QSA
THE HOME DEPOT
QSA Assessment General Guideline QSA评估通用准则
Supplier Assessment Guide
供应商评估指南
Assessment Support
评价支持
Supplier Assessment Guide供应商评估指南
1. Evaluation and Rating 评估和评级
1.1 Individual rating of questions and elements问题和元素的独立评级
The auditor evaluates the definition and the effectiveness of fulfilling the quality
审计评价的定义和实现质量的影响
requirements by first of all determining:
通过首先确定要求：
- is the item in question defined in the quality system, defined in writing in flow charts, relationships and responsibilities (e.g.: in the quality manual, in a process instruction or in a work instruction)?
此重点的项目是否有完整的书面证据，在写作流程定义图，关系和责任（例如：在质量手册中，过程指令或工作指令）
And then he must further evaluate:然后他必须进一步评估：
- is the item in question proven to be effective in practice此重点项目是否有充分的证据
According to the following table, answers to the above questions lead to a rating
for the relevant question. This rating may be 0, 1, 2, 3, or 4 points. Thus the following points are assessed for each question:根据下表，上述问题的答案可导致对相关问题的评级。该评级可能是0，1，2，3，或4分。因此，以下分数是对每一个问题的评分。
Object of question 问题评估对象
Evaluation of question 问题的评估
Defined fully in Quality system 有书面的证据
Proven effective in practice 有充分的证据
Point score 相应得分
*) "mainly" means that more than 3/4 of all requirements are proven effective and that no special risk exists.
"mainly"表示超过3/4的要求都被证明是有效的并且也没有什么特别的风险存在。
Rating 评分
4 Points: Completely defined in Q system and proven to be effective in practice 4分：有完整的书面程序，并且有充分的证据
3 Points: Not completely defined in Q system, but proven to be effective in practice (no cases are found not to comply)
3分：没有完成的书面程序，但有充分的证据
2 Points: Completely defined in Q system and mainly proven to be effective in practice (no MAJOR flaws discovered in practice)
2分：有完整的书面程序，且有大部分的证据
1 Points: Not completely defined in Q system but mainly proven to be effective in practice (no MAJOR flaws discovered in practice)
1分：没有完整的书面程序，但有大部分的证据
0 Points: Not proven to be effective regardless of completeness of definition in Q system (MAJOR flaws discovered in practice)
0分：没有足够的证据，不管有没有相关书面程序规定
1.2 Ranking 社会地位
Overall level of compliance in percent ：符合整体水平的百分比
Ranking of quality system 质量体系的排名
Designation of ranking 指定的排序
90 to 100 完全符合 A
80 to less than 90 大部分符合 B
70 to less than 80 有条件符合 C
less than 70 不符合 D
ASSESSMENT SUPPORT 评估支持
Leads to help scoring the Factory Assessment 帮助工厂评估得分
Section
1 Management Responsibilities 管理职责
1.1Does the factory has a Quality Policy? Is it posted? Do all the employees
know what the policy is or where it is posted?
How does the factory measure quality?
工厂是否有质量政策？是否张贴？是否所有员工都知道是什么政策或张贴地点？工厂如何测量质量？
Do the measurements support the Quality policy of the company?做评估支持公司的质量政策吗？
1.2What type of reviews of the quality system and quality reports are preformed
by management?
What actions are taken to correct issues and improve the measures?
How are these documented？
管理出台什么类型的评论的质量体系和质量报告分析？
为正确的问题和改进措施有什么样的行动？
这些记录如何？
1.3What is the company’s plan to improve quality?
Is it re-active or pro-active?
为提高质量，公司有什么样的计划？这计划是已经在实行还是准备实行。
1.4 Does the company have sufficient resources and dedicated resources to
measure and drive improvements in quality and productivity?
司是否有足够和专门的资源去评估及拟稿质量和生产力的改善措施？
2 Continuous Improvement 持续改进
Does the factory measure the quality performance and the projects associated
with reducing the defects?
工厂是否有评估质量性能和减少缺陷的相关项目？
2.1
How is it communicated to the employees (posted, visuals, meetings, etc.)
这些是怎么通知员工的？（张贴，视觉效果，会议，等等）
2.2 How is the factory driving the improvements and is management involved in
the process?
工厂是如何驱动改进的，这在管理过程中是否涉及到？
2.3 Review the plan to improve lead time 审查计划，提高交货时间。
2.4 Review the communication process. Process must be pro-active and allow sufficient time for THD to react. (Eg. Notification on the due date that the
product is not shipping is not acceptable)
回顾了通信过程。过程中必须积极主动，允许有足够的时间为反应。（如通知的日期，产品是不是航运是不可接受的）
2.5 Review the training program. Does the training provide the operators with
the tools and knowledge to improve the process?
回顾培训计划。培训是否为操作者提高进城而提供工具和知识
2.6 Review the customer complain system. Are the complains recorded? Are
actions taken to solve the problems? Does the factory follow up? Are
improvements recorded?
审查客户投诉系统。被投诉的记录？采取行动来解决问题？工厂是否跟进？改进的记录？
3 Quality System 质量体系
3.1 Does the factory have a QC Manual? 工厂是否有质量手册？
What program does it follow (ISO, QS, Guide 53, etc.) 质量手册遵循什么程序（ISO,QS,Guide53 等等）
Does the factory have a process for design, testing, inspection, sampling, etc
and can produce documentation to support this from product launches and production? (within their process – prior to submission to THD)
3.2
工厂是否有设计，测试，检验，抽样，等过程，并是否能产生文档来支持这种产品的推出和生产（包含他们的进程-时间提交给THD）？
3.3
审查供应商使用的有关产品样本的程序和文件，并提交检验报告
（审查的例子）：
FMEA
控制计划
量具R＆R研究
取样和制程能力研究
工厂是否熟悉THD采样提交？
3.4在整个组织中有关键/重要特性已被确定和沟通
3.5
当工厂收到THD文件和程序或批准获得从THD承认改变时如何更新打印和制造工艺的控制
用什么样的步骤，以通知THD的变化，并控制直到变化的过程和产品的批准？
3.6，有员工在工厂经过培训的技术时用什么方法解决问题呢？
3.7查看系统的变化，如何通知客户，以及如何获得批准。
3.8检查从以前的生产，检验报告的过程中捕捉到的数据和验证的测量。对比文件正被用来制造产品最新的打印/ THD和在工厂的最新打印的要求。都应该匹配。
3.9请参阅内部审计过程中的证据
是否研究结果指出？
从调查结果中有纠正措施吗？
4 采购
4.1工厂是否有其供应商的供应商认证程序？
4.2审查工厂如何从供应商处采购时指定和控制质量
4.3工厂是否有在物价稳定的原料供应的连续性
（他们有足够的原料供应，以支持生产和他们有计划的波动）。为基础的方案的服务质量，准时交货，交货时间，价格是多少？
工厂是否有一个计划，以提高产品的质量和服务（所有地区），THD
和其供应商？
如果没有，什么都做，以提高服务水平，THD和从
他们的供应商吗？
4.4
如何在工厂验证购买产品的过程足够
确保将通过他们的系统没有缺陷，达到THD店吗？
工厂是否需要和有材料证明所有关键
产品用于制造THD零件吗？
4.5
见的例子有什么要求在他们的购买协议，他们
对特定产品的文件。
4.6
在工厂如何控制我们的工具在家里，在子供应商，和
供应商之间的呢？什么样的方法，以确保总谐波失真通知之前，任何工具的运动或修改吗？
查看产品控制到供应商的工厂。
它是如何标示？是否明确它是什么，当它被做，等？
4.7
工厂隔离和跟踪的产品，如果发现问题
这个过程吗？
工厂是否有库存系统？
工厂是否做库存周期盘点，核实库存的准确性？
4.8
工厂是否知道供应商的交货时间，并用它来购买呢？
工厂的生产预测？
工厂是否为供应商提供的生产预测？
工厂是否定期更新的预测？
4.9
他们传达给他们的供应商吗？
5检验与测试- 过程控制
工厂是否有一个过程的控制计划或工艺流程图
描述制造过程吗？
检查点的关键规格？
是否有文件规定的计划，遏制了不合格产品和
反应计划时的规格部分被发现的？
工厂是否有文件化的参数设定程序？
如何在工厂验证的第一件以及生产过程中的检验？
这些监测和记录生产过程中的吗？
5.2
出的控制和规范条件的反应计划是什么？
是什么程序/过程验证模具及模具之前
运行？
是否有预定的下午时段，或者是工具验证之前运行或
取出后，从运行？
5.3
的工具是如何确定的？
工厂是否有使他们的产品的材料清单？
BOM的准确和工厂检查的准确性，如何
BOMS？
5.4
可供参考的BOM吗？
5.5要求运营商- 他们能停止生产线的事件，他们发现了一个出规范或趋势状态呢？
在工厂使用的统计方法吗？
他们用线（过程）？
他们测量了所有关键的尺寸吗？
测量和频率足以确保该进程
在控制？
最终产品的正确识别？
供应商如何确保该产品是正确的标记吗？
5.7
的产品可以追溯到所使用的原料吗？
产品编号
零件编号，生产日期，批号，炉号，PO号码等5.8
零件应确定THD并确定有缺陷的
产品。
5.9是否认为规划时，生产的能力吗？
工厂认为手头的存货和订单规划时，
生产？
工厂是否跟踪每日生产吗？
是否工厂日常生产记录？
工厂有指标，以监测废料及不合格原料和
产品吗？
5.10
废料，拒绝材料及制品占妥善
处置？
5.11？工厂是否有预防性的维护计划，包括每日，每周和每月的维护吗？查看PM的记录。
5.12工厂是否有作业指导书？寻找工作指示;比较运营商正在做什么工作指令。做的工作指令
反映了运营商在做什么？
检查是否符合工序图？
检验要求相一致的过程阶段的产物吗？
5.13
检查过程中记录了吗？是否有任何度量的过程
检查吗？（Pareto图，控制图等）
工厂是否有一个从生产程序，以获取样本吗？
程序是否描述的检查和验收标准吗？
5.14
程序是否描述了一个过程的行动不符合标准/拒绝产品吗？
5.15工厂是否有成品检查过程？
程序是否定义根据产品的检验标准
规格？它包括包装？
最终检验结果是否记录了吗？
是否有任何的指标来衡量制成品的质量水平吗？
5.16
是否有程序处理不合格产品和返工吗？
工厂有一个过程的产品进行核查和验证
变化呢？
5.17
产品测试，验证和记录的结果呢？寻找
ECN和汽车记录
6控制测试设备
6.1计校准？
训练有素的操作员在使用的计？是否有记录
这方面的证据吗？
计和测量设备，确保
6.2 THD规范的一致性？
的计能够测量要求（1位小数
比规范）？
6.3检查数计的校准。查看PM的记录。
检查标定时间表。
不合格产品的控制
不符合要求的产品是如何处理呢？
隔离，良好的产品吗？
它是如何确定的？
是缺陷记录和跟踪？
7.1
的信息是什么？
产品缺陷/犯罪嫌疑人进行审查的过程是什么？谁检讨的产品？
谁可以把它重新投入生产？
过程是怎样的？
返工过程是什么？
7.2
检查过程中再加工产品是什么？
审查不合格产品的处理过程：
鉴定
返修
报废
文档
7.3
纠正措施
7.4查找信息是如何被使用的：
是供应商的问题的根本原因分析系统，以防止从再次发生，还是同样的问题经常发生吗？
供应商是否实施永久纠正措施，以防止
缺陷再次发生？
的过程中改变了吗？
模具所做的更改吗？
程序改变，以验证所采取的行动吗？
7.5
检查的情况下，发生了。
8纠正和预防措施
是否有纠正措施系统，以处理客户的问题吗？它是作为内部的系统相同的吗？
是否有足够的文件的问题，纠正问题，并确保
不复发吗？
是否有一种方法，以确保问题不继续开放？
8.1
如何使用这些信息？纠正措施产生的呢？
供应商后实施纠正措施，这些验证是
有效吗？
8.2
他们是如何监控？要多久？额外的检查添加到
系统？
如何落实在日常生产过程中的变化吗？
是SOP的变化？
8.3
培训和签核的培训？
9文档控制
9.1审查供应商的文档控制系统。他们应该有一个方法
控制他们的证件，签发修订，摧毁旧的文件，
等等
9.2 SOP的修订水平，在一个中央位置的控制或
他们不加以控制（电子邮件，手工标记的变化，等等。）9.3是有一个文件签署过程中的地方吗？各部门
参与呢？
供应商是否有一个过程，以确保客户的最新
图的地方？检查的过程吗？
9.4
验证这一点的例子。
10搬运，贮存，包装和交货
的工作过程是如何确定的？有一种可能性，即它可以是
混合生产的其他部分？
10.1
使用不正确的部分呢？发货？
最后的包装10.2足够吗？是否真的符合THD规范？
制品包装，防止缺陷？
3.2
Review the process and documents that the supplier uses to sample products and submit inspection reports (review examples):
FMEA
3.3
Control Plans
Gauge R&R studies
Sampling and process capability studies
Is the factory familiar with the THD Sampling Submission?
3.4 Have the Key / Critical characteristics been identified and communicated throughout the organization
How does the factory control updating prints and manufacturing process documents and processes when changes are received from THD or when approvals are received from THD acknowledging a change.
3.5
What processes are in place to notify THD of changes and to control the processes and product until the changes are approved?
3.6 What methods are used in the factory to solve problems and have employees been trained in the techniques?
3.7 Review the system, how customers are notified of changes and how the approval is obtained.
Review the inspection reports from prior production, the processes in place to capture the data and verify the measurements.
3.8
Compare the documents that are being used to manufacture the products with the latest prints/requirements from THD and to the latest prints at the factory. All should match.
See evidence of an internal auditing process
Are findings noted?
3.9
Are corrective actions driven from findings?
4 Purchasing
4.1 Does the factory have a supplier certification program for its suppliers? Review the process of how the factory specifies and controls the quality of their incoming product from suppliers.
4.2
Does the factory has a continuity of supply of raw material at stable prices (do they have a sufficient supply of raw material to support production and do they have a plan for fluctuations).
4.3 Is the program based on the quality of service, on time delivery, lead time and price ?
Does the factory has a program in place to improve the quality of the product and service (for all areas) to THD and from its suppliers?
If not, what are they doing to improve the service level to THD and from their suppliers?
4.4
How does the factory verify purchased product and is the process adequate to ensure that no defects will go through their system and reach THD stores? Does the factory require and have material certifications for all critical products used to manufacture parts for THD?
4.5
See examples of what is required in their purchase agreements and what they have on file for specific product.
4.6
How does the factory control our tooling in house, at the sub-supplier, and between sub-suppliers? What methods are in place to ensure THD is notified prior to any tooling movement or modification?
Review the product control coming into the supplier’s facility.
How is it labeled? Is it clear what it is, when it was made, etc?
4.7
Can the factory segregate and trace the product if a problem is discovered in the process?
Does the factory has an inventory system?
Does the factory do inventory cycle counts to verify inventory accuracy?
4.8
Does the factory knows supplier lead times and use it for purchasing?
Does factory has a production forecast?
Does factory provide suppliers with the production forecast?
Does factory update the forecast periodically?
4.9
Do they communicate it to their suppliers?
5 Inspection and Test – Process Control
Does the factory have a process control plan or a process flow charts describing the manufacturing process?
Are the inspection points identified for the critical specs?
5.1
Is there a documented plan for containment of out of spec product and a reaction plan when out of spec parts are found?
Does the factory have a documented set up procedure with parameters?
How does the factory verify the first piece and during production inspection? Are these monitored and recorded during production?
5.2
What are the reaction plans for out of control and out of spec conditions?
What is the procedure / process for verifying dies and tooling prior to running?
Are there scheduled PM sessions or is the tooling verified prior to run or
after being removed from a run?
5.3
How are the tools identified?
Does the factory has Bill Of Materials for the products they make?
Are the BOMs accurate and how does the factory check for accuracy of the BOMS?
5.4
Are the BOM available for reference?
5.5 Ask the operators – Can they stop the line in the event that they discover an out of spec or trending condition?
Are statistical measures used in the factory?
Are they used on line (in process)?
Are they measuring all critical dimensions?
5.6
Are the measurements and the frequency adequate to ensure that the process
is in control?
Is the final product identified properly?
How does the supplier ensure that the product is labeled correctly?
5.7
Can the product be traced back to raw materials used?
Product ID
Part number, manufacturing date, lot number, heat number, P.O. number, etc.
5.8
Parts should be identified to allow THD to identify groups of defective product.
Does factory 5.9 considers the capacity when planning production?
Does factory considers inventory on hand and orders when planning production?
Does factory track daily production?
Does factory records daily production?
Does factory has metrics to monitor scrap and rejected materials and products?
5.10
Are scrap, rejected material and products accounted for and properly disposed of?
5.11 Does factory has a preventive maintenance program that includes daily, weekly and monthly maintenance? Look for PM records.
5.12 Does factory has work instructions? Look for work instructions; compare work instruction to what the operator is doing. Does the work instruction reflect what the operator is doing?
Are inspections consistent with the process charts?
Are inspection requirement consistent with the process stage of the product?
5.13
Are in process inspections documented? Is there any metrics of the in process inspections? (Pareto charts, control charts, etc)
Does the factory has a procedure to obtain samples from production?
Does the procedure describe the inspection and the acceptance criteria?
5.14
Does the procedure describe a course of action for non conforming/rejected products?
5.15 Does the factory has a finish product inspection procedure in place? Does the procedure define inspection criteria according to product specifications? Does it includes packaging?
Are final inspection results recorded?
Are there any metrics in place to measure the level quality of finished goods?
5.16
Is there a procedure for handling rejected product and rework?
Does factory has a procedure for verification and validation of product changes?
5.17
Product changes are tested, verified and results documented? Look for records of ECN's and CARs
6 Control of Test Equipment
6.1 Are gages calibrated?
Are the operators trained in the use of the gages? Is there documented evidence of this?
Will gages and measurement equipment ensure 6.2 conformance to THD specs? Are the gages capable of the measurements required (1 decimal place more
than the spec)?
6.3 Check several gages for calibration. Check PM records.
Check calibration schedule.
7 Control of Non-conforming Product
How is non-conforming product handled?
Is it segregated from good product?
How is it identified?
Are the defects recorded and tracked?
7.1
What is done with the information?
What is the process for reviewing defective/suspect product?
Who reviews the product?
Who can put it back into production?
What is the process?
What is the rework process?
7.2
What is the inspection process for re-worked product?
Review the process for dealing with non-conforming products:
Identification
Rework
Scrap
Documentation
7.3
Corrective Actions
7.4 Look at how the information is used:
Is the supplier using a root cause analysis system to prevent the issue from happening again or does the same issue recur frequently?
Does the supplier implement permanent corrective actions to prevent the defects from happening again?
Is the process changed?
Are tooling changes made?
Are procedures changed to verify actions taken?
7.5
Review cases where this has happened.
8 Corrective and Preventative Action
Is there a corrective action system in place to deal with customer issues?
Is it the same as the internal system?
Is it sufficient to document the issue, correct the problem, and ensure that is does not recur?
Is there a method to ensure that issues do not remain open?
8.1
How is this information used? Are corrective actions generated?
After the supplier implements corrective actions, are these verified to be effective?
8.2
How are they monitored? For how long? Are additional checks added to the system?
How are the changes to the process implemented in the daily production?
Are the SOP’s changed?
8.3
Training and signoffs for the training?
9 Document Control
9.1 Review the suppliers document control system. They should have a method of controlling their documents, issuing revisions, destroying old documents, etc.
9.2 Are the SOP’s controlled by a revision level and in a central location or are they not controlled (e-mails, hand marked up changes, etc.)
9.3 Is there a document sign off procedure in place? Are all departments involved?
Does the supplier have a process in place to ensure that the latest customer drawing is in place? Review the process?
9.4
Verify this with examples.
10 Handling, Storage, Packaging, and Delivery
How is the work in Process identified? Is there a possibility that it can be mixed with other parts in production?
10.1
Can the incorrect parts be used? Shipped?
Is the final packaging 10.2 adequate? Does it meet the THD spec?
Does the WIP packaging prevent defects?