供應商現(xiàn)場評估報告QSM社會責任以及EHS（康寧）合

"序號

No.","審核主項

EvaluationCategory","審核子項

Evaluationsub-category","權(quán)重

Weight","子項評價

Sub-categoryevaluation",,"主項評價

EvaluationperCategory",,

,,,,"供應商自評得分

Supplierself-evaluationscore","康寧評估得分

Corningevaluationscore","主項小結(jié)""√""

SummaryperCategory""√“",,"說明

Remark"

,,,,,,"主項適用與否

Applicable(Yes/No)","主項評審結(jié)果

EvaluationResult",

1,"交期

LeadTime","樣品交期是否滿足要求

Doessampledeliverytimemeetrequirement",1,,,,,

2,,"量產(chǎn)品交期是否滿足要求

Doesmassproductiondeliverytimemeetrequirement",1,,,,,

3,"訂單評審

Orderreview","是否有客戶訂單評審流程？

Isthereacustomerorderreviewprocess?",1,,,,,

4,,"是否對客戶的需求進行評審并保存評審記錄？

Iscustomerdemandreviewedandrelevantdocumentsarchieved?",1,,,,,

5,,"評審結(jié)果是否及時反饋客戶得到客戶最終確認并保存相關(guān)記錄？

Isthereviewresultfedbacktocustomerintimetogetfinalconfirmationfromcustomer?Arerelevantrecordskept?",1,,,,,

6,"采購管理

Purchasingmanagement","是否建立有效的采購管理程序？

Isaneffectivepurchasemanagementprocedureestablished?",1,,,,,

7,,"產(chǎn)品采購的相關(guān)信息是否被準確及時傳遞到供應商？

（產(chǎn)品的規(guī)格、質(zhì)量要求、數(shù)量、價格、包裝方式等）

Istherelevantinformationofproductpurchasedaccuratelyandtimelydeliveredtosupplier?

(Productspecifications,qualityrequirements,quantity,price,packingmethod,etc.)",1,,,,,

8,,"采購訂單和/或合同是否得到有效的批準和存檔？

Arepurchaseordersand/orcontractseffectivelyapprovedanddocumented?",1,,,,,

9,,"采購訂單和/或合同是否被供應商確認并保留確認記錄？

Arepurchaseordersand/orcontractsconfirmedandretainededbysupplier?",1,,,,,

10,,"采購訂單和/或合同是否得到有效的跟蹤？

Arepurchaseordersand/orcontractseffectivelytracked?",1,,,,,

11,"供應商管理

Suppliermanagement","是否建立有效的供應商管理程序？

Isaneffectivesuppliermanagementprocedureestablished?",1,,,,,

12,,"是否有生效的合格供應商清單？

Isthereavalidapprovedsupplierlist?",1,,,,,

13,,"是否對供應商的新建、變更和取消進行有效管控？

Itthereeffectivecontrolonnewsupplier-adding,supplierchangeanddeactivation?",1,,,,,

14,,"是否有生效的年度供應商審核計劃并執(zhí)行？

Isthereavalidannualsupplierauditplan?Hastheauditplanbeenimplemented?",1,,,,,

15,,"對于供應商審核中發(fā)現(xiàn)的不符合項是否要求供應商提供改善措施并按時完成（需提供改善完成的相關(guān)依據(jù)）？

Issupplierrequiredtotakeimprovementactionswhenthere'sfinding?Doessupplierfinishimprovementactionsintimewithsupportingevidence?",1,,,,,

16,,"是否對關(guān)鍵供應商進行績效考核并保留相關(guān)記錄？

Arekeysupplierssubjecttoperformanceappraisalandrelevantrecordskept?",1,,,,,

17,,"供應商績效考核不達標的，是否要求供應商提供改善措施并按時完成？

Issupplierrequiredtotakeimprovementactionsandcompleteontimeifsupplierdoesnotpasstheperformanceappraisal?",1,,,,,

18,,"是否有成本節(jié)約計劃并執(zhí)行？

Isthereacostreductionplanavailableandimplemented?",1,,,,,

19,"計劃

倉儲

Planandwarehousing","是否對物料做預測和安全庫存管理？

Ismaterialforecastedandsafetyinventorymanaged?",1,,,,,

20,,"是否能提供前3個月的生產(chǎn)計劃達成率及對應的分析和改善記錄？

Aretheproductionplanon-timecompletionrateofthepast3monthsavailable?Doessupplieranalyzethedataandtakeimprovementactions(recordskept)?",1,,,,,

21,,"是否有建立自己的物流運輸？

Doyouhaveyourownlogisticstransportation?",1,,,,,

22,,"是否使用ERP系統(tǒng)（如使用，請注明）？

IsERPsystemused(ifyes,pleasespecify)?",1,,,,,

23,,"是否對不同產(chǎn)品進行區(qū)分存儲并張貼相應的標志？

Areproductsstoredinprescribedareasandlabeled?",1,,,,,

24,,"產(chǎn)品存儲環(huán)節(jié)是否得到有效防護？

Areproductseffectivelyprotectedduringstoraging?",1,,,,,

25,"社會責任及EHS

SocialresponsibilityandEHS","是否有強制勞動和/或招募童工？

Isthereforcedlaborand/orchildlabor?",0.5,,,,,

26,,"新/改/擴建項目是否按照法規(guī)要求辦理相關(guān)手續(xù)？如環(huán)境/職業(yè)健康/安全三同時（僅適用于中國供應商）

Arenew/renovation/expansionprojectsgothroughrelevantproceduresinaccordancewithregulations?SuchasEIA/SIA/HIA.(OnlyforChinesesuppliers)",0.5,,,,,

27,,"公司本年度是否收到生態(tài)環(huán)境局/應急管理局/消防等政府部門的處罰通知？

Hasthecompanyreceivedapenaltynoticefromthegovernmentdepartmentthisyear?",0.5,,,,,

28,,"是否按照法律法規(guī)要求對新員工實施EHS教育？

IsEHSeducationimplementedfornewemployeesasrequiredbylawsandregulations?",0.5,,,,,

29,,"特種作業(yè)和高風險作業(yè)崗位是否有相應的培訓記錄？

是否向員工提供了充足的個人防護設備？

Aretheretrainingrecordsforspecialandhighriskjobs?

IsadequatePPEprovidedtoemployees?

是否按照法律法規(guī)要求對特種設備進行檢定？（僅適用于中國供應商）

Hasthespecialequipmentbeenverifiedinaccordancewiththerequirementsoflawsandregulations?(OnlyforChinesesuppliers)",0.5,,,,,

30,,"公司是否組織對現(xiàn)場職業(yè)危害因素進行年度監(jiān)測？是否都達標？

Doesthecompanyorganizeannualmonitoringofon-siteoccupationalhazards?Aretheyalluptostandard?",0.5,,,,,

31,,"是否對員工實施職業(yè)病體檢？職業(yè)禁忌證員工是否調(diào)崗？是否無職業(yè)病案例？（僅適用于中國供應商）

Areoccupationaldiseaseexaminationsperformedonemployees?Areemployeeswithoccupationalcontraindicationstransferred?Aretherenocasesofoccupationaldisease?(OnlyforChinesesuppliers)",0.5,,,,,

32,,"是否已經(jīng)根據(jù)法律法規(guī)的要求制定管理、跟蹤和報告職業(yè)傷害與疾病的程序并執(zhí)行？

Areproceduresestablishedandimplementedtomanage,trackandreportoccupationalinjuriesandillnessesasrequiredbyapplicablelawsandregulations?",0.5,,,,,

33,,"是否有有效的?；饭芾沓绦颍ê；非鍐危┎⒂行?zhí)行？

Isthereaneffectivehazardouschemicalmanagementprocedureinplace(includingthelistofhazardouschemicals)?Isthisprocedureimplemented?",0.5,,,,,

34,,"公司是否按照法規(guī)要求辦理排污許可證？季度及年度排污是否上報？（僅適用于中國供應商）

Doesthecompanyapplyforapollutantdischargepermitinaccordancewithregulations?Arequarterlyandannualemissionsreported?(OnlyforChinesesuppliers)

廢水、廢氣、噪音排放是否符合法規(guī)標準限值？是否每年監(jiān)測？

Dowastewater,exhaustemissions,andnoisecomplywithregulatorystandardlimits?Isitmonitoredannually?",0.5,,,,,

35,,"是否有危險廢棄物產(chǎn)生？

是否對危險廢棄物進行合規(guī)的處置？

Isthereanyhazardouswastegenerated?

Ishazardouswastedisposedincompliancewithlawsandregulations?",0.5,,,,,

36,,"是否制定相應政策來合理確保生產(chǎn)或購買的產(chǎn)品中的沖突地區(qū)礦物（如錫、鎢和黃金）不直接或間接的為剛果民主共和國或其任何毗鄰國家存在嚴重侵犯人權(quán)行為的武裝團體提供資金或使其收益？

是否愿意根據(jù)顧客要求提供盡職調(diào)查措施？

Arepoliciesestablishedtoreasonablyensurethatmineralsofconflictarea(suchastin,tungstenandgold)inproductsproducedorpurchaseddonotdirectlyorindirectlyfinanceorbenefitarmedgroupsintheDemocraticRepublicoftheCongooranyofitsneighboringcountriesthatarecommittingserioushumanrightsviolations?

Areyouwillingtoprovideduediligenceuponcustomerrequest?",0.5,,,,,

"序號

No.","審核主項

EvaluationCategory","審核子項

Evaluationsub-category","權(quán)重

Weight","子項評價

Sub-categoryevaluation",,"主項評價

EvaluationperCategory",,

,,,,"供應商自評得分

Supplierself-evaluationscore","康寧評估得分

Corningevaluationscore","主項小結(jié)""√""

SummaryperCategory""√“",,"說明

Remark"

,,,,,,"主項適用與否

Applicable(Yes/No)","主項評審結(jié)果

EvaluationResult",

1,"生產(chǎn)人員能力管理

Productionpersonnelcapabilitymanagement","培訓和認證

Trainingandcertification",0.5,,,,,

2,,"應急處理

Emergencymanagement",0.5,,,,,

3,"工程變更管理

Engineeringchangemanagement","工程變更的流程執(zhí)行

Processexecutionofengineeringchanges",0.5,,,,,

4,,"執(zhí)行有效性追蹤

Executivevaliditytracking",0.5,,,,,

5,,"非立即切換的管理

Non-immediateswitchingmanagement",0.5,,,,,

6,"產(chǎn)品標示

Productlabeling","定義所有物料、半成品、成品的標識要求

Definelabellingrequirementsforallmaterials,semi-finishedproductsandfinishedproducts",0.5,,,,,

7,"追溯管理

Tracibilitymanagement","成品追溯能力（含生產(chǎn)日期、線別等）

Finishedproducttraceability(includingproductiondate,productionline,etc.)",0.5,,,,,

8,,"組裝制程追蹤、監(jiān)督機制

Assemblyprocesstrackingandsupervisorymechanism",0.5,,,,,

9,"制程設計與驗證

Processdesignandvalidation","關(guān)鍵部件自主生產(chǎn)能力、外發(fā)工藝管理能力

Independentproductioncapacityofkeycomponentsandoutsourcingprocessmanagementcapability",0.5,,,,,

10,,"設備、工裝治具管理

Equipment,toolingandfixturemanagement",0.5,,,,,

11,,"特殊車間/環(huán)境管理

Specialworkshop/environmentalmanagement",0.5,,,,,

12,"質(zhì)量控制計劃

Qualitycontrolplan","PFMEA或類似質(zhì)量工具經(jīng)驗積累

PFMEAorsimilarqualitytoolexperience",0.5,,,,,

13,,"關(guān)鍵參數(shù)/特性的定義，監(jiān)測和處理

Definition,monitoringandhandlingofkeyparameters/characteristics",0.5,,,,,

14,,"檢驗程序與檢驗標準有效性

Effectivenessofinspectionproceduresandstandards",0.5,,,,,

15,,"測量系統(tǒng)評估

Measurementsystemassessment",0.5,,,,,

16,,"返工/重工確認

Reworkconfirmation",0.5,,,,,

17,,"量產(chǎn)可靠性管理程序、計劃與實施

Massproductionreliabilitymanagementprocedure,planningandimplementation",0.5,,,,,

18,"作業(yè)文件管理

OperationalDocumentmanagement","與質(zhì)量控制計劃的銜接

Connectionwithqualitycontrolplan",0.5,,,,,

19,,"SOP和現(xiàn)場實施管理

SOPandfloorimplementationmanagement",0.5,,,,,

20,,"SOP內(nèi)容有效性

effectivenessofSOPcontent",0.5,,,,,

21,"制程能力分析

Processcapabilityanalysis","Cpk分析

Cpkanalysis",0.5,,,,,

22,"異常管理

Abnormitymanagement","異常啟動目標設定和執(zhí)行

Abnormitystartupgoalsettingandexecution",0.5,,,,,

23,,"異常處理時效性

Abnormityhandlingtimeliness",0.5,,,,,

24,,"不合格品圍堵機制

Containmentmechanismfornonconformingproducts",0.5,,,,,

25,,"不合格品處置、確認機制

Disposalandconfirmationmechanismofnonconformingproducts",0.5,,,,,

26,,"異常改善效果驗證和確認

Verificationandvalidationofabnormityimprovement",0.5,,,,,

27,,"預防措施（FMEA的銜接）

Preventiveactions(connectionwithFMEA)",0.5,,,,,

28,,"客訴處理

Customercomplainthandling",0.5,,,,,

29,"數(shù)據(jù)管理

Datamanagement","數(shù)據(jù)收集定義

Datacollectiondefinition",0.5,,,,,

30,,"失效數(shù)據(jù)收集和分析

Failuredatacollectionandanalysis",0.5,,,,,

31,,"數(shù)據(jù)趨勢管理

Datatrendmanagement",0.5,,,,,

32,"5S管理

5Smanagement","5S以及可視化管理

5Sandvisualmanagement",0.5,,,,,

33,"設備和保養(yǎng)

Equipmentandmaintenance","工裝，設備驗收和能力評估

Toolingandequipmentacceptanceandcapabilityassessment",0.5,,,,,

34,,"預防性保養(yǎng)是否按時完成（含校準）

Whetherpreventivemaintenanceiscompletedontime(includingcalibration)",0.5,,,,,

35,"包裝、運輸與倉儲

Packaging,transportationandstorage","包裝防漏混裝措施

Packageleakageandmixingpreventionmeasures",0.5,,,,,

36,,"倉庫管理

Warehousemanagement",0.5,,,,,

37,,"配料管理

Burdeningmanagement",0.5,,,,,

38,"持續(xù)改善

Continuousimprovement","改善項目管理

Improvementprojectmanagement",0.5,,,,,

39,,"組織、流程和能力

Organization,processandcapability",0.5,,,,,

40,"質(zhì)量手冊

Qualitymanual","質(zhì)量管理體系文件是否包含了質(zhì)量手冊？

DotheQMSdocumentscontainaqualitymanual?",0.5,,,,,

41,,"質(zhì)量手冊是否定義了質(zhì)量管理體系的范圍？

Doesthequalitymanualdefinescopeofthequalitymanagementsystem?",0.5,,,,,

42,,"質(zhì)量手冊是否包含了質(zhì)量管理體系所建立的程序文件或?qū)ζ湟茫?/p>

Doesthequalitymanualcontainorrefertotheestablishedproceduresofthequalitymanagementsystem?",0.5,,,,,

43,"管理評審

Managementreview","供貨商是否在一個適合的時間間隔評審質(zhì)量管理體系并記錄，以確保其持續(xù)的適宜性、充分性和有效性？

Doessupplierreviewandrecordthequalitymanagementsystematanappropriateintervaltoensureitscontinuedsuitability,adequacyandeffectiveness?",0.5,,,,,

44,,"管理評審是否包含了質(zhì)量目標的達成狀況和顧客的回饋？

Doesmanagementreviewincludetheachievementofqualityobjectivesandcustomerfeedback?",0.5,,,,,

45,,"管理評審是否包含了審核的結(jié)果,過程的表現(xiàn)和產(chǎn)品的一致？

Doesmanagementreviewincludeauditresults,processperformanceandproductconsistency?",0.5,,,,,

46,,"管理評審是否包含了預防和改善對策的狀況和上次管理評審的后續(xù)對策？

Doesmanagementreviewincludestatusofpreventiveandcorrectiveactionsandfollow-upactionsfromthelastmanagementreview?",0.5,,,,,

47,,"管理評審是否包含了對質(zhì)量管理體系和與顧客要求有關(guān)的產(chǎn)品改善的建議？

Doesmanagementreviewincluderecommendedimprovementsrelatedtoqualitymanagementsystemandproductsrelatedtocustomerrequirements?",0.5,,,,,

48,"內(nèi)部與外部審核

Internalandexternalaudit","供貨商是否定義了內(nèi)部審核程序并規(guī)定了策劃和實施審核的標準，范圍，頻率，模式和職責？

Doessupplierestablishinternalauditprocedureanddefinethecriteria,scope,frequency,patternsandresponsibilitiesforauditplanning&implementation?",0.5,,,,,

49,,"供貨商是否按計劃的時間間隔進行內(nèi)部審核,報告其審核發(fā)現(xiàn)并保存審核記錄？

Doessupplierconductinternalauditsatscheduledintervals,reportthefindingsandkeepauditrecords?",0.5,,,,,

50,,"內(nèi)部審核是否考慮擬審核的過程、區(qū)域的狀況和重要性以及以往審核的結(jié)果？

Aretheprocessestobeaudited,areastatusandimportanceandpreviousauditresultsconsideredintheinternalaudit?",0.5,,,,,

51,,"審核員是否有足夠的資格認可并保證了審核過程的客觀性和公正性？

（例如︰審核員不能審核他們自己的工作）

Areauditorsadequatelyqualifiedtoensuretheobjectivityandfairnessoftheaudit?

(Example:auditorscannotaudittheirownwork)",0.5,,,,,

52,,"供貨商是否及時采取措施以消除內(nèi)部審核中發(fā)現(xiàn)的不合格及其產(chǎn)生的原因并驗證所采取對策和報告結(jié)果？

Doessuppliertaketimelyactiontoeliminatethenonconformitiesfoundduringinternalauditandthecorrespondingcauses?Areactionstakenverified?Areverificationresultsreported?",0.5,,,,,

53,,"供貨商是否進行過外部審核(第二方審核或第三方審核),審核的結(jié)果是否已經(jīng)從系統(tǒng)面進行分析改善？

Hassupplierconductedexternalaudit(second-partyorthird-partyaudit)?Doessuppliersystematicallyanalyzeauditresultandtakeimprovementactions?",0.5,,,,,

54,"文件控制

Documentcontrol","供貨商是否定義了在文件發(fā)布前應由權(quán)責人審核及批淮來保證文件的正確性？

Doessupplierdefinethatdocumentshouldbereviewedandapprovedbytheresponsiblepersonbeforereleasingtoensurethecorrectnessofthedocument?",0.5,,,,,

55,,"供貨商是否定義了在必要時對文件進行評審、更新并再次批準的流程？

Doessupplierdefineaprocessforreviewing,updating,andreapprovingdocumentswhennecessary?",0.5,,,,,

56,,"供貨商是否清楚地識別了其文件的現(xiàn)行版本狀態(tài)？

Doessupplierclearlyidentifycurrentversionofitsdocuments?",0.5,,,,,

57,,"文件控制程序是否定義了有效文件的相關(guān)版本是可被獲得使用？

Doesdocumentcontrolproceduredefinethattherelevantversionsofavaliddocumentareavailableforuse?",0.5,,,,,

58,,"供貨商是否定義了對外來文件的識別和控制其分發(fā)的流程？

Doessupplierdefineaprocessforidentifyingexternaldocumentsandcontrollingtheirdistribution?",0.5,,,,,

59,,"供貨商是否定義了作廢文件的識別和防止其被非預期使用的流程？

Doessupplierdefineaprocessforidentifyingobsoletedocumentsandpreventingtheirunintendeduse?",0.5,,,,,

60,,"供貨商是否定義了對臨時文件的使用和管控流程及其有效期限？

Doessupplierdefineaprocessfortheuseandcontroloftemporarydocumentsincludingtheirexpirationdate?",0.5,,,,,

"序號

No.","審核主項

EvaluationCategory","審核子項

Evaluationsub-category","權(quán)重

Weight","子項評價

Sub-categoryevaluation",,"主項評價

EvaluationperCategory",,

,,,,"供應商自評得分

Supplierself-evaluationscore","康寧評估得分

Corningevaluationscore","主項小結(jié)""√""

SummaryperCategory""√“",,"說明

Remark"

,,,,,,"主項適用與否

Applicable(Yes/No)","主項評審結(jié)果

EvaluationResult",

1,"研發(fā)能力

R&Dcability","研發(fā)人員配備，研發(fā)設計能力

R&DpersonnelandR&Ddesigncapability",1,,,,,

2,,"是否有積極配合Corning選型,確保進度

WhetherCorningspecfinalizationissupportedactivelytoensuretheprogress",2,,,,,

3,,"材料開模能力,開模周期,模具管理

Moldmanufacturingcapabilityanditsleadtimeaswellasmoldmanagement",2,,,,,

4,,"風險評估能力（DFMEA）

Riskassessmentcapability(DFMEA)",1,,,,,

5,,"關(guān)鍵材料/零部件承認能力

Validationcapabilityofkeymaterials/parts",1,,,,,

6,"樣品制作能力

Samplemakingcapability","工程原材料庫管理,樣品管控

Engineeringrawmaterialwarehousingmanagementandsamplecontrol",2,,,,,

7,,"前期打樣