Supplier Audit Checklist

Use this checklist to plan and execute second-party supplier audits against your contractual and approved-vendor criteria. Adapt columns to quality, OH&S, environment, or information security as needed.

This is not a certification audit and not an ISO certificate. Beyond Carbon can support supplier audits; we do not certify suppliers as a CB.

□ Audit objectives and criteria defined (contract, specs, MS clauses you require) □ Scope agreed (site, processes, products, shifts) □ Risk-based sampling plan drafted □ NDA / site access / HSE induction requirements cleared □ Prior performance, NCRs, and complaints reviewed □ Supplier self-assessment (if used) received and challenged □ Audit team competence and independence from purchasing incentives confirmed □ Agenda and logistics sent to supplier

□ Confirm objectives, scope, criteria, and schedule □ Confirm confidentiality and safety rules □ Identify escorts and process owners □ Clarify that findings are second-party — not CB certification decisions □ Agree communication path for immediate serious risks (e.g. unsafe conditions)

□ Walk the process path — do not only review the meeting room □ Interview operators/supervisors, not only sales □ Photograph or reference evidence IDs per your rules

□ Findings criterion-referenced with evidence □ Severity aligned to your procedure (critical / major / minor / OFI) □ Immediate containment requested where product or safety risk exists □ Supplier acknowledges factual accuracy (not necessarily root cause yet) □ Report timeline agreed

□ Closing meeting summarizes findings without surprise dumps of unverified notes □ Corrective action due dates proportionate to risk □ Verify effectiveness — not only “procedure updated” □ Update approved-vendor status per your purchasing rules □ Feed systemic themes into your own MS (supplier control improvements)

Define pass/fail rules before the audit to avoid post-hoc negotiation.

Layered subcontracting is common in construction, industrial maintenance, and oilfield services. Extend sampling to the tier that actually performs critical work when your contract risk requires it.

Language of checklists and interviews should match the workforce producing your product or service.

This checklist does not replace your purchasing procedure or legal contract terms. It does not convert a supplier audit into CB certification. Adapt criteria to each commodity’s risk.

Beyond Carbon provides ISO consultancy, implementation support, documentation assistance, and audit preparation support. Independent certification bodies issue certificates after successful certification audits. Beyond Carbon does not present itself as a certification body or accreditation body.