QUICK ANSWER A factory audit is an on-site assessment of a supplier's plant that shows, before you order, whether the factory can make your product at the quality and volume you need. A quality audit measures the factory against ISO 9001, a social compliance audit follows a program such as amfori BSCI, SMETA or SA8000, and a security audit uses CBP's CTPAT criteria for foreign manufacturers. In one man-day the auditor tours the floor, interviews staff and reviews records, and you get a report with a rating, photos and a corrective action plan. Published factory audit rates in Asia start at $280 per man-day and run to $669, and V-Trust prices its social compliance audit at $498.
Importers book a factory audit on a new supplier before the deposit goes out. Once the factory passes, Platton gets that first order moving to the US. As an import forwarder, we pair reliable, expert freight with an AI-driven platform that keeps every shipment in clear view. When your supplier clears its audit, get a live quote for the freight from its factory.
How an audit differs from supplier verification and inspection
A factory audit looks at the plant behind your goods: the production lines, the machines, the quality procedures, the people and the records. An inspection checks the output of one production run, while the audit checks the systems behind it, so it tells you how the factory is likely to perform across many orders. That matters most when you are importing from China, Vietnam or India from a supplier you have never visited.
Three checks sit around a first order, and each one answers a different question.
Supplier verification, factory audit and pre-shipment inspection
| Check | When it happens | The question it answers |
|---|---|---|
| Supplier verification audit | Before the factory audit or together with it | Does the company exist and operate as it claims, with the legal status and business history it presents? |
| Factory audit | Before the first purchase order and the deposit | Can this factory make your product to your quality standard, at your volume, order after order? |
| Pre-shipment inspection | Production finished, before the balance and loading | Do the goods in this order match your specification? |
For a new supplier, Tetra Inspection recommends booking the supplier verification audit together with the factory audit.
The checks that come before either audit, from the business registration to a live video walk-through, are in our guide to fake supplier red flags, and the check on finished goods is in our guide to pre-shipment inspection.
What a passed audit leaves unchecked
Two of the limits Tetra Inspection names matter here, and US forced labor rules add a third.
- One point in time. The audit rates the factory's systems on the day of the visit, so during-production and pre-shipment inspections still matter.
- Subcontractors outside the scope. Steps such as printing, plating or packaging done in other workshops stay outside the audit unless you add them to its scope.
- Materials further up the chain. A social audit covers the workers in the plant the auditor visited. Under the UFLPA forced labor ban, goods can be detained if materials anywhere in their supply chain are tied to Xinjiang.
When to book an audit
Most importers book an audit at one of these points:
- Before the first order with a new supplier. Tetra Inspection calls this the most common and most valuable timing, since you get a go or no-go decision before any money goes out.
- Before a much larger order or a new product. An audit confirms the capacity, equipment and workforce for the bigger run, and a new product category calls for a targeted audit.
- After quality failures. An audit shows whether a defective batch or failed inspections were a one-off lapse or a weakness in the factory's systems.
- When your customer asks for it. Retail customers can require a social compliance audit under BSCI, SMETA, SA8000 or a similar program before they buy from you.
- When you are a CTPAT member. CTPAT importers need a documented social compliance program.
TAKEAWAY For a larger first order, a new supplier calls for both checks: the audit before the deposit and the inspection before the balance.
Audit types and the standards behind them
Factory audit types compared
| Audit type | The question it answers | Measured against | What you get | Time on site at Tetra Inspection |
|---|---|---|---|---|
| Capability audit | Can this factory make your product at your volume? | Your requirements and industry practice | Scored report with a rating | 1 man-day |
| Quality system audit | Does the factory run a working quality management system? | ISO 9001 | Non-conformance report with corrective actions, without an ISO certificate | 1 to 2 man-days |
| Process audit | Is one production step under control? | Process standards and statistical process control data | Gap analysis with improvement recommendations | 1 man-day |
| Social compliance audit | Does the factory meet labor and ethical standards? | amfori BSCI, SMETA, SA8000 and local labor law | Report with a corrective action plan, plus a certificate under SA8000 | 1 to 2 man-days |
| Security audit | Does the plant protect its cargo, containers and access points? | CBP's CTPAT Minimum Security Criteria for foreign manufacturers | Findings against the CTPAT categories | Not listed |
| Environmental audit | How does the factory handle waste, wastewater, emissions and chemicals? | ISO 14001 as a framework, plus environmental permits | Findings on environmental controls | Not listed |
Capability audits, quality system audits and ISO 9001
A capability audit is the broad check for qualifying a new supplier. A quality system audit goes deeper into the quality manual, procedures, non-conforming products, internal audits, corrective actions and management reviews, measured against ISO 9001.
When a supplier shows you an ISO 9001 certificate, check the edition. ISO 9001:2026 was published on September 16, 2026. From March 31, 2028, new accredited certifications are issued to the 2026 edition only, and factories certified to ISO 9001:2015 have until September 30, 2029 to move across. A 2015 certificate is normal for now, so ask the supplier when its transition is planned.
Social compliance audits under amfori BSCI, SMETA and SA8000
Social compliance auditors observe the site, interview workers and review the site's records.
Social audit programs as their owners describe them
| Program and owner | What it covers | Result |
|---|---|---|
| amfori BSCI, run by amfori | 13 performance areas, including fair remuneration, decent working hours, occupational health and safety, no child labor and no bonded or forced labor; 81 questions, each rated Yes, No, Partial or Not applicable | A grade from A to E, without a pass or fail verdict; not a certification; a follow-up audit within 2 to 12 months for grades C, D and E; the next full audit within two years for A and B |
| SMETA, run by Sedex | 2-Pillar: Labour Standards and Health and Safety. 4-Pillar adds Environment and Business Ethics and is used in around 70% of SMETA audits. The site is measured against the ETI Base Code, ILO conventions and local law | A corrective action plan; not a certification |
| SA8000, run by Social Accountability International (SAI) | Decent work and workers' rights at the site, assessed under the SA8000:2026 Standard for Decent Work, together with the site's management system | A certificate. SA8000:2026 replaces SA8000:2014 from January 1, 2026; audits to the 2014 edition run until December 31, 2026, and 2014 certificates are withdrawn on June 1, 2029 |
| WRAP, run by Worldwide Responsible Accredited Production | 12 principles covering labor practices, health and safety, the environment, and import, export and security compliance, where WRAP adopts CBP's CTPAT guidelines for foreign manufacturers as the minimum | Certification of the facility |
SAI publishes the list of SA8000 certified organizations, so you can look up a supplier that claims the certificate.
Security audits against CTPAT criteria for foreign manufacturers
CTPAT is a voluntary supply chain security program run by US Customs and Border Protection (CBP). CBP treats members as low risk, so their cargo is less likely to be examined at a US port of entry.
Foreign manufacturer membership is open to manufacturers incorporated in Mexico or Canada. A factory in China, Vietnam or India comes in as a business partner of a US member, and a security audit shows how the plant measures up to CBP's criteria.
CBP sets those criteria in the Minimum Security Criteria for Foreign Manufacturers of October 2021, with three focus areas and 12 categories.
CTPAT Minimum Security Criteria for foreign manufacturers (October 2021)
| Focus area | Categories | What the auditor looks at on site |
|---|---|---|
| Corporate Security | 1 Security Vision and Responsibility; 2 Risk Assessment; 3 Business Partners; 4 Cybersecurity | A written security program with named owners, a documented risk assessment, how business partners are screened, the social compliance program and IT security policies |
| Transportation Security | 5 Conveyance and Instruments of International Traffic Security; 6 Seal Security; 7 Procedural Security; 8 Agricultural Security | Secure storage for empty and loaded containers, the container inspection before loading, written high-security seal procedures, secured cargo staging areas and pest prevention |
| People and Physical Security | 9 Physical Security; 10 Physical Access Controls; 11 Personnel Security; 12 Education, Training and Awareness | Barriers and fencing around cargo areas, manned or monitored gates, ID badges, photo ID and a log for visitors, screening of new employees and a security training program |
Criterion 3.9 ties security to social compliance. Since January 1, 2023, CTPAT importers, exporters and foreign manufacturers must have a documented social compliance program that, at a minimum, shows how they make sure goods imported into the US were not made with forced, imprisoned or indentured labor. CBP's forced labor bulletin, updated July 24, 2026, lists supply chain audits as part of that due diligence.
Factory audit checklist, area by area
The table combines the areas that ECQA, Tetra Inspection, QIMA and V-Trust check, with the evidence the auditor asks for in each.
Factory audit checklist: what the auditor checks and the evidence behind it
| Area | What the auditor checks | Evidence the auditor asks for |
|---|---|---|
| Registration and site | The registered company name, the factory address, the ownership and the main products | Business registration, ownership records, certificates held |
| Capacity and workforce | Production lines, shifts, headcount and output against your volume and lead time | Production plans, shift and headcount records, output records |
| Machinery and maintenance | Age and condition of the equipment and tooling | Maintenance schedules and records |
| Quality management system | Quality policy and objectives, procedures, handling of non-conforming products, internal audits | Quality manual, standard operating procedures, work instructions, quality records |
| Incoming materials | How materials are approved, received, inspected, stored, released to production or rejected | Supplier approval procedures, incoming inspection records |
| Process control | Inspection points on the line, work instructions and approved samples at the stations, equipment settings | In-process inspection records, process records, statistical process control charts |
| Testing and calibration | Test equipment suited to your specification and its calibration status | Calibration records traceable to standards, test procedures |
| Traceability | The link from finished goods back to material batches | Batch and lot records, production dates, material records |
| Warehouse and storage | Organization, identification, first-in-first-out stock rotation, segregation of rejected goods, storage conditions | Inventory records, what the auditor sees on the floor |
| Worker training | Training before workers go on production orders, competency at key stations | Training records |
| Health and safety | Fire equipment and exits, protective equipment, chemical storage, machine guarding | Observation on the floor, safety training records |
| Subcontracting | Whether any steps are outsourced, which ones, how subcontractors are approved and monitored, whether the buyer was told | Subcontractor list and approval records |
| Samples and R&D | Capacity to develop and make samples | Sample room, sample records |
TAKEAWAY Agree the checklist with the audit company before the visit and write your product's own requirements into it. The report scores what the checklist covers, so a requirement left off the list gets no score.
How audit day runs at the factory
At Tetra Inspection, a standard audit runs in five stages:
- Scope. You and the audit company agree the audit type and the checklist before the visit.
- Opening meeting. The auditor confirms the scope with factory management and asks for the documents and records.
- Facility tour. The auditor walks the production lines, warehouses, QC stations, testing lab and worker facilities, taking photos as evidence.
- Documents and records. The auditor checks quality documents, calibration logs and training records against ISO 9001 and your requirements, and interviews staff.
- Closing meeting. The findings are discussed with management before the auditor leaves, and the report follows within 48 hours.
The audit report and the factory rating
At Tetra Inspection, the report contains:
- an overall rating with its percentage score
- a score for each area
- findings with time-stamped photos
- a corrective action plan
- a factory profile with workforce size, production capacity, certifications held and main equipment
Tetra Inspection grades factories on four levels:
- A (90 to 100%). Strong systems, suitable for all order types.
- B (70 to 89%). Generally capable, with periodic inspections to monitor output.
- C (50 to 69%). Improvement needed. Agree a corrective action plan before you order and verify it with a follow-up audit.
- D (below 50%). Not recommended without major improvements.
Corrective action plan and follow-up audit
Expect findings. The corrective action plan (CAP) turns them into fixes with owners and dates. ECQA names six parts of a CAP: the problem, its root cause, the corrective action, the person responsible, the target date and the evidence that the fix is in place. The root cause matters, because a factory that fixes the defect alone tends to see the same problem return.
Audit findings by severity and what to require
| Severity | Examples | What to require before the order | How the fix is verified |
|---|---|---|---|
| Critical | Missing fire safety equipment, no quality management system, unapproved subcontractors | The fix completed and verified before any production order is placed | Evidence reviewed, or a follow-up audit, before the purchase order |
| Major | Gaps in the quality system, equipment maintenance issues, incomplete documentation | A fix agreed with a deadline, typically 30 to 90 days | A follow-up audit, usually 3 to 6 months after the first |
| Minor | Some missing calibration records, incomplete training logs, housekeeping issues | Handled through the factory's own improvement process | Checked at the next scheduled audit |
The deadlines follow Tetra Inspection's practice, and the major and minor examples come from Cosmo Sourcing.
A follow-up audit rechecks the areas flagged last time. Track every action to completion, because Tetra Inspection reads a factory that ignores its CAP as one where quality improvement is not a priority.
TAKEAWAY Put the CAP into the purchase order, with critical findings closed and verified before the deposit.
What an audit costs and how many man-days it takes
Audit companies charge per man-day, meaning one auditor on site for one day.
Published audit rates per man-day
| Audit | Rate per man-day | Company | What is included |
|---|---|---|---|
| Factory audit, Asia | $440 | Tetra Inspection | All-inclusive in China, Hong Kong, Vietnam, India, Bangladesh, Cambodia, Indonesia, Malaysia, Myanmar, Pakistan, the Philippines, Sri Lanka and Thailand |
| Social compliance audit, Asia | $440 | Tetra Inspection | Billed at the same audit rate |
| Supplier verification audit, Asia | $240 | Tetra Inspection | One man-day, billed at the inspection rate |
| Factory audit, major manufacturing clusters in Asia | $398 | V-Trust | All-inclusive, with no extra charge for travel or weekends |
| Social compliance audit, major clusters in China, Vietnam and India | $498 | V-Trust | All-inclusive, with the report and CAP within 3 days |
| Factory audit | From $280 | QC Advisor | All-inclusive in mainland China; travel can be added in other countries |
| Supplier audit, China, Vietnam, India, Bangladesh, Cambodia and Thailand | $669 | QIMA | All-inclusive of the auditor's travel, meals and accommodation, overtime and weekend work |
The number of man-days sets the bill. QIMA completes most manufacturing audits in one day on site, while a large plant, several sites or a combined quality and social scope can add man-days. At Tetra's Asian rate, which applies when you are shipping from Vietnam or importing from India as well as from China, a one-day audit costs $440 and a two-day combined audit $880.
Choosing an audit company or agent
A factory audit can be run by a third-party audit company, which brings standard checklists and reports you can compare across suppliers, by your sourcing agent as part of its supplier vetting, or by you on your own visit, which shows you the most but costs time and travel.
For a social program, the choice is narrower. Only Sedex Affiliate Audit Companies may run SMETA audits, and SA8000 certificates count only when a body accredited by SAAS (Social Accountability Accreditation Services) issues them.
Before you book, ask the audit company for:
- A sample report, so you see the rating, the photos and the CAP format before you pay.
- The rate and what it includes, such as travel, weekends and the number of man-days for your factory.
- The report turnaround, which runs from 48 hours to a few working days depending on the company.
Where the audit fits in your order and shipping plan
On a typical first order, whether you found the supplier on Alibaba or at the Canton Fair, the audit comes after you check the supplier, and you can approve a sample before or after it.
These parts of the audit carry into the order:
- The CAP deadlines go into the purchase order together with the follow-up audit and the inspection clause.
- The capacity in the factory profile shows whether the promised lead time is realistic, and that sets the cargo-ready date you give your forwarder.
- The open quality findings tell the inspector at the pre-shipment inspection what to watch on the finished goods.
Buying FOB puts the ocean booking in your hands.
TAKEAWAY Your freight booking follows the audit. The approved supplier and the cargo-ready date in your purchase order decide which sailing you book.
How Platton helps with shipping from audited factories
Your audit company tells you which factory to trust. Platton moves what that factory makes to the US. We are a member of WCA, JCtrans and NCBFAA, with US offices in Seattle, Portland, Chicago and Savannah. Our AI-driven platform holds the quotes, bookings, documents and tracking for every supplier you approve.
Ocean freight booked once the supplier is approved
When the factory is approved and the order is placed, we book your ocean freight on a sailing that fits the cargo-ready date, with confirmed space, peak season included. Sailings leave every week from the main supplier ports on the China to USA lane, in Vietnam and on the India to USA lane. We book with Maersk, MSC, CMA CGM, Evergreen and Hapag-Lloyd. Ship FCL or LCL to match your volume. Your live quote comes from the same platform, and the rate is locked at booking. If a CAP fix pushes production late and the stock has to land by a set date, air freight carries the first cartons while the rest follows by sea.
Pickup and consolidation across several approved factories
Buying from two or more audited factories? On request, we pick up at each supplier's factory and bring the goods to our consolidation warehouse in China. Every PO is logged on arrival with photos, carton count, weight and dimensions. Then comes a basic check of packaging integrity, label accuracy and the count against the packing list. Buyers consolidation then loads every supplier's cartons into one container, sealed at the origin warehouse.
Invoices, certificates and test reports from each approved factory
Each approved supplier sends its own commercial invoice and packing list, and the certificates and test reports your goods need come from the factories as well. We collect them before the sailing and check that every set is complete, so a missing document is caught while the cargo is still at origin. That is our supplier document validation service. The documents are stored automatically next to your booking on our platform.
Real-time tracking for every approved supplier's container
Once the container leaves the port of loading, real-time container tracking shows where it is, and our team sends proactive updates through to delivery. Every new factory you approve shows up on the same cargo management platform as the ones before it.
Approved your first factory? Get a live quote for its first shipment to the US, with space on the sailing that fits your cargo-ready date.
Questions importers ask about factory audits
Is a BSCI audit a certification?
No. BSCI stands for Business Social Compliance Initiative, and amfori, the association that runs it, states that amfori BSCI is not a certification. The audit ends in a grade from A to E, without a pass or fail verdict. If you need a certified factory, look for a program that certifies the facility, such as SA8000 or WRAP.
How do you get a copy of a supplier's BSCI or SMETA report?
Through the program's own platform. Full amfori BSCI reports sit on the amfori Sustainability Platform, open to amfori members and their audited suppliers, and SMETA audits go on the Sedex platform, where only Sedex members can have one uploaded. If you belong to neither, ask the supplier for its report and the audit date, or book a social compliance audit of your own.
Is a factory audit the same as ISO 9001 certification?
No. A quality audit you book measures the factory against ISO 9001, but it does not lead to ISO certification. As Tetra Inspection points out, certification requires an accredited certification body. When a supplier shows you a certificate, check which edition it names, ISO 9001:2015 or ISO 9001:2026.
Who pays for a factory audit?
The buyer. Epic Sourcing notes that the buyer typically commissions and pays for the audit because it protects the buyer's interests, and that reputable factories expect a scheduled visit from the buyer's inspector. Paying the audit company yourself also means its report comes to you.
Can you add your own checks to a standard factory audit?
Yes. Tell the audit company before the visit, and your checks go into the checklist. QIMA offers add-on modules such as social responsibility, R&D and sampling capacity and RoHS, priced into the quote, and Tetra Inspection adapts its checklist to standards such as GMP, HACCP and IATF 16949.
Do you need a factory audit on a small first order?
It depends on how much the order puts at risk. The lighter step is a supplier verification audit, one man-day at $240 at Tetra Inspection, paired with an approved sample and a pre-shipment inspection of the goods. Move to a full factory audit before your first larger order with that supplier.
How often should a supplier be re-audited?
Tetra Inspection recommends periodic factory audits for established suppliers, and its timing advice names an annual audit. Social audits follow their program's cycle. The amfori BSCI cycle runs two years, with a follow-up audit in between for factories graded C, D or E.
Related guides on suppliers and imports
- How to import from China to the USA: every step from the first supplier search to delivery.
- Fake supplier red flags: the checks to run on a supplier before any audit or deposit.
- Pre-shipment inspection: AQL sampling, inspection costs and what to do when the goods fail.
- Supplier document validation: how the shipment documents are checked before the container sails.
- First-time importer guide: what the purchase order on a first order should say.
