Vendor Assessment Checking List

TÜV Rheinland (China) Ltd.

Apr.4, 2018

Unit 707, AVIC Building, No.10B, Central Road, East 3rd Ring Road,
Chaoyang District, Beijing, China
 SUPPLIER : MANUFACTURER / VENDOR

Supplier Name Activity and Process Concerned Audit Date

Document review: Chapter I, II, III, IV, V, VII, VIII

Workshop visit: Chapter VI

Manufacturer Name Participants of Auditee of Supplier

Sales department Representative
Safety department Manager
Supply department Manager
Quality assurance depart. Manager
Production department Manager
Address Technical center Manager
Quality control department Manager
Administration Assistant

SUPPLIER TECHNICAL ASSESSMENT RESULT & GLOBAL SCORING - FOLLOW-UP

Supplier Technical Assessment Status Action Plan Requested

Audit Score % Result Yes No Due Date
Put a cross here, Indicate a due date
#DIV/0! SATISFACTORY if an Action Plan Xto receive the Action
is requested. Plan, if requested.
 Indicate a due date
to receive the Action
Plan, if requested.

OVERALL ASSESSMENT STATUS SCORING GUIDELINES

SCORE AUDIT RESULT
75 to 100 % = SATISFACTORY
50 to 74.9 % = RESERVES TO CLOSE TO BE SATISFACTORY
49.9 % or Less = NOT SATISFACTORY

MISSION VISION VALUE

Pursue excellence through
technological development
To become a trusted global
and innovation, while Professional expertise and
manufacturer of high quality
earning the trust and creating mutual benefits.
steel pipes in the world.
confidence of our valued
customers.

RECOMMENDATIONS / STRONG POINTS / IMPROVEMENT OPPORTUNITIES

Strong Points: This company is capable for very wide production range of HFW tube/pipe, and also has a very
strong testing capability for its production.

Weak Points: The quality control in the sub-vendor had shown a practice lower than expectation.

Improvement Opportunities: There is a improvement space for its fileing of quality documentation. Some of them has no EN
language design, and Heat treatment chart was not included in the final MRB.

NAMES AND SIGNATURES

SUPPLIER TUV AUDIT TEAM CODELCO

 CODELCO Vendors Assessment Checking List Outl
Assessment Chapter and Check Items
No. Check Items
1 Client Care and Contract Review
1.1 Contract and Price Management
1.2 Project Management
1.3 After Sales Management
1.4 Project Reference

2 Human Resources Management

2.1 Organization and Policy
2.2 Recruing Requirement
2.3 Staff Composition
2.4 Training Management
2.5 Personnel Qualification

3 Supplier and Sub-Vendor Management

3.1 Purchasing Management
3.2 Sub-Vendor Management
3.3 Third Party Engagement

4 Engineering Process Control

4.1 Design and Development
4.2 Planing of input/output (Type design, drawing)
4.3 Control of Change
4.4 Documents of Control
4.5 Confidentiality

5 Production Process Control

5.1 Production Planning
5.2 Production Implementation
5.3 Tracibility Control
5.4 Metrology and Calibration
5.5 Information Technology

6 Manufacturing Quality Control (Customized per Category)

6.1 Manufacturing process control
6.2 Equipment capacity management
6.3 Storage and packing condition

7 Quality Management
7.1 QM System Certification
7.2 QM Manual
7.3 QA procedure and ITP
7.4 QA/QC Personnel Assignment
7.5 Non-conformance Control
7.6 Correction and Prevention Actions Control
7.7 Internal and External QM Review
7.8 In-process Inspection
7.9 Laboratory Testing Condition

8 EHS/Social Responsibility
8.1 HSE Assurance
8.2 Safety Management
8.3 Environment Protection
8.4 Company Code & Social Responsibility
ent Checking List Outline
Total Score #DIV/0!
Evaluated Score Weight
#DIV/0! 5.0%

#DIV/0! 5.0%

#DIV/0! 5.0%

#DIV/0! 15.0%

#DIV/0! 20.0%

95% 25.0%

0% 20.0%
0% 5.0%
 Client Care and Contract Review
1.1 Contract and Price Management
1.1.1 Is there a system in place to manage contract review procedure and maintain for actually application?

1.1.2 Is there a system in place to manage multi-language customer relationship? Is there a team, at the location, able to
manage business with customer local language or English?

1.1.3 Does all concerned departments take part in the order feasibility analysis (timetable, purchasing, production, logistics,
etc.)?

1.1.4 Is there a legal department or legal representative that is specified in procedure to review the contract and did
actually?

1.1.5 Pricing system that integrated with the cost of material, manpower and management fee and other cost. Any formula
applicable in the pricing system?

1.1.6 Evidence shown the contract review and approval is operated with high efficiency and comply with existed
procedures.

1.2 Project Management

1.2.1 Is there a project department or order management department for each client or each project during the whole
supply period?

1.2.2 Is the project team for each order deal with all issues during supply period, including the quality representative,
technical representative, etc.?

1.2.3 Does the project team fully understand the requirements for products and services? (Product brochure, technical
documents, specific requirements for contingency actions when relevant)

1.2.4 Regularly meeting with client or reporting to client had been well done according to exist project management
procedures. Evidence is available like, report, PPT, meeting minutes.

1.2.5 Evidence shown that client's update requirements had been well satisfied and well managed.

1.3 After Sales Management

1.3.1 Is there an aftersales service or equivalent in place to assure permanent services in case of issues?

1.3.2 Does the potential undesired consequences associated with products be measured?

1.3.3 After sales services are well documented. Service records and other related documents are available.

1.3.4 Customer's complaint had been well followed and closed according to available Nonconformance procedures.
Documents are available.

1.3.5 Supplier can provide with on-site installation service? If the supplier has a technical team in Chile, Rank full score
here. If not, Does the supplier has a emergency plan in place to handle the unexpected incidence on site?

1.3.6 What is the MTBF? Warranty and maintenance record should be in place.

1.4 Project Reference

1.4.1 During recent 3 years, the project reference show this company delivered the almost same type of target equipment,
with almost same size.

1.4.2 During the past 3 years, the project reference covered the international standard application such as ASME, EN, GB,
etc.

1.4.3 Does the supplier has rich international projects especially related with mining industry?
 Evaluated Score Max Score Obtained Final Score
Full satisfied Almost Less than Not satisfied
satisfied expection 0 0 #DIV/0! Total Number: 0

Sub-total 0 Comments Potential Criteria Checked Potential Number of Criteria Checked

Sub-total 0 Comments

Sub-total 0 Comments

Sub-total 0 Comments
 Evaluated Score Max Score Obtained Final Score
Human Resources Management Full satisfied Almost
satisfied
Less than
expection
Not satisfied
0 0 #DIV/0! Total Number:

2.1 Organization and Policy Sub-total 0 Comments Potential Criteria Checked Potential Number of Criteria Checked
2.1.1 Is there a system in place to manage the human resources? The company HR Policy should be available.

2.1.2 Is there a clear management organization in place (organization chart clear with indications of operational and
functional relations, identification of decision-makers and relevant contacts-who does what) and does this
organization present adequate resources to manage all operations?

2.1.3 Administration line and function line are clearly defined for personnel of each department. The top management has
determined and provided the persons necessary for the effective implementation of its quality management system
and for the operation and control of its process.

2.1.4 Special O-chart is available for previous order, and assigned person to the responsibility of quality, technology, etc.

2.2 Recruiting Regulation Sub-total 0 Comments

2.2.1 Recruiting regulation described the basic technical requirements and experience requirements for technical position
and management position. (for example: JD is available important position)

2.2.2 Evidence show the recruiting have followed the recruiting procedures. And the records of technical assessment for
technical position are available.

2.2.3 Policy issued to prohibit bribery, corruption. Procedures and principles were available regarding conflict of interest.

2.2.4 Confidentially agreements and equivalent items had been included in the employment contract.

2.2.5 Average education requirements

2.3 Staff Composition Sub-total 0 Comments

2.3.1 Staff number? Gender rate? Seasonable and outsourced labor rate?

2.3.2 Turnover rate each year?

2.4 Training Management Sub-total 0 Comments

2.4.1 There is training plan of every year for all staff.
 2.4.2 The training plan is in accordance with employee's personal development and the training results are available
indicating the accomplishment of the training plan.

2.4.3 On board training should be given to each employee, including the job training and HSE training.

2.4.4 Technical training had been held for employee such as material cutting, welding, NDT, Heat treatment, testing, etc.

2.4.5 External training had been arranged for technical staff yearly, with a plan.

2.4.6 Project training had been held for projects to assure the workers on line can understand the general quality
requirements, especially the visual quality. Training records were available.

2.5 Personnel Qualification Sub-total 0 Comments

2.5.1 Is there a skill evaluation (multi-skills matrix) and personal training plan in place for employees?

2.5.2 Determine the necessary competence of persons doing work that affects performance and effectiveness of Quality
Management System. These persons are competent on basis of appropriate education, training or experience. And
the performance record is available.
 0

Potential Number of Criteria Checked

 Supplier and Sub-vendor Management
3.1 Purchasing Management
3.1.1 Does the manufacturer has procedures, system and policy in place to do the evaluation and approval of their
suppliers?

3.1.2 Is there a approved supplier list in place? Does the supplier list present any sort of the risk?

3.1.3 The supplier management procedure described the supplier audit plan requirements for deferent type of supplier to
evaluate the service quality of them. Have ranged the suppliers according to the performance? Record is available.

3.1.4 The supplier audit results show a comprehensive evaluation criteria are set up for the aspects of material quality,
timeliness, and service quality, technical competence, production competence, etc., and performed by all related
department.

3.1.5 Evidence show suppliers had been involved in the manufacturing process as technical provider to solve the problems
that may be related to raw material such as the welding material, coating, and other production equipment.

3.2 Sub-vendor Management

3.2.1 There is a complete procedure to manage sub-vendor. And described the subcontracting condition, such as products
type, or process type, etc. formal contract between the two parties is available.

3.2.2 Sub-vendor performance evaluation results are available indicating the comply with procedure.

3.2.3 Qualification of sub-vendor had been well managed including the sub-vendor employee, such as the welders and
NDT personnel qualification, as well as the company qualification of TS, ASME, etc.

3.3 Third party engagement

3.3.1 Had a widely cooperation with international inspection body that involved in the big international projects, with good
reputation.
 Evaluated Score Max Score Obtained Final Score
Full Almost Less than Not satisfied
satisfied satisfied expection 0 0 #DIV/0! Total Number: 0

Sub-total 0 Comments Potential Criteria Checked Potential Number of Criteria Checked

Sub-total 0 Comments

Sub-total 0 Comments
 Engineering Process Control
4.1 Design and Development
4.1.1

4.1.2

4.1.3

4.1.4

4.2 Planning of input/output (Type design, drawing)

4.2.1

4.2.2

4.2.3

4.2.4

4.2.5

4.3 Control of Change

4.3.1

4.3.2
 4.3.3

4.4 Documents Control

4.4.1

4.4.2

4.4.3

4.4.4

4.4.5

4.4.6

4.5 Confidentiality
4.5.1

4.5.2

4.4.2
 Engineering Process Control
Design and Development
There is a separate R&D department. And engineers have adequate technical background and certification required.

There is R&D procedure for new product, and the PFD are available for review, and also the personnel are assigned
to take charge. Process stage include applicable design and development reviews.

The ratio of investment in R&D against the turnover on the current year? Does the supplier pay attention on the
product development?

Professional design tools and software are available with latest authorized edition, and applied skilled.

Planning of input/output (Type design, drawing)

Is there a procedure to control all design input such as client's technical specification, and type-design process, and
type design data, and all design output

Do the manufacturing process design inputs requirements include:

(1) product design output data
(2) target for productivity, process capability and cost
(3) customer requirement
(4) experience from previous development

Do the manufacturing process outputs include:

(1) Specification and Drawing (well controlled with revision including modification records)
(2) Manufacturing process flow-chart
(3) Work Instructions

The documented information need to demonstrate that design and development requirements have been met.

The information derived from previous similar design and development activities available?

Control of Change
There is procedure to control the change including the design change, process change, personnel change etc.

There is flow chart to guide the control of change, and responsible person and department are defined. Records
show the procedure are well followed.
 Potential consequence of failure due to the nature of products and services. Risk assessment had been made before
change implementation always and signed by responsible person and department.

Documents Control
Documentation control procedures are available and all controlled documents are maintained according to that
procedure.

The MRB of previous project is well organized with good recognized industrial practice, with index and correct pages.

Material and parts traceability can be well proved in the process records and reports, such as serial no., item no. and
heat no., batch no.

All documents for internal use and for client are show a good layout design with correct and professional noun. And
translation, at least English is available.

Records and reports used in the process are found with controlled version, with authorized signature.

Primary record in the workshop show a good industrial practice: protected, clean, handwriting is clear, and careful.

Confidentiality
How many patents does the supplier have? Is there a system in place to protect intellectual property?

Is there any potential risk related with intellectual property?

Does the supplier have a system to assure a non-disclosure agreement to cover all CODELCO business information?
 Evaluated Score Max Score Obtained Final Score
Full Almost Less than Not satisfied
satisfied satisfied expection 0 0 #DIV/0!

Sub-total 0 Comments

Sub-total 0 Comments

Sub-total 0 Comments
Sub-total 0 Comments

Sub-total 0 Comments
 Total Number: 0

Potential Criteria Checked Potential Number of Criteria Checked

 Production Process Control
5.1 Production Planning
5.1.1

5.1.2

5.1.3

5.1.4

5.1.5

5.2 Production Implementation

5.2.1

5.2.2

5.2.3

5.3 Traceability Control

5.3.1

5.3.2

5.3.3

5.4 Metrology and Calibration

 5.3.1

5.3.2

5.5 Information Technology

5.5.1
5.5.2
 Production Process Control
Production Planning
Working capacity at the current year:
Score 5: 60%-80%
Score 4: 40%-60% or 80%-100%
Score 2: <40%

Production plan is assigned to each process and followed the status daily.

Flow chart is normally prepared for products to be manufactured and approved by client before production

Manufacturing procedure specification (MPS) is normally prepared for each order for client. Record available.

Inspection Test Plan (ITP) is available for each order and include all activities to be performed.

Production Implementation
Does the supplier have Work Instructions (WI) defining the manner of production, installations for each process? And
clearly specify the machine, fixtures, tools, gauges and program to be used?

Do the WI specify the materials to be used? (eg. Part number/name, assembly tools, inspection tools).

Do the WI specify the process specification and machine setting (eg. Temperature, pressure, adjustment)

Traceability Control
There is a traceability system and procedures described the marking method and the meaning of marking format,
also, the procedure shall describe who is in charge of the marking shift in the workshop

Every parts were found with marking with correct marking method and format.
Marking on parts in the workshop were found fully comply with the specified procedures

Traceability records is available and maintained well in the documents

Metrology and Calibration

 Metrological department or responsible person for measurement tool calibration available.

Are there documented procedures for control of inspection, mearsuring, test equipment? Including:
(1) Equipment master list
(2) Calibration interval
(3) Calibration schedule
(4) Recall list
(5) Calibration record/report

Information Technology
MRP or ERP system or relevant management system implemented.
Proficient implementation in Management Information System (MIS) to improve efficiency. Which MIS implemented?
 Evaluated Score Max Score Obtained Final Score
Full satisfied Almost Less than Not satisfied
satisfied expection 0 0 #DIV/0!

Sub-tatal 0 Comments

Sub-total 0 Comments

Sub-total 0 Comments

Sub-total 0 Comments
Sub-total 0 Comments
 Total Number: 0

Potential Criteria Checked Potential Number of Criteria Checked

 Manufacturing Quality Control
for Seamless Pipes
6.1 Manufacturing process control
6.1.1

6.1.2

6.1.3

6.1.4

6.1.5

6.1.6

6.1.7

6.1.8

6.1.9

6.2 Equipment Capacity Management

6.2.1

6.2.2

6.2.3

6.2.4

6.2.5
 6.2.6

6.2.7

6.2.8

6.3 Storage and Packing Condition

6.3.1

6.3.2

6.3.3

6.3.4

6.3.5
 Manufacturing Quality Control
for Seamless Pipes
Manufacturing process control
Material incoming
Material incoming procedure available and implemented well. Inspection record available. MTC was reviewed.
Internal control for material mechanical property test.

Material cutting
Material cutting procedure available and followed up completely with inspection record available.

Welding Procedure Qualification

Verified WPS followed and present at working station with site welding record available

Heat treatment
Heat treatment procedures are prepared and acceptable according to applicable specification and standard, and
approved by client or responsible engineer. Heat treatment records are available with chart that reflect the procedure
are correctly performed.

Sampling and lab testing

Sampling was verified done according to standard requirements. Samples were maintained with good traceability and
document record.
There is internal lab carried out all the test with good test record system.
Sub-contracted testing were managed according to procedure that is available for review

NDT
NDT procedures including to report format are approved according to applicable standards by high level personnel.
Reports were available and correctly signed.

Final inspection (visual and dimension)

Final inspection was performed by QC that was available on line. Inspection record for products on line are available.
Non-conformance can be treated with integrity according to NCR procedure.

Surface treatment process

Surface treatment procedure available and followed up completely with inspection record available.

Marking
Permanent marking is made according standard or specification requirements. The marking is clear and readable
with permanent paint or stamping, for each pipe.

Equipment Capacity Management

Looking from the workshop. All equipment appeared a good maintained was made.

5S was done in a practical manners

List of equipment and capacity present and updated. Investment plan for new equipment present.

Critical equipment was identified in procedure and particular operation/maintainece instructions were made to those
equipment. Backup and sufficient spare parts were maintained for emergency replace.

There is enough heat treatment furnaces for heating before piercing, and enough furnace for final heat treatment
such as normalizing, tempering, annealing, etc.
 There is enough on line NDT equipment of ET, UT and pressure test for use, and well calibrated in gauges, system,
and probe, etc.

There is enough surface treatment facility such as grinding/polishing, pickling/passivation and blasting/coating are
available. Material traceability are maintained well from site visit.

Fuel type and power type of heat treatment furnace is modern, no coal fuel applied.

Storage and Packing Condition

Zone layout was clearly to identify the acceptable area, Unacceptable area, and packing operation area are
separated. Packing and storage condition is dry, ventilate, and entrance control is available

All acceptable parts or products had been marked with PASS label by QA/QC department. Visual quality show that
inspection were performed correctly.

Packing procedure or customized packing specification is available for previous orders.

Packing material are well storage and the usage followed the principle of received first and used first.

Packing material, method, and packing quality are show the good industrial practice are followed.
 Evaluated Score Max Score Obtained Final Score
Full satisfied Almost Less than Not satisfied
satisfied expection 110 105 95%

Sub-total 43 Comments
Material incoming is inspected and tested as per
5 procedure LZ/CX14-ZY01-1-Ver.7, and the records is
available.

Material cutting is performed as per work instruction

5 LZ/CX09-ZY01-Ver.7, and the records is available.

Welding process is performed as per work instruction

5 LZ/CX09-ZY03-Ver.7, and the records is available.

Heat treatment was controlled with computer, and all

temp. monitoring chart was only can be checked from
4 computer. Chart was normally not provided.

All sample can be taken as per work instruction

LZ/CX14-ZY01-11-Ver.7 and all related tests can be
5 performed at internal test lab as per work instruction
LZ/CX14-ZY01-6~10-Ver.7

All related tests can be performed by NDT team as per

work instruction LZ/CX14-ZY01-3~5 & 14~16-Ver.7
5

All related inspections can be performed by QC team

as per work instruction LZ/CX14-ZY01-Ver.7
5

All related inspections can be performed by QC team

4 as per work instruction LZ/CX13-ZY01-Ver.7

All related inspections can be performed by QC team

5 as per work instruction LZ/CX13-ZY01-Ver.7

Sub-total 38 Comments
5 Very clean

5 5S project was run well in this company

Yes, the list of equipment ia available. But no

4 envestment plan was shown.

Yes well managed.

5

The on-line heat treatment equipments are available,

4 and the temperature is controlled by computer.
 The on-line NDT equipment of UT and hydraulic
5 pressure equipment are available, and the operations
are controlled by computer.
Surface treatment facilities are available. The unique
5 pipe no. is painted by on-line mark equipment.

Electric heat treatment equipment.

5

Sub-total 24 Comments
The zone layout is clearly, the storage management of
5 pipes is efficient.

No special process for acceptable announcement

4 marking.

All related inspections can be performed by QC team

5 as per work instruction LZ/CX13-ZY01-Ver.7

All related inspections can be performed by QC team

5 as per work instruction LZ/CX13-ZY01-Ver.7

All related inspections can be performed by QC team

5 as per work instruction LZ/CX13-ZY01-Ver.7
 Total Number: 22

Potential Criteria Checked Potential Number of Criteria Checked

1 9

1 8

1
1

1 5

1
 Quality Management
7.1 QM System Certification
7.1.1

7.1.2

7.1.3

7.1.4

7.2 QM Manual
7.2.1

7.2.2

7.2.3

7.3 QA Procedure and ITP

 7.3.1

7.3.2

7.3.3

7.3.4

7.3.5

7.3.6

7.4 QA/QC Personnel Assignment

7.4.1

7.5 Non-Conformance Control

7.5.1

7.5.2

7.5.3

7.5.4

7.6 Correction and Prevention Actions

7.6.1

7.6.2
 7.6.3

7.7 In-coming Material Management

7.7.1

7.7.2

7.7.3

7.7.4

7.8 In-process Inspection

7.8.1

7.8.2

7.8.3

7.8.4

7.9 Laboratory Testing Condition

7.9.1

7.9.2
 Quality Management
QM System Certification
Does the manufacturer hold any international recognized quality certificate?
Which certificate? Certified by whom? When? Expired date?

How many staffs work for Quality Department?

Do quantified quality objectives and appropriate means to reach have been put in place by top management?

Manufacture standard used GB or International standard covered, such as ASME, CSA, And CE. And international
certificates of ASME U/S, CSW47.1, EN ISO 3834, etc. is/are available and valid

QM Manual
Does the Manual contain procedures for all the activities of the manufacturer?
a) Quality Planning
b) Manufacturing Operation Control
c) Drawing. Documentation and Engineering Control
d) Vendor Quality Assurance Surveillance
e) Procurement Control
f) Receiving Inspection
g) In Process and Final Inspection
h) Verification and Identification of Materials (traceability)
i) Non-conforming Materials
J) Internal Quality Audits
k) Corrective Action
I) Storage. Cleaning. Packing and Shipping

Are internal quality audits(system, products, process) performed by manufacturer to improve itself? (For information
only, has the manufacturer been already audited by other clients, which ones and what was the result)?

Has the manufacturer put in place a system to measure the quality and quality costs (key indicators, prevention,
control, internal and external defects)?

QA Procedure and ITP

 QA procedures defined the QA and QC team job description and QA/QC team organization chart is available. The
QC is available for each manufacturing process

ITP/QAP is normally available for previous order and issued with official signature of QA department and client
representative

ITP/QAP normally contains all production processes that conform to the production flow diagram.

ITP/QAP normally contains the step number., process description, inspection activities, referred documents,
acceptance criteria and inspection control level area for inspection code marking and signature.

QA procedures and work instructions, standards referred in the ITP are available for review in the company. The
edition or version number are controlled in the QM manual, or specially approved by client

QA procedures and work instructions referred in the ITP are documented with Chinese/English language, and well
layout designed for project propose.

QA/QC Personnel Assignment

The personnel (NDT inspector, painting inspector and etc. ) for each manufacturing and inspection process should
have the equivalent qualification and certification within the period of validity.

Non-Conformance Control
There is a operable non-conformance control procedure to describe the Non-conformance categories and general
NCR handling procedure. The reaction to NC should include actions to control and correct; how to deal with the
consequences.

Evaluation procedure for action to eliminate the causes should include:

a) reviewing and analyzing
b) determining causes of NC (root cause analysis)
c) determining if similar NCs exist or potentially occur
d) preventive action

Implementation any action needed such as rework, repair, reject. Record is available.

Is there an adequate system in place to open, investigate, control and correct the NC regarding customer claims?

Correction and Prevention Actions

Production records show all the corrections and repair had been well re-inspected with records.

Non-conformances had been well documented and a statistic was yearly done by QA department and the continuous
improvement countermeasures were performed by QA department
 According to NCR statistic and RCA, a prevention actions have been planned to execute. Such as further training,
technical update for equipment, and procedure revision rise.

In-coming Material Management

Is there a dedicated area for logistic (quantity, label, packaging) and quality (material, defect,…) inspection?

The inspection operations performed in accordance with approved written instructions (inspection instructions
available for operators)

Are procedures and facilities in place to isolate in-coming material until it has been approved?

The auditor shall review the checks on the followings:

a) Maker's name and location
b) Certificate number, grade
c) Batch number
d) Dimension
e) Physical properties
f) chemical properties…

In-process Inspection
Workshop inspection procedure is available and effective in the QM manual or special approved by client. Inspection
level and inspection notification procedure are defined.

Inspection requirements are available at workshop and the sampling rate, inspection items are clearly and comply
with project order.

Inspection notification had been correctly issued internally to QC and externally to client for all required inspection
point.

Inspection records and reports are available with primary input and the computer edited reports have been signed
with hand signature or electrical signature.

Laboratory Testing Condition

There is a lab capable for all tests required during the design and production.

Test equipment are well maintained with calibration records clearly.

 Evaluated Score Max Score Obtained Final Score

Sub-total 0 0

Sub-total 0 Comments

Sub-total 0 Comments
 Sub-total 5 Comments
Personnel list is available to find each person's
5 assignment

Sub-total 0 Comments

Sub-total 0 Comments
Sub-total 0 Comments

Sub-total 0 Comments

Sub-total 0 Comments
Potential Criteria Checked Potential Number of Criteria Checked
1 1
 EHS/Social Responsibility
7.1 HSE Assurance
7.1.1

7.1.2

7.1.3

7.1.4

7.1.5

7.1.6

7.2 Safety Management

7.2.1

7.2.2

7.2.3

7.2.4

7.2.5

7.2.6

7.2.7

7.3 Environment Protection

7.3.1

7.3.2
 7.3.3

7.3.4

7.4 Company Code & Social Responsibility

7.4.1

7.4.2

7.4.3

7.4.4
 EHS/Social Responsibility
HSE Assurance
If your company passed the ISO14000/OHSAS18001?

How about the HSE manual and HSE related procedures

Any training for the HSE knowledge?

Any work injury recorded and preventive actions?

Which environmental aspects have the most significant impact

How does the company segregate the waste

Safety Management
There is a procedure and process flow chart to identify any pertential risk of safety to products and personnel

Is there a safety review procedure and wll followed by HSE department

The safety supervisor is appointed and available in the workshop

Safety mark is correctly applied in the working area, and safety warning looking board in the workshop is availble.

Set up a plan for emergency response for a potential accident, such as a fire, and rehearse regularly

Is there enough protection for employee's health and safety at the process position where has a potential risk.

All workers have the awearance of safety and PPE are correcly applied

Environment Protection
Has identified the environmental factors in the process of design, development, and production services? And set up
the corresponding control measures to reduce the negative impact of environmental factors on the environment?

Does the supplier apply the enviormental friendly equipment which follow the law locally?
 Does the supplier follow the Environment-related legal requirements? Such as:
a) Process license
b) emisioons/noise limits
c) Control of waste contractors
d)Handling of hazardous materials
e)Planning/building licenses
f)Water abstraction licence
g) Public disclosure

Does the supplier follow the other enviromental-related requirement? Such as:
a) codes of practice
b) sector guidance for best technology
c) site policy
d) corporate/group policy
e) other standards
f) organisation's commitments

Company Code & Social Responsibility

Is there a system in place to manage the prohibiting on Bribery and Corruption? The policy should be available.

Does the supplier implement a policy to avoid any discrimination in employment /carrier promotion/ wages (…) based
on gender, race, colour, religion, origin, disability or any such other form ?

Does the supplier have a policy, procedures or demonstrated practices to encourage human capital formation for
local population by creating employment opportunities.

Is there any evidence showing that the supplier has created a positive impact on society while doing business
(continuing commitment by business to behave ehtically and contribute to economic development?)
 Evaluated Score Max Score Obtained Final Score

Sub-total 5 Comments

Sub-total 0 Comments

Sub-total 0 Comments
Sub-total 0 Comments
 Total Number: 21
Potential Criteria Checked Potential Number of Criteria Checked

1 6

1 7

1 4

1
1

1 4