BV-工厂稽查How-To-Conduct-a-Factory-AuditPPT课件

1,HowtoconductaFactoryAuditHongKongNovember8th2002,Preparedby:TrainingandIntegrityTeam.Date:November8th2002.,TI27/Rev.0,2,-,CPS-I,Pre-AuditBeforeconductingtheaudit,theAuditormustunderstandtheclientsrequirements&basicconcepts.,HealthandSafetyPracticesTechnicalCompetenceQualityAssuranceSystems,Concept,3,-,CPS-I,Theobjectiveofafactoryauditistoevaluatethefactoriesperformanceandtheircompliancetotheapplicablecountrylaws.Therearethreemethodsusedtodoso-ExaminationofdocumentsObservationofactivitiesInterviews,TheAuditormustconsiderthewho,what,when,where,whyandhow.,4,-,Auditorarrivesatthefactory.TheAuditoridentifiesHim/Herself.Theythenverifytheaddress.TheAuditorthenaskstoseethecontactperson.,CPS-I,Un-announcedorAnnouncedvisit.,Presentation,5,-,CPS-I,TheAuditorsidentitybadgeisclearlydisplayed.,Presentation,6,-,CPS-I,TheAuditorintroducesHim/Herself.TheCodeofConductletterisexplainedandgiventothefactoryrepresentative.WhensignedtheAuditorwilltaketheoriginal,andleaveacopyforthefactoryrepresentative.,Openingmeeting,7,-,CPS-I,DuringouropeningmeetingtheAuditorshouldexplainthatWearepresentonbehalfoftheclient.Theyshouldexplainthatweneedtotakesomepictureswhenconductingthefactorytour.WeshouldtellthemthatweneedtoseetheprocedurefromIncomingmaterialsallthewaythroughtothepackingoftheproductpriortoshipment.,Openingmeeting,8,-,CPS-I,Preparationofdocuments,Anauditormustbeorganised.DuringtheassessmenttheauditorwillberequiredtocollectcopiesofcertaindocumentationtosupportHis/Herfindings.Itisadvisablethatthedocumentationisrequestedintheinitialmeeting.ManyfactoriesarenotsufficientlyorganisedtohavethedocumentationathandandWillneedseveralhourstogathertheentirefiles.Thefollowingslidescontainagenericdocumentationlistbasedonourpreviousexperience.,9,-,CPS-I,RequesteddocumentationArea1Incomingmaterials,Incomingrawmaterials(Recordof).IncomingInternalQualityControlsamplingschedulesforinspections.IncomingInternalQualityControlrecordsandreports.Inspectioninstructionsandprocedures.Nonconformingmaterialsprocedure.Nonconformingmaterialsrecord.Calibrationrecordsforinspectionequipment.,Genericdocumentationlist,10,-,CPS-I,RequesteddocumentationArea2QualityAssurance,QualityAssurance/Controlorganisationchart.InternalQualityAssurance/Controltrainingprogram.InternalQualityAssurance/Controltrainingrecord.Qualitymanual(Includingwrittenproceduresdocumentinghowsafetystandardsforproductsaremaintainedin-house).Relevantinternationalsafetystandards.Producttestingcertification.Calibrationrecordsandcertificatesforproductionmachinery.Calibrationrecordsandcertificatesforinternalinspectionequipment.,11,-,CPS-I,RequesteddocumentationArea3In-lineQualityControlQualityControlrecordsandreports.Inspectioninstructionsandprocedures.Calibrationrecordsforinspectionequipment.Correctiveactionplansandrecordsofre-workedgoods.Procedureandrecordsforhandlingacceptedandrejectedgoods.Defectanalysisandimprovementprocedures.,12,-,CPS-I,RequesteddocumentationArea4HealthandSafetyRecordsofindustrialaccidents.Industrialinjuryinsurancereceipt/invoice.Medicalinsurancereceipt/invoice.Firstaidcertificatesfortrainedstaff.Fireevacuationplan/procedures.Maintenancerecordsforfirefightingequipment.Firedrillrecord.,13,-,CPS-I,RequesteddocumentationArea5HousekeepingCleaningscheduleformajormachines.Cleaningscheduleforfactoryfloor.Procedureforthecontrolofpesticidesandbaitsincompliancewithnationalregulations.Recordsoftheuseofpesticidesandbaits.,14,-,CPS-I,RequesteddocumentationArea6FinalinspectionInternalQualityControlsamplingschedulesforinspections.InternalQualityControlrecordsandreports.Inspectioninstructionsandprocedures.Nonconformingmaterialsprocedure.Nonconformingmaterialsrecord.Calibrationrecordsforinspectionequipment.,15,-,RequesteddocumentationMiscellaneousNameandE-mailaddressofthefactory.Clientlist.Companypolicymanual.Factoryfloorplan.Workerstrainingrecords.Workerstrainingcertificates.ISOcertification.Complaintsprocedure.Recordsofcorrectiveactionstakentoeliminatenon-conformity.,CPS-I,Factoryorganizationchart.Nameofmajorproductionmachines.Auditsforsubcontractedfactories.Listofapprovedsubcontractedfactories.,16,-,Workflow,CPS-I,Incomingrawmaterials,Inspectionofrawmaterials,Initialpreparation,Storageofrawmaterials,Assemblyline,Storageoffinishedproduct,Inspectionoffinishedproduct,Inspectionofproductaftereachprocess,Thelogicalwaytoconductinganauditistofollowthepathoftheproductionprocess.Whilstpassingeachareaallaspectsoftheauditshouldbeconsidered.E.G.FireextinguishersFirstaidfacilitiesVentilationETCTakepicturesforeachcommentmentionedinthereport.Whenapicturehasbeentakenrecordthesequencetheyweretakeninonasparesheetofpaperandincludeyourcomments.,17,-,CPS-I,Storageofdangerouschemicals,Allchemicalsusedduringtheproductionofthefactoriesgoodsmustbecontrolled.Chemicalsshouldbekeptunderlockandkey.Onlycertainemployeesshouldhaveaccesstothem.Detailedrecordsofwhatchemicalshavebeencheckedout.Wheretheyhavegone.Whatdayandtimetheywentout.Whocheckedthemout.Whatamountwascheckedout.,18,-,CPS-I,Illuminatedfireexitsigns?Fireextinguishers?-Onefireextinguisherper80squareMeters(operational).Clearwalkways?Unlockedfireexits?Staircasesfreefromobstruction?Propercontrolofcombustiblematerials?Firerouteclearlymarked?Firedrillpracticeonaregularbasis?Workingfirealarmsystem?Maintenanceplanforfirealarmsystem?Emergencylightingsystem?Hosesaccessibleandoperational?,FireprecautionsKeypoints.,19,-,CPS-I,HealthandsafetyKeypoints,Fullystockedfirstaidboxes?Stafftrainedfirstaid?Personalprotectiveequipmentbeingusedandingoodcondition?Adequateguardsonmachineryandequipment?Potentiallydangerousequipmentregularlycheckedforsafety?Dangerous/hazardoussubstancesinuse?Arethesubstancesproperlystored?Communicationsvisiblypostedrepotentialfirehazards/health&safetyaspects?Suitableworkingenvironmentinrespectof:Ventilation,temperaturelightingandcleanliness?Arelavatoryfacilitiesaccessible,cleanandreasonableinnumber?Anyotherhealth&safetyrisks/factorsapparent?,20,-,CPS-I,Technicalcompetence,Areincomingmaterialskeptinaseparatearea?Arematerialsstoredcorrectly?Istheareacleanandtidy?Isthereadocumentedstockcontrolsystem?Arerejectedmaterialsclearlyidentified?Arepre-productionproceduresclearlydefinedandunderstood?Aredetailedproductionspecificationsproduced?Arepilotrunscarriedout?Areapprovedreferencesamplesavailableineachsection?,21,-,CPS-I,Packingsectionandstoragefacility,Isspaceandequipmentsuchastablesadequate?Ifautomatedequipmentisusedistheconditionacceptable?,Packing,Storage,Isthespaceadequate?Iscleanlinessadequate?Istidinessacceptable?Islightingacceptable?Areadequatestockcontrolproceduresinplace?Issecurityadequate?,22,-,CPS-I,Qualityassurancesystems,IsthereacurrentapprovedQualityManual?IsthequalitysystembasedonISO9000oranequivalentsystem?Arethereadequateprocedurescoveringallsectionsoftheoperations?Arestafffamiliarwithrelevantproceduresandtheirresponsibilities?Aretheproceduresreviewedandregularlyupgraded?IsthereanamedQualityRepresentative?WhodoestheRepresentativereportto?Areinspectorsineachsectionindependentfromproductionstaff?Doproductsreceivequalityapprovalbeforefullproduction?Isthereadocumentedcalibrationsystemcoveringalloperationalsections?,23,-,CPS-I,Commonsense,Commonsenseisprobablythemostimportantweaponintheauditorsarsenal.TheauditormustconducttheassessmentasifHe/Shewasadetective.Belowarejusttwoexamples.-Factory:Thefireextinguisherswerecheckedlastweek.Thetopsoftheextinguisherswerethickwithdust.Itwasobviousthattheyhadnotbeentouchedinalongtime.Thedateshadmerelybeenchangedonthestickers.-Factory:Ofcoursethefirstaidboxesarefullystocked.Itwasindeedimpressivelystocked.However,fiftypercentoftheboxeswereempty.,24,-,CPS-I,Storageandretrieval.,Makesurethatthefactoryhasanadequatesystemforstorageandretrieval.AskthestorekeepertofindanobjectfromtherecordsHe/Shemaintains.Theyshouldbeabletoretrieveitwithoutdelay.Walkthroughthestorageareaandselectaboxatrandom,thenaskwhatitcontains.Theyshouldbeabletogiveanimmediateresponse.Thenaskthemhowmanypiecestheboxcontains.AgainthereshouldbeanimmediateResponse.Allofthestockshouldbelocatedneatlyonshelvesorinpredeterminedareas.Noislesshouldbeblocked.,25,-,CPS-I,Howdotheyprocesstheircomplaints?Whoisresponsibleforhandlingthecomplaints?Checkthedocumentsorrecordsofcorrectiveandpreventativeactionplans.Iftherepresentativerespondswith“Wenevergetcomplaints”Merviewsomeemployeesregardingthisasacrossreference.,Handlingofcomplaints,26,-,CPS-I,Hints(b):ComprehensiveWorkingHoursSystemTotaldaysTotalRestDaysStatutoryHolidaysNetWorkingDaysinayearinayear365-104-10=251,Totalbasicworkinghoursforayear=251daysx8hrs/day=2,008hours(100%)TotalO/Thourspermittedbylaw=36hrs/monthx12months=432hours(150%),Themaximumovertimehourswithineachadaymustnotexceed3hours.Themaximumovertimehourswithinamonthshallnotexceed36hours.Factoriesshallproduceatleastonerestdaytotheiremployeesoneverysevendaysifovertimeworkisdefinitelyrequired.,Checkingovertime(China).,27,-,CPS-I,TheAuditormustinterviewworkerswithregardstotheirworkingsalary,benefitsEtc.(numberofpeopleintervieweddependsontheclientsrequirements).,Hints:Manufacturerswillnotuseanyforcedorinvoluntarylabor,whetherprison,bonded,indenturedorotherwise.E.g.,Whenemployeesarerequiredtoobtainspecialpermissionfrommanagementtoleavethefactoryatt