Perlos Management System Audit Questionnaire(Sep.7)

1、COR 09.09.02Valid From:1.12.20041/52Statement of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORTSupplier Name and Site:Sub-section RatingsPrev

2、ious Audit ScoreSignificant DeficiencyImprovement neededSatisfactory Good Very GoodWeight (0,1 or 0,2)Product(s):Suppliers Certification(s) Status:Supplier Status:Audit Status:XNew SupplierPre-auditExisting SupplierXAuditRe-auditSub-section40708090100Sec.Section TitlePg.0407080901Management Responsi

3、bility3 58.93 0.22Basic Management System525.00 0.13Contract, Design Review and Quality Planning8 60.71 0.24General Processes Management1123.61 0.25Purchasing13 50.00 0.16Supply Chain Management16 50.00 0.27Environmental Management1810.71 0.28Subjective Evaluation20 50.00 0.1MANAGEMENT SYSTEM RATING

4、Sub-section is not approved by PerlosSub-section is approved by PerlosDate of Perlos Suppliers Management Audit:7th of Sep, 2007Perlos Auditors:Stone lee- Lead AuditorSusy Qi - AuditorRichard zhao - AuditorSupplier Rating:Not QualifiedLead AuditorSuppliers AcknowledgementName: Stone.leeName:Sign:Sig

5、n:Contact:SPosition:Written corrective action plan is requested within days to Perlos 30COR 09.09.02Valid From:1.12.20042/52Statement of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the cli

6、entSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT30Supplier Rating GuidelinesA suppliers suitability for Perlos is evaluated on the basis of how well a supplier meets the selection criteria. The enclosed Management System Questionnaire is used as the basisfor evaluation. In the comment section standards re

7、quirement(s) are marked with an asterisk; * when ISO 9001 requirement, * when QS 9000 requirement and * when ISO 14000requirement. All subsections case specific questions are selected and their weights are defined by Perlos audit team prior to managementaudits implementation.Perlos recommends that t

8、he supplier will carry out a self assessment based to this questionnaire prior to the Perlos audit teams management audit implementation.Significantly Deficient0There is no verification of the suppliers procedures, no documentation.無供應(yīng)商程序?qū)徍?無記錄.Improvement Needed1Formally documented, but there is no

9、 or minor verification ofprocedures.有正式記錄,程序?qū)徍藷o或很少.Satisfactory/Marginal Deficient2Procedure is adequately documented. Minor deficiencies found inprompt implementation of procedure.程序記錄恰當(dāng),在程序?qū)嵤┲泻苌俪霈F(xiàn)不足.Good3A well-designed procedures reflects documented activity. Documentedverification of procedures

10、for all aspects. 設(shè)計(jì)精良的程序反映了進(jìn)行的活動(dòng).程序的各個(gè)方面 都有記錄.Very Good4Excellent and well designed procedure to control the subject exists.Examples of effective implementation exist with a minimum of 12months documentation and data demonstrating control and continuousimprovement.有良好的設(shè)計(jì)記錄管控.至少12個(gè) 月內(nèi)有有效的實(shí)施事例,有數(shù)據(jù)證明及持

11、續(xù)改進(jìn).Not ApplicableN/ANot assessed/not suitable for assessment. This does not effect thetotal number of points or the result of audit.沒有評(píng)審/無恰當(dāng)評(píng)審.這不影響要點(diǎn)總數(shù)或評(píng)審結(jié)果.Final Rating MatrixThe following tables should be used to determine the final score and rating of the supplier. The audit format and scoring a

12、re based to the Perlos requirements. Management System Rating Regulations:Suppliers Approval Status:90 to 100Very GoodApproved by Perlos80 to 89GoodApproved by Perlos60 to 79Satisfactory Approved by Perlos0 to 59Not QualifiedRejected by PerlosCOR 09.09.02Valid From:1.12.20043/52Statement of Confiden

13、tiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT301.0 Management ResponsibilitySubsystem Ratings0Achieved Points(0 to 4 points or N/A)Available Points(

14、4 points or N/A)ObservationsNo.DescriptionManagement Commitment/管管理理職職責(zé)責(zé)1How has management ensured that customerrequirements are identified and implemented inaction?/公司管理系統(tǒng)如何確?？蛻舻囊鬁?zhǔn)確運(yùn)用于實(shí)際生產(chǎn)中?3.04ISO9000:2000 certificate is on hold. Management review twice times one year. ISO14000 system in on goin

15、g to qualitify atthis moment,the schedule should be done in Oct.2007 for the second audit. 有 ISO9000:2000證書.管理評(píng)審一年兩次.ISO14000 系統(tǒng)現(xiàn)在正在實(shí)施,第二次評(píng)審進(jìn)程表應(yīng)在2007年10月制定出.2What type of documented business plan (s) does thecompany have?/公司有無任何類型文件化的商業(yè)計(jì)劃?3.04GM yearly review business plan for every three years. Inc

16、lude strategic targets. 3年內(nèi)的GM 年度審核事宜計(jì)劃,包括戰(zhàn)略目標(biāo)3What type of written principles, which are approved bythe board of directors (or equivalent), does thecompany have?/ 公司采用哪種由董事會(huì)(或相關(guān)人士)認(rèn)可的方針,原則?2.04employee manual identified policy. Quality policy:以健全的管理制度,完善的人力資源,先進(jìn)的技術(shù),穩(wěn)定的品質(zhì)和優(yōu)質(zhì)的服務(wù),來不斷的滿足客戶的需求.Also has

17、the enviromental policy in place.But no health/safety policy.但是無安全/健康政策.4How does the company ensure that the aboveprinciples are commonly known among the personnel?/公司如何確保以上方針,原則能讓員工普遍了解?3.04HR will do training for each new employee base on manual.All policy is in bulletin&production line to gu

18、ild employee. 人力資源對(duì)每一位新進(jìn)員工進(jìn)行崗位培訓(xùn).所有的公司政策都應(yīng)寫在標(biāo)示板上指導(dǎo)員工.5What type of continuous quality and productivityimprovement ideologies does the company have?/公司在持續(xù)品質(zhì),生產(chǎn)力提高方面有何理念?1.04Advanced management system impletement.推行先進(jìn)的管理體系Each department target review procedure is in placed. 實(shí) 施 每 一 部 門 目 標(biāo) 審 核 程 序 .Q

19、uality target review is in placed.實(shí)施質(zhì)量目標(biāo)審核程序customer satisfication review is in placed but havent formal procedure.顧客滿意度審核正在實(shí)施但是無正式程序.But cost review is absent as procedure described (only has the target but without the review record). 但是如程序中描述的無成本審核(只有目標(biāo)無審核記錄)Capability review isnt enough for monit

20、oring.對(duì)性能審核達(dá)不到檢測(cè)要求.6How has the management committed to enable thedevelopment of Management System?/公司如何確保管理體系水平的提高?2.04 written responsibilities for quality,logistics, environment, health and safety.Specialist GM weekly review all the items,this meeting should covered quality,logistics,environment,

21、but havent cover thehealth and safety.豐盛GM周會(huì)應(yīng)審核所有條款,應(yīng)包括質(zhì)量,物流,環(huán)境,但沒包括健康與安全.Management System Performance/管管理理系系統(tǒng)統(tǒng)表表現(xiàn)現(xiàn)7How does the company measure Management Systemperformance?/公司如何,在哪些方面衡量管理系統(tǒng)的性能表現(xiàn)?3.04Procedure defined about on time delivery,quality cost,customer satification.Monthly target review

22、focus on quality. 規(guī)定程序包括準(zhǔn)時(shí)交貨,質(zhì)量成本,顧客滿意度.月度審核的焦點(diǎn)是產(chǎn)品質(zhì)量.8How are the above Management System performanceresults handled?/公司如何跟進(jìn)以上管理系統(tǒng)表現(xiàn)?3.04Procedure defined about on time delivery,quality cost,customer satification.Monthly target review focus on quality. 規(guī)定程序包括準(zhǔn)時(shí)交貨,質(zhì)量成本,顧客滿意度.月度審核的焦點(diǎn)是產(chǎn)品質(zhì)量.Management R

23、eview/管管理理評(píng)評(píng)審審9What type of management reviews are carried outregularly?/公司定期進(jìn)行哪種管理系統(tǒng)的審核?2.04yearly review meeting twice times,also should check the quality, enviromental.But havent cover safety and healthy.年度審核會(huì)議兩次,也應(yīng)檢查質(zhì)量,環(huán)境.但不包括安全與健康.Project Management/項(xiàng)項(xiàng)目目管管理理10How are defined procedures, respons

24、ibilities andauthorities regarding project management?/如何定義項(xiàng)目管理的程序,職責(zé)和權(quán)力?2.04Have the procedure to define the new product approve process.But more details for each build havent described clearly.有規(guī)定新產(chǎn)品通過標(biāo)準(zhǔn)程序,但是每一環(huán)節(jié)通過的更多細(xì)節(jié)沒有清楚說明.11How does the company measure projectsperformance?/公司如何衡量項(xiàng)目的表現(xiàn)?3.04Acco

25、rding to the target management process.And the yield,on time delivery,scrap rate,customer satisfication should bemonitored 根據(jù)目標(biāo)管理程序,應(yīng)該檢測(cè)產(chǎn)量,準(zhǔn)時(shí)交貨,報(bào)廢率及顧客滿意度.12Does the company monitor project specific KPIs (KeyPerformance Indicators) in project managementmeetings?/公司是否在項(xiàng)目管理會(huì)議上監(jiān)控特別的KPI(重要性能指標(biāo))?1.04The y

26、ield,on time delivery,scrap rate,customer satisfication should be reviewed each weekly. 產(chǎn)量,準(zhǔn)時(shí)交貨,報(bào)廢率及顧客滿意度應(yīng)該每周評(píng)審一次.Process Thinking/制制程程思思想想COR 09.09.02Valid From:1.12.20044/52Statement of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to

27、 any third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT3013Does the company use process approach whendeveloping, implementing and improving theeffectiveness of the management system?/公司如何運(yùn)用制程思想滿足管理體系在研發(fā),運(yùn)作和改善等的效果. 3.04Key process have been mapped.IQC inspection/

28、PVD process/outgoing inspection 關(guān)鍵制程已被標(biāo)明.IQC巡檢/PVD制程 /出貨檢驗(yàn)Ethical Considerations/道道德德觀觀念念14Does the company adhere to international humanrights and shall be committed to ethical conduct?/是否公司堅(jiān)持貫徹國(guó)際人權(quán)和相關(guān)的倫理操守?2.04Following local laws. Perlos require Specialist to review the requirements of SA8000. 遵守

29、當(dāng)?shù)胤?貝爾羅斯要求豐盛評(píng)審SA8000規(guī)定.Total Points33.056Element Rating (Total Score/Available Points)0.59COR 09.09.02Valid From:1.12.20045/52Statement of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the

30、clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT30COMMENTS1.0 Management ResponsibilityCOR 09.09.02Valid From:1.12.20046/52Statement of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the clientS

31、UPPLIERS MANAGEMENTSYSTEM AUDIT REPORT302.0 Basic Management SystemSubsystem Ratings0Achieved Points(0 to 4 points or N/A)Available Points(4 points or N/A)ObservationsNo.DescriptionDocument Control/文文檔檔控控制制1Does the company have a management systemmanual or handbooks covering the relevantmanagement

32、standards?/公司有無系統(tǒng)的相關(guān)管理標(biāo)準(zhǔn)的管理手冊(cè)?1.041.Has the management system manual covering the relevant management procedure.Document No. QEGM Ver A 2007.4.4有包含相關(guān)管理程序的管理系統(tǒng)手冊(cè).No. QEGM Ver A 2007.4.4文件2What type of Document Control System does thecompany have?/公司以何種形式進(jìn)行文件系統(tǒng)控制?1.042.Set up document control procedur

33、e and office to control the document 1)Document cant be issued in control listed in summary page of Management Review Procedure only 10 pieces,but the11th copy file was used.建立程序及辦公室文檔控制程序來控制文檔.1)文件不能分發(fā)以管理評(píng)審程序摘要存檔,共10頁但有11頁3What type of procedure does the company have for thetracing and archiving of

34、 records?/公司采用哪種程序進(jìn)行文件追溯和存檔?1.043.Set up records control procedure but the records cant be identified,filed and storaged in the right way. 建立了記錄控制程序,但是記錄沒有以正確的方式標(biāo)示,編檔,保存.4How does the company ensure that documents andrecords are readily available?/公司如何確保文檔和記錄方便使用?1.04The document control system is e

35、stablished but cant follow the procedure to collect,index,file and access documents andrecords. 文檔控制系統(tǒng)已建立,但沒有跟進(jìn)修改,索引,編檔文件和記錄.Internal Audits/內(nèi)內(nèi)部部審審核核5What kind of routine the company has to carry outinternal audits?/公司采用怎樣的內(nèi)部審核程序?1.041. (SPL-CP-QS-05) 6What type of plan does the company have for car

36、ryingout internal audits?/公司采用怎樣的內(nèi)部審核計(jì)劃?1.041.Run internal audit 2 times/year. 內(nèi)部審核一年兩次7What type of audit result documents does thecompany have?/公司的內(nèi)部審核文件,審核跟進(jìn)狀況如何?1.041.Not followed up the audit result and the corrective action cant be put into application.審核結(jié)果沒有跟進(jìn),正確措施沒被實(shí)施.Risk Assessment/風(fēng)風(fēng)險(xiǎn)險(xiǎn)評(píng)評(píng)估

37、估8What type of procedure does the company have toidentify and review regularly the significant risks?/公司采用哪種程序去定期鑒別和審核重大的風(fēng)險(xiǎn)?N/A9What type of system does the company have tomonitor materialised risks?/公司用哪種系統(tǒng)去監(jiān)控實(shí)際的/高發(fā)生率的風(fēng)險(xiǎn)?N/AEmergency Preparedness and Response/緊緊急急應(yīng)應(yīng)對(duì)對(duì)10What type of emergency plan(s

38、) does the companyhave?/公司的緊急控制計(jì)劃是什么?1.04SPL-I-PMC-01 ,11What type of recovery plan does the company have? /面對(duì)重大災(zāi)禍,公司的恢復(fù)/保護(hù)計(jì)劃是什么?1.04SPL-I-PMC-01 ,Resources, Training and Competence/資資源源,培培訓(xùn)訓(xùn)和和能能力力12Is a training program instituted with the company?/公司是否設(shè)立培訓(xùn)系統(tǒng)?1.04Has a training program but not dist

39、inguish who shall be qualified and how to take enough trainning. 有培訓(xùn)系統(tǒng),但是沒有區(qū)分誰是合格及怎樣才是有足夠培訓(xùn).13How does the company evaluate the competency levelfor different duties?/公司怎樣評(píng)估/描述不同職位的能力要求?1.04is establishing a manual for different duties. 正在建立不同職位手冊(cè)COR 09.09.02Valid From:1.12.20047/52Statement of Confi

40、dentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT3014How is the training recorded and effectivenessevaluated?/如何進(jìn)行培訓(xùn)記錄和有效的評(píng)估?1.04Take some trainning

41、but not effectiveness evaluated.進(jìn)行某些培訓(xùn)沒有有效評(píng)估.Infrastructure/架架構(gòu)構(gòu)15How does the company ensure that the infrastructureis acceptable from a quality perspective?/公司如何從品質(zhì)方面考量設(shè)施/人員架構(gòu)配備等根本保證?1.04The quality perspective only is listed in the document.品質(zhì)方面只在文檔中有記錄COR 09.09.02Valid From:1.12.20048/52Statemen

42、t of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT302.0 Basic Management SystemSubsystem Ratings0Achieved Points(0 to 4 points or N/A)Availa

43、ble Points(4 points or N/A)ObservationsNo.DescriptionAccess Control/保保密密控控制制16How are Access Control issues taken intoconsideration within the companys infrastructure?/針對(duì)訪問/信息保密,公司有何種權(quán)限控制文件.1.04Procedure for electronic document was established but no system procedure for all access control was taken

44、 intoconsideration.電子文檔程序已建立,但沒有考慮建立所有的系統(tǒng)控制程序.17Are there confidential procedures in place?/是否有保密程序文件/合同?1.04Not find the procedure to control the confidential .沒有找到保密程序文件18How are the document and data safety issues takeninto consideration?/如何實(shí)施文件及數(shù)據(jù)安全保存?1.04Specialist didnt backup the main documen

45、t,quality data and production parameter correctly.豐盛沒有正確保存主要文檔,品質(zhì)數(shù)據(jù).及生產(chǎn)參數(shù).Legal Compliance/ 法法律律責(zé)責(zé)任任19How does the company track down the laws andregulations that applies to the operations?/公司在生產(chǎn)運(yùn)作中有哪些相關(guān)/怎樣遵循法律法規(guī)的?1.04Specialist didnt put the laws requirement into the operations.豐盛沒有執(zhí)行法律規(guī)定Product Li

46、ability/產(chǎn)產(chǎn)品品責(zé)責(zé)任任20Does the company have documented liabilityprocedure including recall procedure and clearlydefined liability related responsibilities?/公司是否明確規(guī)定產(chǎn)品責(zé)任程序,包括產(chǎn)品召回程序及相關(guān)責(zé)任定義?N/ATotal Points17.068.0Element Rating (Total Score/Available Points)0.25COR 09.09.02Valid From:1.12.20049/52Statement

47、 of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to any third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT1.Management should systematically review the inputs and outputs to ensure the effectivenes

48、s and efficiency of the processes .2.Access control system to documents and product shall be established with considering in accordance with customer economic profit andinternal communication.3.Design, use and control of documentation should be evaluated with respect to the effectiveness and efficie

49、ncy.30COMMENTS2.0 Basic Management System1.Management should systematically review the inputs and outputs to ensure the effectiveness and efficiency of the processes .2.Access control system to documents and product shall be established with considering in accordance with customer economic profit an

50、dinternal communication.3.Design, use and control of documentation should be evaluated with respect to the effectiveness and efficiency.COR 09.09.02Valid From:1.12.200410/52Statement of Confidentiality:The contents of this report will be treated in strictest confidence and will not be disclosed to a

51、ny third party without written consent of the clientSUPPLIERS MANAGEMENTSYSTEM AUDIT REPORT1.Management should systematically review the inputs and outputs to ensure the effectiveness and efficiency of the processes .2.Access control system to documents and product shall be established with consider

52、ing in accordance with customer economic profit andinternal communication.3.Design, use and control of documentation should be evaluated with respect to the effectiveness and efficiency.303.0 Contract-, Design Review and QualityPlanningSubsystem Ratings0Achieved Points(0 to 4 points or N/A)Available

53、 Points(4 points or N/A)ObservationsNo.DescriptionContract and Business Review/合合同同和和商商業(yè)業(yè)評(píng)評(píng)估估1Does the company have proof of contract reviewelements?/公司是否有合同審核程序/要素的證明?2.04Contract review procedure is in placed divide as two kinds of mode, new product creation controlled by projectdepartment & m

54、ass production product handled by business department. Havent traceability history record for contractmodification. Suggest use version number for contract review.合同評(píng)審模式分為兩種,由項(xiàng)目工程部管控的新產(chǎn)品打樣和業(yè)務(wù)部管控的量產(chǎn).無合同修改追溯歷史記錄.建議合同評(píng)審使用數(shù)字標(biāo)示.2Does the company have in the contract review processroutines for accepting,

55、producing and delivering on theright revision?/在合同評(píng)審時(shí),是否包括接收,生產(chǎn)和運(yùn)輸?shù)某绦蛴谡_的版本中?3.04Contract review procedure is in place. Necessary information about packing & delivery etc exsit in contract reviewformat.審核表格中有合同評(píng)審程序必要的包裝交貨信息等.3Has the company routine to nominate businesscontact person(s) to consi

56、stently handle businessoperations between customer and the supplier?/公司是否指定專人來負(fù)責(zé)客戶和供應(yīng)商間的聯(lián)系?3.04Project department define contact window during project creation and mass production. Project engineer is the consistentwindow to customer. 在量產(chǎn)和工程打樣期間項(xiàng)目工程定義合同窗口.項(xiàng)目工程師是對(duì)應(yīng)客戶的一致窗口Development and Design Proces

57、s /發(fā)發(fā)展展和和設(shè)設(shè)計(jì)計(jì)4Does the company carry out product development inaccordance with documented flow charts withreference made to applicable procedures and/or qualityplans?/公司是否有以流程圖為基礎(chǔ)的產(chǎn)品發(fā)展的程序或品質(zhì)計(jì)劃?N/A5Does the company validate all development tools andsoftware and control them in accordance withdocument

58、ed procedures?/公司是否有文件程序確認(rèn)所有發(fā)展工具,軟件并進(jìn)行控制?N/A6Does the company have proof of design reviewelements?/公司是否有設(shè)計(jì)審核程序/要素的證明?N/AAdvanced Quality Planning/先先進(jìn)進(jìn)的的品品質(zhì)質(zhì)計(jì)計(jì)劃劃7Does the company have proof of Advanced QualityAssurance documentation (Flow Chart-, Control Plan-and FMEA- procedures should be in place)?

59、/公司是否有先進(jìn)的品質(zhì)保證文件的證明(流程圖,控制計(jì)劃和FMEA是否存在)?3.04All document will be prepared before mass production. E.g. control plan,PFMEA,flow chart etc. All doc should get approvalby customer before mass production.在量產(chǎn)前要準(zhǔn)備好所有文件.例如,控制計(jì)劃,PFMEA,流程圖等.量產(chǎn)前,所有的文件都應(yīng)得到顧客認(rèn)可.8Does evidence exist that the company providesadditi

60、onal attention (including corrective action), tocharacteristics which are 1.33Cpk 1.33 (long term) is achieved?/有無證據(jù)表明公司為達(dá)到要求,從1.33Cpk 1.33 (長(zhǎng)期)的工作?N/ANo need to do the Cpk test for PVD parts.PVD產(chǎn)品不需做CpK測(cè)試.9Does the company have connection between FMEAprocedure and claims handling process?/是否將FMEA聯(lián)系到投訴程序中?1.04Any