Audit Report Sample(Rev.3)

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Report Number: QIP-ASI204013Audit Date:14 Jan.,2020This report is issued by Focus Technology Co., Ltd. (Made-in-China.com) and the supervising inspectorate(SGS-CSTC Standards Technical Services Co., Ltd.) to confirm that:Company Name:ShowroomAddress::Product:YANGZHOU E-POLY TECHNOLOGY CO., h.en.made-in-china.comNo. 12, Lingbo Road, Economic Development Area, Gaoyou,Yangzhou, Jiangsu, ChinaUnderfloor Heating Mat and Cables, Pipe Freeze Protection Cables,Roof and Gutter Deicing Cables, Industrial Heat Tracing Productshas been on site audited for the Following Scope of Activity1. General Information2. Foreign Trade Capacity3. Product Research & Development Capacity4. Management System and Product Certification5. Production Capacity & Quality Control6. Working Environment7. Energy Saving and Emission Reduction8. PhotosGeneral Comments:YANGZHOU E-POLY TECHNOLOGY CO., LTD. is a manufacturer with 60 employees; it was established in 2004,located in No. 12, Lingbo Road, Economic Development Area, Gaoyou, Yangzhou, Jiangsu, China. The land occupiesan area of more than 22,000 square meters. YANGZHOU E-POLY TECHNOLOGY CO., LTD. has its own brands. Theyhave passed ISO9001:2015 certification, and obtained CE certificates, BACL certificate, conformity certificate ofexplosion-proof, ETL certificates, UL certificates for its products. YANGZHOU E-POLY TECHNOLOGY CO., LTD. hassuccessful foreign trading experience in Europe and North America.Sign for and on behalf ofSGS-CSTC Standards Technical Services Co., Ltd.Page No.:1 1 of 23

SGS No: QIP-ASI204013SUPPLIER ASSESSMENT REPORTAudited CompanyYANGZHOU E-POLY TECHNOLOGY CO., LTDAudited Site:No. 12, Lingbo Road, Economic Development Area, Gaoyou, Yangzhou, Jiangsu, ChinaConsigner ofAssessmentMade-in-China.comAudit TypeInitial AuditRe-auditAudit DateAuditor14 Jan.,2020Simon GaoVerify ReportReviewed byCONTENTSPart A: General InformationSection 1: Company OverviewSection 2: Human ResourcesPart B: Foreign Trade CapacitySection 1: Export Overall SituationSection 2: Export Business CapacitySection 3: Supplier ManagementSection 4: After-sales Service CapacityPart C: Product Research & Development CapacitySection 1: Product Research & Development CapacityPart D: Management System and Product CertificationSection 1: Management System(s) and Product CertificationPart E: Production Capacity & Quality ControlSection 1: Production Capacity SectionSection 2: Production Process ControlPart F: Financial PositionSection 1: Financial DataSection 2: Key Performance IndicationsSection 3: BankingSection 4: Product InsurancePart G: Working EnvironmentSection 1: Working EnvironmentPart H: Energy Saving and Emission ReductionSection 1: Environmental ManagementSection 2: Water, Gas and Noise ControlPart I: Industry InformationSection 1: Industry InformationPart J: PhotosSection 1: Photos of DocumentsSection 2: Photos of CompanyPage No.: 2 of 23www.sgs.com/ecvSimon Wang

SGS No: QIP-ASI204013Part A: General InformationSection 1: Company Overview1.1 Legal ValidityDoes the company have a validbusiness license?YesNoOthersRegistrationNumberValid Date91321084762818677FYear of established22 Jun.,2004Registered addressNo. 12, Lingbo Road, Economic Development Area, Gaoyou City21 Jun.,2036Actual addressNo. 12, Lingbo Road, Economic Development Area, Gaoyou, Yangzhou, Jiangsu,ChinaDoes the company in abnormaloperation status list of industrialand commercial bureau?NoRegistered capitalUSD 5,000,000Name of legal representativeMr. Yilong ZhangBusiness scopeProduction of electronic high efficiency insulation material, semiconductor rubber andplastic raw materials and products, wire and cable products; Processing of electrictracing band, explosion-proof junction box, explosion-proof distribution cabinet; (anyproject that needs to be approved by law can only be carried out after gettingapproval by relevant authorities)1.2 Basic InformationContact personMs. Sophia LuPhone number0086-18361033797URL/Web edLimited CompanyState-OwnedCompany typeType of ownershipFax numberTrading CompanyGroup CorporationPublic CompanyPrivate Owner0086-514-84669269Foreign joint ventureWholly foreign-owned enterprisesAssociated companyConfidentialProducts manufactured / soldscopeUnderfloor Heating Mat and Cables, Pipe Freeze Protection Cables, Roof and GutterDeicing Cables, Industrial Heat Tracing Products1.3 Company Building InformationAccording to:Land certificateLease agreementReal estate certificateObservation Estimated on siteThe company area 10,000 square metersThe land occupies 22,000 square meters.The offices occupy 1,000 square meters.The workshops occupy 6,000 square meters.Page No.: 3 of 23

SGS No: QIP-ASI204013Section 2: Human Resources2.1 Company ChartABDCEFG2.2 Explanation of Code and Employee DetailsCodeDepartmentNumber of employeesAGeneral Manager1BFinancial Dept.2CAdmin Dept.3DTechnology Dept.4EQuality Control Dept.4FSales Dept.15GProduction Dept.31Number in total:602.3 Key StaffTitleGeneral ManagerFull nameMr. Yilong ZhangEducationDoctor's degreePage No.: 4 of 23Working experience for this trade /total experience25 / 25 years

SGS No: QIP-ASI204013Part B: Foreign Trade CapacitySection 1: Export Overall Situation1.1 Export Overall SituationDoes the company have a valid Import and Export license?The import and export enterprise code.YesNo3200762818677The number of foreign trading staff with relevant tradingexperience.within 1 year staff6-10 years staffTotal 3 staffsThe language freely used by foreign trade staffEnglishothers: RussianAnnual revenue of previous yearConfidentialAnnual export revenue of previous yearConfidentialEstimated export revenue for this year.ConfidentialOverseas agent / branchYesNoShanghai PortFOBCIFLCT/TWestern Unionwithin 15 workday4-6 monthswithin 15 workday4-6 monthsNearest portAcceptable quotation termsAcceptable payment termsAverage lead time (Peak Season)Average lead time (Off Season)1-5 years 2 staffsover 10 years 1 staffCFR Other:EXWD/PPayPalSmall-amount paymentone month2-3 months6-12 monthsmore timeone month2-3 months6-12 monthsmore timeSection 2: Export Business Capacity2.1 Market Distribution (please list top three areas)MarketNorth AmericaMain ProductMain clientUnderfloor Heating Mat and Cables, Pipe FreezeProtection Cables, Roof and Gutter DeicingCablesConfidentialUnderfloor Heating Mat and Cables, Pipe FreezeProtection Cables, Roof and Gutter DeicingCablesConfidentialUnderfloor Heating Mat and Cables, Pipe FreezeProtection Cables, Roof and Gutter DeicingCables, Industrial Heat Tracing ProductsConfidentialSouth AmericaEuropeSoutheast Asia/ MideastAfricaEast Asia (Japan/ SouthKorea)AustraliaDomesticOthersPage No.: 5 of 23

SGS No: QIP-ASI204013Section 3: Supplier Management3.1 Supplier ManagementItem1ContentDoes the company establish and implementan effective suppliers’ assessmentprocedure?Does the company have an updated list ofapproved suppliers?2Observations /CommentsHave the written procedures and followed recordsHave the written procedures but no recordsHave relevant records without written procedureNo written procedures or followed recordsOtherThe approved suppliers list was updated in 2020Have the written suppliers without approved signature ordate.Provided some suppliers namesNo approved suppliers listOtherSection 4: After-sales Service Capacity4.1 After-sales Service CapacityItem1234ContentIs there a procedure to conduct randomproduct inspection after final packaging inplace?Is there a clear procedure for handlingcustomer complaints?Can the finished/packaged product be tracedby lot identification to the appropriate rawmaterials test reports?Are corrective & preventive actionsmechanism established and implementedeffectively (including the suppliers/sub-contractors control, incoming inspection,process control, final inspection and customercomplaint)?Observations /CommentsHave clear standards and written inspection recordsNo written standards but had inspection reportsHave the procedures but no inspection recordsIt’s not necessary to carry out the inspectionOtherHas the clear procedure and followed recordsHas the procedure but no written records.No written procedures or records.OtherHave the procedures to trace the raw materials.Can trace main materialsCan trace production date.Can’t trace productsOtherHas the clear procedure and followed recordsHas the procedure but no written records.No written procedures or records.OtherPage No.: 6 of 23

SGS No: QIP-ASI204013Part C: Product Research & Development Capacity1.1 Product Research & Development Capacitywithin 1year staff1-5 years staff6-10 years 3 staffsover 10 years 1 staffTotal 4 engineersTechnology engineers were responsible for confirmingcustomer's request, designing new products and providingtechnical support for production and after-sales service.The amount of R&D and relevant working experience.What is the main job responsibility for R&D engineers?Is there any relevant design input, output, review,verification and validation documentation available forauditor to review?YESIs there any special software or instrument used by the R&Dstaffs during the design process of new products?If yes, please list the main software or instrument.Does the company have an effective design change controlprocedure in place?Please list the patent certificates and qualification license.YESSoftware: AutoCAD, CDRAT M, Autodesk Inventor, AdobePremiere Pro CS6, Photoshop, etc.Instrument: Oven, constant temperature water tank, universaltension machine, low temperature impact testing machine,aging box, waterproof ability testing machine, insulationresistance tester, pressure tester, etc.YESPatent certificates: Total 8 PCSZL201820877746.4;Page No.: 7 of 23

SGS No: QIP-ASI204013Part D: Management System and Product Certification1.1 Management System and Product CertificationManagement system certificationProduct certificationISO9001:2015 certificateCertificate Name:ISO9001:2015 certificateNO.: 00218Q25022R1M Issued by: IQNetIssued Date: 20 Aug.,2018Valid Until: 07 Oct.,2021Scope: Design and production of self-regulating electric heattracing belt; constant power electric heat tracing belt oftandem type and parallel typeCECertificate Name:CENO.: 0388/IN-IST-15Product Name: Residential pipe heating cableModel: PFPC seriesStandard: EN 60335-1:2012 A11:2014; EN 60335-2-962002 A1:2004 A2:2009; EN 62233:2008, EN55014-1:2006 A1:2009 A2:2011; EN55014-2:1997 A1:2001 A2:2008, EN 61000-3-2:2014; EN61000-3-3:2013Issued by: SGSCertificate Name:CENO.: 16-PS-0306-TAT-16-LVD&EMC-1017Product Name: Under-Tile Heating SystemModel: LSW series, UT seriesStandard: 2014/35/EU Low Voltage Directive, 2014/30/EUElectromagnetic Compatibility Directive, EN60335-1:2012 A11:2014; EN60335-2-96:2002 A1:2004 A2:2009; EN 62233:2008; EN55014-1:2015; EN 55014-2:2015; EN 61000-3-2:2014; EN61000-3-3:2013Issued by: TUV Austria TurkULCertificate Name:ULNO.: 20140801-E351246Product Name: Radiant Heating EquipmentStandard: UL 1683- outline of investigation for electric, heatingproducts for installation under, floor coverings, CAN/CSAC22.2 No.130-03 - requirements for, electrical resistanceheating cables and, heating device setsIssued by: UL LLCPage No.: 8 of 23

SGS No: QIP-ASI204013CCCRoHSFCCOthersCertificate Name: Test ReportNO.: 1909F353Product Name: Explosion-proof constant power series typeelectric tracing beltModel: EPSC6 60W/m AC660VStandard: GB3836.1-2010, GB3836.3-2010, GB/T19518.1-2017Issued by: China national quality supervision and test centrefor explosion protected electrical productsIssue Date: 25 Nov.,2019Test reports for raw materialsNILRoHSReachOthersNILPage No.: 9 of 23

SGS No: QIP-ASI204013Part E: Production Capacity & Quality ControlSection 1: Production Capacity1.1 Production Workflow ChartWire WindingInsulation ProcessingWeavingExtrusionPlug InjectionTerminal AssemblyAssemblyFunction TestPacked Products1.2 Products Situation (Top three Product Categories)ProductPrice rangeConfidentialMin. order quantity Top monthly output Average monthly outputConfidentialConfidentialConfidentialTotal in alUnderfloor HeatingMat and CablesConfidentialRoof and GutterDeicing CablePage No.: 10 of 23Confidential

SGS No: onfidentialConfidentialPipe FreezeProtection Cables1.3 Main FacilitiesPictureFacility nameWire winding machineBrand orTarget Value/machine*day QuantityCountry/Region of originChinaConfidential6High temperature extrusionlineChinaConfidential2Low temperature extrudinglineChina and TaiwanConfidential3Wire drawing ealing lineChinaConfidential1Weaving machineChinaConfidential28Page No.: 11 of 23

SGS No: QIP-ASI204013Vertical injection machineChinaConfidential3Terminal assembly machineChinaConfidential12Section 2: Production Process Control2.1 Production Process ControlItemContentObservations /Comments1Product R&D capacityOwn brandODMOEM2Are the environmental conditions, such as tidinessand cleanliness being controlled and suitable forthe operation performed?Very tidyNormalNeed to improveVery poor3Are the necessary items /documents provided atappropriate location and under control?Work Instructions /proceduresWorkmanship standard /acceptanceGolden sample /Approval sampleProduct pictureVerbal by workshop director4Are written instructions available for incomingmaterial inspections /testing?Is the relevant record maintained?Has instructions and uniformly followedHas instruction but no written recordsMaterials checked by storage staff5Are written inspections /testing instructionsavailable for finished products?Is the relevant record maintained?Have instructions and uniformly followedHave instruction but no written recordsFinished product checked by packing staff6What type of inspection is used for finishedproducts?Random inspectionVisual inspectionFunction inspection100% inspectionVisual inspectionFunction inspection7Are non-conforming units clearly marked/segregated to prevent accidental dispatch?Marked and segregatedSegregated but not marked clearlyNot found on sitePage No.: 12 of 23

SGS No: QIP-ASI2040138How are the non-conforming units handled?Repaired and re-inspectionPicked outUsed under controlOthersPage No.: 13 of 23

SGS No: QIP-ASI204013Part G: Working EnvironmentSection 1: Working Environment1.1 Welfare BenefitsItem12345ContentDoes the company have effective proceduresto verify the age of staff at the time ofrecruitment?Do all workers sign employment contracts withthe factory?Is statutory contribution required for allemployees’ social insurance (e.g. healthinsurance, unemployment insurance, accidentinsurance etc.) paid for by the enterprise?Does the company have a clear and effectivepolicy on working hours, rest and vacations? Ifdoes, please list it.Does the company pay extra remunerationsfor all overtime work?Does the company have dormitories for staff?If yes, please describe the condition.6Observations /CommentsHas written procedure and keeps adequate agedocuments of workersHas written procedure but doesn’t follow recordsHasn’t written procedure or follows recordsAll workers sign employment contractsSome workers sign employment contractsOnly management staff sign employment contractsNo staff sign employment contractsAll workers have social insurance.Some workers have social insuranceOnly management staffs have social insuranceNo staff have social insuranceAll staffs work kept to the policyMost of the time it keeps to the policy except midseason.Usually needs overtime.No relevant records for working hoursDescribe the working hours: 8 hours per day, from Mon. to Fri.For all overtime work.For official holidaysFor official holidays except weekend.No extra remunerations for overtime.Provide dormitories for all staffProvide dormitories for workersProvide dormitories for management staffNo dormitories were provided.Describe the condition: equipped with air condition, washroom1.2 Labor ProtectionItemContentObservations /CommentsAre there uniforms for all staff in company?YesNoOther2Is the emergency medical supplies enoughand easily used in workshop?YesNoOther3Does the company arrange health and safetytraining for new workers?YesNoOtherDo the workers have the appropriateprotective equipment during operation inworkshop? Such as gloves, masks.YesNoOtherIs there training needed and carried out for fireprotection?YesNoOther145Page No.: 14 of 23

SGS No: QIP-ASI204013Part H: Energy Saving and Emission ReductionSection 1: Environmental Management1.1 Environmental ManagementItemContentObservations /Comments1Environmental Management SystemISO 14001 CertificateCleaner production managementNIL2Environmental Impact AssessmentThe Report of Environmental impact assessment isapproved by EPA Gaoyou in 2012.NIL3Check and Acceptance of CompletedConstructive ProjectsThe Report Completed Constructive Projects Inspectionand Acceptance is approved.NIL4"Three Simultaneity" for EnvironmentalprotectionThe Report of "Three Simultaneity" for Environmentalprotection Inspection and Acceptance is available.NILSection 2: Water, Gas and Noise Control2.1 Water, Gas and Noise ControlItemContentObservations /CommentsWater-intakingWater-intaking licenseNo water-intaking licenseNo water taken from natural water bodyWaste waterWater-draining license or contractHaving carried out waste water treatment before drainingHaving carried out waste water monitoring and the result ofwhich being within the standard limitNo detail activities were found3Emission to airAir pollutant emission licenseHaving carried out air pollutant emission monitoring andthe result of which being within the standard limitNo detail activities were found to reduce emission to air4Classification and Recycling for solid wasteHaving applied trash classification recyclingHaving special warehouse for hazardous wasteNo detail activities were found5NoiseThe company carried out noise monitoring and the result ofwhich being within the standard limit one time per yearNo detail activities were found12Page No.: 15 of 23

SGS No: QIP-ASI204013Part J: PhotosSection 1: Photos of Documents1.1 Photos of DocumentsDescription: Business LicenseDescription: Export LicenseMade-in-China.comDescription: National Industrial ProductProduction PermitMade-in-China.comDescription: Hi-tech Enterprise CertificateMade-in-China.comDescription: ISO9001 CertificateMade-in-China.comDescription: Trade MarkMade-in-China.comMade-in-China.comPage No.: 16 of 23

SGS No: QIP-ASI204013Description: Utility Model Patent CertificateDescription: Utility Model Patent CertificatesMade-in-China.comDescription: Conformity Certificate ofExplosion-ProofMade-in-China.comDescription: Conformity Certificates ofExplosion-ProofMade-in-China.comDescription: CE CertificatesMade-in-China.comDescription: CE CertificatesMade-in-China.comMade-in-China.comPage No.: 17 of 23

SGS No: QIP-ASI204013Description: BACL CertificateDescription: ETL CertificatesMade-in-China.comDescription: GOST CertificatesMade-in-China.comDescription: VED CertificateMade-in-China.comDescription: UL CertificatesMade-in-China.comDescription: Test ReportMade-in-China.comMade-in-China.comPage No.: 18 of 23

SGS No: QIP-ASI204013Description: Work Safety StandardizationCertificateDescription: Emission PermitMade-in-China.comMade-in-China.comPage No.: 19 of 23

SGS No: QIP-ASI204013Section 2: Photos of Company2.1 Photos of Company and Product SampleDescription: Company GateDescription: Factory AreaMade-in-China.comDescription: Workshop BuildingMade-in-China.comDescription: Workshop BuildingMade-in-China.comDescription: Workshop BuildingMade-in-China.comDescription: Staff Dormitary and Dinning RoomMade-in-China.comMade-in-China.comPage No.: 20 of 23

SGS No: QIP-ASI204013Description: OfficeDescription: OfficeMade-in-China.comDescription: Meeting Room and ShowroomMade-in-China.comDescription: LaboratoryMade-in-China.comDescription: LaboratoryMade-in-China.comDescription: LaboratoryMade-in-China.comMade-in-China.comPage No.: 21 of 23

SGS No: QIP-ASI204013Description: LaboratoryDescription: LaboratoryMade-in-China.comDescription: WorkshopMade-in-China.comDescription: WorkshopMade-in-China.comDescription: WorkshopMade-in-China.comDescription: WorkshopMade-in-China.comMade-in-China.comPage No.: 22 of 23

SGS No: QIP-ASI204013Description: WorkshopDescription: WorkshopMade-in-China.comDescription: WorkshopMade-in-China.comDescription: WorkshopMade-in-China.comDescription: Packed ProductsMade-in-China.comDescription: WarehouseMade-in-China.comMade-in-China.com-- End of the Report --Page No.: 23 of 23

Report Number: QIP-ASI204013 Audit Date : 14 Jan.,2020 This report is issued by Focus Technology Co., Ltd. (Made-in-China.com) and the supervising inspectorate (SGS-CSTC Standards Technical Services Co., Ltd.) to confirm that: Company Name : YANGZHOU E-POLY TECHNOLOGY CO., LTD. 扬州利家科技有限公司