体系审核表.xlsx

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1、 供应商体系审核表 Supplier Systems Audit Records总结 Audit Summary Supplier Name 厂商名称:DONGGUAN DONGGUAN CO INDUSTRIAL CO.,LTDSupplier Delegate 厂商代表:Factory Location 工厂地址:DONGGUAN DONGGUAN CO INDUSTRIAL CO.,LTD Auditor 稽核人员:Audit Date 稽核日期:ELEMENT 项目适用部分总分Total Score供应商自评SupplierScore供应商Supplier%昭明评分ZM Score昭明

2、ZM%1.Quality Systems质量系统2020100%00%2.Training Management培训管理 88100%00%3.Research&Design&Change设计开发与变更管理 1600%00%4.Purchasing&Supplier Management 采购及供应商管理282486%00%5.Process Management 过程管制262492%00%6.Measurement,Analysis,Improvement 测量,分析和改进222091%00%7.Hazardous substance management 有害物质管理282071%00%

3、8.Corporate Social Responsibilities企业社会责任706593%00%Result 结 果21818183%00%供应商分类Supplier classificationA审核结果Audit Result不承认A类供应商要求总分80%（含）以上为承认，60%80%为有条件承认，小于60%为不承认B,C,D,E类供应商要求总分60%（含）以上为承认，小于60%为不承认制定：审核:批准：保存期限：10年 QR/MHJM-QA-52 A0保密等级：1.Quality Systems质量系统2.Training Management培训管理3.Research&Desi

4、gn&Change设计开发与变更管理4.Purchasing&Supplier Management 采购及供应商管理5.Process Management 过程管制6.Measurement,Analysis,Improvement 测量,分析和改进7.Hazardous substance management 有害物质管理8.Corporate Social Responsibilities企业社会责任100%80%60%40%20%0%新供应商评鉴 定期稽核供应商体系审核表 Supplier Systems Audit Records供应商Supplier:1.质量系统Quality

5、 Systems可得分值Maximum score:20自评得分Selfscore自评分数Self score:20实际分数Actual Score:01.1供应商是否建立质量管理系统?Has the supplier established and maintained a documented qualitysystem?21.2是否有制定文件控制程序且按规定执行?(如:文件受控/发行/回收)Have the supliers stipulated a procedureto control the document?(such as document control/release/ca

6、llback)21.3有否建立文件总览表,以控制、标识文件的最新修订状态，且各单位使用的文件是最新版本?Have the suppliersstipulated document list for reading to control and mark the updated revision?21.4外来文件（文件、图面、电子情报、书籍、法规等）是否有进行评审，有无适当管理？Are externaldocuments(documents,drawings,electronic intelligence,books,regulations,etc.)reviewed andproperly m

7、anaged？21.5质量记录是否可被识别、索引、归档、收集、储放及保存并在保存年限后报废。Are all quality recordsidentified,indexed,filed,collected,stored,maintained,and disposed after valid period?21.6各部门职责，权力，相互关系是否明确(例如程序，架构图，品质手册)?Is the responsibility and authorityand interrelation of every dept.defined?(i.e.procedures,charts,quality man

8、ual)21.7质量目标是否包含客户要求？各相关部门有否依据质量目标制定KPI?Does the quality objective meet thecustomers requirements?Are KPIs established by relevant departments according to quality objects?21.8是否有组织管理评审？是否对质量目标达成状况进行检讨,并执行纠正措施?Does the supplier organizemanagement review?Have the supplier reviewed the quality target

9、achievement and implementedthe corrective action?21.9是否有执行有计划且有记录之内部系统稽核?是否有对不符合事项跟催确认纠正措施?Has the supplierimplemented an internal audit system with plan and record?Have they traced and verified thecorrective actions?21.10内部审核人员资格是否有明文规定,且由合格的人员负责?Has the qualification of internal audit personneldef

10、ined in written;and taken charge by the qualified personnel?22/292.培训管理Training Management可得分值Maximum score:8自评得分Selfscore自评分数Self score:8实际分数Actual Score:02.1是否有一程序能识别影响产品质量之相关人员培训需求，且有实施在职培训?Is there a procedure to identifythe training needs of relevant personnel affecting product quality,and impl

11、ement on the job training?22.2是否有对员工进行上岗考核或定期考核,以检测其对工作的适任性?Is there a system to determine whichpersonnel are qualified for the job or check the personel regularly for inspecting their capability withtheir job?22.3是否对特殊过程及特定工作者制定适当的培训项目且留下培训认证记录?Have stipulated the proper trainingprogram for the spe

12、cial process&the special workers and kept the training certification record?22.4是否汇集培训调查并编制“年度培训计划”，并且包含有害物质（ROHS等）知识培训?Have compiledtraining investigating sheet and Yearly Training Plan?must include HSF(RoHs)training.23.设计开发与变更管理Design&Research&ChangeManagement可得分值Maximum score:16自评得分Selfscore自评分数S

13、elf score:0实际分数Actual Score:03.1是否定义了设计人员的资格要求？Has qualification of design personnel defined?NA3.2组织是否有策划和控制产品的设计开发过程?(新产品导入流程)是否包括评审,验证,批准和转移活动?是否包括客人的时间表?是否指定拥有合适权责和资源给NPI团队?Does the organization plan and control the designand development of product?Does it include review,verification,validation a

14、nd transfer activities?Does it cover customer timeline?Are appropriate resources and team members with responsibilitiesand authorities assigned to the process?Does the organization have a new productintroduction(NPI)process in place?Does it cover customer timeline?Are appropriate resources andteam m

15、embers assigned to the NPI team?NA3.3是否按客户要求识别产品及过程特殊特性，并转化到内部管理文件?Are special characteristics of productsand processes identified according to customer requirements,and transferred to internalmanagement documents?NA3.4是否有程序来控制及验证产品的设计以确保它符合所有的要求。Are there procedures to control and verifythe design

16、of the product to ensure it meets all the requirements?NA3.4公司有寿命/可靠性验证的测试计划吗?计划和结果有定期评审吗?和保存评审记录?Does the company have atest plan for life/reliability verification?Are the plans and their results reviewed on a periodic basisand records kept of the review?NA3.5是否有制定有效的作业程序管制ECR&ECN之发行及跟踪结案?Is there

17、a valid operation procedure forcontrol the release of ECR and ECN and tracking completion?NA3.6ECN是否有明示生效方式及生效日期来作为执行的依据，明确各单位应完成之事项及执行成效之追踪与确认?Does ECN express the effective method and date as the basis for implementation,and specifythe items to be completed by each dept.and the tracking and confir

18、mation of the implementationeffect?NA3.7设计评审是否被适当地记录并维护?Are the records for design review properly documented and maintained?NA3/294.采购及供应商管理Purchasing&Operation Management可得分值Maximum score:28自评得分Selfscore自评分数Self score:24实际分数Actual Score:04.1是否有一程序规定新供应商的导入，供应商的年度审核，月度评价等活动？相关活动有效执行，且记录保存完整。Is ther

19、e a procedure to manage the import of new suppliers,the annual audit and monthly ratingof suppliers?Relevant activities are effectively implemented and records are kept completely.24.2是否有最新的合格供应商名录?Is there an up-to-date AVL?24.3物料的规格质量要求或特殊要求是否有文件说明?Are there documents to explain the material spec

20、orspecial requirement?24.4是否有外包商批准的记录，并按照规定的保存期妥善保存？Are the records for subcontractor approvalproperly maintained and kept according to the defined retention period?NA4.5在发布采购文件前，是否已审核并批准采购文件的充分性？Have the suppliers reviewed and approved thepurchasing documents for adequacy prior to release?24.6是否有制定

21、SCAR管理执行系统且有效实施?Have stipulated a system to controlled and implementedSCAR and make it into effect?24.7是否有料件的承认程序?(如新模具,新材料，新物料等)Is there an approval procedure for parts?(e.g.tooling,metr etc.)24.8是否有正式的合同评估系统以便转入和运行关于客人报价需求,采购协议,订单,工程要求等和运行?合同评估的记录是否有维护?Does the organization have a formal contract

22、review system in order to processcustomer requirements regarding requests for quotation,purchase agreements,orders,engineeringrequirement,etc.,into its systems and process?Are records maintained of such contractrequirements?24.9供应商是否有做运营风险评估（包含发展规划，财务风险等）Does the supplier have an operational riskass

23、essment(include development planning,financial risk,etc.)?24.10供应商是否有做产能及交付能力评估，如产能不足，是否建立外包管控程序？Does the supplier evaluatethe capacity and delivery capacity?If the capacity is insufficient,does the supplier establishoutsourcing control procedures?24.11是否建立关键原材料的可追溯程序？Is there a traceability procedu

24、re for key raw materials?24.12是否有策划防止客户财产丢失的程序？Is there a procedure to secure customer property to prevent loss?04.13是否有例行的针对客户投诉的总结及分析、问题跟踪闭环？Does the supplier summarize,analyze andclose the Customer Complaints regularly?24.14是否有进行客户满意度调查?调查结果是否与纠正与预防措施相结合?Have investigated customersatisfication?If

25、 preventive and correctiove actions in compliance with the investigation result?24/295.过程管制Process Management可得分值Maximum score:26自评得分Selfscore自评分数Self score:24实际分数Actual Score:05.1产品是否有相应的质量计划管控,例如:控制计划、QC工程图?Does the product have the relevant qualityplan(Such as control plan or QC engineer chart)?2

26、5.2是否每一制程/工作站皆有工作指导书?Are there work instructions defined the manner of production andinstallation for each process/station?25.3作业指导书是否包括所有的必要的信息?如使用的材料/治工具/作业顺序/不良品处理/接收,拒收的标准。Dowork instructions contain all necessary information such as materials required,fixtures/tooling,working sequences,non-conf

27、orming material flow,and accept/reject criteria?25.4产品在量产前是否有进行首件检查并保留相关记录?Is the first article inspection conducted before massproduction and relevant records kept?25.5成品或半成品及在制品,良品与不良品能否被正确识别和控制?Are semi-finished product,finished productand in-process materials,ok part and NG part can be properly

28、identified and controlled?25.6是否所有的重要制程及参数被统计制程控制（CPK,SPC控制图等）?Are all critical processes andparameters under statistical control?(e.g.,control chart,Cp/Cpk study)25.7所有机器设备是否有预防保养措施且有相关记录?Are there preventive and maintaining actions for theapparatus and instrument and the pertinent records for it?2

29、5.8特殊作业环境（如实验室，洁净房）是否提供合适的温度保存器具与设备?Do special working environment(such as laboratory,clean room)provide appropriate temperature and humidity to keep equipment?25.9有储存寿命的材料及产品,是否明定期限?对过期材料有无鉴定处置程序?Have the definite period for thematerial and product with storage life?Have the dealing procedure for t

30、he material out of date?NA5.10工作场所光照度是否充足？Is there sufficient illumination in the workplace?25.11作业环境是否整齐清洁做到6S要求?Is the working environment clean and tidy,meeting the 6S requirements?25.12仓储环境是否可确保相关产品的质量保护?是否有有效方案防止混料？Does the storage environmentensure the quality protection of related products?Ar

31、e there effective solutions to prevent mixing?25.13是否制定先进先出程序?执行是否落实?Are materials handled according to FIFO?And the implementationcarried out?25/296.测量,分析和改进Measurement,Analysis,Improvement.可得分值Maximum score:22自评得分Selfscore自评分数Self score:20实际分数Actual Score:06.1是否有制定检验、测量与试验设备校验计划表?Have stipulated p

32、lan sheet for inspecting,measuring andinstrument calibration?26.2校验用之标准器是否正确储存、管理及校验并可追溯?Are the reference devices(standard equipment)used for base-point calibrations(0 point,makers scale,etc.)correctly stored,managed can betraced?26.3执行仪校人员及外校机构是否具备相应资格?Do the personnel who implement the equipment

33、calibrationand the external calibration organization have the pertinent qualification?26.4是否制定各阶段(收料、过程、最终产品、出货)的验收与测试作业程序?Have stipulated operationprocedure for inspecting and testing every process(material receiving,process,final product andshipment)26.5对发往客户的产品，是否有检测机制、检测手段及检测能力能覆盖全部关键参数？并能有效发现问题

34、？Doesthe supplier have testing mechanism,measures and capabilities,which can effectively expose issues,to cover all key parameters of the products to be shipped?26.6是否有一程序来处置被校验不合格之设备所测试过之产品?Is there a process for dispositioning productthat has been built/tested with equipment found out of calibrati

35、on?26.7不合格品是否进行了彻底追溯(包含在线品,在库品,在途品,客退品,客户处产品)且及时通知客户?Do you trackthose defective products completely and communicate to the customers timely?(Including thoseproducts on line,in storage,during transit,returned by the customers and the ones at the customerssi26.8是否有内部所需的统计技术或管理工具?当统计资料发现潜在问题时是否釆取必要措施?

36、Have the necessarystatistic technic or management tools?Are there any necessary actions if some possible problemsfound?16.9对不良产品退货是否有执行纠正与预防措施?(如:客诉展开,责任判定与分析对策,回复期限等)Is there arequirement to issue a Closed Loop Corrective Action for RMA(e.g.publish of customer complains,judgment and analysis of res

37、ponsibility and reply limit date?)26.10是否有 MRB 程序来检视不良材料的处理?Is there a MRB procedure to review the disposition ofnonconforming material?16.11是否有一系统来追踪改善行动之状态?改善行动及结果是否被记录且有相关细节(如料号,批号,检验日期,批量,样本,不良数)?Is there a system to track the status of corrective actions?Are all corrective actions andresults do

38、cumented(e.g.P/N,inspection date,quantity,sample,and defective products quantity)?26/297/297.评鉴说明与证书 Audit instruction&certifications说明 Illustration:1.0对于评鉴表中适合项目未建立与执行得0分;有建立且执行可达基本要求得1分,有效彻底执行得2分;若不 适合填N/A,评分为1或0分，需要填写纠正措施报告；环保管理模具类厂商不适用,不列入评分.The suppliers get 0 score if they havent established a

39、nd implement the proper items in the evaluation sheet,get1score if the have established and implement which reach the basic requirement,get2scores if validly implement,get N/A and wont bring into scoring if inapplicable.If the item get 1 or 0,corrective action is required.No application to the tooli

40、ng suppliers with Environment Protection Management.2.0不符合事项判定原则:(The judgement rule for the nonconforming item)2.1重大不符合事项:(For the critical nonconforming item)a.标准中有要求的而没有加以规定，可以判定为重大缺失；Required in the ISO but not stipulated can be judged as critical defect b.标准中有规定的，而实际操作时没有按规定执行的，可以判定为重大缺失；Stipul

41、ated in ISO,but not be executed in pratical operatin can be judged critical defect.c.在同一程序或同一流程中有存在众多的缺失，而这些缺失足以导致系统崩溃的，亦可判为重大缺失。A lot of defects exist in a same procedure or same flow process,and these defects completely can caused the system cracked up,it could be judged critical defect.2.2一般不符合事项

42、:(For the general nonconforming item)a.对满足品质管理体系要素或体系文件的要求而言，是个别的、偶然的、孤立的、性质轻微的问题。It is a single,acciden,sole,slight natural problem as for satisfaction to the quality management system requirements or document system.2.3建议事项:指找不到ISO条文依据，但能认定为低效，不列为不符合但建议改善，受稽核单位仍应列入改善计划。Recommended item:No basis fo

43、r ISO can be found,but it can be regarded as inefficient.The problem is not listed as non conformance but improvement is recommended.The auditee shall still list it in the improvement plan.3.0稽核有重大不符合事项1个(含)以上者不得纳入合格,须经改善后再次评鉴.The supplier will be regarded as unacceptable if more than one critical n

44、on-confirmance item were found during the audit.And it should be re-evaluated after thispoint being improved.4.0对不符合项改善必须做到说写做一致，即：提供佐证资料（包括文件、图示、表单等），而且现场验证属实方可结案。To improve the nonconformity,it is necessary to consistent in speaking and writing and doing.Such as provide evidence(including document

45、s,graphic,form,etc.),and the case can be closed only after the on-site verification is true.5.0请详细列出已通过认证的质量系统.环境管理系统.安规认证及认证公司名称与证书编号,若无填N/APlease list the authenticator&certificate No.of ISO quality system&environment management system,if none,fill in N/A.品质系统:认证公司:Quality SystemAuthentication Cor

46、poration证书编号通过日期Certificate NO.Pass date环境系统:认证公司:Environment SystemAuthentication Corporation证书编号:通过日期:Certificate NO.Pass date安规:认证公司:Safety SpecificationAuthentication Corporation证书编号:通过日期:Certificate NO.Pass date备注:(Remark)审核人 Audit by:8/29自评记录Self assessment现场审核得分on-siteScoreQEM-01_质量环境管理手册SHB-

47、QEP-001 文件控制程序SHB-10-QEF-003 文件清单SHB-QEP-001 文件控制程序 4.3SHB-10-QEF-004 外来文件清单SHB-QEP-002 记录控制程序QEM-01_质量环境管理手册 5.3有质量方针、质量目标SHB-QEP-005 目标指标和管理方案控制程序有 SHB-QEP-004 管理评审控制程序有 SHB-QEP-003 内部审核控制程序内部审核人员有资格证书供应商体系审核表 Supplier Systems Audit Records9/29自评记录Self assessment现场审核得分on-siteScoreSHB-05-WI-012 培训管

48、理制度SHB-05-QEF-008 培训考核记录表有培训认证记录（上岗证）2021年度各部门培训计划、培训记录自评记录Self assessment现场审核得分on-siteScore不适用，不涉及设计开发项目不适用，不涉及设计开发项目不适用，不涉及设计开发项目不适用，不涉及设计开发项目不适用，不涉及设计开发项目不适用，不涉及设计开发项目不适用，不涉及设计开发项目不适用，不涉及设计开发项目10/29自评记录Self assessment现场审核得分on-siteScoreSHB-QEP-022 供应商管理控制程序SHB-03-QEF-013 外部供方月度评估表有 SHB-03-QEF-003

49、合格外部供方名册有出货报告、图纸、MSDS、SGS不适用，暂无外包商有采购订单审核有制定SCAR管理执行系统且有效实施有承认书有ERP系统SHB-QEP-021 采购控制程序SHB-03-QEF-011 到期未交物料一览表SHB-QEP-017 标识和可追溯性控制程序暂无SHB-02-WI-001 客户投诉处理规范SHB-QEP-10 订单合约评审控制程序11/29自评记录Self assessment现场审核得分on-siteScore有项目控制计划、QC工程图工站有工作指导书作业指导书有涉及相关相息有做进行首件检查并保留相关记录SHB-QEP-017 标识和可追溯性控制程序见 品质周报、月

50、报有点检表、保养记录有提供合适的温度保存器具与设备暂不适用有做工作场所光照度点检有检验6S、并有实施SHB-04-WI-003 仓储管理规范SHB-QEP-024 物料进出仓控制程序12/29自评记录Self assessment现场审核得分on-siteScoreSHB-QEP-015 仪器监视和测量控制程序SHB-09-QEF-011 年度校验计划表有正确储存、管理及校验并可追溯标识有相应资格SHB-QEP-014 产品监视和测量控制程序SHB-09-STD-005 成品出货检验作业指引SHB-QEP-015 仪器监视和测量控制程序SHB-QEP-016 不合格品控制程序记录统计SHB-Q