AS9101G取代AS9101F版
6.3.2 Collection of Information 信息收集
6.3.2.1 During the Stage 1 audit, the audit team shall collect sufficient information that allows the CB to:
在第一阶段审计期间，审计小组应收集足够的信息，以便CB：
a. Confirm the audit program;
确认审计程序；
b. Review the need for additional technical experts and/or auditors to compose a competent audit team;
审查是否需要额外的技术专家和/或审计人员来组成一个合格的审计小组；
c. Confirm the number of employees associated to ASD industry business (i.e., full time, part time, temporary) andpercentage of total work force (as declared by the organization during the application review phase);
确认与ASD行业业务相关的员工人数(即全职、兼职、临时）和总劳动力的百分比(由组织在申请审查阶段声明）；
d. Review the key (e.g., top five) customers, as declared by the organization during the application review phase;纵横世纪企业管理咨询翻译 www.iatfas.cn
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审核组织在申请审查阶段声明的关键（如前五）客户；
e. Confirm any customer/regulator specific approvals and associated requirements, if applicable;
如果适用，确认任何客户/监管机构的相关批准和相关要求；
f. Confirm the number of shifts and shift patterns;
确认班次的数量和班次模式；
g. Determine restricted areas and proprietary information, including confidentiality requirements;
确定限制区域和专有信息，包括保密要求；
h. Determine any additional audit activities, as needed, for the fulfillment of the requirements for initial certification;
根据需要确定任何其他审计活动，以满足初始认证的要求；
i. Confirm the OCAP data, submitted prior to the audit (see 9104- 1 clause 8.5.1); and
确认在审核前提交的OCAP数据（见9104- 1第8.5.1条）；以及
j. Schedule the Stage 2 audit activities.
安排第二阶段的审计活动。
6.3.3 Review of the Organization 组织审查
6.3.3.1 During the Stage 1 audit, the audit team leader shall require the organization toprovide the necessary documented information for review, including the following:
在第一阶段审核期间，审核组长应要求组织提供必要的文件化信息供审核，包括以下内容：
a. Requirements determined as not applicable within the scope of the QMS, including justification by the
organization (see 9100-series standards clause 4.3);
在质量管理体系范围内被确定为不适用的要求，包括由组织提供的理由（见9100系列标准第4.3条）；
b. QMS documented information;
QMS记录的信息；
c. Evidence that the
requirements of the applicable 9100-series standards are addressed
bythe organization's documented information established for the QMS (see 9100-series standards clause 4.4);
适用的9100系列标准的要求由组织为质量管理体系建立的文件信息解决（见9100系列标准第4.4条）；（按照COP+SP+MP三大过程管理）
d. Evidence of customer performance (i.e., product/service quality, OTD, complaints), processperformance, and performance of quality objectives;
客户绩效（即产品/服务质量、OTD、投诉）、过程性能和质量目标绩效的证明；
NOTE: The data should be sufficient to allow the audit team leader to make a judgment on performance andtrends.
注：这些数据应足以让审计小组组长对业绩和趋势做出判断。
e. export limitations/controls, if applicable [e.g., International Traffic in Arms Regulations (ITAR), ExportAdministration Regulation (EAR)];
出口限制/管制，如果适用[例如，国际武器贩运条例（ITAR）、出口管理条例（EAR）]；最易出现问题的状况，
f. evaluation of certification structure (i.e., single site, multi-site) eligibility for determination of audit time and sitecoverage (see 9104-1 clauses 8.5.1.4 and 8.5.1.6); and
对认证结构的评估
g. level of management system integration (see 9104-1 clause 8.5.2), as applicable.
管理系统水平（见9104-1第8.5.2条）。
6.3.4 Stage 1 Conclusions第一阶段结论
6.3.4.1 The audit team leader shall use the results of the organization review and additional information obtained
from the site tour to:
审核组长应使用组织评审结果和从现场考察中获得的附加信息：
a. Develop a plan for the Stage 2 audit, that includes any additional customer and regulatory requirements;
为第二阶段的审计制定一个计划，其中包括任何额外的客户和监管要求；
b. Verify the proposed scope of certification (see 9104-1 clause 8.5.1.3);
为第二阶段的审计制定一个计划，其中包括任何额外的客户和监管要求；
c. Verify the information used for audit time calculation (see 9104-1 clause 8.5.1.6) and recommend
adjustment, as needed;
核实用于审计时间计算的信息（见9104-1第8.5.1.6条），并根据需要提出调整建议；
d. Update the Stage 2 audit plan based upon any confirmed audit time adjustments, as applicable;
根据任何确认的审计时间调整更新第二阶段审计计划；
e. Recommend adjustments to the composition of the audit team for the Stage 2 audit, including the need for any
technical experts or translators, as applicable;
根据任何确认的审计时间调整更新第二阶段审计计划；
f. Verify the information used for determination of the certification structure; and
验证用于确定认证结构的信息；以及
g. Identify any changes required to the contract and communicate those revisions to the organization and CB.
确定合同要求的任何变更，并将这些修订传达给组织和CB。
6.3.4.2 The CB shall review the status of the areas of concern to determine preparedness for the Stage 2 audit.
CB应审查所关注领域的状况，以确定第二阶段审计的准备工作。
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