Part 1 - Points to Note for Sainsbury’s Quality Audit

A. Audit Procedure 實地評估內容
1. Opening meeting with management 召開管理層會議
2. Review pre-audit questionnaire 審閱評估前所做的問卷表
3. Review the FQA programme 審閱工廠質量評估計劃
4. System manual & procedures look up 檢查系統手冊和步驟
5. Factory tour 巡查工廠
6. Closing meeting 總結會議

B.  Notes to auditee: 評估者要注意的事項：

Our audit will mainly focus on the following areas:
我們的評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   質量體系
3.  Purchasing   采購
4.  Design Control  設計控制
5. Incoming Goods & Materials (including Packaging)? Traceability   進來的產品和原料控制
6.  Manufacturing Process Control   生產過程的控制
7.  Manufacturing Process Inspection    生產過程的檢驗
8. Final Inspection, Packing & Storage  最終檢驗，包裝和儲存控制
9.  Process monitoring and inspection equipment  生產過程的監控及質量檢查器材
10. Training, Personnel and Internal Quality Audit  培訓和內部質量評估
11. Housekeeping & Hygiene  廠房管理及衛生
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預防措施
14.  Product Recall  產品回收
15.   Product Safety  產品安全

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

A. Field audit 實地評估內容

1. Opening meeting with management 召開管理層會議
2. Site Tour 巡查工廠
3. Employee Interviews 會見員工
4. Documentation Check 文件審查
5. Closing meeting 總結會議

B. Notes to auditee: 評估者要注意的事項：

Our audit will mainly focus on the following areas:
我們的評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

C.  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, 廚房衛生許可證等)
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, 廚工衛生許可證等）
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

*** This Pre-audit Questionnaire shall be completed for each factory location ***
此問卷表需評估前在每個工廠完成.  每個工廠均需填寫此問卷
Please fax it back to Ms. Green Xu 4 days before schedule Quality Audit Date.
Fax: 86 755 8389 0005/6  Attention: Green Xu
Email: green.xu@intertek.com


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.
在進行實地評估前四天，請填寫此表及所附的問卷表并以傳真方式送達。只有通過由國際公認的認證機構ISO9000認證的工廠才有可能豁免某些評估項目。
 
B. During the audit, factory is required to provide evidence to show the effectiveness of quality system implementation.
在評估時，工廠必須提供能顯示其有效地執行質量體系的證據。
 
C. During the factory tour, we will take photo on general practices and facilities of the factory.
在巡查工廠時，我們將會對一般操作和工廠設備進行拍照。
 
D. No report will issue to the factory after the audit, factory may retrieve the copy from applicant as your need.
在評估結束時，工廠不會得到報告。如你方需要報告，可以從申請者處得到復印件。
 
E. Please confirm your acceptance of the audit programme by sign & chop below.
如您接受此評估計劃，請在下面簽名和蓋章。

----------------------------------------------
Supplier/Factory Chop & Signature
     供應商/工廠        蓋章和簽名

Factory Profile 工廠概況

Inception Date 創建日期: ____________________
Type of Ownership 所有權類型: Private 私有/ Partnership 合作 / Family Owned 家族所有/ Publicly Owned 公有/ Subsidiary 子公司/ Wholly Owned 獨資

Product Range of factory 工廠生產產品范圍: __________________________________________
Monthly Production 月產量: ________________________________________________________
Parts Source 制件來源: ____________________________________________________________
What are the products supplied to BUYER’s (who requests the factory audit)
提供給買家何種產品（誰要求進行工廠評估）: ______________________________________
The percentage of production devoted to the BUYER
提供給買家的產品占總產量比重 : __________________________________________________
Major Customers 主要客戶: ________________________________________________________
Last Year Turnover 去年營業額: £_______________
Factory floor space 工廠占地面積: ______________
No. of Production Buildings 廠房數量: __________
Total Production Area 生產總面積: __________
No. of Warehouse Buildings (if any) 倉庫數量（如有）: ___________
Total Warehouse Area 倉庫總面積: ___________
No. of Dormitory Buildings (if any) 宿舍數量（如有）: __________
Total Dormitory Area 宿舍總面積: ___________
No. of Canteen Buildings (if any) 食堂數量（如有） : _________
Total Canteen Area 食堂總面積: ___________
 
Organisation Chart of Manufacturer 生產組織結構圖

Human Resources 人力資源

No. of Employee at Factory 工廠 職工人數:
Management 管理: __________ persons 人
Production 生產: __________ persons 人
Engineering 工程: __________ persons 人
Quality 質量: __________ persons 人
Design (if any) 設計（如有）: __________ persons 人

Working time 工作時間

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


Equipment and facilities 儀器和設備

Types (Major) of machinery / equipment for production 主要用于生產的機器/設備:
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________
_______________________________   No of piece 件數: _________________

Certification 認證
ISO 9000 Certified        Yes / No 是/否_________
通過ISO 9000認證
Intertek Intertek Testing Services Non Food Audit Certified     Yes / No 是/否_________
通過天祥非食品評估認證

Policy / Procedure established 方針/程序的建立
Hazard Analysis and Critical Control Points (HACCP) incorporated Yes / No 是 / 否___________
結合危害分析與關鍵控制點
Crisis Management incorporated Yes / No 是 / 否___________
體現危機管理 
Metal Control Policy established Yes / No 是 / 否___________
建立金屬監控制度  
Glass Control Policy established Yes / No 是 / 否___________
建立玻璃監控制度
Internal Audit Procedure established Yes / No 是 / 否___________
建立內審程序
Training Procedure established Yes / No 是 / 否___________
建立培訓程序
Calibration Procedure established Yes / No 是 / 否___________
建立校準程序  
Environmental Protection Policy established Yes / No 是 / 否___________
建立環境保護政策  

Labour and Health Policy established 建立勞動和衛生政策
Child Labour Policy established Yes / No 是 / 否___________
建立反對童工政策
Prison Labour Policy established Yes / No 是 / 否___________
建立反對囚犯勞工政策
Equal opportunities Policy established Yes / No 是 / 否___________
建立平等就業政策
Health and Safety Policy established Yes / No 是 / 否___________
建立衛生和安全政策