华为质量体系稽查自检

1、Quality System AuditConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: Permanent Huawei ConfidentialPage 1 of 55Information 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

2、against HUAWEIs Quality Systems Requirements.The HUAWEIQuality Systems Audit (QSA) is build upon the TL:9000 Quality Systems Standard, but with additional HUAWEI 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 Qua

3、lity Systems Audit is not commodity specific, therefore it may be used to assess the Quality Systems deployed by a supplier/manufactureirrespective of the commodity.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 assess

4、ment 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 advance help and guidance from HUAWEI SQE to be best positioned to succeed.It is expected that during the self-assessment process, that the

5、 supplier will use this opportunity to ask questions for either clarification or to betterunderstand intent of the audit criteria. Waiting for the formal HUAWEI 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 t

6、eam 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

7、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/criterion listed on the audit document, or alternatively the SQE may choose tofocus only on those questions for which the supplier awarded themselve

8、s 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 worksheet.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 se

9、ctions before an Audit Result can be declared.Any questions that are scored as N/A are adjusted automatically in the score denominator.The Pass score for the Audit is 80%. If the Audit Scores for all sections of equal or greater than 80% are achieved, a Pass result is awarded.If an Audit Score of eq

10、ual 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 Fail or Not Pass result is awarded,total score will be deducted 3 score bysection .审核员必须在审核结果公布前完成所有部分的审核。任何选择

11、N/A的项目在分母里面会自动除去。1、各模块有两个或以上关键项为0分，该模块得分不合格且每个关键项不满足模块总分扣三分2、模块1-6累计有三个或以上模块得分=80 通过；70-80 条件通过；70 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 anysections of the QSA that are below 80%.If a Not

12、 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 below 70%. On completion of this Corrective Action Plan, a supplier is required to generate second Corrective Action Plan to bridge to the 8

13、0%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 mustpropose a target date for a HUAWEI follow-up Audit.Failure to achieve a Conditionally Passed Result on a follow up Audit may impa

14、ct 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

15、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 the first step towards winning technical approval for a site. In addition, many commodities havea commodity specific Quality Process Audit (QP

16、A), 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。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 AuditQuality System AuditConfidentiality: InternalDocument Code: Pr

17、oc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: Permanent Huawei ConfidentialPage 2 of 55The Audit breaks down the Quality System into individual sections, each of which is represented by an individual worksheet.Within each worksheet is contained a series of questions specifically per

18、taining 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 to any question, i.e. (0), (1), (2), or (N/A).“0”wrong or no procedure ,wrong

19、procedure, wrong or no action;procedure wrong defined.wrong procedure, action didnt meet requirement with risk .“1”wrong or no procedure but perfect action conducted.correct procedure but partially implemented.correct procedure and implementation but without sufficient record.Procedure is not 100% c

20、orrect but implement well.“2”all correct including procedure and implementationA score of N/A may be awarded if the SQE believes that any particular question is truly 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 po

21、ssible.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 clearly demonstrated, followed, and be beyond reproach.In the event that a supplier clearly meets the intent of the audit question, but does

22、 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案，如0、1、2或不适用。0分：程序错误或没有程序；程序错误，错误的执行或没有执行；程序定义错误；程序错误，执行不能满足要求，带有风险；1分：程序错误或没有程序，但执行的很好；程序正确，但部分执行；程序正确，且有执行，但没有充足的记录；程序不是100%正确，但执行的很好；2分

23、：程序和执行都正确。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 session will be provided to the SQEs

24、who 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。在华为经过充分资格认证的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 when the need arises. However, HUAWEI m

25、ay 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 auditor must ensure the HUAWEI commodit

26、y 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

27、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。QSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 3 of 55Supplier NameSupplier CodeFactory Location DateAuditor No.SECTIONSelf Actual %HUAWEI Ac

28、tual% Goal% Auditor1 Quality Systems95.8%N/A80%2 Design & NPI76.2%N/A80%3 Supplier Quality Control92.9%N/A80%4 Process Control69.0%N/A80%5 Storage & Delivery81.8%N/A80%6 After Sales Service100.0%N/A80%7 BCM Management100.0%N/A80%8 Soft Quality Control69.0%70.2%80%9 Construction Management 69

29、.0%92.4%80%QSA Score (%)90.8%81.8%0%0%QSA ResultPassedPassed0%0%-3.0%0.0%PassedPassed0%0%87.8%81.8%Criteria:-3%0%67.0%70.0%Passed80 100%0%0%Conditionally Passed70 79%0%0%Not Passed 70 %Quality System AuditQSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 C

30、onserved Time of the Record: PermanentHuawei ConfidentialPage 4 of 55HUAWEI 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 IssueClassification1QualitySystems234567891011121314151617181920211.WeeklyQualityPerform

31、anceThereportincludesfollowingprocess:OLB,FinalInspection,OQC/OBA.Onlyinputproductnameandfailuredatainyellowcells.In addition,inputbriefcommentforworstfailuresoroverqualitygoal,includingactions.Failuremodeswillberevisedaccordingtolong-termdata.If necessary,JQEcanaddsomespecialfailuremode.2.SPC/Chara

32、cteristicsMonitoringThereportincludesfollowingitems,Optical,ElectricalcharacteristicsandOutlineDimension.Theauto-calculationformulais established,onlyinputproductnameandrawdataorSpec.inyellowcells.In caseofmanyprojectsproducedatsametime,JQEshouldcopythesamereportingformatforapplyingtootherproductsor

33、discusswithRSQE.QSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 5 of 5522232425262728293031323334353637383940414243444546473.ReliabilityTestMonitoringThereportincludesfollowingtestitems,THB,T

34、ST,VibrationandShocktest.JQEshouldreportthestatusofORTofeverymonth,inputtheschedule,sampleqtyandresult.In caseoflowproductionvolume,JQEmaydiscusswithDELLSQEforrevisingORTplan.6.DiscussionandActionThissheetis usedforreviewrecord,lesson&learnandfollowupactions.JQEdoesntneedtofulfillthiscolumn,DELL

35、SQEshouldgivecommentsaccordingtodiscussingconclusionwithJQE.1.WeeklyQualityPerformanceThereportincludesfollowingprocess:OLB,FinalInspection,OQC/OBA.Onlyinputproductnameandfailuredatainyellowcells.In addition,inputbriefcommentforworstfailuresoroverqualitygoal,includingactions.Failuremodeswillberevise

36、daccordingtolong-termdata.If necessary,JQEcanaddsomespecialfailuremode.2.SPC/CharacteristicsMonitoringThereportincludesfollowingitems,Optical,ElectricalcharacteristicsandOutlineDimension.Theauto-calculationformulais established,onlyinputproductnameandrawdataorSpec.inyellowcells.In caseofmanyprojects

37、producedatsametime,JQEshouldcopythesamereportingformatforapplyingtootherproductsordiscusswithRSQE.QSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 6 of 55483.ReliabilityTestMonitoringThereport

38、includesfollowingtestitems,THB,TST,VibrationandShocktest.JQEshouldreportthestatusofORTofeverymonth,inputtheschedule,sampleqtyandresult.In caseoflowproductionvolume,JQEmaydiscusswithDELLSQEforrevisingORTplan.6.DiscussionandActionThissheetis usedforreviewrecord,lesson&learnandfollowupactions.JQEdo

39、esntneedtofulfillthiscolumn,DELLSQEshouldgivecommentsaccordingtodiscussingconclusionwithJQE.QSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 7 of 55QSA Audit ChecklistConfidentiality: Internal

40、Document Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 8 of 55问问题题严严重重等等级级Issue SeriouslevelCriticalMajorMinorOBS审审核核结结果果综综述述(根根据据文文件件审审核核、现现场场审审核核、高高层层访访谈谈等等做做出出）QSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Qualit

41、y_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 9 of 55QSA Audit ChecklistConfidentiality: InternalDocument Code: Proc/Supplier/Quality_T01 2022/2/3 Conserved Time of the Record: PermanentHuawei ConfidentialPage 10 of 551: Quality SystemsSelfSelf AvgAvgScore:Score:96%质质

42、量量平平台台Counts:48Subtotal:46ManagementManagement SystemSystem 管管理理体体系系(Ref 7.3.1)1.1Is there a independency quality management organization?是否有独立质量管理组织？(Ref 7.3.1)1.2Is the quality management organization clear?质量管理组织职责是否明确？(Ref 7.3.1)1.3Are there quality management representatives?是否有质量管理者代表？(Ref 7.3

43、.1)1.4Are there full-time quality management staff in the R&D and production?研发、生产过程中是否有专职质量管理人员？(Ref 7.3.1)1.5Does supplier evaluate the suitability and effectiveness of the qualitymanagement system at the appropriate intervals?Whether the improvement actions befollowed up?供应商是否按适当的时间间隔评审质量管理体系

44、的适宜性和有效性？输入包括：a.质量目标的达成;b.审核结果;c.顾客反馈;d.过程的业绩和产品的符合性;e.预防和纠正措施的状况;f.以往管理评审的纠正措施;g.可能影响质量管理体系的变更;h.改进建议，输出是否包括：a.质量管理体系及其过程有效性的改进；b.与顾客要求有关的产品的改进措施；c.资源需求。改进措施是否有定期跟进？(Ref 7.3.1)1.6Does the supplier conduct internal audits at planned intervals?Do the internal audits verifycompliance with planned arra

45、ngements,ISO standards and quality management system andcustomer requiremnts?Are the audit findings followed up and closed?供应商是否按策划的时间间隔进行内部审核？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、客户要求？审核发现问题是否有效跟踪关闭(Ref 7.3.1)1.7Does the supplier establish quality system documents, such as process flow,procedure, orga

46、nization chart, quality manual?供应商是否制定质量体系文件，如流程，程序文件，组织图，品质手册？(Ref 7.3.1)1.8Are quality management requirements and KPI integrated into the operation process? Is there aclear quality objective for different departments?质量管理要求和KPI是否融入业务流程中？各部门是否有清晰的质量目标并层层分解？ITIT SystemSystem ITIT系系统统(Ref 4.2.3)1.9D

47、oes the supplier have overall planning and implementation plan for the process IT?供应商对流程IT是否有整体规划和具体实施计划？(Ref 4.2.3)1.10Does the IT system support the whole business process,such as,R & D, planning (ordermanagement, material planning, production planning), incoming material management, inventory

48、management, delivery management, and reverse management?IT系统是否支撑研发、计划（订单管理、物料计划、生产计划）、来料管理、库存管理、发货管理、逆向管理的全业务流程？ContinuousContinuous ImprovementImprovement 持持续续改改进进(Ref 4.2.3)1.11Is there a clear corporate quality policy?是否有明确的公司质量方针？(Ref 4.2.3)1.12Is the quality policy and objectives be published?

49、Are the employees familiarwith it?质量方针和目标公之于众，定期宣导并且被员工所熟知？(Ref 4.2.3)1.13Is the quality data measured and analyzed regularly?是否有定期对质量数据进行度量与分析？(Ref 4.2.3)1.14Does the production and quality management have the test system, the qualityinspection database, the SPC and other tools?生产与品质管理是否有测试系统、质量检验数

50、据库、SPC等工具和数据系统？(Ref 4.2.3)1.15Is there a continuous improvement mechanism? Is it be implemented effectively?是否有持续改进机制并有效实施？(Ref 4.2.3)1.16Are the routine quality improvement activities such as QCC, 6Sigmaimplemented?Are they planned, recored detailedly and rewarded for the good ones?是否例行化的开展QCC、6sig

51、ma等活动，有激励手段，并有详细的计划和记录？DocumentDocument ControlControl 文文件件控控制制(Ref 4.2.3)1.17Does the supplier establish document control procedure? Is the procedureimplemented strictly?供应商是否建立文件控制程序？是否严格按文件控制程序执行？(Ref 4.2.3)1.18Is there procedure to ensure that internal and external documents are identifiedand di

52、stributed under control? Is the ducoument control by IT system?是否有程序来保证内部及外来文件被识别和在管控下分发？是否有文件控制IT系统？(Ref 4.2.3)1.19Are all quality records marked, indexed, filed, collected, stored, maintained anddisposed of the expired documents and stored well?所有质量记录是否有标示,索引, 归档, 收集, 存储, 保持和处置过期之文件,并且存储环境良好?Contr

53、actContract ReviewReview 合合同同评评审审(Ref 4.2.3)1.20Are there established procedures for contract review? Including productspecifications，quality requirements and capacity satisfaction.是否建立了合同评审的流程？评审内容至少包含产品规格、质量要求及产能满足等EquipmentEquipment CalibrationsCalibrations 仪仪器器校校验验(Ref 4.2.3)1.21Are there docume

54、nted procedures for control of inspection, measuring, testequipment? Including:(a) Equipment master list；(b) Calibration schedule；(c)Recall list ；(e) Calibration record/report是否有设备检查、测量、设备测试的管控程序文件?包括：设备总清单、校准计划、召回清单、校准记录/报告(Ref 4.2.3)1.22Is there a process for disposition if product has been built/

55、tested withequipment found to be out ofcalibration?当设备校验发现异常时，是否有流程对此设备检测的产品进行处理?(Ref 4.2.3)1.23Has the personnel in charge of calibration been trained and formally certified?负责校准的员工是否经过培训与获得证书？内校是否按标准执行？(Ref 4.2.3)1.24Are the reference devices (standard equipment) used for base-point calibrations(0

56、 point, makers scale, etc.) ,measuring equipment, tools, and jigs correctlystored, managed and calibrated to NIST standards?是否对用来作基准校正用的标准设备、测量设备、工装、夹具作正确的存放与管理?HW AvgScore:N/ASelfScoreHuaweiScoreKeyKeyItemsItems关关键键项项RemarkRemark备备注注（检检查查记记录录）Counts:0Subtotals:02Y公司有质控部2Y质控部岗位职责说明书2有，宋德云被任命为我司管理者代表

57、2Y是，有IPQC/QC/FQC2Y2015年度管理评审报告2Y一年2次内审，见上半年和下半年的内审总结报告2Y公司质量手册、程序文件、三级文件、组织架构图2Y公司质量目标2Y22Y公司质量方针：培养优秀员工、生产优质产品、提供优良服务。2新进员工都会进行培训，公告栏有张贴。2Y质控部有质量月报进行度量和分析ManagementManagement SystemSystem 管管理理体体系系Is there a independency quality management organization?是否有独立质量管理组织？Is the quality management organizat

58、ion clear?质量管理组织职责是否明确？Are there quality management representatives?是否有质量管理者代表？Are there full-time quality management staff in the R&D and production?研发、生产过程中是否有专职质量管理人员？Does supplier evaluate the suitability and effectiveness of the qualitymanagement system at the appropriate intervals?Whether

59、the improvement actions befollowed up?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？输入包括：a.质量目标的达成;b.审核结果;c.顾客反馈;d.过程的业绩和产品的符合性;e.预防和纠正措施的状况;f.以往管理评审的纠正措施;g.可能影响质量管理体系的变更;h.改进建议，输出是否包括：a.质量管理体系及其过程有效性的改进；b.与顾客要求有关的产品的改进措施；c.资源需求。改进措施是否有定期跟进？Does the supplier conduct internal audits at planned intervals?Do the inter

60、nal audits verifycompliance with planned arrangements,ISO standards and quality management system andcustomer requiremnts?Are the audit findings followed up and closed?供应商是否按策划的时间间隔进行内部审核？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、客户要求？审核发现问题是否有效跟踪关闭Does the supplier establish quality system documents, such as process flow,procedure, organi