Part 1 - Points to Note for Sainsbury’s Quality Audit
A. Audit Procedure 實(shí)地評(píng)估內(nèi)容
1. Opening meeting with management 召開管理層會(huì)議
2. Review pre-audit questionnaire 審閱評(píng)估前所做的問卷表
3. Review the FQA programme 審閱工廠質(zhì)量評(píng)估計(jì)劃
4. System manual & procedures look up 檢查系統(tǒng)手冊(cè)和步驟
5. Factory tour 巡查工廠
6. Closing meeting 總結(jié)會(huì)議

B.Notes to auditee: 評(píng)估者要注意的事項(xiàng)：

Our audit will mainly focus on the following areas:
我們的評(píng)估主要集中在以下方面：
1.Hazard and Risk Management(For product safety and legality but NOT related toworkshop/occupational health & safety). 危害事物和風(fēng)險(xiǎn)評(píng)估 / 管理
2.Quality System 質(zhì)量體系
3.Purchasing 采購(gòu)
4.Design Control設(shè)計(jì)控制
5. Incoming Goods & Materials (including Packaging) Traceability 進(jìn)來的產(chǎn)品和原料控制
6.Manufacturing Process Control 生產(chǎn)過程的控制
7.Manufacturing Process Inspection生產(chǎn)過程的檢驗(yàn)
8. Final Inspection, Packing & Storage最終檢驗(yàn)，包裝和儲(chǔ)存控制
9.Process monitoring and inspection equipment生產(chǎn)過程的監(jiān)控及質(zhì)量檢查器材
10. Training, Personnel and Internal Quality Audit培訓(xùn)和內(nèi)部質(zhì)量評(píng)估
11. Housekeeping & Hygiene廠房管理及衛(wèi)生
12. Waste and Waste Disposal 廢棄物及其處理
13. Customer Complaints Corrective / Preventative Actions 對(duì)客戶投訴的改正和預(yù)防措施
14.Product Recall產(chǎn)品回收
15. Product Safety產(chǎn)品安全

Part 2 – Points to Note for Sainsbury’s Ethical Audit

A. Field audit 實(shí)地評(píng)估內(nèi)容

1. Opening meeting with management 召開管理層會(huì)議
2. Site Tour 巡查工廠
3. Employee Interviews 會(huì)見員工
4. Documentation Check 文件審查
5. Closing meeting 總結(jié)會(huì)議

B. Notes to auditee: 評(píng)估者要注意的事項(xiàng)：

Our audit will mainly focus on the following areas:
我們的評(píng)估主要集中在以下方面：

1.Employment Freely Chosen就業(yè)自由
2.Freedom of Association 結(jié)社自由
3.Safety and Hygiene Conditions環(huán)境衛(wèi)生及安全
4.Child Labor 童工
5.Wages and Benefits工資與待遇
6. Working Hours工時(shí)
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(huán)境
12. Code & System Implementation系統(tǒng)的執(zhí)行
13. Sub-contracting 外判

C.Required Documents for Checking 系統(tǒng)稽核所需之文件（中國(guó)）

The Document Checklist (China)
請(qǐng)?zhí)峁┮韵掠涗浌�審核員參考
1. 工卡或考勤記錄 (過去十二個(gè)月已發(fā)放工資的月份開始計(jì)算)
Timecards or Attendance Records (Last 12 Months starting from the most recent paying month)
2. 工資表 (過去十二個(gè)月已發(fā)放工資的月份開始計(jì)算)
 Payroll Records for Paid Wages (Last 12 months starting from the most recent paying month)
3. 人事花名冊(cè)及員工個(gè)人檔案
Personnel Records
4. 勞動(dòng)合同
Labor Contract
5. 社會(huì)保險(xiǎn)收據(jù)、花名冊(cè)及合格證明文件等
Receipt, Name List and Certificate of Social Insurance, Etc.
6. 工商營(yíng)業(yè)執(zhí)照
 Business Registration
7. 消防檢查報(bào)告或合格証明文件
Fire Safety Inspection or Certificate
8. 消防演習(xí)記錄、緊急疏散計(jì)劃及工傷記錄等
Fire Drill Record, Emergency Evacuation Plan, Work Accident Records and Work-related Injury Record
9. 環(huán)保證明文件
Environmental Certificate
10. 廠規(guī)或員工手冊(cè)
Factory Regulation or Employee Handbook
11. 政府有關(guān)當(dāng)?shù)刈畹凸べY規(guī)定文件
Local Minimum Wage Standard
12. 設(shè)備安全許可證 (如電梯使用許可証, 廚房衛(wèi)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, 廚工衛(wèi)生許可證等）
Operation Certificate of Special Operators, Such as Lift Operator, Electrician.
Cooks’ Health Certificate. Etc.
14. 當(dāng)?shù)貏趧?dòng)局關(guān)於延長(zhǎng)加班之批文
Official Waiver for Overtime Extension
15. 未成年工體檢及勞動(dòng)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(qǐng)準(zhǔn)備，並懇請(qǐng)?jiān)试S複印樣本，謝謝！
Please prepare the original documentation listed above for verification and sample photocopying, Thanks!

Part 3 –Pre-audit Questionnaire

A 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.
在進(jìn)行實(shí)地評(píng)估前四天，請(qǐng)?zhí)顚懘吮砑八�附的問卷表并以傳真方式送達(dá)。只有通過由國(guó)際公認(rèn)的認(rèn)證機(jī)構(gòu)ISO9000認(rèn)證的工廠才有可能豁免某些評(píng)估項(xiàng)目。
 
B. During the audit, factory is required to provide evidence to show the effectiveness of quality system implementation.
在評(píng)估時(shí)，工廠必須提供能顯示其有效地執(zhí)行質(zhì)量體系的證據(jù)。
 
C. During the factory tour, we will take photo on general practices and facilities of the factory.
在巡查工廠時(shí)，我們將會(huì)對(duì)一般操作和工廠設(shè)備進(jìn)行拍照。
 
D. No report will issue to the factory after the audit, factory may retrieve the copy from applicant as your need.
在評(píng)估結(jié)束時(shí)，工廠不會(huì)得到報(bào)告。如你方需要報(bào)告，可以從申請(qǐng)者處得到復(fù)印件。
 
E. Please confirm your acceptance of the audit programme by sign & chop below.
如您接受此評(píng)估計(jì)劃，請(qǐng)?jiān)谙旅婧灻�和蓋章。

----------------------------------------------
Supplier/Factory�r Chop & Signature
供應(yīng)商/工廠 蓋章和簽名

Factory Profile 工廠概況

Inception Date 創(chuàng)建日期: ____________________
Type of Ownership 所有權(quán)類型: Private 私有/ Partnership 合作 / Family Owned 家族所有/ Publicly Owned 公有/ Subsidiary 子公司/ Wholly Owned 獨(dú)資

Product Range of factory 工廠生產(chǎn)產(chǎn)品范圍: __________________________________________
Monthly Production 月產(chǎn)量: ________________________________________________________
Parts Source 制件來源: ____________________________________________________________
What are the products supplied to BUYER’s (who requests the factory audit)
提供給買家何種產(chǎn)品（誰要求進(jìn)行工廠評(píng)估）: ______________________________________
The percentage of production devoted to the BUYER
提供給買家的產(chǎn)品占總產(chǎn)量比重 : __________________________________________________
Major Customers 主要客戶: ________________________________________________________
Last Year Turnover 去年?duì)I業(yè)額: £_______________
Factory floor space 工廠占地面積: ______________
No. of Production Buildings 廠房數(shù)量: __________
Total Production Area 生產(chǎn)總面積: __________
No. of Warehouse Buildings (if any) 倉(cāng)庫(kù)數(shù)量（如有）: ___________
Total Warehouse Area 倉(cāng)庫(kù)總面積: ___________
No. of Dormitory Buildings (if any) 宿舍數(shù)量（如有）: __________
Total Dormitory Area 宿舍總面積: ___________
No. of Canteen Buildings (if any) 食堂數(shù)量（如有） : _________
Total Canteen Area 食堂總面積: ___________
 
Organisation Chart of Manufacturer 生產(chǎn)組織結(jié)構(gòu)圖

Human Resources 人力資源

No. of Employee at Factory 工廠 職工人數(shù):
Management 管理: __________ persons 人
Production 生產(chǎn): __________ persons 人
Engineering 工程: __________ persons 人
Quality 質(zhì)量: __________ persons 人
Design (if any) 設(shè)計(jì)（如有）: __________ persons 人

Working time 工作時(shí)間

Legal Working Age 法定工作年齡: __________
No. of Shifts 翻班數(shù): ________ shift 班 / day 天
Hours per Shift 每班工作時(shí)間: ________ hours 小時(shí)
Primary Holiday 基本假期: ______days 天
Maximum Overtime 最多加班時(shí)數(shù): ___hours 小時(shí)/ day 天
No. of day off / Week 每星期休息天數(shù): _________days 天
Maximum Shift per employee / Week 每星期每個(gè)職工最多翻班數(shù): __________

Equipment and facilities 儀器和設(shè)備

Types (Major) of machinery / equipment for production 主要用于生產(chǎn)的機(jī)器/設(shè)備:
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________
_______________________________ No of piece 件數(shù): _________________

Certification 認(rèn)證
ISO 9000 Certified Yes / No 是/否_________
通過ISO 9000認(rèn)證
Intertek Testing Services Non Food Audit CertifiedYes / No 是/否_________
通過天祥非食品評(píng)估認(rèn)證

Policy / Procedure established 方針/程序的建立
Hazard Analysis and Critical Control Points (HACCP) incorporated Yes / No 是 / 否___________
結(jié)合危害分析與關(guān)鍵控制點(diǎn)
Crisis Management incorporated Yes / No 是 / 否___________
體現(xiàn)危機(jī)管理
Metal Control Policy established Yes / No 是 / 否___________
建立金屬監(jiān)控制度
Glass Control Policy established Yes / No 是 / 否___________
建立玻璃監(jiān)控制度
Internal Audit Procedure established Yes / No 是 / 否___________
建立內(nèi)審程序
Training Procedure established Yes / No 是 / 否___________
建立培訓(xùn)程序
Calibration Procedure established Yes / No 是 / 否___________
建立校準(zhǔn)程序
Environmental Protection Policy established Yes / No 是 / 否___________
建立環(huán)境保護(hù)政策

Labour and Health Policy established 建立勞動(dòng)和衛(wèi)生政策
Child Labour Policy established Yes / No 是 / 否___________
建立反對(duì)童工政策
Prison Labour Policy established Yes / No 是 / 否___________
建立反對(duì)囚犯勞工政策
Equal opportunities Policy established Yes / No 是 / 否___________
建立平等就業(yè)政策
Health and Safety Policy established Yes / No 是 / 否___________
建立衛(wèi)生和安全政策