RoHS System Internal Audit Checklist RoHS系统内部稽查表

RoHS System Internal Audit ChecklistRoHS系统内部稽查表General/总要求11.1AvgscorSubtotal:[#####][0]Counts:[Score0]Yes=1No=0N/A=XRemarksWhat to look forrefer to FBP-RHS100 RoHSOperationsIs there a documented procedure / manual explain the policy of HS control？有没有一份程序/手册来定义有害物质的控制政策?Does customer have RoHS and/or Reach requirement or others?If have, does factory implement any action to meet therequirement?客户有没有RoHS或Reach或者其他有害物质的要求，如果有，工厂有没有采取措施才达到客户的要求？Is the RoHS requirement is the latest, is there method to get latest regulation timely?现有的RoHS要求是不是最新的，有没有好的方法来保证及时获取最新的法规？Does the internal audit cover RoHS system?内部审核有没有涉及到RoHS体系？Are corrective and preventive actions taken, when necessary?必要时，有没有采取纠正与预防措施？If necessary, whether management review cover RoHS performance?必要时，管理评审有否涵盖RoHS的执行情况？21.234561.31.41.51.6refer to FMQAI-XXXPersonnel Responsibility and Resource 人员职责和资源782.12.2Is there a RoHS Implementation team Chairman appointed for the site and trained?有没有指定ROHS执行的管理组织，这些成员有没有参加ROHS培训？Has a RoHS implementation team been established and time allocated for tasks?ROHS执行小组有没有建立并分配各自的任务？Are RoHS training courses carried out to various functions and levels of staff planned and implemented with records?ROHS培训有没有在各个职能部门开展并保持纪录？Is there a clear understanding of responsibility of the various functions in the Implementation team?ROHS执行小组对各自的职责是否有很好的理解？refer to FBP-RHS100 RoHSOperations92.3102.4page 1 of 3

Purchasing and sample approval采购和样品承认113.1Do all purchase contracts contain RoHS compliance requirement?是否所有采购合同都包含ROHS符合性要求？If customer have other Hazardous Substance Control requirement, whether the requirement was passed to supplier timelyand can meet customer's target date.如果客户有其他有害物质控制要求，采购部是否能及时传达这些要求给供应商并在规定期限内达到客户的要求？Whether all materials(direct and indirect material) have Supplier RoHS certification of Compliance?所有的物料（包括直接和间接物料）是否都有供应商的ROHS符合性证明？Whether the sample verification contain RoHS compliance verification?样品的承认是否也包含ROHS符合的确认？refer to DMP-009MaterialQualificationrefer to DMP-009MaterialQualificationProcedure, FAP-011Refer to FBP-RHS007 SupplierMaterial Surveyrefer to DMP-009MaterialQualification123.213143.33.4Incoming Quality Control and Warehouse 来料检验和仓库154.1Is customer have RoHS verification test requirement for incoming material? If have, below items are available.对来料，客户是否有ROHS测试的要求？如果有，以下项目适用。Is there procedure to define RoHS verification test method, compliance criteria, frenquency and etc?有没有文件来定义ROHS测试的方法，符合性标准，频率等?Is there procedure to define dealing with test result?有没有文件定义如何分析处理测试结果？If found any non-RoHS complaince material, is there any containment action to separate non-RoHS material and preventcross contamination?如果发现任何ROHS不符合的物料，有没有任何的围堵措施来隔离非ROHS物料以防止交叉污染？Whether the test equipment in good maintainance condition and calibration condition?测试设备是否处于良好的保养及校验状态？Does the FAI report contain RoHS Compliance?来料检查报告是否包含ROHS符合项的检查？If there a system to control RoHS compliance, if found any material don't have RoHS CoC, whether IQC disposal to MRB?有没有系统来控制ROHS符合，如果发现任何物料没有ROHS符合性证书，IQC是否有将物料处置为MRB?Whether RoHS&non-RoHS materials are separated and clearly identified to avoid cross pollution?ROHS与非ROHS物料在贮存过程中有没有分开贮存，并清晰地标识以避免交叉污染？refer to FAQAI-152IQC forRoHS/GP/HFrefer to FAQAI-152IQC forRoHS/GP/HFMaterial Controlrefer to DMP-026Hub Raw MaterialManagementa)b)c)d)164.217184.34.4Production Control and Process Inspection 生产过程控制和过程检验195.1Whether all production lines are RoHS compliance?If yes, below items are available.是否所有生产线为ROHS符合线？如果是，以下项适用。Does the site have a formal document that shows evidence of Process Control analysis for high risk RoHS process?对于高风险ROHS过程，有没有正式的文件来对过程控制进行分析？Is there procedure to define RoHS marking and labeling requirement?有没有文件对ROHS标识及标签的要求进行规定？Is there ECN system to track RoHS or other Hazardous Substance control requirement change?有没有ECN系统来跟踪ROHS或者其他有害物质控制要求的变更？If not all production lines are RoHS compliance, below items are available.如果不是所有线都符合ROHS, 以下项适用。Are components, materials / substances(especially for indirect materials) seperated and identified clearly for RoHS andnon-RoHS?所有的零件，物料/物质（特别是间接物料）是否有按ROHS与非ROHS进行隔离并清晰地进行标识？page 2 of 3

a)2021225.25.35.4refer to FAPEI-064Lead-Free ReflowOven EvaluationInstruciton, FAPEI-refer to FMQAI-216Segregationinstruction for RoHSrefer to FAP-011a)refer to FAPEI-069Logo, Label &Marking Instructionfor Lead-free andb)c)d)e)f)g)h)235.5Is there any effective procedure to identify and segregate RoHS and non-RoHS recycled materials?有没有有效地文件对回收的ROHS与非ROHS物料进行隔离和标识的规定？Is procedure established to confirm RoHS status of materials including supplementary materials, equipments and toolsbefore production?有没有程序规定在生产之前，需要对物料，设备及工具的ROHS状态进行确认？Is a traceability system established to trace use of materials, equipments and tools in RoHS production?有没有一个追溯系统来追踪使用的物料，设备及工具的ROHS符合情况？Does the site have a formal document that shows evidence of Process Control analysis for each RoHS process?有没有文件规定对每一个ROHS过程进行过程控制分析？Do Process Instructions clearly specify all Direct and Indirect Materials used at each work station, and clearly remarkRoHS or non RoHS?过程作业指导书中有没有明确地指明所用的直接物料和间接物料，有没有清晰地表明是ROHS符合还是不符合？Whether all equipment, tools have RoHS label requirement, whether it implemented in site?是否所有的设备，工具都需要贴上ROHS标签，工厂是否有正确执行？Is there a periodly In-process audit on RoHS control?有没有定期地对ROHS控制进行在线审核？Is there a procedure in place for issuing a RoHS process CoC to customer when customer required?当客户有需求时，有没有文件对向客户发行RoHS过程CoC有规定？refer to FAPEI-063SegregationInstruction in Lead-refer to FAQAI-010Line Buy-offInstruciton for RoHSCompliancerefer to FAPEI-064Lead-FreeReflow Ovenrefer to FAPEI-069Logo, Label &Marking Instructionrefer to FAQAI-009In-processControl Checklist forrefer to FBP-RHS504 Certificateof ComplianceFinal Product RoHS Control 成品RoHS检测246.1a)b)Whether customer have final product RoHS test requirement? If yes, below items are available.客户是否对成品有ROHS测试的要求，如果有，以下项适用。Are test item, frenquency, methods and compliance criteria are clearly defined?测试的项目，频率及方法，符合标准有没有清晰地定义？Whether RoHS test report for final product showed as Pass, if no, is there any action taken?成品的ROHS测试报告是不是“通过”，如果不是，有没有改善措施？Comments :Project:

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