Supplier archive audit checklist
Use this checklist after building a supplier evidence archive index. It turns the archive from a passive folder map into an auditable control: reviewers can confirm whether status, commercial baseline, quality records, claims and next-order limits are actually findable before approving a supplier move.
Trigger events
- Quarterly category-owner review or monthly restricted-supplier review.
- Buyer handoff, supplier normalization, restriction removal, controlled repeat-order approval or dispute closure.
- Any supplier with open claim value, pending replacement goods, warranty obligation, payment reserve or exception approval.
- Any supplier archive that has not been reviewed since the last PO, shipment release or settlement memo.
Pass rule
An archive passes only when a reviewer can find the current supplier status, latest decision note, active obligations, claim treatment, shipment evidence and next-order guardrails within five minutes. If one layer is missing, the supplier remains under watch until the archive row is corrected.
Audit checklist
| Audit area | Evidence to check | Result |
|---|---|---|
| Status clarity | Latest decision note names the supplier as normal, watch, cap, hold, recovery, restricted or exit, with owner and date. | Pass / fix owner / block status change |
| Commercial baseline | Contract, quotation, PO, payment terms, specification, sample approval and approved changes are linked from one row. | Pass / missing baseline / mismatch found |
| Shipment and quality trail | Inspection reports, defect photos, release checklist, packing list, invoice and arrival discrepancy records are findable. | Pass / incomplete trail / open issue |
| Claims and obligations | Claim tracker, settlement memo, recovery calendar, warranty handover, credit note, reserve or replacement proof is current. | Pass / unresolved obligation / escalation needed |
| Next-order controls | Restriction register, repeat-order matrix, recovery dashboard, exception log and relapse triggers are copied into the next approval note. | Pass / guardrails missing / approval blocked |
Copy-ready audit note
“Archive audit for [supplier] completed on [date]. Current status: [status]. Missing evidence: [none/list]. Open obligations: [none/list]. Next-order guardrails: [controls]. Decision: [pass / correct archive before approval / keep watch / escalate]. Owner: [person].”
Red flags
- The archive has files but no latest-status row.
- The buyer can find invoices but not inspection, claim or warranty evidence.
- Settlement promises exist in chat only and are not linked to value treatment.
- Exception approvals have no expiry date or rollback trigger.
- The next PO can be released without referencing the archive.
Connected workflow
This audit checklist is the review layer above the supplier evidence archive index. Use the index to define what must exist; use this audit to prove that the evidence is findable before category-owner review, buyer handoff or repeat-order release.
Connected tools: supplier buyer handoff checklist, restricted supplier review cadence, repeat-order approval matrix, and supplier next-order restriction register.