SUPPLY CHAIN VENDOR COMPLIANCE & AUDIT SURVEY CHECKLIST 2026

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--- VENDOR PROFILE & BUSINESS INFORMATION ---
[ ] Legal Company Name
[ ] Primary Contact Person
[ ] Contact Email Address
[ ] Years in Operation
[ ] Company Business Type (Manufacturer, Wholesaler, Distributor, Service Provider)
[ ] Headquarters Address
[ ] Business Registration Certificate
[ ] Brief Company Overview

--- REGULATORY & LEGAL COMPLIANCE ---
[ ] Business Registration Status (Active, Pending, Expired, Not Applicable)
[ ] Business License Expiration Date
[ ] Required Compliance Certifications Held (ISO 9001, ISO 14001, GDPR Compliance, SOC2 Type II, FDA Approved)
[ ] Upload Business License Copy
[ ] Regulatory Non-Compliance History
[ ] Compliance Officer Attestation

--- QUALITY MANAGEMENT SYSTEMS (QMS) ---
[ ] ISO Certification Status (ISO 9001 Certified, ISO 14001 Certified, Other Industry Specific Certification, Not Certified)
[ ] Quality Control Methods Used (Statistical Process Control (SPC), Incoming Material Inspection, In-Process Testing, Final Product Audit, Automated Optical Inspection (AOI))
[ ] Defect Rate (PPM)
[ ] Last Internal Audit Date
[ ] Quality Manual Upload
[ ] Non-Conformance Handling Process

--- ETHICAL LABOR & HUMAN RIGHTS STANDARDS ---
[ ] Does the vendor provide proof of legal minimum wage compliance? (Yes, No, In Progress/Under Review)
[ ] Which labor standard certifications does the vendor currently hold? (SA8000, SEDEX/SMETA, Fair Trade Certified, ISO 45001, None)
[ ] Describe the vendor's policy on preventing forced labor and human trafficking within their sub-tier suppliers.
[ ] Upload Labor Policy and Code of Conduct Documentation
[ ] Total number of employees covered under the current safety audit
[ ] Date of last internal labor rights audit conducted

--- ENVIRONMENTAL & SUSTAINABILITY IMPACT ---
[ ] Environmental Certifications Held (ISO 14001, LEED Certified, EcoVadis Score, None)
[ ] Waste Management Practices (Recycling Programs, Composting, Hazardous Waste Disposal, Zero Waste to Landfill Initiative)
[ ] Annual Carbon Emissions (Metric Tons CO2e)
[ ] Sustainability Policy Summary
[ ] Upload Sustainability Audit Report
[ ] Last Environmental Impact Assessment Date

--- SUPPLY CHAIN SECURITY & RISK MANAGEMENT ---
[ ] Facility Security Level Rating (Low Risk, Medium Risk, High Risk)
[ ] Security Measures in Place (CCTV Surveillance, Access Control Systems, 24/7 Security Guard Presence, Cybersecurity Firewalls, Background Checks for Personnel)
[ ] Last Security Audit Date
[ ] Business Continuity Plan Overview
[ ] Upload Security Certification/ISO Documents
[ ] Number of Security Incidents in Last 12 Months
[ ] Auditor Verification Signature

--- LOGISTICS & DELIVERY PERFORMANCE ---
[ ] Average Order Lead Time (< 5 Days, 5-10 Days, 11-20 Days, > 20 Days)
[ ] Order Accuracy Rate (%)
[ ] Common Delivery Discrepancies Observed (Damaged Goods, Missing Items, Incorrect Documentation, Late Delivery, Packaging Failure)
[ ] Description of Logistics Bottlenecks
[ ] Proof of Delivery (POD) Samples
[ ] Last Audit Completion Date

--- FINANCIAL STABILITY & RISK ASSESSMENT ---
[ ] Annual Revenue (Last Fiscal Year)
[ ] Current Debt-to-Equity Ratio
[ ] Credit Rating Assessment (AAA - AA (High), A - BBB (Medium), BB - B (Low), Below B (High Risk))
[ ] Available Financial Audits Provided (Audited Balance Sheet, Profit & Loss Statement, Cash Flow Statement, Tax Clearance Certificate)
[ ] Upload Most Recent Audited Financial Report
[ ] Date of Last Financial Audit
[ ] Financial Officer Attestation

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