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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

Criteria
Condition of warehouse premises (lighting,
heating), availability of restricted areas.
Availability of job descriptions

Good

Satisfactory Unsatisfactory

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

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

storage, handling, and keeping of raw inputs


and materials Guidelines, extracts from
Specifications, GOSTs, and etc.
Availability of specific instrumentation for

maintenance

of

storage

conditions

(temperature, humidity)
Guidelines on corrective actions in case of
detection of incompliance with storage
6

requirements. Existence of procedure for


prevention of release of inadequate materials
for production.

Notes

Availability

of

specific

equipment

for

adjustment

of

storage

conditions

(air

dryer/humidifier, air conditioner)


Positioning system and status identification
8

system

(non-defective/defective)

for

necessary kind of raw input/material


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

pursuant to which products of a supplier


shall

be

come

subject

for

receiving

inspection.
Availability of equipment, instrumentation,
11

12

and approved reference samples with valid


expiry date necessary for the receiving
inspection
Procedure governing dealing with supplier
of inadequate products.
Availability and keeping

of

necessary

accompanying documents for arriving raw


13

inputs and materials; correctness of such


documents; keeping quality certificates for
arriving raw inputs.
Availability
of
necessary

14

15

packaging

materials, crating, pallets and etc. ensuring


safety of products during storage and
transportation within the facility.
Availability of necessary loading

and

unloading

and

equipment

(automated

manual) and its condition.


16
17
18

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

19

of

apprehension

by

personnel

participating in the audit of the questions

being asked (level of skills).


Results of the assessments Maximum possible
score
Scores

received

55

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 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);

- manuals on operation (maintenance) o equipment;


- process parameters cards;

- control plan or process worksheets.


Visualisation of methods of performing operations
(correct incorrect). Visualisation of defects

Availability of control samples at workplaces

Organisation of workplaces (5S technique)

Existence and compliance with production plan at


workplace (shift, daily, monthly).
Performance of preliminary analysis of product
technical specifications to identify key characteristics,
parameters of operating procedures affecting them and
control techniques.
Performing FMEA process, comparison of actual

operating procedures with conclusions made according


to results of FMEA process.
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

actions in case of deviations from norm of the operating


procedures in the course of analysis of the data

10

11

received.
Application of statistical methods for control of
production process.
Compliance of measurement

equipment

and

instrumentation at workplaces with requirements of


process documents.

Notes

Compliance of equipment used for manufacture of


12

13
14

products with requirements of standard technical


documents.
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

Existence of and compliance with maintenance plans


and schedules of preventive and planned repairs.
Personnel: skills, work load, number of shifts,

16

availability of interchange matrix and schedules for job


training.
Identification of work in progress to establish the level

17

of process step and compliance with process documents


(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

case any defects are detected in the process of product


manufacture.
Analysis of quantities and causes for internal spoilage

20

in order to perform corrective actions and to assess their


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)


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

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

received

75

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

Good

Satisfactory Unsatisfactory

Compliance with schedules of delivery of


1

finished

goods

consumers.
Marking of
2

agreed

despatched

with

products

in

accordance with specifications and supply


contract.
Availability and condition of area for
packing and storage of finished products.
Availability of regulatory documents on
storage

and

conditions

maintenance

of

finished

prevent their damage.


Presence of conditions
5

upon

of

storage

products
that

that

prevent

spoilage of finished products during


storage period at warehouse. Monitoring
of storage periods. Use of FIFO principle.
Organisation of workplaces for packagers

of finished products and for warehouse


personnel.

Availability

of

operating

instructions, materials, and instruments


Analysis of occurrence of defects of
7

8
9

finished

products

during

packing,

shipping, and unpacking.


Use of crating for finished goods, as
agreed upon with consumer.
Issue
of
necessary

regulatory

accompanying documents.
Personnel: skills, work load, number of

10

shifts, availability of interchange matrix

11

and schedules for job training.


Availability and condition of necessary

loading and unloading equipment and


trucks ( lift trucks, electric trucks, trolleys,

Notes

palettes, overhead cranes, and etc.).

12

Collection and removal of household and


industrial wastes.
Maximum

Results
assessments

of

possible score
received
the Scores
according
to
results

of

35

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


establishing

Quality

Management

System

and

preparation for its certification (in case of having no

QMS certificate)
Monitoring of customer claims, development and
implementation of corrective actions
Internal audit of QMS, assessment of efficiency of
activities implemented in accordance with results of the
audit.
Organisation of receiving inspection: the receiving

inspection is organised in accordance with requirements


of documented procedure
Equipment of control points (posts): existence of and

compliance with operating instructions; visualisation of


defects;

availability

and

keeping

of

regulatory

documents
Availability of certified technological laboratories or
agreements with third party specialised institutions
Monitoring of quality of manufactured products,
spoilage analysis and systematic solution of problems
in case any differences are detected
Visualisation of information on stands about quality of
manufactured products. Personnel awareness.
Availability of feedback in respect of customer claims,
development of corrective actions according to results
of the claims
Systematic informing of consumer about any changes

10

11

in manufacturing process, used raw inputs and


materials, and places of manufacture of products
Working with suppliers in respect of quality: system of
assessment, holding audits, development of suppliers

Notes

Personnel: skills, work load, number of shifts,


12

availability of interchange matrix and schedules for job

training.
13

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

received

45

according to results of
the assessment

SUPPLIER QUESTIONNAIRE
1) General information about the supplier

Full name of the supplier: ______________________________________________________________


Details

(tel.,

fax,

web

site,

E-mail)

______________________________________________________________
________________________________________________________________________________

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:


_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
___________________________________________________________
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

No
Planned

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
5) Customer satisfaction

No

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)