When you should audit (and what type)

• Before awarding: when the project is high value, high risk (coastal/monsoon/desert), or highway/main road critical.
• Before mass production: when the first batch must match approved samples exactly.
• After repeated failures: when field issues suggest systemic QC gaps (ingress, connectors, early shutoff).

Audit types:

• Desktop audit (fast): documents + records only (good for initial screening).
• Remote audit: live video walk + record checks + sample verification.
• On-site audit (best): walk the line + verify records + observe sealing/QC steps.
• Third-party audit: when internal team cannot visit; require the same evidence pack.

Use this page with:

• Compare Quotes (Apples-to-Apples)
• RFQ & BOQ Kit

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Audit outcome rules (do not “score” before compliance)

Rule 1: If any PASS/FAIL gate fails, the supplier is “Not Comparable / High Risk” regardless of price.

Rule 2: Only after passing compliance gates do you score and rank suppliers.

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PASS/FAIL gates (mandatory evidence)

Fail the audit if the manufacturer cannot provide any of the following in a verifiable way:

• Configuration control: ability to build the quoted BOM repeatedly (panel Wp, battery Wh, controller, LED power/optics, CCT/CRI claims if specified).
• Traceability: serial number system linking unit → key parts → QC records.
• Sealing & ingress controls: documented sealing points + assembly checks + QC sign-off.
• Final QC + functional test: defined test steps and recorded results per batch.
• Warranty workflow: component-level warranty scope + SLA + claim evidence list.

Related references:

• IP & IK Selection (evidence-based)
• Warranty Terms (scope + SLA + evidence)
• Failure Modes (what QC must prevent)

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Pre-audit document request (send 3–7 days before)

Ask for these documents and records in advance. This prevents “show-only” audits.

A) Company & production basics

• Factory address and legal entity name
• Production line overview (main processes and stations)
• Monthly capacity statement (for the quoted configuration)
• Key equipment list (assembly, sealing, testing, aging)

B) Quality system evidence (records matter more than certificates)

• Incoming QC (IQC) checklist + last 3 batch records
• In-process QC (IPQC) checkpoints + last 3 batch records
• Final QC (FQC) checklist + last 3 batch records
• Calibration log for test equipment (recent entries)
• Nonconformance (NCR) and corrective action (CAPA) examples (recent)

C) Product configuration control

• BOM (bill of materials) for the quoted model/configuration
• Work instructions (WI) for key steps (sealing, wiring, programming, final test)
• Change control method (how they manage component substitutions)

D) Warranty & service readiness

• Component-level warranty scope and exclusions
• SLA (response/diagnosis/dispatch)
• Spare parts policy (batteries, controllers, connectors, glands, locks)

Procurement hubs (use as requirements):

• Spec Definitions Hub
• Quality & Testing Evidence Center
• RFQ & BOQ Kit

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On-site audit checklist (walk the process, verify records)

1) Incoming materials control (IQC)

• Verify how they inspect and record incoming batches (PV, batteries, controllers, LEDs, housings, gaskets, connectors).
• Ask to see 3 recent IQC records and confirm they match actual purchase lots.
• Verify quarantine method for rejected materials (physical separation + labeling).

2) Assembly line controls (IPQC)

• Verify work instructions exist at stations (wiring, connector mating, torque steps, sealing points).
• Ask “what happens when a step is missed?” and check if they have a documented rework process.
• Verify the manufacturer can build the exact quoted configuration without “similar replacement” on the spot.

3) Sealing points, cable glands, and ingress prevention (high risk area)

• Identify all sealing points (covers, gaskets, cable glands, lens interface, vents where applicable).
• Verify they have a sealing verification checklist and it’s signed per batch or per unit where required.
• Ask to see evidence photos policy (some factories maintain photo logs for sealing-critical products).

Use your own acceptance logic from:

• IP & IK Selection
• Installation & Commissioning Checklist

4) Wiring, connectors, and corrosion controls

• Check connector selection consistency (no “mix lots” without records).
• Ask what corrosion prevention method is used for coastal/humid orders (connectors, fasteners, coatings).
• Verify strain relief and cable routing design is consistent in assembly.

5) Controller programming & configuration control

• Ask how dimming profiles are set (time / PIR / hybrid) and how settings are recorded.
• Verify there is a commissioning/settings template (batch-based at minimum).
• Confirm the programmed mode matches the quote assumptions (energy budget alignment).

Reference:

• PIR vs Time Dimming
• Autonomy Days Calculation

6) Functional testing & aging (what is tested, and what is recorded)

• Verify final QC test steps: charging behavior check, lighting function check, sensor function if used.
• Ask if they perform any aging/burn-in; if yes, verify the method and see records (not claims).
• Verify test equipment calibration status (spot-check a few items).

7) Traceability (serial number → evidence chain)

• Verify how serial numbers are generated and applied (label, engraving, QR).
• Verify record linkage: serial number → configuration (BOM) → QC results → shipment batch.
• Ask for one random serial number and request the full record pull.

8) Packaging and shipment protection

• Verify packaging protects lens/housing and prevents connector damage.
• Check labeling: model/config/serial visibility, installation notes, warranty doc inclusion.

Red flags (high risk signals)

• They cannot show recent QC records (only verbal claims).
• They freely swap components during audit without change control records (“same same”).
• Sealing steps are not documented or not checked (no gasket/gland verification).
• No calibration log for test equipment.
• Warranty is a headline number only (no SLA, no component scope, no evidence workflow).

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Scoring rubric (after PASS/FAIL gates)

Category	What you score	Weight
Configuration control	BOM/WI/change control discipline; ability to reproduce quoted spec	25%
QC records quality	IQC/IPQC/FQC checklists + real recent records + NCR/CAPA examples	25%
Ingress & connectors	Sealing verification steps, gland controls, corrosion strategy evidence	20%
Testing & traceability	Functional testing records, calibration logs, serial-to-record linkage	15%
Warranty readiness	Component scope + SLA + claim workflow + spare parts policy	15%

Copy/Paste RFQ Clauses (Right-to-Audit & Evidence)

Clause 1 — Right to audit

Buyer reserves the right to conduct a factory audit (remote or on-site) before award and/or before mass production. Supplier shall provide access to production line processes and relevant records upon request.

Clause 2 — Mandatory QC records

Supplier shall provide recent IQC/IPQC/FQC records, calibration logs for test equipment, and NCR/CAPA examples. Verbal statements without records are not acceptable.

Clause 3 — Configuration and change control

Supplier shall provide BOM and work instructions for the quoted configuration and disclose any component substitution/change control method. Unrecorded substitutions are not permitted for production batches.

Clause 4 — Traceability requirement

Supplier shall provide traceability via serial numbers linking to configuration and QC results. Buyer may request random serial number record pulls as part of acceptance or warranty review.

Factory Audit Toolkit

Get the editable toolkit used to run repeatable audits and supplier comparisons:

• Pre-audit document request list (email-ready)
• PASS/FAIL gate checklist
• On-site audit checklist (by station/process)
• Evidence request sheet (records + photo requirements)
• Scoring rubric (editable weights)
• Audit report template (findings + actions + deadlines)

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FAQ

Is a factory certificate enough to trust quality?

No. Certificates are not a substitute for recent QC records, traceability, sealing controls, and an auditable warranty workflow.

What is the single most important audit item?

Traceability: the ability to take a random serial number and pull configuration and QC records. Without it, warranty and root-cause analysis become guesswork.

How do we prevent “sample is good, mass production is different”?

Require configuration control (BOM + work instructions + change control) and verify in-process QC records that the production batch matches the quoted configuration.