美国康普公司风险管理系统

,,,,,,ExistingSupplierRiskAssessment

,,,,,,CTV-74-005-11

,,,,,,11-11月-13

Date:,,SupplierName/Location,RiskScore,AuditScore,Risk,SQEREP/PROCUREMENTREP/SUPPLIERREP

,,,42,10,LowRisk,

Objective:ToidentifytheRiskofEXISTINGSuppliers.ThisisaCHECKLISTthatshouldbeconductedatthedesignatedfrequencyasdeemedperthelastRiskAssessmentorfornewbusinessduringsupplierselectionprocess,,,,,,

#,"Category

分类","Criteria

标准","Rating

评分","SupplierRiskScorefromPre-AssessmentCall

预评风险评分","SupplierAuditScoreAfterOn-SiteAudit

现场评定","Comments

备注"

1,"ProductComplexity

产品复杂性","DieCasting&Milling;FiberglassFabrication;OpticalElectronics;Components;Plating;PCBA;PCB;VacuumForming

压铸，研磨，玻璃纤维，光学电子，零件，电镀，PCBA，PCB，真空成型",3,0,UsePre-AssessmentScore,

,,"CableMfg-Aramid,EGlass,Ripcords;Cables;CNCTurningandMilling;CopperandCopperProducts;ConnectorizedCableAssyandWireHarness;FabricRadomes,Absorbers,Waveguide;FiberGlass;Hardware(Fasteners);IntegratedCircuits,HighSpeed,Programmed;MMIC,FET'sTransistors;Molding;PowerModuleandSupplies;SheetMetalFabrication;Steel

电缆制造，电缆，CNC，研磨，铜制品，电缆连接和线束，布罩体，减震器，波导，玻璃纤维，五金紧固件，集成电路，高速产品，编程，微波单片集成电路，场效应晶体管，晶体管，模具，电源模块，钣金加工，钢铁",2,,0,

,,"AluminumProducts;Accessories;FrequencyControlDevices,SAWFilters,Oscillators;GalvanizedSteel;MetalStamping;OEMConnectors;Packaging;PassiveComp,Couplers,Capacitors,Hybrids,Terminations

铝制品，配件，频率控制设备，滤波器，振荡器，镀锌板，冲压，OEM连接器，包装，无源元件，耦合器，电容器，端子",1,,,

,,,,,,,

2,"ProcessComplexity

过程复杂性","design

设计",1,2,UsePre-AssessmentScore,

,,"sourcematerials

原始材料",1,,2,

,,"operationsinhouse

场内运营",1,,,

,,"subcontractingoperations

分包运营",1,,,

,,"toolmanufacturing&maintenance

工具制造和维护",1,,,

,,,,,,,

3,"EnvironmentalandOccupationalRisk

环境和职业性危害","processingchemicals;metalfabrication-milling,pressing,welding,coating,plating

化学品操作，金属加工-研磨，冲压，焊接，涂装，电镀",3,2,UsePre-AssessmentScore,

,,"Examples:DieCasting&Milling;Plating;CNCTurningandMilling;CopperandCopperProducts;Hardware(Fasteners);SheetMetalFabrication;Steel;AluminumProducts;GalvanizedSteel;MetalStamping;FiberglassFabrication;FiberGlass;PCBManufacturing;

压铸和研磨，电镀，车削和铣削，铜和铜制品，紧固件，金属板材加工，钢材，铝制品，镀锌板，金属冲压，玻纤制造，玻璃纤维，PCB制造",,,2,

,,"packaging;woodcuttingandassy;cardboardpressing;plastic-compounding,molding;cablemanufacturing;electroniccomponentsmanufacturing

包装，木材切割和组装，纸板压合，塑料-合成、模具注塑，电缆制造，电子元件制造",2,,,

,,"Examples:CableMfg-Aramid,EGlass,Ripcords;Cables;FabricRadomes,Absorbers,Waveguide;MMIC,FET'sTransistors;Molding;OEMConnectors;Packaging;PassiveComp,Couplers,Capacitors,Hybrids,Terminations;OpticalElectronics;VacuumForming;Components

电缆制造-芳纶、玻璃、索线，电缆，布罩体，减震器，波导，单片微波集成电路，晶体管，模塑，OEM连接器，包装，无源器件，耦合器，电容器，端子，光学电子，真空成型，元器件",,,,

,,"assembly-manual,automatic

组装-手工、自动化",1,,,

,,"PCBA;ConnectorizedCableAssyandWireHarness;IntegratedCircuits,HighSpeed,Programmed;PowerModuleandSupplies;FrequencyControlDevices,SAWFilters,Oscillators;

PCBA，电缆连接和线束，集成电路，高速集成电路，程序模块，电源模块，频率控制设备，滤波器，振荡器",,,,

,,,,,,,

4,"Location,Labor&Ethics

地址，劳动力","AsiaorIndia

亚洲or印度",5,5,UsePre-AssessmentScore,

,,"Mexico

墨西哥",3,,5,

,,"NorthAmericaorEurope

北美or欧洲",1,,,

,,,,,,,

5,"RegulatoryCompliance

法规遵从","Morethanonefine/violationinthepast12months

过去12个月里有超过一次的罚款或违规",3,1,UsePre-AssessmentScore,

,,"Onefine/violationwithinthepast12months

过去12个月里有一次的罚款或违规",2,,1,

,,"Nofine/violationinthepast12months

过去12个月里没有罚款或违规",1,,,

,,,,,,,

6,"Design(whereapplicable)

设计（如果适用）","Supplierdoesnotperformdesignfunctions

供应商没有设计部门",N/A(score0),0,,

,,"Supplierperformsdesignfunctionsbuthasnodefinedprocess

供应商有设计职能部门，但是没有定义程序",5,,,

,,"supplierhasdefinedprocessincludingrequirementsforvalidation&approvalofdesignpriortoreleasetomanufacturing

供应商定义了在量产前包括设计验证、批准的要求的程序",3,,,

,,"Supplierhasdefinedprocessincludingmultiplephases,gatereviews,requiredinputsforeachgatereviewandrequiredapprovals

供应商定义了各个设计阶段，节点评审，各节点输入评审和批准要求",1,,,

,,,,,,,

7,"CustomerQualityMetric(defectsrecordedorPPM's)

客户质量度量（不合格记录或PPM）","Nogoal,nometric

没有目标没有度量",4,2,,

,,"Metric,nogoal

有实际的度量但是没有目标",3,,,

,,"Metricandgoalbutnoevidenceofreactionplan

有目标和度量统计但是没有反应计划",2,,,

,,"Metric,goal,meetinggoalandevidenceofreaction

有目标和实绩，也有反应计划的证据",1,,,

,,,,,,,

8,"SupplierManagement

供应商管理","Nosupplierprocessforselectionormanagement-basedoncostonly

没有供应商选择和管理的程序文件-仅仅基于成本",4,2,,

,,"Selectionbasedoncostonlywithsuppliermanagementprocess

供应商管理程序中选择供应商仅基于成本",3,,,

,,"Supplierselectionprocessbasedoncostandqualityassessment(productconformance,serviceandfeedback)&SupplierManagement

供应商选择基于成本和质量评估（产品一致性，服务反馈），供应商管理",2,,,

,,"Selection/Qualification,managementanddisqualification(reaction)process/procedure

选择和资格赋予，管理和资格取消有流程定义",1,,,

,,,,,,,

9,"ToolingControls(whereapplicable)

工具管理（如果适用）","NotApplicable

不适用",N/A(score0),0,,

,,"Alltoolingrequirementsareoutsourced

所有的工具需求都是外包的",5,,,

,,"Capableofin-housetoolingrepairandmaintenance

具备内部修理和维护的能力",3,,,

,,"Capableofinhousetoolingdesign,fabrication,repairandmaintenance

具备内部工具设计，制造，修理和维护的能力",1,,,

,,,,,,,

10,"InternalQualityMeasurables

内部质量量测","nointernalqualitymeasures

没有内部质量度量",3,1,,

,,"measureswithgoals

设定了目标且据其进行量测",2,,,

,,"measureswithgoalsandactionplans

设定了目标且据其进行量测并且有相应的对策",1,,,

,,,,,,,

11,"IdentificationandTraceability(showstopperifsupplierscores5or6inthisarea)

识别和追溯","Nosystemforidentificationortraceability

没有识别和追溯系统",6,3,,

,,"Systeminplacebutnotthroughthewarrantyperiod

建立了系统但是不能覆盖到质保期",5,,,

,,"FG(deliverytocustomerPO),materialidentifiedperindustrystandards

成品（交货订单号），根据行业标准进行材料的识别",4,,,

,,"FG(lotnumber),FG(deliverytocustomerPO),materialidentifiedperindustrystandards

成品（批次号，订单号），根据行业标准进行材料的识别",3,,,

,,"FG(deliverytocustomerPO),FG(lotnumber),WIP(mfgline,operator,datemfg),materialidentifiedperindustrystandards

成品（交货订单号，批次号），在线品（生产线，作业员，制造日期），根据行业标准进行材料的识别",2,,,

,,"FG(deliverytocustomerPO),FG(lotnumber),WIP(mfg,line,operator,datemfg),RawMaterial(lotnumbers),materialidentifiedperindustrystandard

成品（交货订单号，批次号），在线品（生产线，作业员，制造日期），原材料（批次），根据行业标准进行材料的识别",1,,,

,,,,,,,

12,"CustomerDelivery

客户交付","Nogoal,nometric

没有目标，没有度量",4,1,,

,,"Metric,nogoal

有度量但是没有目标",3,,,

,,"Metricandgoalbutnoevidenceofreactionplan

有目标和度量统计但是没有反应计划",2,,,

,,"Metric,goal,meetinggoalandevidenceofreaction

有目标和实绩，也有反应计划的证据",1,,,

,,,,,,,

13,"OrganizationStructure(Training)

组织结构（培训）","Onthejobtrainingonly,noprocessorstructure

仅有岗位培训，没有过程和结构",3,2,,

,,"Procedure,jobdescriptionspresentandonthejobtrainingbutnomeasureofeffectiveness

有程序定义工作描述，在职培训和岗位培训，但是没有进行有效性验证",2,,,

,,"Structure(procedure),jobdescriptionincludesjobrolerequirements,demonstrationofskillsandapproval,effectivenessoftraining

有程序定义结构工作职责，工作要求，技能评估",1,,,

,,,,,,,

14,"ChangeManagement

变更管理","Nochangemanagementprocessinplace

没有变更管理程序",3,3,,

,,"ProcessdefinesMajorversusMinorandrequiresinternalapprovalofchange

过程定义了主要和次要的和需要内部批准的变更",2,,,

,,"ChangemanagementproceduredefinesMajorversusMinor;defineswheninternalapprovalsarerequiredversuswhenbothinternalandcustomerapprovalsarerequired

定义了主要和次要，定义了何时需要内部批准，何时需要内部以及客户同时批准",1,,,

,,,,,,,

15,"InspectionandTesting

检验和测试","EndofLine(FinishedGoods)Only

仅对产品进行线尾检验",4,1,,

,,"EndofLineandIn-Process(ControlPlans)

进行成品线尾检验和过程检验（控制计划）",3,,,

,,"EndofLine,In-ProcessandReceivingInspection

线尾检验，过程检验和进货检验",2,,,

,,"EndofLineandIn-ProcessandReceivingInspectionalongwithInprocessauditsforProcessinputs

线尾检验，过程检验，进货检验伴随过程审核",1,,,

,,,,,,,

16,"Calibration

校准","NocalibrationProcess

没有校准程序",3,2,,

,,"Calibrationoftestequipment

对测试设备进行校准",2,,,

,,"Calibrationoftestandprocesscontrolequipment

对测试设备和过程控制设备进行校准",1,,,

,,,,,,,

17,"ControlofNonconformingProduct

不合格品控制","NoControlofNonconformingProductProcess

没有不合格品控制程序",3,2,,

,,"Gapsinidentification,segregation,and/orreviewanddispositionofnonconformingproduct

在识别，区分，评审，处理不合格品中有缺失",2,,,

,,"ProcesstoIdentify,Segregate,ReviewandDisposeofnon-conformingproduct

有程序定义不合格品的识别，区分，评审和处置流程",1,,,

,,,,,,,

18,"Storage,Handling,PackagingandProtection

仓储操作，包装和防护","Nosystemorapproachevidenttopreventdegredationofmaterials

对于材料的防护没有系统或方法",5,4,,

,,"Environmentalconditionssuitabletopreventdegregationofmaterialquality

环境条件适合于材料的防护以保证质量",4,,,

,,"EnvironmentalconditionssuitabletopreventdegregationofmaterialqualityplusFIFOinplace

环境条件适合于材料的防护以保证质量，同时有FIFO",3,,,

,,"EnvironmentalconditionssuitabletopreventdegregationofmaterialqualityplusFIFOinplaceandadequatefacilitiesformaterialmovementwithoutintroducingpotentialrisk

环境条件适合于材料的防护以保证质量，进行FIFO管理，有充足的设备设施进行材料的周转且没有潜在的风险",2,,,

,,"EnvironmentalconditionssuitabletopreventdegregationofmaterialqualityplusFIFOinplaceandadequatefacilitiesformaterialmovementwithoutintroducingpotentialriskandsuitabledesignedpackagingthatpreventspotentialtransitrisk

环境条件适合于材料的防护以保证质量，进行FIFO管理，有充足的设备设施进行材料的周转且没有潜在的风险，同时有设计适当的包装来规避潜在的周转风险",1,,,

,,,,,,,

19,"ProblemSolving

问题解决","NoProcess,NoSkills

没有问题解决的流程以及技能工具",3,2,,

,,"DedicatedResourcesthataddresssupplierandcustomerissues

有专门的资源处理供应商和客户问题",2,,,

,,"DedicatedResourcesthataddresssupplierandcustomerissuesandcontinuousimprovementplanningandexecution

有专门的资源处理供应商和客户问题，有持续改善计划和执行实绩",1,,,

,,,,,,,

20,"RequirementsandSpecifications

要求和规范","Supplierisnotinpossessionofmostrecentdrawings/specifications

供应商没有最新的图纸或规范",1,0,,

,,"Supplierisinpossessionofmostrecentdrawings/specifications

供应商有最新的图纸或规范",0,,,

,,,,,,,

21,"RMA

退货授权","SupplierissuesRMAgreaterthan24hours

发行退货授权的时效大于24h",1,0,,

,,"SupplierissuesRMAin24hoursorless/uponrequest

发行退货授权的时效在24h内",0,,,

,,,,,,,

22,"ProcessSetUpandMonitoring

过程设定和监控","Supplierhasnotdefinedthecriticalprocessparametersforset-upormonitoring

没有定义关键过程参数",3,1,,

,,"Supplierhasdefinedcriticalprocessparametersbutdoesnotmonitor

定义了关键过程参数但是没有进行监控",