, are temperature records reviewed and retained?

Yes
No
N / A

If bulk tankers are used, is a cleaning certificate required?

Yes
No
N / A

If bulk tankers are used, are they dedicated?

Yes
No
N / A

If not, what other substances could be transported in the tankers?

If Agent/Distributor involved, is the pipe work used on delivery to the agent/distributor dedicated?

Yes
No
N / A

Are the Agent/Distributor storage facilities dedicated?

Yes
No
N / A

If No, what other substances are stored in the facilities?

Does the Agent/Distributor use dedicated filling lines?

Yes
No
N / A

What instructions are given to the haulier for delivery to a Sydco site e.g. dedicated hoses, dedicated tanks, dedicated pumps, temperature control, and paperwork to accompany delivery?

Facilities & Housekeeping

Are there procedures for health and hygiene?

Yes
No
N / A

Are rest/change/wash facilities separated from production areas?

Yes
No
N / A

Are access restrictions implemented as needed?

Yes
No
N / A

Do any production areas have special containment needs?

Yes
No
N / A

Are waste disposal systems in place?

Yes
No
N / A

Are there procedures documenting a pest control program?

Yes
No
N / A

Are material Safety Data Sheets maintained?

Yes
No
N / A

Training

Is there a written training program?

Yes
No
N / A

Are job-training needs evaluated?

Yes
No
N / A

Is completed training evaluated and approved?

Yes
No
N / A

Are there completed written training records for all employees?

Yes
No
N / A

Questionnaire reviewed for Buyer lead audit site by:

Name:

Title:

Date:

Source: Elsmar Cove (elsmar.com)