供应商评定与审核程序 Supplier Assessment.doc

供应商评定与审核程序 Supplier Assessment & Audit Procedure文件名称/File Name: 供应商评定与审核程序 Supplier Assessment & Audit Procedure当前版次/Current Edition: 1Released文件编号/File No.: ON 0-70440作者/Author: James Wang发布日期/Release Date: 2009-01-16审阅/Reviewer: James Wang生效日期/Effective Date: 2009-01-16批准人/Approver: See Hai Tan批准期限/Approve days limited: 10取代信息/Replace Info.: 0发布人/Releaser: See Hai Tan所属类别/Business Category: ON 0-704 质量管理 Quality 流程负责部门/Process Owner: 迅达中国质量部 Schindler China Quality Dept.部门类别/Department Category: This presentation is our intellectual property. Without our written consent, it shall neither be copied in any manner, nor used for manufacturing outside Schindler, nor communicated to third parties本文件是迅达的知识产权. 未经迅达书面同意, 严禁以任何方式复制, 同时严禁用于迅达以外的生产制造或传授给第三方文件内容/Content0.前言/Preface1.目的/Purpose该程序保证潜在供应商只有在经过评定审核合格后，才能向迅达中国的公司提供产品和服务；对于现有供应商进行周期性质量审核，以保证产品和服务质量稳定可靠。This procedure ensure that only those potential suppliers who passed supplier assessment only could provide products and services to Schindler China; The Existing suppliers should also be audited periodically to ensure product and service quality are maintained or continuously improved in a long term.2.范围/Scope该流程适用于所有向迅达中国提供电扶梯产品部件和外协加工服务的供应商，但不包括销售、安装和维保服务代理商提供的服务。已列在LQP上的供应商已由集团评定合格，自动具有提供所列材料的资格。在适当情况下，该流程也可用于迅达工厂的质量审核。This procedure applies to products and services provided by Non-Schindler 3rd party suppliers (excluding sales, installation or maintenance agents) for Schindler China and the products /services should be used on elevator or its products or related services. LQP suppliers are automatically qualified for supplying the listed products, because qualification is done by Group. Audit procedures can be used also for Schindler KW where appropriate.3.定义与缩写/Term And Abbreviation4.文件描述/Description4.1 供应商审核类型 Supplier audit type第一类：供应商评定审核 用于评定供应商是否有资格成为迅达的供应商。通过六个部分来综合衡量期望提供新部件/材料的现有或潜在供应商的整体公司体系是否在产品开发设计生产上具有足够的可靠性。Type I: Supplier Assessment (SA) Verify whether a supplier fits Schindlers requirements. It evaluates 6 chapters in a complete picture approach to assess the total business system of the supplier / potential supplier for full business process reliability in product creation, manufacturing and design.第二类：供应商质量审核 用于审核供应商的产品和流程系统是否符合迅达质量要求,系统性识别供应商产品和流程系统方面的改进可能，采取纠正和预防性措施并跟进实施。可以作为新产品线/子系统&部件进入批量生产前的审核要求;作为批量生产后周期性复审的要求;作为已有供应商新增/更改所供产品。Type II: Supplier Quality Audit (SQA)Check the suppliers product & process system compliance with Schindler Quality requirements. Identify systematically the areas of improvement in suppliers product & process system, address corrective & preventive actions and follow-up on the implementation. Its applied to the situation as follows: as a requirement of the introduction of new product lines/subsystems & components before series production; for periodically re-auditing after series production; in case of adding or change of supplied product for existing suppliers.第三类：专项审核 针对特定问题进行审核，判断纠正和预防措施是否达到了预定效果。Type III: Special Audit Audit on specific problem for corrective or preventive action results against pre-defined requirement.5.流程图/Flow Chart第一类：供应商评定审核Type I: Supplier Assessment步骤1 提出对供应商进行审核对于供应商评定审核(第一类)，由采购项目组长根据ON 0-74301/SCWI 5561供应商选择程序对潜在供应商初步筛选后，通知供应商质量经理对潜在供应商进行审核。Step1 Request for supplier auditFor Supplier Assessment (Type I), Purchasing category Leader identifies potential suppliers through initial filtering according to ON 0-74301/SCWI 5561, informs Supplier Quality Manager for audit requestof potential supplier.步骤2 审核准备1）对于供应商评定审核(第一类)，由采购部门组织联合审核小组。2）联合审核小组预先回顾相关文件，并准备审核文件。 供应商评定审核(第一类)使用SCF 4301 供应商评估表。Step2 Prepare audit1) For Supplier Assessment (Type I) Purchasing department organizes joint audit team.2) Joint audit team review relevant documents in advance and prepare below documents. For Supplier Assessment (Type I), use SCF 4301 Supplier Evaluation Form.步骤3 安排审核1）采购项目组长与供应商联系，安排具体的审核时间，通知联合审核小组进行审核。Step3 Arrange audit1) Purchasing Category Leader contacts supplier to define exact audit time, and inform joint audit team.步骤4 执行审核1) 联合审核小组按照相应表格记录审核结果。 供应商评定审核(第一类) SCF 4301 供应商评估表。Step4 Implement audit1) Joint audit team implement audit according to specific forms and record audit results. For Supplier Assessment (Type I) use SCF 4301 Supplier Evaluation Form.步骤5 根据审核结果决定审核结论和推荐结果1）供应商质量经理/或工厂质量经理评估联合审核小组的审核结果，决定审核结论； 供应商评定审核（第一类）是否推荐潜在供应商，同时在SCF 4301 供应商评估表上填写该结论和推荐结果；给出SCF 0441 供应商整改通知单(若有)。2）联合审核小组完成审核报告由小组成员会签后，提交供应商质量经理/或工厂质量经理发布；3）如在供应商评定审核（第一类）中发现弱项，联合审核小组开出SCF 0441供应商整改通知单，由采购项目组长通知供应商整改。Step5 Conclude audit findings and recommendation based on audit performed1) Supplier Quality Manager/KW Quality Manager reviews audit findings of joint audit team, and finalize audit conclusion, For Supplier Assessment (Type I), fill in recommendation conclusion in SCF 4301 Supplier Evaluation Form, SCF 0441 Supplier Corrective and Preventive Action Request (if any);2) Joint audit team finish and sign audit report, and submit to Supplier Quality Manager/KW Quality Manager for release;3) If any weak point exists in Supplier Assessment (Type I), joint audit team send SCF 0441 Supplier Corrective and Preventive Action Request to Purchasing Category Leader to inform suppliers for actions;步骤6 发布审核报告供应商质量经理/或工厂质量经理将审核报告、SCF 0441 供应商整改通知单(若有)，发布给相关部门；Step6 Release audit reportSupplier Quality Manager/KW Quality Manager publish audit reports, SCF0441 Supplier Corrective and Preventive Action Request if any, to relevant departments;步骤7 关闭要求整改项供应商评定审核（第一类）采购项目组长将按ON 0-74301/SCWI 5561继续进行该供应商的评定；采购项目组长负责督促供应商整改，由审核小组人员验证整改结果，最后由供应商质量经理/或工厂质量经理判断是否可以关闭整改行动或需要重新整改。Step7 Close corrective actionsFor Supplier Assessment (Type I), Purchasing Category Leader goes on supplier qualification according to ON 0-74301/SCWI 5561 Supplier Selection Procedure. Purchasing category leader shall drive corrective actions on supplier side, joint audit team shall verify results of corrective actions and Supplier Quality Manager/KW Quality Manager shall decide if corrective actions can be closed or further actions are needed.供应商评定审核(第一类)结束End of Supplier Assessment (Type I)第二类 供应商质量审核 & 第三类 专项审核Type II Supplier Quality Audit & Type III Special Audit流程以供应商质量审核为例，如为专项审核则使用专项审核表格，如 SCF0441 供应商整改通知单。The flowchart is for illustration of Supplier Quality Audit. For Special Audit, special audit forms shall be used, e.g SCF 0441 Supplier Corrective & Preventive Action Request.步骤1 提出对供应商进行审核1)供应商质量审核(第二类)，由供应商质量经理和/或工厂质量经理制定年度审核计划执行或根据实际需要决定安排审核，参见ON 0-74302 供应商业绩评估程序；2)专项审核(第三类)可由供应商质量经理和/或工厂质量经理根据实际需要提出，包括整改项目、样品评定的现场审核。Step1 Request for supplier audit1) For Supplier Quality Audit (Type II), Supplier Quality Manager and/or KW-Quality Manager initiate audit as their annual audit plan or at his decision if necessary, see ON 0-74302 Supplier Performance Monitoring Procedure. 2) Special Audit (Type III) request can be initiated per actual needs like audit for corrective action, audit for special processes required by sample evaluation.步骤2 审核准备1）对于供应商质量审核(第二类)和专项审核(第三类)由供应商质量经理/或工厂质量经理组织联合审核小组。 联合审核小组成员为来自质量部、采购部和技术部等相关人员。2）联合审核小组预先回顾相关文件（如以前的评定审核质量审核发现、质量协议、近期问题），并准备审核文件。 供应商质量审核(第二类)使用SCF 0445 供应商质量审核表。 专项审核(第三类)可使用SCF 0441供应商整改通知单。Step2 Prepare audit1) For Supplier Quality Audit(Type II) and Special Audit (Type III), Supplier Quality Manager/KW Quality Manager organizes joint audit team. Audit team members should come from Quality, Purchase, Technical Dept. and other related.2) Joint audit team review relevant documents (e.g. previous assessment or quality audit findings, Quality Agreement recent problems) in advance and prepare below documents. For Supplier Quality Audit (Type II) use SCF 0445 Supplier Quality Audit Form. For Special Audit (Type III), SCF 0441 Supplier Corrective and Preventive Action Request can be used. 步骤3 安排审核1）供应商质量经理/或工厂质量经理与供应商联系，安排具体的审核时间，通知联合审核小组进行审核。Step3 Arrange audit1) Supplier Quality Manager/KW Quality Manager contacts supplier to define exact audit time, and inform joint audit team.步骤4 执行审核1) 联合审核小组按照相应表格记录审核结果。 供应商质量审核(第二类) SCF 0445 供应商质量审核表 和 SCF 0444 审核发现表; 专项审核(第三类)可使用SCF 0441供应商整改通知单。Step4 Implement audit1) Joint audit team implement audit according to specific forms and record audit results. For Supplier Quality Audit (Type II) use SCF 0445 Supplier Quality Audit Form and SCF 0444 LOF form for Supplier Quality Audit; For Special Audit (Type III), SCF 0441 Supplier Corrective and Preventive Action Request can be used. 步骤5 根据审核结果决定审核结论和推荐结果1）供应商质量经理/或工厂质量经理评估联合审核小组的审核结果，决定审核结论； 供应商质量审核（第二类）根据SCF 0445 供应商质量审核表给出打分并开出相应的SCF 0444 审核发现表； 专项审核（第三类）确认纠正预防措施是否关闭，否则更新已开出的SCF 0441供应商整改通知单。2）联合审核小组完成审核报告由小组成员会签后，提交供应商质量经理/或工厂质量经理发布。3）如在供应商质量审核(第二类)或专项审核(第三类)中发现弱项，联合审核小组开出SCF 0444审核发现表或新的整改通知单通知供应商，由供应商质量经理/或工厂质量经理通知供应商整改。Step5 Conclude audit findings and recommendation based on audit performed1) Supplier Quality Manager/KW Quality Manager reviews audit findings of joint audit team, and finalize audit conclusion. For Supplier Quality Audit (Type II), provide score based on SCF 0445 Supplier Quality Audit form and give filled LOF form SCF 0444; For Special Audit (Type III), decide if corrective or preventive actions can be closed. If not, update last SCF 0441 Supplier Corrective and Preventive Action Request.2) Joint audit team finish and sign audit report, then submit to Supplier Quality Manager/KW Quality Manager for release.3) If any weak point exists in Supplier Quality Audit (Type II) and Special Audit (Type III), joint audit team fills SCF 0444 LOF form or updated SCF 0441 Supplier Corrective and Preventive Action Requests. Supplier Quality Manager/KW Quality Manager will inform suppliers for actions.步骤6 发布审核报告供应商质量经理/或工厂质量经理将审核报告、SCF 0441 供应商整改通知单(若有)，发布给相关部门.Step6 Release audit reportSupplier Quality Manager/KW Quality Manager publish audit reports, SCF0441 Supplier Corrective and Preventive Action Request if any, to relevant departments.步骤7 关闭要求整改项对于供应商质量审核(第二类)和专项审核(第三类)，由供应商质量经理/或工厂质量经理负责督促供应商整改，由审核小组人员验证整改结果，最后由供应商质量经理/或工厂质量经理判断是否可以关闭