审厂要求 Audit Document List - Ver A
Audit Document List
Base and percentage of each type of social insurance不同险种的社保基数及费率
9.Health and safety健康与安全
Inspectioncertificate of completionofconstruction建筑项目竣工验收报告
Firesafety inspectioncertificae消防验收证书
Machinery maintenance records设备维修保养记录
Kitchen hygiene permit/ kitchen workers’health certificates& hygiene knowledge traning certificates厨房卫生许可证/厨工健康证及卫生知识培训证
Penaltyrecords /reward records奖惩记录
Promotion / demotion records升迁/降职记录
Comprehensive working hours system approval / extension of overtime hours application with approval综合计算工时批文/延长加班工时申请批复
Personal protective equipment purchasing record个人防护用品购买记录
Audit check list
审核日期Date审核员Auditor 审核要素4.1总要求受审核部门Dep. Ref.Clause审核日期Date审核员Auditor审核要素Ref.Clause 4.2文件要求受审核部门Dep.审核日期Date审核员Auditor审核要素Ref.Clause 5.1管理承诺5.2以顾客为焦点受审核部门Dep.审核日期Date审核员Auditor审核要素Ref.Clause 5.3质量方针5.4质量目标受审核部门Dep.审核日期Date审核员Auditor审核要素Ref.Clause 5.5 职责、权限和沟通受审核部门Dep.审核日期Date审核员Auditor 审核要素5.6管理评审受审核部门Dep. Ref.Clause审核日期Date审核员Auditor审核要素Ref.Clause 6.1资源提供6.2人力资源受审核部门Dep.审核日期Date审核员Auditor 审核要素6.3基础设施受审核部门Dep. Ref.Clause审核日期Date审核员Auditor 审核要素6.4工作环境受审核部门Dep. Ref.Clause审核日期Date审核员Auditor审核要素Ref.Clause 7.1产品实现规划受审核部门Dep.审核日期Date审核员Auditor审核要素Ref.Clause 7.2与顾客有关的过程受审核部门Dep.审核日期Date审核员Auditor审核要素Ref.Clause 7.3设计和开发受审核部门Dep.审核日期Date审核员Auditor 审核要素7.4采购受审核部门Dep. Ref.Clause审核日期Date审核员Auditor审核要素Ref.Clause 7.5.1生产和服务提供的控制受审核部门Dep.审核日期Date审核员Auditor审核要素Ref.Clause 7.5.3标识和可追溯性受审核部门Dep.审核日期Date审核员Auditor 审核要素7.5.4顾客资产受审核部门Dep. Ref.Clause的所属关系清晰可见，识。
SGS Rohs 审厂要求
工厂审核自评Self-evaluation for Factory assessment亲爱的申请者，该自评表是用来帮助您及您的工厂准备工厂审核以及评估您的工厂状况，以便您能够准备好相关文件以节省审核时间。
在您自我评估之后请将该表的第一页回传SGS。
（请以英文为主，中文翻译仅供参考）Dear Applicant,This self evaluation form should help you to prepare your self and your organization for factory assessment. By this you evaluate the status of your factory and can prepare relevant documents in order to save the audit time. After self evaluation please send first page back to SGS.申请者信息Information about applicant公司名称Company name:公司地址Office address:联络人Contact person(authorized):电话号码Telephone No.: 传真号码Fax No.:缺少多少文件?How many documents aremissing?:在您的评估之后，是否同意接受工厂检查?Are you ready for the factory assessment after your self evaluation?是/ Yes 否/ No请提供SGS一审核日期，且当日生产被验证的产品。
Please provide SGS a audit date on that the certified product is produced审核日期Audit date:负责人Person in charge:日期及签名/盖章 (Date and signature / stamp)。
Quanta_供应商常规审厂所需的记录和文件清单
Section 05. Non-conformity control 1 Customer complaint list, for Quanta is preferred. 2 SCAR list for vendor 3 Process CAR list. 4 OQC CAR list
attachment
Section 03. Inspection 1 IPQC& OQC&ORT inspection plan for Quanta models or similar models.
2 Sampling plan for incoming inspection and outgoing inspection
Section 06. Process Control 1 Production WI for Quanta models or Similar. 2 PMP documents for Quanta models or Similar. 3 PFMEA documents for Quanta models or Similar. 4 SPC application plan , training material, examination record. 5 Gauge R&R plan. 6 ECN/or 4M1E change list.
Section 07. GP control 1 Evidence in compliance with Quanta GP standard. 2 GP substance testing WI. 3 GP management procedure.
供应商审核检查表
供应商审核检查表(总12页)--本页仅作为文档封面，使用时请直接删除即可----内页可以根据需求调整合适字体及大小--供应商审核检查表ADVANCED MICRO DEVICES SUPPLIER AUDIT CHECKLIST供应商(SUPPLIER):___________________________________________地址(LOCATION):_____________________________________________AMD审核成员(AMD AUDITORS):__________________________________________________________________日期(DATE)：________________现场审核（ON-SITE AUDIT）_____ 书面审核（MAIL AUDIT）______注意：审核员在每个空格将输入一些关键数字，应答者应回答YES或NO，如果不适用回答N/ANOTE:On-site auditors will enter the key number rating in each space. For mail auditsurveys, respondents will answer yes or no, or use the key number rating system ineach space. If aquestion does not apply, answer N/A.质量承诺（QUALITY COMMITMENT）1.1是否有质量方针、目标或质量手册？Is there a quality policy, statement, or manual?_____是否定期评审、更新质量方针及手册？Is the quality policy or manual updated regularly?_____质量方针或手册是否包括本检查单提及的基本系统？Does the policy or manual include basic systems as identified in this checklist? _____对质量有影响的人员的职责与权限有无明文规定？Is the Quality function's authority and responsibilities clearly defined in writing? _____有无组织结构图？Is there an organization chart which identifies quality function elements?_____是否负责质量的人员有权拒绝不符合规定要求的物品？Does the Quality function clearly have the authority to withhold items that have not met an acceptable quality standard?_____有无书面的持续改进计划？Is there a documented quality improvement plan?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________总体质量体系的要求（GENERAL QUALITY SYSTEM REQUIREMENTS）有无定义了过程质量控制点的过程流程图？Is there a current process flow chart with process or quality inspection pointsdefined?_____有无追溯交付到原材料的系统并能贯穿在进出货检验、过程检验之中？Is there a system for lot traceability of materials that will trace materials from raw supplies to shipped product, which contains, quantity in/out, inspectionperformed?_____有无进料检验的管理程序？Is there a system which indicates the acceptance of material throughout the process? _____有无描述过程检验，使产品达到规定要求的整个生产过程的验收？Does the Quality function maintain a system for the use and control of inspectionstamps or an alternate method of indicating acceptance and identification of theperson making the decision?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________统计程序及质量控制（STATISTICAL PROCESS AND QUALITY CONTROL）有无书面的SPC系统文件？Is a SPC system defined and documented?_____是否有最高管理层参与评审SPC控制系统？Is there evidence of top management involvement?_____是否用统计的方法进行持续改进，以证明公司的质量方针、目标，是否达到？Do company policies/objectives reflect management's commitment to continuousimprovement through the use of statistical methods?_____是否建立了通过适当的特性来监控每个关键过程的程序，并且指明用何种统计技术？Have procedures and techniques been established to determine the appropriatecharacteristics to be monitored for each critical operation?_____是否有书面的文件规定当超出控制线时应提供适当的书面反应，并给予必要的行动？Is there a documented procedure defining out of control limits and significantpatterns within control limits which provides appropriate written responses foractions taken?_____有否使用控制图？Are control charts in use?_____控制图是否简明、扼要、清晰？Are the charts clear and concise?_____统计的控制线是否用于管制图中？Are statistical control limits used on the control charts? _____由谁发现失控情况？Who detects out of control condition(s)操作工operators_____ 主管supervisors_____ 维护人员maintenance_____工程师engineers_____ 经理managers__________谁对失控现象作出反应？Who responds to out of control condition(s)操作工operators_____ 主管supervisors_____ 维护人员maintenance_____工程师engineers_____ 经理managers__________当发生时有无及时的解决方案Is there prompt resolution of out of control conditions? _____有无制定记录控制图上的相关信息的程序，且被执行？Has a procedure been implemented for recording pertinent information on controlcharts?_____有无调整控制线的控制程序并执行？Has a procedure been implemented for establishing and adjusting control limits?_____有无建立减小过程变差的目标？Have goals been established to reduce variation in the process?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________人员培训及证明（PERSONNEL TRAINING AND CERTIFICATION）有无建立关键过程、操作、检验员工的培训程序？Are there training procedures for personnel assigned to work on critical processes, operations, and inspections?_____培训计划是否包括下列几个方面？Does the training procedure include the following?操作姿势指导及测试？Hands-on instruction and testing._____在特定的时期结束时或效果不好的特定时期，再测试和再培训？Retesting or retraining of personnel at the end of a specific time period or when performance indicates poor performance for a specified time period._____有无取消颁发能力资格证的标准规定？The criteria for decertifying and recertifying personnel._____培训记录及培训人员名单是可利用的、可保留的？Are training records and a list of trained personnel available and maintained?_____人员是否被培训在工作中用到的统计方法，Are personnel trained to use statistics within the job,especially SPC/SQC methods?_____人员达到了何种水平？What level of personnel?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________测量设备的控制（TEST AND MEASUREMENT EQUIPMENT CONTROL）有无程序规定测量设备的周期性校验？Is there a documented system for the automatic recall and periodic calibration of test and measuring equipment and measurement standards?_____若员工被允许使用自已的量测设备、那么此设备是否在公司规定的控制之中？If employees are permitted to use their own test and measuring equipment, is such equipment incorporated in the system?_____测试及测量设备的标准的校对是否基于制造商的定期（时间间隔）统计数据的基础上？Are test and measuring equipment and standards calibrated based on an establishedmanufacturer's interval or upon current statistical data?_____关于测量设备及测量标准的校对是否有文件化规定？Are procedures documented for the calibration of test and measuring equipment andMeasurement standards?_____公差的定义是否已被文件化？Are tolerances defined and documented?_____这份文件是否定义了对于超出公差的纠正措施？Do the procedures specify corrective action for an out of tolerance condition?_____这些校验是否遵循NISN、ASTM等标准？Is calibration traceable to nationally acceptable standards such as NIST, ASTM, etc._____校验记录是否包含以下信息？Does the calibration record include the following information?校验日期Calibration date._____校验人Person who calibrated the equipment._____下次校验的时间Next calibration due date._____适用的条件Applicable environmental conditions._____超出公差的设备在校验前有无保存记录？For out of tolerance equipment,initial reading before and final readingafter calibration._____5.3.4.6超差的情况是否有相应的纠正措施？Corrective actions taken for out of tolerance conditions._____5.3.4.7校验使用的基准物质有否进行校验？Unique identifier of the equipment being calibrated._____5.3.4.8有无使用的校验程序？Reference to the calibration procedure used._____5.3.5在使用前是否重新做测试及验证？Are acquired or reworked test and measuring equipment inspected and calibratedprior to use?_____有无预防性维护程序与日程安排？Are there preventive maintenance procedures and schedules maintained in each area? _____对于测量设备是否经常做相关的措施？Are regular correlation tests for measurement equipment conducted?_____测量设备是否有标识注明：校验日期、校验人、下次校验时间？Are labels utilized on test and measuring equipment and measurement standards to show the current calibration date, next calibration due date, and the person whoperformed the last calibration?_____是否有标识或其它方法表明测量设备或测试标准是过期的或超出公差范围的？Is there a system which uses tags or another method to identify past due or out oftolerance test and measuring equipment and measurement standards?_____对超出公差的测量设备是否会缩短其校验周期？Is the calibration interval for test and measuring equipment subject to decreasewhen identified as out of tolerance?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________文件与资料变更的控制（DOCUMENTATION AND CHANGE CONTROL）书面化的资料是否包含以下各项？Are the following documented?主要的设计特性（适用时）Major design characteristics (if applicable)_____使用的材料Materials used._____过程控制程序Process procedures._____检验程序Inspection procedures._____有关成品的制造及测试所必须的程序和记录是否被控制？All other necessary procedures needed for manufacturing and testing of finished products._____有否建立文件变更的管理系统？Has a system been established to make changes in controlled documentation?_____有否建立文件变更的审批准则？Is there an established level of approval needed for documentation changes?_____更改内容、生效日期是否在图纸、程序等文件上标明或证实？Are change levels and effectivity dates indicated and verifiable on drawings,procedures, etc._____若允许，手工的改动是否有受控文件的控制？If permitted, are handwritten changes to controlled documentation limited?_____依靠什么手段？By what means_____________________________6.5.2在规定的期限内，文件总清单上是否被更新以反映经认可的手写变动？Are specification masters upgraded to reflectauthorized handwritten changeswithi n a specific time period?_____如何控制？How is this controlled________________________________________6.6现行的文件是否有有效文件总清单？Are there master document files for active specifications?_____6.7是否保留文件变更的记录？Is the revision history for specifications retained?_____有无一既定的方法用来清除所有生产、检验现场内作废的图纸的程序及说明？Is there a method for removing obsolete drawings, procedures, and specificationsfrom all production and inspection areas?_____对于受控文件及其它公司的记录是否建立或已有一个纠正措施程序？Have error correction procedures for controlled documentation and other companyrecords been establishedand implemented?_____程序是否包含以下各项？Does the procedure include the following:不允许使用修正液No use of correction fluid allowed._____不允许使用铅笔No use of pencil allowed._____不允许使用钢笔No use of felt-tip pens allowed._____不允许涂改错误No obliteration of errors allowed._____纠正人能识别Identification of person making the correction._____修正的日期（年、月、日）Date (month, day, year) of the correction?_____是否注明修正的原因Reason for correction if not obvious._____在自动分发系统中对可能会没有被接收的是否每年定期审阅？For specifications not received by automatic distribution, is there an annualreview of specifications that assures that only the latest specifications are in use? _____必要的标准、图纸是否在现场易于得到并被理解？Are necessary specifications, required drawings, and other drawings accessible toin-process personnel?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________记录保存（RECORD RETENTION）以下记录是否被保存至所列出的期限内？Are the following records retained for the minimum time periods listed?人员的培训及测试（一年内的有效保存在整个雇用期间的记录）Personnel training and testing (one year active file retention, then archived for entire period of employment)._____检验操作记录、生产过程记录、进料和过程记录（一年）Inspection operations: production processes, incoming, and in-process (oneyear)._____有关图片、认证、质量一致性的检验（五年）Screening, qualification, and quality conformance inspection (five years)._____不良记录及分析（五年）Failure reports and analysis (five years)._____有关设计、材料、过程变更的书面记录（五年）Initial documentation and subsequent changes in design, materials, andprocessing (five years)._____设备的校验记录（五年）Equipment calibration (five years)._____预防性维护记录（五年）Preventive maintenance (one year)._____有关过程、利用率及材料控制的记录（一年）Process, utility, and material control (one year)._____证明产品的记录（5年）Product lot identification (five years)._____追溯产品的记录（5年）Product traceability (five years)._____意见（COMMENTS）:________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________总计（POINT TOTAL）：________异常时的纠正措施（NON-CONFORMANCE TO SPECIFICATION AND CORRECTIVE ACTION）不良材料是否被标识并隔离？Is non-conforming material identified and segregated from conforming material?_____不良材料是否定期做报告并提交管理层批阅？Are reports for non-conforming material regularly prepared and reviewed bymanagement for action?_____有无文件化的纠正措施系统？Is there a documented corrective action system?_____是否能提供预防同一问题再度发生的纠正措施？Does the system provide prompt, remedial action to prevent recurrence?_____对重大或重复发生的问题能否提供永久性的解决方案？Does the system provide permanent resolution to major or recurring problems?_____是否制定了所有纠正措施及措施被实施的跟进文件？Does the system provide documentation of and follow up on all corrective actions? _____有无MRB体统处理不良材料？Is there a Material Review Board (MRB) system to disposition non-conforming material?. SCAR,NCMR, etc.)_____所采取的纠正措施是否以内部检验结果及过程分析、自我审核、客户输入为基础？Are corrective actions and dispositions taken based upon internal material review,process analysis, self-audit results, and/or customer input?_____当不良品已被运往AMD时，供应商是否通知适当的AMD质量或采购人员？Does the supplier notify appropriate AMD Quality/Purchasing personnel when non-conforming material may have been shipped to AMD?_____若允许返工，是否有限制返工的不良材料的程序？If rework is permitted, are there documented procedures and limits for reworkingnon-conforming material?_____是否有返工、拒收材料的检验的书面程序？Are there documented procedures requiring the re-inspection of rejected or reworkedm aterial?_____是否对不良材料的最终处理权限做了书面规定？Is documentation available to provide authority for the final disposition of non-conforming material?_____内审是否以确保程序被完全执行为基础？Are internal audits conducted on a regular basis to assure continued compliance to procedures?_____内审的结果及反应是否报告并被维持？Are results and responses to internal auditsreported and maintained?_____意见（COMMENTS）:______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________客户联络（CUSTOMER INTERFACE）是否将AMD采购要求转化为制造命令并被适当的控制？Is the system for converting AMD purchase order requirements into manufacturingorders properly controlled?_____有无合同规定评审以确保制造命令与AMD当前最新的要求相一致？Is there a customer purchase order and specificatio review system which assures thatmanufacturing orders are updated to AMD's current requirements?_____当重要材料、过程发生变化或制造厂址发生变化时是否具有预先通知AMD的系统？Is there a system for advanced notification to AMD of major material or processchanges or change in the manufacturing plant location?_____是否具有让步系统使不良材料在运往AMD之前通知并获得AMD质量部、必要的制造、工程代表的批准？Is there a waiver system which notifies and obtains prior approval from AMD Qualityand the appropriate manufacturing engineering representatives before making shipment of non-conforming material to AMD?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________采购控制、评定（CONTROL OF PURCHASED MATERIALS, CHEMICALS, AND SERVICES）是否定义了原料挑选、认证和供应商检讨的方法？Is the method of selection, qualification, and review of suppliers defined?_____质量功能是否进行资源检验、来料检验及供应商审核？Does the Quality function operate a source inspection,incoming inspection, or asupplier audit program?_____是否一批准的供应商名录？Is there an approved suppliers list?_____是否具有一能确保采购材料系统，包括物理、化学、视觉功能尺寸要求？Is there a system that provides assurance that purchased material meets physical, chemical,visual, functional, and dimensional requirements?_____对于易老化的、寿命、环境敏感的材料是否根据需要加以识别和维护？Are limited life, age controlled, or environmentally sensitive materials identified and maintained according to requirements?_____包装材料是否满足AMD的需求？Is packaging material controlled to AMD requirements?_____分包方处加工的材料是否满足AMD的要求？Are subcontractors used to process material to AMD requirements?_____有无确保每个分包商有能力加工、处理、满足AMD要求的材料系统在生意之间？Is there a system to assure that each subcontractor has the capability toprocess material to AMD requirements prior to placing business?_____有无一系统确保每个分包商有最新的标准及设备以满足所需的检验和实验？Is there a system to assure that each subcontractor has the latest applicablespecifications and the equipment available to perform required inspections and tests?_____每个分包商是否具有文件化的质量控制程序？Does each subcontractor have a documented quality control program?_____有无一系统能保证所有分包商的材料符合最新的标准？Is there a system to assure that all subcontracted material consistentlyconforms to the latest applicable specification?_____有无批准的分包商名单？Is there an approved subcontractors list?_____有无AMD已经批准的分包商加工AMD的材料？Has AMD approved subcontractors that handle processing of AMD materials?_____每个分包商未经AMD的允许不得泄露？Does each subcontractor have a non-disclosure agreement with AMD?_____意见（COMMENTS）:____________________________________________________________________________________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________总计（POINT TOTAL）：________过程控制、检验方法及产品保证（PROCESS CONTROL, INSPECTION METHODS, AND PRODUCT ASSURANCE）过程检验是否被有效执行？Are in-process inspection activities performed?_____所必须的图纸、工程命令、标准及其它材料易于检验员得到？Do in-process inspectors have access to all required drawings, engineering orders, specifications, and other materials?_____成品的检验是否符合合同及图纸的要求？Is the finished product inspected to ensure that all contract requirements andcustomer drawings have been met?_____有无书面的检验指导书给QC？Are written instructions and procedures available to inspection personnel?_____有无书面的抽样方案？Is the sampling inspection plan defined and documented?_____检验程序中是否定义了检验、测量的设备？Is the test and measuring equipment required for inspections defined and documented in inspection procedures?_____是否具有检验及测试后的状态标识，以避免不良材料被投入使用？Is there a system for proper identification of the inspection status of in-processmaterials to prevent unauthorized use of non-conforming materials prior to approval for the move?_____过程是否被监控与要求一致？Are processes monitored to assure compliance with defined requirements?_____关键的工作区域中环境的要求是否被书面化并执行？Is environmental control and cleanliness documented and maintained in the critical work areas?_____意见（COMMENTS）:________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________总计（POINT TOTAL）：________包装、鉴定及海运（PACKING, IDENTIFICATION, AND SHIPPING）运输动作与书面规定是否一致？Are shipping operations performed in accordance with written instructions?_____材料上有无适当标签以提供追溯、鉴别用？Are packages labeled for proper traceability and identification of materials?_____包装及运输是否与AMD的要求相一致？Are industry and/or AMD packaging and shipping requirements available and being met? _____有无AMD所要求的如检验证明、检验数据等包含在运输中？Are all required documentation (inspection data,C of C, C of A, etc.) as specifiedby AMD's purchase orders or material specifications included with the shipment?_____意见（COMMENTS）:________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________总计（POINT TOTAL）：________审核评分AUDIT SUMMARY SHEET质量承诺Quality Commitment_____ out of _____总体质量体系的要求General Quality System Requirements_____ out of _____统计程序及质量控制SPC/SQC_____ out of _____人员培训及证明Training and Certification_____ out of _____测量设备的控制Test/Measurement Equipment Control_____ out of _____文件与资料变更的控制Documentation and Change Control_____ out of _____记录保存Record Retention_____ out of _____异常时的纠正措施Corrective Action_____ out of _____客户联络Customer Interface_____ out of _____采购控制、评定Material Control_____ out of _____过程控制、检验方法及产品保证Process Control/Inspection_____ out of _____包装、鉴定及海运Shipping/Packaging_____ out of _____TOTAL SCORE: _____ out of _____OVERALL PERCENTAGE RATING: ____________________________Note: Use of this summary is at the discretion of the AMD auditor(s).。
MGB验厂文件清单
25
Suppliers / Sub-contractor List and Assessment Record
合格供方（供应商，分包商）清单及审核记录
26
CAPA Procedure and Record
纠正预防措施程序/记录
27
Testing Record for the Traceability System
40
Inspection Records (IQC/IPQC/FQC)
检验记录（原材料/过程/成品）
41
Products Preservation Procedure,Temperature and Humidity Definition & Records (if applicable)
产品防护程序，温湿度规定及记录（若适用）
可追溯性体系测试记录
28
Legal Statutes and Mandatory Standards Applicable to Products/ Materials
产品，物料相关的法律法规和强制性标准（生产和拟销售地区的）
29
Products Risk Assessment Procedure/ Record
不合格品的控制程序
48
Non-conforming Products Review Record
不合格品的评审记录
49
Assessment/ReviewRecords ofProductTestNeed
测试需求评审记录
50
Testing Procedure & Record
产品的测试程序/记录
51
Testing Report Provided by Accredited laboratory (In-house or 3rdparty)
ZARA验厂-社会责任审核所需之文件
ZARA佥厂社会责任审核所需之文件Audit procedures includes: Opening Meeting, Facility Tour, Documents revie w, Employee Interview and Closing MeETI ng.请准备以下文件的正本予以审核，并恳请允许复印样本，谢谢！Please prepare the original documentation listed below for verification and samp le photocopying, thanks!1. 工卡或考勤记录（过去十二个月），包括在职与离职人员。
如果是使用电子考勤，审核员可能需要从计算机直接审阅考勤记录，审阅是会在企业职员协助下进行。
Timecards or Attendance Records （Last 12 Months）, including active employees and resignation employees. If electronics time card is used, the audito rmay need to review the time record directly from the computer, with the assistance from the facility staff.2. 工资表（过去十二个月），包括在职与离职人员。
如果工资是通过银行转账发放，请同时提供银行转账记录。
Payroll Records （Last 12 months））, including active employees and resi gnation employees. If wage paid by Bank Transfer, Bank Transfer recor d is required accordingly.3. 员工花名册及员工个人档案（含身份证复印件）Employee Roster and Employee Personnel Records （including I.D. cardcopy）4. 劳动合同Labor Contract5. 请假记录，离职申请/审批记录LeAVE Application Form, Resignation Application Form with Approval6. 社会保险收据，参保人员花名册，当地参保要求文件或合格证明文件等7. 工商营业执照Business Registration8. 建筑工程消防验收意见书或消防备案记录、消防检查报告Construction Project Fire Safety Acceptance Document/Record or Fire SafetyInspection Certificate9. 消防演习记录、紧急疏散计划及工伤记录等Fire Drill Record, Emergency Evacuation Plan, Work Accident Records andWork-related Injury Record10. 特种设备注册登记证（表）及检验报告，如电梯、起重机械、场（厂）内专用机动车辆、锅炉及压力容器（含气瓶，压力表及安全阀）等（如有）Special Appliance Registration Certificate and Inspection Report, such as L ift, Lifting Appliance, Inside Special motor vehicle, Boiler and Compressin gEquipment （including Gas Cylinders, Gauge and Safety Valve） and etc., i fany.11. 特种作业人员操作证，如电工、焊接工等（如有）；特种设备作业人员操作证，如电梯司机、起重机械司机、场（厂）内专用机动车辆司机、锅炉操作工、压力容器操作工等（如有）。
Factory audit required document list
QSA required document list:（品质体系文件需求清单）1.Quality manual and sub-class documents.质量手册及二级、三级文件2.Management review report for last year.管理评审报告3.Internal audit report and related corrective action and preventive action.内审报告及纠正预防措施4.Approved vendor list & Supplier qualification report.合格供应商名录及供应商审核报告5.Supplier quality improve process and plan供应商品质改善流程及计划6.Equipment list and equipment validation plan and report设备清单，设备校验计划及记录7.Logistic procedure. Focus on lead-time.交期管理流程，交期缩短计划，交期达成率记录8.10.Inspection and test criteria and report. Weekly/monthly quality record and statisticalanalysis report.检验测试标准及报告，品质报表（周报月报及统计分析）9.Bill of Material(BOM) list and process map or quality control flow chart.物料清单，工艺流程图，品质控制流程图10.Training plan and training record.培训计划及记录11.Document control process.文件控制流程，受控文件清单12.Engineering Change Notice(ECN) procedure.工程变更流程（工程变更实际案例）13.Several POs for critical parts关键物料采购订单14.First article inspection report首件检验报告SER requirement list.1. Employee handbook. 员工手册2. SER system document. 社会责任体系文件3. Employee name list and information record. 员工花名册&员工档案4. Checking-in record and OT record 考勤加班记录5. Payroll list 工资单（几份）6. Business license （营业执照复印件）7. Organization chart （组织架构图）8. labour contract （劳动合同）9. Record of underage employees. （未成年工/童工记录）10.Leave application and record. （请假单，离职单）11. Special equipment and operator’s certification.特种设备，特殊工种资格证书12．Canteen hygiene licence. Health certificate for canteen worker食堂卫生许可证，食堂工人健康证13.Dormitory management regulation宿舍管理规定14. 消防演习记录15.Environmental Impact Assessment record. 环评报告。
- 1、下载文档前请自行甄别文档内容的完整性，平台不提供额外的编辑、内容补充、找答案等附加服务。
- 2、"仅部分预览"的文档,不可在线预览部分如存在完整性等问题,可反馈申请退款(可完整预览的文档不适用该条件!)。
- 3、如文档侵犯您的权益，请联系客服反馈,我们会尽快为您处理(人工客服工作时间：9:00-18:30)。
RSMS Document List 受限物质体系审核文件清单
1.Restricted Substance Specification both from HOT & internal.- HOT及内部《限用物质规格》
2.Reasonable RS Testing Program - 合理测试方案
3.RSMS Policy / Objectives - RSMS方针&目标
4.RSMS organization chart or committee
5.Management Representative Qualification on RSMS - RSMS管理者代表的资质(如内审员证书)
6.RSMS Manual / Procedures (can be combined with ISO9001) – RSMS手册与程序文件（可与ISO9001
结合）
7.RS related External Document List (customer’s spec, Law and regulation list, etc.)– RS相关的外来文
件清单（如客户规格，法律法规等）
8.RSMS Internal audit report and management review report. – RSMS内审报告与管理评审报告
9.Drill of Traceability System. –产品可追溯性演练
10.Product Bill of Materials (BOM) or Bill of Substance (BOS) where the RS compliant information /
requirements shall be described clearly. –产品物料清单或物质清单表，在此表上要详细描述RS符合情况。
11.RS investigation form (based on product type / series or materials) – RS调查表(可基于产品型号或系
列或物料)
12.RS Approved Vendor List (AVL) – RS合格供应商清单
13.Supplier Declaration of Compliance (DoC) on RS –供应商的RS符合声明书
14.Suppliers’ 3rd party Lab Test Reports based on RSS and Testing Program. –供应商基于RSS与测试方
案而提供的第三方测试报告
15.MSDS (SDS) for substances and mixtures. –化学品（物质与混合物）的物质安全资料表
16.RS Supplier on-site Evaluation Records, Supplier and materials Approval. –供应商现场评估报告，供应
商与物料的承认书
17.RS Supplier Performance Records - 供应商表现记录
18.Risk evaluation form to suppliers and materials. - 供应商与物料的风险评估报告
19.RSMS related work instructions for operation and inspection (IQC, IPQC, OQC, QA) – RSMS相关的作
业指导书与检验指导书（来料，制程，出货与QA）
20.Processes Risk Evaluation Report - 制程风险评估
21.Direct Materials List and Indirect Materials List for each station. –每个岗位的直接接触材料与间接接触
材料清单
22.RSMS Training Plan & Records – RSMS培训计划与记录
23.RS internal test report based on the RSS and Testing Program (if any). –基于RSS及测试方案的内部
测试报告
24.IQC/IPQC/OQC/QA inspection report (randomly sampled on-site) – IQC/IPQC/OQC/QA检测报告。
25.RS testing machine(s) operator’s qualification(s) (if any). – RSMS测试仪器备的操作员证书（如有）
26.Calibration Plan and Records for RS tester(s) (if any).– RS测试仪器的检验计划与报告
Note: Original records of # 1, #5, #7, #8, #9 (if applicable), need to be presented at the time of audit.
C-TPAT audit should be conducted at all factories as long as HOT is the importer of record.。