Morrisons Starter Kit(STR验厂文件清单)

Morrisons Factory Technical Audit

Morrisons质量能力审核

The Morrisons vendor assessment programme is designed for assurance that a factory is able to manufacture products in the volume required, within the timescale necessary and at an appropriate level of quality standards. It is an objective and credible assessment of supply chain conditions, providing valuable guidance on preventive and corrective actions。

Morrisons供应商审核的目的在于确保工厂在规定时间内能制造出规定数量的合格的产品。审核客观地评价供应商实际情况，提供有价值的纠正预防措施指南。

2.1 Audit Procedure & Requirements:

审核程序及要求：审核程序及要求：

Our auditors collect and evaluate evidence from on site observation, documentation review, and conversation with factory management and employees. Upon completion of the visits, our auditors will communicate their findings to factory management and complete the CAP draft report with the factory management. STR Auditor will randomly draw the QC records on site or from document control room. The factory should retain all QC records in six months period.

审核员通过现场观察、文件评审、与工厂管理者及员工的访谈收集审核证据并进行评价。审核结束后，审核员会与工厂管理者沟通审核发现，完成纠正措施计划(CAP)草稿报告。审核员会随机抽查相关记录审核员会随机抽查相关记录，审核员会随机抽查相关记录，所以希望工厂至少保留近半年的质量以希望工厂至少保留近半年的质量记录质量记录。记录。

The following is a general outline of the audit process. The actual audits may be adjusted based on the actual factory location，transportation and cooperation. Your full cooperation is appreciated to ensure a smooth and beneficial audit for all parties involved.

以下是我们的审核流程的概述。实际审核可能会根据工厂的实际地址、交通状况及合作情况进行调整。感谢您全力地支持以使审核顺利高效地完成。

In order to facilitate the most effective outcomes of visit we invite senior factory management representative be participate during this audit. The personnel involved should have full knowledge of the factory operation and the authority to assist STR during the audit process. In addition, the management involved should have the authority to initiate changes and corrective actions and are empowered to sign & stamp on the draft Corrective Action Plan (CAP).

为使审核顺利高效地完成，我们希望工厂的高层管理者代表能参与审核。参与人员应熟悉工厂运作及有相关授权以配合审核员。另外，参与审核的管理人员应有权采取纠正措施及在纠正措施计划报告草稿上签名并盖章。

The facility management team present throughout the day is to include at the very least the quality manager & the production manager etc. These individuals will be asked a series of questions regarding production capacity, quality system, machines & lead times.

审核当日，应出席的工厂管理人员应至少包括品质经理及生产经理等。有关于生产能力、质量系统、设备及交货周期的问题需要这些人员的回复。

2.2 Audit Outline:

审核概述

Audiors arrive at the factory and provide their business cards and identification badges upon entry. Please be sure to notify your entry security guards in advance of their visit.

审核员到达工厂，进入时出示工作证及名片。请将审核员将要访问工厂的事宜提前通知出入处的保安。

Audit is conducted by STR quality division personnel and will take in general one full working day. 审核将由STR质量部门的人员实施，通常需要一个工作日。

现场审现场审核流程：流程：

2.3 Audit Scope

审核范围

Facilities工厂设施 Cleanliness 清洁

Quality Management System 质量管理体系 Measuring Equipment Control 计量设备控制

Incoming Material Control 进料控制 Manufacturing Process Control 过程控制 In-line/Final Inspection & QA 过程/成品检验 Packaging / Warehouse Storage 包装/仓储 Control of Sharp Tools 利器控制

Paint Spraying/Application 喷涂控制（如适用） Records/Documents Control 文件/记录控制 Corrective Action & Preventive Action 纠正预防措施 Products Requirements 产品要求

2.4 Audit General Operation Flow

工厂审核基本流程工厂审核基本流程

On Site Audit Procedure 现场审核基本流程

2.5 Documentation Requirements

文件要求

During the audit visit, auditors would like factory management to provide the following documents (if applicable):

审核过程中，审核员将会要求工厂提供以下相关文件：

No. 序号 02 03 04 05 07 08 09 10 12 13 15 16 17 20 22 23 25 26 27

DOCUMENT

Organization Chart

ISO9000 / ISO14000/ SA8000 Certificate (If any) Machinery List

Machines Maintenance Plan & Records

Production and Packaging Areas Pest Control Procedure

Responsibilities and Authorities Quality Policy Quality Objective Management Review Procedure and Record Internal Audit Plan & Records Training Records (Work Skill training)

Legal Statutes and Mandatory Standards Applicable to Products/ Materials Contract Review Record

Products

Suppliers / Sub-contractor Control Procedure and Assessment Record

Measuring / Testing Equipment List

Measuring Equipments Calibration Certificate and Records

Material/ Finished Products Incoming & Outgoing records

Purchase Procedure, Purchase Order

Quality control Instructions (Incoming Materials/ Sub-contracting Product Inspection, In-process Inspection & Finished product inspection Instructions)

文件

营业执照 组织结构图

ISO9000 / ISO14000/ SA8000 等认证证书（如有） 设备清单

设备保养计划/记录

生产/包装区域每日清洁记录

防虫害控制程序 职责权限 质量方针 质量目标 质量手册

管理评审程序/记录 内审计划/记录

员工的培训程序/计划

员工的培训记录（工作技能）

产品，物料相关的拟销售地区的法律法规和强制性标准

合同评审记录

原材料和产品的规范要求

产品变更记录

供应商/分包商控制程序和审核记录 顾客抱怨处理程序 计量/ 测试仪器台帐 计量仪器校验证书/记录 标准块的校验证书（如适用） 材料及成品的出入库记录

采购程序，采购合同

检验规范(进料检验、过程检验、外发工序/产品 以及成品检验)

28 29 30 31 33 34 35 36 38 39 41 42 43 44 45 47

Defect Classification (Incoming Materials/ Subcontracting Product Inspection, In-process Inspection, Final Inspection)

Inspection Records (Including Incoming Materials/ Sub-contracting Product Inspection, In-process Inspection & Finished product inspection) Process Flow Diagram Production Plan

Working Instructions

Pre-Production Meeting Records

Defects Charted and Analyzed Records Packaging Instructions

Investigation Procedure (If applicable)

Daily Issuance & Return of Sharp Tools Records (If applicable)

Broken Needle Policy/ Record (If applicable) Metal Detecting Record

Metal Detection Machine Calibration Record Non-conforming Material Control Procedure Non-conforming Material Records (Including incoming materials, Semi-finished Products & Finished Products)

Re-inspection Records for Reworked Lots

Documents Control Procedure

疵点分类 (进料、外发加工检验、过程检验、成 品检验)

检验记录（进料、外发加工检验、过程检验、成 品检验、功能测试）

工序流程图 生产计划 生产通知单 作业指导书 产前会议记录 质量分析记录 包装指示

利器控制程序及利器丢失调查程序（如适用） 利器日常收发/检查记录（如适用）

断针控制程序/记录（如适用） 玻璃控制程序（如适用） 验针记录

金属探测机检测记录 不合格品控制程序

批次不合格品评审记录（来料，半成品，成品） 不合格品返工重验记录 纠正预防措施程序/记录 文件控制程序

Anti-bribery Memorandum 防止贿赂备忘录

In view of anti-bribery provisions in People’s Republic of China and Hong Kong Special Administrative Region, a Letter of "STR Code of Conduct and Anti-Bribery Policies" land this Memorandum are to be provided to the Factory upon the arrival of STR employees. Please read the relevant information before you sign. This Memorandum should be signed and returned to STR employees before they leave the Factory. It is at the Factory’s liberty to retain a copy of this Memorandum for reference.

鉴于中华人民共和国及香港特别行政区有关之防止贿赂法律，STR员工抵达时应先向工厂提供「STR行为守则及防止贿赂政策」之信函和此备忘录。在签署前请先细阅有关内容，并在STR员工离开工厂前把此备忘录填妥归还STR员工。工厂可保留此备忘录的副本以作参考。

STR Anti-Bribery Policy 防止贿赂政策 防止贿赂政策

1. STR employees are prohibited from accepting or soliciting any advantages from the clients or their vendors.

Advantages include but not limited to: money, payments, bribes, gifts, entertainment, favors and gratuities, merchandise, tickets, vouchers, promotional items for visitors, reference samples, airline upgrades, etc. STR 员工禁止向客户或其供应商收受或索取任何利益。利益包括但不限于:金钱、费用、贿赂、礼物、款待、优待及赏赐、商品、入场券、优待券、给客人的宣传品、样本、机位升级等等。

2. STR employees are prohibited from engaging in any business or activities that conflict with interests of STR or its clients.

STR 员工禁止从事一切与STR或其客户利益有冲突的事务或活动。

3. STR employees are prohibited from accepting or soliciting any advantages on transportation from the clients or their vendors.

STR 员工禁止向客户或其供应商收受或索取任何交通利益。

4. STR employees are prohibited from accepting or soliciting any advantages on accommodation from the clients or their vendors.

STR 员工禁止向客户或其供应商收受或索取任何住宿利益。

5. STR employees are prohibited from accepting or soliciting any advantages on meals from the clients or their vendors.

STR 员工禁止向客户或其供应商收受或索取任何膳食利益。

6. STR employees are prohibited from making any purchase(s) from the clients or their vendors. STR员工禁止向客户或其供应商进行任何购买。

7. STR employees are prohibited from borrowing money from the clients or their vendors. STR员工禁止向客户或其供应商借款。

Whenever it is doubtful as to whether or not there existed a conflict of interest, STR employees should declare in writing to their STR coordinating office as soon as possible to demonstrate their impartiality. 当怀疑有利益冲突状况, STR员工应尽快向所属地方办事处作书面申报, 以示公正和不偏不倚。

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