1 Quality Management System/质量管理体系No.Checklist ItemsComments 注释MaximumScore最大分值Score ofsupplierself audit自评得分Score ofBYD audit 实际得分1.1\"Has the quality management system been certificated by the thirdparty?(comply with ISO9001,TS16949 or other quality managementsystem certificated by the international institution)质量管理体系是否获得第三方认证？（符合ISO9001、TS16949或其他国际认可的质量管理体系）Does the company have plans to achieve its visions and strategicobjectives, meanwhile, apply key performance indicators to monitor、review and improve its performance.公司是否有计划的实现经营愿景和策略目标, 并应用关键绩效指标进行监控、评估和持续改善.Do company's products, service, business and activities conform tointernational, national and local laws & regulations, and do they takenecessary actions to ensure its compliance?公司的产品、服务、经营和活动是否符合国际、国家及地方的法律法规，是否采取措施确保符合性.Is there a documented quality handbook which describe the effect amongthe scope,structure and reciprocity of the quality management system indetail?是否有较文件化的质量手册对质量管理体系范围、结构、体系过程之间的相互作用等进行详细的描述？31.231.331.431.5Has the supplier appointed management representative who withresponsibility and authority to ensure the quality management system tobe implemented and maintained? 供应商是否有指派管理代表有职责和权限确保质量管理体系被导入执行并维护?31.6Is there a documented file of quality policy and whether it has beencommunicated and understood well in whole organization?是否有形成文件的质量方针并在组织的各阶层得到有效的沟通和理解？31.7 Is there a clear and measurable quality objective and whether the supplierhas periodicity review on completion status and improvement action?是否建立清晰的可测量的质量目标？并定期评审目标的达成情况和采取改善行动？31.8Is there a risk management system to identify,analyse and control all kindsof potential risk, such as, business risk, quality risk and so on.是否有风险管理体系，对各类潜在风险进行识别、分析和控制，如：运营风险，质量风险等？Is there a documented internal audit and manage evaluate procedure toregulate the responsibilities and requirements for the auditplan,implementation ,result reporting, improvement and recordconservation ?是否有制定文件化的内部审核程序,对审核的策划、实施、报告审核结果、改善及记录保存的职责和要求做了规定？31.93Is there periodicity management audit? Assess the operation status of the1.10organization and adopt the improve action?是否定期进行管理评审？对组织的运行状况进行评估和采取改善行动Is there document and records management procedure to control theapproval, distribution, keeping,identification,updating,cancellation of the1.11document and the management for the external document.是否有文件和记录管理程序使文件的批准、发放、保管、识别、更新、删除、外来文件的管理等得到有效控制?331.12Is there training procedure which applies to staff training and checking?是否有培训系统应用于员工的培训以及员工的考核机制?Grade for Quality Management System Item质量管理体系项评分Principal/评分人3Grade/评分36002 Ethical,Environment,Health,Safty and IT/人文/环境/健康/安全/信息No.Checklist ItemsComments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分2.1Is there collection and identification for CSR related laws and regulations,and is there some nominated staff to periodically update and maintainthem ?是否有收集及识别CSR相关的法律法规，并有指定人员进行定期更新与维护？Does human resource policy comply with all applicable laws? And thecompany should not employ child labor on any occasion. ( The minimumage for labor should be depending on the law of country or local, personwho under age of 16 judged as child labor according to China's law)公司人资规定是否符合所有适用的法律法规，且在任何阶段都不得使用童工，（当地劳动力法定最低年龄依该国家或地区法律而定，中国的法律规定16周岁以下的工人为童工）32.232.3The company should not engage in or support the use of forced labour,nor require employee to submit deposit or ID card after he/her beingemployed.公司不得使用或支持使用强迫性劳动，也不得要求员工在受雇起始时交纳\"押金\"或寄存身份证件。Do employee's working hours and wage levels as well as welfare complywith local Statutory requirement? Does the company make thecompensation according to the law for staff's overtime.员工的工作时间和工资水平及福利是否符合当地法律法规？对于加班时间是否有按法律规定的额外比率补偿给员工？32.432.5Whether the company has discrimination on recruiting,salary, welfare,traning opportunity or promotion due to race, society glass,nationality,religion,deformity or sex. 公司是否因为种族、社会等级、国籍、宗教、残疾、性别等或在招工、工资报酬和福利、培训机会、升职方面等存在歧视行为？32.6Whether the company respects employee's basic rights(eg,Fair treatment,Freedom of Association) and ensure the rights be carried out effectively.公司是否尊重员工基本权利(集体谈判和自由结社等),并保证其得到有效实施?32.7Whether the company has a clear and definite documented policy ofcareer health and safe management system? 公司是否有清晰和明确的文件化的职业健康安全管理体系方针和政策？32.8Whether the company could provide a safe,healthy and unpollutedworking and living conditions as well as good medical care for staff.公司是否为员工提供安全、健康、无污染的工作和生活条件,以及良好的医疗服务?Whether all kinds of chemical MSDS could be available for the staff whowill keep touch with chemical at working spot (in form of staff's mothertongue ) and whether there is personal protect goods was duly equiped forthe employee who may contact with poison chemical.所有接触化学品的员工是否能在工作现场及时地获到所有化学品的MSDS（并且以员工母语的形式），是否有为接触有毒有害的化学品的员工配备适当的个人防护用品？32.93Whether the company has a clear and definite documented policy ofcareer health and safe management system.2.10公司是否有建立应急预案和应变程序来将影响降低到最低(如消防演练、火灾监控和灭火装置、恢复计划等）？The supervisor and employee must follow business moral requirement,such as,probity management,without malfeasance incoming and so on.2.11公司管理者和员工都应遵循商业道德要求，如：廉洁经营，无不正当收益等33Whether have requirement on intellectual property, verify comformancewith IPR periodic and ensure that no Third-Party IPR are involved in any2.12deliverables to BYD without authorization.是否有知识产权政策的要求，定期验证知识产权政策的符合性，并确保交付给BYD的产品和服务中不含未经授权的第三方产权?3Is there a procedure to define the handling and feedback process ofproduct safety,security and liability, and ensure the procedure will be2.13implemented effectively.是否有程序明确产品安全、保障及责任问题的处理和反馈流程，并保证程序有效实施?3Is there any documented environment policy?Including:promise to protectenvironment,depollution,uphold the right of the employees's occupationalhealth,comply with the national and international legislation?The policyneeds to be communicated and understood in the whole organization and2.14the implementation of the policy has evidence to provide .是否有形成文件的环境政策？包括：承诺保护环境，防止污染，遵守相关国家和国际法规？此政策要在组织的各阶层得到有效的沟通和理解并能提供执行的证据。3Whether have a consideration on the environment influence when designthe product and produce process? E.g using environmental-friendmaterial, recycle material,adopting new technics to reduce or eliminate the2.15negative impact to the environment as well as waste management.在进行产品设计和生产过程中是否考虑对环境因素的影响？如使用环保材料、可循环原料、采用新工艺降低或消除对环境的消极影响以及废弃物的管理。Is there a plan to improve the enviroment and is there any supporting forit?The plan should includes: Identifing and improving the enviroment2.16influence and utilization rate.是否有计划持续对环境影响进行改善并能提供支持证据？计划应包括:环境影响的识别,改善及利用率的提高？Is there information and data security management document andprocess document to support information safty guidelines, and is there2.17any evidence mentioned in such procedures documents?是否有信息和数据安全管理文件及流程文件支持信息安全指导方针,是否具有流程文件中提到的证据?Whether there is specific security classification to distinguish sensitiveareas and public areas? Are certain control methods adopted for exit from2.18and entry into security areas, such as door access control, monitor andetc? 是否有明确的安全区域划分,区分重要场所和一般场所,是否采取一定措施控制安全区域进出比如门禁和监控?Has key client's data been separated from that of other companies as well2.19as been monitored? 存储在贵公司的主要客户的数据是否与其他公司数据隔离,监控等?Do manufcturing facilities have reliable sources of electricity, water, etc? Isthe server room clean? Is there fireproof, temperature, humidity control? Isthe computer's room equipped with burglar alarm? Is there UPS for2.20server?生产设施是否都有可靠的电源（电、水等）供应， 机房是否整洁，是否具有防火，温度，湿度控制措施，是否配备防盗警报系统，是否配备保护电源UPS系统?Grade for Ethical,Environment,Health,Safty and IT item人文/环境/健康/安全/信息项评分Principal/评分人333333Grade/评分60003 Design and Development /设计与开发No.Checklist ItemsComments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分3.1Is there a documented product development procedure to managedevelopment plan/process/control etc.?是否建立文件化的产品开发流程以管理产品开发的策划、过程、控制等？Is there an I/O and objective review on the product development toensure the integrity of the data and compliance with client's requirement,meanwhile, keep data's traceability?是否进行产品开发的输入、输出以及目标达成状况评审、验证以确保输入输出资料的完整性和符合客户的要求，并保证资料的可追溯性？Is there DFMEA analysis for new product development? Have revisedaction been taken for high risk RPN?新产品开发有无做DFMEA 分析﹐对风险优先数值高的风险( RPN )是否已经有纠正措施 ?Whether have effective management for the client's data and sample?And whether get an letter approval fromcustomers before MP?是否对客户资料和样品进行有效管理？量产前是否进行验证，并得到客户的正式书面批准？Are there procedures for how to identified, documented, review andapproval and traceability against program changes?针对工程变更是否有程序指导如何签定,文件化,review,及approval及追溯的流程？Grade for design and development item设计与开发项评分Principal/评分人33.233.333.433.53Grade/评分15004 Supplier development and management 供应商开发和管理No.Checklist ItemsComments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分4.1Is there a procedure to prescribe the selection and assessment of thesupplier? Is there a backup supplier for the key parts?是否有程序文件对供应商的选择及评估进行规定？对关键部件是否有备选的供应商？34.2Does the supplier only use materials from eligible suppliers? Has AVLbeen effectively maintained and updated periodically?是否只使用合格供应商的物料？AVL是否得到有效维护并定期更新？Has the company established sub-suppliers monitoring managementprocedure? Has the sub-suppliers been evaluated for its price, quality,technic and service? 是否建立供应商监控管理程序,对供应商关键绩效指标进行测量、分析和改善，并要求提供持续改善的证据？Is CAR distributed to the supplier when unqualifeid Lot occurs and requiresupplier feedback correction measure and validate its availability?有不合格Lot时是否向供应商发送品质改善要求书（CAR）并要求供应商在规定的时间内回复纠正措施并验证纠正措施的有效性?Has sub-suppliers established a procedure to manage customerinformation?是否要求供应商建立程序管理客户的所有信息?Is there a mechanism to ensure compliance with customer'srequirements? Is it properly documented and have all these requirementsbeen communicated to sub-suppliers?是否有一个机制确保客戶所有要求被满足和被适当文件化, 并且已將这些要求传达给次阶供应商?Has the company signed the quality agreements with suppliers, whichshall meet BYD's requirements?是否同供应商签定质量协议及相关协议,协议的签署应满足BYD对供应商的要求？Grade for supplier development and management供应商开发和管理项评分Principal/评分人34.334.434.5 34.634.73Grade/评分2100５Material Management 物料管控No.Checklist ItemsComments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分5.1Can the inspection and test procedure for the material, semi-finishedproducts and finished products assure that the outgoing products meetcustomers' requirements? Have the checking records been saved? Isthere illustration for the subcontract testing?物料、半成品、成品的检验标准和测试程序是否保证出货产品符合客户要求，检验记录是否保存？任何转包的测试是否予以说明？Is there management process for non-inspection materials? Are thererelated records?是否有免检物料管理流程，并提供相关记录？Is there traceability sign (such as,label ,Lot No, date) for the storingmaterial or products, so as to analyze problems and take correctiveaction?物料或成品是否有可追溯性标签(如标签﹑批号﹑日期等)以便问题分析和采取纠正措施?Is there a procedure to rule materials conveying and storing so as to avoidmaterials from degeneration and safety risk, and carried out effectively?是否有程序规范物料搬运和储存流程，防止物料变质和安全风险，并有效实施?35.235.335.435.5Is there a management procedure for releasing materials, following up theinvalidation and refusing to receive materials?Are there related records?是否有程序对物料的发放、失效和拒收进行管控和处理，并提供相关记录?Whether have analysis and summary for the quality of materials andproducts, and adopt corresponding actions according to the analysisresults?是否定期对物料、产品的品质状况进行分析、汇总，并根据分析结果采取相应措施?Have the warehouse keepers been trained before working? Are theaccount, card and material in the warehouse consistent with each other?仓管人员是否经过上岗培训，在库物料的帐、卡、物是否一致?Is there a control procedure to ensure that the rejects can be identifiedand controlled, so as to to prevent from using or deliverying the rejects?是否有不合格品控制程序，并定义不合格品处理的流程，确保不合格品得到识别和控制，以防止其非预期的使用或交付，并提供相关记录？Is there reworking/repairing product management process? Arereworking/repairing products reinspected/tested according to the qualityplan (Control plan), and are there related records?是否有返修/返工品的管理流程,对于返修/或返工后的产品是否按质量计划/或形成文件的程序进行重新检验，并提供相关记录？35.635.735.835.93Is there MRB or equivalent organization to discuss how to dispose thedisqualified products and slacken materials?5.10是否有一个物料评审委员会或同等机构定期举行会议讨论对不合格品及呆滞物料进行处理？Is there a procedure to rectify and defend the invalidation for both internaland external, and whether can provide related supporting for implement5.11effectively?对于内部或外部的失效是否有纠正预防措施程序，并提供相关记录证明有效执行?Is there ESD material management procedure? Are the ESD materials5.12controlled according to the requirement?是否有ESD（静电）物料管理程序，并按照要求对ESD物料进行管控?Are the product line,storehouse and other area of factory clean and tidy?生产线、仓库、工厂内的其他区域是否清洁有序？Grade for Material management 物料管控项得分Principal/评分人3335.133Grade/评分39006 Produce control 生产控制No.Checklist ItemsIs there a procedure to ensure effective plan, operation and controllingduring the process? For the parts belongs to subcontract and outsourcing,is there explaination for all of them?是否有程序以保证对过程进行有效策划、操作和控制，任何转包和外购的部分都有说明Has the SOP been hanging on the work locale? Is the regulation clear?Do the operators work per SOP?作业指导书是否悬挂在作业现场？规定是否清楚明了？操作员是否按照作业指导书的规定作业？Do the suppliers apply PFMEA (Process Failure Mode & Effects Analysis)or other effective methods to protect products' choiceness and safety?是否运用过程FMEA或相应有效的方法以保证产品的优良性能和安全性?Comments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分6.136.236.336.4Regarding the key process of products' safety and capability, is there anycontrol plan? Does the supplier update Process Control Plan continuouslybased on Safety & performance,especially for those critical items?对于涉及产品安全和性能的关键工序是否都有控制计划可依据？是否基于产品的性能持续对控制计划进行更新?(尤其是针对一些关键项目)36.5Does the process criterion of important process defined clearly?Does theactual parameter match the criterion?重要工序的工艺标准是否得到明确规定？实际参数是否与标准相符？Whether have done analysis periodly for the equipment and processmaking ability and taken necessary improvement measures ?是否定期对设备和制程的能力进行分析，并采取必要的措施进行改善?Has the manufacture equipment been maintained effectively?Have therecords been daily maintained and termly maintenance kept?生产设备和治夹具是否得到有效维护和管控？日常工艺参数和定期维护的记录是否得到保存？Has the change of the materials and technics in the manufacture beenapproved by internal and been known bycustomers before it isimplemented?是否对生产中原料、工艺等变更有依文件得到内部批准？并实行变更前依协议通知到客户?Whether the products inspecting and testing has been done during thewhole phase of the manufacture?是否在产品生产的各阶段对产品进行相应的检查和测试？36.636.736.836.93Is there any corresponding monitor against the environment ofmanufacture (e.g temperature,humidity,clean) in order to protect the6.10products' quality?是否对生产的环境进行相应的监控（如温湿度、洁净度）以确保生产符合要求的产品？Whether the process abnormity have been analysed,and Is the6.11improvement and preventive measures effective?是否对制程异常进行统计分析，并进行有效的改善预防?Does the supplier have contingency plans to protect the customer’s supplyreasonably against emergency event?6.12是否制定了应急计划以便在发生紧急情况时合理地保障向客户的产品供应？Are there facilities of incoming, manufacturing,packing and storing that6.13can meet the requirements of production andcustomers?是否有来料、制造、包装、存贮等设施并能满足生产和客户的需求？Has the \"Forecasting management\" been implemented? Has the raw6.14materials purchasing plan been established?是否执行“Forecasting”管理？并制定原材料采购计划？Whether have a rational programm on the area of manufacturing,6.15testing,packing and shipping?是否对制造、测试、包装和出货区域进行合理的规划?Grade for Produce control item生产控制项评分Principal/评分人333333Grade/评分45007 Measurement and metrology/检测与计量No.Checklist ItemsComments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分7.1Whether all monitoring and measuring devices which need calibrating orverifying have been finished in specified time and have records saving?所有需校正的监视和测量仪器是否在规定的时间内进行校准或检定，并有标记和记录保存?Whether have review and record on previous validity of measuring resultswhen the checking, measuring or equipment doesn't conform torequirements?当发现检验、测量和试验设备不符合要求时，是否对先前的检验和试验结果有效性进行评定和记录？Have monitoring and measuring devices been properly maintained andstored as well as record saved？设备和仪器是否进行适当的保养和维护，并有记录保存?37.237.33Whether have SOP of equipments inspecting ,and hang them up on7.4dazzle positon?是否制定检测器具的作业指导书？并且在醒目位置悬挂？Whether have monitor for the environment (eg.light intensity，temperature,humidity,cleanness)of inspection area and make track7.5records for the control conditions?是否对检验区域环境（如照明强度、温湿度、洁净度）进行监控并且对控制情况进行了跟踪记录？Whether have GR&R analysis on the gauge and make related records ?是否对计量器具开展GR&R分析？并有相关记录？Grade for Measurement and metrology/检测与计量(MSA)检测与计量项评分Principal/评分人337.63Grade/评分18008 Sales and customer service /销售与客户服务No.Checklist ItemsComments 注释Max Score最大分值 Score ofsupplierself audit自评得分Score ofBYD audit 实际得分8.1Whether the company has signed agreenments with BYD, includingquality,purchase,non-dixclosure and HSF agreements?是否与BYD签署相关质量协议、采购协议、保密协议以及HSF协议等?Whether the supplier has a review on the contract or order to ensure thatall specific requirements have been understood and could be fullfilled?Hasthe inconsistent been resolved before accepting contract or order as wellas keep the record of contract and order?供方是否对合同或定单进行评审，以确保所有具体要求已被理解并能够满足，与以前表示不一致的情况在合同或订单接受前已经得到解决并保持合同／订单评审记录？Is there a document which clearly defines how to inform related functiondepartments for the information of contract revised?是否有文件规定如何将合同修改的信息通知有关职能部门？Is there a system/procedure used to survey customers' satisfactionfeedback and make satisfaction goal, meanwhile, set down acontinuancely improvement plans according to the goal?是否有系统/程序用于客户满意度的测量和满意度目标的制订， 并依据满意度目标制订持续改善计划?Whether have a defined idea on the procedure of customer complainthandling? Has the revert time been prescribed clearly?是否明确客户投诉的处理程序？回复时间是否得到明确规定？Grade for Sales and customer service item销售与客户服务项评分 38.238.338.438.53Principal/评分人15Grade/评分00
