ROHS 系统审核表.xls

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1、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.scorePercent評評審審要要素素滿滿分分實實際際得得分分占占百百分分比比(%)(%)1.Chemical substance control

2、base10 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 documented30 化化學學物物質質控控制制標標準準 4.Supplier Management/Subcontractor magemen20 供供應應商商/外外協協方方管管理理 5.Production Management50 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 co

3、ntrol 20 變變更更管管理理Max scoreAct.Score Percent 滿滿分分實實得得分分占占百百分分比比(%)(%)Supplier Rating Total170 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

4、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91100AExcellent(優秀)8190BGood(良好可接受)70(含70)80CConditional 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.0Page 1 of 1SQASQA AssessmentAss

5、essment 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 organizationsorganizations levellevel of of compliancecompliance forfor a a requirement,requirement,useuse thethe followfollow 5-point5-point scalescale to to eva

6、luateevaluate 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)ScoreStateState 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

7、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.SQASQ

8、A 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PossiblePoints滿分SupplierScore供應商評分Record/reference查証記錄/依據DefondScore客戶評分1.11.1Well managed and maintained for Prohib

9、ited SubstancesManagement.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 organizationchart.Chemical Substance Management responsible is clearlyidentified.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SectionS

10、ection TotalTotal PointsPoints101010/Page 2 of 82)2)TrainingTraining program(s)program(s)教教育育訓訓練練PossiblePoints滿分SupplierScore供應商評分Record/reference查証記錄/依據DefondScore客戶評分2.12.1 Check available training/education program relatedROHS,REACH Chemical Substances Management RankGuidelines.(ie:Annual Traini

11、ng 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 53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 52暫無2.32.3 Check status of training/educational program,for the appropriatereviewer and at the required place in a timely

12、 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2.42.4Check understanding about prohibited substances at productionline(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 5SectionSection TotalTotal PointsPoints20206/3.3.ControlledControlled ValueValue of of ImpuritiesImpurities documenteddocumented 化化學學物物

13、質質控控制制標標準準PossiblePoints滿分SupplierScore供應商評分Record/reference查証記錄/依據DefondScore客戶評分3.13.1Check actual document(s)a standard for control of chemical substancescontaining 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3.23.2Check whether the substance names is inhibiting and

14、control standardlevels(the control values of the impurities concentration)are written inthe 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 onLatest version of ROHS and REACH etc.by the actual investigationre

15、sult 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 3 of 83.43.4Are test reports and declaration letter provided by sub-supplierchecked 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？5 513.53.5Check evidence for ROHS of directions

16、and transmissions bydocuments or e-mails.(Both of the transmitting side and thereceiving 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3.63.6Check evidence Non-use Warranty for Chemical SubstancesContained in Products is submitted.(Document must be signedor with company seal

17、)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PossiblePoints滿分SupplierScore供應商評分Record/reference查証記錄/依據DefondScore客戶評分4.14.1The supplier is cla

18、rified,and the materials are clarified of usingprohibition 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.5 534.24.2 Check whether the condition of dealings is to have a chemicalsubstances control system and to have a structure that p

19、rohibitionsubstances are not contained.(Check a standard for supplier evaluationand 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)5 534.34.3Prohibition substances un-use is mentioned in the dealings contract or inthe specification(drawing)which is exchanged with supplie

20、rs.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 prohibitionsubstances un-use is specified in a standard for new suppliers selection.(A standard for new suppliers selection should be existing.Checkwhether Panasonics prohibition

21、sugbstances un-use is specified.If thereis 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 4 of 8 5.5.ProductionProductio

22、n ManagementManagement 制制造造管管理理PossiblePoints滿分SupplierScore供應商評分Record/reference查証記錄/依據DefondScore客戶評分5.15.1 Check by document(s)whether the prohibition substances are controledin 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

23、是多個獨立的文件進行說明）5 53 流程圖5.25.2Check which is the incoming inspection method among next ones,andcheck the judgement result with an example.a)A prohibition substances containing rate(quantity)is measured bythemselves and judged b)Asking the measurement for outsideorganization,and judging with their resul

24、t c)Judging by the data ofsupplier 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ac的方法進行判定.5 54 采用B方法5.35.3Check the next things when they are using method a)in 1-1a)Regular maintenance records of the inspect

25、ion equipmentb)Detection limit of the inspection equipment c)Sampling processdocument of the inspection materialsd)Record of the actual measuremen,Reappearance of themeasurement 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,

26、使用測定步驟書等再現測定过程的可能性5 5NA5.45.4Is lead free soldering process implemented?是否全制程中均执行无鉛焊錫？5 5NA5.55.5Are all production indirect materials and substances(eg.Dye,Paint,Flux.)compliant with the RoHS requirements and relevantlist 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 5NAPage 5 of 85.65.6Have pro

27、cedures of control and QC control been established andimplemented 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 55.75.7Acts of potential contamination were not observed on the productfloor?Examples of such acts include:mixed use of RoHS and non-RoHStooling,mixed storage of RoHS and non-RoHS parts.m

28、ixed usedof scrap plastic,potential draw back of lead-containing dust tothe 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 55.85.8A mixing prevention countermeasure is being done whenmaterials containing prohibition substanc

29、es 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 55.95.9Was the ROHS traceability procedure established andimplemented?Were relevant recordes remained?(Check thatthere is a standard of lot chase,i.e.traceability,of a raw materi

30、al,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 55.105.10Prohibition substances un-containing is confirmed when a recyclingmaterial is being used in own company.(It says the re-use of thematerial in own comp

31、any as recycling to smash a molding plasticrejected article and to use it again.)When it is used,check that chemicalsubstances and the containing rate are clarified in products.(by theanalyzed data of substances)(Analysis organization name,Measurement date,Measurement person name,Measurement flow ch

32、art,pre-treatment way,Measurement result(the sensible lower limit value inthe 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 6 of 8 6.Un-conformance6.Un-conformance occursoccurs ChemicalC

33、hemical SubstancesSubstances 化化學學物物質質不不合合格格發發生生管管理理PossiblePoints滿分SupplierScore供應商評分Record/reference查証記錄/依據DefondScore客戶評分6.16.1Check that there is the process of handling when un-conformanceoccurs.(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 54有不合格品處理程序6.26.2Pick up a sample

34、of the past un-conformed product handling case,and check whether it could be explained.(It should be reasonablyunderstood.)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 56.36.3Check the environment control person in charge(a chemical materialcontrol person in charge)and a management person in charge whoshou

35、ld 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6.46.4Check 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PossiblePoints滿分SupplierScore供應

36、商評分Record/reference查証記錄/依據DefondScore客戶評分7.17.1There is a standard(flow chart is acceptable)of the control of a changewhen there was a change in own company and suppliers which includeoverseas 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 53使用ECN進行更正7.27.2When a material change in the own factor

37、y which includes overseasfactory and in outside suppliers,check is done of Panasonics prohibitionsubstances 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 57.37.3When design is changed,it makes contact to Defond,and gets approvalin advance.*Include t

38、he next things when they are being made a contact object inadvance.)supplier,outsourcing manufacturer,manufacturing process,equipment,production place 設計有變更時，事先與德豐聯絡並獲得承認.包括供應商、外加工廠、制造工藝、設備及生產場所的變更的情況.5 5NA7.47.4Check document(s)for 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 現有文件清晰可查SectionS

39、ection TotalTotal PointsPoints2020/Page 7 of 8DEFONDNonconformance Report(NCR)審審核核供供應應商商不不合合格格項項目目報報告告Ref No.:_Auditee Supplier:_Supplier accompanying person:_供應商名稱供應商陪同人員Audit date:_審 核日期Nonconformance Description不合格項描述Auditor:Date:審核員姓名日期Cause&Corrective Actions:(Please use the attachment to specify if necessary空間不夠,請附附頁)原因分析及糾正措施Auditee Representative:Date:受審核方代表簽名日期 Verification Verification:效果確認糾正措施確認 Accept(接受)Not Accept(不接受)Auditor(審 核員):Auditor(審 核方確認人):Date(日期):Date(日期):SQA-FM-022B Rev.2