I. What is ISO 9001 document control?

Control of documents in ISO 9001
Clause 3.2.4
The quality management system requires for procedure of document control. Records are a special type of document and shall be controlled in compliance with requirements in clause 4.2.4

The document control procedure shall be set up for the following purposes:

1. To approve documents for adequacy prior to issue.
2. To check and update new document files and reapprove as necessary.
3. To ensure the current revision or change state of documents to be identified.
4. To make relevant versions of appropriate documents in assurance of points of use.
5. To remain documents in comprehension, identification and system.
6. To ensure external original documents of the company to be controlled in compliance with the quality management system.
7. To avoid unintended use of outdated documents. To put them into application of suitable identification if they keep using value.

II. Records system of ISO 9001 document control

The company may apply the following steps of document control so that it achieves ISO 9001 certificate.

1. Make folders for containing documents.
2. Make sub-folders for managing relevant documents to different purposes of company operation.
3. Periodically carry out checking the sub-folders.
4. Then label on right corner of all documents in main folders and sub-folders.
5. User needs to check and review all folders every 3 months.
6. Info Router sent out automatic reminders by the defined reminder date to alert the user to an upcoming (required) review of a set of documents.
7. Base on the defined timeline to review such documents.
8. It is unnecessary task to review them usually.

The first step for implementation project of the quality management system (QMS) is to compare the current QMS to requirement of the ISO 9000:2008 standard. It is called a Gap Analysis.

The Gap Analysis use the key tool is the Gap Analysis Checklist which is a list of the requirements in the standard and shaped in question format.

The auditor will use the checklist to put the QMS side by side the standard requirements. He/she will take advantages of documents when using a well-designed checklist. In specific, it is easy to look for examples of what will meet the requirements and other guidance on auditing to the standard via recommendations of documents. In addition, the checklist helps the auditor see a specific place to documents for compliance with or no compliance with the standard.

1. PURPOSE:

To Evaluate and select the supplier that is suitable with the standard SA 8000:20001.

2. SCOPE:

This procedure applies to the evaluation and selection of supplier to be in service to the offices as well as to the Garment factory.

3. DEFINITION:

3.1. The terms used are mentioned in SA 8000:2001 standard.

3.2. Evaluator: the person who has been trained about internal evaluation SA 8000.

3.3. Special cases: being requested by the customers, having large quantity order, having many orders and others decided by the General Director.

3.4. Abbreviation:

- Social Duty (TNXH)
- Administrative organization (TCHC)
- The supplier management section (BPQLNCU) (SMS) is the section being responsible for working with the supplier during the time they supply goods and service.

4. CONTENT:

4.1. Make the initial list:

The SMS is responsible for making the list of initial suppliers and submitting to the direct manager to check, sign and present to the General Director for approval.

4.2 a. Pre-evaluate (applies to special cases)

The SMS sends to the supplier a Pre-evaluation record as form No 0039, requests them to fill in the form all the required information, sign, stamp and return it.

4.2 b. Evaluate the supplier:

4.2.1. Get information:

The evaluator gets information from the supplier for evaluating. This can be done by asking the supplier to provide with information as mentioned in form No 0039 and/or visiting the working place and/or interviewing the workers of the supplier.

4.2.2. Get information in special cases:

- After receiving the Pre-evaluation record, the SMS will inform the supplier of the date of the official evaluation and send to them the list of involved work and people
- On the date of evaluation, the supplier will receive an evaluation plan and a list of evaluators.
- The evaluator will examine the supplier as mentioned in form No 0040 as well as compare with the Pre-evaluation record to assure the unity between information in the record and from directly collecting.
- During evaluating process, the evaluator asks the supplier about the related proof of finished work as mentioned in form No 0041.
- After finishing work with the supplier’s agent, the evaluator may pay a visit to the factory and collect more information, compare with collected one.
- The evaluator may as well interview the workers to examine the level of demand satisfaction as in SA 8000:2001 standard. During interviewing time, nobody from the managerial level of the supplier is allowed. The list of interviewed workers and their answers will be a secret.

4.3. Evaluate:

4.3.1. The evaluator will determine the supplier’s suitability to SA 8000:2001 standard. After that, require them to correct the unsuitability as form No 0040.

4.3.2. In special cases:

- After finishing evaluating the supplier, the evaluator will have a meeting with the supplier’s agents.
- The evaluator comment on the work of the evaluation team.
- He (or she) tells the supplier about the unsuitable points. Both sides will discuss about each point, determine the cause and the problem of the unsuitability.
- Both sides will make an agreement on the unsuitable points. The evaluator requests the supplier to have corrective actions and sign in the commitment form. The correction period will depend on the nature and level of problem. Maybe 30, 60 or 90 days.

4.4. The evaluation result:

- Base on the result of the evaluation, the evaluator will have the final decision as follows:

4.4.1. Not accept the supplier for their too high level of infringement.
4.4.2. Accept the supplier but request them to correct some unsuitable points.
4.4.3. The supplier is perfect and accepted.
- The evaluator then will send the result to the supplier.

4.5. Make the evaluation report:

- Base on the Pre-evaluation record (in special cases), the evaluation result and the supplier’s commitment, the evaluator will make an evaluation report and send to the board representative of SD (Social Duty) to check, sign and forward to the General Director for approval.
- Base on the checking result from the board representative, The SMS will make a list of official suppliers and present to the General Director for approval.
- After that, The SMS must keep all the supplier evaluation records in its office for at least 3 years ever since.

4.5. Re-evaluate the supplier:

- For one year at least, the company re-evaluate the supplier by the management system ISO 9001:2000, also check the supplier after the correction period.
- The evaluation procedure is the same as above.

5. REFERENCE DOCUMENT:

6. APPENDIX:

- Pre-evaluation No: 0039
- The list of initial suppliers No: 0038
- The list of official suppliers No: 0042
- The supplier’s commitment No: 0041
- The evaluation conclusion about the supplier No: 0043
- The evaluation report on the supplier’s Social Duty No: 0040

1. PURPOSE:

To ensure that the whole staffs are trained about Social Duty, especially about safety at work, know how to deal with problems at work and to meet the requirement of SA 8000:2001 standard.

2. SCOPE:

This procedure applies to new recruitment, transferred employee; change in technology or to sudden case as regulated by government, requested by concerned parties or by the departments in the company. This procedure is carried out periodically once a year.

3. DEFINITION:

3.1. The terms used in the procedure are mentioned in SA 8000:2001 standard.

3.2. Training curriculum are documents used in training the staff about Social Duty. These documents are approved by the board representative of social duty before being used.

3.3. Abbreviation:

- The company staff.
- Fire protection and prevention
- Administrative Department.

4. CONTENT:

4.1. Procedure for training about social duty:

- New demand for social duty training: The specific departments relating to social duty training have responsibility to make a training plan including: assign the trainer, training time, training curriculum, trainees, number of trainee. The training team will take responsibility to carry out the training contents efficiently, properly and timely. List of trainees is made as form No: 0129

- Carry out the training plan: Make a list of trainees: Full name, subject for training, test, training time, evaluation result. Evaluated method is interviewing, by test or practice or by comment from the trainer or the department where the trainee is working in.

- End the training session: The person in charge will evaluate the training progress and give the result, commend on the training list as form of official trained employees.

- Evaluate the training session: After 5 months max, the evaluator will re-evaluate by interviewing, practice or getting information from departments. If the trainee doesn’t meet the training goals then repeat the training process as above.

4.2. Training about First Aid.

- This training course is carried out twice a year, 2 days each.

- The company periodically provides the employees with basic knowledge on first aid once a year.

4.3. Training about fire protection and prevention

- The fire protection team is trained periodically twice a year, carried out directly by them or by fire protection force invited from the city.

- The general training is carried out twice a year.

- The training program and method are presented to the General Director for approval before applying.

4.4. Training about the use of machine and safety at work.

- The work safety and working equipment team is responsible for instructing about how to use machine in a safe way, about safety at work. This training is periodically carried out once a year for new or transferred employees.

- As for machines that may cause danger to employees, operation guide as regulated by Quality management system must be accompanied.

4.5. Training curriculum and content include:

- Document about first aid.
- Document about fire protection and prevention.
- Document about machine operation.
- Working rules.
- Standard SA 8000:2001
- Social Duty management system
- The main points of Labor laws
- The main points of Labor Union Laws.
- Government and company’s regulation about Labor safety and Hygiene, Exit plan, responding to urgent situations plan.

These documents must be approved as in the procedure for maintaining documents before being used as training curriculum.

If the training is carried out by outside organizations, the documents will be provided by them. Certificate or diploma from training place is the proof of training. The company training manager makes copies of all related certificate, keep them with the employee’s record.

5. REFERENCE DOCUMENT:

- Regulation about labor safety and hygiene.
- Working rules.
- Inner training curriculum.

6. APPENDIX:

- List of employees that need training. No: 0030

Related documents

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist

1. PURPOSE:

To examine and give complaint about the implementation of discipline on employee and to protect the employee’s right as regulated by laws about exposing and complaining.

2. SCOPE:

This procedure applies to the examination of discipline implementation and complaint in the company.

3. DEFINITION:

3.1. These terms are applied as mentioned in SA 8000:2001 standard.

3.2. Abbreviation:

- Social Duty
- Administrative Department

4. CONTENT:

4.1. Examine the implementation of discipline:

4.1.1. All the violations of regulation of the company are recorded as form No: 0012. The recorder has responsibility to note down all the violation content and asked related parties to sign. If the violator refuses to sign, write down the reasons.

4.1.2. The violation record will be sent to the head of the division where the violator works in to commend (if have) and forward to the Administrative Department for solving.

4.1.3. The violator has responsibility to make a statement about what happened, give the divisional head to commend and then send to the Administrative Department.

4.1.4. This Department has responsibility to collect all the opinion, evaluate the violation then invite the violator and related parties to come to discuss about the problem.

4.1.5. This department has responsibility to write down the solving opinions and present to the Board for considering and deciding. Then, it has to send the decision to the violator within 2 days since the decision is made.

4.1.6. If the problem is too serious and complex, the administrative department makes a report and present to the General Director for approval to organize a meeting to discuss about the problem. Attendants are: The General Director or the representative, Labor union representative, head of Administrative department, violator, and deponent (if have), defendant (if have) and the representative of people who made the report.

4.1.7. The decision to dismiss the employee of labor union must have opinion from the Union chairman and from the higher level Labor Union (if the violator is the union chairman).

4.2. Complain and consider implementing the discipline

The complaint period is 15 days since the violator receives the decision. When receiving complaint, The Administrative Department will invite the board representative (one person), administrative department (one person), violator’s divisional head (one person), and Labor union representative (one person) and make a meditation board. Invite the violator as well as the deponent to the meeting and ask for their opinion. This board makes a successful or unsuccessful mediation minutes. This minutes will be kept along with the case record. After that, the claimant may send another complaint to the Labor Union, Labor office…. to solve if not satisfied.

5. REFERENCE DOCUMENT:

- Social Duty handbook

6. APPENDIX:

- The minutes of violation No: 0011
- The employee’s self review No: 0012
- The minutes of the meeting No: 0013

Related documents

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist

1. PURPOSE:

To create an equal working environment in the company and among employees and to meet the requirement of SA 8000:2001 standard

2. SCOPE:

This regulation applies within offices and the Garment factory.

3. DEFINITION:

3.1. The terms used in this regulation are suitable with definition from SA 8000:2001

3.2. Abbreviation:

- The board representative

4. CONTENT:

4.1. The company’ rule:

The company prohibits any kind of discriminatory action in the company: discriminated by race, class, religion, gender, sex orientation, and disability, member of union, political opinion or age in recruiting, compensating, training, promoting and resigning….

4.2. The procedure for solving the complaint about discrimination:

4.2.1. Complaint inducing:
Anyone who feels being discriminated should make a request and send to the board representative to solve.

4.2.2. Compliant solving:

The representative will examine and have proper solutions and ask for the claimant’s opinion. After consulting the opinion, the representative will consider again, present to the General Director for approval and then send to related departments to solve.

4.2.3. Inform the Claimant.

After the complaint being solved, the result will be sent to the claimant.

4.2.4. Inducing new complaint:

If the claimant doesn’t agree with the solution, he (or she) can make a new complaint.

5. REFERENCE DOCUMENT:

6. APPENDIX:

- The complaint form: No: 0026

Related documents:

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist

1 PURPOSE:

To meet the requirement of SA 8000:2001 standard and the guide about how to deal with situation of children and juvenile labor in the company.

2. SCOPE:

This procedure applies to the children and juvenile labor working in the company, office or in the garment factory’s area.

3. DEFINITION:

3.1. Children labor is the under 15 year old employee.

3.2. Juvenile labor is the not yet enough 18 year old employee.

3.3. The discoverer is the related division or personnel inside or outside the company who discovers any case of children or juvenile labor.

3.4. Suitable work to children or juvenile is the work that doesn’t have any impact on their physical development, not dangerous and the total time of working and studying is no more than 10 hours a day or 42 hours a week.

3.5. The children ’s family representative: parents, grandparents, brothers or sisters, uncle and aunt or the conservator.

3.6. Abbreviation:

- Children labor: LDTE
- Juvenile labor: LDCTN
- Administrative Department: TCHC
- Staffs: CBCNV

4. CONTENT:

The company forbids all the staffs to participate in or approve the use of children & juvenile labor in the company. If any case is found, do as the following procedure:

4.1. When discover the use of children & Juvenile labor, the Discoverer must report to the Administrative Department the name and department where the child is working in.

4.2. The Administrative Department has responsibility to cooperate with other related departments and employees to check the true age of the suspected. This check will base on methods such as direct interview with the employee, check the ID card or citizen record, birth certificate or even ask for help from the employee’s hometown. In addition, also check the education level, temporary place and the office where that employee is working in.

4.3. When find out about the true age, the Administrative Department informs the suspected and other people (if concern) and make a report to the board representative to carry out corrective actions as follows:

 AS FOR CHILDREN LABOR:

- The Administrative Department discusses with the chief of the office where that employee is working in to assign him (her) a suitable job in the waiting-to-negotiate period. This period is normally no more than 3 weeks.

- The personnel manager will discuss with the child’s family representative about sending the child to school. The company will pay for the tuition, book….. The family representative must guarantee that he (or she) will go to school.

- Each quarter, the company will contact the family and school to update the inspecting sheet. As for health status, it will be updated every 6 months

- When the child is enough 15 years old, the company will invite the child to work in the company. If he (or she) doesn’t agree, then the relation between him and the company ends. If agree, then applies the procedure for juvenile labor. The period that the child works for the company will be reserved for later regimes (such as social insurance, working seniority, compensation….) as regulated by the company.

 AS FOR JUVENILE LABOR:

- The head of Administrative Department must discuss with the chief of the office where that employee is working in to assign him (or her) a suitable job.

- When the employee is enough 18 years old, the Administrative Department will remove the name of that employee out of the list of juvenile labor and inform the concerning parties, then update the inspecting sheet and make a record.

- The period that the juvenile employee work for the company will be reserved for later regimes (such as social insurance, working seniority, compensation….) as regulated by the company.

- The Administrative Department has responsibility to inspect that employee and update the inspecting sheet of juvenile labor (No : 0006)

5. REFERENCE DOCUMENT:

6. APPENDIX:

- List of children labor: (No: 0003)
- List of juvenile labor: (No: 0004)
- Children labor inspecting sheet: (No: 0005)
- Juvenile labor inspecting sheet: (No: 0006)

Related documents

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist

1. PURPOSE:

To satisfy the demand of concerning parties and to meet the requirement of SA 8000:2001 standard.

2. SCOPE:

Apply to the supply of information and proof about the performance of the Social Duty management system SA 8000:2001

Apply only to the supply of information within the offices and garment factory’s area.

3. DEFINITION:

3.1. These terms are applied in SA 8000:2001 standard.

3.2. Abbreviation:

- Social Duty (SD)
- Administrative Department (AD).

4. CONTENT:

4.1. Information that needs exchanging:

- Quality Policy
- Social Duty Policy
- Quality handbook
- Social Duty Handbook
- Procedure for dealing with children labor.
- Procedure for evaluating and managing the supplier.
- Procedure for communicating.
- The status of employment
- The performance of the social duty management system.
- Other documents from Quality and Social Duty management system.

4.2. Concerning parties:

- The children employees and their family.
- The company staffs.
- Nongovernmental organizations, trade union, woman organization, Buddhism and Christianism organizations….
- Suppliers.
- Notary offices
- Customers
- Authorized government offices

4.3. Specific direction about communicating with outside parties:

On being requested, the company will communicate with outsize concerning parties about the following:

4.3.1. Social Duty handbook being provided to the notary offices and other authorized ones.

4.3.2. Social and Quality Policy being provided to the concerning parties (listed in 4.2)

4.3.3. The procedure for dealing with children and juvenile labor being provided to the children employees and their family, notary offices and authorized government offices.

4.3.4. The employment status and the performance of the social duty management system being provided to authorized government offices, notary offices and customers.

4.3.5. The procedure for training social duty being provided to the authorized government offices, notary offices and customers.

4.3.6. Health and safety regulation being provided to the authorized government offices, customers and notary offices.

4.3.7. Regulation about non –discrimination, compensation, guide to review and complain and procedure for corrective and preventive actions being provided to notary offices and customers.

4.3.8. Procedure for inner evaluation, document maintenance and manager’s consideration being provided to notary offices.

4.3.9. Other left documents of Social Duty management system being provided to the notary offices, customers and authorized government offices.

4.4. Procedure:

1. The notification to the concerning parties is done every 3 months. In case of sudden request from them, the document manager writes down request as form No: 0008

2. Within 3 days since the receipt of the request, the chief of administrative department has responsibility to decide whether the request is appropriate with the company policy or not, then commend and forward to the board representative for approval.

3. Within 3 working days, the board representative considers the request and gives opinion about exchanging information.

4. Depend on the manager’s approval, the Administrative department looks for the information and provide to the concerned party, sign and keep for record in 3 days.

5. REFERENCE DOCUMENT:

6. APPENDIX:

- Note about receipt of information No: 0008
- Note about communication. No: 0009

Related documents

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist

1. Break-down that may happen includes: fire and explosion, food poisoning, wall collapsing and so on.

2. When break-down happens, the safety department, fire protection team and divisional head will guide the employees to the emergency exit.

3. The emergency exit principle: All the employees must be very calm in finding the exit and follow the guide to the nearest and safest exit way. Don’t run wildly causing stuck in the exit way.

4. Find the victim (if have):

- All the employees must run to the company yard (near offices and guard room), Stand into their own divisions.
- The divisional chief (or deputy chief) must count their employees. If find anyone absent from this place, report to the rescue team that person’s name at once.

Related documents

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist

1. Fire protection and prevention is the responsibility of all the people in the company, including customers who come to the company.

2. To protect lives and property in the company, the following are forbidden:

- Forbid to use fire, wood for cooking or cigarette near manufacturing or no fire allowed places.
- Forbid to steal electricity for personal use.
- Forbid to use wire to put directly into the Socket;
- Never use bronze or silver wire to replace knife-switch.
- Never put inflammable material near knife-switch, electric wire….
- Forbid to use key to open the gasoline barrel.

3. When the working time is over, all the factories and departments must turn off all the fans, lights and electric cooks before leaving and ask the guard to check 2 times between shifts.

4. Keep the material and goods in storage clean and tidy. Have fire separating wall (0.5 meter away from wall) for easy check when necessary.

5. When import goods, the truck is not allowed to start in the storage or manufacturing place. No smoking and must keep the truck outward when parking.

6. Don’t let abates thing in the way.

7. Fire engines are not allowed to use for other purposes. Park them at easy to see and places.

8. Anyone who follows these regulation wells will be commended and rewarded. Who violates will be punished from being warned to being sued (as mentioned in fire protection and prevention laws)

Related documents

1. SA 8000 procedures

2. SA 8000 standard

3. SA 8000 checklist