最新的SQP验厂审核清单checklist及SQP评估标准

Document No.: SQP-D02 Issue Date: 25 Nov 2011 Issue No.: 00 Page 1 of 1©2011 Intertek, All Rights ReservedThe Intertek Group is the owner of the copyright in the material and intellectual know-how presented. No parts in this material maybe reproduced, adapted or distributed outside of your company without the written consent of the Intertek Group other than to the extent necessary to view the material.SQP Document List1. Organization chart2. Responsibility and/or job description,3. Quality System Procedures (e.g., quality policy, objectives, manual and procedures for theQuality Management System and other processes)4. Management review records5. Internal audit documents (audit plan, report, etc.)6. Supplier Control documents (supplier approval procedure / criteria, list of approval supplier list, supplier evaluation records, on-going performance monitoring, etc.)7. Document control procedure and records (including record keeping)8. Product specifications/requirements9. Inspection Instructions, acceptance criteria and inspection & testing reports (including thestages of IQC, In-process and Final inspection)10. Work instructions / workmanship standards for each manufacturing process11. Production schedules/records12. Procedure for defining and reporting of “incident”13. Product recall procedure14. Customer complaints records15. Corrective action reports (related to incident, internal audit, complaint, etc)16. Test records on Traceability system17. Equipment maintenance documents (plan, procedure, record, etc)18. Calibration of monitoring & measuring devices (plan, procedures, records, etc)19. Cleaning schedule and procedure20. List of Approved Chemicals with Corresponding Brands / Manufacturers21. Pest control documents (list of trained pest control staff, contract with external pest controlagency, pest control inspection record, bait documentation, etc)22. Record / plan for “Risk Assessment” of the entire manufacturing processes23. Risk assessment records of final product24. Product testing procedure/program25. Laboratory test reports (including lead and heavy metals content in paints, coatings and non-paint components, hardware, labels, final product, etc).26. Monitoring records of foreign body detectors (e.g. metal detection records, daily sensitivitychecking records of metal detectors…etc)27. Broken needle procedure & records (if applicable)28. Pre-production meetings records29. Process Control Plan30. Training (procedure, training needs & records)SQP文件清单1. 组织架构图2. 责任和 / 或职责描述3. 质量体系程序 (包括：质量政策、目标、质量管理体系手册和程序，以及其它流程)4. 管理层审查记录5. 内部审核文件 (审核计划、报告等)6. 供应商监管文件 (供应商核准程序 / 标准、已核准的供应商清单、供应商评估记录、持续表现监督等)7. 文件监管程序和记录 (包括记录保管)8. 产品规格 / 要求9. 检验要求说明、可接受的标准、检验和测试报告 (包括IQC的阶段、过程中和最终检验)10. 工作要求说明 / 每项生产工序的工艺技术标准11. 生产日程安排 / 记录12. “事故”的界定和报告程序13. 产品召回程序14. 客户投诉记录15. 整改行动报告 (关于事故、内部审核、投诉等)16. 追溯系统中的测试报告17. 设备维护文件 (计划、程序、记录等)18. 监督和测试设备的校准 (计划、程序、记录等)19. 清理日程安排和程序20. 已核准的化学品清单，附带相应的品牌 / 生产商21. 有害物管控文件 (受过培训的管控人员的名单、外部有害物管控机构的联系方式、有害物管控检查记录、投饵记录，等)22. 整个生产流程的“风险评估”记录 / 计划23. 最终产品的风险评估记录24. 产品测试步骤 / 程序25. 实验室测试报告 (包括涂料、涂层和非涂料部件中的铅和重金属、硬件、标签、最终产品，等)26. 夹杂物监控记录 (如：金属探测记录、金属探测器的日常敏感物检查记录，等)27. 断针处理程序 (如适用的话)28. 生产前会议记录29. 程序控制计划30. 培训 (程序、培训需求和记录)Supplier Qualification Program (SQP) Assessment CriteriaSection 1 - Management Commitment and Continual ImprovementAssesses the degree to which a company’s management is committed to providing adequate assessment resources, effective communication, systems of review that identify actions taken and opportunities for improvement.Section 2 - Risk Management SystemsThe company shall have management systems for assuring product safety, legality and quality. (Applies basic risk assessment principles)♦Legislative and Safety Requirements - the company must be aware of and make reference to up-to-date legislation, product standards, codes of practice and developments in science or technology that may impact the risk concerning their products and packaging in the countries of intended sales.♦Risk Assessment - the company shall have risk management plan for product and production processes, based on a risk assessment system which is systematic, comprehensive, thorough, fully implemented and maintained.♦Risk Assessment Verification - the company shall conduct the verification of risk assessment by competent person. Section 3 - Quality Management SystemsThe company shall develop, document and implement an effective quality management system, and address the following areas: ♦Policy Statement♦Control of Document - All documents, records and data impacting the management of product safety, legality and quality are present and effectively controlled♦Control of Records♦Specifications♦Responsibility and Authority - clearly defined and documented organizational structure♦Internal Audit♦Purchasing, Supplier & Sub-contractor Approval and Performance Monitoring♦Customer Property - customer property (including intellectual property) should be subject to controls♦Corrective and Preventive Action - procedures to record, investigate, analyse and correct cause(s) of non-conforming products or failure(s) to meet standards, specifications and procedures♦Identification & Traceability - a system to identify and trace product lots including raw materials, components and packaging materials for all phases of the production process (receipt of materials to product dispatch) ♦Incident, Product Withdrawal and Product Recall - a plan and system to effectively manage product withdrawal and product recall processes♦Business Continuity Planning - plan for identifying methods that ensure business continuity in the event of major incidents/threats to a business.Supplier Qualification Program (SQP) Assessment Criteria♦Customer Focus♦Complaint HandlingSection 4 - Site and Facilities ManagementThe site and the facilities must be maintained and managed so as to prevent or minimize contamination and assure the production of safe and legal finished products. Areas of focus include:♦Site Location and Perimeter♦Factory Layout, Product Flow and Segregation♦Staff Facilities - such facilities must be designed and operated so that they sufficiently minimise all risk of product contamination♦Cleaning and Hygiene Practices♦Waste/Waste Disposal - systems for the collection, collation and disposal of waste material♦Pest Control - controls and practices for minimizing the risk of pest infestationSection 5 – Product ControlThe company shall demonstrate effective control of its products to ensure safety, legality and quality including the following areas: ♦Reference Samples (pre-production and production) - procedures in place for the selection, handling, storage, approval and use of reference samples♦Chemical Control - chemical composition of products and chemicals used in the manufacture or processing of products shall be identified, monitored and recorded as required by legislation in the country of sale and / or manufacture ♦Product Packaging Materials♦Control of non-conforming materials - non-conforming materials, components and products shall be clearly identified, labelled, quarantined, investigated and documented♦Special Handling - handling requirements shall be in place for specific materials♦Product Transport, Storage and Distribution♦Stock Control and Product Release – procedures shall be in place to prevent release of finished product unless all agreed procedures have been followedSection 6 – Product Testing and Product Claims♦Product Testing – the company shall have a suitable, sufficient and validated testing program to ensure the safe, legal production of products that meet required quality standards.♦Product Claims – the company shall validate any declared product information or claims made regarding its products and monitor compliance with such claims necessary.Supplier Qualification Program (SQP) Assessment CriteriaSection 7 – Process ControlThe company shall demonstrate effective control of all operations undertaken, to ensure product safety, legality and quality – as well as ensure that the processes and equipment employed are capable of producing consistently safe and legal product with the desired quality characteristics. The following areas shall be addressed:Generic Hardline♦Control of Operations - ensure processes and equipment employed are capable of producing consistently safe and legal product with the desired quality characteristics♦Control of Incoming Components and Raw Materials♦In-Process and Final Inspections - to assure delivery of safe, legal product of the required quality♦Foreign Body Detection and Control♦Calibration and Control of Measuring and Monitoring Devices (for purposes of monitoring product safety, quality and legality) - shall be identified and calibrated to a recognized national or international standard♦Equipment & Tooling Maintenance♦Final Product Packing and ControlGarments♦Sample Preparation, Pattern & Marker♦Pre-production Activity♦Control of Incoming Components and Raw Materials♦Spreading, Cutting and Bundling♦Knitting♦Embroidery / Appliqué♦Printing♦Fusing♦Sewing♦Linking♦Washing♦Mending and Stitching♦Attachment♦Finishing and Pressing♦Final Inspections - to assure delivery of safe, legal product of the required quality♦Metal Detection and Control♦Final Packing♦Final Audit♦Calibration and Control of Measuring and Monitoring Devices (for purposes of monitoring product safety, quality and legality) - shall be identified and calibrated to a recognized national or international standardSupplier Qualification Program (SQP) Assessment CriteriaToys♦Pre-production Activity♦Control of Incoming Components and Raw Materials♦Molding (Injection molding, Blow molding, Insert molding, Roto cast molding, Diecast molding, Vacuum Forming, etc) ♦Die Cutting for Fabric/Rigid Plastic/PVC Sheet or Laminates, etc.♦Forming and Stamping♦Decoration (Spray Decoration, Coating, Tempo, Hand Painting, Printing)♦Sonic Welding Process♦Gluing Process♦Assembly (Manual/Automated)♦Cutting♦Sewing / Hair Rooting♦Attachment (e.g., eyes, noses, buttons, snaps or other metal press fasteners)♦Stuffing♦Metal Detection and Control♦Final Inspections - to assure delivery of safe, legal product of the required quality♦Final Product Packing and Control♦Calibration and Control of Measuring and Monitoring Devices (for purposes of monitoring product safety, quality and legality) - shall be identified and calibrated to a recognized national or international standardFootwear♦Footwear Manufacturing - Sample Development Activity♦Pre-production Activity (Footwear)♦Shoe Sole Bonding Test Process♦Wear Test Process♦Control of Incoming Components and Raw Materials (Footwear)♦Cutting♦Preparation / Secondary Processing♦Stitching♦Injection Molding♦Bottoming♦Assembly Operation – Lasting♦Autoclave Process (Vulcanizing)♦Finishing♦Final Inspections (Footwear)Supplier Qualification Program (SQP) Assessment Criteria♦Metal Detection and Control♦Final Packing♦Storage♦'Lasts' Management♦Equipment & Tooling Maintenance (Footwear)♦Calibration and Control of Measuring and Monitoring Devices (for purposes of monitoring product safety, quality and legality) - shall be identified and calibrated to a recognized national or international standardSection 8 – Personnel Training and CompetencyThe company shall ensure that personnel performing work affecting product safety, legality and quality are demonstrably competent to carry out their activity, as a result of training, work experience and / or qualification.Americas Asia EMEAElma Isakovic Samuel Lau Catherine BeareTel: +1 732 394 5367 Tel: +852 3760 6334 Tel: +44 78 7237 9094elma.isakovic@ u@ catherine.beare@。