25475-Q-PA1-AR-中文版.doc

SOLOMON GOLDENTEK DISPLAY (DONG GUAN) LTD. Report 周期稽核1报告Management System Certification 管理体系认证Standard:标准Project No.:项目编号PRJC-25475-2007-MSC-RGCAudit Dates:稽核日期4-6 Nov.,2009Street Address:地址(Main Mfg. Site)168, Fu Xiang Blvd, Di Yong Industrial Zone, Gao Bu, Dong Guan, Guang Dong, P. R. ChinaCity, State, Zip:城镇Dong Guan, Guang Dong, P. R. China,523273DNV Team Lead:领队Ellen HuangAudit Team:稽核Eric ChenTechnical Expert:N/ATranslator:N/AFocus Area Results重点领域 结果Focus Area 1 - Production Yield Improvement重点领域1生产良率改善High 高 5Positive Indications 正面指出z The production yields of KPI were established at the levels of production dept.产品的KPI 良率是在生产水平上建立的z The related production yields were statistic, most production yields basically achieved by KPI requirement. 相关的产品良率是统计的，大部分产品良率是由KPI要求去达到。zMain Areas for Improvement 主要领域改善。z432Low 低 1Degreeof ControlFocus Areas for Next Audit (suggested):下次重点稽核区域（建议）z Production Yield Improvement 生产良率改善zzzOverall Summary 摘要Below are some key points observed during the audit not included in the Focus Areas.以下为在此次稽核没有包括的重点领域。Positive Indications正面指出z No customer complaint.无客户抱怨z Good manufacturing environments.好的生产环境Main Areas for Improvement改善的主要区域z Please refer to the audit list of findings. 参考稽核列表结果Detail of Key Performance Indicators关键细节指出z No customer scorecards无客户记分卡z Customer return: 0 PPM for Sounding, 0.01PPM for Behr-Helta, 0.01PPM for GMS 客户退货：0PPM 为sounding, 0.01PPM 为Behrhelta，0.01PPM为GMSz No customer complaint 无客户抱怨z On time delivery : 100% 交期100%z No customer special status notification 无客户特殊情形通知z No customer disruption无客户瓦解Review company document system, comply to requirement of ISO 9001:2008评审公司文件体系，符合ISO9001:2008要求Management System Compliance Status 管理体系符合状况This management system audit was performed in order to determine the degree of conformity and effectiveness of the system against the declared certification criteria. 该被执行的管理体系是为了决定一直的程度和体系的有效性The report may contain nonconformities (NCs) that must be corrected before conformance to referenced documents can be confirmed and a certificate issued. There may also be a number of comments to compliment noteworthy efforts and to outline improvement opportunities. This report may be modified by DNV as a consequence of verification activities carried out by the DNV Certification Unit. If this occurs, the report will be revised and re-distributed with explanations.Findings from the previous audit were verified for effective implementation. The results of the Periodic Audit are such that the certification of the Management System be continued.Auditor StatementsAll findings were agreed with Management as being a true record of the facts observed.The actions taken in respect of the nonconformities identified at the previous audit were reviewed and were found to be effective in dealing with the issues raised. As such, all previous nonconformities are now closed.The nonconformities raised by this audit must have effective corrective actions implemented within the timescale identified in the Audit Findings Log. Verification of the effectiveness of the actions taken will be performed at the follow-up audit.All clauses identified in the audit plan and programmes were assessed. Except as indicated in the “Audit Findings Log”, the management system was found to be in compliance with the standard and the companys procedures.A sampling strategy was used during the audit. Based on this methodology, the fact that nonconformities were not identified does not mean that they do not exist in audited and/or other areas.Management Reviews, Internal audits, preventive & corrective actions were found to be implemented in accordance with the requirements of the audit standard.Customer complaints are handled, followed-up and closed in accordance with established procedures.The management system documentation has been reviewed and found to be compliant with the standard.The management system documentation has been changed to reflect changes in the organization.Continual improvement of system performance objectives are monitored for their progress and completion.The effectiveness of corrective actions issued during internal audits and management reviews are followed up.The use of certification mark(s) is in accordance with requirements.Organization and Accreditation DetailsOrganization DetailsCompany Address: (Main Mfg. Site)168, Fu Xiang Blvd, Di Yong Industrial Zone, Gao Bu, Dong Guan, Guang Dong, P. R. ChinaTotal No. of Employees: 70 （Total：700 for ISO）City, State, Zip: Dong Guan, Guang Dong, P. R. China, 523273No. of Sites: 1Contact Person: Mr. Tao Xin AnNo. of Employees per Site: 70 /1Contact E-mail: Client Purchase Order No.: N/APhone: 86-769-8737888Fax: 86-769-8737898DNV Team Lead: Ellen HuangAuditor E-Mail: DNV Project No.: PRJC-25475-2007-MSC-RGCAccreditation DetailsAccreditation Scheme/Approval Body: /UKASIndustry Code (NACE / EA): NACE 32.1 / EAC 19Applicable Product Standards: None Statutory Regulatory Requirements: NoneCertification Scope: Design and manufacture of LCD panels and LCD modulesClaimed Permissible Exclusions: NoneCertificate No.:Cert-10877-2006-AQ-HOU-IATF(IATF Certificate No.0075859)ISO: 0505-1995-AQ-RGC-UKASCertificate Expiration Date: 14 Dec.,2011ISO: 6 Feb.,2012DNV Technical Review: Technical Review Date: Certificate Issuance By issuance of this report by the Lead Auditor, it is confirmed that the client is recommended for certification as all NCs have been closed, including verification of effective implementation of corrective action. Final approval is at the sole discretion of independent personnel, based on a complete technical review. New Other: Upgrade to ISO 9001:2008(Specify changes to company name, division name, company address) Scope Extension: (Specify reason for scope extension audit)Table A: Sites Audited under this ProjectMfg Site: SOLOMON GOLDENTEK DISPLAY (DONG GUAN) LTD.Total Empl.: 70 （Total：700 for ISO）No. of Shifts: 2No. of Empl./Shift: 60/1, 10/1Address: 168, Fu Xiang Blvd, Di Yong Industrial Zone, Gao Bu, Dong Guan, Guang Dong, P. R. ChinaCity, State, Zip: Dong Guan, Guang Dong, P. R. China, 523273Scope: Design and manufacture of LCD panels and LCD modulesMain Activities (ex.: Purchasing, Sales, Design, etc.): Design, Manufacturing, Purchasing, Sales, etc.Claimed Permissible Exclusions: NoneCustomer Name: Suppl. Codes:Customer-Specific Requirements: Rev./Issue Date:Audited During this AssessmentGMS Gesellchaft Fur Module Und Display System mbH (GMS)72035NoneBehr-Helta Thermocontrol (Shanghai) Co., Ltd.(BHTC)NoneNoneSounding Audio Industrial Ltd.PF009NoneSite 2: N/ATotal Empl.: No. of Shifts: No. of Empl./Shift: Address: City, State, Zip: Scope: Main Activities (ex.: Purchasing, Sales, Design, etc.): Claimed Permissible Exclusions: Customer Name: Suppl. Codes:Customer-Specific Requirements: Rev./Issue Date:Audited During this AssessmentTable B: Supporting locations/sites audited by DNV under different project number (Such as corporate headquarters, design, purchasing, contract receipt and acceptance, etc.) Not ApplicableSite /Project # or Certificate #AddressCity, State, ZipNo. of Empl.No. of ShiftsNo. Empl.per ShiftMain Activity(ies)(ex.: Purchasing, Sales, Design, etc.)Table C: Remote / Support Sites Audited by another Recognized Body Not ApplicableThe DNV auditor has reviewed the interfaces and results of the audit (including Recognized Bodies report and findings issued) of the following remote support location(s) which have been audited by another Recognized Body.The results of the review were deemed to be: Satisfactory Not SatisfactoryRemote Site 1 - results are: Satisfactory Not SatisfactoryCompany Name: Street, City, State, Zip: Total Empl.: Certification Body and Certificate #: Report date: Main Activities Performed by Remote Location (ex. Purchasing, Sales, Design, etc.: Scope of Accreditation: Remote Site 2 - results are: Satisfactory Not Satisfactory Not ApplicableCompany Name: Street, City, State, Zip: Total Empl.: Certification Body and Certificate #: Report date: Main Activities Performed by Remote Location (ex. Purchasing, Sales, Design, etc.: Scope of Accreditation: Table D: Manufacturing locations supported by this site Not Applicable(This table must be completed if this project is for a support location/site. Please include all manufacturing sites this support location supports)Manufacturing LocationAddressCity, State, ZipAudit FindingsSummary from the Audit Nonconformance (NC) Summary:Total number of Major NCs:Total number of Minor NCs:03Comments Summary:Total number of Positive Indications identified during this audit:Total number of Main Areas of Improvement identified during this audit:Total number of Key Performance Indicators identified during this audit:206Conclusion / Next StepThe Team Leader confirmed with the Auditee / Organization at the Closing Meeting that the information contained in the “List of Findings” is factual.Submit all nonconformity responses to your Lead Auditor in a sufficient timeframe to allow implementation of your Corrective Action Plan by the agreed completion date. DNV will verify effective implementation of Corrective Actions for Category 2 NCs during the next scheduled visit and Follow-up audit.Minor nonconformities require a follow-up audit by the Lead Auditor either on site or through documentation. During the follow-up audit, the focus will be on those processes/clauses that were the subject of the NC(s). Additional samples and areas within the clauses may be audited, in addition to verification of the specific corrective action. Note that Corrective Actions must be effectively implemented in order to close.Major nonconformities must have correction (containment) actions implemented within 10 days. The organization must provide a response outlining correction (containment) actions and objective evidence to the lead auditor within 10 days of the end of the site audit. Follow up audits to close major findings must be performed on site.Minor findings identified as nonconformities must be responded to and corrective action implemented by the Organization within 90 days from the last date of the audit. The response shall include the results of investigation into the cause of the nonconformity, corrective action taken and confirmation of effective implementation.All applicable clauses of the Standard were assessed and the Management System was found to be in compliance, except as where indicated in the Audit Findings section of this report.The findings of the audit take into consideration the adequacy of the Organization and their management system documentation. The findings are also supported by observations made by the Audit Team with respect to the maturity and effectiveness of the Management System.Customers/Product Standards, Statutory Requirements, and other requirementsThe following requirements have been found to be applicable to orders and jobs as audited: On the basis of the audit evidence collected, it was concluded that applicable (product) standards, statutory requirements or customer needs are identified, controlled and achieved by the management system of the organization. The collected evidence demonstrates that not all applicable standards, customer requirements and statutory requirements were identified or met within the management system (see attached nonconformity notes or corrective action plan).Defined Exclusions within the Management System No exclusions have been defined by the organization. The following elements of the standard have been excluded from the management system of the Organization: During the audit the adequacy of defined exclusions could be justified. Defined exclusions are not adequately justified and/or properly documented (see attached List of Findings.)Outsourced Processes No relevant processes have been outsourced by the Organization.The following processes have been outsourced by the Organization: It was verified during the audit that these outsourced processes: are under sufficient control. are not under sufficient control (see attached List of Findings).Audit Results /Audit Situation The quality system of the organization was audited against the requirements of the standard and the organizations quality system documentation.All departments/processes of the organization were audited as per the agenda, including all shifts. Special focus was directed to the processes of handling customer complaints, internal auditing, management review and continual improvement.Management Review, Management Objectives, Internal Audits Yes NoA management review was performed and documented. Yes NoManagement objectives were defined and reviewed. Yes NoInternal quality audits were planned and performed on time. Necessary corrective actions were performed within an appropriate time frame and effectiveness was verified. Yes NoThe internal audit system appears to be reliable and appropriate to identify weak points of the management system in a systematic manner and to ensure that the management system meets the requirements of the standard.Comments: Management Review Date: 22 Oct.,2009 Internal Quality Audit Date: 8-18 Sep.,2009Improvement of Management System Yes NoNot applicableRecommendations from previous audit were implemented. Yes NoNot applicableThe management system is adapted as part of a continual improvement system, is adequate, up-to-date and effective.Comments: Recertification Audit Not Applicable Yes NoThe quality management system is effective in addressing internal and external changes. Yes NoThe quality management system continues to remain relevant and applicable to the scope of certification. Yes NoManagement has demonstrated their commitment to maintain the effectiveness and improvement of the management system in order to enhance overall performance. Yes NoThe QMS processes and their interactions were determined to be appropriate and effective in contributing to the achievement of the organizations policies and objectives and overall customer satisfaction.Comments: Explanation required for any no answers. Quality Manual StatusCorrective actions from document review: Not required Completely verifiedThe clients quality manual identified as M0000 revision C/2009-06-10 was found to be in compliance with the requirements of the applicable standards.Is this a Corporate Quality Manual? Yes No If yes, review is under Project No. General Notes/Action Items: Only the indicated items are applicable Management Review of the Management System must be completed prior to the Initial Audit. One cycle of internal audits, including follow-up and closure of associated corrective actions must be completed prior to the initial audit or a scope extension. For multi-site certification the Lead Auditor confirmed that all DNV Procedure and International Certification Processes (ICP) requirements were confirmed.Key ParticipantsName of ParticipantPosition and/or DepartmentJiang Cheng Cun EVPTJ TsengVPKuma ChenManager of QMGongkai ZhangManager of Engineering Henry DengSenior Manager of Sales/PMC/Purchasing/warehouseWallace WuVice Manager of QMHa