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ManufacturingAudit Report

AI-QR-16-01A © 2017 AsiaInspection Limited. Page 1 of 36

Manufacturing Audit Report

Protocol Part AI No.: XXXXXXX

General Instructions for Audit for this Client:

General instruction for a MA: 1. The Auditor must understand that all parts of the Audit required by the client are equally important, and should never give priority to one part thereby neglecting another.

审查员必须明白客户所要求的所有审查工作同样很重要，不要因为优先考虑其中一部分而忽略其他部分的审查

工作。 2. The Auditor must keep in mind that, in order to find strategic information for the client; he/she must be incisive with his/her questions, succeeding in getting his own point of view across within the Audit, beyond the factory answers, on each and every point, and then express it in the Report.

切记为了帮助客户找出战略性信息，审查员提出的问题必须有针对性和敏锐性，这样才能够在审查过程中成功

得到一些工厂标准答案以外的观点。工厂所答的每一点都要详细记录并解释在报告上。

3. The Auditor must speak the local language fluently, and be able to understand very subtle points from all interviews performed during the Audit.

审查员必须会很流利的当地语言，并且要懂得在审查中全部的谈话所提及的小细节。 4. Scoring colour rules (out of 5):

分数颜色的规定：（5 分以下的） 5<Score<4 = Green 3.9<Score<2.5 = Orange Score<2.49 = Red Standard Audit Process: We remind you of the Audit steps you must follow: - Check the information given to you and ask if anything is missing / unclear - Prepare a checklist the day before the Audit - The day of the Audit, follow step by step the audit procedure given to you - After the Audit, return to your home or office as soon as possible, and input your report on the internet or intranet so we can quickly send it to the customer. We remind you that you are not allowed to accept gifts, meals or any other advance of expenses from the factory, and that any misconduct will be immediately and severely punished. Should you be offered any gifts, meals, or any advance of expenses from the factory, please report immediately to [email protected] or by phone to a manager: + 86 755 8231 6136. Should you have any questions, please feel free to call our Central Platform in Shenzhen at + 86 755 8231 6736 Coordination extension :105, Supervisor for Factory Audit extension : 126

We rely on you for a thorough inspection, and will remain available should you have any further questions or doubts.

Factory name {$$OCSupplier_Name} Factory details {$$OCSupplier_ContactPerson} {$$OCSupplier_TelNumber}

P.O. number Customer Service nb

{$$OCOrderNo}

Audit location {$$OCInspection_Location} Audit date {$$OCInspectionDate}

Auditor Customer

name

mailto:[email protected]



Important remarks

Content : PART 1 ..................................................................................................................................................................................................5 FACTORY PROFILE ....................................................................................................................................................................................5

Client AI Service No

Supplier Auditor

Factory Audit Date

Industry Country

General Overview of the Audit’s Findings

Fields Amount

Score Theoritical

max Score / 5 Weight / 5

Weighted Score

Work Flow and Organizational Charts /20

Production Lines - Capacity /40

Factory Facilities - Machinery Condition /40

Quality Assurance System /35

Hygiene - Security /90

Social Accountability /140

Supply Chain Management /10

R&D – Sampling Capacity /20

Environment /25

RoHS Standard /5

Special Feature 1:

Special feature 2:

Special feature 3:

Special feature 4:

Special feature 5:

Special feature 6:

Special feature 7:

Special feature 8:

Special feature 9:

General comments: Nil

Total

Overall Score /10

mauricen

Highlight

mauricen

Sticky Note

Theoretical



General Information ...................................................................................................................................................................... 5 Communication infrastructure ...................................................................................................................................................... 5 Products / Markets ........................................................................................................................................................................ 5 Recommendations / credentials .................................................................................................................................................... 6

PART 2 ..................................................................................................................................................................................................7 FACTORY ORGANIZATION AND PRODUCTION PROCESS ....................................................................................................................................7

Factory Organization chart ............................................................................................................................................................ 7 Production workflow chart ............................................................................................................................................................ 8

PART 3 ..................................................................................................................................................................................................9 PRODUCTION LINES / CAPACITY .................................................................................................................................................................9

Production area condition ........................................................................................................................................................... 10 PART 4 ................................................................................................................................................................................................12 FACTORY FACILITIES / MACHINERY CONDITIONS .........................................................................................................................................12

Machines for production ............................................................................................................................................................. 12 Machine Documentation ............................................................................................................................................................. 12 Warehouse/Factory condition ..................................................................................................................................................... 12 Sample room condition ............................................................................................................................................................... 13 Public power supply ..................................................................................................................................................................... 13 Shipment capabilities................................................................................................................................................................... 13

PART 5 ................................................................................................................................................................................................15 QUALITY ASSURANCE SYSTEM & RELATED CERTIFICATES ..............................................................................................................................15

Export license .............................................................................................................................................................................. 15 Quality system management ....................................................................................................................................................... 15 Quality system management ....................................................................................................................................................... 15

PART 6 ................................................................................................................................................................................................17 HYGIENE / SAFETY (OPTIONAL) ................................................................................................................................................................17

1. General.............................................................................................................................................................................. 17 1. Medical & Safety Care ....................................................................................................................................................... 17 2. Safety Document ............................................................................................................................................................... 18

PART 7 ................................................................................................................................................................................................20 SOCIAL ACCOUNTABILITY (OPTIONAL) .......................................................................................................................................................20

Preliminary / Document .............................................................................................................................................................. 20 1. Child Labour, Forced and Compulsory Labour: ................................................................................................................. 20 2. Working time: ................................................................................................................................................................... 21 3. Wages:............................................................................................................................................................................... 21 4. Discrimination ................................................................................................................................................................... 21 5. Disciplinary practices ........................................................................................................................................................ 22

PART 8 ................................................................................................................................................................................................25 SUPPLY CHAIN MANAGEMENT (OPTIONAL) ................................................................................................................................................25 PART 9 ................................................................................................................................................................................................26 R & D / SAMPLING CAPACITY (OPTIONAL) .................................................................................................................................................26

R & D facilities .............................................................................................................................................................................. 26 PART 10 .............................................................................................................................................................................................. 27 ENVIRONMENT (OPTIONAL) .................................................................................................................................................................... 27 PART 11 ..............................................................................................................................................................................................29 ROHS STANDARDS (OPTIONAL) ...............................................................................................................................................................29

Knowledge & Awareness ............................................................................................................................................................. 29 RoHS Products ............................................................................................................................................................................. 29 Management of RoHS and Non-RoHS Products & Components ................................................................................................. 29

PART 12 ..............................................................................................................................................................................................31 SPECIFIC INSTRUCTIONS FROM CLIENT (OPTIONAL) ......................................................................................................................................31

Specific Instructions ..................................................................................................................................................................... 31 PART 13 ..............................................................................................................................................................................................34 CORRECTIVE ACTION PLAN......................................................................................................................................................................34 PART 14 ..............................................................................................................................................................................................35 SYNOPSIS OF MAJOR FACTS AND PROBLEMS FOUND .....................................................................................................................................35

Capacity to manufacture client’s product: (Part 2 and 3) ............................................................................................................ 35



Production conditions: (Part 4 and 5) .......................................................................................................................................... 35 Social accountability conditions: (Part 7) .................................................................................................................................... 35 Factory behavior during Audit: .................................................................................................................................................... 35

Auditor: Supervisor:



Part 1 Factory profile

General Information 1 Date of foundation

2 Legal status

3 Location

4 GPS Location xx°xx'xx'' N/S xx°xx'xx'' E/W

5 Area

6 Number of employees Total Male Female

7 Breakdown of employees Managers Engineering Admin QA/QC Workers

8 Number of shifts

9 Factory owner

10 Factory manager

11 Main products

12 Main market

13 Business license Certificate No: Issued Date: Expiration Date:

14 Annual turnover for the past 3 years

2016 :

2015 :

2014 :

Communication infrastructure 15 Telephone

Fax

Homepage

Products / Markets Product type Major customer name Market location Monthly order qty

2014 2015 2016

Turnover

mauricen

Highlight

mauricen

Sticky Note

please replace the x's with #'s



Building:

Gate of Factory Factory exterior view

Factory exterior view Factory exterior view

Office Office

Business license

Production Lines:

Production line view Production line view



Managing staff:

Factory manager Sales

Name card of Factory management Name card of Sales

Workers Workers

Workers Workers

Recommendations / credentials Company name Country Contract Products Details (date…)



Part 2 Factory Organization and Production process

Factory Organization chart

Questions Findings/Comments Score

Does the factory have a clear Organization chart?

/5

Is it available for the entire employee? Do they all know the responsibilities of each other?

/5

Organization Chart



Production workflow chart


Does the factory have a written production Process?

/5

Is the production process followed? /5

Production workflow chart

Special Remarks on this section

Actual Score Theoretical Max

/20



Part 3 Production lines / Capacity

Daily output check :

Questions Findings/Comments

Is there a running production in the factory during the Audit?

START FINISH Total time

(indicate hour)

(indicate hour)

0

Raw material Raw material Consumption

0

Finished products Finished products Output

Pcs

Pcs

0

What is the overall capacity? Daily Weekly

What is the theoretical maximum capacity? Daily Weekly

Questions Findings / Comments Score Is the Production capacity sufficient to cover the potential client order?

/5

Pictures

Lead times for client’s production:

Questions Findings / Comments Score What is the raw material procurement time? Are records available? /5



Pictures

Production area condition

Questions Findings / Comments Score

Does the assembly line is tidy and organized? /5

Is the production area well enlightened? /5

Is the production area suitable; ventilated; cooled & heated?

/5

Are production lines laid out in an efficient manner?

/5

Does the production area have floor markings?

/5

Are corridors free from obstruction? /5

Pictures





/40



Part 4 Factory Facilities / Machinery Conditions

Machines for production

No. Type of Machinery

No. of machines Condition/

Service time

Maintenance / Calibration

record Score

Name Brand Country Yes No

Score (overall) /5

Machine Documentation

Questions Findings/Comments Score Does the factory have an equipment and machinery list?

/5

Do the machines have instructions? Procedure Manual? Available for workers?

/5

Pictures

Warehouse/Factory condition

Questions Findings/Comments Score Are the storerooms/warehouse tidy? Can it stock all the potential order?

/5

Estimated warehouse capacity:



Sample room condition

Questions Findings/Comments Score Does the factory have a sample room tidy? /5

Related pictures:

Warehouse / Sample room

Warehouse view Warehouse view

Sample room view Sample room view

Public power supply

Questions Findings/Comments Score Connected? /5

Does the factory employ an electrician with certificate?

/5

Frequent power outage in the area? Does the factory have backup electric power generator? (Ask several people: workers & management)

/5

Electric power generator count:

Picture(s)

Shipment capabilities

Questions Findings/Comments What are the Delivery / loading conditions?

How far is the nearest port / airport?

Picture(s) and Comment(s):





/40



Part 5 Quality Assurance System & Related Certificates

Export license Date of the license:

Comments:

Picture(s)

Quality system management


Does the management have an understanding of ISO 9001 or similar quality system? Certificate available?

/5

Picture(s)

Quality system management


Are clear instructions visible at all work stations? /5

Is QC staff fully independent of production staff? Does the QC manager have sufficient authority to stop production?

/5

Does the factory perform regular quality control at major production steps?

/5

Is there a documented calibration system for equipment?

/5

Is the QC staff qualified? /5

Are QC supervisors easily identified /5

Did the factory have had QC inspection by another company? Which one? When?

Record / reports available?

Picture(s)





/35



Part 6 Hygiene / Safety (optional)

1. General

Item Findings / Comments Score

Gen

eral

Clean drinking water accessible to all employees

/5

Grounds and facilities cleared of rubbish regularly

/5

Do you have the Hygiene Permit approved by local Bureau? And the kitchen workers’ health certificate.

/5

Adequate seating/tables and lighting provided during the lunch

/5

Is the dormitory clean? /5

Storage of hazardous chemicals: are they stored in an appropriate area?

/5

Exhaust fans kept clear of dust and debris

/5

Result Total found

Theoretical Max /35

Kitchen Dormitory

Hygiene Permit by local bureau Healthy Certificate of the workers in Canteen

Hazardous Goods & Chemicals Hazardous Goods & Chemicals

1. Medical & Safety Care


Med

ical

car

e

Accidents and injuries log (daily / detailed)

/5

Emergency equipments (first aid kit) and the certificates

/5

Medical service /5

Workers have appropriate fire protective equipment? (Fire extinguisher)

/5



Does the factory have protection facilities? (Fire Alarm, Hydrant)

/5

Register of training / Licence of training (obtained by the local hospital)

/5

Result Total found

Theoretical Max /30

First-aid kits First-aid ppl certificate

Fire Alarm Fire Extinguisher

Fire Extinguisher Fire Hydrant

Register of training Accidents and injuries log

2. Safety Document


Safe

ty D

ocu

men

t

Does the factory have Fire Prevention Verification Approval by local government?

/5

Does the factory have fire extinguisher maintenance record?

/5

Does the factory have fire drill records?

/5

Does the factory have fire and emergency evacuation plans available?

/5

Does the factory have safety certificate (elevator/boiler…)

/5

Result Total found

Theoretical Max /25

Fire Prevention Verification Approval by local government Maintenance Records

Fire Drill Records Fire Drill Records

Emergency plans Safety certificate (Elevator/Boiler…)





/90



Part 7 Social Accountability (optional)

Preliminary / Document


Do all the workers have a labor contract?

/5

Do all the workers have a social insurance included in their labor contract?

/5

Result Total found

Theoretical Max /10

Picture(s)

NB: If one item of this section is 0, the overall result of SA part will be 0

1. Child Labour, Forced and Compulsory Labour:


Ch

ild la

bo

ur

Minimum legal age

Workers under legal age /5

Forc

ed a

nd

com

pu

lso

ry la

bo

ur Prisoners at work: Forbidden

according to SA 8000 /5

ID Papers Deposit: Forbidden according to SA 8000

/5

Result Total found

Theoretical Max /15

Picture(s)




2. Working time:


Wo

rkin

g

tim

e

Local Standard

Factory working hours /5

Day off / Holiday /5

Work at night /5

Result Total found

Theoretical Max /15

Picture(s)


3. Wages:


Wag

es

Local Standard (See below for Local laws)*

Wages /5

Night work /5

Overtime /5

Disciplinary deductions /5

Sufficiency to meet basic need of workers and their families

/5

Result Total found

Theoretical Max /25

Picture(s)


4. Discrimination


Dis

crim

inat

i

on

Gender /5

Race /5

Age /5

National or social origin /5



Religion /5

Disability /5

Sexual orientation /5

Family responsibilities /5

Union membership /5

Political opinions /5

Result Total found

Theoretical Max /50

NB : If one item of this section is 0, the overall result of SA part will be 0

5. Disciplinary practices


Dis

cip

linar

y

pra

ctic

es Sexual harassment /5

Corporal punishment /5

Mental coercion /5

Physical coercion /5

Verbal abuses /5

Result Total found

Theoretical Max /25

Picture(s)


First worker

Questions Results Comments General

1 Name of the employee :

2 Documented age and sex (according to ID / Photo )

3 Name of the Company/Factory you work for?

4 How long have you worked here? Are you satisfied with your job?

5 What specific manufacture process/component are you working on? What is your job?

SAFETY

6 Have you had first aid training? Yes / No Frequency:

7 Does the factory provide Personal Protective Equipment to all employees?

Yes / No

What kind of?



8 Have all employees been trained in case of fire emergency?

Yes / No

Frequency:

CHILD LABOUR

9 Have you seen children at work in the factory? Yes / No

FORCED LABOUR

10 Have you seen prisoners at work in the factory? Yes / No

11 Have you seen people asked to deposit their ID paper to work?

Yes / No

12 Are employees allowed to assemble in order to bargain with management?

Yes / No

DISCIPLINARY PRACTICES

13 Are some employees sexually threatened by people from the factory?

Yes / No

14 Are there employees that are physically punished in case of mistakes?

Yes / No

ASSOCIATION

15 Are the employees able to create or join any union as they want?

Yes / No

16 Does the factory let you play games or practise sport? Yes / No

17 Does a Suggestion Box exist for employees to give anonymous messages to the manager?

Yes / No

DISCRIMINATION

18 Does the factory use pregnancy test as a condition of hiring?

Yes / No

19 Does a difference of wages exist between men and women?

Yes / No

WAGES

20 Are employees able to meet their basic needs with their wages?

Yes / No

HOURS OF WORK

21 Have you ever worked during 7 days without interruption?

Yes / No

Result





/140



Part 8 Supply Chain Management (optional)

Raw materials Questions Findings/Comments Score Is the factory able to provide data about supplier? Does the factory control them?

/5

Who are the suppliers of raw materials and components?

Material Supplier name Country of origin / location

Sub-contracting Questions Findings/Comments Score Is the factory able to provide data about sub-contractors? Does the factory control them?

/5

Which part of the production process is outsourced?

Production step (ex: packaging) Supplier name Country of origin / location



/10



Part 9 R & D / Sampling capacity (optional)

R & D facilities


Does the factory have a R&D Department?

/5

What is the sample production process?

/5

Does the factory have special facilities? (sample production line or equipment)

/5

What is the approval sample lead time?

/5

Picture(s)



/20



Part 10 Environment (optional)

Item Findings Comments / Justifications Score

Envi

ron

men

t

Is waste management arranged in a way that does not lead to pollution of the environment?

/5

Are chemicals properly and separately disposed off?

/5

Is it ensured that chemicals do not leak into the ground?

/5

Is effluent treated to prevent environmental pollution?

/5

Are emissions in legal conformity? /5

Result Total found

Theoretical Max 25

要求审核指南（报告发给客户之间，请将此处黄底红字删除） Is waste management arranged in a way that does not lead to pollution of the environment?

1. 先看查阅工厂的环评报告书，了解工厂都有哪些环境因素。

2. 询问工厂如何确保不会污染环境？

3. 此处的污染是指针工厂的一切活动所产生的水气声渣？

Are chemicals properly and separately disposed off?

1. 使用到的化学有没有适当地/分开处理？

2. 所有危化品必须要有

Material Safety Data Sheet（即化学品安全说明书） Is it ensured that chemicals do not leak into the ground?

1. 有没有确保危化品不会渗露到地面？即使用现场和危化品仓有

没有设置二次容器以防泄露？

2. 所有危险废物是如何处理的？必须要由有资质的第三方来统一

收集处理。

Is effluent treated to prevent environmental pollution?

1. 污水有没有经过处理以防止环境污染？

Are emissions in legal conformity? 1. 所有排出物是否合法？比如有否排污许可证。

备注：关于环境项目的审核，通常会看是哪些行业。如果某些工厂会产生许多的废水、废气及噪声的话，当然政府也

会对其有要求的。

对于一些低污染的企业，工厂自发地管理就够了。至于评分事项，请按列出的指南一一权衡。

Picture(s)





/25



Part 11 RoHS Standards (optional)

Knowledge & Awareness

Is the factory aware of the RoHS regulation?

Who is in charge of implementing RoHS standards in the Factory?

Name Position

RoHS Products Has the factory already produced RoHS products?

Name & description of the products:

List of certificates available (Including name & details of Certifying Company + scans)

Picture(s) Comments:

Is there a running RoHS production in the factory during the Audit?

Description of the products:

Management of RoHS and Non-RoHS Products & Components

Are the RoHS and Non-RoHS products separated?


Components


Finished products


On the Production line


Additional Comments:





/5



Part 12 Specific Instructions from Client (optional)

Specific Instructions

1. {$$OCInstruction_1}





Score :

Score :

Score :

Score :







Score :

Score :

Score :

Score :

Score :



General Comments



Part 13 Corrective Action Plan

No. Findings / Violations Corrective action Target completion

date

1

2

3

4

5

6

7

8

9

10

11

12

13

Factory Stamp & Site Representative Signature: Auditor Signature:

Date: Date:

Client AI Service No

Supplier Auditor

Factory Audit Date

Industry Country

Audit Type



Part 14 Synopsis of major facts and problems found

Capacity to manufacture client’s product: (Part 2 and 3)

Very bad Bad Average Good Very good

Comments:

Production conditions: (Part 4 and 5) Very bad Bad Average Good Very good

Comments:

Social accountability conditions: (Part 7)


Comments:

Factory behavior during Audit:


Comments:



IMPORTANT NOTES THE ABOVE RESULT(S) REFLECT(S) ASIAINSPECTION LIMITED’S FINDINGS AT THE TIME AND PLACE OF AUDIT. WITH REGARD TO THE RANDOM SAMPLE CHARACTER OF THE AUDIT, IT SHOULD BE NOTED THAT ADDITIONAL NONCONFORMITIES MAY EXIST, WHICH WERE NOT FOUND DURING THE AUDIT. THE AUDITOR'S FINDINGS DO NOT RELIEVE THE AUDITEE OF ITS RESPONSIBILITY TO ENSURE THAT THE REQUIREMENTS OF THE STANDARD ARE FULFILLED AND CONSTANTLY ADHERED TO.

Factory Disclaimer

Original signature of the Factory Representative accepting AsiaInspection policy including bribery issues.

Confirmation of Compliance with AI Code of Conduct

Original signature of the Factory Representative confirming that auditor respected AI Code of Conduct.

Corrective Action Plan

Original signature of the Factory Representative agreeing with the Audit Findings and Corrective Action Plan defined.

END

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