SOLOMONGOLDENTEKDISPLAY(DONGGUAN)LTD.Report周期稽核1報告ManagementSystemCertification管理體系認證Standard:標準ProjectNo.:項目編號PRJC-25475-20XX-MSC-RGC4-6Nov.,20XXAuditDates:稽核日期StreetAddress:地址(MainMfg.Site)168,FuXiangBlvd,DiYongIndustrialZone,GaoBu,DongGuan,GuangDong,P.R.ChinaCity,State,Zip:城鎮DNVTeamLead:領隊AuditTeam:稽核TechnicalExpert:Translator:DongGuan,GuangDong,P.R.China,523273EllenHuangEricChenN/AN/AFocusAreaResults重點領域結果FocusArea1-ProductionYieldImprovement重點領域1—生產良率改善PositiveIndications正面指出lTheproductionyieldsofKPIwereestablishedatthelevelsofproductiondept.產品的KPI良率是在生產水平上建立的lTherelatedproductionyieldswerestatistic,mostproductionyieldsbasicallyachievedbyKPIrequirement.相關的產品良率是統計的，大部分產品良率是由KPI要求去達到。High高5lMainAreasforImprovement主要領域改善。l43←2Low低1DegreeofControlFocusAreasforNextAudit(suggested):下次重點稽核區域（建議）lProductionYieldImprovement生產良率改善lllOverallSummary摘要Continualimprovementofsystemperformanceobjectivesaremonitoredfortheirprogressandpletion.Theeffectivenessofcorrectiveactionsissuedduringinternalauditsandmanagementreviewsarefollowedup.Theuseofcertificationmark(s)isinaccordancewithrequirements.OrganizationandAccreditationDetailsOrganizationDetailspanyAddress:(MainMfg.Site)168,FuXiangBlvd,DiYongIndustrialZone,GaoBu,DongGuan,GuangDong,P.R.ChinaTotalNo.ofEmployees:70（Total：700forISO）City,State,Zip:DongGuan,GuangDong,P.R.China,523273ContactPerson:Mr.TaoXinAnNo.ofSites:1No.ofEmployeesperSite:70/1ClientPurchaseOrderNo.:N/AFax:86-769-8737898ContactE-mail:txa@goldentek.Phone:86-769-8737888DNVTeamLead:EllenHuangAuditorE-Mail:ellen.huang@dnv.DNVProjectNo.:PRJC-25475-20XX-MSC-RGCAccreditationDetailsAccreditationScheme/ApprovalBody:/UKASApplicableProductStandards:NoneIndustryCode(NACE/EA):NACE32.1/EAC19StatutoryRegulatoryRequirements:NoneCertificationScope:DesignandmanufactureofLCDpanelsandLCDmodulesClaimedPermissibleExclusions:NoneCertificateNo.:Cert-10877-20XX-AQ-HOU-IATF(IATFCertificateNo.0075859)ISO:0505-1995-AQ-RGC-UKASCertificateExpirationDate:14Dec.,20XXISO:6Feb.,20XXDNVTechnicalReview:?TechnicalReviewDate:?CertificateIssuanceByissuanceofthisreportbytheLeadAuditor,itisconfirmedthattheclientisremendedforcertificationasallNCshavebeenclosed,includingverificationofeffectiveimplementationofcorrectiveaction.Finalapprovalisatthesolediscretionofindependentpersonnel,basedonapletetechnicalreview.NewOther:UpgradetoISO9001:20XX(Specifychangestopanyname,divisionname,panyaddress)ScopeExtension:(Specifyreasonforscopeextensionaudit)TableA:SitesAuditedunderthisProjectMfgSite:SOLOMONGOLDENTEKDISPLAY(DONGGUAN)LTD.TotalEmpl.:70No.ofShifts:2No.ofEmpl./Shift:60/1,10/1（Total：700forISO）Address:168,FuXiangBlvd,DiYongIndustrialZone,GaoBu,DongGuan,GuangDong,P.R.ChinaCity,State,Zip:DongGuan,GuangDong,P.R.China,523273Scope:DesignandmanufactureofLCDpanelsandLCDmodulesMainActivities(ex.:Purchasing,Sales,Design,etc.):Design,Manufacturing,Purchasing,Sales,etc.ClaimedPermissibleExclusions:NoneAuditedDuringthisAssessmentCustomerName:Suppl.Codes:Customer-SpecificRequirements:Rev./IssueDate:GMSGesellchaftFurModuleUndDisplaySystemmbH(GMS)Behr-HeltaThermocontrol(Shanghai)Co.,Ltd.(BHTC)SoundingAudioIndustrialLtd.72035NonePF009NoneNoneNoneSite2:N/ATotalEmpl.:No.ofShifts:No.ofEmpl./Shift:Address:City,State,Zip:Scope:MainActivities(ex.:Purchasing,Sales,Design,etc.):ClaimedPermissibleExclusions:AuditedDuringthisAssessmentCustomerName:Suppl.Codes:Customer-SpecificRequirements:Rev./IssueDate:TableB:Supportinglocations/sitesauditedbyDNVunderdifferentprojectnumber(Suchascorporateheadquarters,design,purchasing,contractreceiptandacceptance,etc.)NotApplicableNo.ofNo.ofNo.Empl.MainActivity(ies)(ex.:Purchasing,Sales,Site/Project#orCertificate#AddressCity,State,ZipEmpl.ShiftsperShiftDesign,etc.)TableC:Remote/SupportSitesAuditedbyanotherRecognizedBodyNotApplicableTheDNVauditorhasreviewedtheinterfacesandresultsoftheaudit(includingRecognizedBodiesreportandfindingsissued)ofthefollowingremotesupportlocation(s)whichhavebeenauditedbyanotherRecognizedBody.Theresultsofthereviewweredeemedtobe:SatisfactoryNotSatisfactoryRemoteSite1-resultsare:SatisfactoryNotSatisfactorypanyName:?Street,City,State,Zip:?TotalEmpl.:?CertificationBodyandCertificate#:?Reportdate:?MainActivitiesPerformedbyRemoteLocation(ex.Purchasing,Sales,Design,etc.:?ScopeofAccreditation:?RemoteSite2-resultsare:SatisfactoryNotSatisfactoryNotApplicablepanyName:?Street,City,State,Zip:?TotalEmpl.:?CertificationBodyandCertificate#:?Reportdate:?MainActivitiesPerformedbyRemoteLocation(ex.Purchasing,Sales,Design,etc.:?ScopeofAccreditation:?TableD:ManufacturinglocationssupportedbythissiteNotApplicable(Thistablemustbepletedifthisprojectisforasupportlocation/site.Pleaseincludeallmanufacturingsitesthissupportlocationsupports)ManufacturingLocationAddressCity,State,ZipAuditFindingsSummaryfromtheAuditNonconformance(NC)Summary:TotalnumberofMajorNCs:TotalnumberofMinorNCs:03mentsSummary:206TotalnumberofPositiveIndicationsidentifiedduringthisaudit:TotalnumberofMainAreasofImprovementidentifiedduringthisaudit:TotalnumberofKeyPerformanceIndicatorsidentifiedduringthisaudit:Conclusion/NextStepTheTeamLeaderconfirmedwiththeAuditee/OrganizationattheClosingMeetingthattheinformationcontainedinthe“ListofFindings”isfactual.SubmitallnonconformityresponsestoyourLeadAuditorinasufficienttimeframetoallowimplementationofyourCorrectiveActionPlanbytheagreedpletiondate.DNVwillverifyeffectiveimplementationofCorrectiveActionsforCategory2NCsduringthenextscheduledvisitandFollow-upaudit.Minornonconformitiesrequireafollow-upauditbytheLeadAuditoreitheronsiteorthroughdocumentation.Duringthefollow-upaudit,thefocuswillbeonthoseprocesses/clausesthatwerethesubjectoftheNC(s).Additionalsamplesandareaswithintheclausesmaybeaudited,inadditiontoverificationofthespecificcorrectiveaction.NotethatCorrectiveActionsmustbeeffectivelyimplementedinordertoclose.Majornonconformitiesmusthavecorrection(containment)actionsimplementedwithin10days.Theorganizationmustprovidearesponseoutliningcorrection(containment)actionsandobjectiveevidencetotheleadauditorwithin10daysoftheendofthesiteaudit.Followupauditstoclosemajorfindingsmustbeperformedonsite.MinorfindingsidentifiedasnonconformitiesmustberespondedtoandcorrectiveactionimplementedbytheOrganizationwithin90daysfromthelastdateoftheaudit.Theresponseshallincludetheresultsofinvestigationintothecauseofthenonconformity,correctiveactiontakenandconfirmationofeffectiveimplementation.AllapplicableclausesoftheStandardwereassessedandtheManagementSystemwasfoundtobeinpliance,exceptaswhereindicatedinthe‘AuditFindings’sectionofthisreport.ThefindingsoftheaudittakeintoconsiderationtheadequacyoftheOrganizationandtheirmanagementsystemdocumentation.ThefindingsarealsosupportedbyobservationsmadebytheAuditTeamwithrespecttothematurityandeffectivenessoftheManagementSystem.Customers/ProductStandards,StatutoryRequirements,andotherrequirementsThefollowingrequirementshavebeenfoundtobeapplicabletoordersandjobsasaudited:Onthebasisoftheauditevidencecollected,itwasconcludedthatapplicable(product)standards,statutoryrequirementsorcustomerneedsareidentified,controlledandachievedbythemanagementsystemoftheorganization.Thecollectedevidencedemonstratesthatnotallapplicablestandards,customerrequirementsandstatutoryrequirementswereidentifiedormetwithinthemanagementsystem(seeattachednonconformitynotesorcorrectiveactionplan).DefinedExclusionswithintheManagementSystemNoexclusionshavebeendefinedbytheorganization.ThefollowingelementsofthestandardhavebeenexcludedfromthemanagementsystemoftheOrganization:Duringtheaudittheadequacyofdefinedexclusionscouldbejustified.Definedexclusionsarenotadequatelyjustifiedand/orproperlydocumented(seeattachedListofFindings.)OutsourcedProcessesNorelevantprocesseshavebeenoutsourcedbytheOrganization.ThefollowingprocesseshavebeenoutsourcedbytheOrganization:Itwasverifiedduringtheauditthattheseoutsourcedprocesses:areundersufficientcontrol.arenotundersufficientcontrol(seeattachedListofFindings).AuditResults/AuditSituationThequalitysystemoftheorganizationwasauditedagainsttherequirementsofthestandardandtheorganization’squalitysystemdocumentation.Alldepartments/processesoftheorganizationwereauditedaspertheagenda,includingallshifts.Specialfocuswasdirectedtotheprocessesofhandlingcustomerplaints,internalauditing,managementreviewandcontinualimprovement.ManagementReview,ManagementObjectives,InternalAuditsYesYesYesNoNoNoAmanagementreviewwasperformedanddocumented.Managementobjectivesweredefinedandreviewed.Internalqualityauditswereplannedandperformedontime.Necessarycorrectiveactionswereperformedwithinanappropriatetimeframeandeffectivenesswasverified.YesNoTheinternalauditsystemappearstobereliableandappropriatetoidentifyweakpointsofthemanagementsysteminasystematicmannerandtoensurethatthemanagementsystemmeetstherequirementsofthestandard.ments:ManagementReviewDate:22Oct.,20XXInternalQualityAuditDate:8-18Sep.,20XXImprovementofManagementSystemYesNoNoNotapplicableNotapplicableRemendationsfrompreviousauditwereimplemented.Themanagementsystemisadaptedaspartofacontinualimprovementsystem,isadequate,up-to-dateandeffective.Yesments:?RecertificationAuditNotApplicableYesNoThequalitymanagementsystemiseffectiveinaddressinginternalandexternalchanges.YesYesNoNoThequalitymanagementsystemcontinuestoremainrelevantandapplicabletothescopeofcertification.Managementhasdemonstratedtheirmitmenttomaintaintheeffectivenessandimprovementofthemanagementsysteminordertoenhanceoverallperformance.YesNoTheQMSprocessesandtheirinteractionsweredeterminedtobeappropriateandeffectiveincontributingtotheachievementoftheorganization’spoliciesandobjectivesandoverallcustomersatisfaction.ments:Explanationrequiredforanynoanswers.QualityManualStatusCorrectiveactionsfromdocumentreview:NotrequiredpletelyverifiedTheclient’squalitymanualidentifiedasM0000revisionC/20XX-06-10wasfoundtobeinpliancewiththerequirementsoftheapplicablestandards.IsthisaCorporateQualityManual?YesNoIfyes,reviewisunderProjectNo.GeneralNotes/ActionItems:OnlytheindicateditemsareapplicableManagementReviewoftheManagementSystemmustbepletedpriortotheInitialAudit.Onecycleofinternalaudits,includingfollow-upandclosureofassociatedcorrectiveactionsmustbepletedpriortotheinitialauditorascopeextension.Formulti-sitecertificationtheLeadAuditorconfirmedthatallDNVProcedureandInternationalCertificationProcesses(ICP)requirementswereconfirmed.KeyParticipantsNameofParticipantPositionand/orDepartmentJiangChengCunEVPTJTsengVPKumaChenGongkaiZhangHenryDengWallaceWuHaizhuZhangMichaelLeeManagerofQMManagerofEngineeringSeniorManagerofSales/PMC/Purchasing/warehouseViceManagerofQMManagerofLCDRDSupervisorofLCMRDZhiHongQiuShimingFuVicemanagerofHRVicemanagerofPETaoWangJimHuangZhiHongQiuLiShuHeVicemanagerofLCMManufactureManagerofLCDManufactureViceManagerofPurchasingSupervisorofLCMPETaoXinAnWeiyingZhongSupervisorofQCSupervisorofPMCNote:Thea