Supplier audits are the corporate buyer's way of controlling its supply chain. With foreign suppliers, all communication between the audit team and the supplier runs through translation. The conversations held on site on the day of the audit are part of the same file.
Audit plan
The date, scope and audit team are notified in advance. The notification letter is sent to the supplier. The wording of the scope cannot be widened afterwards.
List of questions
The audit follows a list of questions prepared in advance. The questions are numbered and the findings are tied to these numbers. The numbering is kept.
Document review
Procedures, records and certificates are examined. The list of documents that will be requested is sent in advance. Translation of the list is completed before the audit.
Site observations
The production line, the warehouse and the laboratory are observed. Observation notes are written briefly and concretely. Generalised notes leave a finding without a basis.
Interviews
Interviews with employees are recorded. An interpreter may be present at the interviews, and this is noted in the record. The note is kept.
Grades of finding
A major non-conformity, a minor non-conformity and an observation lead to different consequences. The grade names are defined and are not shifted. The explanation of the scale appears in the report.
Text of a finding
What was seen, which requirement it breaches and the evidence are stated. These three elements are kept separate. Merging them opens the finding to dispute.
References to requirements
Each finding is tied to a clause of a standard or a provision of the contract. Clause numbers are kept. Without a reference a finding is open to objection.
The supplier's response
The supplier accepts the finding or objects to it. The text of the response is carried over exactly. The grounds for an objection are not summarised.
Root cause analysis
The cause of the non-conformity is investigated methodically. A superficial cause is not accepted. The text of the analysis is translated in full.
Corrective action plan
The measure to be taken, the person responsible and the due date are determined. The three-way match is the basis of follow-up. The date format is kept consistent.
Submission of evidence
The supplier sends documents proving the correction. Photographs, records and an updated procedure are typical evidence. The descriptions of the evidence are translated.
Verification of effectiveness
Whether the measure has worked is checked afterwards. The verification record is a separate line. Closure is tied to this record.
Closure periods
A different period is allowed for each grade. If the period is exceeded, sanctions come into play. The information on the period is given prominence.
Social compliance audits
Working conditions and workers' rights may also be audited. This section carries sensitive information. Employee statements are kept anonymous.
Environmental audits
Waste management and permits are checked. Document names are tied to legislation. Local equivalents are used.
Scoring and classification
At the end of the audit the supplier is given a score. The score may affect the allocation of orders. The method of calculation is explained in the report.
Sharing the report
The report is shared with the supplier and with internal units. Sections containing confidential information may be separated and a separate version prepared. The sharing rule is set at the outset, because sharing cannot be undone afterwards.