审厂要求 Audit Document List - Ver A

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。

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)。

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).。

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）。

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。

下表列出了审核人员在审核期间可能审查的记录和文件。

要知道这些是最基本的文件清单并不包括所有可能需要的文件，审核人员可以在现场审核之前或审核期间要求其他相关文件和记录进行审核。

◎关键文档清单的项目应提前准备，如果主审核员(审核组长)预先要求任何这些项目副本◎第二张表列出了审核人员到达现场时必须提供的最低限度的文件和记录关键文档清单◎营业执照◎工厂布局和平面图◎生产流程图/过程描述◎工厂在过去12个月内的变化◎过去12个月的产品/服务、数量、新设备概况◎组织结构图◎集体谈判协议(现行有效的)◎员工手册◎新工人培训材料(培训教材)◎空白劳动合同◎工人登记包括尽可能多的信息(工人分类：按职位、国籍、雇用条件(直接雇用，通过劳动中介机构、学生工、实习生……)，所提供的住宿◎所有合法许可证、许可证、授权◎政府机构的豁免(如：综合计时批文)◎有效管理体系证书(如：ISO14001，OHSAS18001)◎最近的政府提交的报告(劳动、商业道德、健康与安全、环境)◎风险管理流程(劳动、商业道德、健康与安全、环境)◎应急响应(所有紧急情况)和业务连续性和恢复计划◎危险材料清单◎危险废物清单审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分提供一般信息一般工厂信息◎工厂布局和图纸◎工厂内工艺和建筑物的描述◎工厂在过去12个月内的变化◎过去12个月产品服务概述、数量、新设备、新许可证◎与工人就RBA最低要求的沟通◎与供应商就RBA行为守则符合性进行的沟通◎与供应商签署关于RBA行为守则符合性的合同要求◎验证供应商实施RBA行为守则要求的证据审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分劳动规定A1 自由选择就业◎与劳动代理、劳动中介、劳动服务商签订的服务合同◎工人(劳动)合同的例子●永久员工●领薪员工●按小时支付的员工●临时员工/工人●季节性(如使用)工人●青少年工人●学徒工●外籍工人●职业工人(如使用的话)◎雇佣记录，包括年龄证明、身份和政府颁发的工作许可证明◎工人贷款和信贷计划文件A2 避免使用童工◎公司有关青年工人保护及适当的工时/轮班的政策◎最低雇用年龄政策◎获得和验证年龄文档证明的程序◎培训和学徒计划的记录◎学校出勤记录和公司支付的学费或书籍◎青少年工人保护程序A3 工作时间◎政府机构颁发的非传统工作时间许可证或加班豁免(例如：综合计时工作制、不定时工作制)◎向工人提供的信息，描述有关工作时间和加班的法律规定◎工作时间政策◎分配和控制加班时间的流程◎工作时间登记流程/程序(打卡……)◎工人考勤表或时间表(最近12个月)◎工人同意加班(超时工作)的证据(例如，签字声明)◎传达加班的证据A4 工资和福利◎向工人提供的信息，描述工资、扣除、计算和福利◎处罚性的工资扣除和奖金的做法/惯例◎津贴清单，例如：食物、住宿和程序◎工人的缴款清单和程序◎当地最低工资的定义(标准)◎工人过去12个月的工资记录和工资条，显示了所有扣除、缴款、收入和汇款情况◎为工人购买所有适用保险的证据◎工人产假证据(母亲产假、父亲陪产假)A5 人道待遇◎关于可接受的工人惯例和处罚措施的工厂规则和条例◎处罚流程/程序A6 非歧视◎雇佣前、入职前的体检要求◎医疗保密程序与惯例◎关于工人分布的资料(类型(永久合同)、性别、职能、民族(籍贯)、年龄、……)◎目前的招聘广告和职位要求◎职能和职位描述A7 结社自由◎向工人提供的信息，描述有关结社自由和工会的地方法规◎过去12个月关于申诉机制和统计的政策和程序、采取(并向工人通报)的行动◎工人会议及/或工会管理会议的会议记录◎与员工定期沟通和反馈的证据◎有关工人投诉和采取(并传达给工人)行动的记录审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分健康和安全条款B1 职业安全◎安全程序(如：封锁/加标、密闭空间、热工许可证)◎操作机械(叉车等)的许可证/认证◎个人防护装备(PPE)计划和各种任务所需的个人防护装备(PPE)清单◎医疗人员证书，现场诊所(医务室)，……◎关于采取措施保护孕妇和哺乳期妇女的记录B2 应急准备◎消防计划、消防系统和火灾报警系统维护记录◎消防/疏散演习记录◎化学泄漏响应演习记录◎应急、业务连续性和恢复计划◎应急团队(ERT)组织B3 工伤和职业病◎事故/职业病的调查及跟进报告◎当年度伤害/疾病的日志◎“侥幸避免”日志、分析和跟踪◎旷工记录B4 工业卫生◎工业卫生监测结果(噪音，化学和物理制剂)◎对从事危险工作的工人进行医疗监测的结果◎听力保护和呼吸保护计划◎对有(职业危害)暴露风险的工人进行工业卫生数据的沟通记录B5 体力劳动◎对从事重体力劳动的工人的评估记录◎为减轻工人体力压力而对工作区或设备装置的改装纪录◎对频繁重复操作的工人工进行人体工程学风险评估/手动操作风险评估B6 机器安全防护◎预防性维护记录◎机器安全风险评估记录◎评估员工暴露在人工操作、重复工作、尴尬姿势等危险中的过程和程序B7 公共卫生、食物和住房◎食堂经营许可证与食品操作人员健康检查记录◎在宿舍进行疏散演习的纪录B8 健康与安全沟通◎H&S培训需求分析◎H&S培训计划、培训材料(教材)和培训记录◎危害沟通的程序◎工人提出的安全问题记录审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分环境条款C1 环境许可证和报告◎工厂运作许可证及检查或传唤的记录的副本◎政府机构针对许可证要求颁发的官方豁免资料(排污许可证)◎环境许可证要求的监测、检查和维护记录◎过去2年的环境排放登记册(水、空气、废物的数量)◎污染的预防和减少计划和成果◎温室气体(GHG)计划和成果◎节水计划C2 污染防治与资源减少◎对环境方面进行的实质性评估◎重大环境影响基线◎年度减少目标C3 危险物质◎化学品和其他危险材料清单◎泄漏控制计划和程序◎现场所有危险材料的MSDS◎危险物质许可证/登记◎储罐完整性检查和测试报告C4 固体废物◎现场产生的固体废物(危险和非危险)清单◎处理票据/处置记录(清单、收据、发票)◎废物供应商许可证◎废物许可证或登记和监测/检查报告C5 空气排放◎空气监测报告◎提交个哦监管机构的空气排放许可证和报告◎减少空气污染设备的维护记录◎环境噪声监测报告C6 材料限制◎采购和制造规范，描述工厂如何满足法律和客户对产品内容限制◎向供应商传达RoHS、REACH、WEEE和其他客户产品内容限制的记录◎分析测试结果C7 水管理◎设施地图，其中包括风暴水流域的概述；附近水体的位置；雨水收集和输送系统的位置；设施不透水区域的轮廓；暴露于降水中的材料的位置◎雨水排放的监测结果◎废水处理厂的维修记录和图纸◎供水或地下水监测、井水质分析C8 能源消耗和温室气体排放◎按类别分列的下列温室气体的年度消耗使用情况(范围1和2)审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分商业道德条款D1 诚信经营◎商业行为准则/商业道德守则◎公司捐赠和赞助的政策◎商业道德、反腐败和贿赂的政策◎违反商业道德的调查程序◎商业登记D2 没有不正当的优势◎有关政策，确保来自供应商和客户的礼品或向供应商和客户提供的礼品在费用、频率和好客程度、支出或承诺上不过分◎对涉嫌作出或接受不正当支付或馈赠及企图进行一切形式贿赂行为的工人或代理人提起诉讼的有效程序◎制定和采用调查程序和后续的制裁◎处罚程序/政策◎处罚记录D3 信息披露◎保密协议(非披露协议)模板/表格◎与供应商和客户达成的保密协议(非披露协议)◎与服务供应商达成的保密协议(非披露协议)D4 知识产权◎知识产权审查和保护政策D5 公平商业广告和竞争◎由财务审计公司独立审计的年度财务报告◎公平交易/反勾结政策◎广告政策/沟通政策◎广告/招聘广告D6 保护身份和不报复◎有关秘密举报的政策/程序◎向国人/员工清晰传达杜绝打击报复的政策◎对所有涉嫌打击报复的指控进行调查的程序D7 负责性的矿物采购◎矿物采购的风险评估不包括3TG或(如果由冶炼厂/精炼厂地采购)是无冲突◎关于信息收集的行动计划/行动以确保负责任的矿物采购D8 隐私◎有关保护隐私的正式政策和计划◎有关隐私保护的培训材料(培训教材)和培训记录审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分管理体系条款(注：工厂管理体系描述/手册的副本可以解决大量信息请求，如下) E0 管理体系认证◎管理体系认证(例如：SA8000，ISO14001，OHSAS18001，……) E1 公司/工厂的政策或承诺声明◎劳工、雇佣、商业道德、健康与安全和环境的政策◎公司社会责任政策◎有关公司/工厂的商业道德或商业行为准则政策或手册E2 管理问责制和责任◎组织结构图◎管理体系代表、人力资源管理、商业道德、劳工、健康与安全和环境的经理的角色和责任◎管理体系评审记录E3 法律和客户要求◎客户要求(例如：RBA)的副本◎跟踪体系以监控有关设备和环境责任(SER)的法规及执行或分发日志◎适用法律的副本E4 风险评估和风险管理◎识别、评估SER风险及其排名的程序◎重大变更发生时的风险评估记录◎为最高已识别 SER 风险制定的行动计划E5 改善目标◎当年的阶段性执行目标和总目标，包括定期审查目标的实施情况及及是否实现目标的状态◎当前的改进计划和进展情况E6 培训◎培训分析◎培训日程(培训计划)◎培训记录◎培训评价E7 沟通◎工厂SER规则(例如：工人手册)◎向工人、供应商和客户传达沟通公司业绩和期望的流程◎向工人和管理人员沟通的公告栏、通讯稿、内部网网站E8 员工反馈、参与和不满◎向工人和外部利益相关者提供的关于如何秘密举报所关注的商业道德问题的信息◎“秘密举报”的政策/程序◎保密调查程序及对“秘密举报”的行动◎举报的数据统计◎对工人参与计划制定和实施的正式方式(例如，委员会、负责小组，……)进行了描述◎工人投诉记录、纪律调查和所采取的行动(和沟通)◎管理层提供的工人调查、投诉和反馈E9 审核和评估◎审核流程和程序◎过去3年进行的审核的副本E10 纠正措施流程◎纠正措施管理程序◎不符合项跟踪、关闭、状态和管理评审的记录◎守法记录，违反劳工/商业道德法律法规而导致的传唤或处罚◎守法记录，针对过去 3 年收到的 EHS 传唤或处罚E11 文件和记录◎记录保留政策和程序E12 供应商责任◎下一层主要供应商识别分析◎下一层主要供应商/劳工代理计划◎现场主要供应商准则符合性验证报告◎纠正行动计划，针对在现场主要供应商验证报告中识别的改进领域首字母缩略词1 3TG 钽、锡、钨和黄金2 AMA 由受审计方管理的审计3 APM 审计项目经理4 CAP 纠正行动计划5 CFC 氯氟烃6 CMA 由客户管理的审计7 CPD 持续专业发展8 CR 公司责任9 CR MS 公司责任管理体系10 EHS 环境/健康/安全11 EICC 电子行业公民联盟12 GHG 温室气体13 ICT 信息和通信技术14 IT 信息技术15 IRCA 注册审计师国际注册机构16 kWh 千瓦时17 LE 劳工/道德18 PDCA 计划－执行－检查－行动19 QA 质量保证20 RAB-QSA 注册员鉴定委员会－澳大拉西亚质量协会根本原因分析21 REACH 化学品的注册、评估、授权和限制22 RoHS 危险物质的限制23 WEEE 电气和电子设备废弃物指令24 SAQ 自我评估问卷25 SF6 六氟化硫26 SWPPP 暴雨水污染预防计划27 VAP 验证审计流程28 VAR 验证审计报告A PPENDIX 8 R EQUIRED D OCUMENTS L ISTThe following tables list the records and documents that the Auditors may review during the Audit. Be aware that these are minimum lists and do not cover all the documents that may be required. The Auditors may request other related documents and records for review either before or during the onsite Audit.∙The items in the Critical Document List should be assembled in advance, should the Lead Auditor request an advance copy of any of those items.∙The second table lists the minimum documents and records that must be made available for the Auditors when they arrive on site.。

以下为评审中可能参阅的文件，请贵厂提供原件予以审核。

根据不同地区的法规要求及评审工厂的具体情况，评审范围可能涉及其他未列明文件。

请于评审当天咨询评审人员并予以配合。

谢谢！In preparation for the audit, Facility management should assemble and make available to monitor the following original documents (as applicable for region/facility environment, the required documents may include but not limit to the following):1.工商营业执照（副本）Business license2.考勤记录（至少过去十二个月），包括在职与离职人员。

Attendance records (at least the last 12 months), including in-service and former employees.3.工资支付记录（至少过去十二个月） ，包括在职与离职人员。

如工资通过银行转账发放，请同时提供银行转账记录，Payroll Records (as least the last 12 months), including in-service and former employees. If the wage is paid by direct deposit, the deposit records are required as well.4.员工花名册及员工个人档案Employee Roster and Personnel Files5.未成年工体检及劳动局登记记录Juvenile employees’ Health Examination and Registration Records6.劳动合同Employment Contract7.企业规章制度/员工手册Workplace Rule/Employee Handbook8.社会保险收据Social Insurance Payment Receipts9.工厂平面图Floor Plan10.建筑工程消防验收意见书或消防备案记录Fire Service Certificate11.消防演习记录Fire Drill Records12.工伤记录Accident/Injury log13.急救人员资格证First-Aid Personnel Certificate/Training Record14.安全生产管理人员资格证Safety Officer Certificate15.安全生产教育和培训记录Work Safety Education and Training Record16.综合计时批文Comprehensive Working Hours System17.特种设备注册登记证（表）及检验报告，如电梯、起重机械、锅炉及压力容器Registration Certificate and Inspection Report for Special Equipment (E.g. Cargo Lift/Boiler/Compressing Equipment)18.特种作业人员操作证及特种设备作业人员操作证，如电工，焊工，电梯司机、叉车司机、锅炉操作工、压力容器操作工。