供应商年度审核报告

Report No. 編號: #REF! Supplier Audit Checklist 477389 Max Possible: 實際總分 45 No System Signifia nt Deficie Need Improv e-ment Satisf. Actual Score: 實際得分 450123 序號 Item 評 審 內 容 Review ContentsScore 1 Be awarded ISO 9001 certificate or other equivalent QMS certificates. (通過了ISO9001認證或等效的質量管理體系(QMS)證書。) Zero Tolerance 3 2 Supplier has an Organization Chart with clear assigned responsibilities. (有組織架構圖。)3 2.1 The organization chart describe management responsibilities including quality control, technology management, production management, facility/fixture/mold management, measuring equipment, worker training and customer complaint handling, etc. (組 織架構圖職責描述中含蓋了質量控制, 技術管理、 生產管理、 設備/工 裝/模具管理、 儀器/儀表計量、 員工培訓、 客戶投訴處理等管理職責 3 Supplier has an Organization Chart of Quality function and the Quality Control Organization Chart involves relevant responsibility on Incoming Quality Control, In-Process Quality Control, Finished Quality Control, Customer Complaint Disposition and Prevention etc. (有質量 控制架構圖, 含蓋了來料質量控制、 過程質量控制、成品品質控制、 投訴處理及預防等管理職責.)3 4 The supplier has appointed a Management Representative who has responsibility and authority for ensuring that a quality management system has been implemented and maintained. (供應商有指定一個对 于保證質量管理系統的執行和維護有責任和權利的管理者代表。)3 5 Supplier has established annual Quality Objectives which are measurable, consistent with Quality Policy and created by detailed quality targets. (供應商制定了可測量的並與質量方針保持一致的年度 質量目標, 年度質量目標由具體質量指標組成。)3 6 The management representative has tracked record on driving improvement on quality management system performance. (管理者代 表有追蹤質量管理系統改善的記錄 。) 3 7 Supplier reviewed Quality goals achievement at least monthly, and effectively tracked the result if the Quality goals were not achieved. (Observe consecutive three months records). (至少每月總結質量目標 的完成情況， 完不成質量目標時， 進行了檢討並有效地跟進 。查連 續三個月質量目標評審記錄）。3 8 There are evidences shows supplier has done the formal internal quality audit at least once a year. (有記錄證明至少每年做一次正式的 內審。)3 9 The internal audits comply with plan, ISO standards and quality management system. (內部稽核有遵照計劃的安排, 遵循ISO標準和品 質管理系統。) 3 10 All nonconformities were followed up until closed. (內部評審不符合項 都得到了跟進，直到關閉。) 3 11 Documented OJT (on-job- training) procedure is available. (制定了成文的員工培訓程序。) 3 12 Training plan is available and established according to the demand of different operation stations. It is executed and completed. Training effectiveness was measured. (供應商有根據不同崗位的需求製定培訓 計劃,並且按時完成培訓和確認了培訓效果.)3 審 核 記 錄 Evidence or Records Section 1: Quality Assurance System Overview 質量保證系統概述質量保證系統概述 查：通過了ISO/TS16949:2009認證 ,证书编号 ISO/TS16949 证书登记号码：01 111 095630 ; ISO 9001 证书登记号码：01100 095630 查：有架构图，职责在品质手册上明确的规定， 编号QM01E 查：QM01E品质手册，手册上有明确的规定 查：QM01E品质手册，有质量控制架构图并 对内 、外部质量问题处理、反馈、改善等均进行了明 确 查：手册上有规定，管理者代表：王新里 查：各部门等均围绕公司质量目标进行分解。 查：2012年管理评审报告，管代有进行组织改善 。 查：2012年8月月报有对质量目标进行分析，另外查 制 度规定：要求次月4日前各部门提交至质量部 , 完不 成質 量目標時， 有改正行动报告進行了檢 查：2012年运行情况，于2013年12月进行了内审，符 合 程序文件规定的要求。 查：有内部审核计划,并按COP04内部审核程 序 执行 查：2012年12月份内审不符合项都得到了跟進，直 到關 閉 查：,COP05人力资源管理程序中有制定 查：2012年年度培训计划，制定者：曾强，有审 批 SUPPLIER AUDIT REPORT 供供 應應 商商 審審 核核 報報 告告 Quality System 質量系統質量系統 Max Possible: 實際總分 Actual Score 實際得分 13 Does the supplier have the continues improvement activity? Any records ? (是否有推動品質持續改善的活動和記錄.) 3 14 All department heads have held routine quality meeting. (各部門負責 人周期性舉行質量會議：) 3 14.1 Follow up implementation status of improvement actions taken for critical quality issue. (跟蹤重大品質問題改善措施實施情況。) 14.2Review quality performance. (回顧本時間段各環節質量表現。) 14.3Quality performance is measurable. (質量表現可以量化。) 14.4Improvement plan is available. (制訂了改善計劃。) 14.5 The official meeting minutes is reserved for at least one year. (該會議 有正式記錄，該記錄至少保存一年。) 15Quality Cost Control. (質量成本控製.)3 15.1 a. Supplier has established detailed quality cost objectives, and management has reviewed the achievement at least once a month. (建立了具體的質量成本目標 ，並且管理層至少每月一次評估了質量成 本目標的達成情況。) 15.2 b. Supplier has recorded the expense of rework, scrap, delivery delay, rejected by customer and customer complaints handling etc that caused by quality problems. (記錄了因質量問題造成的返工、報 廢、交期延誤、客戶退貨、客戶投訴處理等費用的損失。) Max Possible: 實際總分 57 No System Signifia nt Deficie ncy Need Improv e-ment Satisf. Actual Score: 實際得分 500123 序號 Item 評 審 內 容 Review ContentsScore 1 There is a documented plan for new product development and also for any change of it. (對全新產品或重大更改產品的開發和行動前， 以 書面形式對開發項目進行了規劃.) 3 2 There are appropriate and up-to-date international standards/ national standards for the raw materials, processes and inspection methods, and were executed and followed accordingly. (產品涉及的原 材料、加工工藝、檢驗方法，有國際、國家行業標準的，保存了該標 準的最新版本,並且有按此標準執行.)2 3 Supplier obtained the certificates of product compliance as required. (取得了符合零件要求的產品認證證書。) 3 4 Product performance validation includes customer specific requirements. (產品性能確認包括了客戶明確的要求。) 3 5 Supplier is able to communicate with customer via electronic transmission for product specifications and testing information. (有能 力與客戶就產品規格、測試資料進行電子數據交換。) 3 6 There is a Project Leader to follow up the project plan ensure the project to be completed as per schedule. (項目負責人定期按項目計劃 跟蹤了項目各項活動按期保質保量完成。) 2 7 The supplier has a defined PPAP(Production Part Approval Process) process and there is evidence that supplier follows the related requierment (供应商有规定的PPAP流程并且有证据证明工厂有按照相 关要求执行）2 8 Before mass production, product EOD, processing flow, technical requirements and product packaging information should be ready and available. (產品正式生產前，制定了產品總成圖、加工工艺及技術要 求, 產品包裝圖。)3 9 Supplier has conducted pilot run per relevant procedures before mass production. (批量生產前按規定程序進行了小批量試產活動。) 3 每周一次质量会议，有会议记录 查：质量成本控制，有返工、报废、客诉等质量成本 统 计。 審核員: Auditor: 供應商協審員: Supplier:何明辉/王新里 日期: Date:2013-5-14 有 有 有 有 有，COP20质量成本控制程序，有执行 查：不良质量成本损失率0.5% 有产品生产许可证，证书号：XK13-0250-00425 产品试验标准中（JS-WI-112A）明确参照客户要求及 国家标准 有 有按计划对项目开发进行定期评审。 查：有相关正式图纸，正式生产前采用加盖”试制用 图”等用于识别。 Section 2: Technology Support System 技術支持系統技術支持系統 審 核 記 錄 Evidence or Records 产品开发按COP09产品开发控制程序APQP执行 有相关产品的国家标准及ASTM标准,但不是所有标准 都是最新版本. 有通用“控制计划”，“APQP“, ”PFMEA“等 作业文 件. 有小批评审记录（OA流程),试产过程采用“初物” 表单进行跟进。 查：公司有提案改善制度且有相关改善记录。 有 10 After pilot run, there are official review records done by quality department, engineering department and technical department. Mass production can be released only when the review result is positive or passed. (試產活動完成後， 有正式記錄表明至少包括了質檢部、 技 術部、工藝部三個部門對試產進行了評審，只有評審合格後方能進行 批產。) 3 11 Pilot run reviewed items at least includes documented preparation and proper processes / proper facility / jig / operator skills / in-process inspection result and finished-goods inspection result. (試產評審至少 包括了：文件準備及工藝適合性,設備工裝的適合性, 員工熟練性,工序 檢驗結果和成品檢驗結果。) 2 12 Those records of pilot run review are distributed to related departments in time and should be preserved at least three years. (評審記錄及時發到相關部門，並至少保存三年。) 3 13 Does the supplier define the specific quantity for NPI to MP, such as Qty for pilot run, safe launch, etc. in documented procedure ? (是否 有文件定義从試產到量产的最少數量, 是否有執行?) 3 14 Supplier has validated the items before mass production: product performance / product safety and reliability tests / packaging and transit reliability with positive result. (May refer to other test reports released by authorized institution) Got customer approval/release before MP as required. (量產前已確認了產品功能特性/安全性、可靠 性測試/包裝、運輸测试合格。(可引用同行業公認的中間機構的測試報 告).有按要求取得客户的认可。2 15 Has the supplier defined the NPI goal and implemented it. (是否有文 件定義新產品導入的目標並且有執行它?) 3 16 Is there a documented ECO (engineering change order) procedure and has been implemented? (是否有工程變更的處理程序並有執行?) 3 17 Any changes that affect assembly, product performance, safety and reliability, got customer approval before implementation? (影響客戶裝 配的尺寸變化，產品性能指標、安全及可靠性指標變化時，材料，设 备，工艺等变化影響客戶时，得到客户批准后才执行？)2 18 There is a procedure on customer required changes validation, internal documents update. The procedure was implemented effectively. (有程序規定了如何確認客戶要求的更改，並如何跟蹤更新 相關內部文件，該程序得到了有效執行。)3 19 All obsolete technical documents are removed from any points of issue or use and disposited. There is identification of obsolete documents to avoid miss-use if they are retained for any purpose. (舊 版技術檔及時销毀，有保存的，有明確標誌示明，以防止誤用。)2 Max Possible: 實際總分 39 No System Signifia nt Deficie ncy Need Improv e-ment Satisf. Actual Score: 實際得分 390123 序號 Item 評 審 內 容 Review ContentsScore 1 Is there a purchase control procedure for direct and indirect materials? Is procedure followed? (有直接物料和間接物料的采購控製 程序,並有按程序執行.) 3 2 The new sources were audited and qualified prior to purchasing. (供 應商開發時必須經過資格評審，評審合格後方能採購其產品。) 3 3 There is document to define score guideline. Audit results are represented by score. (文件規定了評分細則, 評審結果以評分形式體 現) 3 4 The quality personal should participate the audit. (質量部參予了評 審.) 3 5 There are formal and complete supplier audit reports and they are reserved for at least three years. (有正式和完整的供應商評審報告， 該報告至少保存三年。) 3 6 There is the latest Approval Vendor List (AVL) and was well kept. (有 經過評審合格的供應商名單，並及時更新以最新狀態保存。) 3 按文件资料管理控制程序（COP01）执行 有相关部门会签评审表 有过程记录 yes 有规定，初物管理规定（ZL-WI-019C） 按文件资料管理控制程序（COP01）执行 有,供应商资格评估单 有最新更新日期2011-9-15 審 核 記 錄 Evidence or Records 有,按COP10采购管理控制程序执行 骨架的供应商华军隆未有进行资格评审 有,供应商考核单 有 審核員: Auditor: David.li 供應商協審員: Supplier:何明辉/王新里 日期: Date:2013-5-14 Section 3: Purchasing and Supplier Control 采購及供應商控製采購及供應商控製 产品开发按COP09产品开发控制程序APQP的要 求执行 按工程变更控制要求（JS-WI-024F）执行 产品开发按COP09产品开发控制程序APQP的要 求执行 产品开发按COP09产品开发控制程序APQP的要 求执行,对用户的更改要求及时进行跟踪. 7 All the sub- suppliers who provide material to supplier are on AVL. (正 在供貨的所有供應商都能在該名單中得到資格追溯。) 3 8 Performance of qualified suppliers was assessed at least once a year and assessment records are available. (对合格供應商至少每年進行一 次持續質量表現評估并且有評估記錄。) 3 9 The assessment should contains at least as below contents: (評估至 少包括以下內容：) 3 9.1 Incoming material quality performance - from IQC (來料入庫檢驗質量 表現。) 9.2 Incoming material quality performance - from production line. (生產線 使用時反映的來料質量表現。) 9.3 Incoming material performance - Feedback from market and consumer. (市場及用戶投訴反映的來料質量表現。) 9.4Failure handling. (質量失效的處理.) 9.5delievry performance. (交货的状况.) 10 There is score criteria 技術協議/技術圖紙 和/或要求;供貨時間。) 3 12 Has the supplier pushed the sub-tier supplier on improvement plan, verified effectiveness of actions？ (是否推動供應商改善的計劃和行動, 以及確認了改善效果.) 3 13 There is written document defined material sample evaluation before mass shipment under following situations: (有正式書面文件規定：來 料有下列情況發生時，批量來料前，有樣品确认的活動：) 3 13.1 Temporary or long-term changes of raw materials. (來料的原材料臨時 或長期更改。) 13.2New/dup. source. (分供方新增。) 13.3 Resume the sub-supplier who has been no delivery to supplier for more than half of year. (原分供方終止供貨半年或以上重新供貨。) 13.4 Significant changes of fitting dimension and function. (裝配尺寸、功 能等重大更改。) 165164 Max Possible: 實際總分 87 No System Signifia nt Deficie Need Improv e-ment Satisf. Actual Score: 實際得分 860123 序號 Item 評 審 內 容 Review ContentsScore 1 Was IQC equipped with adequate inspection personnel and documented procedure? (是否有书面的進料檢驗程序,並有專門的檢 驗人員執行它?) 3 2 Inspectors are familiar with incoming materials sampling plan, the inspection key points and criteria, incoming inspection status identification, reading the drawings and technical requirements, testing equipment/ instruments operating 查报告编号为XHZLKC20100701数显卡尺，校验报 告表内有注明： 仪器精度0.01mm，规格0-150mm； 有，仪器校验员何明辉，于2009年3月23日获得仪器 校验内校资格证书,编号09032301203 查20110401客户投诉报告中有自身倉庫內已完工 的不良成品/在製品的處理 查20110401客户投诉报告中有糾正措施/短期措 施 查20110401客户投诉报告中有預防措施/長期措 施 審 核 記 錄 Evidence or Records 有，ZL-WI-048B客户抱怨处理规定文件規定了流 程並且有執行： 有，经营部负责客诉抱怨受理；质量部负责客诉抱怨 处理。 有，ZL-WI-048B客户抱怨处理规定文件中有描 述 有 由质量部主导责任部门配合，按客戶投诉报告要 求之內容回复改善对策，在客戶抱怨发生三日內回复 客戶 查20110401客户投诉报告中有糾正及預防措施效 果的驗證 查客户投诉报告客诉日为2013年1月19日，对策 执行日为2013年1月22日，处理及时； 審核員: Auditor: 供應商協審員: Supplier:高希伟 /余丽 日期: Date:2013-5-14 Section 8: Customer Complaints Review and Disposition 客戶投訴評審及處理客戶投訴評審及處理 按客户要求提供及时有效的改善措施并进行最终验 证，直至关闭 有，查20110401客户投诉报告中有原因分析 有 有，查20110401客户投诉报告中有记录 有，查20110401客户投诉报告中有投訴質量問題描述， 但无不良比率 4 Supplier should reply her customer within required timeframe or confirmed timeframe, and should not be later than one month(當客戶 要求了回答時間時，能在要求的時間內答復或與客戶達成了約定時 間，但最遲不超過一個月。) 3 5 Set the goal of customer complaint, there is at least a monthly routine meeting to review customer complaints and corrective defined the plan and time of meeting the environment target? 環境管理方案是否明確了責任人?是否明確了环境目标、指标的實現措 施和方法及完成具體時間? 3 9.11 Are the requirements of environment management system be included in new employee training? Are the training records be documented? 是否對公司新入職人員進行環境管理體系有關知識的培訓,並留有培訓 3 10 Factory Security (GSV & C-TPAT) 工廠安全 123120 1Container Security 集裝箱安全 1.1 Are there procedures in place on to properly seal and maintain the integrity of the shipping containers for warehouse? 貨倉有程序規定如 何正確密封和保持貨運集裝箱的完整性嗎? 3 1.2 Does Finished Goods Warehouse have the written procedures in place to stipulate how seals are to be controlled and affixed to loaded containers, only designated employees should distribute outbound container seals (access is controlled)? 成品倉是否有書面的程序規定 如何控製和如何給在裝載後的貨櫃加封條, 並且只有指定的人員才可以 派發海外貨櫃的封條嗎? 3 1.3 Are containers stored in a secure area to prevent unauthorized access and/or manipulation? 集裝箱是否被存放在安全的地方可防止 未經許可的接觸或操作? 3 2Physical Access Controls 出入控製 2.1 Is there single procedure about examination to cargos passing in and out the facility?Is the container number and seal number registered for cargos passing in and out the facility?進出的貨車要有單獨的流程 進行檢查,且有登記集裝箱號及封條號嗎? 3 2.2 Is a card access system available to every outer door?Is there a warning system to intrusion?所有外部入口是否有安裝門禁系統?且是 否有入侵警報系統? 3 有环保证 对环境有要求且车生产在执行但没建立专一文件 划分了区域负责制 是 是 公司有成立义务消防人员名单，行政部主导 是 是 是 是 Max Possible: 實際總分 Actual Score: 實際得分 制定有程序并通过ERP管理 有专员管理 本公司目前是委外 有制度且在执行 有并有监控、报警等 2.3 Is there an employee identification system in place for positive identification and access control purposes? 有員工身份識別系統可以 準確識別和控製出入權限嗎? 3 2.4 Is the issuance and removal of employee, visitor and vendor identification badges adequately controlled by security or authorized persons? And make records while distributing and reclaiming the cards?員工,訪客和供應商識別卡的發放和回收是由保安或者相關授權 人員統一控製的嗎?是否需要在發放和回收時做相關記錄嗎? 3 2.5 Should all visitors be escorted and visibly display temporary identification? 所有訪客有陪同進入廠區且佩戴臨時證件嗎? 3 2.6 Is there documented procedure on identifying and addressing unauthorized/unidentified persons? 工廠有書面的程序規定如何識別未 經授權的人員出入控製嗎? 3 3Personnel Security 人員安全 3.1 Does the factory verify the application informations such as employee history and reference prior to employment, such as education backgroud, working experience, criminal background verification included? and are the verification information be checked and updated periodically especially for the high risk position employees?(Store keeper, carrier and security guard and etc.)工廠招 聘組在雇佣前檢查申請信息, 例如員工過去的情況嗎(如教育背景, 工作 經驗及是否有犯罪背景)?並定期執行內部稽查,更新嗎?(尤其是倉庫,船 務和保安人員) 3 3.2 Are the contractors who will passing in and out some restricted area in facility subject to background investigation? 對進出受限制區域的承 包商要進行背景調查嗎? 3 3.3 Does the identification system identify all of kinds of ID card?(the first and second generation ID cards) 身份證認證系統能否識別所有身份 證? 3 4Procedural Security 程序安全 4.1 Is all information used in the clearing of merchandise/cargo, legible, complete, accurate, and protected against the exchange, loss or introduction of erroneous information? 貨物相關的所有信息都是清晰, 準確,完整和被防護的,防止變更,遺失和導入錯誤信息嗎? 3 4.2 Has factory safeguarding the computer access and information?電腦 權限和信息安全嗎? 3 4.3 Does Warehouse have adequate procedures in place to protect against unmanifested or unapproved parts, components or raw materials being introduced into production? 貨倉是否有書面的程序規 定如何防止未列明的貨物(如未被列明或授權的零件, 原材料等)進入生 產區域? 3 4.4 Are drivers positively identified by security before access to the facility ? 司機入廠前保安工作人員有對其進行身份識別嗎? 3 4.5 Are drayage trucks required to enter and exit through a designated entrance and exit? 貨車是從指定的進出口出入嗎? 3 5Security Training and Threat Awareness 安全培訓和反恐意識 有识别码 有 是 有 有 有 能 是 是 有 是 是 5.1 Is there a procedure for reporting of potential security issues observed by employees? 工廠是否有供雇員如何上報發現潛在安全隱 患的渠道或程序? 3 5.2 Does the facility have process in place to publicize the security procedures throughout the facility (i.e. posters, bulletin boards, etc)? 工廠有對於安全程序進行宣傳嗎?(通過宣傳欄,通告板等) 3 5.3 Does the company require C-TPAT enrollment of its business partner(supplier, contractor etc)? 是否對我們的業務伙伴(供應商,承包 商等)進行C-TPAT相關培訓?3 5.4 Does the facility conduct a site security assessment?工廠是否有執行 現場安全的評估? 3 5.5 Does the facility document security improvement action plan which summarized the identified vulnerabilities and implement, periodically update and evaluate the security improvement schedule? 對於安全問 題點是否有記錄並且有製定,執行,定期更新和評估安全改善計劃? 3 6Physical Security 物理安全 6.1 Are finished products segregated and stored in a designated area? 成 品是被隔離和存放在指定的區域裡嗎? 3 6.2 Does factory regularly inspect all fencing for integrity and damage? 工廠有組織定期巡視圍牆嗎? 3 6.3 Are gates through which vehicles and/or personnel enter or exit manned and/or monitored?車輛和人員進出的大門有人把守或監控嗎? 3 6.4 Does Facility Department periodic inspect and repair the structures? 工廠維修部有定期檢查和維修建築物嗎? 3 6.5 Are all external and internal windows, gates and fences secured with locking devices? 工廠內外的門,窗,圍牆都有鎖配裝置對其進行控製嗎? 3 6.6 Is facility is monitored by security personnel 24 hours? 工廠由保安人 員24小時監控嗎? 3 6.7 Are electrical security system (CCTV cameras CCTV camer