供应商质量保证自评报告.xls

New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page1 of 31 7b4e849586e200626d4f5f0be6fceea2 xls CoverProcess Owner Department R Spariosu Supplier Development Approved by R Blanchette Global Director SDE la Quality Mgmt 858060 Product Planning868060 Supplier Management838060 Quality Control858060 Manufacturing938060 CommodityNA8060 Section Quality Management Systems Product Planning Supplier Management Quality ControlManufacturing Commodity Specific Overall Score85 0086 3683 3385 1993 24NA0 00 Points for Green 80808080808080 Certification Audit No Date By Whom Result Remark ISO TS16949 20092013 6 24TUVpassed NOTE FAILURE TO SCORE 2 ON ONE OR MORE KEY QUESTIONS WILL RESULT IN FAILING THE AUDIT SUPPLIER FAILED TO WITH COMPLY WITH ONE OR MORE KEY QUESTIONS 1Reference Score 88 301 Remarks Duke was founded in 1997 and joint venture with a Japan investment company the capital is 32M RMB Sino hold 80 and Japan hold 20 shares They focus on producing the high pressure seals only and got more than 20 patents in past years All the raw materials were imported and their products were used in steering gear motor braking gear gear box etc They have 420 employee in plant and 90 in technical the sales in 2010 is 130M RMB they have passed the TS16949 certification audit in 2006 4 key questions were failed in this audit supplier needs to submit corrective actions for each of items with score under 2 points within 2 weeks Supplier needs to improve on APQP sub tier supplier management and quality control process NSA follow up needed 60 Systems unable to meet requirements High Risk Supplier Changchun dongguan best auto parts co LTD Audit Date 31 12月 1899 Address automobile industrial development zone Changhong road 60 80 Systems acceptable but requires action plan Intermediate Risk City StateChangchun 130013CountryChina New Supplier AuditTRW SDE 0 80 Systems meet or exceed requirements Minimum Risk Sign Off Senior Supplier Representative Print NameSignatureTitle PositionDate Sign off Lead TRW SDE Auditor Print NameSignatureTitle PositionDate New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 2 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Score SummaryProcess Owner Department R Spariosu Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITY AUDIT Supplier Name Changchun dongguan best auto parts co LTDAudit Date 31 12月 99 60 Systems unable to meet TRW requirements 60 80 Systems acceptable but require action plan 80 Systems meet or exceed requirements MANAGEMENTSUPPLIER MANAGEMENTMANUFACTURING Maximum Points Available 20 00Maximum Points Available 18 00Maximum Points Available 74 00 1 0 Quality Management System5 008 0 Supply Chain Management7 0013 0Identification and Traceability12 00 2 0 Management Responsibility5 0012 0 Incoming Inspection Layout8 0014 0Production Control5 00 3 0 Document Management5 00Total Points 15 0015 0Manufacturing Monitoring22 00 4 0 Resource Management2 00Section Score 83 3317 0Inventory and Storage10 00 Total Points 17 0018 0Preventive Maintenance20 00 Section Score 85 00QUALITY CONTROLTotal Points 69 00 Maximum Points Available 54 00Section Score 93 24 PRODUCT PLANNING9 0 Quality Control8 00 Maximum Points Available 22 0010 0 Statistical Process Control13 00COMMODITY SPECIFIC 5 0 Product Realization0 0011 0 Control of Monitoring Devices2 00Maximum Points Available 0 00 6 0 Design and Development10 0016 0 Non Conforming Product14 0020 010 Die Cast0 00 7 0 Advanced Quality Planning9 0019 0 Process Improvement9 0020 020 Plastics0 00 Total Points 19 00Total Points 46 0020 030 Springs0 00 Section Score 86 36Section Score 85 1920 040 Stamping0 00 20 050 Semiconductors0 00 20 070 Semiconductor Assembly Test0 00 20 090 Rubber0 00 Total Score 0 00 Section Score NA New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 3 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Score DetailProcess Owner Department R Sparisou Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITY AUDIT Supplier Name Changchun dongguan best auto parts co LTDAudit Date 31 12月 1899 60 Systems unable to meet TRW requirements High Risk 60 80 Systems acceptable but require action plan Intermediate Risk 80 Systems meet or exceed requirements Minimum Risk MANAGEMENT 25 1 0 Quality Management System Number of Questions Total Points Awarded Points 01 02 03 22135 0083 33 2 0 Management Responsibility Number of Questions Total Points Awarded Points 01 02 03 22135 0083 33 3 0 Document Management Number of Questions Total Points Awarded Points 01 02 03 22135 0083 33 4 0 Resource Management Number of Questions Total Points Awarded Points 01 212 00100 00 PRODUCTION PLANNING 15 5 0 Product Realization Number of Questions Total Points Awarded Points 01 02 03 04 NANANANA00 00 DIV 0 6 0 Design and Development Planning Verification and Validation Number of Questions Total Points Awarded Points 01 02 03 04 05 06 07 08 NA2NANA2222510 00100 00 7 0 Advanced Quality Planning Number of Questions Total Points Awarded Points 01 02 03 04 05 06 21212169 0075 00 SUPPLIER MANAGEMENT 15 8 0 Supply Chain Management Number of Questions Total Points Awarded Points 01 02 03 04 05 2121157 0070 00 12 0 Incoming Inspection Layout and Functional Testing Number of Questions Total Points Awarded Points 01 02 03 04 222248 00100 00 New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 4 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Score DetailProcess Owner Department R Sparisou Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITY AUDIT Supplier Name Changchun dongguan best auto parts co LTDAudit Date 31 12月 1899 60 Systems unable to meet TRW requirements High Risk 60 80 Systems acceptable but require action plan Intermediate Risk 80 Systems meet or exceed requirements Minimum Risk QUALITY CONTROL 15 9 0 Quality Control Number of Questions Total Points Awarded Points 01 02 03 04 222248 00100 00 10 0 Statistical Process Control Number of Questions Total Points Awarded Points 01 02 03 04 05 06 07 08 11122222813 0081 25 11 0 Control of Monitoring and Measuring Devices Number of Questions Total Points Awarded Points 01 212 00100 00 16 0 Control of Non conforming Product Number of Questions Total Points Awarded Points 01 02 03 04 05 06 07 08 11222222814 0087 50 19 0 Improvement Processes Number of Questions Total Points Awarded Points 01 02 03 04 05 06 12112269 0075 00 MANUFACTURING 25 13 0 Idenfication and Traceability Number of Questions Total Points Awarded Points 01 02 03 04 05 06 222222612 00100 00 14 0 Production Control Number of Questions Total Points Awarded Points 01 02 03 21235 0083 33 15 0 Manufacturing Monitoring and Measurement Number of Questions Total Points Awarded Points 01 02 03 04 05 06 07 08 09 10 11 12 13 22212222112121322 0084 62 17 0 Inventory and Storage Number of Questions Total Points Awarded Points 01 02 03 04 05 22222510 00100 00 18 0 Preventive Maintenance Number of Questions Total Points Awarded Points 01 02 03 04 05 06 07 08 09 10 22222222221020 00100 00 New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 5 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Score DetailProcess Owner Department R Sparisou Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITY AUDIT Supplier Name Changchun dongguan best auto parts co LTDAudit Date 31 12月 1899 60 Systems unable to meet TRW requirements High Risk 60 80 Systems acceptable but require action plan Intermediate Risk 80 Systems meet or exceed requirements Minimum Risk COMMODITY SPECIFIC 5 20 01 Die Cast Number of Questions Total Points Awarded Points 011 012 013 014 015 016 00 00 DIV 0 20 02 Plastics Number of Questions Total Points Awarded Points 021 022 023 024 025 026 027 028 00 00 DIV 0 20 03 Springs Number of Questions Total Points Awarded Points 031 032 033 034 035 00 00 DIV 0 20 04 Stampings Number of Questions Total Points Awarded Points 041 042 043 044 045 046 00 00 DIV 0 20 05 Semiconductors Number of Questions Total Points Awarded Points 051 052 053 054 055 056 057 058 059 060 00 DIV 0 20 07 Semiconductor Assembly Test Number of Questions Total Points Awarded Points 071 072 073 074 075 076 077 078 079 080 00 DIV 0 New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 6 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Core AuditProcess Owner Department R Spariosu Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITIY AUDIT Supplier Name Changchun dongguan best auto parts co LTDSupplier Representatives Audit Date Address automobile industrial development zone 2Full Compliance Performing Well Changhong road City State Zip Changchun 130013 1 Partial Compliance Marginally Acceptable with Action Plan Country ChinaTRW Representatives 0 No Compliance Major Issues 1 0 Quality Management Systems质质量量管管理理体体系系Audit WorksheetAction Plan No Question问问题题 Evidence Required证证 据据 Look For查查找找Status得得分分Observations观观察察ActionResponsibilityDue DateDate Completed 1 01 Quality Management Systems质量管理体系l Quality Manual l Procedures l Process Maps l Manual to ISO TS 16949 or conversion matrix 2 1 02 Is a quality policy established communicated and understood throughout the organization 是一种高 质量的政策建立 沟通和理解整个组织 l Quality Policy 质 量方针 l Quality Operating System 质量操作系统 l Quality policy statement with objectives approved by CEO 质量政策声 明的目标通过首席执行官 l Quality objective linked to business plan 质量目标与商业计划 l Interviews with randomly selected people throughout the organization 在整 个组织中随机选取的采访 l Periodic review of all elements of quality management system 定期评审质量管理 体系的所有元素 2 1 03 Does the organization compare trends in quality and operation performance compared with progress toward objectives and lead to action to support the following 组织质量和操作性能的比较趋势与目标进度 导致行动支持如下 a development of priorities for prompt solutions to customer related problems 发展重点提示解决客户相 关问题 b determination of key customer related trends and correlation to support status review decision making and longer term planning 确定关键客户相关 的趋势和相关支持状态评估 决策和长期计划 c an information system for the timely reporting of product information arising from usage 及时报告信息 系统的使用引起的产品信息吗 d is top management a part of the reviews 是最高管 理层的一部分评论 e are the necessary resources in place to ensure goals are met 是必要的资源以保证目标得到满足吗 l Data Analysis report数 据分析报告 l Customer specifications 客户规范 l Quality Manual 质量手册 l Business Plan 商业计划 l Quality Metrics 质量指标 l Customer problem resolution 客户解决问题 l Comparison of trends to objectives goals 比较目标 目标 的趋势 l Specific actions to trend analysis 具体行动趋势分析 l Prioritization of action 优先级的行动 l Customer defined objectives and company goals stated in the Business plan and their alignment with the quality policy statement 客户定义的目标和公司 目标中规定的商业计划和符合质量政策声 明 l Quality Manual according to ISO TS 16949 2002 根据ISO TS 16949 2002质 量手册 l Management review meeting minutes attendance and adequate frequency 管理 评审会议记录 考勤和足够的频率 l Action Plans and follow up动计划和后 续 1Need to improve on data analysis Some analysis no validate record 需要改进数据分析 一些分析无验证记录 2 0 Management Responsibility管管理理责责任任Audit WorksheetAction Plan No QuestionEvidence RequiredLook ForStatusObservationsActionResponsibilityDue DateDate Completed 2 01 Is there a member of management who is responsible a for establishing implementing and maintaining quality systems and processes b reporting on the QMS performance c reporting any need s for improvement d promotion of awareness of customer requirements throughout the organization 高级管理层中是否有人负责 a 建立 实施和维护质量体系和程序 b 报道QMS性能 c 报告所有改进的需要 d 在整个组织中提高客户需求意识 l Organizational Chart组 织机构图 l Who is the person responsible 负责人是谁 l Evidence of activities performed including empowerment for all applicable elements 执行的 行动的证据 包括所有可用要素的许可 l Management review minutes 管 理评审记录 2Mr Li Yunfei is QM representative New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 7 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Core AuditProcess Owner Department R Spariosu Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITIY AUDIT Supplier Name Changchun dongguan best auto parts co LTDSupplier Representatives Audit Date Address automobile industrial development zone 2Full Compliance Performing Well Changhong road City State Zip Changchun 130013 1 Partial Compliance Marginally Acceptable with Action Plan Country ChinaTRW Representatives 0 No Compliance Major Issues 2 02 Does top management of the organization review its QMS a at planned intervals to ensure its continuing suitability adequacy and effectiveness b for improvement opportunities and the need for changes Are the records from the management review maintained 组织审查其QMS的高层管理人员 a 在计划的时间间隔 以确保其持续的适宜性 充分性 和有效性 b 对改进机会和需要更改吗 保持管理评审的记录吗 l Management reviews管 理评审 l Review includes all elements of the Quality System 审查包括质量体系的所有 元素 l Review of quality cost indicators 质量成 本指标 l Evidence of continuous improvement projects initiated from management reviews 持续改进项目开始从管理评审的 证据 l Management review minutes attendance and frequency 管理评审分钟 出席人数和频率 l Action plans and follow up 行动计划和 跟进 2 2 03 Is the Supplier certified to ISO 14001 or other equivalent environmental standard 供应商是否通过了ISO 14001 或其他同等环境标准的 认证 If not has the supplier established a functioning Environmental Management System Does each employee understand the environmental impact of their responsibilities and is making an effort to avoid any actions with a negative impact 如果没有 供应商是否建立了多功能环境管理体系 是否每个员工都明确他们职责对环境的影响 SCORING得分 ISO 14001 2 Functioning Environmental sytem 1运运行行环环境境系系统统 1 Nothing in place 0没没有有 0 l Certification to an Environmental Standard 对环境标准的认证 l Environmental Policy Procedures and Training 环境方针 程序和培训 l Certification to ISO 14001 BS7750 EMAS or equivalent l Investigation of production processes including Indirect Material and supply and disposal processes 生产工艺流程 包括间接材料 及供应和处置过程的调查 l Guidelines defined targets metrics and completed environmental protection involvement 指导方针 明确的目标 试题 和完整的环境保护参与 l Interviews with randomly selected people throughout the organization 在组 织中 随机挑选人员进行的员工访谈 1Plan to acquire the environment system attestation of ISO14001 in October of 2014 3 0 Document Management文文件件管管理理Audit WorksheetAction Plan No QuestionEvidence RequiredLook ForStatusObservationsActionResponsibilityDue DateDate Completed New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 8 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Core AuditProcess Owner Department R Spariosu Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITIY AUDIT Supplier Name Changchun dongguan best auto parts co LTDSupplier Representatives Audit Date Address automobile industrial development zone 2Full Compliance Performing Well Changhong road City State Zip Changchun 130013 1 Partial Compliance Marginally Acceptable with Action Plan Country ChinaTRW Representatives 0 No Compliance Major Issues 3 01 Has the organization established a document control procedure for documents required by the QMS to define controls needed 对于 QMS要 求的文件 组织是否建立了文件控制程序以明确必须 的控制 a to approve documents before release b to review and update and re approve documents c to ensure changes and current document revision are clearly identified d to assure relevant documents are available at point of use e to assure documents remain legible and identifiable f to ensure documents of external origin are identified and their distribution controlled g to prevent unintended use of obsolete documents assuring proper identification if retained a 发行前对文件的审批 b 对文件进行回顾 更新和再评估 c 确保变更和当前文档修订是清晰可辨的吗 d 来确保相关文件在使用地点可以 e 来确保文件保持清晰和可识别的 f 以确保外部来源的文件是可识别的 并且分配是受 控的 g 以防止意外使用作废的文件 并确保如果被保留能被 识别出 l Document Control Procedure 文件管理流程 Manual to ISO TS 16949 or conversion matrix ISO TS 16949手册或变换矩阵 Document control master list or equiva lent 文件控制总清单或等效的文件 Document approval authority 文件审批权限 Document approval records 文件审批记录 Availability of documents in various loc ations 各个场地文件的可用性 Document accessibility 文件可获取性 Storage and disposal of obsolete docu ments 废弃文件的储存和处理 Process for notification distribution of documents from internal and external orig ins 来自内部和外部的文件的通知 分配程序 Review and approval of revised docum ents 已修订文件的回顾和审批 2 3 02 Does the organization have a process to assure timely review distribution and implementation of all customer engineering standards specifications and changes Does this take place in a timely manner 组织拥有一个过程以确保及时评审 分配和实施所有顾 客工程标准 规范和变化 这发生及时吗 l Customer and Regional Standards Specifications 客户和地区标准 规范 l Customer change notifications客户更改通 知 l Process for notification distribution of customer engineering standards specifications 过程通知顾客工程标准 规范 分布 l Process for implementation of customer initiated change 实施过程的 客户开始改变 l Document changes triggered by engineering changes 文 档变更引发的工程变更 l Records of engineering changes implemented 记 录工程变更实施 2 New Supplier Assessment Date 16 Jan 2008 Revision E Doc No D 010 4 02 Page 9 of 31 7b4e849586e200626d4f5f0be6fceea2 xls Core AuditProcess Owner Department R Spariosu Supplier Development Approved by R Blanchette Global Director SDE SUPPLIER FACILITIY AUDIT Supplier Name Changchun dongguan best auto parts co LTDSupplier Representatives Audit Date Address automobile industrial development zone 2Full Compliance Performing Well Changhong road City State Zip Changchun 130013 1 Partial Compliance Marginally Acceptable with Action Plan Country ChinaTRW Representatives 0 No Compliance Major Issues 3 03 Has the organization established a document procedure to define the controls needed for the identification storage protection retrieval retention time and disposition of records 组织已 经建立了一个文档过程定义所需的控件标识 储存 保护 检索 保留和处置记录 l Quality Management System质量管理体系 l Record maintenance system 记录维护系统 l Quality Manual according to ISO TS 16949 2002 l Defined record retention time compared to customer regulatory requirements l Record disposal after retention period expires l Identification of obsolete records