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Managing Supplier Quality Audits

The purpose of a Supplier Quality Audit is for you to verify if the supplier's quality systems, processes, or products satisfy or are in compliance with the requirements as set forth in the contractual agreements, procedures, and/or agreed upon standards.

This presentation is specially designed for professionals related to Supply Chain, Purchasing, Quality Assurance and Manufacturing Management who are responsible for managing your supplier's quality performance as well as those who are interested in developing and enhancing their personal competence and effectiveness in Supplier Quality Auditing.

LEARNING OBJECTIVES

1. Acquire knowledge on the principles of management system auditing
2. Define the objectives of supplier quality audit
3. Describe how to plan and prepare for a supplier audit
4. Explain the process of on-site supplier audit
5. Describe the post-audit activity

CONTENTS

1. Principles of Management System Auditing
2. Introduction and Objectives of Supplier Quality Audit
3. Supplier Audit Planning and Preparation
4. On-site Supplier Audit
5. Post-audit Activities
6. Do's and Don'ts
Appendix - Additional Information for Supplier Audit

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Managing Supplier Quality Audits

  1. 1. © Operational Excellence Consulting. All rights reserved. MANAGING SUPPLIER QUALITY AUDITS © Operational Excellence Consulting. All rights reserved.
  2. 2. © Operational Excellence Consulting. All rights reserved. 2 Learning Objectives 1. Acquire knowledge on the principles of management system auditing 2. Define the objectives of supplier quality audit 3. Describe how to plan and prepare for a supplier audit 4. Explain the process of on-site supplier audit 5. Describe the post-audit activity NOTE: This is a PARTIAL PREVIEW. To download the complete presentation, please visit: https://www.oeconsulting.com.sg
  3. 3. © Operational Excellence Consulting. All rights reserved. 3 Outline 1. Principles of Management System Auditing 2. Introduction and Objectives of Supplier Quality Audit 3. Supplier Audit Planning and Preparation 4. On-site Supplier Audit 5. Post-audit Activities Appendix - Additional Information for Supplier Audit
  4. 4. © Operational Excellence Consulting. All rights reserved. 4 Principles of Auditing § Auditing is characterized by reliance on a number of principles § These principles should help to make the audit an effective and reliable tool in support of management policies and controls, by providing information on which an organization can act in order to improve its performance § Adherence to these principles is a prerequisite for providing audit conclusions that are relevant and sufficient, and for enabling auditors, working independently from one another, to reach similar conclusions in similar circumstances
  5. 5. © Operational Excellence Consulting. All rights reserved. 5 Principles of Auditing Source: Based on ISO 19011:2018 Auditing Management Systems
  6. 6. © Operational Excellence Consulting. All rights reserved. 6 Principles of Auditing 1. Integrity: the foundation of professionalism • Perform work ethically, with honesty and responsibility • Only undertake audit activities if competent to do so • Perform work in an impartial manner, i.e. remain fair and unbiased in all their dealings • Be sensitive to any influences that may be exerted on their judgement while carrying out an audit
  7. 7. © Operational Excellence Consulting. All rights reserved. 7 Principles of Auditing 7. Risk-based approach: an audit approach that considers risks and opportunities • The risk-based approach should substantively influence the planning, conducting and reporting of audits in order to ensure that audits are focused on matters that are significant for the audit client, and for achieving the audit programme objectives
  8. 8. © Operational Excellence Consulting. All rights reserved. 8 Introduction to Supplier Quality Audit § For important purchases, ensuring acceptable supplier quality is critical § Performing a supplier quality audit is one step in ensuring the selection of a capable supplier § A supplier quality audit is more than just walking a supplier’s shop floor and looking around (avoid behaving like “industrial tourists”)
  9. 9. © Operational Excellence Consulting. All rights reserved. 9 Supplier audit IS NOT “Industrial Tourism”
  10. 10. © Operational Excellence Consulting. All rights reserved. 10 Objectives of Supplier Quality Audit § Review the supplier’s management philosophies and practices § Review supplier’s total quality system § Address specific issues needing corrective action or to review technical and service capabilities of a supplier § Means to understand supplier capabilities and to drive supplier improvements as needed
  11. 11. © Operational Excellence Consulting. All rights reserved. 11 Key Steps for Conducting a Supplier Quality Audit 1. Supplier audit planning and preparation 2. On-site supplier audit 3. Post-audit activity
  12. 12. © Operational Excellence Consulting. All rights reserved. 12 Planning § Contact the supplier to discuss the purpose for the Process Audit, the methods/procedure to be used and confirm suitable timing for the Process Audit § Establish a team for the Process Audit • The team shall normally be multi-functional, and consist of a trained lead assessor and additional support as required based on auditor proficiency and the depth to which the Process Audit requires • The team members shall be selected based on knowledge of the suppliers’ product(s), process(es) or service(s) rendered and required local language
  13. 13. © Operational Excellence Consulting. All rights reserved. 13 Notification § The Process Audit team shall decide on a date to conduct the Supplier Process Audit and set a tentative Process Audit agenda § A letter of formal notification of intent date shall be made to the supplier § Written confirmation of acceptance of the Process Audit dates should be sent to the lead assessor by the supplier
  14. 14. © Operational Excellence Consulting. All rights reserved. 14 Pre-process Audit Meeting § On the day scheduled for the Process Audit activity, the Process Audit team shall conduct a pre-Process Audit meeting § This is a brief introductory meeting with the supplier’s management team to introduce the team, and review requirements and expectations § This meeting is intended to establish the tentative time tables and resource requirements for the activity, and work out any concerns or conflicts that may have arisen during the planning stage
  15. 15. © Operational Excellence Consulting. All rights reserved. 15 Post Process Audit Meeting § The Process Audit team shall meet with the supplier at the end of the Process Audit activity and present the results § Should corrective action activity be required, time frames for response shall be established and agreed upon § The findings of the Process Audit team shall be provided to supplier management at the end of this activity § Supplier management should sign-off on findings
  16. 16. © Operational Excellence Consulting. All rights reserved. 16 Follow Up § The lead assessor shall evaluate the adequacy of the response from the supplier upon receipt of the corrective action report, assuring that corrective action is identified and scheduled for each finding § Additional follow-up information shall be provided by the supplier, assuring that corrective action is accomplished as scheduled and that interim measures were in effect to minimize problems until corrective action was accomplished
  17. 17. © Operational Excellence Consulting. All rights reserved. 17 Follow Up Process Audit § It should be scored in such a way that previous sections which had failed should now score a maximum of 90% only § Otherwise there is a danger that a Follow-up Audit could generate a 100% score as only the corrective action items have been reviewed
  18. 18. © Operational Excellence Consulting. All rights reserved. 18 Surveillance § Periodic surveillance visits may be scheduled as required to assure that the supplier's Process audit has not degraded § Typically, suppliers that have not received certification under the guidelines of ISO 9001 by a qualified registrar shall require a new Process Audit every two years
  19. 19. © Operational Excellence Consulting. All rights reserved. 19 Re-process Audit § A Re-process Audit may be necessitated by any decrease in any of the measures of the supplier quality performance
  20. 20. © Operational Excellence Consulting. All rights reserved. END OF PREVIEW To download this presentation, please visit: www.oeconsulting.com.sg

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