Supplier Audits - What to Audit when a Supplier is not Certified

I am going to be doing my first supplier audit in the coming weeks and I need some guidance please. How do I audit a Supplier that is not certified. What do I audit them against? Any guidance would be appreciated. I also apologize if this has been asked somewhere else, but searches kept crashing.

Re: Supplier Audits - When a Supplier is not certified

A supplier's lack of certification does not mean that you can not use the desired standard as the basis for your audit.

You could also assess them to the terms and conditions of the contract your organization has with them.

The audit criteria should, however, be aligned with the scope of the audit. For example, if you're auditing their QMS (even though they are not ISO 9001 registered), you would not necessarily use the criteria from ISO 14001. It's important - especially if there is specific standard that both parties agree will be the scope of the audit - to establish the boundaries of what will be assessed.

You could also ask if they have any procedures or documentation that supports how they meet the terms and conditions of the contract. For example, if the T&C discusses on-time delivery, find out if they have any in-house procedures for ensuring product is delivered on time and/or how they handle it if product is not delivered on-time.

Re: Supplier Audits - When a Supplier is not certified

SpartanBio said:

What do I audit them against? Any guidance would be appreciated.

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In addition to what RCBeyette mentioned, you have to understand that a supplier audit should be an exercise in verifying if the supplier has the capabilities to deliver your requirements and expectations.

So, first and foremost, YOU have to understand what are the requirements and expectations your organization has imposed onto your suppliers. Those can be QMS requirements, process requirements, product requirements, environmental requirements, etc....

Unless you figure that first, you should not set foot at your supplier premises, or run the risk of a failed audit.

Have you had any training on supplier assessment?

Re: Supplier Audits - When a Supplier is not certified

SpartanBio said:

I am going to be doing my first supplier audit in the coming weeks and I need some guidance please. How do I audit a Supplier that is not certified. What do I audit them against? Any guidance would be appreciated. I also apologize if this has been asked somewhere else, but searches kept crashing.

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A supplier with a PO? Or a new business (potential) supplier? What's the purpose of auditing them? Are they OK with you doing this? Do they know its your "first time"? Can you buddy-up with someone who has experience?

Re: Supplier Audits - When a Supplier is not certified

If you are compelled to wing it, ask them to walk you through all the steps of the process from taking your order to shipping it to you. Ask questions, take copious notes, be nice to people.

An audit is an evidence gathering process. Audit evidence is
used to evaluate how well audit criteria are being met. Audits
must be objective, impartial, and independent, and the audit
process must be both systematic and documented.

I usually start with auditing the overall process from orders received to goods or services delivered.

Next, I narrow it down to QC activities (incoming, in process, finished goods)

Followed by the production (service delivery) processes.

Lastly I go through the QA activities (rejects handling, complaints etc..)

The above is just my method and it works for me.

Hope this is helpful to you.

Loke

SpartanBio said:

I am going to be doing my first supplier audit in the coming weeks and I need some guidance please. How do I audit a Supplier that is not certified. What do I audit them against? Any guidance would be appreciated. I also apologize if this has been asked somewhere else, but searches kept crashing.

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Agree with all other Covers have already suggested.
Another suggestion could be the one to send a self assessment to the supplier, with a certain number of questions related to the quality topics and invite the supplier to self score with a rank and then return it back. Then ou can start from it when you will verify the reported items in self assessment directly on the field on its premises.

With all those great answers you should be good to go
As a small addition I would add management responsibility to the audit plan and see who your supplier sends to meet you and what they actually know about their processes and operation. If top management knows their business, is committed to quality and to you as a customer then the lack of a formal QMS and a certication will probably not bite you later on...

Thanks to everyone for all there replies, you have given me a great starting point. We have given them a self-assessment to fill out and I think I will use that as a starting point. I also really like the idea of asking them to walk we through there process from receipt of order to delivery to me the customer.

And to answer the question yes the supplier knows that they are my guinea pig for the audit and they are fine with it.

If you have taken an auditor training course, you should be just fine, and treat the process like your own audit, even though the supplier is not certified. But if you have not taken an Auditor Training Class, then I suggest to do that first (I like live classes not internet ones) to understand the terminology and sequences again, even though this supplier is not certified. If you don't feel comfortable, then hire a consultant to help you do the first one so you can learn how, why and what to look for even though they are not certified, it does not mean they do not have a process (verbal or written)
Good luck and let us all know the outcome.