FCCA Quality System Audit Outline
质量体系审核纲要 (鞋类)
1.0 Factory Facilities and Environment 工厂设施与环境 1. Are lighting sufficient in the following key areas? 下面关键区域的照明足够吗？ 1.1. Inspection Areas 检验区 1.2. Production Areas 生产区 1.3. Packaging 包装区 1.4. Warehouse/Storage and Loading Areas 仓库/堆放处和装货区 2. The facility maintains clean and organized production, finishing and packing areas. 工厂应保持所有的生产、整理和包装区域干净整洁 3. Facility has separate inspection area for each department with inspection tables and proper ventilation. 每个相关部门都应有独立的检验区域，包括检验台和合适的通风环境 4. Facility has documented and adequate pests control program which includes frequent inspections. (in-house or 3rd party) 工厂应有文件化的充足的虫害控制程序，包括定期的检查（工厂内部或第三方） 5. Facility has documented molds/mildew and moisture control program which includes check records based from Wal-Mart requirements (Mold Prevention Checklist) 工厂有文件化的霉菌和湿度控制程序和基于WM霉菌防治检查表的检查记录. 6. Are storage conditions appropriate and adequate for raw material to avoid deterioration of quality or safety? Especially for sensitive materials/components. For example, Genuine Leather, synthetic PU/PVC, fabrics etc. 来料的储存环境是否适宜和充足以避免物料的质量或安全性降级退化？尤其是对于敏感的材料/部件。例如真皮，人造的PU/PVC，布料等. 7. No broken windows or leaking roofs that may result to product contamination was observed during Audit. 在审核期间，没有发现会导致产品污染的破损的窗户和渗漏的屋顶. 8. Factory implements strict sharp tools control procedure to prevent scissors, knives, blades, broken glasses and needles to be mixed with product. Has metal free area, tack free policy, No snap off blades used 工厂执行了严格的利器控制，以避免剪刀、小刀、刀片、碎玻璃和针混入产品中。?有设置无金属污染区, 无大头针使用区, 无易折断刀片在使用 Critical 关键点 FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 1 of 10
Critical 关键点 9. Factory implements a broken needle control process 工厂执行断针控制程序. 10. Factory has metal detecting unit (Airport System) uppers or whole shoes are checked into metal free area and located at the right finishing area and is enclosed and secured and have regular calibration records 工厂应该有金属探测系统 (类似机场安检系统）, 鞋面或整个鞋在进入无金属区前需要通过这个系统检测, 金属探测系统应该摆放在正确的区域, 密闭隔离, 并且要定期验证, 并保留验证记录. 11. Does the plant have a \"back up\" power supply available that will allow production to continue in case of power failure? 工厂是否有备用发电机以确保在电力故障情况下可以继续生产 12. Does the factory have established procedure and effective industrial waste management system in place 工厂已建立有效的工业废弃物的管理系统 Critical 关键点 1.1 Machine Calibration and Maintenance 机器校准和维护 1. Factory has documented system and procedure for scheduled production machines & equipment cleaning and repairs and calibration (Preventive Maintenance Program) 对计划用于生产的机器设备，工厂有文件化的清洁，维修和校验的体系和程序(预防性保养计划). 2. Factory has documented system and procedure for scheduled calibration of Inspection and Testing tools and equipment 对检验和测试用到的工具和仪器， 工厂有文件化的校验系统和程序 3. Is calibration accuracy traceable to specific International and National Standards? 是否校验的精确度可以追溯到特定的国际和国家标准 4. Factory machines and equipment are appropriate to produce Wal-Mart products. Hand presses for attaching eyelets & Trims must not be used 工厂的机器和设备适用于Wal-Mart产品的生产，不能手工钉鞋眼和附件 5. Factory machines and equipment appear to be clean and in good running condition. Pulley guards are attached & machines do not make noise 工厂的机器和设备清洁运行并良好. 皮带轮防护罩已安装 & 设备没有噪音 6. Machines, equipment and tools are properly labelled with date of last maintenance/calibration and schedule. 机器、设备和工具是否有最近一次维护/校准日期及维护/校准计划表的标识. 7. Machines, equipment and tools that needs to be repaired are properly labelled or marked to avoid accidental use. 需要维修机器、设备和工具是否正确的标示或标识以避免意外使用. FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 2 of 10
8. Factory has proper, clean and organized storage area of critical tooling (i.e. injection moulds) with labelled shelves & lifting equipment 工厂是否有适当，整洁的存储区域储存关键模具(比如:注射模具), 并且放在有标识的架子上，并有起重装置 9. Factory has proper documentation and updated inventory of machines, tools, spare parts and equipment. 工厂有适当的机器、工具、零部件和设备的库存文件，并保持更新 10. Factory has maintenance team with suitable skill level and equipment to perform necessary repair and calibration on machines. 工厂是否拥有一定技术水平的保养团队和设备可以执行必要的机器维修和校准的工作 2.0 Quality Management System 质量管理系统 1. Does the factory have accredited Quality Management System in place with any international, national or customer quality standards association (e.g. ISO 9001, etc.)? 工厂是否建立了符合国际标准或者客户标准的质量管理系统? （例如ISO9001等） 2. Does the factory have established Quality Management System (QMS) that is clearly documented in their Quality Manual which follows ISO9001 or other International Quality Standard that is appropriate to the products they manufacture? 工厂是否基于适用于其产品的国际质量标准或ISO建立了质量管理系统? 相关内容已清晰地在质量手册中进行说明 3. Workers & Supervisors are familiar to these quality policies and objectives. Regular training is given & records of quality problems & improvements are used 工人或者主管熟悉质量方针，目标（提供培训 & 质量问题的记录& 对质量方针目标的改进. 4. Factory has documented customer complaint system and documented recall program. 工厂建立了文件化的客户投诉程序和产品召回程序 Critical 关键点 5. Factory QC team is independent from Production division. 品质部门独立于生产部门 6. Does the factory have some type of listing to identify specific defects [similar to Defect Classification List (DCL) or Critical-Major-Minor Defect List (CMM)] and is it being used in their inspections? 工厂是否制定了缺陷分类表（类似于缺陷分级表或者致命-严重-轻微缺陷表，并且要在检验当中使用） 7. Production management and QC team discuss and work together in solving Quality issues/ concerns. (Documented) 生产部门和质量部门讨论解决质量问题（文件化） 8. Factory maintains effective traceability system that can determine immediate source from raw material to finished product. 工厂建立了追溯系统可以立刻的从原材料追溯到成品 FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 3 of 10
9. Factory has systems and procedures in place to control the risk (Risk Assessment) of physical or chemical contamination that may damage/affect raw materials, processes, equipment & tools, products and personnel as well. 工厂有系统或者程序来控制可能会破坏/影响原材料，过程，设备&工具，产品的物理，化学污染. 3.0 Incoming Materials Control 来料控制 1. Factory has documented process & procedures (instructions, guidelines and records) for quality inspection and verification on all in-coming raw materials, accessories, components and/or sub-assemblies to ensure that it conforms to specifications, quality standards, safety & regulatory requirements. 工厂有建立文件化的流程和程序（作业指导书，指引和记录）对所有的原料，配件，部件和外发件实施质量检验和确认，确保其符合规格要求和质量标准 2. Proper first in-first out (FIFO) system on materials are practiced. 针对原料工厂有实施适当的先进先出管理 3. Is the system can trace back to the raw material source or know where they are from? 系统可以追溯原料的来源或知道来自哪里？ 4. Incoming and outgoing material quantities are monitored and documented. 物料入仓和出仓的数量需进行控制和记录 5. Does the factory maintain records showing proof that all paints, coatings and non-paint components (hardware, labels, etc.) are tested for Lead and Heavy Metals content and complied with the safety & regulatory requirements where the products are sold, as applicable? 工厂是否保存了相关记录以证明所有油漆，粉体和 无涂层部件(如五金, 标签等)有进行重金属含量测试并满足产品所销售国家或地区的安全法规要求. 6. Does the factory maintain records showing proof that all raw materials are tested for EU REACH Substance of Very High Concern (SVHC) and complied with the safety & regulatory requirements where the products are sold, as applicable? -ASDA requirement 工厂保存记录来证明所有物料有测试欧盟高关注度物质并符合销售国家的安全及法规要求，如适用？-ASDA要求 7. Is needed testing equipment available and maintained in good condition? 是否有必要的测试设备并保养良好？ Critical 关键点 8. Factory has proper system on material segregation to avoid accidental contamination from rejected items. These are stored in the designated Quarantine area 工厂有适当的系统来隔离物料以避免不良品污染。不良品应储存在指定的隔离区. 9. Does the factory review, determine and record the disposition of rejected raw material, i.e. Return to raw material supplier, Deviate to Use, Rework, and Scrap? 工厂是否评审, 决定和记录不合格品的处理过程, 如退料给供应商，降级使用，返工，报废等？ Critical 关键点 Critical 关键点 FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 4 of 10
10. Materials, components and accessories are properly stacked and identified with tags / labels and off the floor including finished goods 原料，部件和配件应良好储存及标识，并离地存放，也包括成品. 11. Factory has documented chemical control system. Chemicals and hazardous substances are properly marked and stored in an external store separate from the factory building with the mixing equipment & correct containers. Chemicals are controlled within the factory & are not left lying around inside the factory. Please refer to WM Chemical Control Document 工厂有文件化的化学品控制系统化学品和危险物质应适当标识及储存在独立于工厂主要建筑之外的区域内。化学品应该在厂内有效控制. 请参考WM化学品控制文件. Critical 关键点 12. Does factory have documented REACH document control system? [ASDA requirement] 工厂是否有文件化的REACH文件控制系统？ [ASDA 要求] 13. Where applicable, Fire Resistant (FR) foam/filling (fibers) material shall have independent test certificates, and factory properly segregate Fire Resistant Foam/Filling (fibers) Material from non-Fire Resistant Foam/Filling (fibers) Material 如适用，工厂的防火泡沫/填充物（纤维）材料应当有独立的测试证书，且与其他不防火的材料隔离开来存放. 14. Color relevant materials such as fabrics, genuine leather and synthetic PU/ PVC, trims and accessories are sorted by lot numbers. 有颜色的材料如布料，真皮，人工PU/PVC，以及配件应当按照批号分类. 3.1 Suppliers & Sub-contractors 供应商和分包商 1. Does factory have a documented supplier selection and approval process? 工厂是否有文件化的供应商选择和评审程序? 2. Does factory have an established, documented quality procedure and does factory evaluate, monitor or track material supplier's quality performance and reliability? Is there an assessment report of the material supplier factory? 工厂是否建立且文件化的质量程序，是否评估，监控或跟进材料供应商的质量表现和可靠性？是否有原材料供应商的评估报告? 3. Does factory have an established, documented quality procedure and does factory evaluate, monitor or track Sub-Contractor quality performance and reliability? Is there an assessment report of the sub-contractor's factory? 工厂是否建立且文件化的质量程序，是否评估，监控或跟进分包商的质量表现和可靠性？是否有分包商的评估报告? 4. Are the records for supplier & subcontractor approval properly maintained and kept according to the defined retention period? (Minimum 1 year) 供应商&分包商的评估记录是否按照规定的期限保存（至少一年）? 5. Are the personnel with adequate product knowledge and skill sets conducting material supplier & sub-contractor qualification? 进行供应商&分包商评审的人是否有足够的产品知识和技能？ FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 5 of 10
4.0 Process and Production Control 生产和过程控制 1. Does factory have work area only for Product Development? 工厂是否有开发的专用工作区域? 2. Does factory PD study and apply product safety features, evaluates patterns, moulds and samples during product design and development? 工厂开发人员是否在产品开发过程中研究使用产品安全特征, 评估专利, 模具和样板? 3. Does Product Development perform wear test to check the fitting of the new samples? Does the factory have our requirements for new products? Fitting models that meet our requirements are used to fit test in the factory before submitting? 工厂在开发新样板时是否做试穿测试? 工厂是否有WM 试穿试产测试的要求, 并且遵照该要求做试穿测试在提供样板给WM 前? 4. Does factory PD consider the mass production feasibility on product and develop easy ways to ensure the quality of production? 工厂的开发人员是否考虑量产的适宜性以便发现来确保生产品质? 5. Factory has documented Quality Process & Procedures with Work Instructions at each stage of operation. 工厂是否在每一阶段都有程序和作业指导书? 6. Factory has documented Production Process & Procedures with Work Instructions at each stage of operation. 工厂在每一阶段都有文件化得生产流程, 程序和作业指导书? 7. Are required production control parameters stipulated/defined and maintained during the production processes? 在生产过程中, 工厂是否设定, 监控生产参数? 8. Does factory conduct Pre-production meeting prior to start of production? 在开始生产前，工厂是否召开了产前会议? 9. Are production and quality supervisors present during Pre-production meeting? 生产和质量主管是否参加产前会议? Critical 关键点 10. Are critical quality and safety checks reviewed, identified, and actions for improvement documented during Pre-production meeting? 在产前会议中,是否评审和识别质量和安全的关键控制点以及是否有相应的改善措施? 11. Does factory conduct “Pilot-run” on new products, high value, high volume and high risk items and review product quality against specification sheet and document results with corrective actions prior to mass production? 工厂是否针对新产品, 高价值产品,高风险产品, 数量多的产品做试生产并大货生产前对于试生产时存在的问题是否进行了有效地整改并有相关记录? 12. Was In-house Testing performed on current production? (Request for test copies) What action is taken when a shoe test fails? 工厂是否做内部的测试(提供测试记录), 测试结果不通过时有何措施? FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 6 of 10
13. Does factory QC compare first piece samples with approval sample and specification sheet? QC是否按照相应的首件检检验规范和样板进行首件确认？ 14. Are there adequate approved samples, first piece samples, reference samples and work instructions to provide workers with proper guidelines? 是否有足够的确认样，首件，参考样和作业指导书提供给生产线员工作为作业参考？ 15. Do Quality Control Department personnel (Inspectors/Supervisors/Managers/Directors) have authority to stop production if quality of products did not meet specification? 在产品不合格的情况下，工厂品管部门人员（检查员/主管/经理/总监）是否有权停线？ 16. Does the factory have systems in place for the handling of product specification/communication documents? 工厂是否有系统来管理有关产品规格和沟通文件? 17. Does factory use defective/ reject samples to demonstrate examples of common defects? 工厂是否使用缺陷或拒收样板来展示常见缺陷类型以供参考? 18. Does factory has proper in-process inspection procedure and standard? Does QC strictly follow the procedure and all inspection records are properly retained. 工厂是否建立适当的工序检查流程和标准? QC是否严格遵守并正确保留所有检查记录? 19. In-line inspections (IPQC) are performed by QC (both by Production Line QC & Quality Dept.’s QC) at every operation process. 每个生产环节都有由QC（生产现场QC和品质管理部门QC）进行的在线检查. Critical 关键点 Please refer to latest WM AQL Std 20. Factory QC inspects per standard AQL or as per industry standards. 工厂QC用AQL标准或根据行业标准检验，请参照最新的WM的AQL标准.） 参考WM最新AQL标准 21. Does Factory performs 100% functionality check on final products? 工厂是否对成品做100%的功能检查? 22. Does factory use corrective actions and root cause analysis methods? (Please provide examples) and either the Production Supervisor for Production Line issues or QA Supervisor for Quality issues writes the CAP? 工厂是否用纠正措施和根本原因分析的方法？（请提供例子））同时在写纠正措施计划上, 是否生产主管负责生产部分或者品管主管负责质量部分？ 23. Does factory have guidelines in place to ensure packaging is correct for product? 工厂是否有指引确保产品包装是正确的？ FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 7 of 10
24. Does packing area have enough space to perform packing functions properly? Is it clean and organized? Storage is separate 包装区是否有足够的空间来进行包装职能？它是清洁有序的？存储是分开独立的? 25. Packed cartons are stored on pallets in enclosed area not exposed to sunshine and wet weather. Space is available and cartons are not stored too high or against walls or windows 成品需要存放在一个封闭的区域，不能曝露于阳光和潮湿的天气。要有足够的空间，不能堆放过高以及靠近墙壁或窗户. 26. Does factory track and document on-time ship performance and take necessary actions (CAP) for delayed shipments [Check rolling 12 months shipment record] 工厂有跟踪并记录准时出货率吗？对于延迟发货采取必要的行动（纠正措施计划）检查连续12个月出货记录. 27. Does factory have the Chemical name and information of safe use of each EU REACH Substance of very high concern (SVHC) on the candidate list? [ASDA Requirement] 工厂是否有欧盟高度关注物质（SVHC）候选名单上的每一个物质的安全使用需要的化学名称和信息？（ASDA要求） 28 . Does factory keep all the REACH document for more than 10 years after the related substance was imported to Europe? [ASDA Requirement][Auditor need to verify and see if any REACH document can be retrieved from the system] 当相关物质被进口到欧洲，工厂是否保持所有REACH相关文件10年以上？（ASDA要求）审核员需要验证是否REACH文件可以从系统中索取. 29. Does factory use statistical process control (SPC) for quality? Are SPC controls maintained at the manufacturing operation as required? 工厂是否使用了统计技术工具（SPC）来改进和保证品质的？SPC是否对生产过程中各个阶段进行了控制？ Critical 关键点 30. Syringes are no longer used in Production. Banned by WM since Dec 2011 禁止使用针筒打胶. 针筒被WM 从2011年12月开始禁止使用。 5.0 In-House Testing 内部测试 1. Does factory perform any kind of in-house testing? Are test equipment/tools well maintained, organized and technicians are well trained. Test Standards used are traceable to any international or local standards? (Pls refer to the FCCA attachment for the minimum In-House Testing requirements) 工厂是否实施了任何类型的内部测试？ 测试设备或工具是否维护良好和有序放置以及测试人员是否接受过有效培训。测试标准是否采用国际或当地的标准（请参照审核报告附件中的最低内部测试要求） 2. All gauges and test equipment have valid calibrations and are properly labelled 所有的测量测试设备需要有有效的校验以及需要贴上校验标贴. FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 8 of 10
3. Testing manuals of various industry standards and WM Test Protocols are available as reference & are up to date 适用的测试标准和WM测试协议是否保留并保持更新? 4. Technicians conducting in-house testing are properly trained to perform testing functions and Certificates of training are available. [NOTE: Factory that trains their own technicians must show evidence that their Chief/Master Technician has been trained & certified by qualified professional trainers] 内部测试人员在上岗前要接受正式的培训,并保留资格证明 [注:如果工厂内部培训, 培训导师必须接受过独立第三方的培训和认证.] 5. Does factory have appropriate testing equipment/facility for screening / checking the presence of SVHC on the candidate list? [ASDA Requirement] 工厂是否有检验设备做相关SVHC 检测？(ASDA适用) 6.0 Final Inspection 最终检验 1. Does factory have procedure and working instruction for final QC? 针对成品检验, 工厂是否制定文件化的程序和作业指导书. 2. Factory QC conducts final inspection based on client-specific AQL sampling plan. 工厂QC是否基于客人指定的抽样和接受计划执行成品检验? 3. An approved sample or reference sample with packing list and shipping marks are available as reference for factory QC. 是否签板或附带包装明细和箱唛信息的封样件提供给成品检验员作为检验参考？ 4. Approved sample or Reference samples shall be stored in good conditions to maintain product integrity. 产品参考样或签板是否储存在适宜的环境来保持其完整性. 5. Are there formal written final inspection reports? Are they properly filed and traceable for review on quality of products? 是否有正式的书面成品检验报告？成品检验报告是否有效地存档以及能有效地追溯来评估产品质量？ 6. Where applicable, does factory final QC performs internal mechanical/functional tests to ensure the safety of product? 如果适用, 工厂QC是否在成品检验时做内部的机械, 功能测试以确保产品安全? 7. Where appropriate, are inspection and testing equipment used by the inspector in good condition and calibrated? 检验员使用的检验和测试设备是否校正, 并处于良好状态? Critical 关键点 8. Failed inspections are properly corrected prior to final inspection by customer. 在内部检验结果不通过的情况下, 工厂是否在客人验货之前整改完毕? 9. Factory does not ship goods unless subjected to release procedures from customer. 没有获得客户批准授 权，工厂不能安排出货. FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 9 of 10
7.0 People Resources and Training 人力资源和培训 Critical 关键点 1. Factory conducts documents and maintains on-job training for all personnel or conducts pre-hire testing of skilled workers prior to hiring. 工厂是否针对所有员工的实施在职培训并保留相应记录, 或者针对有工作经验要求的岗位执行录用前的考试. 2. Is there a formal, documented Technical training/cross-training or certification program for PRODUCTION WORKERS on process, work station, equipment that they perform/use? 针对生产线员工, 是否有一个正式的, 文件化的技能培训/交叉培训 及相关资质认证流程? 3. Is there a formal, documented Technical training or certification program for QC INSPECTORS on QC processes? 针对品检人员, 是否有一个正式的, 文件化的技能培训/交叉培训 及相关资质认证流程? 4. is there a formal, documented Technical training or certification program for ENGINEERS, MAINTENANCE OR EQUIPMENT TECHNICIANS? 针对工程,保养和设备人员, 是否有一个正式的, 文件化的技能培训/交叉培训 及相关资质认证流程? 5. Records of trainees and all regular personnel with corresponding performance records are kept and maintained. 所有人员的培训以及考核记录需要保留并有效地保存. 6. Are training courses / materials suitable for trainees with different job scope? 工厂有没有基于岗位的需求提供针对性的培训?
FOOTWEAR FCCA Outline v1.0 (CN-EN) _07 Nov 2013 Page 10 of 10
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