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Sainsbury's 审核文件清单
Part 1 - Points to Note for Sainsbury’s Quality Audit
一、Audit Procedure 实地评估內容
1）Opening meeting with management 召开管理层会议
2）Review pre-audit questionnaire 审阅评估前所做的问卷表
3）Review the FQA programme 审阅工厂质量评估计划
4）System manual & procedures look up 检查系统手册和步骤
5）Factory tour 巡查工厂
6）Closing meeting 总结会议
二、Notes to auditee: 评估者要注意的事项：
Our audit will mainly focus on the following areas：
我们的评估主要集中在以下方面：
1） Hazard and Risk Management (For product
safety and legality but NOT related to
workshop/occupational health & safety).
危害事物和風險評估 / 管理
2） Quality System 质量体系
3） Purchasing 采购
4） Design Control 设计控制
5）Incoming Goods & Materials (including
Packaging) Traceability 进来的产品和原料控制
6） Manufacturing Process Control 生产过程的控制
7） Manufacturing Process Inspection 生产过程的检验
8）Final Inspection, Packing & Storage
最终检验，包装和储存控制
9） Process monitoring and inspection equipment
生产过程的监控及質量檢查器材
10）Training, Personnel and Internal Quality
Audit 培训和内部质量评估
11）Housekeeping & Hygiene 厂房管理及衛生
12）Waste and Waste Disposal 廢棄物及其處理
13）Customer Complaints Corrective /
Preventative Actions 對客戶投訴的改正和预防措施
14） Product Recall 产品回收
15） Product Safety 产品安全
Part 2 – Points to Note for Sainsbury’s Ethical
Audit
一、Field audit 实地评估內容
1）Opening meeting with management 召开管理层会议
2）Site Tour 巡查工厂
3）Employee Interviews 會見員工
4）Documentation Check 文件審查
5）Closing meeting 总结会议
二、Notes to auditee: 评估者要注意的事项：
Our audit will mainly focus on the following areas：
我们的评估主要集中在以下方面：
1） Employment Freely Chosen 就業自由
2） Freedom of Association 結社自由
3） Safety and Hygiene Conditions 環境衛生及安全
4） Child Labor 童工
5） Wages and Benefits 工資與待遇
6） Working Hours 工時
7） Discrimination 歧視
8） Regular Employment 固定僱用
9） Harsh or Inhumane Treatment 苛克及不人道待遇
10） Entitlement to Work 僱用合法勞工
11） Environment 環境
12） Code & System Implementation 系統的執行
13） Sub-contracting 外判
三、Required Documents for Checking
系統稽核所需之文件（中國）
The Document Checklist (China)
請提供以下記錄供審核員參考
1）工卡或考勤記錄 (過去十二個月已發放工資的月份開始計算)
Timecards or Attendance Records (Last 12 Months starting from the most recent paying
month)
2）工資表 (過去十二個月已發放工資的月份開始計算)
Payroll Records for Paid Wages (Last 12 months starting from the most recent paying month)
3）人事花名冊及員工個人檔案
Personnel Records
4）勞動合同
Labor Contract
5）社會保險收據、花名冊及合格證明文件等
Receipt, Name List and Certificate of Social Insurance, Etc.
6）工商營業執照
Business Registration
7）消防檢查報告或合格証明文件
Fire Safety Inspection or Certificate
8）消防演習記錄、緊急疏散計劃及工傷記錄等
Fire Drill Record, Emergency Evacuation Plan, Work Accident Records and Work-related Injury Record
9）環保證明文件
Environmental Certificate
10）廠規或員工手冊
Factory Regulation or Employee Handbook
11）政府有關當地最低工資規定文件
Local Minimum Wage Standard
12）設備安全許可證 (如電梯使用許可証, 厨房衛生許可證等)
Facilities Safety Operation Certificate, Such as Lift Operation License Hygiene Certificate and
Cookers’ Health Certificate
13）特種工人上崗（如電梯工, 電工, 厨工衛生許可證等）
Operation Certificate of Special Operators, Such as Lift Operator, Electrician.
Cooks’ Health Certificate）Etc.
14）當地勞動局關於延長加班之批文
Official Waiver for Overtime Extension
15）未成年工體檢及勞動局登記記錄
Young Workers’ Health Examination and Registration Records
16）廠房平面圖
Factory Building Layout
17）其他文件（視乎審核情況所需）
Other documents, subject to actual circumstances during the audit
以上正本文件煩請準備，並懇請允許複印樣本，謝謝！
Please prepare the original documentation listed above for verification and sample photocopying,
Thanks!
Part 3 – Pre-audit Questionnaire
一、Please fill-in the attached Pre-Audit
Questionnaire together with this and return by fax by 4 days before the field audit）Exemption
to certain elements might be granted for the factory, which are ISO9000 certified by a
universal recognised certifying body.
在进行实地评估前四天，请填写此表及所附的问卷表并以传真方式送达。只有通过由国际公认的认证机构ISO9000认证的工厂才有可能豁免某些评估项目。
二、During the audit, factory is required to
provide evidence to show the effectiveness of quality system implementation.
在评估时，工厂必须提供能显示其有效地执行质量体系的证据。
三、During the factory tour, we will take photo on general practices and facilities of the
factory.
在巡查工厂时，我们将会对一般操作和工厂设备进行拍照。
四、No report will issue to the factory after the audit, factory may retrieve the copy from
applicant as your need.
在评估结束时，工厂不会得到报告。如你方需要报告，可以从申请者处得到复印件。
五、Please confirm your acceptance of the audit programme by sign & chop below.
如您接受此评估计划，请在下面签名和盖章。
----------------------------------------------
Supplier/Factory? Chop & Signature
供应商/工厂 盖章和签名
Factory Profile 工厂概况
Inception Date 创建日期: ____________________
Type of Ownership 所有权类型: Private 私有/ Partnership
合作 / Family Owned 家族所有/ Publicly Owned 公有/
Subsidiary 子公司/ Wholly Owned 独资
Product Range of factory 工厂生产产品范围:
__________________________________________
Monthly Production 月产量:
________________________________________________________
Parts Source 制件来源:
____________________________________________________________
What are the products supplied to BUYER’s (who
requests the factory audit)
提供给买家何种产品（谁要求进行工厂评估）:
______________________________________
The percentage of production devoted to the
BUYER
提供给买家的产品占总产量比重 :
__________________________________________________
Major Customers 主要客户:
________________________________________________________
Last Year Turnover 去年营业额: £_______________
Factory floor space 工厂占地面积: ______________
No）of Production Buildings 厂房数量: __________
Total Production Area 生产总面积: __________
No）of Warehouse Buildings (if any) 仓库数量（如有）:
___________
Total Warehouse Area 仓库总面积: ___________
No）of Dormitory Buildings (if any) 宿舍数量（如有）:
__________
Total Dormitory Area 宿舍总面积: ___________
No）of Canteen Buildings (if any) 食堂数量（如有） :
_________
Total Canteen Area 食堂总面积: ___________
Organisation Chart of Manufacturer 生产组织结构图
Human Resources 人力资源
No）of Employee at Factory 工厂 职工人数:
Management 管理: __________ persons 人
Production 生产: __________ persons 人
Engineering 工程: __________ persons 人
Quality 质量: __________ persons 人
Design (if any) 设计（如有）: __________ persons 人
Working time 工作时间
Legal Working Age 法定工作年龄: __________
No）of Shifts 翻班数: ________ shift 班 / day 天
Hours per Shift 每班工作时间: ________ hours 小时
Primary Holiday 基本假期: ______days 天
Maximum Overtime 最多加班时数: ___hours 小时/ day 天
No）of day off / Week 每星期休息天数: _________days 天
Maximum Shift per employee / Week 每星期每个职工最多翻班数:
__________
Equipment and facilities 仪器和设备
Types (Major) of machinery / equipment for
production 主要用于生产的机器/设备:
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
_______________________________ No of piece
件数: _________________
Certification 认证
ISO 9000 Certified Yes / No 是/否_________
通过ISO 9000认证
Intertek Testing Services Non Food Audit
Certified Yes / No 是/否_________
通过天祥非食品评估认证
Policy / Procedure established 方针/程序的建立
Hazard Analysis and Critical Control Points
(HACCP) incorporated Yes / No 是 / 否___________
结合危害分析与关键控制点
Crisis Management incorporated Yes / No 是 /
否___________
体现危机管理
Metal Control Policy established Yes / No 是 /
否___________
建立金属监控制度
Glass Control Policy established Yes / No 是 /
否___________
建立玻璃监控制度
Internal Audit Procedure established Yes / No 是
/ 否___________
建立内审程序
Training Procedure established Yes / No 是 /
否___________
建立培训程序
Calibration Procedure established Yes / No 是 /
否___________
建立校准程序
Environmental Protection Policy established Yes
/ No 是 / 否___________
建立环境保护政策
Labour and Health Policy established 建立劳动和卫生政策
Child Labour Policy established Yes / No 是 /
否___________
建立反对童工政策
Prison Labour Policy established Yes / No 是 /
否___________
建立反对囚犯劳工政策
Equal opportunities Policy established Yes / No
是 / 否___________
建立平等就业政策
Health and Safety Policy established Yes / No 是
/ 否___________
建立卫生和安全政策
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