1、Information and InstructionQuality System Audit內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 1 of 43Information and InstructionQuality System Audit內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 2 of 43Information and InstructionQuality System Audit內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 3

2、 of 43Information and Instructions通通知知和和說說明明書書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.本文件是根據華為的質量體系要求開發的稽核工具，用于評估供應商的質量體系。華為的質量體系稽核(QSA)是建立在TL:9000質量體系標準的基礎上，但是增加了華為的特殊要求SCOPE范范圍圍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.華為的質量體系稽核不是針對產品的，因此QSA用于評估供應商的質量體系而不考慮產品。AUDIT BY SELF ASSESSMENT自自我我評評估估稽稽核核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.供應商的工廠需要在華為稽核之前用該工具進行自我評估。（每一個工

7、廠都需要進行QSA自我評估）。為了做好自我評估，進而取得成效，工廠需要為稽核做好準備、從華為的SQE那里尋求幫助和指導。希望在自我評估的過程中，供應商應抓住機會向華為SQE提出疑問，無論是為了澄清問題還是為了更好的理解該稽核標準。等到華為來正式稽核時再提問就太晚了。同時也期望供應商基于自我評估的結果，在準備就緒后通知華為進行正式的稽核。自我評估結果應在每一個工作表中對應的欄目完成評分。AUDIT BY HUAWEI華華為為稽稽核核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.在稽核過程中，華為SQE可能會評審稽核文件里面的每一個問題，也可能選擇關注供應商自評是2分條款.華為審核員在每一個工作表中的HW Score進行打分。AUDIT RESULTS稽稽核核結結果果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.審核員必須在審核結果公布前完成所有部分的審核。每部分的審核結果等于每部分的所有得分除以每部分問題數目2倍。任何選擇N/A的項目在分母里面會自動除去。總平均分不是最終稽核結果，每一單獨的部分得分決定稽核結果。80%以上通過。如果所有部分稽核得分多于80%，則結果是通過。如果任何一部分得分多于70%、少于79%，則結果是有條件通過。如果第1、3、4、7、8、9、10、11部分中任何一部分少于70%，則結果是不通過。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.如果結果是有條件通過，則供應商應在稽核完成后2周內對得分少于80%的部分提交糾正行動計劃。如果結果是不通過，則供應商應在稽核完成后2周內對得分少于70%的部分提交糾正行動計劃。在糾正行動計劃完成后，供應商應輸出第二輪糾正行動計劃以達到80%通過的狀態。所有的糾正

16、行動計劃必須依據最初稽核結果，確定提升到有條件通過或通過的狀態的截至日期，并給出華為跟蹤稽核的建議日期。跟蹤稽核結果如果不能達到有條件通過，可能會影響商務合作的決議。A PASS RESULT通通過過結結果果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.一旦供應商的工廠通過了該稽核，表示稽核過的工廠的質量體系獲得認可，不代表供應商所有的工廠。通過質量體系稽核并不保證一定會有商務合作，但它是獲得技術承認的第一步。

18、另外，很多物料會有質量制程稽核，需要在獲得技術承認之前通過。AUDIT MECHANICS and QUESTIONSQuality System AuditInformation and InstructionQuality System Audit內部公開2022/5/2華為機密，未經許可不得擴散#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.本稽核把質量體系分成幾個單獨的部分，每一部分在單獨的工作表陳述。每一工作表包含一系列的問題均會檢查到。每一個問題均會設計成封閉式問題，以避免含糊。因為封閉式問題的性質，每一個問題只有一個答

23、案，如0、1、2或不適用。如果完全滿足標準，得2分；部分滿足，得1分；完全不滿足，得0分。如果SQE評估后認為供應商有不適用的部分會填寫不適用。無論如何，不適用的項目數應盡可能最少。如果對給出的標準有任何懷疑的話，該項目將默認為0分。應充分地驗證、跟蹤任何給2分的項目。如果供應商充分滿足滿足稽核問題體現的意圖，但并清楚問題所問的是什么，得2分。TRAINING培培訓訓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.關于質量體系和工程技術該QSA是有很多技巧方面的的內容的。我們會給使用該查檢表的SQE提供內部培訓。在華為經過成分資格認證的SQE會被安排使用該工具進行稽核。AUDIT SCHEDULE稽稽核核時時間間表表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.必要時華為會進行該稽核。華為對關鍵供應商會進行正式的稽核。重新稽核的頻率基于稽核結果和上次改善行動的關

27、閉狀況，同時供應商過去一年的質量績效也是考慮因素。進行稽核之前，審核員應確保相關管理責任人考慮過該稽核時間表。同時也期望供應商每季度進行一次內審并把進程報告給華為。ADDITIONAL QUESTIONS附附加加問問題題Please contact for additional information.請聯系 以獲得附加說明。REVISION HISTORY版版本本歷歷史史DateDescription Of RevisionRevised ByRev.2011/4/2Original document.zhaoshaolin2.0Information and InstructionQual

28、ity System Audit內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 5 of 43Information and InstructionQuality System Audit內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 6 of 43QSA ResultQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#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內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 8 of 43HUAWEI World Wide Procurement, Supplier Quality Engineering審審核核結結果果綜綜述述( (根根據據文文件件審審核核、現現場場

32、審審核核、高高層層訪訪談談等等做做出出）No問問題題描描述述 NC Description問問題題歸歸類類 IssueClassification問問題題嚴嚴重重等等級級Issue Seriouslevel123456789101112131415161718192021:,QSA ResultQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 9 of 432223242526272829303132333435363738394041424344454647RevReliQuaQuaQuaSPC:,QSA R

33、esultQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 10 of 4348ReliQuality System requirementsQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 11 of 431: Quality System RequirementsSelf AvgScore:97%HW AvgScore:N/ASelfScoreHWScoreRemarks質質量量系系統統要要求求Counts:124Count

34、s:0Subtotal:120Subtotals:0(Ref 4.2.1)1.1Has the supplier defined and documented its corporate quality policy?供應商是否有定義并文件化的公司質量方針？2有，在質量手冊中體現1.2(a) Is the Quality Policy appropriate to the purpose of the organization?質量方針是否與組織的宗旨相適應？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?質量方針是否包括對滿足要求和持續改進質量管理體系有效性的承諾？2是1.4(c) Does the Quality Policy provide a framework for establishing and reviewing quality objectives?質量方針是否提供制定和評審質量目標的框架？2是1.5(d) Is the Quality Policy communicated and understoo

36、d within the organization?質量方針是否在組織內得到溝通和理解？2有培訓和溝通1.6(e) Is the Quality Policy reviewed for continuing suitability?質量方針是否在持續適宜性方面得到評審？2每年都有進行管理評審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?是否在組織的相關職能和層次上建立可測量的質量目標,質量目標包括滿足產品要求所需的內容？2有制定質量目標1.8Are the quality objectives consistent with the corporate quality policy?質量目標是否與質量方針保持一致？2是(Ref 4.2.1)1.9Does the quality management system documentation include a quality manual?質量管理體系文件是否包含質量方針？2是，在質量手冊中包含(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?質量手冊是否包括質量管理體系的范圍，包括任何刪減的細節和正當理由？2是(Ref 4.2.2)1.11Does the quality manual include a description of the interaction between the processes of the qualitymanagement system?質量手冊

39、是否包括質量管理體系過程之間的相互作用的表述？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)供應商是否制定和產品質量，材料和服務相關的

40、管理，執行，審核人員的權責和相互關系?（即程序文件，組織圖，品質手冊）2是，在質量手冊中均有規定Quality System requirementsQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#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?供應商是否提供足夠的資源來做內部的驗證行動，如檢驗、測試、和對制程和產品的監控和評審? 2是，根據產品特點和 生產配備了足夠的設備設備、檢測儀器、設備等。(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?供應商是否指定一名管理者

42、代表，其職責和權限是否保證管理體系是否有效實施和維護？2是(Ref 5.5.2)1.15Has the management representative tracked and drove the improvement on quality management systemperformance with record/report.管理者代表是否追蹤和推動質量管理體系績效的改進？并且有記錄和報告2是，有記錄和報告(Ref 5.5.2)1.16Has the improvement effectiveness verified (record/evidence required)?改進的

43、有效性是否進行驗證？（需要記錄和證據）2有驗證報告(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?)供應商是否按適當的時間間隔評審質量管理體系的適宜性和有效性？如質量系統滿足客戶要求？2有管理評審，有管理評審控制程序(Ref 5

44、.6.2)Does the management reviews include verification of the following input:管理評審是否包括以下輸入：1.18(a) Achievement of quality objectives質量目標的達成2是1.19(b) Results of the audits審核結果2是1.20(c) Customer feedback顧客反饋2是1.21(d) Process performance and product conformity過程的業績和產品的符合性2是1.22(e) Status of preventive a

45、nd corrective actions預防和糾正措施的狀況2是1.23(f) Follow-up actions from previous management reviews以往管理評審的糾正措施2是1.24(g) Changes that could affect the quality management system, and可能影響質量管理體系的變更2是Quality System requirementsQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 13 of 431.25(h) Rec

46、ommendations for improvement改進建議2是Quality System requirementsQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#Adient - INTERNALPage 14 of 43(Ref.5.6.3)Does the output of management reviews include any decisions and actions related to:管理評審的輸出是否包括與以下方面有關的任何決定和措施：1.26(a) Improvement of the effectiveness of

47、 the quality management system and its process?質量管理體系及其過程有效性的改進；2是1.27(b) Improvement of product related to customer requirements, and與顧客要求有關的產品的改進；2是1.28(c) Resource needs資源需求。2是1.29Are implementation of action items from management review tracked?管理評審的改善行動項目執行情況是否追蹤？2是1.30Are records maintained of

48、 these management reviews?管理評審的記錄是否保存？2是(Ref 8.2.2)1.31Does the supplier conduct internal audits at planned intervals?供應商是否按策劃的時間間隔進行內部審核？2是(Ref 8.2.2)1.32Do the internal audits verify compliance with planned arrangements, ISO standards and qualitymanagement system? 內部審核是否符合策劃的安排、ISO標準的要求以及質量管理體系的要求

49、；2是，有內部審核控制程序(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?)內部審核是否確定質量管理體系得到有效實施與保持？ 如滿足客戶要求？2內部審核控制程序(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?內部審核計劃是否基于活動的狀況和重要性以及以往審核的結果？2內部審核控制程序(Ref 8.2.2)1.35Are the audit criteria, scope, frequency and methods defined for the internal audit?是否定義內部審核的準則、范圍、頻次和方法？2內部審核控制程序(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.)審核員的選擇和審核的實施是否確保審核的客觀性和公正性？如審核員不能審核自己的工作。2內部審核控制程序(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 ?策劃和實施審核以及報告結果和保持記錄的職責和要求是否在形成文件的程序中作出規定？2有內部審核控制程序有審核計劃及報告(Ref 8.2.2)1.38Do the follow up activities include the verification of the actions taken and the reporting of verification results?跟蹤活動是否包括對所采取措施的驗證和驗證結果的報告？2見審核報告1.39Are the audit results analyzed for imp

53、rovement from a system level?是否從系統面對審核結果做分析，以便于從系統面進行改善1是(Ref 6.2.2)1.40Is there a system that identifies training requirements for all personnel affecting the quality of the product?是否有一個系統識別所有從事影響產品質量的的人員的培訓需求？2有培訓工作規范Quality System requirementsQSA Audit Checklist內部公開2022/5/2華為機密，未經許可不得擴散#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?現有系統是否可以確定員工有崗位資格認證。2有操作崗位員工上崗培訓及多崗位培訓管理辦法(Ref 6.6.2)1.42Is there a system to disqualify and re-qualify personnel in a job function?有沒有系統保證對不合格員工重新做資質認證？2有操作崗位員工上崗培訓及多崗位培訓管理辦法(Re

55、f 6.2.2)1.43Are accurate training records maintained?是否保持正確的培訓記錄？2所有的培訓記錄均有保存(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.是否實施高級質量培訓（如SPC、FMEA、Cpk、Gauge R&R、QC 7 Tools、QCC、6sigma工具等）？2都有實施此類培訓(Ref 8.4)1.45Does the

56、 supplier determine, collect and analyze appropriate data to demonstrate the suitability andeffectiveness of the quality system ?供應商是否確定、收集和分析適當的數據，以證實質量管理體系的適宜性和有效性？2有質量目標管理規范每月進行質量目標達成統計(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.以上分析是否評價在何處可以持續改進質量管理體系的有效性？2有對數據分析，管理評審有評審(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.是否通過ISO9001認證并建立環保管理體系,是否通過其他體系的認證？如TL9000/TS16

58、949等.2已通過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機構的年度監督審核并按要求完成稽核問題點的關閉？2如DNV、SGS、UL等等1.49Does the supplier have special department to manage the RoHS,Reach and so on?是否有專門的部門對RoHS、Reach等環保要求進行管理？2由品質管理部門負責管理1.50

59、Does the supplier entirely collect and analyse the environment protection requirement the market andcustomer? i.e. RoHS,Reach是否對目標市場和客戶的環保要求進行了全面的收集與分析？如RoHS,Reach等。1有對法律法規收集分析，并及時更新，以保證產品符合環保要求1.51Has the supplier defined and documented 6S manegement procedure and put it in practice?是否制定6S管理程序并實施？2

60、有6S管理辦法1.52Does the supplier have special customer manager for HUAWEI?是否有對華為專責的客戶經理？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顧客提供技術支持與培訓？2我司可提供售前后的良好技術支持與培訓，定期還會對不同地區的顧客進行拜訪Quality System requirementsQSA Audit Checklist內部公開2022/5/2華為