Scope of Audit - The intent of the supplier audit, by way of using this checklist, is to ascertain the supplier’s ability

to meet and sustain the desired quality requirements, to assess the viability of the supplier, to detect weaknesses in the
organizations' quality system, and to help define the relationship and expectations between your organization and its suppliers.

Supplier Name: Plant Manager: Audit Date:

Supplier Location: Quality Manager: Auditor Name:

0 - Supplier demonstrates no compliance to a 1 - Supplier has a documented system but shows 2 - Supplier has a documented system and shows only 3 - Supplier has a documented process and can demonstrate full
documented QMS OR no documented system in place. only limited compliance. minor exceptions of non-compliance. compliance.
1 Operational Control
# Question Evidence Required What to look for Score Observations
Well-constructed, accurate and current, including
Are control plans used to plan and deploy inspection
process flow charts, statistical tools, key inspection
1 and test functions throughout the production Correct control plans 3
points, inspection frequency, inspection/test method,
process?
gaging used, acceptable yield rates.
Are appropriate work instructions are available where
needed that accurately describe all work methods Sample size, frequency, method, document control
2 Work instructions 3
including inspections and tests to be done during dates/revision level.
production?
Are appropriate inspections, tests and process
adjustments made per applicable work instructions to Records of inspections performed at incoming, first
3 Inspection test plans 2
verify conformance at key points throughout the piece, in-process and/or final inspection or test.
process and prior to shipment?
Include methods for monitoring for special
4 Correctly created control plans This may include 100% visual, sensors, cameras, etc. 2
characteristics?
Is the inspection and process status of the product
Batch records, travelers, tags, labels, product markings
5 identified and maintained throughout the production Correct control plans/ 2
or use of designated and identified areas.
process?
Any special customer defined work instructions at the
6 Include customer-required info.(if applicable)? Work instructions 3
work station
Are customers notified of low yield production lots or Corrective actions, records of customer notifications,
7 Reaction to said conditions 3
issues that affect product reliability? reliability test data.
Work instructions are available and are derived from
8 Control plans / work instructions Look for links between these two documents. 3
appropriate control plans
Job set-ups are verified, including work instructions
9 Set-up records / instructions Current first piece approval 3
for set up & start up

10 Are there planned maintenance activities? Instructions, pm software, records, etc.… Check for recorded frequencies & completion 2

Packaging, protection and preservation of equipment

11 Procedure / instructions Storage areas, environmentally safe etc...? 2
tooling and gauges in place?
Storage areas, counting mechanisms i.e. Software for
12 Are spare parts available for key equipment? Instructions, pm software, records, etc.… 3
inventory purposes etc...
Are continuous improvement targets established for
13 Written objectives Management review records or other. 3
planned and unplanned downtime?
Each and every container that holds material,
Is product throughout the plant clearly identified as to Clear precise information usually on label, as stated
14 components, W.I.P., and finished goods, all require 3
material identification and status? in a procedure or instruction.
identification.
Has the supplier identified product status with respect Per control plan check status after each inspection
15 Control plan, applicable instructions, records 2
to inspection checks? point for identification of status
2 Process Approach
# Question Evidence Required What to look for Score Observations
Appropriate documents define inputs, series of
Has the supplier defined its processes and sub- outputs, to include all resources, materials, methods,
1 Process maps, flow diagrams, etc.… 2
processes? measurements necessary to make the process work
using the PDCA methodology described in ISO 9001

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