Send this form to a new supplier or contractor and you get their certifications, insurance, enforcement history and compliance confirmations back in one place before you approve them.

Effective Form Templates

This form template is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Form number and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested form templates. No junk, jargon or unnecessary fields. Simple and usable form templates developed over 25 years through practical use in the real world.

Further Reading

Further guidance on supplier and contractor management:

• Purchasing and Supplier Management
• ISO 9001 Clause 8.4 - Control of External Providers
• Modern Slavery and Human Trafficking
• Sustainable Procurement
• Supplier and Third-Party Information Security
• Management Systems knowledge base

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Download this form template with your company name and logo already added!
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How to Download

These files are included in the alphaZ subscription. The standard F-Q9 form is also included in the ISO 9001 Toolkit and every alphaZ ISO toolkit that covers purchasing and supplier management. The F-Q9A and F-Q9B versions are available from this page and with an alphaZ Subscription.

Need Help Implementing?

If you'd like hands-on help setting up your supplier approval and appraisal process, or your wider management system, our remote support services provide direct expert input from our team, by the day, by project, or on an ongoing basis.

Supplier and Contractor Appraisal Form Template

The Supplier and Contractor Appraisal Form gathers the information you need to approve a supplier or contractor. The supplier completes their company and contact details, the products or services to be provided, certifications, memberships, licences and insurance, any enforcement action in the past five years or pending, and confirmation of compliance across health and safety, the environment, labour standards, equal opportunities, data protection and anti-bribery, then signs the form off. An office section records who assessed the supplier, the date, whether to add them to the key suppliers list and any comments.

The form comes in versions that ask more of the supplier: F-Q9A adds questions on ethical behaviour, and F-Q9B adds sustainability questions as well. Each supports ISO 9001 clause 8.4 on the control of externally provided processes, products and services, and the due diligence checks in ISO 37001 clause 8.2.

Built for Supplier Approval and Due Diligence

The form gives you a consistent basis for deciding which suppliers and contractors to approve.

• Collects evidence of ISO certification, professional memberships, licences and insurance, with copies attached.
• Asks about health and safety, environmental, information security, bribery and employment-related enforcement action or significant incidents.
• Gets confirmation of compliance on health and safety, environmental protection, labour standards and modern slavery, equal opportunities and safeguarding, data protection, and anti-bribery and fraud.
• Is signed off by the supplier, and records the assessment and whether the supplier is added to the key suppliers list.

What's Included in this Supplier Appraisal Form

The F-Q9 form is set out in the sections below. F-Q9A and F-Q9B carry the same sections, with their extra questions added before the supplier sign-off.

• General Details - company name, address, postcode, telephone, email, web, contact name and the products or services to be provided.
• Certification - management system or other certification held, such as ISO 9001, ISO 14001, ISO 45001 or ISO 27001, with copies of certificates.
• Memberships - professional bodies and associations.
• Licences - licences held, with copies.
• Insurance - a summary of insurance cover and a copy of the current insurance certificate.
• Enforcement - yes or no for the past five years or pending: health and safety convictions, enforcement or prohibition notices; environmental convictions, significant incidents or enforcement notices; significant data breaches or information security enforcement; bribery or corruption convictions or enforcement; and employment-related convictions or enforcement, such as for minimum wage or illegal working. A box takes the details of any yes answer.
• Legislative Compliance - yes or no confirmation of compliance with legislation on health and safety at work; environmental protection, pollution prevention and waste management; labour standards, modern slavery, minimum wage, human trafficking and preventing illegal working; equal opportunities, diversity and inclusion and protecting children and vulnerable adults; data protection, handling of personal data and information security; and anti-bribery and corruption, hospitality and gifts, tax evasion, criminal finances and counterfeit and fraudulent items.
• Supplier sign-off - completed by, position and date.
• For Office Purposes Only - assessed by, date, whether to add to the key suppliers list, and comments or notes.

F-Q9A - Ethical Behaviour

F-Q9A adds an Ethical Behaviour section, answered Yes, No or N/A, with a box for the details of any No answer. The questions cover a written code of conduct or ethics policy; workers working freely, with no retained identity documents, debts or recruitment fees; minimum working age and the right to work; freedom to join a trade union or other representative body; bullying, harassment and victimisation; raising concerns in confidence without retaliation; the standards the supplier sets for its own suppliers and sub-contractors, including forced labour and bribery risks; protecting personal and confidential information; accurate, evidenced claims about products, services and certifications; and prompt notice of any breach affecting what the supplier provides.

F-Q9B - Ethical Behaviour and Sustainability

F-Q9B includes the F-Q9A ethical behaviour questions and adds a Sustainability section, also answered Yes, No or N/A with a box for details. It covers an environmental or sustainability policy; measuring energy use and carbon emissions; targets or a plan to reduce carbon emissions; reducing waste and packaging, with reuse and recycling; preventing pollution from spills, emissions to air and discharges to drains; considering environmental impact when buying; environmental information about what the supplier provides, such as carbon footprint, recycled content and end of life; and the supplier's effect on the local community, nature and biodiversity.

Choosing a Version

Use F-Q9 where certificates, insurance and legal compliance are what you need to see. Use F-Q9A where the way a supplier treats its workers or runs its business carries more risk, or where your own customers ask how you check your supply chain. Use F-Q9B where environmental performance matters as well, for example under ISO 14001 or where your carbon reduction plans reach into the supply chain.

Who Needs a Supplier Appraisal Form?

Any business that buys in products, services or subcontracted work and wants to check suppliers before relying on them. Purchasing, quality and office managers send it to new suppliers and contractors, or reissue it to existing ones at review, and it suits ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 37001 systems.

Included in the ISO 9001 Toolkit

The standard F-Q9 form is part of the ISO 9001 Toolkit - the forms, registers, procedures and guidance for running a management system in one download - and is included in every alphaZ ISO toolkit that covers quality and supplier management. The F-Q9A and F-Q9B versions are available from this page and to download with an alphaZ Subscription.

Pairs with the Ethical Behaviour Assessment

To look at the same kind of conduct inside your own organisation rather than a supplier's, the F-Q142 Ethical Behaviour Assessment comes in a light and a full version. The PP-1-09 Supplier Appraisal Policy Procedure sets out how supplier appraisals are carried out.