Free Template

Factory Audit Checklist

Thirty checkpoints across six dimensions for an in-person factory visit. This is the same checklist our Shanghai team carries when auditing a new factory before recommending it to a buyer.

Press Cmd+P (Mac) or Ctrl+P (Windows) and choose "Save as PDF" in the print dialog.

Legal entity and licensing

  • Business license verified (matches the entity on the proforma invoice)
  • Manufacturing license for chemical production held and current
  • Export licence held in the factory legal entity name
  • Hazardous chemical operating licence held (where applicable, e.g. solvents, acids, peroxides)
  • Environmental impact assessment certificate on file and not expired

Production capability

  • Reactor and process equipment exist on site (not just an office)
  • Production line is the one that will produce your order (not subcontracted)
  • Annual production capacity matches stated MOQ and delivery timeline
  • Raw material inventory adequate for committed orders
  • Production staff present and active during the visit

Quality control

  • On-site QC laboratory exists and is staffed
  • Lab equipment matches what would be needed for COA testing (HPLC, GC, titration, balance, pH meter, etc.)
  • Lab calibration records on file for the past 12 months
  • COA generation process: lab tests sample → record → COA produced
  • Reference materials and standards stored properly

Storage and packaging

  • Warehouse space adequate for committed inventory
  • Hazmat storage compliant with class-specific requirements (Class 3 ventilation, Class 8 acid-resistant flooring, etc.)
  • UN-certified packaging on hand or contracted with a qualified supplier
  • Drum / IBC marking equipment on site
  • Loading area clean, organised, and segregated by product class

Export documentation chain

  • Export documentation prepared in-house (not outsourced to a trading agent)
  • MSDS template available in English for export-bound substances
  • Recent commercial invoices and packing lists (review 3-5 examples)
  • Bill of lading examples from recent shipments to the destination region
  • DG Declaration template available for hazardous substances

Compliance and certifications

  • ISO 9001 certificate (or equivalent QMS) on the wall and in date
  • Other applicable certifications: ISO 14001, GMP, FAMI-QS, FCC/USP/BP grade letters
  • Customer reference list shared (not just shown briefly)
  • No undisclosed AD/CVD or sanctions exposure (search factory name and parent entity)
  • Track record of shipments to your destination market in the past 24 months

Sourzi · 20 years of chemical sourcing from Shanghai Pudong · sourcing@sourzi.com · sourzi.com/resources

Want a factory audited?

Our team visits in person.

Our Shanghai team conducts factory audits for buyers who need verification before committing to a producer. We walk the production line, review the documentation, and report against the same 30-point checklist above. Send us the factory name and we will quote the audit.

Book a Factory Audit