ROHS 系统审核表.xls

ROHSROHS SystemSystem AssessmentAssessment SummarySummary ReportReport 供供應應商商RoHSRoHS系系統統評評審審成成績績總總結結 SupplierSupplier Name Name AuditAudit Date Date DocDoc No No 供供應應商商名名稱稱 審審核核日日期期 報報告告編編號號 Assessment ElementPossible scoreAct score 評評審審要要素素滿滿分分實實際際得得分分 1 Chemical substance control base 10 化化學學物物質質管管理理基基礎礎 2 Training program s 20 教教育育訓訓練練 3 Controlled Value of Impurities documented 30 化化學學物物質質控控制制標標準準 4 Supplier Management Subcontractor magemen 20 供供應應商商 外外協協方方管管理理 5 Production Management 50 制制造造管管理理 6 Un conformance occurs Chemical Substances 20 化化學學物物質質不不合合格格發發生生管管理理 7 Change control 20 變變更更管管理理 0 Max scoreAct Score Percent 滿滿分分實實得得分分占占百百分分比比 Supplier Rating Total 170 供供應應商商成成績績評評級級 合計 Supplier Performance Rating 供供應應商商級級別別標標准准 Defond has established the following 4 supplier performance ratings based on a percentage of the total points available DefondDefond公公司司根根據據供供應應商商得得分分占占總總分分分分值值的的百百分分率率 將將供供應應商商的的表表現現分分為為如如下下四四個個級級別別 Total score RatingSupplier Performance 總總 成成 績績 評評 級級成成 績績 表表 現現 91 100AExcellent 優秀 81 90BGood 良好可接受 70 含70 80C Conditional accept 條件接受 70以下DNot Accept 不合格 Prepared byApproved by Date 評審 者審 核者日期 SQA FM 130 Rev 0 Page 1 of 1 Percent 占占百百分分比比 ROHSROHS SystemSystem AssessmentAssessment SummarySummary ReportReport 供供應應商商RoHSRoHS系系統統評評審審成成績績總總結結 Supplier Rating 供供應應商商成成績績評評級級 Defond has established the following 4 supplier performance ratings based on a Supplier Performance 成成 績績 表表 現現 Excellent 優秀 Good 良好可接受 Conditional accept 條件接受 Not Accept 不合格 Page 1 of 1 Page 3 of 16 SQASQA AssessmentAssessment ElementElement SQA SQA評評價價要要素素與與問問題題 I I AuditAudit ScoringScoring CriteriaCriteria 評評分分說說明明 WhenWhen evaluatingevaluating thethe organization sorganization s levellevel ofof compliancecompliance forfor a a requirement requirement useuse thethe followfollow 5 point5 point scalescale toto evaluateevaluate performance performance 采采用用如如下下5 5分分制制評評分分方方法法 對對組組織織的的相相關關條條款款進進行行評評估估 AUDITAUDIT 5 POINT5 POINT EVALUATIONEVALUATION SCALE SCALE 評評 分分 要要 求求 說說 明明 ScoreState State description description 實實施施狀狀況況描描述述 0 Not documented and not implemented 沒有文件說明及沒有實施 1 Documented but not implemented 有文件說明但沒有實施其動作 2 Not documented but implemented 沒有文件說明但有實施其動作 3 Documented and not completely implemented 有文件說明但相對于其行動不能完全實施 4 Documented and relatively satisfactorily implemented 有文件說明並相對于其行動實施滿意 5 System sound and implemented effectively and verified 體系標準完善並有效地實施及確認 NA Not applicable 不適用 II II SQASQA AuditAudit Checklist ForChecklist For suppliersupplier ROHSROHS systemsystem checkcheck SQASQA評評價價要要素素 1 1 ChemicalChemical substancesubstance controlcontrol basebase 化化學學物物質質管管理理基基礎礎 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 1 11 1 Well managed and maintained for Prohibited Substances Management Latest organization chart is available 公司禁止物質的管理或維持管理的體系 有無最新的管理圖 5 55有環抱 職責說明文件 1 21 2 Responsibilities and Authorities are documented on organization chart Chemical Substance Management responsible is clearly identified 組織圖等各種文件是否寫明確了管理的責任 權限 並明確 了化學物質管理人的責任 5 55有明確規定 SectionSection TotalTotal PointsPoints101010 Page 4 of 16 2 2 TrainingTraining program s program s 教教育育訓訓練練 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 2 12 1 Check available training education program related ROHS REACH Chemical Substances Management Rank Guidelines ie Annual Training Course Schedule Training Education program flow chart 確認公司是否依據ROHS REACH 最新版 等體系對員工進行 教育 如年度教育訓練計劃表 教育訓練實施的情況等 5 5 3 有培訓計划等 2 22 2 Check training history ON SITE CHK 現場確認培訓的歷史 5 5 2 暫無 2 32 3 Check status of training educational program for the appropriate reviewer and at the required place in a timely manner 確認教育訓練是否為由必要的人在必要的時候及必要的場所 進行 確認授課教師的資格 5 51無 2 42 4 Check understanding about prohibited substances at production line s ON SITE CHK 在生產現場提問 確認工人對禁用物質的理解程度 5 5 SectionSection TotalTotal PointsPoints20206 3 3 ControlledControlled ValueValue ofof ImpuritiesImpurities documenteddocumented 化化學學物物質質控控制制標標準準 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 3 13 1 Check actual document s a standard for control of chemical substances containing level of the product s is existing 確認 產品含有化學物質的管理基准 是否有書面化文件 5 54 有客戶書面化的要求文 件 3 23 2 Check whether the substance names is inhibiting and control standard levels the control values of the impurities concentration are written in the standard for control 確認管理基準中禁用物質中禁用物質的名稱和管理基準值 不純物 質管理濃度值 是否明確 5 54文件中有確定 3 33 3 Check whether the chemical substances investigation is based on Latest version of ROHS and REACH etc by the actual investigation result data The effective time limit is within one year 根據調查結果的數據 確認測試的化學物質是否根據最新版的ROHS 指令或REACH指令進行的 數據有效期一年 5 55有外部檢測機構 Page 5 of 16 3 43 4 Are test reports and declaration letter provided by sub supplier checked and verified 是否有針對供應商所提供的有害物質申报資料的有效性進行 確認 5 51 3 53 5 Check evidence for ROHS of directions and transmissions by documents or e mails Both of the transmitting side and the receiving side 通過記錄 evidence 確認ROHS物質是否以文件形式進行指 示和聯絡的 如信息發送部門 接收方等 5 55 有書面化的檢測記錄 3 63 6 Check evidence Non use Warranty for Chemical Substances Contained in Products is submitted Document must be signed or with company seal 實物確認 應有供應商蓋章 關於產品中所含有的化學物質 不使用保證書中所提供的證據 5 55 有對供應商進行調查 SectionSection TotalTotal PointsPoints303024 4 Supplier4 Supplier Management SubcontractorManagement Subcontractor magementmagement供供應應商商 外外協協方方 管管理理 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 4 14 1 The supplier is clarified and the materials are clarified of using prohibition substances or un using Check AVL and ROHS declaration 明確供應商 明確對象部品中是否使用了禁用物質 了解從哪家供 應商買了哪些材料 檢查合格供應商目錄和供應商的ROHS聲明 5 53 4 24 2 Check whether the condition of dealings is to have a chemical substances control system and to have a structure that prohibition substances are not contained Check a standard for supplier evaluation and that record 對於現有的供應商 如果有繼續交易 應查明該供應商是否具備化 學物質管理體制以及不含禁用物質的管理體系 確認供應商評價 基準和記錄 5 53 4 34 3 Prohibition substances un use is mentioned in the dealings contract or in the specification drawing which is exchanged with suppliers 管理與供應商之間交易的合同書或規格書 圖樣 中是否寫明不 使用禁用物質 5 54 圖紙上注明須符合 ROHS要求 4 44 4 Check whether the company which has the structure of the prohibition substances un use is specified in a standard for new suppliers selection A standard for new suppliers selection should be existing Check whether Panasonic s prohibition sugbstances un use is specified If there is some sample of actual contract or drawing check it 對於新供應商 應查明該供應商是否具備化學物質管理體制 以及 不含有禁用物質的體系 有供應商的評價 選定基準 以實物確 認其中已明文規定 本公司是不使用禁用物質的公司 如有最 近發生的事例 則要確認其記錄 5 54 對于所有的供應商的來 料必須出示檢驗証書 SectionSection TotalTotal PointsPoints202014 Page 6 of 16 5 5 ProductionProduction ManagementManagement 制制造造管管理理 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 5 15 1 Check by document s whether the prohibition substances are controled in whole process from incoming inspection to outgoing inspection 对有文件化的入料檢查 倉庫管理 出廠期間的禁用物質管理程 序進行確認 可以是整體的流程圖 Flow chart 也可以是多 個獨立的文件進行說明 5 53 流程圖 5 25 2 Check which is the incoming inspection method among next ones and check the judgement result with an example a A prohibition substance s containing rate quantity is measured by themselves and judged b Asking the measurement for outside organization and judging with their result c Judging by the data of supplier d Judging with the combination of a b and c 確認入料檢查用以下哪一種方法 并用實例確認結果 a 公司內部測定禁用物質含有率 量 進行判定 b 委托外部機構進行測定 並根據結果進行判定 c 根據從共應商處得到的數據進行判定 d 結合a c的方法進行判定 5 54 采用B方法 5 35 3 Check the next things when they are using method a in 1 1 a Regular maintenance records of the inspection equipment b Detection limit of the inspection equipment c Sampling process document of the inspection materials d Record of the actual measuremen Reappearance of the measurement by the measurement process document and so on 如果使用自公司內部測定后的方法 確認以下內容 a 定期对檢查設備進行保養和檢查的記录 b 檢查設備的量程 c 檢查實物的采样步驟書 d 采样后的实測記录 使用測定步驟書等再現測定过程的可能 性 5 5NA 5 45 4 Is lead free soldering process implemented 是否全制程中均执行无鉛焊錫 5 5NA 5 55 5 Are all production indirect materials and substances eg Dye Paint Flux compliant with the RoHS requirements and relevant list prepared 制程中所用輔料是否都符合綠色產品要求 如 着色劑 油 墨 松香等 並有清單管制 5 5NA Page 7 of 16 5 65 6 Have procedures of control and QC control been established and implemented for ROHS Products ROHS產品生產過程和QC控制過程是否程序化並已執行 5 5 5 75 7 Acts of potential contamination were not observed on the product floor Examples of such acts include mixed use of RoHS and non RoHS tooling mixed storage of RoHS and non RoHS parts mixed used of scrap plastic potential draw back of lead containing dust to the non lead lines through the venting system etc 有無潛在的交叉污染 如 綠色和非綠色生產的工具混合使用 綠色和非綠色物料的混合存放 塑膠水口料的混合使用 潛在 的合鉛灰塵從排風系統中返回到無鉛生產線 5 5 5 85 8 A mixing prevention countermeasure is being done when materials containing prohibition substances are dealt with Material storage places for other user are divided clearly 使用含有禁止物質的部材料時 采取防止混入的措施 與其 它用戶的材料放置位置明確區分 5 5 5 95 9 Was the ROHS traceability procedure established and implemented Were relevant recordes remained Check that there is a standard of lot chase i e traceability of a raw material component to use for the actual daily production 是否建立ROHS追溯性程序並實施 是否保存相關的記錄 通過 實物確認是否有對每天生產中使用的原材料和部品材料的批 次進行跟蹤 追蹤可能性 traceability 的基準 5 5 5 105 10 Prohibition substances un containing is confirmed when a recycling material is being used in own company It says the re use of the material in own company as recycling to smash a molding plastic rejected article and to use it again When it is used check that chemical substances and the containing rate are clarified in products by the analyzed data of substances Analysis organization name Measurement date Measurement person name Measurement flow chart pre treatment way Measurement result the sensible lower limit value in the case of N D are to be mentioned 如果公司使用回收材料 必須確認其中不含有禁用物質 回收材 料是指將樹脂成型的次品粉碎再利用等的材料 如果有使用 則 通過實物確認是否掌握了其化學成份及含有率 SectionSection TotalTotal PointsPoints5050 Page 8 of 16 6 Un conformance6 Un conformance occursoccurs ChemicalChemical SubstancesSubstances 化化學學物物質質不不合合格格發發生生管管理理 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 6 16 1 Check that there is the process of handling when un conformance occurs a flow chart is acceptable 確認發生不合格品時相關的處理程序 也可以是流程圖 Flow chart 5 5 4 有不合格品處理程序 6 26 2 Pick up a sample of the past un conformed product handling case and check whether it could be explained It should be reasonably understood 隨機抽取過去不合格品處理事例 要求說明實施過程和處理 情況 且具備說服力 5 5 6 36 3 Check the environment control person in charge a chemical material control person in charge and a management person in charge who should get the report when un conformance occurs 再次確認環境管理責任人 化學物質管理責任人 及經營責任人 確認其是否能明確的回答出來 5 54 明確規定了責任人 6 46 4 Check document s is well organized 確認相關的程序 文件是否系統化 是否為可隨時查閱的狀 態 5 54 可以隨時抽查文件 SectionSection TotalTotal PointsPoints2020 7 Change7 Change controlcontrol 變變 更更 管管 理理 Possible Points 滿分 Supplier Score 供應商評分 Record reference 查証記錄 依據 7 17 1 There is a standard flow chart is acceptable of the control of a change when there was a change in own company and suppliers which include overseas factory 公司內部 含國外工廠 及交易對象出現變更時 要有變更管理的基 準 也可以用流程圖 5 5 3 使用ECN進行更正 7 27 2 When a material change in the own factory which includes overseas factory and in outside suppliers check is done of Panasonic s prohibition substances by precise analysis data such as ICP or XRF 公司內部 含國外工廠 及交易對象方出現材料變更 使用分析 數據 精密分析 XRF 確認不含公司禁用物質 5 5 7 37 3 When design is changed it makes contact to Defond and gets approval in advance Include the next things when they are being made a contact