An Excel checklist for an on-site or remote audit of a supplier. Fourteen standard questions are pre-filled with the evidence to look for. Score each one 0, 1 or 2 (or N/A), and the sheet totals the points, works out the score percentage and gives a result against thresholds you set.
Tip: N/A questions drop out of the points possible, so the score percentage is not penalised. Write why it is N/A in the notes, or an approver will assume it was skipped.
Header
Supplier, site, scope, audit type, date, lead auditor, and the approve and conditional thresholds
Questions
14 pre-filled questions by section, each with the evidence to look for, plus blank rows
Scoring
Score 0, 1, 2 or N/A, with points possible and points earned calculated
Findings
Evidence seen and the finding class (None, Minor, Major) for each question
Summary
Points earned and possible, score %, Major and Minor counts, and the result
Example Audit by Example Manufacturing Co., a fictional machine shop, of Example Thermal Ltd., a fictional heat-treat supplier. The 85% and 70% thresholds and the 0–2 scale are the Example company’s own choices, not values from a standard. All findings are invented for illustration.
| Scope | Through-hardening of steel shafts |
|---|---|
| Audit type | Re-approval |
| Thresholds | Approved at ≥ 85%, Conditional at ≥ 70%, any Major = Not approved |
| # | Question | Score | Evidence seen | Finding |
|---|---|---|---|---|
| 1 | Certificate current and scope covers the parts supplied | 2 | ISO 9001 certificate valid; scope includes heat treatment | None |
| 2 | Work instructions at the point of use are current | 2 | Furnace WI revision matches the master list | None |
| 3 | Sub-tier suppliers approved and monitored | N/A | No sub-tier suppliers used for this process | None |
| 4 | Customer parts identified and checked on receipt | 2 | Receiving tags and counts on all three lots sampled | None |
| 5 | Time, temperature and atmosphere recorded for each load | 2 | Load charts complete for the loads sampled | None |
| 6 | Furnace uniformity checks done on schedule | 1 | Last check done five weeks late | Minor |
| 7 | Hardness testers calibrated and verified daily | 2 | Calibration current; daily verification log complete | None |
| 8 | Nonconforming product identified and segregated | 1 | One rejected load in the hold area was not tagged | Minor |
| 9 | Corrective actions closed with root cause and effectiveness check | 2 | Two CARs sampled, both complete | None |
| 10 | Contingency plan for a furnace breakdown | 0 | No plan available | Minor |
| Points earned / possible | 14 / 18 |
|---|---|
| Score | 77.8% |
| Major / Minor findings | 0 / 3 |
| Result | Conditional |
| Field | What to enter | Example |
|---|---|---|
| Scope | The parts, materials or processes you are approving the supplier for. Approval outside this scope is not covered by the audit. | Through-hardening of steel shafts |
| Audit type | Initial, re-approval or for cause. A for-cause audit should focus on the problem that triggered it. | Re-approval |
| Thresholds | Your own approve and conditional cut-offs, as percentages. Change them in the header and the result updates. | 85 and 70 |
| Evidence to look for | Pre-filled prompts for what proves the answer. Records and observation count; a verbal answer on its own does not. | Load charts for the last 10 loads |
| Score | 2 = in place and effective, 1 = in place with gaps, 0 = not in place or no evidence, N/A = does not apply. Type N/A, not a blank. | 1 |
| Points possible / earned | Calculated. N/A and blank rows count 0 possible, so they do not change the percentage. Do not type over these cells. | 2 / 1 |
| Evidence seen | What you saw: record numbers, dates, sample sizes. This is what the supplier will respond to. | Last uniformity check five weeks late |
| Finding | None, Minor or Major. Use Major for a missing system or a risk to product reaching your customer. Any Major sets the result to Not approved. | Minor |
| Result | Calculated: Not approved if there is any Major; otherwise Approved or Conditional by score. Conditional usually means approved with a corrective action due by a set date. | Conditional |
ISO 9001 requires you to evaluate, select and monitor external providers, but it does not require an on-site audit. An audit is one method; others include performance data, certificates and questionnaires. Many organizations audit only higher-risk suppliers.
An audit carried out by a customer, or someone on the customer’s behalf, of its supplier. A first-party audit is an internal audit, and a third-party audit is done by a certification body.
A three-point scale separates a system that works from one that exists but has gaps. It is the Example company’s choice, not a requirement. Use any scale you can define clearly and apply consistently.
Set the frequency by risk and performance. A common approach is a shorter cycle for new, single-source or special-process suppliers, a longer one for proven suppliers, and a for-cause audit after a serious problem.
Yes, for many questions, using shared records and video walk-throughs. Processes where you need to see the equipment, environment or handling in person are better audited on site.
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