BV_工厂稽查How_To_Conduct_a_Factory_Audit

Forthebenefitofbusinessandpeople1HowtoconductaFactoryAuditHongKong–November8th2002Preparedby:TrainingandIntegrityTeam.Date:November8th2002.TI27/Rev.02CPS-IPre-AuditBeforeconductingtheaudit,theAuditormustunderstandtheclient’srequirements&basicconcepts.HealthandSafetyPracticesTechnicalCompetenceQualityAssuranceSystemsConcept3CPS-ITheobjectiveofafactoryauditistoevaluatethefactoriesperformanceandtheircompliancetotheapplicablecountrylaws.Therearethreemethodsusedtodoso-ExaminationofdocumentsObservationofactivitiesInterviewsTheAuditormustconsiderthewho,what,when,where,whyandhow.4Auditorarrivesatthefactory.TheAuditoridentifiesHim/Herself.Theythenverifytheaddress.TheAuditorthenaskstoseethecontactperson.CPS-IUn-announcedorAnnouncedvisit.Presentation5CPS-ITheAuditor’sidentitybadgeisclearlydisplayed.Presentation6CPS-ITheAuditorintroducesHim/Herself.TheCodeofConductletterisexplainedandgiventothefactoryrepresentative.WhensignedtheAuditorwilltaketheoriginal,andleaveacopyforthefactoryrepresentative.Openingmeeting7CPS-IDuringouropeningmeetingtheAuditorshouldexplainthatWearepresentonbehalfoftheclient.Theyshouldexplainthatweneedtotakesomepictureswhenconductingthefactorytour.WeshouldtellthemthatweneedtoseetheprocedurefromIncomingmaterialsallthewaythroughtothepackingoftheproductpriortoshipment.Openingmeeting8CPS-IPreparationofdocumentsAnauditormustbeorganised.DuringtheassessmenttheauditorwillberequiredtocollectcopiesofcertaindocumentationtosupportHis/Herfindings.Itisadvisablethatthedocumentationisrequestedintheinitialmeeting.ManyfactoriesarenotsufficientlyorganisedtohavethedocumentationathandandWillneedseveralhourstogathertheentirefiles.Thefollowingslidescontainagenericdocumentationlistbasedonourpreviousexperience.9CPS-IRequesteddocumentationArea1Incomingmaterials1)Incomingrawmaterials(Recordof).2)IncomingInternalQualityControlsamplingschedulesforinspections.3)IncomingInternalQualityControlrecordsandreports.4)Inspectioninstructionsandprocedures.5)Nonconformingmaterialsprocedure.6)Nonconformingmaterialsrecord.7)Calibrationrecordsforinspectionequipment.Genericdocumentationlist10CPS-IRequesteddocumentationArea2QualityAssurance1)QualityAssurance/Controlorganisationchart.2)InternalQualityAssurance/Controltrainingprogram.3)InternalQualityAssurance/Controltrainingrecord.4)Qualitymanual(Includingwrittenproceduresdocumentinghowsafetystandardsforproductsaremaintainedin-house).5)Relevantinternationalsafetystandards.6)Producttestingcertification.7)Calibrationrecordsandcertificatesforproductionmachinery.8)Calibrationrecordsandcertificatesforinternalinspectionequipment.11CPS-IRequesteddocumentationArea3In-lineQualityControl1)QualityControlrecordsandreports.2)Inspectioninstructionsandprocedures.3)Calibrationrecordsforinspectionequipment.4)Correctiveactionplansandrecordsofre-workedgoods.5)Procedureandrecordsforhandlingacceptedandrejectedgoods.6)Defectanalysisandimprovementprocedures.12CPS-IRequesteddocumentationArea4HealthandSafety1)Recordsofindustrialaccidents.2)Industrialinjuryinsurancereceipt/invoice.3)Medicalinsurancereceipt/invoice.4)Firstaidcertificatesfortrainedstaff.5)Fireevacuationplan/procedures.6)Maintenancerecordsforfirefightingequipment.7)Firedrillrecord.13CPS-IRequesteddocumentationArea5Housekeeping1)Cleaningscheduleformajormachines.2)Cleaningscheduleforfactoryfloor.3)Procedureforthecontrolofpesticidesandbaitsincompliancewithnationalregulations.4)Recordsoftheuseofpesticidesandbaits.14CPS-IRequesteddocumentationArea6Finalinspection1)InternalQualityControlsamplingschedulesforinspections.2)InternalQualityControlrecordsandreports.3)Inspectioninstructionsandprocedures.4)Nonconformingmaterialsprocedure.5)Nonconformingmaterialsrecord.6)Calibrationrecordsforinspectionequipment.15RequesteddocumentationMiscellaneous1)NameandE-mailaddressofthefactory.2)Clientlist.3)Companypolicymanual.4)Factoryfloorplan.5)Workerstrainingrecords.6)Workerstrainingcertificates.7)ISOcertification.8)Complaintsprocedure.9)Recordsofcorrectiveactionstakentoeliminatenon-conformity.CPS-I10)Factoryorganizationchart.11)Nameofmajorproductionmachines.12)Auditsforsubcontractedfactories.13)Listofapprovedsubcontractedfactories.16WorkflowCPS-IIncomingrawmaterialsInspectionofrawmaterialsInitialpreparationStorageofrawmaterialsAssemblylineStorageoffinishedproductInspectionoffinishedproductInspectionofproductaftereachprocessThelogicalwaytoconductinganauditistofollowthepathoftheproductionprocess.Whilstpassingeachareaallaspectsoftheauditshouldbeconsidered.E.G.FireextinguishersFirstaidfacilitiesVentilationETC…………………………Takepicturesforeachcommentmentionedinthereport.Whenapicturehasbeentakenrecordthesequencetheyweretakeninonasparesheetofpaperandincludeyourcomments.17CPS-IStorageofdangerouschemicalsAllchemicalsusedduringtheproductionofthefactoriesgoodsmustbecontrolled.Chemicalsshouldbekeptunderlockandkey.Onlycertainemployeesshouldhaveaccesstothem.Detailedrecordsofa)whatchemicalshavebeencheckedout.b)Wheretheyhavegone.c)Whatdayandtimetheywentout.d)Whocheckedthemout.e)Whatamountwaschec