Purchasing, Sales and Suppliers
Supplier Checklist
Evaluate supplier capabilities through systematic assessment criteria ensuring quality system compliance and performance.
Summary
Supplier Qualification Checklist provides systematic evaluation framework for assessing suppliers before adding them to the Approved Supplier List, ensuring comprehensive documentation of supplier capabilities, quality systems, and risk factors affecting medical device quality and regulatory compliance. This essential Quality Management System (QMS) record standardizes supplier assessment processes and supports informed procurement decisions.Why is Supplier Qualification Checklist important?
Supplier qualification represents the foundation of supply chain quality assurance that directly impacts medical device safety, performance, and regulatory compliance. Without systematic supplier evaluation, organizations risk selecting suppliers that lack appropriate quality systems, technical capabilities, or regulatory understanding necessary for medical device manufacturing. Regulatory requirements mandate structured supplier control processes. FDA Quality System Regulation (21 CFR 820.50) and ISO 13485:2016 (Section 7.4.1) require organizations to evaluate suppliers based on their ability to provide products meeting specified requirements. The qualification checklist provides evidence of systematic supplier assessment and documented decision-making. The structured approach transforms supplier selection from informal vendor relationships into strategic quality partnerships. Well-executed supplier qualification reduces supply chain risks, prevents quality issues, and ensures suppliers understand their role in maintaining medical device quality and regulatory compliance.Regulatory Context
Under 21 CFR Part 820.50 (Purchasing Controls):
- Supplier evaluation and selection based on ability to meet specified requirements including quality system adequacy
- Purchasing data documentation including specifications, acceptance criteria, and quality requirements
- Supplier notification requirements for changes affecting purchased product specifications
- Incoming inspection or verification activities to ensure compliance with purchasing requirements
Special attention required for:
- Critical component suppliers requiring enhanced qualification including quality agreements
- Design control supplier qualification when components affect device design specifications
- Contract manufacturer qualification including process validation oversight
- Software supplier assessment for systems affecting design controls or quality management
Guide
Supplier Information Documentation
Collect comprehensive supplier identification including company name, address, contact personnel details, and organizational structure relevant to purchased products/services. Document contact information for key personnel including technical contacts, quality representatives, and business relationship managers. Verify supplier credentials including business registration, regulatory certifications, and industry memberships relevant to medical device supply chain. Assess supplier stability through financial information, business continuity planning, and market presence evaluation. Document supplier location and geographic considerations affecting supply chain logistics, regulatory compliance, and business continuity. Consider time zone differences, language requirements, and cultural factors affecting business relationships.Product and Service Description
Define purchased products/services clearly including technical specifications, quality requirements, and regulatory considerations. Specify intended use of purchased items in medical device manufacturing, quality management, or regulatory activities. Document critical characteristics that affect device performance, safety, or regulatory compliance. Identify key quality attributes requiring special attention during incoming inspection or verification activities. Establish acceptance criteria for purchased products/services including performance specifications, quality standards, and delivery requirements. Link requirements to device specifications and regulatory obligations.Systematic Supplier Evaluation
Evaluate suppliers systematically using standardized criteria including quality of products/services, resource adequacy, cooperation/customer service, and payment terms. Apply consistent scoring methodology (0=Poor, 1=Fair, 2=Good, 3=Excellent) across all evaluation categories. Assess quality management systems including ISO 13485 certification, FDA registration status, and other relevant quality certifications. Evaluate technical capabilities including manufacturing processes, testing equipment, and quality control procedures. Review supplier performance history including delivery reliability, quality metrics, customer references, and complaint handling effectiveness. Consider supplier innovation capabilities and continuous improvement commitment.Risk-Based Qualification Decisions
Calculate average evaluation scores and apply consistent approval criteria based on overall performance assessment. Suppliers scoring 2.0 or higher can be approved without restrictions. Suppliers scoring 1.0-2.0 require approval with enhanced monitoring. Suppliers scoring below 1.0 should be blocked from use. Document qualification rationale clearly, explaining approval decisions, required surveillance measures, or rejection reasons. Consider supplier criticality when determining appropriate oversight levels and monitoring requirements. Establish supplier-specific requirements including quality agreements, certification maintenance, audit schedules, and change notification procedures based on qualification results and risk assessment.Additional Qualification Criteria
Evaluate specialized requirements including relevant certifications, quality assurance agreements, non-disclosure agreements, and audit accessibility. Assess supplier willingness to enter formal agreements supporting quality and regulatory compliance. Consider regulatory compliance factors including supplier understanding of medical device requirements, regulatory change management capabilities, and willingness to support regulatory activities. Document any unique supplier characteristics affecting evaluation including proprietary technologies, geographic advantages, or special capabilities relevant to your medical device requirements.Final Qualification Decision
Document final approval decision clearly, specifying approved status, required surveillance measures, or blocked status with rationale. Establish monitoring requirements proportionate to supplier criticality and evaluation results. Define ongoing surveillance activities including audit schedules, performance monitoring frequencies, and review cycles. Specify corrective action procedures for addressing supplier performance issues or non-compliance. Plan supplier development activities when appropriate to support continuous improvement and enhanced capabilities aligned with your quality requirements.Example
Scenario: You need to qualify a new supplier, TechComponents Inc., for providing critical sensors used in your diagnostic medical device. The sensors directly affect device accuracy and diagnostic performance.Supplier Information Collection
You document TechComponents Inc.’s complete information including headquarters in Germany, manufacturing facility in Ireland, quality contact Dr. Sarah Mueller, and technical contact Engineer James Walsh. You verify their ISO 13485:2016 certification and medical device manufacturing experience spanning 15 years.Product Description Documentation
You define the sensor specifications including measurement range, accuracy requirements, electrical characteristics, and regulatory standards compliance (IEC 60601-1). You document that sensors are critical components affecting diagnostic accuracy and requiring incoming inspection according to established acceptance criteria.Systematic Evaluation Process
You score TechComponents across four categories: Quality of Products/Services (3 - excellent ISO 13485 system and medical device experience), Resources (2 - good technical staff and manufacturing capability), Cooperation/Customer Service (3 - excellent responsiveness and medical device understanding), Payment Terms (2 - competitive pricing with standard terms). Average score: 2.5.Additional Criteria Assessment
TechComponents has relevant medical device certifications, agrees to quality assurance agreement, provides comprehensive product documentation, and offers audit access. They demonstrate understanding of medical device regulatory requirements and change control procedures.Final Qualification Decision
Based on 2.5 average score and positive additional criteria, you approve TechComponents for critical sensor supply. You establish annual performance reviews, quarterly quality metrics reporting, and quality assurance agreement requiring change notifications for any specification modifications.Q&A
What suppliers require qualification using this checklist?
What suppliers require qualification using this checklist?
Complete qualification checklists for all suppliers providing materials, components, or services affecting medical device quality or regulatory compliance. Focus on critical suppliers providing components directly impacting device performance, safety, or regulatory requirements. Non-critical suppliers may require abbreviated evaluation depending on organizational procedures.
How do I determine appropriate scoring for supplier evaluation criteria?
How do I determine appropriate scoring for supplier evaluation criteria?
Use objective criteria for scoring: 3 (Excellent) = exceeds requirements with strong quality systems, 2 (Good) = meets requirements with adequate systems, 1 (Fair) = marginally meets requirements with improvement areas, 0 (Poor) = fails to meet basic requirements. Base scores on evidence including certifications, performance data, and supplier communications.
What should I do if a supplier scores between 1.0-2.0 requiring approval with monitoring?
What should I do if a supplier scores between 1.0-2.0 requiring approval with monitoring?
Implement enhanced surveillance measures including increased incoming inspection, more frequent performance reviews, formal quality agreements, and regular communication requirements. Document specific monitoring activities and establish performance improvement expectations. Consider supplier development activities to address identified weaknesses.
How often should suppliers be re-evaluated using this checklist?
How often should suppliers be re-evaluated using this checklist?
Conduct formal re-evaluation annually for critical suppliers or when significant changes occur in supplier capabilities, quality systems, or provided products/services. Document evaluation updates and maintain qualification currency. Address performance issues through immediate re-evaluation when necessary.
What documentation should be maintained with completed qualification checklists?
What documentation should be maintained with completed qualification checklists?
Maintain all supporting documentation including supplier certifications, quality system evidence, reference communications, audit reports, and performance data used in evaluation. Keep qualification checklists as permanent quality records linked to approved supplier list entries.
How do I handle suppliers that fail qualification or are marked as blocked?
How do I handle suppliers that fail qualification or are marked as blocked?
Document specific reasons for rejection clearly and communicate findings to requesting personnel. Seek alternative suppliers meeting qualification requirements. Consider re-evaluation after suppliers address identified deficiencies and demonstrate improvement. Maintain blocked supplier records for audit trail purposes.
What additional requirements apply to critical suppliers?
What additional requirements apply to critical suppliers?
Critical suppliers typically require quality assurance agreements, audit access provisions, change notification procedures, enhanced performance monitoring, and regular business reviews. Consider single-source risk mitigation through qualification of backup suppliers when possible.
How do I evaluate software suppliers or service providers using this checklist?
How do I evaluate software suppliers or service providers using this checklist?
Adapt evaluation criteria to focus on service reliability, data security, regulatory compliance understanding, business continuity planning, and technical support capabilities. Consider validation requirements when software supports quality management or production processes. Include service level agreements and data protection considerations in qualification decisions.