Sub Vendor Audit Checklist-Personnel

8/10/2019 Sub Vendor Audit Checklist-Personnel

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Part A- Management Structure

1) Management and Organisation Structure (ISO/TS 29001 5.5.1/5.5.2)a) Ask for the Organization chart? Is it latest? Is it ok?b) Ask for copy of the O. chartc) Who is Management representative? Who authorized this person? Record name &

position?c) Ask for employee status? Permanent? Contract?d) Ask for the list of experience? Ask for brochure if any?

2) Quality Management Systems (ISO/TS 29001 4.1)2.1- Quality Policy & Objective(ISO/TS 29001 5.1-b, c/5.3/5.4.1)

a) Policy & objective available within QMS? Who authorized? Record name & position?b) Ask copy of the policy & objective.

2.2- Quality Manual (ISO/TS 29001 4.2.2)a) Latest version of QM? Who approved? Record name & position authorize the QM?b) Ask copy of latest QM? If cant ask for the front sheet only as a proved.c) Any others QM such as ASME QC manual??

3) Approvals (ISO 17020/17021)a) CB approval for QMS? Check the certificate expiration date? At least shall have ISO 9001.b) Any other accreditations approval? SO TS 29001/EN 1090/PED etc...Etc..??c) Ask for copy for accreditation certs??

4) ISO 9000 Audits and Reports/External Body (ISO 17020/17021)a) Ask for how many time surveillance audit being done by CB? At least once a year.b) Ask for last surveillance audit report from CB? Record date? Summarize the audit reports(i.e...NCR, Observation, Improvement, CAR)c) Record number & nature of NCRd) Ask for any others external body audit done??i.e.ASME/PED/Client

5) NCRs and Customer Complaints (ISO/TS 29001 5.2/7.2.3/8.2.1/8.3/8.4/8.5)a) Any NCR or complaints received? Check record availability?b) Record number & nature of NCR & Complaints. All NCR recorded close??

6) Internal Audits (ISO/TS 29001 8.2.2)a) Ask for internal audit programme? Is it up dated? Who authorized? Record name & position?b) Ask how many times being done? At least once a year? Is it covering the entire departments??c) Ask report if been done. Summarize the audit reports (i.e...NCR, Observation, Improvement, CAR)d) Ask for certified internal auditor? How many qualified? Ask copy of certification??

7) Management Review (ISO/TS 29001 5.1-d/5.6)a) Ask for how many time MRM being done? At least once a year.b) Who involved the meeting?? Ask for the MRM minute? Ask for the copy if any??

c) All required agenda per QMS (input/output) discuss??

8) Training and Competences (ISO/TS 29001 6.2.2-General refer 6.1 & 6.2)

a) Background & training quality of Quality personnel?

b) Ask training list for the staff??

c) Staff understands their quality policy & objective??


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Part B- Quality Assurance

1) Quality Plans (ISO/TS 29001 7.1)a) Ask sample of the QP/ITP or any others feature??ongoing & completed?? (Minimum content shallat least have basic information for the project, description/activity, reference

procedure/document/spec used, acceptance criteria, record requirement, inspection interventionpoints (H, W, R, A).b) Who prepared??Who Approved??Record name & position??c) Is it signed off by all party involved??

2) Control of Documents and Records (ISO/TS 29001 4.2.1/4.2.3/4.2.4)

a) Ask for applicable documented procedure??Hard copy??Soft copy??Who approved??Recordname & position??b)Ask for distribution list?? How many copies?? Is it being controlled??Wet stamped with control

copyc) Any list of procedure available??ask if any??d) Cross check the version of the procedure?? Ensure its latest distributed among the company??e) Ask for retention period??3, 5, 10 years??

f) Ask copy of completed Dossier if any??g) AFC drawing on shop?? Wet stamped?? Eligible copy?? Good condition??Latest revision??h) National standard supplier held (technical library)?? Is it current/latest??

3) Approved Suppliers and Subcontractors (ISO/TS 29001 7.4.1)a) Ask for AVDL?? Is it updated?? By who?? How long in services??b) What criteria to be AV?? Record the criterion?? How this been evaluated?? By who??c) Do they perform inspection/surveillance for final product purchase as a criterion??d) Do supplier having certified QMS to recognized international standard i.e ISO 9000 as a criterion??e) Any re-evaluation performs??f) Ask for evaluation & re-evaluation record?? Is it being controlled?? Meet as per establishedprocedure?? Record procedure no.??g) Ask copy of evaluation record??

Part C-Material Control and Quality Control

1) Material Control (ISO/TS 29001 7.4/7.5)1.1- Goods in Storage (ISO/TS 29001 7.4.3/7.5.4/8.3)a) Storage of incoming material is adequate??Is it identified i.e...by job no/serialno/batch/heat??Under the shelter?? Segregation CS & CRA?? Colour coding??b) Is it proper identification for ACC HOLD REJ on item received??c) MRIR availability?? How this being done??by who??What criteria being check i.e..Quantity and condition Dimensional, marking, certificates, Materials against drawings,Specification or Order requirements??compliance with P.O??d) Record the criteria being checked?? Ask copy MRIR??e) Is it the same kind will be applied for customer FIM??

1.2- Traceability (ISO/TS 29001 7.5.3)a) Is all products being identified i.e by job no??b) Is it traceability for raw material done prior cut? Is it inspect prior cut?? By who?? Recorddate & time??How this being done & control??marking??hard or low or any kind??min. shallhave job no. part no. heat no. dwg no. etcetc..??c) Record type of marking being done?? Record min marking??Can be trace to the materialindex list??d) 100% traceability required for PP & critical structural??e) Ask sample of traceability index & map??Min. shall have description, item no. part no. heatno. drawing no.f) Cross check with ongoing project??Is it traceable??


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2) Quality Control (ISO/TS 29001 7.5)2.1- In-Process Inspection(ISO/TS 29001 7.5.1/8.2.4/8.3)

a) How this being done & control i.e routings, travellers, checklists, process sheets, or othertypes of control features?? Any internal request being done?? By who??b) Ask for record?? Record type of inspection, date, result??c) Any work instruction/test plan within job area?? Is it legible and easy to read??Is it being

controlled?? Record WI no.??d) Is it suitable item/equipment use??Good condition??Validity?? Traceable??e) How non conforming product control?? Proper Identified & segregation??

2.2- Equipment Calibration and Control (ISO/TS 29001 7.6)a) Ask for calibration list??Is it updated??Control by whom??b) All equipment/item is valid??Crosscheck the validity?? Record sample??c) All item/equipment being marked??Serial no for traceability??Calibration sticker?? Recorddate?? By whom?? Condition??

2.3- Welding and NDT (ISO/TS 29001 7.5.1/8.2.4)a) Ask list of WPS/PQR/WQR availability?? What Code being used i.e AWS, ASME, BS ENISO, CBW, AS etcetc??

b) Ask sample WPS/PQR/WQR??Record WPS/PQR no??Is it compliance to code certified??Certified by whom?? Internal or external (CB i.e LR,ABS,TUV,DNV)??c) What material is supplier familiar with??c) NDT/DT done by whom?? Internal or external (certified iso 17025/17020)??d) Welder performance?? How being control?? Record the criteria?? Ask for the welderrecord log-continuity?? Is it update??e) What being done if welders not weld more than 6 months period??Disqualified, re-qualified, training??f) WPS/WQR/Weld Map or Plan/List of welder available within the shop?? Who assignedwelder at shop??foreman/supervisor??Welder can read WPS??g) Welder provide with ID card??Crosscheck??Record information?? Is it suitable to weld thepart/item??h) Quality of weld & workmanship??Weld preparation??Acceptable??

i) Welder ID marks on the item being weld?? Traceable to the weld history record??j) Ask for Weld History sheet?? What information record??Is it update?? Ask copy of thehistory sheet??k) Welding consumable??How this control (receipt, baking, holding, issued, re-issued, mark,scrap?? Proper storage??Identified & traceability??International recognized??CBcertified??Ask consumable certs??l) Any consumable lying down on floor??m) Oven condition??Good?? Calibrated??n) Quiver condition??Good?? Plug or not?? Calibrated/validated??o) Welding machine calibrated??Good condition?? (BS 7570/BS EN ISO17662)

p) NDT facilities??Availability internal or external (outsource)??Operator qualifications??What standard?? Ask list of operator qualified??Ask for cert??q) Heat treatment facilities?? Availability internal or external (outsource)??

2.4- Testing (ISO/TS 29001 7.5.1/8.2.4)a) Facilities testing?? Availability internal or external (outsource)?? Operator qualifications??Good condition?? Equipment calibration?? Certified facilities by CB??

2.5- Inspection Records (ISO/TS 29001 4.2.4)a) All required record being control??Readily identified & easily retractable??b) Being compiled accordingly?? How?? Ask sample of MDR??c) Kept by whom??

2.6- Product Marking, Packaging and Despatch (ISO/TS 29001 7.5.5)a) How final product being pack??Is it ok??


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2.7- Shop Tour (ISO/TS 29001 6.3/6.4)

a) As above?? Safety?? PPE?? Walk way??Cable lying?? Gas bottle?? Hydrotest??

Organized & tidiness??tripping hazard??/forklift??overhead crane safety/cert??

Project Specific Based Audit

1. Objective

The objective of this audit is to verify Vendors compliance with quality-related requirements of the Project

specific base.

2. Criteria

- Purchase Order

- Requisition No

- Opening meeting & HSE Moment

- Project management & Organization-References list-Communication Interface

- Contract Review and Bid preparation-Work Load Assessment

- QMS certification/Approval

- other referenced documents

3. Audit Topics

- Document Status

- Latest VDRL/VDML

- Project Quality Plan

- Inspection and Test Plan

- Welding Book/NDT/Inspection & Test Requirements

- Manufacturer Data Record/Dossier Requirements

- Technical Deviations

- Nonconformity Reports

- Project specification requirements


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- Purchasing

- Approved Sub-Vendors

- Materials purchasing

- Material procure status

- Material Receiving

- Material certificates / traceability

- Receiving inspection procedure-MRIR

- Inspection / acceptance criteria

- Storage / marking / identification/preservation/control

- Manufacture / Assembly

- Work procedures / drawings approval and control

- Measuring equipment calibration

- Welding control including consumables- Material Control including FIM / Marking/Traceability

- Painting and coating

- Heat Treatments facilities

- Manufacturing equipments suitability-pre assembly

- Storage of good

- QC / Inspection / Test

- Inspection procedures / inspector responsibility & authority

- Personnel qualifications/competency

- Pressure equipment certification authorization

- Welding inspection / NDT

- Inspection records / MDR

- Nonconformity process

- Final inspection / release

- Shop Tour

- To see materials / work in progress for this project

- Closing/Summary

- Summary of action

- FMEA/FTA within the audit team

Sub Vendor Audit Checklist-Personnel

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