Types of factory audit
“Factory audit” covers several different reviews, and a report from one type says little about the others.
| Type | What it checks | Typical use |
|---|---|---|
| Capability or technical audit | Equipment, processes, engineering and test for your kind of product | Before selecting a supplier |
| Quality system audit | Documented quality management, often against ISO 9001 | Supplier approval and periodic review |
| Process audit | Whether a specific line runs as documented for your product | Before and during production |
| Social compliance audit | Labor, health and safety and ethics, under schemes such as SMETA, amfori BSCI or the RBA code in electronics | Required by many brands and retailers |
| Environmental or security audit | Environmental permits and controls, supply chain security | As customers or markets require |
Audits are also described by who performs them: first-party (the factory audits itself), second-party (a customer or its representative audits the supplier) and third-party (an independent body, such as a certification auditor).
Preparing an audit
An audit is only as useful as its scope. Before the visit:
- Decide what the audit must answer for this product, for example whether the factory can control a fine-pitch BGA process or seal an enclosure to the required rating.
- List the processes and records you will want to see, and ask for the engineers who own them to be available.
- Ask for the line to be running, ideally on a product similar to yours.
- Agree the language: who will interpret, and which documents need translation.
What a technical audit for electronics should check
The full list is in the electronics factory audit checklist. The main areas:
- Legal entity. That the company on the business license and certificates is the one you will contract with, and that it owns or controls the site.
- Incoming quality. IQC procedures, component storage, handling of moisture-sensitive parts, records of rejected lots.
- ESD control. Grounded workstations, wrist strap and footwear checks with logs, ESD-safe packaging.
- SMT process control. Stencil and solder paste management, solder paste inspection, a recorded reflow profile for each product, AOI and X-ray where the design needs it.
- Test. ICT and FCT coverage, fixture maintenance, how failures are logged and reworked.
- Traceability. Whether a finished unit can be traced to component lots, process data and test results.
- Change control and corrective action. How changes are approved and problems fixed, with recent examples. See CAPA.
- Calibration and maintenance. Records for measuring equipment, testers and production machines.
- Engineering and capacity. Who would support your product, real available capacity, and which processes go to subcontractors.
An on-site technical audit of one facility commonly takes one to two days, depending on scope and product complexity.
Getting evidence rather than claims
- Ask for completed records from products in production, not blank forms.
- Pick a finished unit or a recent lot and trace it backwards through the records.
- Walk the line while it is running, not during a pause arranged for the visit.
- Verify certificates with the issuing body. Many accredited certificates can be checked in the body’s own register or the IAF CertSearch database.
- Check whether the products in the showroom were made on site, or by a sister factory or subcontractor.
Red flags
- The company presenting itself as the factory is a trading company, or the certificates are in another company’s name
- Procedures exist but records are missing, incomplete or suspiciously tidy
- Rework stations without controls or records
- ESD controls that are visible but never checked
- Key processes subcontracted without the subcontractor being named
- Reluctance to show parts of the production floor
Reading the report
A good report grades findings, commonly as major, minor or observation, and records the evidence for each. A single score is not enough: a factory can score well overall and still fail on the one process your product depends on. Agree a corrective action plan with dates, and verify that findings are closed.
The audit is one input to supplier qualification, alongside samples, quotes and references.
Where Zefinity helps
Factory audits and supplier qualification are part of Zefinity’s Connect service.
Frequently asked questions
What is the difference between a factory audit and a product inspection?
A factory audit looks at the manufacturer: its processes, controls, records and capability, usually before or during the relationship. A product inspection looks at goods: a sample from a production lot, often checked against an AQL sampling plan before shipment. An audit tells you whether the factory should be able to make good product; an inspection tells you whether a given lot is good.
Is an ISO 9001 certificate enough?
No. ISO 9001 shows that a quality management system was assessed by a certification body against a general standard. It does not show that the factory can make your product, that the certificate covers the site and activities you care about, or that the system works in practice. Verify the certificate with the issuer, then audit the processes your product depends on.
Should a factory audit be announced or unannounced?
Technical and process audits are usually announced, because you need the right engineers present and the line running. Social compliance audits are sometimes semi-announced or unannounced to reduce staging. An announced audit can still reveal a lot if you choose which records to trace on the day, rather than reviewing the ones prepared for you.