Audit Checklist - Purchasing

• Conducted on

  Date

• Prepared by

• Location
  Address

• Document Number

Tick here to show procedure(s)/standard(s) have been read

• IMSQMSLLPP001 [Purchasing]

  Yes

  No

• Explain why the procedure has not been read for this audit?

• IMSQMSLLTP003 [Requesting NDT Services]

  Yes

  No

• Explain why the procedure has not been read for this audit?

• IMSQMSLLQA005 [Assessment of suppliers & subcontractors]

  Yes

  No

• Explain why the procedure has not been read for this audit?

• IMSHMSLLPR008 [Control of Contractors]

  Yes

  No

• Explain why the procedure has not been read for this audit?

• IMSHMSLLTP041 [CoSHH Purchasing Guide]

  Yes

  No

• Explain why the procedure has not been read for this audit?

• ISO 9001 Section 8.4 - Control of externally provided processes, products and services

  Yes

  No

• Explain why the procedure has not been read for this audit?

• ISO 45001 Section 8.1.4 - Procurement

  Yes

  No

• Explain why the procedure has not been read for this audit?

VERIFY procedure compliance with requirements within ISO 9001 / ISO 45001 standards

• Do the procedures sufficiently detail the controls to be applied to external providers (suppliers/sub-contractors)

  Good

  Fair

  Poor

  N/A

• Do the procedures sufficiently detail the requirements to identify hazards and risk for contractors with regards to OH&S requirements

  Good

  Fair

  Poor

  N/A

• Do the procedures sufficiently detail the criteria for evaluation and selection of external providers?

  Good

  Fair

  Poor

  N/A

• Do the procedures sufficiently define and apply OH&S criteria for the selection of contractors?

  Good

  Fair

  Poor

  N/A

• Do the procedures sufficiently define the type and degree of control to be applied to outsourced functions and processes relating to OH&S compliance matters. This must include ensuring arrangements are consistent with legal requirements (i.e. LOLER inspection, compressed air system servicing etc.)

  Good

  Fair

  Poor

  N/A

• Do the procedures sufficiently detail the criteria for monitoring and performance evaluation of external providers?

  Good

  Fair

  Poor

  N/A

Interview 2 purchasers (include one from each facility)

• Name, title and facility/location of interviewee

• Ask purchaser how bids (not suppliers) are assessed to determine which supplier to use for the order

  Good

  Fair

  Poor

  N/A

• Ask purchaser how suppliers (nod bids) are assessed and verified on the approved vendor list (AVL)

  Good

  Fair

  Poor

  N/A

• Ask purchaser how poor suppliers are discussed and how suppliers who are unacceptable for orders are communicated

  Good

  Fair

  Poor

  N/A

• Ask purchaser how orders are authorised and when line managers are required to approve purchase orders

  Good

  Fair

  Poor

  N/A

• Auditee Signature

  Sign

CHECK purchase orders for correct content i.e. size, thickness, quantity, origin restrictions, client specific requirements, OH&S controls, legal requirements etc.

• 5 random purchase orders within last quarter; including at least one CoSHH item purchase and one subcontracted activity.

  Compliant

  Non-Compliant

  N/A

CHECK suppliers were adequately assessed and, as necessary, periodically reviewed before purchase orders were placed

• 5 random suppliers from purchase orders placed within last quarter; Include at least one new supplier where possible; Include at least one quality critical supplier.

  Compliant

  Non-Compliant

  N/A

• 3 random suppliers from purchase orders placed for Sellafield projects withing the last financial year; Verify kick-off meetings were held and recorded for critical suppliers [see SLM 4.06.02]

  Compliant

  Non-Compliant

  N/A

CHECK material purchase orders for correct material specification determination

• 5 random purchase orders within the last quarter.

  Compliant

  Non-Compliant

  N/A

CHECK purchase orders for revision status and revised orders are sent to suppliers

• Last 2 amended orders

  Compliant

  Non-Compliant

  N/A

CHECK supplier feedback and trend analysis is discussed at management review meetings

• Last 2 management meetings

  Compliant

  Non-Compliant

  N/A

CHECK orders are associated with the correct job numbers (where applicable)

• 5 random purchase orders within the last quarter.

  Compliant

  Non-Compliant

  N/A

CHECK authorisation levels are current and up to date for organisation structure.

• Check current list is consistent with management level authorisations

  Compliant

  Non-Compliant

  N/A

CHECK purchase orders relating to Sellafield projects have been ordered against SLM 4.06.02 requirements, including flow-down requirements to suppliers/sub-contractors

• 3 random purchase orders for Sellafield projects

  Compliant

  Non-Compliant

  N/A

Final acceptance

• Auditor signature

  Sign