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 Notes
Good Satisfactory Unsatisfactory

Condition of warehouse premises (lighting,

1 3 1 0    
heating), availability of restricted areas.
Availability of job descriptions for
storekeepers, warehouse loaders, and other
2 3 1 0    
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
3 3 1 0    
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 3 2 0    
and materials – Guidelines, extracts from
Specifications, GOSTs, and etc.
Availability of specific instrumentation for
5 maintenance of storage conditions 3 2 0    
(temperature, humidity)
Guidelines on corrective actions in case of
detection of incompliance with storage
6 requirements. Existence of procedure for 4 2 0    
prevention of release of inadequate materials
for production.
7 Availability of specific equipment for 3 1 0    
adjustment of storage conditions (air
 dryer/humidifier, air conditioner)
Positioning system and status identification
8 system (non-defective/defective) for 3 2 0    
necessary kind of raw input/material
Existence of a list of approved suppliers for
9 2 1 0    
each group of inventories
Existence of a list of items subject for
receiving inspection. Establishing criteria
10 pursuant to which products of a supplier 4 2 0    
shall be come subject for receiving
inspection.
Availability of equipment, instrumentation,
and approved reference samples with valid
11 3 2 0    
expiry date necessary for the receiving
inspection
Procedure governing dealing with supplier
12 2 1 0    
of inadequate products.
Availability and keeping of necessary
accompanying documents for arriving raw
13 inputs and materials; correctness of such 3 1 0    
documents; keeping quality certificates for
arriving raw inputs.
Availability of necessary packaging
materials, crating, pallets and etc. ensuring
14 3 1 0    
safety of products during storage and
transportation within the facility.
Availability of necessary loading and
15 unloading equipment (automated and 2 1 0    
manual) and its condition.
Personnel: skills, availability of schedules
16 3 1 0    
for job training.
Availability of consignment warehouses at
17 2 1 0    
the sites of Purchasers.
Availability of buffer stock at the
18 3 1 0    
warehouse.
Level of apprehension by personnel
19 participating in the audit of the questions 3 1 0    
being asked (level of skills).
Results of the assessments Maximum possible
55
score
Scores 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 2 Production

Scores
Unsat
No Criteria Satisf Notes
Good isfact
actory
ory
Organisation of work places of production personnel:
Availability of necessary regulatory documents:
- operating instructions (availability, visualisation,
1 accessibility); 5 4 0    
- manuals on operation (maintenance) o equipment;
- process parameters cards;
- control plan or process worksheets.
Visualisation of methods of performing operations
2 2 1 0    
(correct – incorrect). Visualisation of defects
3 Availability of control samples at workplaces 3 1 0    

4 Organisation of workplaces (‘5S’ technique) 2 1 0    

Existence and compliance with production plan at
5 2 1 0    
workplace (shift, daily, monthly).
Performance of preliminary analysis of product
technical specifications to identify key characteristics,
6 3 2 0    
parameters of operating procedures affecting them and
control techniques.
Performing FMEA process, comparison of actual
7 operating procedures with conclusions made according 4 3 0    
to results of FMEA process.
Quality Management Plan in respect of manufactured
8 3 2 0    
products and its reflection in operating guidelines.
Recording process control results in accordance with
Quality Management Plan and procedure of corrective
9 actions in case of deviations from norm of the operating 5 4 0    
procedures in the course of analysis of the data
received.
Application of statistical methods for control of
10 5 4 0    
production process.
Compliance of measurement equipment and
11 instrumentation at workplaces with requirements of 4 2 0    
process documents.
12 Compliance of equipment used for manufacture of 4 2 0    
 products with requirements of standard technical
documents.
Clutter of manufacturing premises, workplaces,
13 2 1 0    
passages and driveways.
Condition of equipment and tooling – repair,
14 5 2 0    
maintenance, and identification plates.
Maintenance and repair of equipment and tooling
15 Existence of and compliance with maintenance plans 4 2 0    
and schedules of preventive and planned repairs.
Personnel: skills, work load, number of shifts,
16 availability of interchange matrix and schedules for job 3 1 0    
training.
Identification of work in progress to establish the level
17 of process step and compliance with process documents 2 1 0    
(non-defective/defective).
Availability of hold area – responsible person,
accounting for, compliance with schedule (moving in –
18 3 1 0    
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 2 1 0    
manufacture.
Analysis of quantities and causes for internal spoilage
20 in order to perform corrective actions and to assess their 4 2 0    
efficiency.
Personnel awareness of quality of manufactured
products, quantities of incompliant products, claims
21 2 1 0    
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
calibration (attestation) of measurement equipment.
22 3 1 0    
Recording of measurement equipment.
Identification of measurement equipment and
instrumentation – calibration date tag, responsible
person, inventory number.
Availability of buffer stock
Level of apprehension by personnel participating in the
23 3 1 0    
audit of the questions being asked (level of skills).
 Maximum possible
Results of the assessments 75
score
Scores 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    
consumers.
Marking of despatched products in
2 accordance with specifications and supply 3 1 0    
contract.
Availability and condition of area for
3 2 1 0    
packing and storage of finished products.
Availability of regulatory documents on
storage and maintenance of storage
4 3 1 0    
conditions of finished products that
prevent their damage.
Presence of conditions that prevent
spoilage of finished products during
5 3 1 0    
storage period at warehouse. Monitoring
of storage periods. Use of FIFO principle.
Organisation of workplaces for packagers
of finished products and for warehouse
6 2 1 0    
personnel. Availability of operating
instructions, materials, and instruments
Analysis of occurrence of defects of
7 finished products during packing, 4 1 0    
shipping, and unpacking.
Use of crating for finished goods, as
8 3 1 0    
agreed upon with consumer.
Issue of necessary regulatory
9 4 2 0    
accompanying documents.
Personnel: skills, work load, number of
10 shifts, availability of interchange matrix 2 1 0    
and schedules for job training.
11 Availability and condition of necessary 2 1 0    
loading and unloading equipment and
trucks ( lift trucks, electric trucks, trolleys,
 palettes, overhead cranes, and etc.).
Collection and removal of household and
12 2 1 0    
industrial wastes.
Maximum
35
possible score
Results of the Scores received
assessments 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 4 Quality management system

Scores
N Unsat
Criteria Satisf Notes
o. Good isfact
actory
ory
Existence of certified Quality Management System
(availability of current fundamental documents and
compliance with them) / Existence of plan for
1 5 2 0    
establishing Quality Management System and
preparation for its certification (in case of having no
QMS certificate)
Monitoring of customer claims, development and
2 5 2 0    
implementation of corrective actions
Internal audit of QMS, assessment of efficiency of
3 activities implemented in accordance with results of the 4 2 0
audit.
Organisation of receiving inspection: the receiving
4 inspection is organised in accordance with requirements 5 2 0
of documented procedure
Equipment of control points (posts): existence of and
compliance with operating instructions; visualisation of
5 2 1 0    
defects; availability and keeping of regulatory
documents
Availability of certified technological laboratories or
6 3 1 0
agreements with third party specialised institutions
Monitoring of quality of manufactured products,
7 spoilage analysis and systematic solution of problems 5 2 0
in case any differences are detected
Visualisation of information on stands about quality of
8 2 1 0    
manufactured products. Personnel awareness.
Availability of feedback in respect of customer claims,
9 development of corrective actions according to results 2 1 0    
of the claims
Systematic informing of consumer about any changes
10 in manufacturing process, used raw inputs and 4 1 0    
materials, and places of manufacture of products
Working with suppliers in respect of quality: system of
11 3 1 0    
assessment, holding audits, development of suppliers
Personnel: skills, work load, number of shifts,
12 2 1 0    
availability of interchange matrix and schedules for job
 training.
Level of apprehension by personnel participating in the
13 3 1 0    
audit of the questions being asked (level of skills).
Maximum possible
45
score
Results of the assessments Scores 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, 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 No
Monitored 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 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)