Example Report - Pro QC International

1 ISO 14001 Audit Report * Example Report * North America +1-813-252-4770 Latin America +52-1-333-2010712 Europe & Middle-East +49-8122-552 9590 Asia & Asia Pacific +886-2-2832-2990 Email 8 PURPOSE: Audit scores are rarely understood outside of the organization or the auditing company. This audit is based upon defined criteria for each element audited. Scoring is based upon the supplier's ability to meet the requirements. The audit focuses on factors which would result in increased costs or financial loss to the client due to poor performance by the supplier. The intent of the audit based on the requirements of ISO14001 is to provide an assessment for making sourcing decisions and reducing associated :ISO 14001 Environmental System are assigned based on what is done for the Pro QC client regardless of what is done for other clients. For Example , if control plans are developed for other clients but not for the Pro QC client, the score must be NC.

2 Scoring must be explained to the supplier at the opening with the Requirements = CImprovement Needed = INon-Conformance Found = NCN/A = Does Not Apply GUIDELINE FOR SCORING CONFORMANCE:Each question is assessed for conformance to the requirements of ISO 14001, and the auditors knowledge of the product and/or process This must be clear to the supplier at the opening with Requirements = - Has objective evidence to support the question, and - Has a written procedure (when required).Improvement Needed = - Has objective evidence, but procedure needs improvement. - Has objective evidence, but no written procedure. - Has written procedure, but is lacking some objective evidence to support the = - No objective evidence to support the question (regardless of the procedure). - Lacking some objective evidence and no written auditor should review the audit results with the supplier, but cannot provide the supplier a copy of the audit.

3 The audit is the property of the client. CORRECTIVE ACTIONS:It is recommended that the client request a corrective action (improvement plan) based on the results of the audit. The improvement plan should include the following: - Detailed description of action plan. - Name of the person responsible for the improvement activity. - Date when the improvement will be : (Automatically Calculated)The score is based on the percent of questions that Complies with Requirements, percent that Needs Improvement, and the percent that have a Non-Conformance. Each client should review how the supplier was evaluated for each question and base their decisions on factors that are important to their organization and product(s). AUDIT Report :The following sections are completed by the auditor: - Scope of the Audit - Recommendations - Strengths of the Supplier's Quality System and Manufacturing Process - Opportunities for Improvement (Weaknesses in the Supplier's Quality System and/or Manufacturing Process)RESULTS REVIEW WITH SUPPLIER:XDoes the factory have Product Recall Insurance?

4 XXXXXXXX Factory Profile SupplierAssessment DateXX/XX/XXXXR eport NumberVI00066619 HSales Department releases PO and product document-production discussion meeting-PMC arrange production schedule-raw material purchasing-packing material purchasing-production sample to customer for approval-start production and quality control after .getting approval-second process-QA-shipping to the production process flow: Plastic Mould :30~35 days Plastic Part 20 days16800 KWhat is the factory's average lead time from PO placement to delivery of production parts?How many production lines are in the factory?100%2000K2000K100%1800K1800K100% 100%1500K1500K100%5000K5000K7488K7488K10 0%XXXXXXXV alid toannounciator plastic cover% CapacityUnits ShippedTotal CapacityXXXXXXXXX/XX/XXXX8800 State OwnedPublic CompanyXXXXXXXF actory Name:Phone Number:Year EstablishedTotal Production Area M 2 Factory Address:XXXXXXXP roducts and Capacity16800 Kdigital photo frameValid toE-mail Factory Address:XXXXXXX300415 Dormitory Capacity (Beds)No of Employees living on site(Annual Basis)Name of Corporate RepresentativeXXXXXXXXV alid toDoes the factory have Product Liability Insurance?

5 Othersprinter componentoutdoor motor toolProduct Description / CategoryGPS MP3 MP4XX/XX/XXXXYESR egistration NumberDoes the factory have a valid business license for the products they produce?E-MailOwners:Factory InformationLegal DescriptionJoint VentureType of Ownership:Private OwnedXXXXXXXXXXXXXXFax NumberXXXXXXXXXXXXXXO wners:Owners:Owners:E-MailE-MailE-Mail XXXXXXXX Factory Profile SupplierAssessment DateXX/XX/XXXXR eport NumberVI00066619 HXDose the factory have all of the necessary gages to inspect the part/product?Does the factory have all of the necessary test equipment for the part/product?Sales ManagerYe sYe sYe sYe s5 yearsprinter componentPhoneISO9001:2008 Years with CompanyXXXXXXXXXXXX loudspeaker plastic Clients (Past Year) motor tooldigital photo America16800 KAsiaannounciator plastic of Business% of Total Business / North AmericaXXXXXXXXXXXXXXE uropean Union5000 KUnits Exported MarketsMarketsQuality ManagerXXXXXXXXXXXXXXXXXXXXXKey PersonnelGeneral ManagerEngineer Manager5years5years3yearsNameHealth & Safety Manager5 years5years5 years5yearsYears in PositionXXXXXXXR&D ManagerProduction Manager3years3yearsXXXXXXX3 years3 years5 years5 yearsGeneral Office StaffPurchasingEquipment Maintenance MgrXXXXXXX5 years5 yearsYe sEngineeringQualityFull TimePart TimeYe sYe sEmployee InformationManagement/AdministrationTota lYe sYe s0Ye sYe sDoes the factory have ISO or other accreditation?

6 Are inspectors independent of Production?How many QC Inspectors?Is quality monitored at all operations?Sales and MarketingProductionQuality Management22 XXXXXXXX Factory Profile SupplierAssessment DateXX/XX/XXXXR eport NumberVI00066619 HList of Major Machines / Equipment:(Sub-contractors of processes; ex: painting, plating, machining, etc)5okList of Gages and Test Equipment:Type of GageAccuracyQuantityYearLocationList of Sub-Contractors:okWire machines460 Ton11okInjection machines450 Ton15okInjection machines360 Ton15okInjection machines300 Ton15okInjection machines280 Ton65okInjection machines240 Ton85150 Ton45 Injection machines180 Ton65okInjection machines85 Ton65 Injection machines110 Ton175 Injection machinesCondition1okokokMachineQuantityY earConditionNameProcessProfile ProjectorModelReport NumberVI00066619 HSummary/Recommendation:Supplier NameAudit DateScope of Audit:To evaluate the environmental management system of the facility associated with conducting business with this REPORT1.

7 ISO9001:2008 certified by SGSThe waste materials were collected and sold to a recycling company. There are fire extinguishers distributed in the has not established an ISO14001:2004 Environment Management does not Plan, Do, Check, Act on EMS, even through they have it supplier has a method to prevent pollution of RoHS compliant procedures are documented, but the procedures are not :2. Quick responseOpportunities for Improvement:XXXXXXX does not fully consider the environmental impacts occurring from manufacturing and service activities. SUPPLIERSURVEY DATE:ADDRESSR eport No:City / of the Audit:No. Quest21393 AUDIT RESULTPRO QC PERSONNEL PARTICIPATINGXXXXXXXA uditorEnvironmental Management System (ISO14001:2004)XXXXXXXXXXXXXXS alesXXXXXXXXXXXXXXSUPPLIER'S PERSONNEL PARTICIPATINGM anufacturing DirectorISO 14001 AUDIT SUMMARY VI00066619 HXX/ with the requirementImprovement neededNon-conformances with the requirement Improvement needed Non-conformances found is not established is not established the organization facilitated planning, control, monitoring preventive and corrective actions, auditing and review activities to ensure both that the policy complies with and that the environmental management system remains appropriate?

8 Has the organization is capable of adapting to changes in circumstances? Has the organization Identified applicable legal requirements and other requirements to which it subscribes?Is the policy defined appropriate to the nature, scale and environmental impacts of its activities, products or services?ENVIRONMENTAL POLICYIs the defined policy Includes a commitment to continual improvement and prevention of pollution?Has the organization established a structure and program(s) to implement the policy and achieve objectives and meet targets? Report NumberHas the organization identified priorities and set appropriate environmental objectives and targets?Has the organization established, documented, implemented, maintained and continually improved an EMS in accordance with requirements of ISO 14001:2004? Has it determined how it will fulfill these requirements? Has the organization identified the environmental aspects arising from its past, existing or planned activities, products and services, in order to determine the environmental impacts of significance?

9 Has the organization established an appropriate environmental policy?Supplier NameXXXXXXXxx/xx/xxxxAudit Date AUDIT CHECKLISTVI00066619 HGENERAL REQUIREMENTSQUALITY MANAGEMENT SYSTEMQUESTIONNAIRESHas the organization determined, defined and documented the scope of its EMS?Has the organization's top management defined the organization's environmental policy, and been approved by the organization's top managementEVIDENCESSCORINGR eport NumberSupplier NameXXXXXXXxx/xx/xxxxAudit Date AUDIT aNo legal and other requirement were identified except RoHS directive. The supplier has Preventing Pollution of RoHS Compliance Material Operation Instruction( ).IbNo legal or other requirement was identified except RoHS legal or other requirement was identified except RoHS legal or other requirement was identified except RoHS any legal and other requirement was identified except RoHS environmental objectives and targets have been environmental objectives and targets have been any legal and other requirement was identified except RoHS directive.

10 The supplier has Preventing Pollution of RoHS Compliance Material Operation Instruction( ).IdNo environmental objectives and targets have been , TARGETS AND PROGRAMSHas the organization established, implemented and maintained a procedure(s) to determine how these requirements apply to its environmental aspects?Are objectives and targets measurable, where practical, and consistent with the environmental policy, including commitments to prevention of pollution, compliance with applicable legal requirements and other requirements to which the organization subscribes, and continual improvement?Has the organization taken into account the legal requirements and other requirements to which it subscribes and its significant environmental aspects? Has it also considered its technological options, its financial, operational and business requirements, and the views of interested parties?Has the organization ensured that these applicable legal requirements and other requirements to which it subscribes are taken into account in establishing, implementing and maintaining its EMS?