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Supplier Audit Checklist
Auditor Name (print):
Initials:
Date:
Guidance
Scoring Criteria
The following audit scoring criteria have been used to identify the level of compliance with each requirement that is set out in the standard. In the 'Opportunities for
Improvement' field, note down any situation or condition of the management system that may be weak, cumbersome, redundant, overly complex, or in some other manner,
may, in the opinion of the auditor, offer an opportunity for the organization to improve its current status. In the 'Audit Evidence' field, fill in the evidence that you saw and
your thoughts about the implementation and documentation. If any of the requirements are not applicable, please type 'N/A' to denote that the particular requirement is not
applicable to the organization.
Compliant:
Yes, requirement fully documented and implemented. Adherence with the requirements of the standard or specification. No major or
minor non-conformances found.
Opportunity for Improvement (OFI):
Minor gap, mostly documented and implemented The management system that may be weak, cumbersome, redundant, overly
complex, or in some other manner, may, in the opinion of the auditor, offer an opportunity for an organization to improve its current
status.
Minor Non-conformance:
Requirement partially implemented but no documentation or partially documented but not implemented. A non-conformity that,
based on the judgment and experience of the auditor, is not likely to result in the failure of the management system or reduce its
ability to assure controlled processes or products. It may be either a failure in some part of the supplier's management system
relative to a specified requirement or a single observed lapse in following one item of a company's management system.
Major Non-conformance:
No provision, requirement not documented or implemented. The absence (omission, not addressed) or total breakdown
(commission, failure, not implemented) of a system to meet a specified requirement. A number of minor non-conformities against
one requirement can represent a total breakdown of the system and thus be considered a major non-conformity. Any non-
compliance that would result in the probable shipment of a non-conforming product. Conditions that may result in the failure of or
materially reduce the usability of the products or services for their intended purpose. A non-compliance that, in the judgment and
experience of the auditor, is likely to either to result in the failure of the management system or to materially reduce its ability to
assure controlled processes and products.
Requirements
An audit of customer related processes should be conducted at planned intervals in order to determine whether the process conforms to planned arrangements in order to
determine whether the process is properly implemented and maintained and to provide process performance information to top management. Effective auditing requires the