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
[email protected]

www.proqc.com
 ISO 14001 Environmental System Audit Rev.
GUIDELINES 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 risks.

SCORING:
Scores 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. Scoring must be explained to
the supplier at the opening meeting.

Complies with the Requirements = C

Improvement Needed = I
Non-Conformance Found = NC
N/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 meeting.

Complies 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 question.
Non-Conformance =
- No objective evidence to support the question (regardless of the procedure).
- Lacking some objective evidence and no written procedure.

RESULTS/RECOMMENDATIONS: (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:

The auditor should review the audit results with the supplier, but cannot provide the supplier a copy of the audit. 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 completed.
 Factory Profile
Supplier Assessment Date Report Number
XXXXXXXX XX/XX/XXXX VI00066619H
Factory Information
Factory Name: XXXXXXX
Factory Address: XXXXXXX
Factory Address: XXXXXXX
Phone Number: XXXXXXX
Fax Number XXXXXXX
E-mail XXXXXXX
Year Established XX/XX/XXXX Dormitory Capacity (Beds) 300
Total Production Area M 2 8800 No of Employees living on site 415

Type of Ownership: X Private Owned State Owned Public Company

Joint Venture
Owners: XXXXXXX E-Mail
Owners: XXXXXXX E-Mail
Owners: E-Mail
Owners: E-Mail

Legal Description
Does the factory have a valid business license for the products they produce? YES
Registration Number XXXXXXXX Valid to XX/XX/XXXX
Name of Corporate Representative XXXXXXX
Does the factory have Product Liability Insurance? Valid to
Does the factory have Product Recall Insurance? Valid to

Products and Capacity (Annual Basis)

Product Description / Category Total Capacity Units Shipped % Capacity
announciator plastic cover 16800K 16800K 100%
printer component 7488K 7488K 100%
outdoor motor tool 5000K 5000K 100%
digital photo frame 1500K 1500K 100%
GPS MP3 MP4 1800K 1800K 100%
others 2000K 2000K 100%

What is the factory's average lead time from PO placement Plastic Mould :30~35 days Plastic
to delivery of production parts? Part 20 days

How many production lines are in the factory?

Sales Department releases PO and product document-production
discussion meeting-PMC arrange production schedule-raw
material purchasing-packing material purchasing-production
Describe the production process flow: sample to customer for approval-start production and quality
control after .getting approval-second process-QA-shipping to
customer.
 Factory Profile
Supplier Assessment Date Report Number
XXXXXXXX XX/XX/XXXX VI00066619H

Markets
X Markets Units Exported % of Total Business Volume
US / North America 16800K 48.60%
European Union 5000K 14.50%
South America
Asia 3300K 9.50%
Other 9488K 27.40%

Key Clients (Past Year) % of Business Products

XXXXXX 48.60% announciator plastic cover
XXXXXXX 14.50% outdoor motor tool
XXXXXX 5% digital photo frame
XXXXXX 21.70% printer component
XXXXXX 6% loudspeaker plastic cover

Years with Years in

Key Personnel Name Company Position Phone
General Manager XXXXXXX 5 years 5years
Engineer Manager XXXXXXX 5years 3years
R&D Manager XXXXXXX 5 years 5years
Production Manager XXXXXXX 5 years 5years
Quality Manager XXXXXXX 5 years 5 years

Sales Manager XXXXXXX 3years 3years

Health & Safety
Manager XXXXXXX 3 years 3 years
Equipment
Maintenance Mgr XXXXXXX 5 years 5 years

Employee Information Full Time Part Time Total

Management/Administration Yes
General Office Staff Yes
Purchasing Yes
Engineering Yes
Quality Yes
Sales and Marketing Yes
Production Yes
0

Quality Management
How many QC Inspectors? 22
Is quality monitored at all operations? Yes
Are inspectors independent of Production? Yes
Dose the factory have all of the necessary gages to inspect the part/product? Yes
Does the factory have all of the necessary test equipment for the part/product? Yes
Does the factory have ISO or other accreditation? ISO9001:2008
 Factory Profile
Supplier Assessment Date Report Number
XXXXXXXX XX/XX/XXXX VI00066619H
List of Major Machines / Equipment:
Machine Model Quantity Year Condition
Injection machines 85Ton 6 5 ok
Injection machines 110Ton 17 5 ok
Injection machines 150Ton 4 5 ok
Injection machines 180Ton 6 5 ok
Injection machines 240Ton 8 5 ok
Injection machines 280Ton 6 5 ok
Injection machines 300Ton 1 5 ok
Injection machines 360Ton 1 5 ok
Injection machines 450Ton 1 5 ok
Injection machines 460Ton 1 1 ok

CNC 4 5 ok
Drilling 2 5 ok
Grinding 3 5 ok
Milling 17 5 ok
E.D.M 11 5 ok
Wire cut 2 5 ok

List of Gages and Test Equipment:

Type of Gage Accuracy Quantity Year Condition
Profile Projector 1 5 ok

List of Sub-Contractors: (Sub-contractors of processes; ex: painting, plating, machining, etc)

Name Process Location
 AUDIT REPORT
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

Scope of Audit:
To evaluate the environmental management system of the facility associated with conducting business with this supplier.

Summary/Recommendation:
XXXXXXX has not established an ISO14001:2004 Environment Management System.
XXXXXXX does not Plan, Do, Check, Act on EMS, even through they have it set-up.
Some procedures are documented, but the procedures are not implemented.

The supplier has a method to prevent pollution of RoHS compliant materials.

The waste materials were collected and sold to a recycling company. There are fire extinguishers distributed in the factory.

Strengths:
1. ISO9001:2008 certified by SGS
2. Quick response

Opportunities for Improvement:

XXXXXXX does not fully consider the environmental impacts occurring from manufacturing and service activities.
 ISO 14001 AUDIT SUMMARY

SUPPLIER XXXXXXX SURVEY DATE: XX/XX/XXXX

ADDRESS Report No: VI00066619H

XXXXXXX

City / Country XXXXXXX

PHONE XXXXXXX Fax:

SUPPLIER'S PERSONNEL PARTICIPATING

Mr./Mrs. XXXXXXX Title Manufacturing Director

Mr./Mrs. XXXXXXX Title Sales

Mr./Mrs. Title

Mr./Mrs. Title

Mr./Mrs. Title

Mr./Mrs. Title

Mr./Mrs. Title

PRO QC PERSONNEL PARTICIPATING

Mr./Mrs. XXXXXXX Resp. Auditor

Mr./Mrs. Resp.

Mr./Mrs. Resp.

Scope of the Audit:

Environmental Management System (ISO14001:2004)

AUDIT RESULT

Categories No. Quest Percentage

Complies with the requirement 2 1.85%

1.85%&
Improvement needed 13 12.04% 12.04%&

Non-conformances found 93 86.11%

86.11%&

Complies with the requirement

Improvement needed
Non-conformances found
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

4 QUALITY MANAGEMENT SYSTEM
4.1 GENERAL REQUIREMENTS
a Has the organization established, documented, implemented, EMS is not established yet.
maintained and continually improved an EMS in accordance with
requirements of ISO 14001:2004? Has it determined how it will NC
fulfill these requirements?

b Has the organization determined, defined and documented the EMS is not established yet.
scope of its EMS?
NC

c Has the organization established an appropriate environmental No evidence.

policy? NC

d Has the organization identified the environmental aspects arising No.

from its past, existing or planned activities, products and
services, in order to determine the environmental impacts of NC
significance?

e Has the organization Identified applicable legal requirements and No.

other requirements to which it subscribes?
NC

f Has the organization identified priorities and set appropriate No.

environmental objectives and targets?
NC

g Has the organization established a structure and program(s) to No.

implement the policy and achieve objectives and meet targets?
NC

h Has the organization facilitated planning, control, monitoring No.

preventive and corrective actions, auditing and review activities
to ensure both that the policy complies with and that the
environmental management system remains appropriate? NC

i Has the organization is capable of adapting to changes in No evidence.

circumstances?
NC

4.2 ENVIRONMENTAL POLICY

a Has the organization's top management defined the No policy.
organization's environmental policy, and been approved by the
organization's top management NC

b Is the policy defined appropriate to the nature, scale and No policy.

environmental impacts of its activities, products or services?
NC

c Is the defined policy Includes a commitment to continual No policy.

improvement and prevention of pollution?
NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

d Is the defined policy Includes a commitment to comply with No policy.
relevant environmental legislation and regulations, and with other
requirements to which the organization subscribes? NC

e Is the defined policy provides the framework for setting and No policy.
reviewing environmental objectives and targets?
NC

f Is the defined policy documented, implemented and maintained No policy.

and communicated to all employees?
NC

g Is the defined policy available to the public? No policy

NC

h Has the environmental policy been periodically reviewed and No policy

revised to reflect changing conditions and information?
NC

i Is the area of application clearly identifiable? No policy.

NC

4.3 PLANNING
4.3.1 ENVIRONMENTAL ASPECTS
a Has the organization established and maintained procedures that The supplier established a procedure that identified the
identify the "environmental aspects" of its activities, products, or "environmental aspects" of its activities, products, or
services within the defined scope of the EMS that it can control services within the defined scope of the EMS. Doc# is
and those that it can influence, taking into account planned or PL-EP-02, v.1.0. Not any environment aspect has been NC
new developments, or new or modified activities, products and identified by this organization.
services?

b Has the organization established and maintained procedures No environment aspect has been identified by this
that determined those aspects that have or can have significant organization.
impact(s) on the environment (i.e., significant environmental NC
aspects)?

c Has the organization documented this information and kept it up- No environment aspect has been identified by this
to-date? organization. NC

d Has the organization ensured that the significant environmental No environment aspect has been identified by this
aspects are taken into account in establishing, implementing and organization.
maintaining its EMS? NC

e Does the organization consider such environmental aspects as: No environment aspect has been identified by this
Emissions to air, releases to water, releases to land, use of raw organization.
materials and natural resources, use of energy, energy emitted
e.g. heat, radiation, waste and by-product? NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

4.3.2 LEGAL AND OTHER REQUIREMENTS
a Has the organization established, implemented and maintained a No legal and other requirement were identified except
procedure(s) to identify and have access to the applicable legal RoHS directive. The supplier has Preventing Pollution
requirements and other requirements to which the organization of RoHS Compliance Material Operation
subscribes related to its environmental aspects? Instruction(MSN15-003-1.1). I

b Has the organization established, implemented and maintained a No legal or other requirement was identified except
procedure(s) to determine how these requirements apply to its RoHS directive. I
environmental aspects?

c Has the organization ensured that these applicable legal No legal or other requirement was identified except
requirements and other requirements to which it subscribes are RoHS directive.
taken into account in establishing, implementing and maintaining I
its EMS?

d Has the organization identified the legal requirements that are No legal or other requirement was identified except
applicable to its environmental aspects, including RoHS directive.
national and international requirements,
state/provincial/departmental legal requirements, local I
government legal requirements?

e During Contract Review, have the customer environmental No any legal and other requirement was identified
requirements been established and communicated to the Safety except RoHS directive.
I
Director?

4.3.3 OBJECTIVES, TARGETS AND PROGRAMS

a Has the organization established, implemented and maintained No environmental objectives and targets have been
documented environmental objectives and targets at relevant established.
functions and levels within the organization?
NC

b Are objectives and targets measurable, where practical, and No environmental objectives and targets have been
consistent with the environmental policy, including commitments established.
to prevention of pollution, compliance with applicable legal
requirements and other requirements to which the organization NC
subscribes, and continual improvement?

c Has the organization taken into account the legal requirements No any legal and other requirement was identified
and other requirements to which it subscribes and its significant except RoHS directive. The supplier has Preventing
environmental aspects? Has it also considered its technological Pollution of RoHS Compliance Material Operation
options, its financial, operational and business requirements, and Instruction(MSN15-003-1.1).
I
the views of interested parties?

d Has the organization established, implemented and maintained a No environmental objectives and targets have been
program(s) for achieving its objectives and targets, including: established.
a) designation of responsibility for achieving objectives and
targets at relevant functions and levels of the organization?
b) The means and time-frame by which they are to be achieved?
NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

4.4 IMPLEMENTATION & OPERATION
4.4.1 RESOURCES, ROLES, RESPONSIBILITY AND AUTHORITY
a Are roles, responsibilities and authorities been defined, Roles, responsibilities and authorities for EMS have
documented and communicated in order to facilitate effective not been defined.
environment management? NC

b Has the organization’s top management appointed a specific Roles, responsibilities and authorities for EMS have
management representative who irrespective of other not been defined.
responsibilities shall have defined roles, responsibilities and
authority for:
a) ensuring that EMS is established, implemented and
maintained in accordance with the requirements of ISO
NC
14001:2004
b) reporting to top management on the performance of the EMS
for review, including recommendations for improvement?

4.4.2 COMPETENCE, TRAINING AND AWARENESS

a Has the organization ensured that any person(s) performing There is an education, training controlling procedure
tasks for it or on its behalf that have the potential to cause a (doc#PL-EP-06, rev. 1.0). The procedure has not been
significant environmental impact(s) identified by the organization implemented.
is (are) competent on the basis of appropriate education, training
or experience, and has it retained associated records? NC

b Has the organization identified training needs associated with its No.
environmental aspects and its environmental management
system? Has it provided training or taken other actions to meet
these needs and retain associated records? NC

c Has the organization established, implemented and maintained a No.

procedure(s) to make persons working for it or on its behalf
aware of:
a) the importance of conformity with the environmental policy
and procedures and with the requirements of the EMS
b) the significant environmental aspects and related actual or
potential impacts associated with their work, and the
environmental benefits of improved personal performance
c) the roles and responsibilities in achieving conformity with the NC
requirements of the EMS?
d) the potential consequences of departure from specified
procedures?

d Are those persons whose work could cause significant No significant environmental impact(s) was identified.
environmental impact(s) identified by the organization competent
to perform the tasks to which they are assigned? NC

e Are all persons aware of the organization's environmental policy No.

and EMS and the environmental aspects of the organization's
activities, products and services that could be affected by their
NC
work?
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

4.4.3 COMMUNICATION
a With regard to its environmental aspects and environmental There is information communication controlling
management system, has the organization established, procedure(doc#PL-EP-07, rev. 1.0), but the procedure
implemented and maintained a procedure(s) for: has not been implemented.
a) internal communication among the various levels and
functions of the organization?
NC
b) receiving, documenting and responding to relevant
communication from external interested parties?

b Has the organization decided whether to communicate externally No.

about its significant environmental aspects, and has decision
been documented? If the decision is to communicate, has the
organization established and implemented a method(s) for this
NC
external communication?

c Has the organization implemented a procedure for receiving, There is information communication controlling
documenting and responding to relevant communications from procedure(doc#PL-EP-07, rev. 1.0), but the procedure
interested parties? has not been implemented. NC

d When considering external communication about environmental No.

aspects, has the organization taken into consideration the views
and information needs of all interested parties? If the
organization decides to communicate externally on its NC
environmental aspects, the organization may establish a
procedure to do so.

4.4.4 DOCUMENTATION
a Does the EMS documentation include: The EMS documentation only includes some
a) the environmental policy, objectives and targets? procedure documents.
b) description of the scope of the EMS?
c) description of the main elements of the EMS and their
interaction and reference to related documents?
d) documents, including records, required by this International
Standard? I
e) documents, including records, determined by the organization
to be necessary to ensure the effective planning, operation and
control of processes that relate to its significant environmental
aspects?

4.4.5 CONTROL OF DOCUMENTS

a Are documents required by the EMS and by this International
Standard controlled? Yes, there is a document controlling procedure
C
(doc#PL-EP-08, rev. 1.0).
b Has the organization established, implemented and maintained a There is a document controlling procedure (doc#PL-EP-
procedure to approve documents for adequacy prior to issue? 08, rev. 1.0), but the procedure has not been NC
implemented.
c Has the organization established, implemented and maintained a
There is document controlling procedure (doc#PL-EP-
procedure to review and update as necessary and reapprove
08, rev. 1.0), but the procedure has not been NC
documents?
implemented.
e Has the organization established, implemented and maintained a
procedure to ensure that changes and the current revision status There is document controlling procedure (doc#PL-EP-
of documents are identified? 08, rev. 1.0), but the procedure has not been NC
implemented.

f Are relevant versions of applicable documents are available at

points of use? No. NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

j Has the organization established, implemented and maintained a
There is document controlling procedure (doc#PL-EP-
procedure to ensure that documents remain legible and readily
08, rev. 1.0), but the procedure has not been NC
identifiable?
implemented.
h Has the organization established, implemented and maintained a
procedure to ensure that documents of external origin
determined by the organization to be necessary for the planning There is document controlling procedure(doc#PL-EP-
and operation of the environmental management system are 08, rev. 1.0), but the procedure has not been NC
identified and their distribution controlled? implemented.

i Has the organization established, implemented and maintained a There is document controlling procedure (doc#PL-EP-
procedure to prevent the unintended use of obsolete documents 08, rev. 1.0), but the procedure has not been
and applied suitable identification to them if they are retained for implemented.
NC
any purpose?

4.4.6 OPERATIONAL CONTROL

a Has the organization identified and planned those operations that NC
are associated with the identified significant environmental
aspects consistent with its environmental policy, objectives and
targets, in order to ensure that they are carried out under No.
specified conditions?

b a) establishing, implementing and maintaining a documented

procedure(s) to control situations where their absence could lead
to deviation from the environmental policy, objectives and No procedure. NC
targets?

c b) stipulating the operating criteria in the procedure(s)?

No procedure. NC

d c) establishing, implementing and maintaining procedures related The supplier only identified RoHS directive. The
to the identified significant environmental aspects of goods and supplier required its supplier meet RoHS directive.
services used by the organization and communicating applicable
I
procedures and requirements to suppliers, including contractors?

e Has the organization evaluated those of its operations that are Only RoHS directive was identified. The supplier has
associated with its identified significant environmental aspects Preventing Pollution of RoHS Compliance Material
and ensure that they are conducted in a way that will control or Operation Instruction(MSN15-003-1.1).
reduce the adverse impacts associated with them, in order to
fulfill the requirements of its environmental policy and meet its I
objectives and targets? This should include all parts of its
operations, including maintenance activities.

4.4.7 EMERGENCY PREPAREDNESS AND RESPONSE

a Has the organization established, implemented and maintained a
procedure(s) to identify potential emergency situations and
potential accidents that can have an impact(s) on the The supplier has emergency preparedness and
environment and how it will respond to them? response procedure (doc#PL-EP-01, rev. 1.0) but the NC
procedure has not implemented.

b Has the organization responded to actual emergency situations

and accidents and prevented or mitigated associated adverse
environmental impacts?
No record. NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

c Has the organization periodically reviewed and, where
necessary, revised its emergency preparedness and response
procedures, in particular, after the occurrence of accidents or
emergency situations? No. NC

d Has the organization also periodically tested such procedures, No.

where practicable?
NC

e In developing its procedure(s), has the organization considered:

f a) the nature of on-site hazards, e.g. Flammable liquids, storage

tanks and compressed gases, and measures to be taken in the No measures to be taken in the event of spillages or
event of spillages or accidental releases? accidental releases. No personal protection equipment NC
are in the room for paint thinning. Please see photo 2.

g b) the most likely type and scale of an emergency situation or

accident? The supplier did not identify them. NC

h c) the most appropriate method(s) for responding to an accident

Initial fire extinguish and evacuation. No evacuation
or emergency situation?
plan in the factory. Some workshops have emergency
light and exit board, but some workshops do not. Fire
I
extinguishers are in each workshop. The fire
extinguishers are checked and in valid. Please see
photos 3, 4, 5, 6.
i d) internal and external comm. plans?
No. NC

j e) the action(s) required to minimize environmental damage?

Not identified. NC

k f) mitigation and response action(s) to be taken for different types

of accident or emergency situation? No detailed plan. NC

l g) the need for a process(es) for post-accident evaluation to

establish and implement corrective and preventive actions?
No procedure or record. NC

m h) periodic testing of emergency response procedure(s)?

No. NC

n i) training of emergency response personnel?

No record. NC

o j) a list of key personnel and aid agencies, including contact

details (e.g. fire department, spillage cleanup services)?
No. NC

p k) evacuation routes and assembly points?

Evacuation plan is not at workshops. NC

q I) the potential for an emergency situation(s) or accident(s) at a

nearby facility (e.g. plant, road, railway line)?
No. C

r m) the possibility of mutual assistance from neighboring No.

organizations? NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

4.5.1 MONITORING AND MEASURING
a Has the organization established, implemented and maintained a
procedure(s} to monitor and measure, on a regular basis, the key
characteristics of its operations that can have a significant
environmental impact? No procedure , no record. NC

b Does the procedure(s) include the documenting of information to

monitor performance, applicable operational controls and
conformity with the organization's environmental objectives and No procedure , no record. NC
targets?

c Has the organization ensured that calibrated or verified

monitoring and measurement equipment is used and maintained
and are associated records retained? No procedure , no record. NC

d When necessary to ensure valid results, is measuring equipment No procedure , no record.

calibrated or verified and measurement standards traceable to
international or national measurement standards? If no such
standards exist, the basis used for calibration should be NC
recorded.

4.5.2 EVALUATION OF COMPLIANCE

a Consistent with its commitment to compliance, has the
organization established, implemented and maintained a
procedure(s) for periodically evaluating compliance with No procedure, no record. NC
applicable legal requirements?

b Has the organization kept records of the results of the periodic

evaluations? No procedure , no record. NC

c Has the organization demonstrated that it has evaluated

compliance with the legal requirements identified, including No evidence. The supplier said no license for waste
applicable permits or licenses? material releasing due to the factory not having NC
pollution.

d Has the organization demonstrated that it has evaluated

compliance with the other identified requirements to which it has
subscribed? No evidence. NC

NONCONFORMITY, CORRECTIVE ACTION AND

4.5.3
PREVENTIVE ACTION
a Has the organization established, implemented and maintained a
procedure(s) for dealing with actual and potential
nonconformity(ies) and for taking corrective action and
preventive action? Has the procedure(s) defined requirements
for:

b Non-conformity, corrective action and preventive action?

No evidence. NC

c b) investigating nonconformity(is), determining their cause(s) and

taking actions in order to avoid their recurrence?
No evidence. NC

d c) evaluating the need for action(s) to prevent nonconformity(ies)

and implementing appropriate actions designed to avoid their
occurrence? No evidence. NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

e d) recording the results of corrective action(s) and preventive
action(s) taken? No evidence. NC

f e) reviewing the effectiveness of corrective action(s) and

preventive action(s) taken? No evidence. NC

g Are actions taken appropriate to the magnitude of the problems

and the environmental impacts encountered? No evidence. NC

h Has the organization ensured that any necessary changes are No evidence.
made to EMS documentation? NC

4.5.4 CONTROL OF RECORDS

a Has the organization established and maintained records as
necessary to demonstrate conformity to the requirements of its
No record, except RoHS testing reports. Please see
EMS and of this International Standard, and the results I
photo #7.
achieved?

b Has the organization established, implemented and maintained a

procedure(s) for the identification, storage, protection, retrieval,
retention and disposal of records? No record except RoHS testing reports. I

c Has records remained legible, identifiable and traceable? No any record except RoHS testing reports.
I

4.5.5 INTERNAL AUDIT

a Has the organization ensured that internal audits of the EMS are
conducted at planned intervals to:

b a) determine whether the EMS conforms to planned

arrangements for environmental management including the
requirements of this International Standard, and has been
properly implemented and is maintained? No evidence. NC

c b) provide information on the results of audits to management?

No evidence. NC

d Have audit program(s) been planned, established, implemented

and maintained by the organization, taking into consideration the
environmental importance of the operation(s) concerned and the
No evidence. NC
results of previous audits?

e Have audit procedure(s) been established, implemented and

maintained that address:

f a) the responsibilities and requirements for planning and

conducting audits, reporting results and retaining associated No evidence. NC
records?

g b) the determination of audit criteria, scope, frequency and

methods? No evidence. NC

h Has the selection of auditors and conduct of audits ensured

objectivity and the impartiality of the audit process? No evidence. NC
 AUDIT CHECKLIST
Supplier Name Audit Date Report Number
XXXXXXX xx/xx/xxxx VI00066619H

QUESTIONNAIRES EVIDENCES SCORING

4.6 MANAGEMENT REVIEW

a Has top management reviewed the organization's EMS at
planned intervals to ensure its continuing suitability, adequacy
and effectiveness? Have reviews included assessing
opportunities for improvement and the need for changes to the
environmental management system, including the environmental
policy and environmental objectives and targets? Have records No evidence. NC
of the management reviews been retained?

b Does input to management reviews include:

c a) results of internal audits and evaluations of compliance with

legal requirements and with the requirements to which the
No evidence. NC
organization subscribes?

d b) communication(s) from external interested parties, including

complaints? No evidence. NC

e c) the environmental performance of the organization?

No evidence. NC

f d) the extent to which objectives and targets have been met?

No evidence. NC

g e) status of corrective and preventive actions?

No evidence. NC

h f) follow-up actions from previous management reviews?

No evidence. NC

i g) changing circumstances, including developments in legal and

other requirements related to its environmental aspects? No evidence. NC

j h) recommendations for improvement?

No evidence. NC

k i) possible changes to environmental policy, objectives, targets

and other elements of the environmental management system,
consistent with the commitment to continual improvement? No evidence. NC
 FACTORY PHOTOS
Supplier Assessment Date Report No
XXXXXXX XX/XX/XXXX VI00066619H

Photo No. 1 - Main gate Photo No.2 - Paint thinning room

Photo No.4 - Workshop does not have emergency

Photo No.3 - Workshop has emergency equipment.
equipment.

Photo No.5 - Fire extinguishers Photo No.6 - Check record for fire extinguishers.
 FACTORY PHOTOS
Supplier Assessment Date Report No
XXXXXXX XX/XX/XXXX VI00066619H

Photo No.7 - SGS RoHS testing report Photo No.8 - Waste materials not separately stored.

Photo No. 10 - Air in silkscreen room was exhausted out by

Photo No.9 - Waste materials were separately stored.
electrical fans.