CANTON BUYING DESK 工厂核验 · 现场评估签发件
Factory Audit · On-Site Assessment Issuance

工厂合规与系统评估审核表
Factory Compliance & System Assessment Audit Checklist

依据标准 / Applicable Standards: QMS (Quality Management System), CoC (Code of Conduct), EHS (Environment, Health & Safety), C-TPAT (Customs-Trade Partnership Against Terrorism) — General Requirements
填写说明请参阅配套文档《工厂核验执行标准与现场评估协定》 / For methodology, refer to the accompanying Factory Audit Execution Standard & On-Site Assessment Protocol

一、厂务基础信息与技术参数 / Section 1 — General Profile & Technical Parameters

工厂官方名称 Factory Legal Name
工厂详细地址 Factory Address
最高管理者/陪同人 Top Management / Escort		职务 Title
主要生产产品品类 Main Product Categories
设计年产能 Designed Annual Capacity		现场实际员工人数 On-Site Headcount
审核日期 Audit Date		审核员姓名/机构 Auditor / Organization
审核类型 Audit Type	初次审核 / Initial Audit 跟进复审 / Follow-up Re-audit 突击抽查 / Unannounced Spot Check
审核范围勾选 Scope Covered	技术/质量体系 QMS 社会责任 CoC 环境健康安全 EHS 供应链反恐 C-TPAT
追溯性抽样审查期间 Historical Traceability Sampling Period

二、核心审查板块细则 / Section 2 — Core Audit Modules

提示：证据须可复核（文件编号、照片附图号、访谈人数）。NC 描述公式 = 位置 + 违规事实 + 法规/标准条款 + 证据编号。/ Guidance: All evidence must be verifiable (document ref no., photo evidence id, interview headcount). NC description formula = Location + Finding + Applicable standard clause + Evidence ref.

1. 技术与质量管理体系（QMS） / Quality Management System (QMS)

审查子项 Sub-Module	评估要点 Assessment Criteria	合规判定 Compliance Verdict
1.1 供应链源头与进料检验（IQC） Supply Chain Source & Incoming QC (IQC)	是否建立书面的供应商评估与准入管理制度？ Is a documented supplier evaluation and qualification management system established? 能否提供完整的 IQC 台账及不合格原材料处理记录？ Can complete IQC logs and non-conforming raw material disposition records be provided? 原材料仓库物料是否区分状态（待检、合格、不良）并清晰标识？ Are raw materials segregated by status (pending inspection, approved, rejected) with clear identification in the warehouse?	合规 / Compliant 轻微缺失 / Minor NC 严重缺失（无 IQC 上线）/ Major NC (No IQC — raw materials released to production)
1.2 生产过程控制（IPQC） In-Process Quality Control (IPQC)	关键工序是否张贴/悬挂与实际操作相符的 SOP？ Are SOPs posted at critical workstations and consistent with actual operations? 首件检验（FAI）是否有明确标识、记录及管理人员签字？ Is First Article Inspection (FAI) clearly marked, documented, and signed off by authorized personnel? 巡检是否按频次记录？不良品是否现场物理隔离？ Are in-process inspections recorded at prescribed frequency? Are non-conforming products physically segregated on site?	合规 / Compliant 轻微缺失 / Minor NC 严重缺失 / Major NC
1.3 测量仪器与量具管理 Measuring Equipment (Equipment Calibration & Traceability)	在用数显卡尺、卷尺及关键测试仪器是否在校准有效期内？ Are digital calipers, tape measures, and critical test instruments within their calibration validity period? 仪器是否张贴标明下次校准日期的合格标签？ Are instruments labeled with next calibration due dates and status tags? 能否提供国家认可第三方计量机构的校准证书？ Can calibration certificates from accredited third-party metrology bodies be provided? 停用、待修或报废的量具是否贴有明确的【禁用/隔离标签】并进行物理隔离，防止员工误用？ Are out-of-service, pending repair, or scrapped measuring instruments clearly tagged with "DO NOT USE / QUARANTINE" labels and physically segregated to prevent inadvertent use?	合规 / Compliant 轻微缺失 / Minor NC 严重缺失（关键量具无校准）/ Major NC (Critical instruments without valid calibration)

2. 社会责任与劳资合规（CoC） / Social & Ethical Compliance (CoC)

审查子项 Sub-Module	评估要点 Assessment Criteria	合规判定 Compliance Verdict
2.1 童工与未成年工保护 Child & Young Worker Protection	人事档案是否留存员工身份证复印件？入职是否有年龄核对流程？ Are copies of employee ID documents retained in personnel files? Is age verification performed at onboarding? 现场是否存在未满 16 周岁的童工？ Are any workers under 16 years of age present on site (child labor)? 16–18 周岁未成年工是否依法备案并定期体检？ Are young workers (16–18) legally registered and subject to periodic health examinations?	合规 / Compliant 零容忍致命缺失（童工）/ Critical NC — Zero Tolerance (Child Labor)
2.2 工作时间与薪酬福利 Working Hours & Compensation	盲抽 3–12 个月考勤：日/周工时是否超法定上限？是否保障每周至少休息一天？ Blind-sample 3–12 months of attendance: do daily/weekly hours exceed statutory limits? Is at least one rest day per week guaranteed? 工资流水：正班薪资是否低于当地最低工资？ Payroll records: is base wage below the applicable local minimum wage? 加班费是否按 1.5 / 2 / 3 倍足额支付？是否依法缴纳社保？ Is overtime paid at statutory multipliers (1.5× / 2× / 3×)? Is social insurance contributed as required by law?	合规 / Compliant 严重缺失（工时长/欠社保）/ Major NC (Excessive hours / unpaid social insurance) 零容忍（拒提供/双重账本）/ Critical NC — Zero Tolerance (Refusal to provide / dual payroll records)
2.3 强迫劳动与不人道待遇 Forced Labor & Inhumane Treatment	是否存在扣留身份证、毕业证或收取押金、保证金？ Are identity documents, diplomas, or deposits/bonds withheld from employees? 现场巡视及员工访谈是否存在搜身、体罚、侮辱或恶意克扣工资？ Do factory walk-throughs and employee interviews reveal body searches, corporal punishment, verbal abuse, or unlawful wage deductions?	合规 / Compliant 零容忍（强迫劳动/体罚）/ Critical NC — Zero Tolerance (Forced labor / corporal punishment)

3. 环境、健康与职业安全（EHS） / Environment, Health & Occupational Safety (EHS)

审查子项 Sub-Module	评估要点 Assessment Criteria	合规判定 Compliance Verdict
3.1 消防与安全疏散 Fire Safety & Evacuation	逃生通道是否畅通，无货物或卡板阻挡？ Are evacuation routes unobstructed, free of goods or pallets? 疏散出口是否保持解锁？是否存在恶意锁死或堵死？ Are emergency exits unlocked and accessible? Any deliberate locking or blocking? 安全出口指示灯、应急照明是否正常？消防栓前是否留足操作空间？ Are exit signs and emergency lighting functional? Is adequate clearance maintained in front of fire hydrants? 是否取得消防验收证明？是否定期组织消防演练？ Is fire safety acceptance certification obtained? Are fire drills conducted on a regular schedule?	合规 / Compliant 轻微缺失 / Minor NC 严重缺失 / Major NC 零容忍（两出口以上锁死/无消防验收）/ Critical NC — Zero Tolerance (Multiple exits locked / no fire acceptance certificate)
3.2 机械设备安全与 PPE Machinery Safety & PPE	冲压机、注塑机等转动部位是否有牢固防护罩？光电保护是否有效？ Are press machines, injection molding equipment, and rotating parts fitted with secure guards? Are light curtains / safety interlocks functional? 高噪、粉尘、化学品工位员工是否正确佩戴 PPE？ Are workers at high-noise, dust, or chemical exposure stations correctly wearing required PPE? 机械维修是否严格执行 LOTO（断电挂牌）？ Is Lockout/Tagout (LOTO) strictly enforced during machinery maintenance?	合规 / Compliant 轻微缺失 / Minor NC 严重缺失（防护失效/不戴 PPE）/ Major NC (Guard failure / PPE non-compliance)
3.3 化学品与环境合规 Chemical Management & Environmental Compliance	化学品下方是否配备防泄漏二次容器？是否张贴 MSDS？洗眼器是否通水正常？ Are secondary containment trays provided under chemicals? Are SDS/MSDS posted? Are eyewash stations operational? 危废是否专库存放并由有资质第三方回收？是否具备环评批复及三废检测报告？ Is hazardous waste stored separately and collected by licensed third parties? Are EIA approvals and waste discharge test reports available? 针对喷涂、高粉尘等特殊车间，现场的防爆灯具、静电导线是否完好？员工是否配备高等级职业防护装备？ In spray booths, high-dust grinding/painting areas, etc.: are explosion-proof lighting and static-dissipation grounding cables intact? Are workers equipped with appropriate high-grade occupational PPE?	合规 / Compliant 轻微缺失 / Minor NC 严重缺失（废水直排/无环评）/ Major NC (Direct wastewater discharge / no EIA approval)

4. 供应链反恐安全（C-TPAT） / Supply Chain Security (C-TPAT)

审查子项 Sub-Module	评估要点 Assessment Criteria	现场证据 / 抽样单据 On-Site Evidence / Sampled Records	合规判定 Compliance Verdict
4.1 物理安全与装柜 Physical Security & Container Loading	大门及周界是否有围墙、铁丝网及 24 小时监控？录像是否保存 ≥30 天？ Are perimeter fencing, barbed wire, and 24-hour CCTV in place? Is footage retained for ≥30 days? 外来人员/车辆是否有登记与核身份流程？员工与访客是否佩戴厂牌？ Are visitor/vehicle registration and identity verification procedures enforced? Do employees and visitors wear visible ID badges? 装柜区是否限制进入？装柜前是否执行集装箱七点检查？封条是否有台账？ Is the loading zone access-controlled? Is the 7-Point Container Inspection performed before loading? Are seal logs maintained?		合规 / Compliant 轻微缺失 / Minor NC 严重缺失 / Major NC 不适用（非北美出口）/ N/A (Non–North America export)

三、不合规项（NC）汇总表与现场确认记录 / Section 3 — Non-Conformance (NC) Summary & On-Site Confirmation

缺失描述须含：位置 + 违规事实 + 违反法规/标准条款 + 附图编号（参见执行标准协定第 5 节黄金公式）。/ NC descriptions must include: Location + Finding + Applicable regulation/standard clause + Photo evidence ref (see Section 5 of the Execution Standard Protocol).
示例 / Example: At the northeast side of Production Workshop 2, one evacuation exit was fully blocked by pallets — PRC Fire Protection Law Art. 28 (Photo Ref 11) / 2号车间东北侧疏散口被卡板完全阻挡，违反《消防法》第28条（附图11）。

1. 致命缺陷 / 零容忍项（Critical NC）

No.	缺失描述（位置 + 事实 + 法规条款 + 附图号）/ NC Description (Location + Finding + Clause + Photo Ref)
1
2
3

2. 严重缺陷（Major NC）

No.	缺失描述 / NC Description	要求整改期限 Corrective Action Due Date
1
2
3

3. 轻微缺陷（Minor NC）

No.	缺失描述 / NC Description
1
2
3

NC 数量统计 NC Count Summary	Critical: Major: Minor:
工厂是否限制审核范围 Restricted Audit Scope?	否 / No 是（须说明）/ Yes —

四、审核结论与后续行动 / Section 4 — Audit Conclusion & Follow-up Actions

现场总体评估结论 / Overall Audit Verdict:

优秀（直接通过）/ Excellent — Pass 合规（有轻微项，限期书面整改）/ Compliant — Minor CAPA Required 待定（有严重项，需跟进现场复审）/ Conditional — Re-audit Required (Major NC) 不合格（存在致命/零容忍项，一票否决）/ Fail — Critical NC (Zero Tolerance)

CAPA 提交时限 / CAPA Submission Deadline: 本表签署之日起至个工作日内，工厂须提交含根本原因分析、短期纠正及长期预防措施的 CAPA 整改方案。Major NC 物理整改复核期限：
Within the stated business days of signing, the factory shall submit a CAPA plan including root cause analysis, short-term corrective actions, and long-term preventive measures. Major NC physical remediation re-verification deadline as noted above.

声明 / Declaration: 本评估基于现场文件盲抽、巡视及员工访谈。本报告不免除工厂对后续发现的系统性合规风险所应承担的合同义务。审核员须对证据链（Say–Do–Prove）负责。
This assessment is based on blind-sampled documentation review, on-site walk-through, and employee interviews. This report does not relieve the factory of contractual obligations for systemic compliance risks discovered subsequently. The auditor is accountable for the evidence chain (Say–Do–Prove / Triangulation of Evidence).

审核员现场签署 / Auditor Signature:

签署日期 / Date: YYYY / MM / DD

工厂最高管理者 / 受审核方签字（盖章）/ Factory Top Management / Auditee Signature & Stamp:

确认日期 / Date: YYYY / MM / DD

工厂合规与系统评估审核表Factory Compliance & System Assessment Audit Checklist