Supplier Audit Report Report No.

:
Prepared by Checked by Approved by

Supplier Name Code

Address
Product Type Consumer electronics equipments and network equipments
Audit systems ■Quality system ■RoHS system CheckList: I Type Audit type New supplier audit
Auditor Quality: PE: Purch: Audit methods Onsite audit
Attendance Audit date

Audit Score：
Total Actual Score %
NO. Items Weight
Score Score Target Actual
1 Conflict minerals 4 ≥70% 11Conflict
Conflictminerals
minerals
25 NA 0% 0.8
13
13Environmental
EnvironmentalCompliance
Compliance
80% 22Quality
QualitySystem
System
2 Quality System 40 17 6 ≥70% 43%
0.6
60%
3 Incoming quality Control 50 33 8 ≥70% 66% 12
12Delivery
DeliveryManagement
Management 33Incoming
Incomingquality
qualityControl
Control
4 Process Quality Control 115 80 20 ≥70% 70% 40%
0.4
5 Final Quality Control 60 46 10 ≥70% 77% 11
11Capability
CapabilityofofEngineering
Engineering 20%
0.2
44Process
ProcessQuality
QualityControl
Control
6 Customer Complain Management 30 21 5 ≥70% 70% and
andProcess
Process
0%0
Auditing 7 Warehouse Management 30 19 5 ≥70% 63%
Items 8 Document and Record Management 25 18 4 ≥70% 72% 10
10Equipment
EquipmentManagement
Management 55Final
FinalQuality
QualityControl
Control

9 Training 30 20 5 ≥70% 67% 66Customer

CustomerComplain
Complain
99Training
Training
10 Equipment Management 40 26 6 ≥70% 65% Management
Management
88Document
DocumentandandRecord
Record
77Warehouse
WarehouseManagement
Management
11 Capability of Engineering and Process 8 ≥70% Management
Management
50 29 58%
Items
Items
12 Delivery Management 25 20 4 ≥70% 80%
13 Environmental Compliance 95 45 15 ≥70% 47%
Final Score (L=Weight*Actual Score %) = 63.7 *The total score points may need to be adjusted for any items that are N/A.

Audit Grade（■）：
Rank Score Opinion
□A L≧85 Excellent Supplier.
□B 70≤L<85 Qualified Supplier
■C 60≤L<70 Disqualified supplier, Need to improve within schedule if bussions.
□D L<60 Disqualified supplier
Rules :
1.Grading will be refer to final score.
2.If the score % of any section is less than 70%, should follow below rules:
a） If new supplier, not accepted and should not re-audit within three months.
b） If supplier was listed in AVL, need to improve within scheduled period.
 Audit Checklist
Score rule: Exceptional-5 Excellent-4 Implemented-3 Unacceptable-2 Serious fault-1 Not implement-0 Not Applicable-NA
Supplier Type:
Type Self-
No Evaluation Item Evaluation point Score Notes
I II III audit

【1. Conflict minerals】 (Score) 0 NA

Is the conflict metal (Tungsten, Tin, Tantalum, Gold) intentionally added to your products?
1-1 Identification of the usage
■ This items would be completed if none of any conflict metals is intentionally used.
√ None

1-2 Conflict Mineral policy Do you have a policy in place that address conflict mineral free sourcing? √ 0
Do you require your direct suppliers to source from smelters validated by an independent private sector audit firm? √ 0

1-3 Supply chain management Do you require your suppliers to provide the conflict metals data/information for all direct or indirect materials which had
been purchased in the past year at the beginning of this year.
√ 0

Have you identified all conflict metals data/information and stored them properly? √ 0
Are you able to submit the conflict metals data/information and make sure the submitted data/information has been
1-4 Report to the customer
confirmed if the customer requests?
√ 0

※ If the supplier adds the conflict metal (Tungsten, Tin, Tantalum, Gold) intentionally to products, but no a policy that address conflict mineral free sourcing and supply chain management, the audit will be stopped immediately.

【2. Quality System】 (Score) 0 17

Is the company ISO 9001 and 14001 certified？ √ 0
2-1 Management System Does the company carry out the internal quality audit periodically for continuous improvement (annually)?Does the
√ 0
company take the corrective and prevention actions for the NC items?
Top management's attention and Does the company define the representative of quality management? Is the responsibility clarified clearly? √ √ 4
2-2
support upon the quality Does the top management pay attention closely to the quality and push to take continual improvement. √ √ 3
Are the quality goals to pay attention to continuous improvement and customer expectations? √ √ √ 2
2-3 Quality Goal Are the quality objectives clearly communicated throughout the company? √ √ √ 2
Is the methods of goal estimating defined? Is the goal analyzed? How is the goal verified? √ √ √ 2
2-4 Responsibility and authority Are the responsibility and authority of each station regulated clear. √ √ √ 4

【3. Incoming Quality Control】 (Score) 0 33

Is the approved Vendor List maintained and reviewed as per procedure? Does the supplier only purchase from qualified
√ 4
3-1 Supplier management vendors? Is there a procedure available to clarify the supplier management?
Are on-site supplier audits conducted? Do supplier quality and business reviews occur? √ 2

Is the inspection standard and process defined for each component type? Is the inspection items suitable and complete? √ √ √ 4

Is the sampling range regulated clear and suitable? Is the AQL regulated clear and suitable? √ 4
3-2 Incoming inspection
Does the inspector inspect per the procedure? Has the inspection result been recorded completely? √ √ √ 4
Does the company inspect the key material or request the supplier submit the COA(Certificate of Analysis)? √ √ 2
Is the inspection area clearly defined, sperated and marked? √ √ 3
Is the supplier notiifed and asked to take corrective and prevention action (8D or 5W2H) when the incoming inspection is
√ 4
NG?
3-3 Abnormality disposal
Was the tightened inspection implemented after the last lot had been rejected? √ 4
Is the improvement followed up on and confirmed in a timely manner? √ 2

【4. Process Quality Control】 (Score) 0 80

Is there a production flow chart? Is there a production traveler (sales order information) for each work station? √ √ √ 4
4-1 Flow chart and instruction Is there suitable work instruction for all work stations? Easily accessable at the station? √ √ √ 4
Do the work instructions specify the method clearly, equipment, tools, attention points, etc.? √ √ √ 4
Do the employee understand the work process and follow the process exactly? √ √ √ 4
Is the machine and station checked and approved before producing? √ 4

Is the receipt, handling, storage, packaging and release of all material including customer provided items, at all stages,
4-2 Operation √ 3
specified and controlled to prevent damage (including ESD damage) or deterioration and to address obsolete material?

Is customer(UEI) owned tooling easily identified? Readily retrievable and stored in a clean environment. √ N/A
Is there any maintenance record of the tools and molds? Is the mold life tracked and controlled? √ 2
Is the date of the FAI docuemnted and suitable? √ √ 4
Is the item of FAI complete and suitable? Has the inspection result been recorded completely and clearly? Do they have the
4-3 FAI √ √ 3
FAI sample?
Is production only allowed after the acceptbale FAI? √ √ 4
4-4 Process parameter check Are the the key parameters checked and recorded? √ 4
Are there documented procedures for process inspection and inspection methods? √ √ √ 4
Is there a PMP (production manufacturing plan) or QC flow chart? √ 2
Are there suitable inspection instructions for all inspection stations? Do the work instructions clearly specify the equipment,
√ 4
tools, attention points, etc.?
4-5 Process quality inspection Is the inspection standard clearly defined? Are the key inspection items and key processes clearly defined? √ √ 4
Can the problem of production be found based on the inspection method and frequency? √ √ 4
Does the inspector inspect the product as required by the documented procedures? Has the inspection result been recorded
√ √ √ 3
completely?
Is the WIP status clearly, and accuratley marked? √ √ √ 3
Are there documented procedures for handling production abnormalites? √ √ 2
Is the responsible department asked to analyze and improve when high defect rates and the product quality is out of control?
√ √ 3
Such as 8D or 5W2H
4-6 Abnormality Disposal
Is the defect marking clear? √ √ 4
Is the tightened inspection implemented for product rework? √ 4
Is the improvement clearly defined? Is the improvement verified and effective? Is it implemented completely? √ √ 3

【5. Final Quality Control】 (Score) 0 46

Are the methods and standards of out-going inspection defined and documented? √ √ √ 4
Are the sampling plans and defectives grades (CR, MA, MI) defined in the document based on customer's request and
5-1 Inspection Standard √ √ 4
expectations?
Is the customer approval sample properly stored and does the inspector use to inspect? √ √ 4
Does the inspector inspect the product according to the request ? √ √ √ 4
5-2 Product inspection
Is the inspection result recorded completely and exactly? √ √ √ 4
Is there periodical reliability tests to determine the product quality? Are the items of reliability test complete? √ 2
5-3 Reliability test
Are the samples kept with the report for tracability after the test? √ 4
 Is the responsibility and authority to waive approval of abnormal product defined suitably? Does the supplier get the
√ √ 4
customer approval before delivery?
5-4 Abnormality Disposal Do failures immediately shut down production until the root cause is determined and appropriate action has been taken to
√ 4
eliminate such failure. Is rejected material quarantined?
Is the abnormal product identification clear? √ √ 4
Is the suitable packing requirement clearly defined? √ √ √ 4
5-5 Packing and Labeling Is the packing requirement implemented completely? Is there a Lot No. or product date on the "Pass" quality identification
√ √ 4
label for traceability?
【6. Customer complain management】 (Score) 0 21
Is a procedure available to handle customer complaints? Is the related department responsibility clearly defined? Is the time
√ √ √ 4
limit of customer complaint disposition defined?
Is there a structured corrective action process i.e. 8D is defined and to be used for all customer complains and all areas of
√ 4
6-1 Customer Complain disposition the business? Is the record clear ?
Are the related persons trained with the customer's complaint information? Are there related warning notice/pictures to
√ √ 4
remind the employee?
Is there a suitable table to monitor the process of customer complaint disposition? √ 4
Is there a system of effectiveness proven through no recurrences at customer site and reduction of problems? √ 2
6-2 Effect confirmation Are the improvement actions implemented in the related department? Has the operational procedure been updated based on
√ 3
verified effectiness of the correative action?

【7. Warehouse management】 (Score) 0 19

Is the separation for each storage area in the warehouse clear and suitable? Is the storage condition defined and implemented
√ √ 2
completely?
Are there procedures for storing the product, material and component?(packing method, limit of height, temperature and
7-1 Condition of storage √ √ 2
humidity,ESD protection, ect., shall be defined clear.)
Are there procedures for the transport,storage, protection, cleanliness , and maintenance of molds? Are they implemented
√ √ N/A
and being followed?
7-2 FIFO Is the method and requirement of FIFO management clarified? √ √ 4
Are there established and implemented procedures for product identification during all stages from receiving through
7-3 Material Traceability shipping. Traveler traceable to each process based on date code or some other tracking system. √ 3
Is there traceability of final product back through the manufacturing process? Is a Barcode system implemented?
Is the validity period of material or product clearly defined? Is a certain procedure available to dispose of expired product
√ √ 4
7-4 Deadline of storage and material?
Have the expired product , material and component been disposed according to the request? √ √ 4

【8. Document and record management】 (Score) 0 18

Is there a procedure available realting to the management of documents and is it implemented completely? √ √ √ 4
Is the document established with identical standard format? Is it approved before issuing? Is the record for
8-1 Document management √ √ √ 4
distribution/retrieve of document clear?
Is use of the latest documents and record ruled and implemented completely? √ √ 4

Record management & keeping Is there a record list available to management? Is the record complete and clear? √ √ 2
8-2
and reading Can every document be read within five minutes? Is there a defined period for the storage of documents? √ 4

【9. Training】 (Score) 0 20

Are the training contents, way, training frequency and assessment method, regulated based on different operation station? √ √ √ 4

Is the personal resume(such as training time, contents and assessment result) established for every employees? √ √ 3
9-1 Training procedure Is there a certain procedure available to assessment the alertness of inspector? Is the assessment frequency clarified? Is the
√ √ 3
record complete and clear?
Will the employees be trained when the work station or operation procedures changed? √ 3
Is the assessment result used to judge the employees and whether they can continue to work or not? Is there work license to
√ √ 4
clarify?
9-2 Training effect and record
Is the training and assessment record( such as training notice,time sheets and examination paper) kept in the archives
√ √ √ 3
completely?

【10. Equipment management】 (Score) 0 26

Is there a certain procedure available to clarify the instrument calibration and methods? Is there a calibration plan? √ √ √ 4
Is the inner person in charge of calibration trained and qualified? √ 3

10-1 Instrument calibration Is the authoritative laboratory of calibration organization public? Is the instrument calibration still valid or expired? √ √ √ 4

Are Repeatability and Reproducibility (Gauge R & R) studies conducted on measurement equipment and systems using
√ 0
appropriate methodologies?

Is there a certain procedure available to clarify the instrument maintenance? √ √ √ 4

Is there a maintenance plan and record of the maintenance result? √ √ √ 4
10-2 Check and maintenance Is the measurement instrument checked and recorded before use? √ √ 3

Is there a certain procedure available to clarify the abnormality disposal for the instrument maintenance? Is there record? √ √ 4

【11. Capability of Engneering and Process 】 (Score) 0 29

Management assigns a dedicated project manager to new product/technology/service launches and other appropriate
resources to assure full compliance to supplier readiness activities and the launch process.
√ 3
New Product Introduction and
11-1
Qualification Organization has capability of performing environmental testing, reliability testing, safety testing and Failure Analysis
capability in house
√ 4

Management requires the development of DFMEA for their own designed item or equivalent for all new products. √ 4
Are new product capacity planning policies and procedures defined? Do they include tooling, production and test
11-2 Capacity Planning
equipment, packaging, supplier capacity and manpower resources?
√ 4

Is a process capability index ( Cpk) managed to control the key of process or parameter? √ 0
11-3 Capability of Process Is there enough production equipment? Is the equipment advanced, accurate, not obsolete? √ √ 2
Is the work area clean, suitable and large enough? √ √ 4
Are there a certain procedures available to clarify related evaluation (DOE) for the new product, material and
√ 2
component? Is there complete record?
Is there a procedure available to clarify the management of engineering change and implement completely? Is
11-4 Engineering management √ √ 3
there complete record?
Are engineering changes reviewed and evaluated prior to implementation? Is the change implemented only after
√ √ 3
reported to and approved from customers under a certain system?

【12. Cost & Delivery management】 (Score) 0 20

Did supplier systematically pursue cost reduction opportunities in all areas and data shows improvement for the past year.
12-1 Cost Reduction Efforts
Cost reduction goal is defined in procedures and supported by management.
√ 4

Are there established procedures for order review? Is there a detailed production plan? √ √ 4
12-2 PO and Tracing of Production plan
Are there actions to analyze and improve when the production plan is not accomplished on time? Is there record? √ √ 4

Is the customer informed a day or more in advance when deliveries are late? Is there a certain rule? Are there actions to
analyze and improve when deliveries are late?
√ √ 4
12-3 Delivery management
Is there certain rule for the safety stock? √ 4
【13. Environmental Compliance 】 (Score) 0 45
Is the company fully RoHS compliant? If no, have RoHS compliance machines, equipment and areas been seperated from
the non-RoHS compliance?
√ √ 3
13-1 Environmental Quality System
Is there the surveillance measurement for discovering the contamination in advance? Is there an established procedure for
emergencies in order to handle the potential contamination?
√ 4

Has the chemical substance management guideline been established based on the requirement of customers and regulations? √ √ 4

Chemical substances management Has the guideline specified the banned substance name and allowable limt? Has the scope of the guideline been defined and
13-2
is it managed?
√ √ 4
Guideline
Has the revise frequency of chemical substance guideline been defined and updated based on the rule? Is there a designated
person/s reponsible for collection and review ?
√ 0

Are there the process inspection criterion related to chemical substances during incoming control, mass production and
outgoing inspection, including the inspection frequency, judge rule and etc?
√ √ 0

13-3 Processes control Is there the special people to be responsible for inspection? Did the inspectors get the training and are they competent to
work?
√ √ 0
Is there a traceability system to trace raw material, semi-product and finished product? √ √
Is there the procedure of environmental compliance to define the selection criterion of new supplier? Is there the audit plan
for the qualified suppliers?
√ √ 4
13-4 Supplier Management Has the approval criterion for the supplier submitted green doucment been set up? Is there the procedure to specify the
maintenance requirement of all green document? Is the keeping deadline at least 10 years?
√ √ 3

Is there the change management procedure in your company? √ √ 4

Process change management Do the company conduct the change management for your suppliers? Is your supplier requested to re-submit the green
13-5 √ √ 4
document if any change happens?

Does the company apply to the customer for the change and get the customer approval before conducting the change? √ √ N/A

When non-conforming material is found, is it reported to the responsible person? Are appropriate actions and
13-6 Treatment for Defective Parts
countermeasures taken on defective lots? Are the defective products properly treated or disposed of?
√ √ 3

Respondence to REACH Has the company put SVHCs and banned substances of REACH regulation in the chemcial substance guideline? √ 0
13-7
regulation Has the company transmitted the relevant information of REACH regulation to your supplier? √ 0
Is there a procedure for dealing with customer complaints? √ 4
13-8 Disposal of customer complaint
Is the disposal procedure comprehensive and reasonable? √ 4
13-9 Training Is there the training rule for the relevant people involving in the chemical substance management? √ √ 4