China Supplier Audit Checklist (Free, PDF/Excel)

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16 critical items still open - these are the highest-risk gaps.

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Legal status and capacity

Business license is current and the scope of business covers the products you buyCRITICALLegal entity name and unified social credit code match the contract and the fapiao issuerCRITICALFactory address visited is the address on the license and the contractCRITICALOwned versus rented premises and lease term are documentedNumber of employees, shifts and line count match what the supplier declared in the questionnaireCapacity claimed is credible against equipment count and observed utilisationNo sign of unrelated products or other customers' branded goods that suggest a trading company posing as a factory

Quality management system

ISO 9001 certificate valid, issued by an accredited body, with scope covering your productCRITICALIndustry certificates in force where required (IATF 16949, ISO 13485, AS9100, UL)Documented incoming inspection with records of rejected lotsCRITICALIn-process inspection points and control plan exist at the lineCRITICALFinal inspection uses a sampling plan (for example ANSI/ASQ Z1.4) with signed recordsGauges and test equipment are calibrated with stickers and certificates in dateCRITICALNonconforming material is tagged and segregated, with a clear disposition processLot and batch traceability is demonstrated from finished goods back to raw materialCRITICALCorrective action process (8D or equivalent) with closed examples

Production and equipment

Equipment list matches what is on the floor and is maintained with a PM scheduleWork instructions are posted at stations and match the current revisionCRITICALEngineering change control exists and the line runs the approved drawing revisionCRITICALFirst article approval is done and recorded for new part numbers or tooling changesMaterials are stored with FIFO, labelling and humidity or ESD control where neededTooling and molds are tagged, stored and show ownership marking if you own themPacking and shipping process protects the product and uses the agreed labels

Labor, safety and environment

No evidence of underage workers; age records are checked for a sample of staffCRITICALWorking hours and overtime records are consistent with local law and your code of conductCRITICALWage records and social insurance payments are available for reviewFire exits are unlocked and clear, extinguishers in date, evacuation plan postedCRITICALMachine guarding, protective equipment and chemical storage meet basic safety practiceEnvironmental permits (for example discharge permits) are valid where the process requires themCRITICALDormitory and canteen conditions, if provided, are safe and hygienic

IP, data and subcontracting

Signed NDA or confidentiality terms are in place and staff access to drawings is controlledCRITICALYour drawings and tooling are not used for other customers' ordersSubcontractors are declared; critical processes are not outsourced without your approvalCRITICALSub-supplier list and approved sources for critical materials are documentedRestricted substance compliance (RoHS, REACH) is supported by declarations and test reportsBusiness continuity: backup supplier or stock policy for critical materials exists

Count ticked items per group and overall. Any untick on a critical item is a finding to record, even when the overall percentage looks acceptable. Record evidence (photo, document number, sample) next to each finding.

Supplier approval workflow in your ERP

Optional: a walk-through of how to hold audit status and expiry dates on the supplier record and block expired suppliers.

Optional. The tool and every export work without this. No spam.

How to run the audit

Send the checklist and document request list a week before the visit so the supplier can prepare records. On the day, walk the process in order: receiving, warehouse, production, inspection, packing. Ask to see live records, not only prepared files, and take a sample of lot numbers to trace backward. Tick items you verify, note evidence and mark critical items you could not verify as findings. Export the result to PDF or Excel and send findings to the supplier with a due date for corrective action.

What is behind the sections

The structure follows a typical second-party audit: legal identity, quality system (ISO 9001 clause themes such as control of nonconforming output and monitoring resources), process control, social and safety compliance, and supply chain risk. It does not replace a formal certification audit and it does not quote standard text. For regulated industries add the customer-specific requirements, such as IATF 16949 customer-specific rules or AS9100 flow-down clauses.

Reading the result

Do not average everything into one number. A supplier at 85% overall with an open fire-exit or child labour finding is not acceptable. Use the critical items as a gate, then use the percentage by group to decide the type of follow up. Low quality-system scores point to a development plan, low IP scores point to contract and access controls, and low legal scores point to a different supplier altogether.

All critical items ticked: eligible for approval, subject to any non-critical actions
One to three critical misses: conditional approval with a dated corrective plan
More than three critical misses: do not approve until re-audited

Common audit mistakes

Frequent errors are auditing the showroom instead of the production floor, announcing the date so far in advance that the factory is staged, relying on a translator provided by the supplier, and failing to follow up. Also confirm who owns the audit record in your ERP. Store audit status, date and next due date on the supplier master so purchasing is blocked or warned when approval lapses.

Frequently Asked Questions

How often should I audit a China supplier?

Frequency should follow risk. New suppliers are audited before approval. Critical or high-spend suppliers are commonly re-audited yearly, lower-risk suppliers every two or three years, and any supplier with repeated quality escapes sooner. Document the interval in your supplier management procedure.

How do I tell if the supplier is a trading company?

Check that the business license scope includes manufacturing, the visited site has production equipment, raw material storage and routing records, and the factory name matches the license and fapiao issuer. Trading companies often cannot show process records or tooling.

Should the audit be announced or unannounced?

Initial qualification audits are normally announced so the right people and records are available. For ongoing monitoring, consider short-notice or unannounced follow up visits for high-risk suppliers, particularly for labor and subcontracting topics, subject to contract terms.

Can I use this for a third-party audit company?

Yes, you can give it to a third-party inspection firm as the scope of work and request a completed copy with photos. Make sure the auditor is qualified for your industry and that you still review the critical findings yourself.

If audit status and expiry dates are tracked in spreadsheets, Netray can help link supplier approval status to purchasing in your ERP so expired suppliers are flagged automatically.

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