Supplier Audit Checklist (Free, PDF/Excel Export)

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10 critical items still open - these are the highest-risk gaps.

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Quality management system

Quality manual or equivalent system documentation is current and controlledCRITICALCertificate (ISO 9001, IATF 16949, AS9100 or similar) is valid and the scope covers the parts you buyCRITICALInternal audits were performed in the last 12 months and findings are tracked to closureManagement review records exist with actions and ownersDocument and record control prevents use of obsolete revisions at the point of useCRITICALTraining and competence records exist for operators and inspectors on your parts

Process control and production

Control plan or equivalent defines inspection frequency, method and reaction plan for your characteristicsCRITICALWork instructions are available at the workstation and match the released revisionProcess capability (Cpk or Ppk) data exists for key characteristicsFirst piece or setup approval is performed and recordedNonconforming material is identified, segregated and controlledCRITICALPreventive maintenance of critical equipment is planned and recorded

Measurement and inspection

Gauges and instruments are in a calibration program with traceable recordsCRITICALOut of tolerance calibration results trigger a review of affected productMeasurement system analysis (gauge R and R) exists for critical characteristicsFinal inspection records can be retrieved by lot or serial numberInspection status is visible: accepted, rejected, on holdCertificates of conformance and material certs match the purchase order requirements

Purchasing, receiving and traceability

Sub-tier suppliers are evaluated and approved, with flow-down of your requirementsCRITICALIncoming inspection or certification review is performed on raw materialLot and heat traceability is maintained from raw material to shipmentCRITICALFIFO or controlled storage prevents mixing of lots and shelf-life expiryCounterfeit or suspect part controls exist where required by contractPackaging and labelling follow your specification

Corrective action, delivery and change control

Corrective action process uses root cause analysis (8D, 5 Why or equivalent) and verifies effectivenessCRITICALCustomer complaints and returns are logged and trendedOn-time delivery is measured and reported by the supplierCapacity and lead time are reviewed against your forecastProcess and design changes are notified to customers before implementationCRITICALBusiness continuity plan covers fire, supply interruption and key equipment failure

Score = items passed divided by items audited. Treat any failed critical item as a finding that needs a corrective action request regardless of the overall percentage. Mark items you did not audit as not applicable and remove them from the count.

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How to use the checklist

Tick each item as you verify it, using records and observation rather than the supplier's statement. Sample at least a few records per item: a calibration sticker is not proof of a calibration certificate. Flag critical items first, because a failed critical point can justify a supplier corrective action request even when the total score looks acceptable. Export the result to PDF for the audit report or to Excel to keep a history by supplier.

The method behind it

This follows the structure of second party audits under ISO 19011 and the process approach of ISO 9001, IATF 16949 and AS9100: system, process, product, and the loop that closes problems. The list is generic by design, so add customer specific requirements such as special process approvals, source inspection or contractual flow-downs before you audit. A scoring bands approach is common, for example 90 percent or higher approved, 75 to 89 conditional, below 75 not approved, but your own procedure decides.

Plan the audit around the parts and processes you actually buy
Review the last audit and open corrective actions beforehand
Follow one part from receiving to shipment as a trace exercise
Record objective evidence for every finding

Reading the result and common mistakes

A high score on documents with a weak shop floor is the classic trap. Spend most of the time at the machines and in receiving. Do not audit only the quality manager's office, talk to operators about the reaction plan. Another mistake is treating the audit as a one-time approval: tie the result to the approved supplier list, set a re-audit interval by risk, and track findings to closure with dates. Do not record opinions as findings, write what you saw and the requirement it failed.

Connecting audit results to your ERP

Audit outcomes are most useful when they change behavior in purchasing. Most ERPs let you block or flag a vendor, for example a vendor status or quality block in the vendor master, so a failed audit stops new purchase orders until released. Record the audit date and score against the supplier record so buyers see it when sourcing.

Frequently Asked Questions

How often should I audit a supplier?

Set the interval by risk. Critical or new suppliers are often audited yearly, stable low-risk suppliers every two to three years, with desk reviews in between. Trigger an extra audit after serious escapes, ownership changes, relocation or a major process change.

Can I run this as a remote audit?

Yes for document, system and record items using screen share and sampled records. Process, housekeeping and traceability checks are much weaker remotely, so use live video walk-throughs or schedule an on-site visit for high-risk suppliers.

What score makes a supplier approved?

There is no universal threshold. Many companies use roughly 85 to 90 percent for approved, a conditional band with an action plan, and a lower band for not approved. Any failed critical item should block full approval until closed.

Does this replace a certification audit?

No. A valid ISO 9001 or AS9100 certificate shows a third party audited the system, but it does not cover your specific parts, flow-downs or process capability. A supplier audit checks that fit against your own requirements.

If you want audit scores, delivery data and quality rejects pulled together from your ERP automatically, Netray can build that view on your own data, on-prem if needed.

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