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1、MANAGERIAL SYSTEM管理系统l Administrative/Role & Responsibilities 管理的作用和职责YESNO Current organization charts available and accurate?当前可用的、正确的组织结构图 Policy/procedure that defines the responsibility and authority of QC unit.规定QC部门的权力和职责的方针或程序 Have the responsibilities of each functional group and supervisor
2、 been clearly Defined, including testing and operational requirements, SOPs, and all other Critical functions?每一个分工小组和管理者的职责应有明确的规定，包括测试和操作要求、SOPS以及其他的关键要求。 Is an organizational structure in place and properly staffed to assure all required Testing/monitoring support activities are performed?是否有适当的组
3、织结构，使员工保证所有要求检验、监测支持活动必须被执行。 Is the span of control adequate? 控制范围是否适当、充分？ What is the ratio of supervision to analyst?分析员监督比率是多少？ Are the roles and responsibilities for each position clearly defined?每一个岗位（或职位）的作用与职责是否被明确的规定？ Are job descriptions available?是否有职位说明？ Are signature authority, responsib
4、ility, and accountabilities appropriate and clearly defined?签名权力、责任、适当的问责制是否有明确地规定？ Do systems exist to enhance communication, understanding, and working relationships between Laboratory and QA personnel?在实验室与QA之间是否有加强信息沟通、理解以及工作关系的程序？ Does a personnel performance evaluation system exist which track
5、s Laboratory Personnel strengths and weakness and establishes corrective action procedures to Mitigate any weakness？是否有人员业绩评估程序，跟踪实验室人员的优势和劣势，建立矫正行动程序，减轻任何弱点？ Does a master testing schedule or similar document(s) exit to insure smooth workflow, and minimize Laboratory personnel over commitment? 是否有用
6、以保证顺利工作流程，最小化实验室人员上面的的承诺的主要试验大纲或类似的文件(s)？ Do current CVs and resumes exist for all personnel including consultants?是否有所有员工包括顾问的个人简历？l Training培训 Have the educational, training and work experience requirements for each laboratory position been clearly defined and do they reflect current standards in
7、the industry?对于每一个实验室岗位的教育、培训和工作经验强化培训计划需求是否有明确的规定？对于行业中的现行标准，他们是否可以反映？ Are training requirements clearly documented in a SOP. (Including Managers, Supervisors, Analysts and Temporary staff)?培训需求在SOP中是否有明确的规定（包括经理、管理者、分析员以及临时员工）？ Has a training curriculum been developed for each position which clear
8、ly identifies all required SOPs and Policies, safety, cGMPs as well as all other internal and external courses or programs? (Database or hard copy?) 每个位置需要的SOPS、策略、安全、cGMPs以及所有其他的内部和外部的课程或者方案(数据库或硬拷贝) 的培训课程是否被开发？ Is job-specific training identified?仅限于工作的培训鉴定了吗？ Does each employee have a training fi
9、le?每位员工是否都有培训文件（资料）？ Are the training histories for each individual current? (Database or hard copy?)当前的每位员工是否都有培训历史？（数据库或硬拷贝?） Have all laboratory personnel been properly trained?所有试验人员是否得到适当的培训？ Is this training documented and where do these documents reside?是否有培训记录，并存档？ How is SOP training conduc
10、ted?如何实施SOP培训？ Are metrics used to determine acceptability?是否有可接受的标准？ Is there a laboratory certification program?是否有实验室认证程序？ Has an individual been designated as the training coordinator or manager?是否有固定的培训协调员或经理？ Is there evidence or rmanagement support for training and training programs?是否有培训和管理培
11、训方案的程序文件？ Does a formal training budget exist?是否有一个正式的培训（经费）预算？ Do vendor-training records exist?是否有供应商培训记录？ Is there evidence that newly hired employees are evaluated for skill level and competency是否有证据表明新聘用的员工是经过技术水平和能力的评估？ Is there a formal training schedule in place and is being executed?是否有一个正式
12、的培训计划并正在执行？ Is there evidence of employee re-training?是否有员工再培训的证据？ Is there a positive attitude with respect to training on the part of Management and Laboratory personnel?关于对实验室的管理和人员培训这部分是否有一个积极的态度？l Change Control变更控制 Is there a current Change Control system and written procedure for authorizatio
13、n, documentation and implementation of changes that may have a regulatory or quality impact?是否有经批准的日常变更控制系统和诉讼的书面程序？是否有变更执行后的监管或对质量的可能影响？ Who is responsible for administration and approval of Change Control system?谁负责管理变更控制系统？谁负责审批变更控制系统？ Is there a tracking system for changes?是否有变更跟踪系统？ Does the Ch
14、ange Control system include mechanisms for planned changes to:变更控制系统是否包括对计划的变更机制：Standard Operating Procedures?标准操作规程（SOP）？Formulation?处方？Manufacturing Process生产过程？Major Equipment?主要设备Batch Size?批量？Production Site?生产地点？Raw Material or Packaging Material Supplier/Process?原（辅）料和包装材料的供应商及生产过程？Testing M
15、ethods?测试方法？Product Specifications?产品规格？Raw and Packaging Material Specification?原（辅）料和包装材料明细表？Changes in Regulatory Requirements?变化的监管要求？Defining Major and Minor Changes?定义主要和次要的变化？ How are unplanned changes made?无计划的变更是如何发生的？ Who approves those changes?谁批准这些变更？l Communications/Reports通信/报告 Does the lab conduct statisti
