General Supplier Information

  • Scope of the audit

  • Name/Signature of auditor

Supplier Details

  • General information about the supplier

  • Photograph(s) of site

  • What items does the supplier manufacture or supply? (For GPS and/or other customers)

  • Photograph(s) of items supplied

  • Names/Positions of people involved in the audit as necessary

  • What certification is/can be supplied with goods?

  • Is the supplier ISO 9001, ISO 14001 and/or ISO 18001 certified? Do they have other approvals?

  • Issues discussed and action(s) resulting (including details of purchasing NCR's)

  • Issue
  • Note/action

  • Add media

  • Add drawing

  • Responsibility

People Issues

1. People (Communication)

  • Look for evidence of: Team Talks, Notices Boards (check information is up to date and relevant), KPI graphs, or performance figures, information regarding performance of the QMS/EMS/H&S system (such as accidents, scrap, complaints, OTIF etc) What are the key process measures? Are these displayed? If so, is there improvement? if not what actions are being taken to improve things?

  • Is there evidence of good communication? (describe/photograph). Is there evidence of process measures? (if so, what are they?)

  • Compliance Level

  • Improvement Action required

2. People (Competence and Capability)

  • Look for examples of young persons. Is there evidence of employees having undergone training, for the specific task(s) they are performing. Competency can be based on education, training, skills and/or experience. Are there issues with understanding (eg language barriers or disability)... Is there evidence of unsafe or environmentally unsound behaviour or practice.? Are they authorised to use equipment such as FLT's etc

  • Are personnel performing work which could impact on customer service, or the product, competent, capable and authorised?

  • Compliance Level

  • Improvement Action required

3. People (Responsibility and Authority)

  • Is responsibility and Authority Clearly Defined? (eg organisation chart, job profiles etc)

  • Compliance Level

  • Improvement Action required

Materials issues

4. Materials (Health and Safety and Environmental Hazards)

  • Look for chemicals that are in use, including use of Local Exhaust Ventilation. Check that the chemicals are properly labelled, are listed in the COSHH register, and are used in a safe manner (using the PPE that is recommended) Check for signs of use of water which may be stale or contain bacteria (such as cooling water) and for signs of water spray. Do any of the material(s) used present a hazard (Environmental, or Health and Safety)? For example a hazard to aquatic life, or dust or explosive risk

  • Are all chemicals in use suitably controlled?

  • Compliance Level

  • Improvement Action required

5. Materials (Identification and traceability)

  • Check materials in use (components, raw materials, products etc) are clearly identified in terms of their status and traceability and what they are for (eg supplier, batch number, part number, inspection and test status if applicable)

  • Are all Materials in use suitably identified and traceable? (including goods received and finished goods)

  • Compliance Level

  • Improvement Action required

6. Materials (Safe and sufficient Storage)

  • Check material(s) storage. Is it safe (not exceeding working loads for shelving and safely and suitably stacked - e.g. stability and load distribution), is it free from spills and leaks (eg granules on the floor), secondary contained as needed, is packing in good condition (damaged boxes etc). Is storage such that it prevents damage or deterioration to the item(s) concerned? Does the material(s) in use have a limited shelf life such that it could deteriorate and not function properly (for example seals/gaskets or cements etc). Is there sufficient storage for WIP parts and finished goods stock?

  • Are all Materials stored safely?

  • Compliance Level

  • Improvement Action required

Equipment issues

7. Equipment (Accuracy and capability)

  • Is equipment and machinery in use suitable for it's intended purpose, calibrated to ensure it's accuracy as necessary (if used to validate product quality, or measure environmental emissions or levels, or measure H&S performance). Is equipment's performance repeatable to ensure reliability of the process

  • Is equipment and machinery in use suitable, calibrated and capable?

  • Compliance Level

  • Improvement Action required

8. Equipment (Safety)

  • Has equipment undergone appropriate testing or statutory examinations (for example PAT testing, lifting equipment etc). Is equipment suitably guarded (with the need to use a tool to remove) to prevent access to dangerous parts of machinery (including electrical cabinets).

  • Is equipment and machinery in use safe?

  • Compliance Level

  • Improvement Action required

9. Tooling and Equipment (Condition)

  • Is Tooling and equipment in a condition to ensure good and reliable quality of output.. If necessary is equipment regularly serviced or preventive maintenance applied to prevent deterioration. Is equipment stored such that it prevents deterioration or damage? Have GPS been informed of likely replacement period if owned by GPS, and how is this time monitored?

  • Notes: Add information about process for monitoring tooling and process for replacement if GPS owned tooling

  • Is equipment in good, serviceable condition, with suitable storage? (Including GPS Owned)

  • Compliance Level

  • Improvement Action required

Environment

10. Building Environment

  • Are there issues with building infrastructure, such as floor or wall condition - is there damage or deterioration to the building fabric (especially to any part of the building identified as asbestos). Are floors free of holes, or uneven surfaces? Is the area water and dust free and a reasonable temperature? is the temperature, humidity and other environmental conditions such that it prevents poor quality or deterioration of quality? Is there free access and egress?

  • Are there issues with the infrastructure or access?

  • Compliance Level

  • Improvement Action required

11. Environment (Waste, Energy and Emissions)

  • Are wastes from the process properly segregated and managed. Are recyclable wastes (card board, plastics, metal etc) and hazardous wastes (oil contaminated) for example, disposed of in the correct containers. Are personnel clear on the correct disposal points. Is equipment turned off when not in use? Is there any evidence of emissions or discharges during the process?

  • Are wastes, energy, discharges and emissions properly managed?

  • Compliance Level

  • Improvement Action required

12. Environment (Fire Hazard)

  • Is there any fire hazard in the area (for example flammable chemicals in use, cardboard/wood or other flammable materials stored in such a way that they may cause a fire (eg against a hot surface). Is there any source of ignition in the area (such as welding or brazing or heaters). Is there evidence of blocked cooling ventilation on equipment?. Has a fire risk assessment been conducted in the area/department?

  • Is there any fire hazard?

  • Compliance Level

  • Improvement Action required

Process

13. Process (Emergency/business recovery)

  • Is there an emergency procedure? Is there a business continuity plan? Is there resource to deal with emergency situations (eg spill kits, fire extinguishers etc?)

  • Is there an emergency procedure? Is there a business continuity plan? How would continuity of supply be maintained

  • Compliance Level

  • Improvement Action required

14. Process (monitoring and measurement of product and process)

  • Are quality objectives and quality requirements defined for the product - including on receipt - (for example quality plans, specifications, work instructions, quality alerts). Are the required verification, validation and monitoring, measurement, inspection and test activities specific to the product carried out correctly. Are there suitable records of such inspections and tests? is the person responsible for the checks clearly identified? Are process parameters monitored and measured. Are records for all of these monitoring and measurement activities available?

  • Are all relevant checks and measurements being undertaken and suitably analysed?

  • Compliance Level

  • Improvement Action required

15. Process (Legal/Standards Compliance)

  • Is the legislation/standard/specification to which the process must comply known, documented and available? is the legislation (if applicable) recorded within the legal register? Consider hazardous processes, for example work in confined spaces, working at height, compliance to gas standards for example

  • Is appropriate legislation or standards/specifications known? is it available? is it complied with?

  • Compliance Level

  • Improvement Action required

16. Process (Documentation)

  • Is the process suitability documented via process flow chart, work instruction, standard operation or quality plan etc. Are all documents controlled, including documents of external origin (such as GPS drawings or specifications)

  • Is process suitably documented and is input/output clearly defined? Are GPS requirements correctly transferred to the manufacturing area

  • Compliance Level

  • Improvement Action required

17. Process (Risk Assessment/Aspects Evaluation)

  • Are health and safety risks and environmental aspects managed?

  • Compliance Level

  • Improvement Action required

18. Process (Non-conformance/Corrective/Preventive Action)

  • When the process goes wrong - and results in non-conformance or rework etc - is action taken to resolve the issue in terms of documenting the problem, disposal action being taken (scrap, rework etc), containment action (making sure the customer does not receive the problem), root cause analysis, and finally corrective action to resolve the root cause. Additionally, is such failure analysed and improved as well as applying preventive measures proactively? Are issues identified by GPS resolved at root cause? Review actions taken. Is there any evidence that material(s) in use do not conform to requirements and could affect product quality (for example rusty, dimensionally non-compliant, or visually non-compliant items) If so, are they clearly identified as non-conforming, with appropriate action(s) identified?

  • Is there a robust process for dealing with non-conformance in the area being audited? Are all GPS issues resolved to root cause?

  • Compliance Level

  • Improvement Action required

19. Process (Outsourcing)

  • Are any processes or parts of process outsourced? if so, how are these controlled to ensure compliance to customer requirements, environmental compliance etc. If these outsourced activities are carried out on our premises, is the contractor managed through permits to work etc (see C05) - also ensuring that the contractor complies with environmental requirements such as waste, discharges, emissions etc. How do we confirm the quality of the outsourced operation? how is the outsourced activity approved and controlled?

  • Is anything outsourced? if so how is it controlled?

  • Compliance Level

  • Improvement Action required

20. Additional checks

    Additional check
  • Compliance Level

  • Improvement Action required

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