Information and Instructions通知和说明书
PURPOSE目的
This document is developed as an Audit Tool to assess a supplier's product environment System against
HUAWEI's Requirements. HUAWEI Product Environment System Audit is based on QC080000 Standard and add
HUAWEI specific requirements.
本文件是根据华为的产品环保管理体系要求开发的稽核工具，用于评估供应商的产品环保管理体系。华为的产品环
保管理体系稽核是建立在QC080000标准的基础上，但是增加了华为的特殊要求。
SCOPE范围
The HUAWEI Product Environment System Audit is not commodity-specific, therefore it will be used to assess the
Product Environment System deployed by a supplier/manufacture.
华为的产品环保管理体系稽核不是针对产品的，因此产品环保管理体系稽查用于评估供应商的产品环保管理体系。
AUDIT BY SELF ASSESSMENT自我评估稽核A supplier's facility is required to complete a self-assessment using this tool in advance of the HUAWEI Audit. By
doing this, a facility will be able to prepare for the audit and seek advance help and guidance from HUAWEI SQE.
It is expected that based on self audit results, a supplier will inform the HUAWEI team of their readiness for a
formal HUAWEI audit. A self assessment is completed by scoring the relevant column in each worksheet.
供应商的工厂需要在华为稽核之前用该工具进行自我评估。为了做好自我评估，进而取得成效，工厂需要为稽核做
好准备，也可从华为的SQE那里寻求帮助和指导。同时也期望供应商基于自我评估的结果，在准备就绪后通知华为
进行正式的稽核。自我评估结果应在每一个工作表中对应的栏目完成评分。
AUDIT BY HUAWEI华为稽核
During the audit process, the HUAWEI Auditor will review every question/criterion listed on the audit document.
The score awarded by the Auditor will be entered in the 'Score' column on each worksheet.
在稽核过程中，华为审核员将评审稽核文件里面的每一个问题，华为审核员应在每一个工作表中的HW Score进行打分。
AUDIT RESULTS稽核结果
Product Environment System Audit
产品环保体系考察
The SQE Auditor must complete ALL sections before an Audit Result can be declared.
1. If a suppliers gets 0 points for key items in a module, this supplier's total score for this module shall be 0.
2. Based on the above rules, the passing criteria for suppliers are as follows:
Criteria Type A:
The 'Pass' score for the Audit is more than or equal to 85, a 'Passed' result is awarded.
If an Audit Score of equal or more than 75 but less than 85, a 'Conditionally Passed' result is awarded.
If an Audit Score of less than 75, a 'Fail' or 'Not Pass' result is awarded.
Criteria Type B:
The 'Pass' score for the Audit is more than or equal to 80, a 'Passed' result is awarded.
If an Audit Score of equal or more than 70 but less than 80, a 'Conditionally Passed' result is awarded.
If an Audit Score of less than 70, a 'Fail' or 'Not Pass' result is awarded.
Criteria Type C:
The 'Pass' score for the Audit is more than or equal to 70, a 'Passed' result is awarded.
If an Audit Score of equal or more than 60 but less than 70, a 'Conditionally Passed' result is awarded.
If an Audit Score of less than 60, a 'Fail' or 'Not Pass' result is awarded.
审核员必须在审核结果公布前完成所有部分的审核。
1、各模块有关键项为0分，该模块得分为0
2、在上面规则基础上，按不同品类通过标准：
A类：整体得分 >=85 通过；75-85 条件通过；<75 不通过
B类：整体得分 >=80 通过；70-80 条件通过；<70 不通过
C类：整体得分 >=70 通过；60-70 条件通过；<60 不通过If a "Conditionally Passed" Result is awarded, a Corrective Action Plan is due from the supplier within TWO weeks
of the date of audit completion for finding list items.
If a "Not Pass" Result is awarded, a Corrective Action Plan is due from the supplier within TWO weeks of the date
of audit completion for finding list items. On completion of this Corrective Action Plan, a supplier is required to
generate second Corrective Action Plan to bridge to 'Approved' Status.
All Corrective Action Plans must contain a timeline to 'bridge' to a 'Conditionally Passed' or 'Passed' status,
depending on the initial audit result, and must propose a target date for a HUAWEI follow-up Audit.
Failure to achieve a 'Conditionally Passed' Result on a follow up Audit may impact business award decisions.
如果结果是有条件通过，则供应商应在稽核完成后2周内对扣分项部分提交纠正行动计划。
如果结果是不通过，则供应商应在稽核完成后2周内对扣分项部分提交纠正行动计划。在纠正行动计划完成后，供应
商应输出第二轮纠正行动计划以达到通过的状态。
所有的纠正行动计划必须依据最初稽核结果，确定提升到有条件通过或通过的状态的截至日期，并给出华为跟踪稽
核的建议日期。
跟踪稽核结果如果不能达到有条件通过，可能会影响商务合作的决议。
A PASS RESULT通过结果
Once a supplier's facility has Passed the Audit, the Product Environment Systems are approved for the facility
audited, not all supplier facilities.
Passing the Product Environment System Audit does not guarantee a business award, but is the first step towards
winning technical approval for a site.
一旦供应商的工厂通过了该稽核，表示稽核过的工厂的产品环保管理体系获得认可，不代表供应商所有的工厂。
通过产品环保管理体系稽核并不保证一定会有商务合作，但它是获得技术承认的第一步。
AUDIT SCORING审核评分
The Audit breaks down the Product Environment System into individual sections, each of which is represented by
an individual worksheet.
There can only be one of five answers to any question, . (0), (1), (2), (3), (4).
“0”: wrong or no procedure, wrong or no action.
“1”: correct procedure, but only a few parts are executed according to the requirements, and most parts are not
executed.
“2”: correct procedure, but only parts are executed according to the requirements, and some parts are not
executed.
“3”: correct procedure, most of the procedures are executed according to the requirements, but some of the
procedures are not executed.
“4”: all correct including procedure and implementation. Any Criterion that scores 4 shall be clearly demonstrated,
followed, and be beyond reproach.
In the event that a supplier clearly meets the intent of the audit question, and exactly do what the question asks, a
score of 4 shall be given.
Note: Item is a core item, with a weight of 6 points:
"0": it is not done at all.
"1": only a few of them are achieved.
"2": parts of them are achieved.
"3": most of them are achieved.
"4": the performance is fully achieved but no continuous improvement is made.
"5": the performance is fully achieved but regular continuous improvement is incomplete.
"6": Completely achieved and regularly reviewed for continuous improvement
本稽核把产品环保管理体系分成几个单独的部分，每一部分在单独的工作表陈述。每一个问题只有一个答案，如0、
1、2、3、4。
0分：程序错误或没有程序，错误的执行或完全没有执行，带有风险；
1分：程序正确，但仅极少部分按要求执行，大部分都没有按照要求执行；
2分：程序正确，但仅部分按要求执行，还有部分没有按要求执行；
3分：程序正确，大部分按要求执行，但发现有少部分不按要求执行的情况；
4分：程序和执行都正确。应充分地验证、跟踪任何给4分的项目。如果供应商充分满足稽核问题体现的意图，并清
楚问题所问的是什么，得4分。
备注：项为核心关键项，权重为6分：
0分表示完全没有做到；
1分表示极少部分做到；
2分表示少部分做到；
3分表示大部分做到；
4分表示完全做到但未进行持续改进；
5分表示完全做到但定期持续改进不完整；
6分表示完全做到且定期审视持续改进。
在稽核过程中，华为审核员将评审稽核文件里面的每一个问题，华为审核员应在每一个工作表中的HW Score进行打分。
Product Environment System Audit
产品环保体系考察
供应商产品环保（RoHS/REACH/ELV等）体系审核报告
Auditing Report of Supplier Product Environment Management System
供应商名称 Vendor name:
主要业务 Main Business
地点 Address
电话/传真 Telephone/FAX 联系人Contact person
审核小组成员
Auditing person 审核员Auditor 组员Menber
标准类型 Criteria Type B 80 审核时间Auditing time
自检符合率
Proportion of
Compliance
审核符合率
Proportion of
% %
#DIV/0! #DIV/0!
#DIV/0! #DIV/0!
#DIV/0! #DIV/0!
#REF! #REF!
#DIV/0! #DIV/0!
序号It
em
项目内容
Field
标准分权重
Weight
通过标准
Passing Criteria
1 管理体系 Management Systems 25 20
2 研发 Development 10 8
3 采购 Procurement 25 20
4 来料检验 Incoming Inspection 25 20
5 生产 Production 10 8
6 物流 Logistics 5 4
综合得分 Total Score
管理体系 Management Systems
研发 Development
采购 Procurement
来料检验 Incoming
Inspection
生产 Production
物流 Logistics
%
%
%
%
%
%
%
%
%
Self Score
Huawei Score
供应商审核综述
Summarize of Vendor Environment System Auditing
总体评价(根据前期商务\技术资料和现场审计作出)Overall Comments
（一）物料环保风险：产品中不含有/含有华为定义的环保高风险材料：PVC/ABS/PET/PP/PA/焊锡/软塑料等；
（二）做的较好的方面：通过了QC080000认证，内外审发现的问题有闭环管理；有对产品环保符合性及环保资料进行评审且评审规则清晰可执行；新物
料引入时有对环保资料进行审核且审核规则清晰可执行；有IT平台管理供应商提供的环保资料；有检测能力，通过IT平台实现来料抽检频次的执
行（如无优点就不描述）；
（三）存在的主要问题：未建立有效的有害物质管理体系，未任命有害物质管理组织，未开展有害物质管理体系内审，作为终端物料供应商，未通过QC0
80000认证，作为车载物料供应商，没有具备CAMDS/IMDS资质的工作人员，有害物质管控标准不满足华为要求；研发环节未将环保要求纳入产品规格中，
研发环节未对产品环保符合性及环保资料进行评审，没有产品环保资料评审的合格判据；未与供应商签署环保协议或不使用禁用物质承诺书，未对供应
商进行环保体系稽查，新物料引入时无环保资料要求，新物料引入时未对供应商提供的环保资料进行有效审核，没有环保资料审核的合格判据，供应商P
CN管理规定中没有环保相关内容；未对来料进行例行抽检而是只检查上游供应商提供的检测报告，无检测能力，新增4项禁用物质只看供
应商的检测报告而不进行抽测，来料检验未按照规定的频次抽检，XRF测试标准设置错误，没有XRF测试异常处理流程；
（四）审核结论：通过/条件通过/不合格。
供应商自评得分
Self Score weighted
实际得标准分
Huawei Score
weighted
60% 80% 90%
#DIV/0! #DIV/0! 60% 80% 90%
#DIV/0! #DIV/0! 60% 80% 90%
#DIV/0! #DIV/0! 60% 80% 90%
#REF! #REF! 60% 80% 90%
#DIV/0! #DIV/0! 60% 80% 90%
#DIV/0! #DIV/0!
供应商产品环保（RoHS/REACH/ELV等）体系审核报告
Auditing Report of Supplier Product Environment Management System
联系人Contact person
组员Menber
审核时间Auditing time
通过标准
Passing Criteria
20
8
20
20
8
4
综合得分 Total Score
管理体系 Management Systems
研发 Development
采购 Procurement
来料检验 Incoming
Inspection
生产 Production
物流 Logistics
%
%
%
%
%
%
%
%
%
Self Score
Huawei Score
分数Score 评价等级Grade
＜ 70 不合格Fail
70 _ 80 条件通过Pass
≥ 80 通过Pass
供应商审核综述
Summarize of Vendor Environment System Auditing
总体评价(根据前期商务\技术资料和现场审计作出)Overall Comments
（一）物料环保风险：产品中不含有/含有华为定义的环保高风险材料：PVC/ABS/PET/PP/PA/焊锡/软塑料等；
（二）做的较好的方面：通过了QC080000认证，内外审发现的问题有闭环管理；有对产品环保符合性及环保资料进行评审且评审规则清晰可执行；新物
料引入时有对环保资料进行审核且审核规则清晰可执行；有IT平台管理供应商提供的环保资料；有检测能力，通过IT平台实现来料抽检频次的执
行（如无优点就不描述）；
（三）存在的主要问题：未建立有效的有害物质管理体系，未任命有害物质管理组织，未开展有害物质管理体系内审，作为终端物料供应商，未通过QC0
80000认证，作为车载物料供应商，没有具备CAMDS/IMDS资质的工作人员，有害物质管控标准不满足华为要求；研发环节未将环保要求纳入产品规格中，
研发环节未对产品环保符合性及环保资料进行评审，没有产品环保资料评审的合格判据；未与供应商签署环保协议或不使用禁用物质承诺书，未对供应
商进行环保体系稽查，新物料引入时无环保资料要求，新物料引入时未对供应商提供的环保资料进行有效审核，没有环保资料审核的合格判据，供应商P
CN管理规定中没有环保相关内容；未对来料进行例行抽检而是只检查上游供应商提供的检测报告，无检测能力，新增4项禁用物质只看供
应商的检测报告而不进行抽测，来料检验未按照规定的频次抽检，XRF测试标准设置错误，没有XRF测试异常处理流程；
（四）审核结论：通过/条件通过/不合格。
0
#DIV/0!
#DIV/0!
#DIV/0!
#REF!
#DIV/0!
稽查类型 稽查日期 条款号
问题描述 问题类型 问题严重等级
问题发现人 责任SQE
QSA 质量体系
QPA 设计和新产品导入
Environment Protection
供应商质量管控
CSR 制程管理
Cyber Security
文件与记录
Information Security 仓储运输管理
DSA
售后服务
业务连续性管理
组织过程管理
度量分析与改进
配置管理
资源管理
服务
人员专业化
关键岗位人员稳定
CSR
ROHS环保
QPA
信息安全
DSA
1、管理体系Management Systems
NO. 项目ITEM
有害物质管理
体系Hazardou
s Substances
Management
System
组织保障
Organization
Setting
需求分析
Requirement
Analysis
问题追溯
Question
Backwark
总得分Total score
合规性Proportion of compliance
评分等级参考
Reference Standard of Grade
(1)建立了有害物质管理体系，有完善的文件和流程，并能够完全按照流程和文件的要求加以落
实，并持续改进管理体系。
车载物料：增加对ELV指令及要求的考虑；终端物料供应商应通过QC080000认证。（6分）
There is perfect hazardous substances management system, document record and operation
flow. And the management system works very well and improves continuously. For Vehicle-
Mounted Material the ELV requirements should be considered additionally. For suppliers of
CBG products, QC080000 certificate is required.
(2)建立了有害物质管理体系，相关文件和流程有不完善的地方，但是能够大部份按照流程和文
件的要求进行操作。（3分）
There is hazardous substances management system, document record and operation flow.
And the main of management system works well.
(3)建立了有害物质管理体系，相关文件和流程有不完善的地方，只能够部份按照流程和文件的
要求进行操作。（1分）
There is hazardous substances management system, document record and operation flow. But
only parts work.
(4)没有建立有害物质管理体系，或没有相关文件和流程。（0分）
There is not hazardous substances management system, document record and operation flow.
(1)有确定的组织负责环保要求的实现，环保要求传达到了每个相关人员。车载物料：另要求具
备IMDS/CAMDS工作人员，具备资质，能够对物料成分信息进行录入、信息接收和反馈等。（4
分）
There is special team which is responsible for implementation of environmental requirements.
And the environmental requirements have been communicated to each relevant staff. For
Vehicle-Mounted Materials, authorized employee working on IMDA/CAMDS is additionally
necessary.
(2)有确定的组织负责环保要求的实现，环保要求有部分相关人员没有传达到。（2分）
There is special team which is responsible for implementation of environmental requirements.
The environmental requirements have been communicated to key person, the others have not
been communicated to.
(3)没有确定的组织负责环保要求的实现。（0分）
There is not special team which is responsible for implementation of environmental
requirements(1)对目标市场和客户的环保要求进行了全面的收集与分析，没有遗漏。（4分）
The environmental requirements of target market and customers have been collected and
analysed comprehensively.
(2)对目标市场和客户的环保要求进行了收集与分析，但是不完整，有明显遗漏。（2分）
The part environmental requirements of target market and customers have been collected and
analysed.
(3)没有对目标市场和客户的环保要求进行收集与分析。（0分）
The environmental requirements of target market and customers have not been collected and
analysed.
1、管理体系Management Systems
(1)对市场、客户或者来料检验等环节发现的环保不符合情况进行调查处理，并对历史物料通过IT
系统进行追溯，有调查处理，和后续召回等措施。（4分）
The cases which do not comply with the environmental requirement in incoming inspection or
in field have been investigated. And all material used and stored has been dealt with.
(2)对各环节发现的环保不符合情况进行调查处理，对历史物料通过IT系统进行追溯，部分有调查
处理报告。（2分）
The cases which do not comply with the environmental requirement in incoming inspection or
in field have been investigated. And parts of those material used and stored has been dealt
with.
(3)没有对各环节发现的环保不符合情况进行调查处理，没有对历史通过IT系统进行追溯。（0分
）
The cases which do not comply with the environmental requirement in incoming inspection
have not been investigated. And the all material used and stored has not been dealt with.
总得分Total score
合规性Proportion of compliance
供应商
自评
Self
Score
华为评分H
uawei
Score
现场审核评分依据
Onsite audit Scoring basis
相关文档及编号
Related
Documents No.
2
1.建立了有害物质管理体系，通过
了QC080000有害物质过程管理体
系认证；
2.建立了职业健康安全管理体系，
通过了ISO14001环境管理体系认证
；
3.分别于2022年9月7日、20日组织
了HSF内审、管理评审，参见附件
。
4
4
1、管理体系Management Systems
4
14 0
% %
证据要求 Evidence
○ 流程文件
△ 执行记录
○ 政策或制度文件
△ 执行记录（内审及管理评审记录，
有害物质管理目标及目标的达成情况
）
○ Policy or system documents
△ Execution records (report of
internal audit and Management
review, HSF target and
achievement)
○ 组织任命文件
△ 培训（培训材料和记录，智能汽车
物料供应商还应有具备IMDS/CAMD
S资质的人员）
○ Appointment notices issued by
the organization
△ Training (Training materials and
records,For Vehicle-Mounted
Materials, authorized employee
working on IMDA/CAMDS is
additionally necessary)
○ 需求收集的管理细则
△ 执行记录（是否有外来文件清单
及是否获取了华为最新版采购物料环
保规范）
△ 禁用物质要求是否满足华为环保
规范要求
○ Management documents
△ Execution records, such as the
List of external documents,the
version of Specifications of restrcited
substances for Huawei Purchasing
Materials
△ Comparisons between its
specifications and Huawei
specifications
1、管理体系Management Systems
○ 问题追溯流程及机制
△ 8D报告
○ Management documents
△ Execution records (8D report)
质量部
王士明
2、研发Development Management
NO. 项目ITEM
产品规格
Product
Specification
环保与非环保管
控
The
management of
compliance and
non-compliance
products and
materials
产品物料清单
Bill of Materials
研发评审Develo
pment Review
物料更改与替换
Material Change
and
Replacement
总得分Total score
合规性Proportion of compliance
评分等级参考
Reference Standard of Grade
(1)将环保要求（RoHS/REACH/ELV等)作为产品规格来管理，并且在实际的产品设计中，所有的
产品规格均有环保相关信息。（4分）
Environment requirements have been managed as product specification. And all product
specifications have environmental requirements.
(2)在产品规格中没有将环保作为产品规格来管理。（0分）
There is not any environment requirement in product specification.
(1)同一产品有环保和非环保两种规格，研发过程的管理非常完善，在产品编码和物料清单上能
够明确区分；或同一产品只有环保，没有非环保规格。车载物料考虑不同场景下的ELV/RoHS/R
EACH及客户要求。（4分）
There are compliance and non-compliance specification of one product. And the management
of development process is perfectly. The environment information can be identified easy in
product item or bom. Or there is only environment specification of all products. For Vehicle-
Mounted Materials, the ELV/ROHS/REACH and requirements from Customers on different
scenarios should be considered.
(2)同一产品有环保和非环保两种规格，但是产品编码和物料清单的管理比较混乱。（2分）
There are compliance and non-compliance specification of one product. But the management
of item and BOM is confusional.
(3)同一产品有环保和非环保两种规格，但在研发没有管控措施。（0分）
There are compliance and non-compliance specification of one product. But the specification
did not managed in development phase.
(1)产品物料清单（包括附件、连接线和所有辅助材料）对环保产品逐一确认所有材料符合环保
要求，抽查到的所有物料清单均满足要求。（4分）
Bill of materials (including attachments, cable, and all auxiliary materials) was confirmed that all
materials comply with the environment requirement if there is environmental requirement in the
specification. And the bom selected meets the environment product.
(2)产品物料清单（包括附件、连接线和所有辅助材料）中，有部分产品无法证明满足环保要求
。（2分）
There are some materials in product bom which can not be confirmed to comply with the
environmental requirement.
(3)产品物料清单（包括附件、连接线和所有辅助材料）无法判定是否满足环保要求。（0分）
The materials in product bom can not be confirmed to comply with the environmental
requirement.
2、研发Development Management
(1)研发过程有环保相关的评审点，评审模板有环保规格符合性方面的评审要求，并且所有评审
均对环保做了合规性评审。（4分）
There is environment compliance requierment in review phases and review template of
development process. And the environmental compliance was reviewed in all products review
actually.
(2)研发过程有环保相关的评审点，评审模板有环保规格符合性方面的评审要求，但是部分评审
没有进行环保规格符合性评审。（2分）
There is environment compliance requierment in review phases and review template of
development process. but the environmental compliance was not reviewed in some product
review phases.
(3)研发过程没有环保相关评审点。（0分）
There is not any environmental compliance requierment in development process.
(1)有明确的程序规定物料替代和供应商替换必须有对产品环保规格符合性确认，并且能够提供
相应的确认文件。（4分）
The compliance should be confirmed when material is alternative or supplier is replaced. The
support document should be provided.
(2)有明确的程序规定物料替代和供应商替换必须有对产品环保规格符合性确认，但是只能够提
供部分的确认文件。（2分）
The compliance should be confirmed when material is alternative or supplier is replaced, but
part of support document can not be provided.
(3)没有明确的程序规定物料替代和供应商替换必须有对产品环保规格符合性确认。（0分）
The compliance is not confirmed when material is alternative or supplier replaced.总得分Total score
合规性Proportion of compliance
供应商
自评
Self
Score
华为评分H
uawei
Score
现场审核评分依据
Onsite audit Scoring basis
相关文档及编号
Related
Documents No.
2、研发Development Management
0 0
#DIV/0! #DIV/0!
证据要求 Evidence
○ 流程文件
△ 执行记录
开发
马秀瑞
○ 产品设计的管理细则
△ 执行记录（规格书中是否有环保
要求）
○ Management documents
△ Execution records, such as the
Specifications including the
requirement of restrcited
substances
○ 产品环保规格管控方案
△ 执行记录（规格书中的环保要求
是否都是统一的环保要求）
○ Environment specification
management of all products
△ Execution records（Is there only
one environment specification of all
products）
○ 产品物料清单环保符合性确认细
则
△ 执行记录（BOM物料环保符合性
确认方式/记录，包括检测报告和MC
D）
○ Management documents
△ Execution records（The
confirmation record/method for
BOM）
2、研发Development Management
○ 研发评审规定细则
△ 执行记录（研发评审是否有环保
确认环节、是否有合格判据）
○ Management documents
△ Execution records (the
environment review record in R&D
process and the acceptable
criterion)
○ 物料更改与替换的管理细则
△ 执行记录（物料变更是否确认环
保资料及环保符合性）
○ Management documents
△ Execution records, such as the
environment review record for
Material Change and Replacement
3、采购Procurement
NO. 项目ITEM
供应商管理Supp
lier Management
环保要求Environ
mental
Requirement
供应商禁用物质
承诺declaration
of non-use of
restricted
materials
provided by
suppliers
环保文档Environ
mental
Document
新物料引入
Import of New
Material
环保属性设置
Setting of
Environment
Attribute
环保属性维护Ma
intenance of
Environment
Attribute
PCN管理
PCN
Management
总得分Total score
合规性Proportion of compliance
评分等级参考
Reference Standard of Grade
(1)在供应商管理流程中有对供应商环保责任的约束和违规的处罚规定，并与供应商签署了相关
协议。对不同风险级别的物料供应商有分层级的供应商稽查和审核计划。（4分）
There is agreement of environmental responsibility and penalties for violation in supplier
management, and all suppliers have signed the agreements.
(2)在供应商管理流程中没有对供应商环保责任的约束和违规的处罚规定。（0分）
There is not agreement of environmental responsibility and penalties for violation in supplier
management.
(1)采购规范中有明确的物料环保规格要求。（4分）
There is clear environmental requirement in procurement criterion.
(2)采购规范中没有明确的物料环保规格要求。（0分）
There is not any environmental requirement in procurement criterion.
(1)所有供应商都提供了不使用禁用物质承诺书。（4分）
All suppliers have provided the declaration of non-use of restricted materials
(2)大部份供应商有提供不使用禁用物质承诺书。（2分）
Most of suppliers have provided the declaration of non-use of restricted materials.
(3)供应商没有提供不使用禁用物质承诺书。（0分）
The declaration of non-use of restricted materials are not collectted.
3、采购Procurement
(1)所有供应商都提供了原材料环保规格符合性证明文件（包括但不限于材料成分信息、测试报
告等）。（4分）
All suppliers have provided support document of compliance (Including but not limited to
material composition table or test report)
(2)大部份供应商提供了原材料环保规格符合性证明文件（包括但不限于材料成分信息、测试报
告等）。（3分）
Most of suppliers have provided the support document of compliance (Including but not limited
to material composition table or test report)
(3)大部份供应商没有提供原材料环保规格符合性证明文件（包括但不限于材料成分信息、测试
报告等）。（1分）
Most of suppliers have not provided the support document of compliance (Including but not
limited to material composition table or test report)
(4)供应商没有提供原材料环保规格符合性证明文件（包括但不限于材料成分信息、测试报告等
）。（0分）
Suport document of compliance (Including but not limited to material composition table or test
report) are not collectted.
(1)新物料引入和认证认可流程中有对环保物料具体操作要求，并且所有的新物料引进均能够按
照此要求执行。（4分）
There are environment requirements in import and accreditation process of new material, and it
works very well.
(2)新物料引入和认证认可流程中有对环保物料具体操作要求，但是抽查到的新物料中有部分没
有按照要求执行。（2分）
There are environment requirements in import and accreditation process of new material, but
part of the selected material did not do according to the requirement.
(3)新物料引入和认证认可流程中没有对环保物料具体操作要求。（0分）
There are not environment requirements in import and accreditation process of new material.
(1)有物料环保属性设置选项，并且有赋值。（4分）
The environment attribute can be set in database(ERP, PDM, EXCEL). And the attribute has
been assigned.
(2)有物料环保属性设置，部分物料没有赋值。（2分）
The environment attribute can be set in database(ERP, PDM, EXCEL). But some attribute has
not been assigned.
(3)没有物料环保属性设置。（0分）
The environment attribute can not be set in database(ERP, PDM, EXCEL).
(1)有物料数据环保属性维护要求及操作指导书，并且完全按照环保属性维护要求进行维护。（4
分）
There are maintenance requirement and operation instruction of material environment attribute.
And which works very well.
(2)有物料数据环保属性维护要求及操作指导书，但是没有完全按照环保属性维护要求进行维护
。（2分）
There are maintenance requirement and operation instruction of material environment attribute.
But which do not work well.
(3)没有物料数据环保属性维护要求及操作指导书。（0分）
There are not maintenance requirement and operation instruction of material environment
attribute.
(1)对供应商PCN的管理流程中规定了环保变更要求，并且所有与物料环保相关的PCN均按照要
求操作。（4分）
The change of environment attribute should be managed in PCN management of suppliers,
and it works very well.
(2)对供应商PCN的管理流程中规定了环保变更要求，但是抽查到的部分与物料环保相关的PCN
没有按照要求操作。（2分）
The change of environment attribute should be managed in PCN management of suppliers, but
the PCN selectted did not do according to the PCN requirement.
(3)没有PCN或没有在PCN流程中规定环保变更要求。（0分）
The change of environment attribute has not been managed in PCN management of suppliers.
Or there is not PCN management.
总得分Total score
合规性Proportion of compliance
供应商
自评
Self
Score
华为评分H
uawei
Score
现场审核评分依据Onsite
audit Scoring basis
相关文档及编号
Related
Documents No.
3、采购Procurement
0 0
#DIV/0! #DIV/0!
证据要求 Evidence
○ 流程文件
△ 执行记录
○ 对供应商的环保管理规定（是否有环保责任
的约束和违规的处罚规定，是否有异常情况的
闭环管理规定，是否有分层分级的供应商稽查
机制和审核checklist，供应商绩效管理中是否
有环保相关要求）
△ 执行记录（是否与所有供应商都签署了相关
协议，是否有清单管理，异常情况的闭环管理
记录，稽查checklist和稽查记录，绩效考核环
保打分情况）
○ Supplier management
documents（Agreement of environmental
responsibility and penalties for
violation，supplier audit requirement and audit
checklist）
△ Execution records（list of suppiers signed,
audit checklist and the audit record）
○ 对供应商的环保要求（是否涵盖华为环保要
求）
△ 执行记录（是否传递给所有供应商）
○ Environment requirement of
suppliers（Does it cover Huawei's
environmental protection requirements）
△ Execution records（how to transfer to all
suppliers）
○ 对供应商不使用禁用物质承诺书的要求文件
△ 执行记录（是否所有供应商都有签署，是否
有清单管理）
○ Requirement for declaration of non-use of
restricted material
△ Execution records（the list of suppliers
signed）
3、采购Procurement
○ 对供应商环保文档的要求文件（MCD和检测
报告）
△ 执行记录（是否所有供应商都有提供，是否
有清单管理，是否有审核checklist）
○ Requirement for environment
document(MCD/MSDS, test report)
△ Execution records（the list of suppliers
provided, review checklist of environment
document）
○ 新物料引入的环保管理细则
△ 执行记录（新物料引入流程的环保评审节点
和记录）
○ Environment requirements for import and of
new material
△ Execution records（Environment review
record of new material import）
○ 环保属性设置的流程文件或者都是统一的环
保规格
△ 执行记录（环保属性赋值方式，或者都是统
一的环保规格）
○ Environment attribute management
document or there is only one unified
environmental specifications
△ Execution records（environment attribute,
or there is only one unified environmental
specifications）
○ 环保属性设置的操作指导书或者都是统一的
环保规格
△ 执行记录（环保属性赋值记录，或者都是统
一的环保规格）
○ Instruction of environment attribute
management or there is only one unified
environmental specifications
△ Execution records（environment attribute
record, or there is only one unified
environmental specifications）
○ 对供应商的PCN管理细则（材料及上游供应
商变更时是否有环保确认环节）
△
执行记录（关于物料及上游供应商变更的PCN评
审记录）
○ Suppliers PCN Management documents
△ Execution records (the environment review
record of PCN)
4、来料检验Incoming Inspection
NO. 项目ITEM
检验要求Inspe
ction
Requirement
检验能力Inspe
ction Ability
风险管控
Risk
Management
有害物质检测
Hazardous
substances
test
物料管控
Main Materials
Management
包材和电池管
控
Management
of Packaging
and Battery
辅料管控Mana
gement of
Auxiliary
Material
总得分Total score
合规性Proportion of compliance
评分等级参考
Reference Standard of Grade
(1)有来料检验操作指导书和检验项目模板明确定义对物料的环保规格符合性检验要求，并且对
所有的环保物料均按要求操作。（4分）
There is clear environment inspection requirement in incoming inspection instructions and
testing template, and which works very well.
(2)有来料检验操作指导书和检验项目模板明确定义对物料的环保规格符合性检验要求，但是有
部分环保物料的检验记录没有按要求操作。（2分）
There is clear environment inspection requirement in incoming inspection instructions and
testing template, but part of incoming inspection did not do according to the requirement.
(3)没有来料检验操作指导书和检验项目模板明确定义对环保物料的检验要求。（0分）
There is not clear environment inspection requirement in incoming inspection instructions and
testing template.
(1)有适当设备或利用社会检测机构检测过一些物料的环保符合性，并且能够提供相应的检测报
告。（4分）
A)自有检测设备时，应维护和校准 RoHS 测试设备，保留部件使用和更换的记录;
B)送第三方检测时，要有第三方检测计划;
C)车载供应商，可不测试要求的4项邻苯二甲酸酯类物质，只测试ELV指令要求的限用物
质。
Some samples have been test by own test equipment or sent to third part test institutions to
test the environment compliance, and the test reports can be provided.
A)If is own test equipment,ROHS test equipment should be maintenanced,and its component
repaired records have been kept.
B)If is to third part test institutions,test plan should be provided.
C)For Vehicle Materials, the restricted substances required by the ELV Directive should be
tested, the test of the four phthalic acid esters required by the ROHS is not necessary,
(2)没有适当设备也没有利用社会检测机构检测物料的环保规格符合性。（0分）
No samples has been test by own test equipment or sent to third part test institutions to test the
environment compliance.
(1)对物料进行了风险分级，对不同风险级别的物料有分层分级的环保监控措施。（4分）
All materials have been classified as different risk level, and different materials have different
levels of environmental control measures.
(2)没有对物料进行了风险分级，没有物料环保监控措施。（0分）
There is not any classification of material risk levels.
4、来料检验Incoming Inspection
(1)对物料按照风险分级进行不同频次的检测，或全检。（4分）
All materials have been classified as different risk level, and tested by different frequency
according to the risk level. Or all materials have been test.
(2)没有对物料进行环保检测。（0分）
None of any materials have been tested
(1)按照来料检验操作指导书对主材进行环保检测，并且有IT系统或者管控机制确保按照频次进
行抽检。（4分）
There is environment requirement in incoming inspection operation instructions and test
template of main materials, and there is IT system or control mechanism to ensure that the
main materials are checked at the specified frequency.
(2)来料检验操作指导书和检验项目模板中明确对主材的环保要求，但是在操作时部分没有按照
要求进行管控。（2分）
There is environment requirement in incoming inspection operation instructions and test
template of main materials, but parts of incoming materials has not been managed according to
the requirement.
(3)来料检验操作指导书和检验项目模板中没有明确对主材的环保要求。（0分）
There is not environment requirement in incoming inspection operation instructions and test
template of main materials.
(1)按照来料检验操作指导书对包材（直发物料）和电池进行环保检测，并且按照包材和电池的
环保要求设置了相应的合格判定标准。或不涉及。（4分）
There is environment requirement in incoming inspection operation instructions and test
template of packaging(Directly delivered materials) and battery, and they work very well. The
criteria for determining the test result are correctly set.
(2)来料检验操作指导书和检验项目模板中明确对包材（直发物料）和电池的环保要求，但是在
操作时部分没有按照要求进行管控。（2分）
There is environment requirement in incoming inspection operation instructions and test
template of packaging(Directly delivered materials) and battery, but parts of packaging and
battery did not managed according to the requirement.
(3)来料检验操作指导书和检验项目模板中没有明确对包材（直发物料）和电池的环保要求。（0
分）
There is not environment requirement in incoming inspection operation instructions and test
template of packaging(Directly delivered materials) and battery
(1)按照来料检验操作指导书对辅料进行环保检测，能够提供辅料清单和对应的检验报告。（4分
）
There is environment requirement in incoming inspection operation instructions and test
template of auxiliary material. The list and test reports of auxiliary material can be provided.
(2)来料检验操作指导书和检验项目模板中明确对辅料环保的要求，但是在操作时部分没有按照
要求进行管控。只能提供部分辅料清单和检验报告。（2分）
There is environment requirement in incoming inspection operation instructions and test
template of auxiliary material. But part of auxiliary materials did not manage according to the
list and test reports can be provided partly.
(3)来料检验操作指导书和检验项目模板中没有明确对辅料环保的要求。（0分）
There is not environment requirement in incoming inspection operation instructions and test
template of auxiliary materials.
总得分Total score
合规性Proportion of compliance
供应商
自评
Self
Score
华为评分H
uawei
Score
现场审核评分依据
Onsite audit Scoring basis
相关文档及编号
Related
Documents No.
4、来料检验Incoming Inspection
0 0
#DIV/0! #DIV/0!
证据要求 Evidence
○ 流程文件
△ 执行记录
○ 来料环保检验操作指导书（指
导书中应包括XRF测试结果判定标
准及结果为不确定后如何进一步
判定）
△ 执行记录（来料环保检测记录
）
○ Operation instruction for
incoming environment inspection
△ Execution
records（environment test
record）
○ 检测设备及能力（设备清单，
比如及检测设备
）
△ 执行记录（人员资质、设备校
验、拆分操作指南、操作指导书
）
○ Testing Equipment and
Inspection Ability
△ Execution
records（Equipment calibrations
record，Qualification of test
person, instruction）
必须满足项目
Must Comply Item
○ 分层分级的环保风险监控措施
细则
△ 执行记录（供应商环保风险分
级原则及清单）
○ Environment Risk
Management document
△ Execution records（the list of
environment risk level）
4、来料检验Incoming Inspection
○ 抽检频次规定细则（应包含确
保按频次抽检的措施或机制）
△ 执行记录（环保抽检记录）
○ Management document for
Environment test Frequency
（Sampling and management
mechanism should be included.
）
△ Execution records（test
record and incoming record）
○ 主料来料环保管理规定或者检
验要求
△ 执行记录（来料环保抽测及管
理机制或记录）
○ Management document for
incoming materials
△ Execution records（test
record of incoming materials）
○ 包材（直发物料）和电池的环
保来料检验要求
△ 执行记录（直发包材和电池的
环保来料测试记录）
○ Environment test
Management document for
packaging(Directly delivered
materials) and battery
△ Execution records（the test
record of packaging(Directly
delivered materials) and battery
）
○ 辅料环保来料检验要求
△ 执行记录（辅料清单及来料环
保检测记录）
○ Environment test
Management document for
auxiliary material
△ Execution records（the test
record of auxiliary material）
6、物流Logistics
NO. 项目ITEM
产品物流管理P
roduct Logistics
Management
物料物流管理
Material
Logistics
Management
包材物流管理
Packaging
Logistics
Management
总得分Total score
合规性Proportion of compliance
评分等级参考（识别和控制物流环节引入环保风险）
Reference Standard of Grade
(1)为了防止环保产品和非环保产品在整个物流过程中混料，制定了相关操作指导书，并且完
全按照操作指导书操作，避免混料发生。或不生产非环保产品。（4分）
There is operation instruction to avoid the mixture of the products which comply with
environmental requirement and the products which do not comply with. And which works
well. Or all products comply with the environmental requirement.
(2)没有防止环保产品和非环保产品在整个物流过程中不混料的程序。（0分）
There is not operation instruction to avoid the mixture of the products which comply with
environmental requirement and the products which do not comply with.
(1)为了防止环保物料和非环保物料在整个物流过程中混料，制定了相关操作指导书，并且完
全按照操作指导书操作，避免混料发生。或不生产非环保产品。（4分）
There is operation instruction to avoid the mixture of the materials which comply with
environmental requirement and the materials which do not comply with. And they work well.
Or all materials comply with the environmental requirement.
(2)没有防止环保物料和非环保物料在整个物流过程中不混料的程序。（0分）
There is not operation instruction to avoid the mixture of the materials which comply with
environmental requirement and the materials which do not comply with.
(1)为了防止对整机类产品（直发物料）的环保和非环保包材在整个物流过程中混料，制定了
相关操作指导书，并且完全按照操作指导书操作，避免混料发生。或不生产非环保产品。（4
分）
There is operation instruction to avoid the mixture of the packaging used in environmental
requirement and the packaging used in products which do not comply with. And they work
well. Or all products comply with the environmental requirement.
(2)没有防止对整机类产品（直发物料）的环保和非环保包材在整个物流过程中不混料的程序
。（0分）
There is not operation instruction to avoid the mixture of the packaging used in
environmental requirement and the packaging used in products which do not comply with.
6、物流Logistics
总得分Total score
合规性Proportion of compliance
供应商
自评
Self
Score
华为评分H
uawei
Score
现场审核评分依据Onsite
audit Scoring basis
相关文档及编号
Related
Documents No.
0 0
#DIV/0! #DIV/0!
6、物流Logistics
证据要求 Evidence
○ 流程文件
△ 执行记录
○ 产品物流管理规定细则或者都是统一的环保
规格
△ 执行记录（产品物流过程的执行记录，或者
都是统一的环保规格）
○ Product Logistics Management document or
there is only one unified environmental
specifications
△ Execution records（the operation record in
Product Logistics, or there is only one unified
environmental specifications）
○ 物料物流管理规定细则或者都是统一的环保
规格
△ 执行记录（物料物流过程的执行记录，或者
都是统一的环保规格）
○ Material Logistics Management document or
there is only one unified environmental
specifications
△ Execution records（the operation record in
Material Logistics, or there is only one unified
environmental specifications）
○ 包材物流管理规定细则或者都是统一的环保
规格
△ 执行记录（包材物流过程的执行记录，或者
都是统一的环保规格）
○ Packaging Logistics Management document
or there is only one unified environmental
specifications
△ Execution records（the operation record in
Packaging Logistics, or there is only one
unified environmental specifications）
6、物流Logistics
