比亚迪供应商质量体系检查表(XLS-多个工作表).xls

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1、Information and Instructions 信信息息和和指指示示1、PURPOSE 目目的的This document was developed as an Audit Tool to assess a suppliers Quality Systems against BYDs Quality Systems Requirements.The BYDQuality Systems Audit(QSA)is build upon the ISO-9000 Quality Systems Standard,but with additional BYD specific requ

2、irements included.此份文件是做为对供应商质量体系审核的工具，用于评估供应商的质量体系是否符合BYD的质量体系要求BYD质量体系的审核是建立在ISO9001质量标准上的，但也包括BYD附加的具体要求2、SCOPE范范围围The BYD Quality Systems Audit is not commodity specific,therefore it may be used to assess the Quality Systems deployed by asupplier/manufacture irrespective of the commodity.比亚迪质量体系

3、没有对产品进行详细说明，因此可以在不考虑产品的基础上用来评估供应商或者制造商的质量体系。3、AUDIT BY SELF ASSESSMENT供供应应商商自自评评A suppliers facility is required to complete a self assessment using this tool in advance of the BYD Audit.By doing this the facility will be able toprepare for the audit and seek advance help and guidance from BYD SQE t

4、o be best positioned to succeed.供应商工厂需在BYD进行现场审核前完成对该审核工具（Checklist）的自评，通过这样做,供应商才能为随后的BYD 审核做好准备,并向BYD的SQE寻求一些高级的帮助和指导,有利于最好地达到要求。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 inten

5、t of the audit criteria.It is also expected that based on self audit results,a supplier will inform the BYD team of their readiness for aformal BYD audit.A self assessment is completed by adding a scoreand specific evidences to the relevant column in each worksheet.希望供应商在自我评估的時候对那些不太清楚或为更好地理解此稽核标准进行

6、询问，供应商在自评表中的每个条款的相应栏上填上具体的证据和得分根据自评结果供应商将通知BYD审核组。4 4、AUDIT BY BYDBYDBYD审审核核During the audit process,the BYD auditors may wish to review every question/criterion listed on the audit Checklist,or alternatively the auditors maychoose to focus only on those questions for which the supplier awarded them

7、selves a score of by self-assessment.The score awarded by theAuditor will be entered in the Score column on each worksheet.在审核过程中，BYD审核员会对审核表中所列的每个问题点进行评审，或可能重点的选择供应商在自评中得分为的问题点进行评审，审核人员应在得分栏中给出得分5、Scoring guideline得得分分指指南南Score分分数数Grade Standard 评评分分标标准准NANA may be allocated to a cell if the questi

8、on is not applicable to the suppliers system.当审核项目不适合供应商管理系统时使用NA。0No applicable document to guide and no implementing record.无适用文件支持且无执行。1Some applicable documents to guide but only small part implemented;Implementing without applicable document有适用文件，少部分执行，绝大部分未执行；无适用文件，有执行。2Applicable documents to

9、 guide and most parts implemented有适用文件，绝大部分确实执行，少部分未执行。3Applicable documents and implementation are well-done有适用文件且全面彻底执行。If some subsection is not available to the supplier,please fill in N in score column，and the item would not been added in the total score如果有些项不适合该供应商，请在得分栏填上NA，且不会加入总分中6、Audit re

10、sult审审核核结结果果 Approved 承承认认 85%Conditional Approved 有有条条件件承承认认 70%-85%Not Approved 不不承承认认 70%Remarks:The auditing items of 1.1、2.1、2.2、2.3 are unnegotiable,the scores of either item must be three.If any item scored less than three,theauditing result is not approved.It is not related to the total scor

11、e.备注:表中审核条款1.1、2.1、2.2、2.3是不可协商的,这些条款每条得分必须为3分。如果每条得分为3分，那么审核结果为不承认（Not approved)，而与总体分数无关。7、Corrective Action plan 改改善善措措施施计计划划A written corrective action plan is requested within 7 working days在个工作日内提供书面的改善计划。Revision History 修修订订史史Revision版本Revision history修订内容 Revision date修订日期Initiated by编制 Rev

12、iewed by审核 Approved by批准R 1.0Initial Release首次发行2007/12/1Frank曾齐松Alina林玲Andy王发平R 2.0added some unnegotiable iems增加必须项说明2007/12/21Frank曾齐松Alina林玲Andy王发平Quality System AuditBYD Quality System AuditSupplier供供应应商商Factory Location地地址址Audit Date:审审核核日日期期BYD AuditorBYD审审核核员员Item/项项目目SupplierIndividualevent

13、Supplier ScoreSupplier%BYD IndividualeventBYDScoreBYD%1.质量管理体系Quality Management System9000%9000%2.人文/环境/健康/安全/信息Ethical/Environment/Health/Safty information7800%7800%3.设计与开发Design and Development3600%3600%4.供应链及物流管理SCM and logistics management2700%2700%5.来料检验Incoming Material Inspection3600%3600%6.

14、物料和仓库管理Materials and warehouse management4500%4500%7.不合格、纠正与预防措施系统Non-conformity,Corrective and preventive action system3600%3600%8.生产控制Production control7500%7500%9.检测与计量(MSA)Measurement System Analysis3000%3000%10.出货检验Outgong inspection1800%1800%11.销售与客户服务Sales and customer service2100%2100%Percen

15、tage Grade综合评分49200%49200%SUMMARY RESULTNOT APPROVED1.质量管理体系Quality Management System2.人文/环境/健康/安全/信息Ethical/Environment/Health/Safty information3.设计与开发Design and Development4.供应链及物流管理SCM and logistics management5.来料检验Incoming Material Inspection6.物料和仓库管理Materials and warehouse management7.不合格、纠正与预防

16、措施系统Non-conformity,Corrective and preventive action system8.生产控制Production control9.检测与计量(MSA)Measurement System Analysis10.出货检验Outgong inspection11.销售与客户服务Sales and customer service0%10%20%30%40%50%60%70%80%90%100%Supplier%BYD%CUT OFF%CUTOFF%70%70%70%70%70%70%70%70%70%70%70%70%1.质量管理体系Quality Manag

17、ement System2.人文/环境/健康/安全/信息Ethical/Environment/Health/Safty information3.设计与开发Design and Development4.供应链及物流管理SCM and logistics management5.来料检验Incoming Material Inspection6.物料和仓库管理Materials and warehouse management7.不合格、纠正与预防措施系统Non-conformity,Corrective and preventive action system8.生产控制Productio

18、n control9.检测与计量(MSA)Measurement System Analysis10.出货检验Outgong inspection11.销售与客户服务Sales and customer service0%10%20%30%40%50%60%70%80%90%100%Supplier%BYD%CUT OFF%1 Quality Management System/质质量量管管理理体体系系No.Checklist ItemsComments 注注释释MaximumScore最最大大分分值值Self Score自评得分BYD Score 实际得分1.1Has the quality

19、 management system been certificated by the thirdparty?(comply with ISO9001,TS16949 or other quality managementsystem certificated by the international institution)质量管理体系是否获得第三方认证？（符合ISO9001、TS16949或其他国际认可的质量管理体系）,31.2Is there a documented quality manual to describe the effect between thescope,struc

20、ture,reciprocity of the each system of the qualitymanagement system?是否有较文件化的质量手册对质量管理体系范围、结构、体系过程之间的相互作用等进行详细的描述？31.3Is there a documented quality policy and whether it has beencommunicated and understood in the organization?是否有形成文件的质量方针并在组织的各阶层得到有效的沟通和理解？31.4Has the supplier appointed management re

21、presentative who has responsibilityand authority for ensuring that a quality management system has beenimplemented and maintained?供应商是否有指派管理代表有职责和权限确保质量管理体系被导入执行并维护?31.5Is there clear and measurable quality goal?and periodicity review thecompletion status and improvement action.是否建立清晰的可测量的质量目标？并定期评审

22、目标的达成情况和采取改善行动？31.6Is there a risk management system to identify,analyse and control allkinds of potential risks?是否有风险管理体系，对各类潜在风险进行识别、分析和控制？31.7Is there an emergency procedure to reduce the losses when contigencyoccurs?and establish conrisponding measures and implement therehearse periodically.是否有应

23、急程序来预防紧急事故发生时尽可能减少损失？制定相应的措施和演习计划并定期进行演习。31.8Is there a documented procedure to regulate the responsibilities andrequirements of the audit plan,implementation,result reporting andconservation?是否有制定文件化的程序,对审核的策划、实施、报告审核结果及记录保存的职责和要求做了规定？31.9Are the audit criteria,scope,frequency and methods defined i

24、n theinternal audit?內部审核是否有定义审核标准、审核范围、频率和方法？31.10Are the non-comformities of previous audit closed within defined daysand corrective actions effective(no recurrence)?上次审核的不符合项是否在规定时间内关闭？改善措施是否有效（不符合项没有再发生）？31.11Are the audit reports recorded and communicated to the leadership ofthe company?是否记录审核报告

25、并与公司领导层进行沟通？31.12Are the internal auditors qualified?内部审核人员是否有资格?31.13Is there periodical management audit?Are there any improvementactions carried based on the review to the running status of theorganization?是否定期进行管理评审？是否根据评审对组织的运行状况采取改善行动？31.14Has the supplier established and maintained a document

26、ed qualitysystem including procedures and work instructions?是否建立一个包含程序及工作指导书的品质文件系统?31.15Is there document management procedure to control the approval,distribution,keeping,identification,updating,cancellation of the documentand the management of the external document.是否有文件管理程序使文件的批准、发放、保管、识别、更新、删除、

27、外来文件的管理等得到有效控制。31.16Is there a record control procedure to prescribe the control of the mark,keeping,protection,search,storage life and treatment of the record?Andcan provide the relenvant quality record if necessary.是否有记录控制程序，以规定记录的标识、贮存、保护、检索、保存期限和处置所需的控制？必要时供应商要能提供有关的质量记录。31.17Is there control li

28、st of document of editing state and can it be gottenwhenever?是否具有并可随时得到识别文件修订状态的控制清单（或等效文件）31.18Are there records of the releasing and callback of documents?有无文件发放、收回记录?31.19Has the document got the authrization before releasing?文件资料在发放前是否经过授权人员的审批?31.20Has the obsolete documents been marked and con

29、tronlled to preventthe unintended use?是否对保留的作废文件进行标识和管理，以防止非预期误用?31.21Is the change of documents and data approved by the mother auditingdepartment?文件和资料的更改是否由该文件的原审批部门/组织进行审批(除非另外专门指定)？31.22 Do the designated functions or organizations have access to pertinentdocuments background information upon w

30、hich the review and approval based?若指定其他部门审批文件时，该部门是否获得了审批文件所需依据的有关背景资料？31.23Are all changes in documents identified either in the document or inattachments?所有的文件更改是否都在文件或相应的附件上注明？31.24Does the sites playing an important role in the quality system haveavailable document version?是否在质量体系有效运行起重要作用的各个场所

31、，都能得到相应文件的有效版本？31.25Is there a timely review on the distribution and implementation of customerengineering standards/specifications and changes?客户的工程标准/规范及其更改是否能及时评审、分发并实施？31.26Does the supplier maintain the date on which engineering changes areimplemented in production?供方是否保存了工程更改在生产中实施日期的记录？31.27D

32、o implementation of engineering changes include changes of all appropriatedocuments?工程实施更改是否包括更改所有适用的文件？31.28Are training needs of stuff of different levels indentified?是否有效识别公司各级员工的培训需求？31.29Is there a periodical training paln to advance the quality of thepersonnel?Have the training record been kep

33、t?Has the training impactbeen validated?是否有定期的培训计划以持续提升人员素质？培训记录是否得到保存？培训效果是否得到验证？31.30Are the post training requirements clear?Has the qualification ofpersonnel for the post been validated?上岗培训要求是否明确？人员上岗前资格是否得到确认？3Grade for Quality Management System Item质质量量管管理理体体系系项项评评分分Principal/评评分分人人Grade/评评分分

34、9000Back to Audit Summary2 Ethical,Environment,Health,Safty and IT/人人文文/环环境境/健健康康/安安全全/信信息息No.Checklist ItemsComments 注注释释MaxScore最最大大分分值值Self Score自评得分BYD Score 实际得分2.1Does supplier uphold the legal right of the labourer?E.g non-abuse of childlabour;compliance with all applicable laws and regulatio

35、ns,to ensure themorale of the personnel by adopting proper work hours and wage level?是否有维护劳动者的合法权益？如：不非法使用童工；遵守法律法规，采取适当的工作时间和工资水平等手段来保证员工的士气？32.2The company shall not engage in or support the use of forced labour,norshall personnel be required to lodge deposits or identity papersupon commencing emp

36、loyment with the company.公司不得使用或支持使用强迫性劳动，也不得要求员工在受雇起始时交纳押金或寄存身份证件。32.3Uphold the occupational health and safety of the laboure,comply with therelevant safety provisions by safe hint,safe setting,wearing proper laborinsurance articles.维护劳动者的职业健康和安全，通过安全提示，安全设置，配带合适的劳保用品等安全措施，遵守相关安全条例。32.4Is there do

37、cumented environment,health and safty policy?Including:promiseto protect environment,depollution,non-use hazardous substances,upholdthe right of the employeess occupational health,comply with the nationaland international legislation?The policy need to be communicated andunderstood in the organizati

38、on and provide the evidence of theimplementation.是否有形成文件的环境、健康、安全等政策？包括：承诺保护环境，防止污染，不使用环境危害物质，维护劳动者职业健康和合法权益，遵守相关国家和国际法规？此政策要在组织的各阶层得到有效的沟通和理解并能提供执行的证据。32.5Is there a documented environment management system which is base oninternational standard?(eg.ISO14001)是否按国际标准建立文件化的环境管理体系？(如ISO14001)32.6Is th

39、ere a consideration of the impact to the environment when design theproduct?E.g use environmental-friend material,recycle material,adopt newtechnics to reduce or eliminate the negative impact to the environment.在进行产品设计时是否考虑对环境因素的影响？如使用环保材料、可循环原料、采用新工艺降低或消除对环境的消极影响。32.7Is there a plan for improving t

40、he enviroment and can the supplier providethe relevant evidence?是否有计划持续对环境进行改善并能提供支持证据？32.8Have the workers been trained about safty?Do they know the harm and anemergency measures about the substance?作业人员是否有相关的安全知识培训，是否了解这些物质危害和紧急抢救措施？32.9Does the supplier understand the laws and regulations of thee

41、nvironment,and can he/she provide the relevant evidence?是否了解环境方面的立法规章，并能提供遵守这些规章的证明？32.10Supplier must be committed to designing,creating,developing,manufacturing,marketing and selling products and services that are safe.This commitment is embodied in suppliers Code of Conduct as one of coreethical

42、and legal responsibilities.供应商必须能致力于保证产品在设计，创造，开发，生产等阶段中的安全性，并将此义务作为公司的一个核心责任。32.11If the supplier can identify and test the product safety,including Electricshock hazards,Energy hazards,Fire hazards,Heat hazards,Chemicalhazards and so on,and have the improvement and prevent action accordingto the c

43、onsequences.是否能对产品的安全性做一全面的测试和识别，包括电危险，火危险，热危险等，并依此进行改善预防措施32.12Is there a sound Information Security Management System(ISMS)framework(principles,organization structure,administrative levels),and isit documented?是否具有信息安全体系架构(层次,遵循的原则,部门结构)及管理文件支持?32.13Are there administrative documents and procedure

44、s documents to supportinformation safty guidelines,and is there evidence mentioned in suchprocedures documents?是否有信息安全管理文件及流程文件支持信息安全指导方针,是否具有流程文件中提到的证据?32.14Is there clear classification of area security to distinguish sensitive areasand public areas?Are certain control methods adopted for exit fro

45、m andentry into security areas,such as door access control,monitor and etc?是否有明确的安全区域划分,区分重要场所和一般场所,是否采取一定措施控制安全区域进出比如门禁和监控?32.15Are there assets lists,such as key host computer list,PC list,key data list,applications list?是否具备资产清单包括:重要主机列表,个人电脑清单,重要数据清单,应用系统列表?32.16Are there dedicated personnel res

46、ponsible for all data,informationsystems?所有数据,信息系统是否具备相关责任人?32.17Are there training programs for employees in respect of informationsecurity?Are there plans and records for such training programs?Is thesecurity awareness of employees enhanced after training?是否对员工进行信息安全培训,培训是否有计划和记录,员工是否通过培训意识有所提高?32

47、.18Is there data backup policy?Is there backup log and evidence?Are therecertain measures for storage and protection of backup media?是否具有数据备份策略,提供备份日志及证据,备份介质是否具有一定存储和保护措施?32.19Describe here current situation related with BYD data.Are BYD dataseparated from that of other companies and monitored?比亚迪数

48、据存储在贵公司主要情况,是否与其他公司数据隔离,监控等?32.20Is there PC security control methods,such as account authorization,password policy，etc?有无个人电脑安全控制措施,如帐户权限管理措施,密码策略等?32.21Is there any encryption method adopted for key data transmission?Areemail users divided to different categories?Are the emails of those whohave ac

49、cess to key data monitored and backuped?对于重要数据传输是否加密,采用何种方式?是否对电子邮件用户进行等级划分,接触重要数据的用户电子邮件是否有监控和备份?32.22Is there control method and procedure for removable devices(USB stick,hard disk,MP3,mobile phone with camera)?Is there security controlmeasure for third party access(including external visitors and

50、 remoteusers)?是否具有移动设备(如U盘,移动硬盘,MP3,可拍照手机)控制措施及流程?是否有第三方访问安全控制措施(包括外来客户及远程办公用户)?32.23Is there record for system patch and update of anti-virus definitions?Describe how and how often.系统补丁和病毒库更新是否有记录,更新频率与方式?32.24Describe server room access control(key,PIN,insert card,etc).Provide listof authorized em