华为自评审核表 Quality System Audit

1、Information and InstructionQuality System Audit内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 1 of 43Information and InstructionQuality System Audit内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 2 of 43Information and InstructionQuality System Audit内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 3

2、 of 43Information and Instructions通通知知和和说说明明书书PURPOSE目目的的This document was developed as an Audit Tool to assess a suppliers Quality Systems against HUAWEIs Quality Systems Requirements.The HUAWEIQuality Systems Audit (QSA) is build upon the TL:9000 Quality Systems Standard, but with additional HUAWE

3、I specific requirements included.本文件是根据华为的质量体系要求开发的稽核工具，用于评估供应商的质量体系。华为的质量体系稽核(QSA)是建立在TL:9000质量体系标准的基础上，但是增加了华为的特殊要求SCOPE范范围围The HUAWEI Quality Systems Audit is not commodity specific, therefore it may be used to assess the Quality Systems deployed by a supplier/manufactureirrespective of the commo

4、dity.华为的质量体系稽核不是针对产品的，因此QSA用于评估供应商的质量体系而不考虑产品。AUDIT BY SELF ASSESSMENT自自我我评评估估稽稽核核A suppliers facility is required to complete a self assessment using this tool in advance of the HUAWEI Audit. (One QSA is required per facility.)By doing this, a facility will be able to prepare for the audit and seek

5、 advance help and guidance from HUAWEI SQE to be best positioned to succeed.It is expected that during the self-assessment process, that the supplier will use this opportunity to ask questions for either clarification or to betterunderstand intent of the audit criteria. Waiting for the formal HUAWEI

6、 audit to ask these types of questions is too late. It is also expected that based on selfaudit 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。（每一个工

7、厂都需要进行QSA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、从华为的SQE那里寻求帮助和指导。希望在自我评估的过程中，供应商应抓住机会向华为SQE提出疑问，无论是为了澄清问题还是为了更好的理解该稽核标准。等到华为来正式稽核时再提问就太晚了。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华华为为稽稽核核During the audit process, the HUAWEI SQE may wish to review every question/criterio

8、n listed on the audit document, or alternatively the SQE may choose tofocus only on those questions for which the supplier awarded themselves a score of 2 by self-assessment. The path taken is right to SQE discretion.The score awarded by the SQE Auditor will be entered in the Score column on each wo

9、rksheet.在稽核过程中，华为SQE可能会评审稽核文件里面的每一个问题，也可能选择关注供应商自评是2分条款.华为审核员在每一个工作表中的HW Score进行打分。AUDIT RESULTS稽稽核核结结果果The SQE Auditor must complete ALL sections before an Audit Result can be declared.The Audit Result of each section is based on the number of questions scored as 1 versus the total number of questi

10、ons of the section*2.Any questions that are scored as N/A are adjusted automatically in the score denominator.The overall average score does not determine the Audit Result, rather all the individual section scores will determine the Audit Result.The Pass score for the Audit is 80%. If the Audit Scor

11、es for all sections of equal or greater than 80% are achieved, a Pass result is awarded.If an Audit Score of equal or greater than 70% but less than 79% is achieved at any section, a Conditionally Passed result is awarded.If an Audit Score of less than 70% is achieved at section 1,3,4,7,8,9,10,11, a

12、 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。每部分的审核结果等于每部分的所有得分除以每部分问题数目2倍。任何选择N/A的项目在分母里面会自动除去。总平均分不是最终稽核结果，每一单独的部分得分决定稽核结果。80%以上通过。如果所有部分稽核得分多于80%，则结果是通过。如果任何一部分得分多于70%、少于79%，则结果是有条件通过。如果第1、3、4、7、8、9、10、11部分中任何一部分少于70%，则结果是不通过。If a Conditionally Passed Result is awarded, a Corrective

13、 Action Plan is due from the supplier within TWO weeks of the date of audit completion for anysections of the QSA that are below 80%.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 any sections of theQSA that are

14、 below 70%. On completion of this Corrective Action Plan, a supplier is required to generate second Corrective Action Plan to bridge to the 80%Approved Status.All Corrective Action Plans must contain a timeline to bridge to a Conditionally Passed or Passed status, depending on the initial audit resu

15、lt, and mustpropose 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周内对得分少于80%的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周内对得分少于70%的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80%通过的状态。所有的纠正

16、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通通过过结结果果Once a suppliers facility has Passed the Audit, the Quality Systems are approved for the facility audited, not all supplier facilities.Passing the QSA does not guarantee a business award, but is t

17、he first step towards winning technical approval for a site. In addition, many commodities havea commodity specific Quality Process Audit (QPA), which also requires to be passed before technical approval may be obtained.一旦供应商的工厂通过了该稽核，表示稽核过的工厂的质量体系获得认可，不代表供应商所有的工厂。通过质量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。

18、另外，很多物料会有质量制程稽核，需要在获得技术承认之前通过。AUDIT MECHANICS and QUESTIONSQuality System AuditInformation and InstructionQuality System Audit内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 4 of 43The Audit breaks down the Quality System into individual sections, each of which is represented by an individual worksh

19、eet.Within each worksheet is contained a series of questions specifically pertaining to the section being examined.The questions were devised and developed as closed questions with every attempt to avoid ambiguity.Because of the closed nature of the questions, there can only be one of four answers t

20、o any question, i.e. (0), (1), (2), or (N/A).If the Criterion is fully met, a score of 2 is obtained. If the Criterion is partially met, a score of 1 is obtained. If the Criterion is not met, a score of 0 is obtained.A score of N/A may be awarded if the SQE believes that any particular question is t

21、ruly Not Applicable in the case of the supplier facility under review.In any cases the total number of N/A should be kept as minimum as possible.If there is any doubt as to the score to award for any given Criterion, a score of zero shall be awarded by default.Any Criterion that scores 2 shall be cl

22、early demonstrated, followed, and be beyond reproach.In the event that a supplier clearly meets the intent of the audit question, but does not exactly do what the question asks, a score of 2 shall be given.本稽核把质量体系分成几个单独的部分，每一部分在单独的工作表陈述。每一工作表包含一系列的问题均会检查到。每一个问题均会设计成封闭式问题，以避免含糊。因为封闭式问题的性质，每一个问题只有一个答

23、案，如0、1、2或不适用。如果完全满足标准，得2分；部分满足，得1分；完全不满足，得0分。如果SQE评估后认为供应商有不适用的部分会填写不适用。无论如何，不适用的项目数应尽可能最少。如果对给出的标准有任何怀疑的话，该项目将默认为0分。应充分地验证、跟踪任何给2分的项目。如果供应商充分满足满足稽核问题体现的意图，但并清楚问题所问的是什么，得2分。TRAINING培培训训The QSA is very technical in content with regard to Quality Systems and Engineering Techniques.An internal training

24、 session will be provided to the SQEswho use this checklist.SQEs who use this tool are considered within HUAWEI as being sufficiently qualified to conduct this audit.关于质量体系和工程技术该QSA是有很多技巧方面的的内容的。我们会给使用该查检表的SQE提供内部培训。在华为经过成分资格认证的SQE会被安排使用该工具进行稽核。AUDIT SCHEDULE稽稽核核时时间间表表The Audit may be used as and wh

25、en the need arises. However, HUAWEI may conduct an official audit annually for key suppliers. The frequency of the re-audit will be based on the audit result & action closure of the last audit, as well as the supplier quality performance in the past year period.Before conducting an audit, the audito

26、r must ensure the HUAWEI commodity management team responsible for the relationship are advised of the auditschedule.It is also intended for suppliers to conduct internal audits by self assessment every quarter so progress may be reported to HUAWEI.必要时华为会进行该稽核。华为对关键供应商会进行正式的稽核。重新稽核的频率基于稽核结果和上次改善行动的关

27、闭状况，同时供应商过去一年的质量绩效也是考虑因素。进行稽核之前，审核员应确保相关管理责任人考虑过该稽核时间表。同时也期望供应商每季度进行一次内审并把进程报告给华为。ADDITIONAL QUESTIONS附附加加问问题题Please contact for additional information.请联系 以获得附加说明。REVISION HISTORY版版本本历历史史DateDescription Of RevisionRevised ByRev.2011/4/2Original document.zhaoshaolin2.0Information and InstructionQual

28、ity System Audit内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 5 of 43Information and InstructionQuality System Audit内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 6 of 43QSA ResultQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 7 of 43SupplierFastprintDateFactory Location Guang

29、zhouAuditor No.SECTIONSelf Actual %HUAWEIActual % Goal% Auditor1Quality Systems96.8%N/A80%2Contract Review92.9%N/A80%3Design Control95.7%N/A80%4Documentation Control100.0%N/A80%5Supplier Quality Control87.5%N/A80%6Product ID & Lot Traceability100.0%N/A80%7Process Control82.8%N/A80%8Inspection and Te

30、st/Status96.9%N/A80%9Calibration94.1%N/A80%10 Nonconforming Product Control82.9%N/A80%11 Handling, Packaging, Storage & Delivery100.0%N/A80%12 Quality Record100.0%N/A80%13 Disaster Recovery83.3%N/A80%QSA Score (%)92.7% #DIV/0!0%0%QSA ResultPassed#DIV/0!0%0%92.7%#DIV/0!Passed#DIV/0!0%0%92.7%#DIV/0!Cr

31、iteria:0%0%65.0%#DIV/0!Passed80 100%0%0%65.0%#DIV/0!Conditionally Passed70 79%0%0%Not Passed 70 %0%0%0%0%Quality System AuditQSA ResultQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 8 of 43HUAWEI World Wide Procurement, Supplier Quality Engineering审审核核结结果果综综述述( (根根据据文文件件审审核核、现现场场

32、审审核核、高高层层访访谈谈等等做做出出）No问问题题描描述述 NC Description问问题题归归类类 IssueClassification问问题题严严重重等等级级Issue Seriouslevel123456789101112131415161718192021:,QSA ResultQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 9 of 432223242526272829303132333435363738394041424344454647RevReliQuaQuaQuaSPC:,QSA R

33、esultQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 10 of 4348ReliQuality System requirementsQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 11 of 431: Quality System RequirementsSelf AvgScore:97%HW AvgScore:N/ASelfScoreHWScoreRemarks质质量量系系统统要要求求Counts:124Count

34、s:0Subtotal:120Subtotals:0(Ref 4.2.1)1.1Has the supplier defined and documented its corporate quality policy?供应商是否有定义并文件化的公司质量方针？2有，在质量手册中体现1.2(a) Is the Quality Policy appropriate to the purpose of the organization?质量方针是否与组织的宗旨相适应？2是1.3(b) Does the Quality Policy include a commitment to comply with

35、 requirements and continually improve theeffectiveness of the quality management system?质量方针是否包括对满足要求和持续改进质量管理体系有效性的承诺？2是1.4(c) Does the Quality Policy provide a framework for establishing and reviewing quality objectives?质量方针是否提供制定和评审质量目标的框架？2是1.5(d) Is the Quality Policy communicated and understoo

36、d within the organization?质量方针是否在组织内得到沟通和理解？2有培训和沟通1.6(e) Is the Quality Policy reviewed for continuing suitability?质量方针是否在持续适宜性方面得到评审？2每年都有进行管理评审1.7Are quantifiable and measurable quality objectives, including those to meet requirements for product,established at relevant functions and levels withi

37、n the organization?是否在组织的相关职能和层次上建立可测量的质量目标,质量目标包括满足产品要求所需的内容？2有制定质量目标1.8Are the quality objectives consistent with the corporate quality policy?质量目标是否与质量方针保持一致？2是(Ref 4.2.1)1.9Does the quality management system documentation include a quality manual?质量管理体系文件是否包含质量方针？2是，在质量手册中包含(Ref 4.2.2)1.10Does t

38、he quality manual include the scope of the quality management system, including details of andjustification for any exclusions?质量手册是否包括质量管理体系的范围，包括任何删减的细节和正当理由？2是(Ref 4.2.2)1.11Does the quality manual include a description of the interaction between the processes of the qualitymanagement system?质量手册

39、是否包括质量管理体系过程之间的相互作用的表述？2是(Ref 5.5.1)1.12Has the supplier defined the responsibility, authority and interrelation of all personnel who manage, performand verify work that affects the quality of products, materials or services? (i.e. procedures, organizationcharts, quality manual)供应商是否制定和产品质量，材料和服务相关的

40、管理，执行，审核人员的权责和相互关系?（即程序文件，组织图，品质手册）2是，在质量手册中均有规定Quality System requirementsQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 12 of 43(Ref 5.5.1)1.13Has the supplier provided adequate resources for in-house verification activities such as inspection, testing,monitoring and review of

41、processes and products?供应商是否提供足够的资源来做内部的验证行动，如检验、测试、和对制程和产品的监控和评审? 2是，根据产品特点和 生产配备了足够的设备设备、检测仪器、设备等。(Ref 5.5.2)1.14Has the supplier appointed a management representative who has responsibility and authority for ensuringthat a quality management system has been implemented and maintained?供应商是否指定一名管理者

42、代表，其职责和权限是否保证管理体系是否有效实施和维护？2是(Ref 5.5.2)1.15Has the management representative tracked and drove the improvement on quality management systemperformance with record/report.管理者代表是否追踪和推动质量管理体系绩效的改进？并且有记录和报告2是，有记录和报告(Ref 5.5.2)1.16Has the improvement effectiveness verified (record/evidence required)?改进的

43、有效性是否进行验证？（需要记录和证据）2有验证报告(Ref 5.6)1.17Does the supplier conduct management reviews of the suitability and effectiveness of the qualitymanagement system at appropriate intervals? (i.e. does the quality system meet customer requirements?)供应商是否按适当的时间间隔评审质量管理体系的适宜性和有效性？如质量系统满足客户要求？2有管理评审，有管理评审控制程序(Ref 5

44、.6.2)Does the management reviews include verification of the following input:管理评审是否包括以下输入：1.18(a) Achievement of quality objectives质量目标的达成2是1.19(b) Results of the audits审核结果2是1.20(c) Customer feedback顾客反馈2是1.21(d) Process performance and product conformity过程的业绩和产品的符合性2是1.22(e) Status of preventive a

45、nd corrective actions预防和纠正措施的状况2是1.23(f) Follow-up actions from previous management reviews以往管理评审的纠正措施2是1.24(g) Changes that could affect the quality management system, and可能影响质量管理体系的变更2是Quality System requirementsQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 13 of 431.25(h) Rec

46、ommendations for improvement改进建议2是Quality System requirementsQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient - INTERNALPage 14 of 43(Ref.5.6.3)Does the output of management reviews include any decisions and actions related to:管理评审的输出是否包括与以下方面有关的任何决定和措施：1.26(a) Improvement of the effectiveness of

47、 the quality management system and its process?质量管理体系及其过程有效性的改进；2是1.27(b) Improvement of product related to customer requirements, and与顾客要求有关的产品的改进；2是1.28(c) Resource needs资源需求。2是1.29Are implementation of action items from management review tracked?管理评审的改善行动项目执行情况是否追踪？2是1.30Are records maintained of

48、 these management reviews?管理评审的记录是否保存？2是(Ref 8.2.2)1.31Does the supplier conduct internal audits at planned intervals?供应商是否按策划的时间间隔进行内部审核？2是(Ref 8.2.2)1.32Do the internal audits verify compliance with planned arrangements, ISO standards and qualitymanagement system? 内部审核是否符合策划的安排、ISO标准的要求以及质量管理体系的要求

49、；2是，有内部审核控制程序(Ref 8.2.2)1.33Do the internal audits determine whether the quality management system is effectively implemented andmaintained? (e.g., meeting the customer requirements?)内部审核是否确定质量管理体系得到有效实施与保持？ 如满足客户要求？2内部审核控制程序(Ref 8.2.2)1.34Are the internal audits planned on the basis of the status a

50、nd importance of the activity, as well as theresults of previous audits?内部审核计划是否基于活动的状况和重要性以及以往审核的结果？2内部审核控制程序(Ref 8.2.2)1.35Are the audit criteria, scope, frequency and methods defined for the internal audit?是否定义内部审核的准则、范围、频次和方法？2内部审核控制程序(Ref 8.2.2)1.36Are the selection of auditors and conduct of a

51、udits ensuring the objectivity and impartiality of the auditprocess? (e.g. auditors shall not audit their own work.)审核员的选择和审核的实施是否确保审核的客观性和公正性？如审核员不能审核自己的工作。2内部审核控制程序(Ref 8.2.2)1.37Is there a procedure documented the responsibilities and requirements for planning and conducting audits,and for report

52、ing results and maintaining records ?策划和实施审核以及报告结果和保持记录的职责和要求是否在形成文件的程序中作出规定？2有内部审核控制程序有审核计划及报告(Ref 8.2.2)1.38Do the follow up activities include the verification of the actions taken and the reporting of verification results?跟踪活动是否包括对所采取措施的验证和验证结果的报告？2见审核报告1.39Are the audit results analyzed for imp

53、rovement from a system level?是否从系统面对审核结果做分析，以便于从系统面进行改善1是(Ref 6.2.2)1.40Is there a system that identifies training requirements for all personnel affecting the quality of the product?是否有一个系统识别所有从事影响产品质量的的人员的培训需求？2有培训工作规范Quality System requirementsQSA Audit Checklist内部公开2022/5/2华为机密，未经许可不得扩散#Adient -

54、 INTERNALPage 15 of 43(Ref 6.6.2)1.41Does a system exist for determining which personnel are qualified for a job function?现有系统是否可以确定员工有岗位资格认证。2有操作岗位员工上岗培训及多岗位培训管理办法(Ref 6.6.2)1.42Is there a system to disqualify and re-qualify personnel in a job function?有没有系统保证对不合格员工重新做资质认证？2有操作岗位员工上岗培训及多岗位培训管理办法(Re

55、f 6.2.2)1.43Are accurate training records maintained?是否保持正确的培训记录？2所有的培训记录均有保存(Ref6.2.2.C.5)1.44Does the supplier implement senior quality training?such as SPC、FMEA、Cpk、Gauge R&R、QC 7Tools、QCC、6sigma and so on.是否实施高级质量培训（如SPC、FMEA、Cpk、Gauge R&R、QC 7 Tools、QCC、6sigma工具等）？2都有实施此类培训(Ref 8.4)1.45Does the

56、 supplier determine, collect and analyze appropriate data to demonstrate the suitability andeffectiveness of the quality system ?供应商是否确定、收集和分析适当的数据，以证实质量管理体系的适宜性和有效性？2有质量目标管理规范每月进行质量目标达成统计(Ref 8.4 /8.5)1.46Does the above analysis evaluate where continual improvement of the effectiveness of the quali

57、ty systemcan be made.以上分析是否评价在何处可以持续改进质量管理体系的有效性？2有对数据分析，管理评审有评审(Ref 7.4.2)1.47Does the supplier get ISO9001 certification and establish environment protection management system?Does the supplier get other certification,such as TL9000/TS16949 and so on.是否通过ISO9001认证并建立环保管理体系,是否通过其他体系的认证？如TL9000/TS16

58、949等.2已通过ISO90011.48Does the supplier get yearly audit of third party and close all the audit issues according to requirement? 是否定期接受第三方机构的年度监督审核并按要求完成稽核问题点的关闭？2如DNV、SGS、UL等等1.49Does the supplier have special department to manage the RoHS,Reach and so on?是否有专门的部门对RoHS、Reach等环保要求进行管理？2由品质管理部门负责管理1.50

59、Does the supplier entirely collect and analyse the environment protection requirement the market andcustomer? i.e. RoHS,Reach是否对目标市场和客户的环保要求进行了全面的收集与分析？如RoHS,Reach等。1有对法律法规收集分析，并及时更新，以保证产品符合环保要求1.51Has the supplier defined and documented 6S manegement procedure and put it in practice?是否制定6S管理程序并实施？2

60、有6S管理办法1.52Does the supplier have special customer manager for HUAWEI?是否有对华为专责的客户经理？2是1.53Does the supplier have the capability to provide technogy support and training for customer ?是否有能力向需要的顾客提供技术支持与培训？2我司可提供售前后的良好技术支持与培训，定期还会对不同地区的顾客进行拜访Quality System requirementsQSA Audit Checklist内部公开2022/5/2华为