Supplier audit report Sample
Vexsai Sample Supplier Ltd
Approved with conditionsMedium risk
AI summary
The supplier shows strong quality management: all four quality questions are answered Yes, each supported by documents, and the ISO 9001 certificate is valid until March 2027. Company compliance is also complete.
The main risks are in continuity and ethics & sustainability. There is no business continuity plan yet, which matters because it is a single-site supplier. Labour-law checks have not been repeated since 2024, and waste and emissions are not measured.
Recommendation: approve with conditions, and re-check the three open items within 90 days.
Score by category
Findings & actions
- No business continuity planRequest the draft plan and a target date. Single-site supplier, so a disruption would stop deliveries. Due: 60 days.
- Labour checks out of dateAsk for a 2026 verification of working hours, wages and minimum age. Due: 90 days.
- Environmental data incompleteAgree a plan to measure waste and emissions before the next annual audit.
Answers, reasons & evidence
Company & compliance 100%
| # | Question | Answer | Reason | Evidence |
|---|---|---|---|---|
| 1 | Is the supplier legally registered, with current registration documents available? | Yes | Registered since 2011; certificate of incorporation uploaded. | company-registration.pdf |
| 2 | Does the supplier hold the certifications they claim (e.g. ISO 9001), with valid certificates? | Yes | ISO 9001:2015 certificate valid until March 2027. | iso-9001-certificate.pdf |
| 3 | Does the supplier have adequate insurance cover for the goods or services supplied? | Yes | Product liability cover in place. | insurance-schedule-2026.pdf |
| 4 | Has the supplier disclosed any legal disputes, recalls or regulatory actions in the last 3 years? | Yes | No disputes or recalls in the period. | - |
Quality management 100%
| # | Question | Answer | Reason | Evidence |
|---|---|---|---|---|
| 5 | Is there a documented quality policy approved by management? | Yes | Quality policy signed by the managing director. | quality-policy.pdf |
| 6 | Are incoming materials inspected and the results recorded? | Yes | All incoming steel is sampled and results logged in the ERP. | incoming-inspection-log.xlsx |
| 7 | Are non-conforming products identified, segregated and recorded? | Yes | Red-tag quarantine area with a register. | nc-register-q3.pdf |
| 8 | Is there a documented process for corrective and preventive actions? | Yes | CAPA procedure in place; 4 actions open. | capa-procedure.pdf |
Capacity & continuity 75%
| # | Question | Answer | Reason | Evidence |
|---|---|---|---|---|
| 9 | Can the supplier demonstrate capacity to meet your forecast volumes? | Yes | Running at 70% capacity; can absorb forecast. | - |
| 10 | Is there a business continuity plan covering key sites and suppliers? | No | A plan is being drafted; target completion Q1 next year. | - |
| 11 | Are critical sub-suppliers identified and approved? | Yes | Two critical sub-suppliers approved. | approved-suppliers.xlsx |
| 12 | Are lead times and on-time delivery performance tracked? | Yes | On-time delivery 94% over the last 12 months. | otd-report.pdf |
Ethics & sustainability 50%
| # | Question | Answer | Reason | Evidence |
|---|---|---|---|---|
| 13 | Does the supplier have a code of conduct covering labour and human rights? | Yes | Code of conduct shared with all staff. | code-of-conduct.pdf |
| 14 | Are working hours, wages and age of workers verified against local law? | No | Not verified this year; last check was 2024. | - |
| 15 | Is there an anti-bribery and corruption policy? | Yes | Policy in place and acknowledged by sales staff. | anti-bribery-policy.pdf |
| 16 | Does the supplier measure its environmental impact (energy, waste, emissions)? | No | Energy use is tracked; waste and emissions are not measured yet. | - |
Sample report for illustration. Vexsai Sample Supplier Ltd is a fictional company created for this example. AI analysis supports, and does not replace, the auditor's judgement.