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InformationandInstructionQualitySystemAudit内部公开2020/5/26华为机密，未经许可不得扩散Page1of29InformationandInstructionQualitySystemAudit内部公开2020/5/26华为机密，未经许可不得扩散Page2of29InformationandInstructionQualitySystemAudit内部公开InformationandInstructions通知和说明书PURPOSE目的ThisdocumentwasdevelopedasanAuditTooltoassessasupplier'sQualitySystemsagainstHUAWEI'sQualitySystemsRequirements.TheHUAWEIQualitySystemsAudit(QSA)isbuildupontheTL:9000QualitySystemsStandard,butwithadditionalHUAWEIspecificrequirementsincluded.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范围TheHUAWEIQualitySystemsAuditisnotcommodityspecific,thereforeitmaybeusedtoassesstheQualitySystemsdeployedbyasupplier/manufactureirrespectiveofthecommodity.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。AUDITBYSELFASSESSMENT自我评估稽核Asupplier'sfacilityisrequiredtocompleteaselfassessmentusingthistoolinadvanceoftheHUAWEIAudit.(OneQSAisrequiredperfacility.)Bydoingthis,afacilitywillbeabletopreparefortheauditandseekadvancehelpandguidancefromHUAWEISQEtobebestpositionedtosucceed.Itisexpectedthatduringtheself-assessmentprocess,thatthesupplierwillusethisopportunitytoaskquestionsforeitherclarificationortobetterunderstandintentoftheauditcriteria.WaitingfortheformalHUAWEIaudittoaskthesetypesofquestionsistoolate.Itisalsoexpectedthatbasedonselfauditresults,asupplierwillinformtheHUAWEIteamoftheirreadinessforaformalHUAWEIaudit.Aselfassessmentiscompletedbyscoringtherelevantcolumnineachworksheet.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。AUDITBYHUAWEI华为稽核Duringtheauditprocess,theHUAWEISQEmaywishtorevieweveryquestion/criterionlistedontheauditdocument,oralternativelytheSQEmaychoosetofocusonlyonthosequestionsforwhichthesupplierawardedthemselvesascoreof2byself-assessment.ThepathtakenisrighttoSQEdiscretion.ThescoreawardedbytheSQEAuditorwillbeenteredinthe'Score'columnoneachworksheet.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HWScore进行打分。AUDITRESULTS稽核结果TheSQEAuditormustcompleteALLsectionsbeforeanAuditResultcanbedeclared.TheAuditResultofeachsectionisbasedonthenumberofquestionsscoredas1versusthetotalnumberofquestionsofthesection*2.AnyquestionsthatarescoredasN/Aareadjustedautomaticallyinthescoredenominator.TheoverallaveragescoredoesnotdeterminetheAuditResult,ratheralltheindividualsectionscoreswilldeterminetheAuditResult.The'Pass'scorefortheAuditis80%.IftheAuditScoresforallsectionsofequalorgreaterthan80%areachieved,a'Pass'resultisawarded.IfanAuditScoreofequalorgreaterthan70%butlessthan79%isachievedatanysection,a'ConditionallyPassed'resultisawarded.IfanAuditScoreoflessthan70%isachievedatsection1,3,4,7,8,9,10,11,a'Fail'or'NotPass'resultisawarded.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。IfaConditionallyPassedResultisawarded,aCorrectiveActionPlanisduefromthesupplierwithinTWOweeksofthedateofauditcompletionforanysectionsoftheQSAthatarebelow80%.IfaNotPassResultisawarded,aCorrectiveActionPlanisduefromthesupplierwithinTWOweeksofthedateofauditcompletionforanysectionsoftheQSAthatarebelow70%.OncompletionofthisCorrectiveActionPlan,asupplierisrequiredtogeneratesecondCorrectiveActionPlantobridgetothe80%'Approved'Status.AllCorrectiveActionPlansmustcontainatimelineto'bridge'toa'ConditionallyPassed'or'Passed'status,dependingontheinitialauditresult,andmustproposeatargetdateforaHUAWEIfollow-upAudit.Failuretoachievea'ConditionallyPassed'ResultonafollowupAuditmayimpactbusinessawarddecisions.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。APASSRESULT通过结果Onceasupplier'sfacilityhasPassedtheAudit,theQualitySystemsareapprovedforthefacilityaudited,notallsupplierfacilities.PassingtheQSAdoesnotguaranteeabusinessaward,butisthefirststeptowardswinningtechnicalapprovalforasite.Inaddition,manycommoditieshaveacommodityspecificQualityProcessAudit(QPA),whichalsorequirestobepassedbeforetechnicalapprovalmaybeobtained.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。AUDITMECHANICSandQUESTIONSQualitySystemAudit2020/5/26华为机密，未经许可不得扩散Page3of29InformationandInstructionQualitySystemAudit内部公开TheAuditbreaksdowntheQualitySystemintoindividualsections,eachofwhichisrepresentedbyanindividualworksheet.Withineachworksheetiscontainedaseriesofquestionsspecificallypertainingtothesectionbeingexamined.Thequestionsweredevisedanddevelopedasclosedquestionswitheveryattempttoavoidambiguity.Becauseoftheclosednatureofthequestions,therecanonlybeoneoffouranswerstoanyquestion,i.e.(0),(1),(2),or(N/A).IftheCriterionisfullymet,ascoreof2isobtained.IftheCriterionispartial