供应商品质系统稽核表　自评稽核用

十三、产品HSPM管理ProductHSPMmanagement,,,,符合比率(Avgscore):[,#DIV/0!,],Counts:,0

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"序号

NO.","审核依据

Item","审核内容

AuditContents","审核方法

Records","审核结果记录

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131,"4.1理解组织及其环境Understandtheorganizationanditsenvironment

","公司是否识别、确定影响其HSPM体系实现HSF目标预期结果的各种外部和内部因素？是否对这些外部和内部因素的相关信息进行监视和评审？

DoesthecompanyidentifyanddeterminevariousexternalandinternalfactorsinfluencingtheHSPMsystemachieveHSFgoal'sexceptedresult?Whethermonitorandreviewtherelevantinformationoftheexternalandinternalfactors?",外部因素:客户HSF规格&法律法规识别;内部因素:HS风险识别表Externalfactors:CustomerHSFSpec.andrelatedlawandregulation'sidentificationInternalfactor:HSriskidentificationtable,,,,,

132,4.2理解相关方的需求和期望Understandtheneedsandexpectationsofrelatedparties,"公司是否确定了与HSPM体系有关的所有相关方的HS和相关要求？是否持续监视和评审环境法律法规要求，以及WUS等相关方HS要求的更新信息？

DoesthecompanydeterminethehazardoussubstanceandrelatedrequirementsofallpartiesinvolvedintheHSPMsystem?WhethercontinuouslymonitorandreviewenvironmentallawsandregulationsandupdatedHSinformationrequiredbyWUSandotherparties?","客户HSF规格清单&法律法规清单

CustomerHSFspecificationlist&lawsandregulationslist",,,,,

133,"6.2.1HSF目标

HSFgoal","公司是否已建立HSF目标？HSF目标是否包含减少或消除过程或产品中已识别和使用的有害物质的时间表？

HasthecompanyestablishedHSFgoal?Doesthegoalincludeatimelinetoreduceoreliminateidentifiedandusedhazardoussubstancesintheprocessorproduct?","查阅相关文件和HS消减计划

RefertorelevantdocumentsandHSreductionplan",,,,,

134,"7.2能力

Competency","如何确保从事影响产品HSF岗位的人员是能够胜任的？是否制定了相应的岗位任职要求以确保人员的能力？

HowtoensurethatthepeopleintheHSFpositionsaffectingtheproductarecompetent?

Arethejobrequirementsestablishedtoensurethecompetencyofthestaff?","查阅岗位职责说明书

Refertothejobdescription",,,,,

,,"是否有按计划对人员进行相应的培训，如何评价培训的有效性，实际培训效果如何？是否保持了相关的教育、培训、技能和经验的记录？Doyouhavethecorrespondingtrainingforthepersonnelasplanned,howtoevaluatetheeffectivenessofthetraining,andwhatistheactualtrainingeffect?Arerecordsofrelevanteducation,training,skillsandexperiencemaintained?","查阅培训记录

Refertotrainingrecords",,,,,

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"序号

NO.","审核依据

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AuditContents","审核方法

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AuditEvidences/FindingsDescription",,,,"得分

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135,7.1资源Resources,"公司是否有根据已确定的HSF要求配置测试设备？是否有按照国际或国家测量标准对测量设备进行校准或验证？是否有设备的操作说明和判定标准？

IsthecompanyequippedwiththetestequipmentaccordingtotheconfirmedHSFrequirements?Isthemeasuringequipmentcalibratedorvalidatedaccordingtointernationalornationalmeasurementstandards?Arethereoperatinginstructionsandcriteriafortheequipment?","查阅校准和点检记录

Refertothecalibrationandcheckrecord",,,,,

136,"8.2.1顾客沟通

Customercommunication

","当内外部客户投诉有害物质不合格时，公司是否有制定应急措施来沟通、处理、解决问题？

Wheninternalandexternalcustomerscomplainabouttheunqualifiedhazardoussubstances,doesthecompanyhavetheemergencyactiontocommunicate,handleandsolveproblems?","查阅文件、应急计划

Refertodocuments,EmergencyResponsePlan",,,,,

137,"8.4.2控制类型和程度Controltypeandlevel

","公司是否只从合格供应商处采购确认过的HSF产品和服务？是否与供应商签署了有关的产品HSF环保协议？

IsthecompanyonlypurchasingconfirmedHSFproductsandservicesfromqualifiedsuppliers?HaveyousignedtherelevantHSFenvironmentalprotectionagreementwiththesupplier?","查阅采购订单、合格供应商名册、环保协议Refertopurchaseorders,Qualifiedsupplierlist、EnvironmentalProtectionAgreement",,,,,

,,公司文件是否有规定对供应商进行HSF符合性稽核，并有按文件规定进行实施？当供应链发生变更时，是否有规定对供应商及供货产品的符合性重新进行确认？DoesthecompanydocumentprovideforanHSFcomplianceauditofthesupplierandimplementitaccordingtothedocument?Istherearequirementtoreconfirmsupplierandproductcompliancewhensupplychainchanges?,"查阅文件、供应商稽核报告

Refertodocumentsandsupplierauditreports",,,,,

138,8.4.3提供给外部供方的信息Informationprovidedtoexternalsuppliers,"公司是否有要求供应商提交供货产品的第三方HSF测试报告并在交货时张贴正确的HSF符合性标识？

Doesthecompanyrequiresupplierstosubmitproduct'sthird-partyHSFtestreportandpostthecorrectHSFcompliancemarkondelivery?","查阅供应商HSF测试报告明细、现场确认

ChecksupplierHSFtestreportdetailsandon-siteconfirmation",,,,,

139,8.5.1生产和服务提供的控制Productionandservicecontrol,"公司对RoHS和非RoHS产品，有卤和无卤产品是否有区分生产？是否采取有效措施(如分线生产、清线清洗、产品验证等)避免制程中有害物质交叉污染？IsthereadistinctionproducingbetweenROHSandNon-RoHsproducts,halogenandnon-halogenproducts?Doyoutakeeffectiveaction(suchasdividinglineproduction,cleaning,productverification,etc.)toavoidcrosscontaminationofhazardoussubstanceintheprocess?","查阅文件,管控记录和现场作业

Refertodocuments，recordsandon-sitework",,,,,

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"序号

NO.","审核依据

Item","审核内容

AuditContents","审核方法

Records","审核结果记录

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140,"8.5.2标识和可追溯性

Identificationandtraceability","公司是否按照有害物质控制方面的要求标识产品？产品是否有可追溯的唯一输出标识？Doesthecompanypostlabelonproductsfollowingtherequirementofhazardoussubstancecontrol?Doestheproducthavetraceableuniqueoutputidentification?

","查阅文件和现场作业

Refertodocumentsandon-sitework",,,,,

141,"9.1监视、测量、分析和评价Monitoring,measurement,analysisandevaluation","是否有在各个阶段制定了有害物质的测试频率,包括来料、制程、成品？是否有按要求执行测试并对测试数据进行分析和评价？

Isthetestfrequencyofhazardoussubstancedevelopedateachstageincludingincoming,manufacturingprocessandfinishedproduct?IsHSFtestperformedasrequired?Istestdataanalyzedandevaluated?","查阅文件和现场作业

Refertodocumentsandon-sitework",,,,,

142,"8.5.6更改控制

Changecontrol","公司是否有对可能改变产品HSF特性的更改进行评审、验证（必要时）和控制，以确保对HSF要求的持续符合性？

Doesthecompanyreview,verify(ifnecessary)andcontrolchangesthatmayaltertheproduct'sHSFcharacteristicstoensurecontinuedconformitytoHSFrequirements?","查阅文件和有关记录

Refertodocumentsandrecords",,,,,

143,"8.7不合格输出的控制

Nonconformingoutputcontrol","公司是否对有害物质不合格产品进行识别，将其与合格产品隔离，并防止误用或误交付？

DoesthecompanyidentifyHSnonconformingproduct,isolateitfromqualifiedproduct,andpreventmisuseordelivery?","查阅现场作业和有关记录

Refertoon-siteworkandrelevantrecords",,,,,

,,"如果在交付后