Suggested Audit check list

1. Understanding The Buyers Requirements

Is there a clear list of all desired characteristics of a product, before production

starts?

Is it clearly specified in which manner each requirement should be

measured/tested?

Are conform samples available to workers in production and QC areas? How

accessible are these samples (photo on production line, sample in hands of QC
staff)?

2. Suppliers of Materials / Components

How does the factory evaluate and select material suppliers?

Is there a list of approved suppliers?

How does the factory communicate requirements to its material suppliers? Is it

done properly and accurately?

3. Incoming Quality Control (IQC)

What are the steps followed by the factory when it receives raw materials /
components from its suppliers?

How are materials / components checked against the factorys specifications?

Is any on-site test performed upon reception? Which one(s)?

Do they send samples for tests in external laboratories? How often and for what
tests?

How are materials / components stored?

Describe the location (inside/outside/covered) and the way the materials are
stored (in bulk/on racks).

Are materials / components correctly identified? How (sticker/barcode/tag)?

Is the information easily accessible?

Is there a First-In, First-Out (FIFO) system? Or any other stock management

system?

Are there QC staff solely dedicated to Incoming QC (IQC)? How many?

Are QC results recorded in a formal report?

4. Organization Of In-House Production

Are clear procedures given to each operator, for each job / task (including the QC
staff)?

How does the factory verify that each production process is conducted in a
satisfactory manner?

How are work-in-process products stored? Are they protected and kept clean?

Are production lots properly identified and traceable throughout the production
processes?

Does the factory accept to do pilot runs (very small quantities) for the products it
makes for the first time?

5. In-Process Quality Control (IPQC)

What are the control steps during production?

What proportion of products is checked?

What does the factory do with the data collected (corrective / preventive actions
plans)?

What happens to defective products? (repaired / recycled / scrapped)

Are there QC staff solely dedicated to In-Process QC (IPQC)? How many?

Are QC results recorded in a formal report?

6. Subcontracted production

Are materials/components delivered directly to subcontractors? Are they

checked?

How does the factory control the work of its subcontractor(s)?

When do they check the subcontractors operations?

Are QC findings recorded in in a formal report?

7. Final Quality Control (FQC)

How are finished products stored?

Does Final QC occur before or after packing is completed?

What proportion of products is checked?

How are inspected samples taken from production line? (by lot, randomly)

If the final inspection based on random checking: It is based on which inspection

level, and on which AQL level?

What happens when non-conformities are detected?

Are there QC staff solely dedicated to Final QC (FQC)? How many?

Are QC results recorded in a formal report?

8. Instruments & Machines

How does the factory ensure that measuring instruments are available and
correctly used?

Are testing instruments regularly calibrated?

How often are production machines maintained?

Are maintenance records available?

9. Prevention Of Problems

What is the process in case an issue is noticed during the preparation of

samples?

What is the process in case an issue is noticed during bulk production?

Does the factory determine the root causes of non-conformities?

What actions are put in place so that they dont occur again?

Do they determine potential non-conformities and take preventive actions?

Important note: this is not the checklist followed when a manufacturer wants to be ISO
9001 certified (which does not mean much in countries like China). This is the checklist
our auditors follow when they help an importer evaluate the reliability of a potential
supplier.