SUPPLIER AUDIT CHECKLIST
Entity:
Section 1 Receiving raw inputs, materials, semi-finished products and accessory parts to warehouse,
warehouse managements, release of inventories for production
Scores
No
1
Criteria
Satisfactory Unsatisfactory
3
1
0
3
1
0
3
1
0
storage, handling, and keeping of raw inputs 3
2
0
2
0
2
0
Condition of warehouse premises (lighting,
heating), availability of restricted areas.
Availability
2
Notes
Good
of
job
descriptions
for
storekeepers, warehouse loaders, and other
manual workers of a warehouse and
observance of these job descriptions.
Availability (and observance) of approved
layout of warehouse and its marking by
3
sectors (areas): by kinds of inventories, by
particular features of storage, by arrival,
availability of hold area for raw inputs and
materials
Availability
of
approved
regulatory
documents in respect of conditions for
4
and materials – Guidelines, extracts from
Specifications, GOSTs, and etc.
Availability of specific instrumentation for
5
maintenance
of
storage
conditions 3
(temperature, humidity)
Guidelines on corrective actions in case of
detection of incompliance with storage
6
requirements. Existence of procedure for 4
prevention of release of inadequate materials
for production.
7
Availability of specific equipment
for
adjustment
(air 3
of
storage
conditions
1
0
2
0
2
1
0
pursuant to which products of a supplier 4
2
0
3
2
0
2
1
0
inputs and materials; correctness of such 3
1
0
3
1
0
and 2
1
0
3
1
0
2
1
0
3
1
0
3
1
0
dryer/humidifier, air conditioner)
Positioning system and status identification
8
system
(non-defective/defective)
for 3
necessary kind of raw input/material
9
Existence of a list of approved suppliers for
each group of inventories
Existence of a list of items subject for
receiving inspection. Establishing criteria
10
shall
be
come
subject
for
receiving
inspection.
Availability of equipment, instrumentation,
11
and approved reference samples with valid
expiry date necessary for the receiving
inspection
12
Procedure governing dealing with supplier
of inadequate products.
Availability and
keeping of
necessary
accompanying documents for arriving raw
13
documents; keeping quality certificates for
arriving raw inputs.
Availability
14
of
necessary
packaging
materials, crating, pallets and etc. ensuring
safety of products during storage and
transportation within the facility.
Availability
15
unloading
of
necessary
equipment
loading
(automated
and
manual) and its condition.
16
17
18
19
Personnel: skills, availability of schedules
for job training.
Availability of consignment warehouses at
the sites of Purchasers.
Availability
of
buffer
stock
at
the
warehouse.
Level
of
apprehension
by
personnel
participating in the audit of the questions
being asked (level of skills).
Maximum possible
score
Results of the assessments
Scores
received
according
results
55
to
of
the
assessment
Note: Where it is impossible to assess a particular criterion, average score shall be used in the
assessment (50 % of maximum score)
Entity:
Section 2
Production
Scores
No
Criteria
Good
Satisf
actory
Unsat
isfact
ory
Organisation of work places of production personnel:
Availability of necessary regulatory documents:
- operating instructions (availability, visualisation,
1
accessibility);
5
4
0
2
1
0
- manuals on operation (maintenance) o equipment;
- process parameters cards;
- control plan or process worksheets.
2
Visualisation of methods of performing operations
(correct – incorrect). Visualisation of defects
3
Availability of control samples at workplaces
3
1
0
4
Organisation of workplaces (‘5S’ technique)
2
1
0
2
1
0
3
2
0
operating procedures with conclusions made according 4
3
0
3
2
0
actions in case of deviations from norm of the operating 5
4
0
4
0
5
Existence and compliance with production plan at
workplace (shift, daily, monthly).
Performance of preliminary analysis of product
6
technical specifications to identify key characteristics,
parameters of operating procedures affecting them and
control techniques.
Performing FMEA process, comparison of actual
7
to results of FMEA process.
8
Quality Management Plan in respect of manufactured
products and its reflection in operating guidelines.
Recording process control results in accordance with
Quality Management Plan and procedure of corrective
9
procedures in the course of analysis of the data
received.
10
Application of statistical methods for control of
production process.
5
Notes
Compliance
11
of
measurement
equipment
and
instrumentation at workplaces with requirements of 4
2
0
2
0
2
1
0
5
2
0
Existence of and compliance with maintenance plans 4
2
0
1
0
1
0
3
1
0
case any defects are detected in the process of product 2
1
0
2
0
1
0
process documents.
Compliance of equipment used for manufacture of
12
products with requirements of standard technical 4
documents.
13
14
Clutter
of
manufacturing
premises,
workplaces,
passages and driveways.
Condition
of
equipment
and
tooling
–
repair,
maintenance, and identification plates.
Maintenance and repair of equipment and tooling
15
and schedules of preventive and planned repairs.
Personnel: skills, work load, number of shifts,
16
availability of interchange matrix and schedules for job 3
training.
Identification of work in progress to establish the level
17
of process step and compliance with process documents 2
(non-defective/defective).
Availability of hold area – responsible person,
18
accounting for, compliance with schedule (moving in –
moving out) minimisation of access of unauthorised
persons.
Regulations on performing works on making good in
19
manufacture.
Analysis of quantities and causes for internal spoilage
20
in order to perform corrective actions and to assess their 4
efficiency.
Personnel awareness of quality of manufactured
21
products, quantities of incompliant products, claims
from
consumers,
orders
and
instructions
of
management (information stands, personnel meetings)
2
Metrological Support – existence of the service.
Calibration of measurement equipment – contracts with
certified centres.
Existence of and compliance with schedule of
22
calibration (attestation) of measurement equipment.
Recording of measurement equipment.
Identification
of
measurement
equipment
3
1
0
3
1
0
and
instrumentation – calibration date tag, responsible
person, inventory number.
Availability of buffer stock
23
Level of apprehension by personnel participating in the
audit of the questions being asked (level of skills).
Results of the assessments
Maximum
possible
score
Scores
75
received
according to results of
the assessment
Note: Where it is impossible to assess a particular criterion, average score shall be used in the
assessment (50 % of maximum score)
Entity:
Section 3
Finished products handling: storage, packaging, dispatch, transportation
Scores
No Criteria
Notes
Good
Satisfactory Unsatisfactory
Compliance with schedules of delivery of
1
finished
goods
agreed
upon
with 5
4
0
1
0
2
1
0
3
1
0
3
1
0
2
1
0
packing, 4
1
0
3
1
0
4
2
0
consumers.
Marking
2
of
despatched
products
in
accordance with specifications and supply 3
contract.
3
Availability and condition of area for
packing and storage of finished products.
Availability of regulatory documents on
4
storage
and
conditions
maintenance
of
finished
of
storage
products
that
prevent their damage.
Presence
5
of
conditions
that
prevent
spoilage of finished products during
storage period at warehouse. Monitoring
of storage periods. Use of FIFO principle.
Organisation of workplaces for packagers
6
of finished products and for warehouse
personnel.
Availability
of
operating
instructions, materials, and instruments
Analysis of occurrence of defects of
7
finished
products
during
shipping, and unpacking.
8
9
Use of crating for finished goods, as
agreed upon with consumer.
Issue
of
necessary
accompanying documents.
regulatory
Personnel: skills, work load, number of
10
shifts, availability of interchange matrix 2
1
0
2
1
0
2
1
0
and schedules for job training.
Availability and condition of necessary
11
loading and unloading equipment and
trucks ( lift trucks, electric trucks, trolleys,
palettes, overhead cranes, and etc.).
12
Collection and removal of household and
industrial wastes.
Maximum
35
possible score
Results
assessments
of
the Scores
received
according
results
to
of
the
assessment
Note: Where it is impossible to assess a particular criterion, average score shall be used in the
assessment (50 % of maximum score)
Entity:
Section 4 Quality management system
Scores
N
o.
Criteria
Good
Satisf
actory
Unsat
isfact
ory
Existence of certified Quality Management System
(availability of current fundamental documents and
1
compliance with them) / Existence of plan for
5
2
0
5
2
0
activities implemented in accordance with results of the 4
2
0
2
0
2
1
0
3
1
0
spoilage analysis and systematic solution of problems 5
2
0
2
1
0
development of corrective actions according to results 2
1
0
1
0
establishing
Quality
Management
System
and
preparation for its certification (in case of having no
QMS certificate)
2
Monitoring of customer claims, development and
implementation of corrective actions
Internal audit of QMS, assessment of efficiency of
3
audit.
Organisation of receiving inspection: the receiving
4
inspection is organised in accordance with requirements 5
of documented procedure
Equipment of control points (posts): existence of and
5
compliance with operating instructions; visualisation of
defects;
availability
and
keeping
of
regulatory
documents
6
Availability of certified technological laboratories or
agreements with third party specialised institutions
Monitoring of quality of manufactured products,
7
in case any differences are detected
8
Visualisation of information on stands about quality of
manufactured products. Personnel awareness.
Availability of feedback in respect of customer claims,
9
of the claims
10
Systematic informing of consumer about any changes
in manufacturing process, used raw inputs and
4
Notes
materials, and places of manufacture of products
11
Working with suppliers in respect of quality: system of
3
1
0
availability of interchange matrix and schedules for job 2
1
0
1
0
assessment, holding audits, development of suppliers
Personnel: skills, work load, number of shifts,
12
training.
13
Level of apprehension by personnel participating in the
3
audit of the questions being asked (level of skills).
Maximum
possible
score
Results of the assessments
Scores
45
received
according to results of
the assessment
SUPPLIER QUESTIONNAIRE
1) General information about the supplier
Full name of the supplier: ______________________________________________________________
Details
(tel.,
fax,
web
site,
______________________________________________________________
________________________________________________________________________________
Registered patents for products: please, attach copies (if any)
Whether you possess exclusive rights for sale of products?
(For intermediaries. Please, specify names of the products and manufacturer)
Consumer references about products: please, attach copies (if any).
2) Principal suppliers of raw inputs and materials
List of principal kinds of raw inputs and materials:
E-mail)
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
___________________________________________________________
Whether assessment of Suppliers is performed?
Yes
No
Whether the Supplier requests product certificates and/or Quality Management System of its
suppliers?
Yes
No
Existence of receiving inspection of the products arrived
Yes
Monitored
No
parameters
(major):
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
___________________________________________________________
Availability of Supplier (sub-supplier) certificates:
–
for products (quality certificate)
Yes
–
No
For quality management system (ISO 9001)?
Yes
No
3) Quality Management System (Environmental Management System, Occupational Health and Safety
Management System)
Existence of Quality Directorate (Quality Service) and its major functions:
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
___________________________________________________________
Existence of certified quality management system (ISO 9001)
Yes
No
If ‘yes’: Please, attach copy of the certificate
If ‘No’: Programme for establishing Quality Management System and preparation for its certification
(please, attach)
Yes
Planned
No
time
of
the
certification
________________________________________________________________________________
Existence of certified environmental management system (ISO 14001)
Yes
No
Existence of Occupational Health and Safety Management System (OHSAS 18001)
Yes
No
Existence of product control and of process under approved technological processes,
and documenting quality data
Yes
No
Existence of final product control and testing in accordance with approved technological processes,
and documenting quality data
Yes
No
Existence of certified laboratories (experts) and equipment ensuring monitoring and testing of
products
Yes
No
List
of
core
laboratory
equipment:
_______________________________________________________________________________________
_________________________________________________________________________
Whether calibration of measurement equipment is performed on a regular basis (in accordance
with schedule)?
Yes
No
Identification and/or backtracking from final products to components and materials used
Yes
No
Existence of procedure for management of inconsistencies emerging in the course of manufacture of
products
Yes
No
Whether analysis of efficiency of adjustment activities is performed?
Yes
No
Existence of effective measures to the benefit of UC RUSAL in respect of the issued claims
Yes
No
4) Production capacities
Existence of Equipment Maintenance and Repair System
Yes
No
Existence of equipped repair base and of trained personnel for servicing production equipment to
the full extent
Yes
No
Availability of warehousing premises that ensure storage of products in accordance with
requirements
Yes
No
5) Customer satisfaction
Existence of documented system for designing products and for confirmation of output design data
to requirements of the Customer
Yes
No
Existence of documented system for management of registration and consideration of claims
(notices) of customers
Yes
No
6) Additional information about the company
Please, include any additional information in this section characterising the company as prospective and
reliable partner
_______________________________________________________________________________________
_________________________________________________________________________
7) Contact details of the person responsible for completion of the questionnaire
Please, specify name, position, contact telephone, e-mail
________________________________________________________________________________
Position
/ name /
(Signature / seal)