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潜在供应商评估指南
品质协会(www.PinZhi.org)@质量圈分享
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评估范围
A – Management
管理
B - Technology and Development
技术与开发
C – Quality
质量
D – Production
生产
E - Engineering (Product and Process)
工程（产品和过程）
F - Logistics / Supply
物流与供应
G - Sub-supplier Management
分供商管理
H - Cost Management
成本管理
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Scoring Guide 打分指南
Team evaluation must be recorded into Excel file. Input comments on COMMENTS page.
团队评价必须用Excel文件记录，在注释页上输入注释。
Points Color Definition Effect on DC processes
在DC流程颜色表示的定义：
0 red Supplier demonstrates neither a documented process/procedure nor an applied practice.
0分 红色 供应商示范既无文件化流程/程序，又无应用的实例
Process will certainly cause product failure and/or unsatisfactory communication with the customer
过程肯定会发生产品缺陷和招致顾客抱怨。
1 red Documented process/procedure exists but is incomplete or not fully implemented.
1分 红色 有文件化流程/程序，但不完善或没有完全的贯彻。
Process will probably cause product failure and/or unsatisfactory communication with the customer
过程大概会发生产品缺陷和招致顾客抱怨。
2 green Process/procedure is completely documented and acceptably implemented.
2分 绿色 流程/程序是完整的并备有证明文件，贯彻情况可以接受。
Process will probably not cause any product failure and/or unsatisfactory communication with the customer
过程大概不会发生产品缺陷和招致顾客抱怨。
3 green A completely documented process/procedure is fully implemented and meets minimum requirements.
3分
绿色 具有完整的备有证明文件流程/程序，并得到完全地贯彻。
According to the evaluation team’s expertise the process will not cause any product failure and/or
unsatisfactory communication with the customer
依照评估团队专家的意见，过程不会发生产品缺陷和顾客抱怨。
N/A green
N/A项
绿色
The evaluation team agrees that this question should not be scored. Enter NA into the Score box and explain
reasons on COMMENTS page.
评估团队同意不记分的这些问题，记分箱内输进NA，并在注释页解释原因。
Question is not applicable for this particular commodity/process
对于特殊的商品/过程，问题不适用。
Note The team must reach a consensus on each question score.
注意：每一项问题的打分，团队必须达成一致意见。
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A – Management/管理
Comments: 注解：
The Management (e. g. Board of Management, Plant Management, Section Management) develops the
quality policy for the company, defines it and commits all areas and levels to it. This allows specific quality
goals and also a quality system (Q system) to be agreed upon. Quality must be regarded as an overall
management task. The management must concern itself with the following subjects:
提交并详细说明所有范围、级别的公司经营（例如：管理部门、工厂管理、项目管理）发展的质量方针。允许
已经同意的特殊目标和质量体系。质量必须当作一项全面的经营任务。经营必须涉及它自身具有的如下题目：
• Business Plan* 商业计划
• Comparison of internal & external performance data
国内外性能资料对照
• Business results
商业成果
• Employee satisfaction
员工满意
• Customer satisfaction
客户满意
“Management” describes the organizational entity in the company that is responsible for profit and loss.
管理层描述在公司内负责利润和消耗的组织实体。
Remark: * = Business plan means: local plant performance targets
注，商业计划意味着：当地的工厂执行目标
Checklist Overview:
1 Have goals been defined and are they consistently being followed?
是否制定目标，并且始终遵循？
1a Does the supplier have process to update their business Plan?
供应商是否有更新商业计划的流程？
1b Are objectives developed from the business plan?
所有目标是否都源于商业计划？
2 Is there a process for management review?
否有管理评审流程？
2a Are objectives defined and controlled on all levels?
是否界定和控制所有等级的目标？
2b Does the supplier perform regularly scheduled quality audits internally?
供应商是否实施定期的内部质量评审？
2c Do preventive and reactive measures derive from this evaluation?
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是否有针对评审（结果）的纠正和预防措施？
3 Is there a process for evaluating the capability of the established resources (employees, equipment,
methods, material)?
是否有流程来评估已经建立的资源能力（如人员、设备、方法和材料）？
3a Does the organization identify and allocate appropriate resources for increase of customer satisfaction?
为提高顾客满意度，组织是否识别和分配适当的资源？
4 Is there a process for the management of employee satisfaction with suitable methods?
是否有合适的方法来管理员工满意度的流程？
4a Does the supplier have a process for quality awareness?
供应商是否有关于(提高)质量意识的流程？
4b Does the supplier promote any motivational activity (e.g. small group activity) to assure and improve the
quality?
应商是否推行员工极力活动（例：小组活动）以保证和改善质量？
5 Does a training program exist which supports achieving the scope of business and fulfillment of
customer requirements?
是否有支持完成商业经营范围和履行顾客需求的培训计划？
5a Does the supplier have documented training and development programs for its personnel?
供应商是否有针对员工的书面化的培训和开发计划？
5b Individual Training: does the training program fit to the job specifications?
个人培训，培训计划是否合适于岗位说明？
5c What kinds of information do the employees get about customer requirements and about achievement of
objectives?
在顾客需求和目标绩效方面，员工得到了哪些信息？
A1
Have goals been defined and are they consistently being
followed?
是否制定目标，并且始终遵循？
Comments: 注解：
“Goals” are specifications for products, processes, operations and services defined for all levels. These
objectives are derived from customer requirements, the competitive situation, the legal environment and
internal requirements as well as adherence to the zero defect strategy
目标是.对于产品、过程、操作和所有级别服务界定的规范。这些目标源于顾客的要求、竞争的位置、法定的环
境、国内需求以及坚持零缺陷战略。
Examples:
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§ ppm-data,
ppm数据
§ non conformance data,
不合格品数据
§ quality costs,
质量成本
A1a
Does the supplier have a process to update their business plan?
供应商是否有更新商业计划的流程？
Comments: 注解：
• A “business plan” is a document with company-specific, strategic projects and goals to be fulfilled or
achieved in a defined period.
商业计划是一种文件，含有公司特定在某一时期要实现或达到的战略性计划和目标。
• A “business plan” is a controlled document
商业计划是一个受控文件。
Examples: 例如：
• written operating system process,
书面的运行系统流程
• procedure or practice
程序或惯例
A1b
Are objectives developed from the business plan?
所有目标是否都源于商业计划？
Comments: 注解：
Objectives should be fixed in a way to achieve fulfillment of Business plan.
确定目标以完成商业计划
Examples: 例如：
a) Corporate-wide objectives
公司范围的目标
• Improving market share
改进市场份额
• Continuous quality improvement
质量持续改进
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b) Product-related objectives
同产品有关的目标
• Scrap-/failure rates
废品/故障率
• delivery quality (ppm)
交付质量(ppm)
• Process capability improvement (Cpk, Ppk)
改进过程能力(Cpk, Ppk)
• Reliability improvement
改进可靠性
• Environmental tolerance.
环境的忍受力
c) Customer-related objectives
与顾客有关的目标
• Shortening of order processing time (inquiries, orders) (difference in days)
缩短定单处理时间（询价、定购）（以天区分）
• Improvement of customer satisfaction (reduction of the number of customer complaints change %)
改进顾客满意度（减少顾客抱怨的数量 变化率%）
• Reduction in the reaction time in the event of complaints (difference in days)
在抱怨事件方面减少反应时间（以天区分）
• Improving delivery reliability (on-time performance).
改善交付可靠性（准时履行）
d) General objectives
总体目标
• Cost reduction
减少成本
• Advanced quality planning
先期质量策划
• Increasing employee satisfaction
不断增加的员工满意度
• Monitoring the effectiveness of corrective actions
监测纠正措施的效果
• Quality system upgrade from ISO 9001 to ISO/TS 16949
质量体系从ISO 9001 升级到 ISO/TS 16949
• Further development towards TQM, EQA etc.
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更进一步地向TQM, EQA等发展
e) Production related
与生产有关的
• ppm-data,
PPM
• nonconformance data,
不合格品数据
• quality costs,
质量成本
• absenteeism,
缺勤率
A2
Is there a process for management review?
是否有管理评审流程？
Comments: 注解：
Company management must periodically (at least once each year) ensure that the establishedquality system
(with all elements) is effective and meets the needs of the organization. Theaim of this assessment is to
continuously optimize and adapt to changed conditions (market, technology etc.).
公司管理层必须定期的进行管理评审（每年至少一次），确保已制定的质量体系（所有元素）是有效的，并满
足组织要求。预定的目标要不断优化以适应市场、技术条件的变化。
A2a
Are objectives defined and controlled on all levels?
是否界定和控制所有等级的目标？
Comments: 注解：
Objectives must be developed and followed up on all levels from top management to the shop floor.
目标必须从最高管理层到车间现场各个级别上展开，并且得到遵循。
Examples: 举例：
Goals/objectives:
目标/目的
a) Corporate-wide objectives
公司总体目标
• Improving market share
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改善市场份额
• Continuous quality improvement
质量持续改进
b) Product-related objectives
与产品相关的目标
• Scrap-/failure rates
废品/故障率
• Supplier delivery quality (ppm)
供应商交货质量ppm
• Process capability improvement (Cpk, Ppk)
过程能力改进 (Cpk, Ppk)
• Reliability improvement
改进可靠性
• Environmental tolerance.
环境忍受力
c) Customer-related objectives
与顾客相关的目标
• Shortening of order processing time (inquiries, orders) (difference in days or hours)
缩短订单处理时间（询价、定购）（以天或小时区分）
• Improvement of customer satisfaction (reduction of the number of customer complaints change %)
改善顾客满意度（减少顾客抱怨数量的变化率%）
• Reduction in the reaction time in the event of complaints (difference in days or hours)
减少顾客抱怨事件的反应时间（以天或小时区分）。
• Improving delivery reliability (on-time performance).
改进交付可靠性（准时履行）
d) General objectives
总体目标
• Cost reduction
降低成本
• Advanced quality planning
先期质量策划
• Increasing employee satisfaction
增进员工满意度
• Monitoring the effectiveness of corrective actions
监测纠正措施的有效性
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• Quality system upgrade from ISO 9001 to ISO/TS 16949
质量体系从ISO 9001升级到ISO/TS 16949
• Further development towards TQM, EQA, MBA etc.
进一步朝TQM, EQA, MBA等发展
Management review:
管理评审：
The review can be done by gathering and evaluating the following information
通过收集和评估下列的信息来完成评审
• Quality status report
质量状态报告
• Regularly scheduled quality meetings
定期的质量会议
• Quality indices with respect to objectives
与目标相关的质量指标
• Internal quality audit reports with derived measures
来源于测量的内部质量审核报告
• Status of the continuous improvement process
持续改进过程的状况
• Results of product and process analysis with corrective actions
产品或过程采用分析和纠正措施的成效
• Reports on customer satisfaction
顾客满意度的报告
A2b
Does the supplier performs regularly scheduled quality audits internally?
供应商是否实施定期的内部质量审核？
Comments: 注解：
• Does the management provide appropriate resources for internal audits (system, process, and product)?
管理层是否为内部审核（体系、过程、产品）提供了适当的资源？
• How are results of internal audits included into the management review?
内审的结果如何被纳入管理评审
Examples: 例如：
• Supplier audits,
供应商审核
• internal audits (system, layered process, product)
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内审（体系、分层的过程、产品）
A2c
Do preventive and reactive measures derive from this evaluation?
是否有针对评审（结果）的预防和纠正措施？
Comments: 注解：
• The responsibility and authority for organization of corrective actions must be defined.
必须确定纠正措施组织的职责和职权
• Responsibilities must be defined for the coordination, reporting and monitoring of corrective actions.
对于协调、报告和纠正措施的监控必须要确定职责
• Monitoring covers both the carrying out of remedial measures and the inspection of their effectiveness.
监测包括补救措施的输出和成效的检验
Examples: 例如：
• root cause analysis and identification
根本原因分析和证明
• Determination of measures and responsibilities
确定措施和责任人
• informing the affected and responsible departments
提供情报的、受到影响的和有责任的部门
• Determination of monitoring mechanisms.
确定监测机制
A3
Is there a process for evaluating the capability of the
established
resources
(employees,
equipment,
methods,
material)?
是否有流程来评估已经建立的（如人员、设备、方法和材料）资源能力
Comments: 注解：
… so that necessary processes work effectively. The management has the task of providing the financial and
staff resources for fulfilling the requirements.
管理层有责任提供履行该流程中所需的资金和人力资源，以便于必要的流程能够有效地进行。
Examples: 例如：
• Qualified staff with task-related capabilities for management, process-orientation, implementation and
inspection activities (including project management)
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具备管理、过程开发、执行和检查（包括项目的管理）相关工作能力的资深员工。
• technical equipment for product development and manufacture
作为产品开发和制造的技术装备
• Computer support, e.g. for data analysis, graphic displays, process control, statistics, quality plans
作为数据分析、绘图显示、过程控制、统计、质量策划的计算机支持
A3a
Does the organization identifies and allocates appropriate resources for
increase of customer satisfaction?
为了提高顾客满意度，组织是否确定和分配了适当的资源？
Comments: 注解：
• Is there a process or procedure for identification and allocation of resources?
是否有确定和分配资源的一个流程或程序？
• Does the supplier have adequate buildings, facilities and equipment for producing parts that would satisfy
the quality requirements of the car manufacturer(s)?
对于是否能生产出满足车辆制造商质量要求的零件，取决于该供应商是否具备充足的厂房，设备和装备？
• Are the dedicated resources qualified for their tasks?
投入的资源是否能够完成任务？
Examples: 例如：
• How and when are resources planned?
什么时间，如何计划资源？
• How are the plans released?
如何发放计划？
• How do you make sure that the established resources fulfill the customer requirements?
如何确保已制定的资源能够满足客户的要求？
•Planed Equipments , machines, tools, humans, methods, material, supplied parts, suppliers.
计划好的设备，机器，工具，人员，方法，材料，供应零件和供应商
• Qualified staff with task-related capabilities for management, process-orientation, implementation and
inspection activities (including project management)
具备管理、过程开发、执行和检查（包括项目的管理）相关工作能力的资深员工。
• technical equipment for product development and manufacture
作为产品开发和制造的技术装备
• Computer support, e.g. for data analysis, graphic displays, process control, statistics, quality plans.
作为数据分析、绘图显示、过程控制、统计、质量策划的计算机支持
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A4
Is there a process for the management of employee satisfaction
with suitable methods?
是否有管理员工满意度的流程及合适的方法？
Comments: 注解：
Is employee satisfaction a management principle? Is employee satisfaction maintained?
员工的满意度是否作为一项管理原则？是否保持员工满意？
Examples: 举例：
• Working conditions, work location, environment, equipment
工作条件，工作场所，环境及设备
• Health and safety measures
健康和安全保障措施
• Communication on an individual and company wide level
员工个人和公司范围各级别进行j沟通
• Employee performance evaluation, agreed goals, career planning
员工的业绩评估，共同目标，职业计划
• Involvement in quality matters
参与质量活动
• System for recognizing and rewarding performance
认可和奖励成绩的体系
• Job security
工作安全
Further indicators can be:
可更进一步指示：
• Absenteeism
缺勤率
• Personnel turnover
人员流动
• Use of company facilities
公司设施的使用
A4a
Does the supplier have a process to improve quality awareness?
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供应商是否有关于（提高）质量意识的流程？
Comments: 注解：
• A written procedure defining the quality awareness.
明确质量意识的书面的程序
• Do measures for improvement of quality awareness and morale exist?
是否有提高质量意识和士气的措施？
• Which measurables indicate employee satisfaction?
那种测试能够说明员工的满意度？
Examples: 例如：
• Improvement suggestions
改进建议
• Quality circles
质量循环
• Zero defect programs
零缺陷计划
• Poster campaigns, competitions
活动海报，竞赛
• Training, information meetings
培训，信息会议
• Awards 奖励
• Workshops.
车间
A4b
Does the supplier promote any motivational activity (e.g. small group
activity) to assure and improve the quality?
供应商是否推行员工激励活动（例：小组活动）以保证和改善产品质量？
Comments: 注解：
The quality and performance capabilities of a company are not only dependent on the technical and
organizational capabilities and the business resources, but far more so on the qualification and motivation of
employees to perform well.
一个公司的质量和业绩的能力不但要依靠技术，组织能力和商业资源，还需要依靠大量有资格、有抱负的员工
来完成任务。
Examples: 举例：
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• Documented team activities,
文件化的团队活动
• Meeting minutes,
会议记录
• Implementation Plans,
执行计划
• Quality Circles
质量循环
A5
Does a training program exist which supports achieving the
scope of business and fulfillment of customer requirements?
是否有支持完成商业经营范围和履行顾客需求的培训计划？
Comments: 注解：
“Training program” means the determination of the entire training needs and appropriate actions in all areas
of the company.
“培训计划”是指在公司所有范围内确定完整地的培训需求和安排适当的培训活动
A5a
Does the supplier have documented training and development programs
for its personnel?
供应商是否有针对员工的书面的培训和开发计划？
Comments: 注解：
• All employees at all levels who carry out work, which affects quality, must be included. Requirement profiles
must be defined on a function-related basis.
各个级别的全体员工，凡是有可能影响到质量的，都必须包含在需要培训的名单之内。必须要在与实际职能相
关的基础之上，制定该需求大纲。
• The training and further training activities must be summarized on an individual basis.
必须在个人的基础上对培训和进一步的培训进行概括和总结。
• The summary should clearly show implemented and still-open training measures, and the level of
achievement must be indicated.
总结应该明确展示已完成和仍未完成的培训数量，必须说明达到的水平。
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• The training program encompasses all internal and external training activities and its effectiveness should
be examined periodically.
这些培训项目涵盖了内部、外部所有的培训活动，并且需要定期检查培训的实效
Examples: 举例：
• Grades, certificates or confirmation of participation may be used as means of demonstrating participation
可采用评级，证书或参与者确认等作为论证方法。
• Training procedure, Training plans
培训程序，培训计划
• Training schedules for new hires
新雇员的培训进度表
• Training schedule for change of processes and technology
过程和技术变更的培训进度表
• Training metrics, training records
培训奖励、培训纪录
A5b
Individual
Training:
does
the
training
program
fit
specifications? 个人培训；培训计划是否合适于岗位说明？
Comments: 注解：
• How are trainings planned?
培训是如何策划的？
• Do executive management and top management take part in the training program?
行政管理层和最高管理层参加培训吗？
• On which basis do you detect needs for training and qualification measures?
以什么为基础探测培训和资格测量的需求？
• How do you determine needs for qualification and training?
怎样确定资格和培训方面的需求？
Examples: 举例：
• materials inspector certificate
材料检查员证书
• welder certificate 焊接证书
• certificate for non -destructive materials testing (X-ray testing)
非破坏性原材料试验证书（X-光测试）
A5c
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What kind of information do the employees get about customer
requirements and about achievement of objectives?
在顾客需求和目标绩效方面员工得到了哪些信息？
Comments: 注解：
• The employees have to know which customer they are working for, and any specific customer
requirements, as well as which objectives they have to follow?
在员工除应该理解的那些目标之外，还应该知道，他们正在为那些客户加工产品，以及客户的特殊需求等细节。
Remark: At the shop floor it must be included in work instruction and or control plan.
注：在车间现场，这些内容必须要包括在工作指导书和/或控制计划中。
Examples: 例如：
The current status of achievement may be shown, for example, by quality indices.
例如用质量指标展示目前达到的状态。
• Presentation of quality related costs
展示与质量有关的成本
• Presentation of rework (amount/costs)
展示返工品（数量/成本）
• Presentation of audit results
展示审核结果
• Comparison of development objectives and development status
发展目标与发展状况对照
• Presentation of customer satisfaction
展示顾客满意度
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B - Technology and Development
技术与开发
Comments: 注解：
The technology and development section focuses upon the process and product creation cycle.
技术和开发部分的重点是过程和产品的创造周期。
Checklist Overview:
B1 Are the necessary methods and tools for risk assessment, error prevention and confirmation of
lifetime/endurance-run characteristics applied to new products and process technologies?
对于新产品和过程工艺，是否有必要的方法和工艺被应用于风险评估，错误预防和寿命/耐久性参数确认？
B1a Does the supplier use advanced quality planning (e.g., design and process FMEAs , timing charts)?
供应商是否运用先期质量策划（如设计FMEA、过程FMEA、时间表）？
B1b Is there a process for identifying special characteristics?
是否有特殊特性识别流程？
B1c Does the supplier use a documented control plan in the manufacturing process?
在制造过程中供应商是否运用文件化的控制计划？
B1d Does the supplier have laboratory facilities for the types of commodities for which t hey are being
considered?
供应商是否有实验设备为正有意向开发的产品进行实验？
B2 Are new product ideas and new process technologies evaluated and implemented according to
the standards of automotive series production?
是否按照汽车工业连续生产来评估和执行新产品构想和新过程工艺？
B2a Does the supplier have the capability to design product from the specifications provided by the
customer?
供应商是否有能力按照顾客提供的规范进行产品设计？
B2b Does the supplier have research and development capabilities?
供应商是否有研发能力？
B2c Are the bottlenecks for current/future projects identified?
是否识别现有和将来项目的瓶颈？
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B3 Is there a process for benchmarking products and processes including technology?
是否有流程来benchmarking产品、工艺及技术？
B4 Is there a process to involve internal and external partners into the engineering of both
product and process?
是否有流程在产品和过程工艺中吸纳外部和内部的伙伴参加？
B5 Does a prototype program exists which refers to customer specific requirements and includes:
Project documentation?
涉及到顾客特殊要求的是否有样件计划，是否文件化？
B1
Are the necessary methods and tools for risk assessment, error
prevention and confirmation of lifetime/endurance-run characteristics
applied to new products and process technologies?
对于新产品和过程工艺，是否有必要的方法和工艺被应用于风险评估，
错误预防和寿命/耐久性参数确认？
Comments: 注解：
Which tools does the supplier use for risk analysis as well as for verification of lifetime/endurance run
characteristics?
供应商除对寿命/耐久特性确认以外，还使用哪种工具进行风险分析？
B1a
Does the supplier use advanced quality planning (e.g., design and process
FMEAs, timing charts)?
供应商是否运用先期质量策划（如设计FMEA、过程FMEA、时间表）？
Comments: 注解：
• Is AQP used throughout the supply chain?
AQP是被用于整个供应链吗？
• Check for assessment processes, quality gates, deliverables
检查评估过程、质量门、交付
• Who is involved in the creation and the revision of the process FMEA and of the control plan?
谁负责制定和修改过程FMEA、控制计划？
• Does a process development exist and are the results considered in process engineering?
是否有过程开发，过程设计中是否考虑开发结果？
• Is non-production equipment used for simulation?
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摸拟是在非生产用工装上进行的吗？
• Are the results recorded and reviewed with the customer?
是否记录结果并同顾客一起进行评审？
Examples: 举例;
• APQP minutes,
APQP记录
• project charts,
计划图表
• flow charts,
流程图
• statistical charts
统计图表
Methods for risk analyzing are:
风险分析的方法是：
• FMEA, FMT
• DOE
• FEA
• DFMA
• Load-bearing tests
承载实验
• Service life tests
服务寿命实验
• Crash tests
碰撞实验
• Material inspections
材料检查
• Installation trials
试装配
• Environmental simulation tests
环境模拟试验
• Investigations of environmental compatibility and disposal and resulting actions.
环境兼容性调查、处置和因而发生的活动。
B1b
Is there a process for identifying special characteristics?
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是否有特殊特性识别流程？
Comments: 注解：
• Special Characteristics are defined out of D-, P -FMEA and or from customer requirements.
特殊特性的确定，基于DFMEA、PFMEA和顾客要求。
• The process must define how to handle the customer standardization for special characteristics (DS, DZ for
MCG+CVD, <S> + <D> for CG).
程序必须要明确如何处理顾客对特殊特性的标准化要求。（MCG+CVD要求用DS, DZ标识，CG用<S> + <D>
标识）。
• How do you identify special characteristics? How/where are they documented?
如何识别特殊特性？如何文件化的？
• Are special characteristics identified for all components?
是否所有部件都确定了特殊特性？
Examples: 例如：
• Reference the part drawing,
参考零件图
• reference the control plan,
参考控制计划
• reference the DFMEA,
参考DFMEA
• reference the PFMEA
参考PFMEA
B1c
Does the supplier use a documented control plan in the manufacturing
process?
在制造过程中，供应商是否运用文件化的控制计划？
Comments: 注解;
• This plan must cover the levels system and subsystem, part and/or material, including outsourced
processes.
该计划必须要包括各个级别的总成和分总成、零件和/或材料，还包括外部加工过程。
• This plan must include prototype – SO (Null Series) and series production.
该计划应包括样件、试生产和量产三个阶段。
• Are the customer specific requirements included in the control plan?
客户的特殊要求是否包括在控制计划中？
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Examples: 例如：
• Control plans (Attach a control plan example in appendix)
控制计划（控制计划实例见附录）
B1d
Does the supplier have laboratory facilities for the types of commodities
for which they are being considered?
供应商是否有实验设备为正有意向开发的产品进行实验？
Comments: 注解：
• Can the supplier's laboratory meet the requirements of the customer for function and material? Specify in
detail!
供应商的实验室是否能满足顾客对功能和材料的要求？详述细节。
• Does the supplier use certified or customer approved laboratories?
供应商是否使用经资格认证的或顾客认可的实验室？
• Is there a process for analyzing 3rd party laboratory reports?
有分析第三方实验报告的流程吗？
• Correlation with customer equipment?
是否与顾客的设备相关？
• Correlation with national/international standard?
是否与国家/国际标准相关？
• Are there defined metrics for prototype analysis?
对于样件分析有确定的度量标准吗？
Examples: 例如：
• Physical test facilities,
物理实验设备
• physical test equipment for reliability and life testing,
作为可靠性和寿命实验的物理实验设备
• research facilities,
研究手段
• software tests (CMMI, Spice)
试验软件（CMMI, Spice）
• external laboratory matrix
外部的实验室矩阵图
B2
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Are new product ideas and new process technologies evaluated
and implemented according to the standards of automotive
series production?
是否按照汽车工业连续生产来评估和执行新产品构想和新产品工艺？
Comments: 注释：
The procedure serves to identify and to estimate the potential danger, which arises from an incorrectly
developed, manufactured and/or insufficient product description. If necessary, it must lead to decisions
regarding actions to be taken.
这个程序适合于识别和评估由于不正确的开发、制造和/或不充分的产品描述所造成的潜在的风险。如必要须决
定采取措施。
B2a
Does the supplier have the capability to design product from the
specifications provided by the customer?
供应商是否有能力按照顾客提供的规范进行产品设计？
Comments: 注解:
• Does the supplier have product simulation capability? Product simulation means all simulation
tools used in the engineering field (finite elements, mold flow, power wall, etc.)
供应商有产品模拟能力吗？产品模拟是指用于工程领域的所有模拟工具（有限元、模流分析、动力墙等）
• Given 3D models and specifications can the supplier provide design alternatives? Given3D models
and specifications can the supplier provide process alternatives?
如给出3D模型和规范，供应商能否提供设计方案？
• Does the supplier use automotive standards for feasibility study?
供应商是否使用汽车标准进行可行性研究？
Examples: 例如：
• Design change examples,
设计变更举例
• examples from complete design and process
已完成的设计和过程的例子
Methods for risk analyzing are:
作为风险分析的方法是：
• QFD
• FMEA, FTA, FEA
• DOE
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试验设计
• DFMA
• POKA Yoke
防误防错
• Investigations of environmental compatibility and disposal
环境兼容性的研究和配置
Resulting actions are:
行动的结果是：
• Load-bearing tests
承载实验
• Service life tests
服务（使用）寿命实验
• Crash tests
碰撞试验
• Material inspections
原材料检查
• Installation trials
试装
• Environmental simulation tests
环境模拟试验
B2b
Does the supplier have research and development capabilities?
供应商是否有研发能力？
Comments 注解：
• Supplier should use design tools and test equipment so that the results can be used by DCX.
供应商应使用设计工具和实验设备，以便结果能被用于DCX。
• The people for different customer projects must be named
对于不同的顾客项目，必须指定负责人。
• The action of these resources must be scheduled
必须制定资源的预算计划？
Examples: 例如:
• CATIA workstations,
CATIA工作站
• FEA,
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• technical equipment
技术装备
B2c
Are the bottlenecks for current/futu re projects identified?
是否识别现有和将来项目的瓶颈？
Comments: 注解：
• The required resources are to be determined and considered in the quotation phase.
在报价阶段，必须考虑并决定所需的资源。
• When requirements are altered the resources must be updated and the required plan made available.
当要求改变时，资源应进行更新并制定相应的计划。
Examples: 例如：
• Customer requirements
顾客要求
• Availability of input material
输入材料的有效性
• Qualified personnel
有资格的员工
• Through put times/processing times/number of production pieces per plant/equipment
从开始到结束的放置时间/处理时间/每个工厂的生产件数/设备。
• Buildings, premises
厂房、房屋
• Plants, tools, production/testing equipment, auxiliary tools, laboratory equipment
工厂、工具、生产/试验设备、辅助工具、实验室设备
• Transport means, containers, store
运输方法、容器、存储
• CAM, CAQ
• Project control record
项目控制记录
B3
Is there a process for benchmarking products and processes
including technology?
是否有流程，用于产品和过程（包括技术）的标杆管理？
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Comments: 注解：
• Is there a process or procedure for benchmarking?
是否有标杆管理的流程或程序？
• The evaluation, analysis and use of company-wide performance data in comparison with data on
competitors or other companies must be used throughout the benchmarking process.
必须要将公司范围的工作业绩数据同竞争对手或其他公司的数据进行比较、评估、分析。并贯穿在整个标杆管
理过程中。
Examples: 举例：
Benchmarking should provide following data:
标杆管理应提供下列数据：
• Productivity
生产率
• Economy
经济制度的状况
• Quality situation
质量状况
• Efficiency
效率
• scrap rate,
废品率
• cycle time,
循环时间
• rework,
返工
• process time,
过程时间
• nonconformity costs
非符合性成本
B4
Is there a process to involve internal and external partners into
the engineering of both product and process?
是否有流程在产品和过程工艺中吸纳外部和内部的伙伴参加？
Comments: 注解;
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• Is there a process or procedure describing the cross-functional approach for product and
process development?
是否有流程或程序来描述产品和过程开发使用的跨功能的方法？
• Are equipment manufacturers and suppliers of important subcomponents involved in the
cross-functional teamwork?
是否与设备厂商和重要的下级部件供应商，在跨功能方面进行协作？
• Is the supplier able to cooperate with the customer to develop inspection procedures and
standards?
供应商是否能同顾客合作开发检查程序和标准？
• Does the supplier have a parent company or affiliation with another company that has
engineering capabilities?
供应商是否有母公司或从属于另一家具有工程能力的公司？
Examples: 举例：
• development/finalization and monitoring of special characteristics,
特殊特性的开发/确定和监测
• development and review of FMEAs, including actions to reduce potential risks
开发和FMEAs的评估，包括减少潜在风险的活动
• development and review of control plans. 开发和控制计划评估
B5
Does a prototype program exist which refers to customer
specific requirements and includes Project documentation?
涉及到顾客特殊要求的是否有样件计划，是否文件化？
Comments: 注解：
• The test conditions for product development must be defined and agreed upon with the customer.
必须同顾客一起确定产品开发试验条件，并得到顾客同意。
• The results of product testing must correlate to the requirements. In the case of failure to meet the
requirements, corrective actions must be evident.
产品试验结果必须满足要求，如不能满足要求，必须有明显的纠正措施。
• Are prototypes produced with the same tools, processes and supplied parts / services as planned for series
production?
样件是否用相同的工装、过程、零件供应/服务生产的，同连续生产的计划一样吗？
• Are parameters for mass production verified during prototype production?
在样件生产期间是否验证了量产参数？
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• Is there a process to incorporate lessons learned from prototype to series production?
从样件到量产是否有一个汲取经验教训的流程？
• Does the control plan for prototypes indicate special characteristics?
样件的控制计划是否指出特殊特性？
• Is prototype production and planning of inspection conditions a controlled process?
样件生产和检查条件的编制是一个受控过程吗？
• How do you transfer know-how from prototype production to pre-series and series production?
如何完成从样件生产到小批量到大批量生产的技术转化？
Examples: 举例：
• Dimensional trials
尺寸考验
• Functional testing
功能试验
• Durability testing
耐久试验
• Environmental simulation testing.
环境模拟试验
• Product life histories
产品寿命历史记录
• Test reports
实验报告
• Test plans
试验计划
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C – Quality 质量
Comments: 注解：
The quality section focuses on the quality management system following the guidelines of ISO/TS 16949.
质量部分的重点是遵循ISO/TS 16949的指导方针的质量管理体系。
Checklist Overview:
C1 Does the QM-System cover methods and procedures for identification and fulfillment
of customer requirements?
质量管理体系是否覆盖了识别和履行顾客要求的方法和程序？
C1a Does the supplier have a documented quality system? (e.g. manual, procedures, practices)
是否有一个文件化的质量体系（如质量手册、程序文件、惯例）？
C2 Does the supplier have a continuous improvement program for product and processes
throughout the company?
供应商是否有针对整个公司产品和过程的持续改进流程？
C2a Is there a process for continuous improvement?
是否有持续改进流程？
C2b Does the management evaluate regularly the appropriate performance measurables?
管理层是否定期进行适当的可测量参数评估？
C3 Does the supplier knows the related product and process legal regulations and complies with
them?
供应商是否了解和遵守相关产品和过程的法律法规？
C3a Does the informati on include regulations in foreign markets (EU, USA, Australia, Japan,...)?
这些信息是否包含国外市场（欧洲、美国、澳大利亚、日本等）？
C3b Is there a process for document retention?
是否有文件保存的流程？
C4 Is there an organization chart, which indicates functions and reporting relationships?
是否有组织机构图来说明职能和工作关系？
C4a What are the organizational responsibilities? How is this documented?
他们的职责是什么？怎样文件化的？
C4b What are the responsibilities of the customer representative concerning identification of customer
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requirements?
关于识别顾客需求，顾客代表的职责是什么？
C5 Is there a process to revalidate customer product?
是否有流程来重新验证（提供给）顾客的产品？
C5a How do you plan/define the necessary release-inspections in case of changes in product or process?
当产品或过程变更时，怎样计划/制定必要的检查？
C5b Does the supplier conduct periodic reliability or annual validation tests to verify the product quality?
供应商是否定期进行可靠性或年度有效性试验来验证产品质量？
C1
Does the QM-System cover methods and procedures for identification
and fulfillment of customer requirements?
质量管理体系是否覆盖了识别和履行顾客要求的方法和程序？
Comments: 注解：
• Does the supplier follow the standard ISO/TS 16949 and do they focus on customer specific requirements?
供应商是否遵循ISO/TS16949标准并且关注顾客特殊要求？
• Is there a process or procedure for identification of customer requirements?
是否有识别顾客要求的流程、程序？
C1a
Does the supplier have a documented quality system? (e.g. manual,
procedures, practices)
供应商是否有一个文件化的质量体系（如质量手册、程序文件、惯例）？
Comments: 注解：
• All quality documents must be described in the quality manual or business operating system.
所有质量文件必须在质量手册或商业运行体系中进行描述。
• The manual / similar document must display the approval of the company management the effective date
and the revision status. Responsibility for its updating, revisions and the distribution list must be defined.
这个手册（或类似的文件）必须显示有公司管理层的正式批准，有效期和修改状态。必须明确更新、修改及发
放清单的职责。
Examples: 举例：
• Process map
流程图
• Organizational structure
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组织的构成
• Functional responsibilities
功能职责
• Implementation process for all activities affecting quality in the company.
公司内作为所有影响质量活动的执行过程
• Special procedures such as process instructions, quality assurance plans etc. may be separately defined.
专用的程序，例如工艺规程、质量保证计划等等可个别地进行说明
• Does the supplier have a documented plan to achieve certification?
为取得证书，供应商是否有一个文件化的计划？
• Is the plan updated and is the supplier to schedule to the plan?
该计划是否进行更新、供应商是否确定了该计划的时间进度？
C2
Does the supplier have a continuous improvement program for product
and processes throughout the company?
贯穿整个公司，供应商是否有产品和过程的持续改进计划？
Comments: 注解：
The strategy of continuous improvement applies to employees, all production processes, services and
business activities of a company. Improvements refer to, for example:
持续改进的策略应用于员工、所有生产过程、公司的服务和商业活动。改进涉及到如下方面：
• Quality
质量
• Price
价格
• Service
服务
• Delivery reliability.
交货的可靠性
C2a
Is there a process for continuous improvement?
是否有持续改进流程？
Comments: 注解：
Is there a process or procedure for continuous improvement activities?
有持续改进活动的流程或程序吗？
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Examples: 举例：
• Management review minutes
管理层的评审记录
• Output of audits
审核的输出
• Improvement action plans include:
改进活动计划包括：
• Reducing non -value-adding activities
减少非增值性活动
• Simplification of processes/Optimization of production methods.
过程的简化/生产方法的最优化
• Reduction of waste
减少浪费
• Reducing unplanned down-time of machines
减少机器的无计划停机时间
• Shortening setting-up and tool change times
缩短安装及更换工装时间
• Increasing service life/cycle times of products and equipment
增加产品和设备的服务寿命/循环时间
• Improving repair or service of products and equipment
改善产品和设备的修理或保养
• Environmental protection (reducing water, air and energy costs…)
环境的保护（降低水、气和能源的成本）
• Activity optimizations (5S or Kaizen)
行为的最优化
（5S或Kaizen）
§logistical chain
物流链
§building / factory area
厂房、工厂区域
§equipment
设备
C2b
Does the management evaluate regularly the appropriate performance
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measurables?
管理层是否定期进行适当的可测量参数评估？
Comments: 注解：
• Are continuous improvement audits performed, measured and evaluated on a regular basis in order to
optimize product or process performance?
为了使产品或过程执行最优化，是否在定期的基础上，执行、测量和评价持续改进审核。
• Which Processes are measured to analyze the efficiency and effectiveness?
采用何种过程来分析效率和有效性？
Examples: 举例：
• Audits,
审核
• corrective actions,
纠正措施
• management review reports,
管理评审报告
• target charts
目标图表
C3
Does the supplier knows the related product and process legal
regulations and complies with them?
供应商是否了解和遵守相关产品和过程的法律法规？
Comments: 注解：
All products or materials used or produced in product shall conform to applicable federal, local or market
driven regulatory requirements.
所有产品、原材料使用和产品的制造过程应符合可适用的联邦的、地方的和市场驱动调整的要求。
Examples: 举例：
Product: 产品
• Are regulatory permits required?
是否需要法规许可？
• List the government agencies involved in the facilities operation.
列出与设备运转有关的政府代理机构
• Does the supplier have any regulatory permits?
供应商是否有法规许可证？
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Process: 过程：
• Building permits, fire, water, hazardous material, personnel, etc.;
建筑物、火、水、危险的材料、人员等许可证。
• Check all regulatory permits for dates and signatures.
检查所有许可证的日期和签名
C3a
Does the information include regulations in foreign markets (EU, USA,
Australia, Japan,...)?
这些信息是否包含国外市场（欧洲、美国、澳大利亚、日本---）规则？
Comments: 注解;
• All products or materials used or produced in product shall conform to applicable international regulatory
requirements.
所有产品、使用的原材料和产品的制造过程，应符合可适用的国际规章制度的要求。
• Who is responsible for analysis of relevant legal regulations?
谁负责相关法律规章的分析？
• How is the knowledge about legal compliance distributed?
关于这些法律的遵守知识如何分发？
• Who is responsible for legal compliance in engineering and production?
在设计和生产方面，谁负责法律的符合性？
• Which legal regulations are applied for development of this part?
作为本零件的开发，应采用那些法规？
Examples: 举例：
• Are the current legal regulations being considered for design of products and processes?
对于产品和过程的设计，是否考虑当前的法规？
• Are regulatory permits required? Are they available and up do date?
是否需要法规许可证？
Examples for this see above!
是否有用，而且是最新的？
C3b
Is there a process for document retention?
有文件保存的流程吗？
Comments: 注解：
• Relevant documents have to be archived according to local and customer regulations to assure traceability
and for proof in case of complaints.
依照本地和顾客规章为了保证可追溯和报怨的证据，相关文件应该存档．
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• How long are documents and records retained?
文件和记录保留多长时间？
• Can the document retention period be extended?
可以延长文件的保留时间吗？
• Are traceability reports available in 24 h after input from customer?
是否能在顾客提出２４小时内，提交有用的可追溯报告？
Examples: 举例：
• MCG requires 15 years for documents related to safety and homologation equirements
MCG对涉及安全及批准要求的文件，要求保存１５年。
• Shipping final inspection record (including reliability tests)? Disposition record of nonconforming parts?
是否发运最终检验记录（包括可靠性试验）？ 对不合格零件记录的处理？
• Current product drawings, Current engineering specifications, (e.g. internal engineering specifications, SAE,
ASTM),
现行的产品图纸、现行的工程规范（如内部的工程规范、SAE, ASTM）ASTM-美国材料试验协会
• Quality relevant documents are, for example:
例如质量相关文件是：
。Product related:
与产品有关系的：
• Documents for contract inspection
合同检查文件
• Documents on contract review
合同评估文件
• Specifications
规范
• Drawings
图纸
• Formulations
简洁陈述
• Standards, regulations, internal standards
标准，规章，国内的标准
• Test instructions
试验说明
• Test plans
试验计划
Process related:
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与过程有关的：
• Work/inspection instructions
操作/检查指导书
• Work procedures
工作程序
• Quality plan
质量计划
• Control plan
控制计划
• Quality procedures
质量程序
• Quality manual
质量手册
• Procedures for quality record
质量记录程序
• Reference samples
参考样品
• Testing procedures.
试验程序
C4
Is there an organization chart, which indicates functions and reporting
relationships?
是否有组织机构图来说明职能和工作关系？
Comments: 注解：
Tasks, responsibilities and authorities must be defined; coordination and relationships between various
divisions and activities must be included.
必须明确任务、职责和负责人，必须包括不同部门和活动之间的协调和关系
C4a
What are the organizational responsibilities? How is this documented?
组织的职责是什么？怎样文件化的？
Comments: 注解：
Following functions may be defined:
可确定如下职责：
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• Quality management
质量管理
• Environmental protection
环境保护
• Purchasing
采购
• Commercial
商务
• Customer Representative
顾客代表
• HR
人力资源
Examples: 举例：
The definitions could be found in following documents:
在如下文件中能找到定义：
• Organization Charts
组织机构图
• Job descriptions.
岗位描述
• Documented processes and procedures
文件化的流程和程序
• Responsibility matrices
职责矩阵
C4b
What are the responsibilities of the customer representative concerning
identification of customer requirements?
关于识别顾客需求，顾客代表的职责是什么？
Comments: 注解：
• Top management shall designate personnel with responsibility and authority to ensure that customer
requirements are addressed. This includes selection of special characteristics, setting quality objectives and
related training, corrective and preventive actions, product design and development.
最高管理层应指定拥有职责和职权的人员，以确保顾客的要求被宣讲。这包括特殊特性的选择，确定质量目标
和有关培训，改正和预防活动，产品设计和开发。
• What are the responsibilities of the customer representative concerning identification of customer
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requirements?
关于识别顾客需求，顾客代表的职责是什么？
• What are the responsibilities of the customer representative in case of customer-relevant
failures?
假设出现同顾客相关的失效，顾客代表的职责是什么？
Examples: 举例：
• Job description sheets,
岗位描述
• organizational charts,
组织机构图
• management reports
管理报告
C5
Is there a process to revalidate customer product?
是否有流程来重新验证（提供给）顾客的产品？
Comments: 注解：
• The fulfillment of product specification (including process) requirements should be verified on an annual
basis or per customer contract.
应在一年一次的基础上，或按每一顾客合同来验证产品规范要求（包括过程）的执行情况。
• Adherence to legal regulations must be guaranteed in the process.
坚持法律的规章在过程中必须得到保证。
• Tasks for suppliers must also be included in the review.
在评审中也应包含分供应商的任务。
• Overall responsibility remains with the supplier.
由供应商负全部责任
•In cases where fulfillment is not possible, proven measures to fulfill the requirements must be evident.
如果不可能履行，证明能满足要求的措施一定要明显。
C5a
How do you plan/define the necessary release-inspections in case of
changes in product or process?
当产品或过程变更时，怎样计划／制定必要的检查？
Comments: 注解：
• Is there a process or procedure to revalidate after product or process changes that meet customer
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requirements?
在产品或过程变更之后，是否有一个满足用户要求，使之重新生效的过程或程序？
• Results of product change releases must be documented!
产品更改发布的结果，必须要文件化．
Examples: 举例：
• Control plan,
控制计划
• quality records,
质量记录
• inspection instructions,
检查指导书
• corrective action records
纠正活动记录
C5b
Does the supplier conduct periodic reliability or annual validation tests to
verify the product quality?
供应商是否定期进行可靠性或年度有效性试验来验证产品质量？
Comments: 注解：
MCG and CG require minimum once per year
MCG and CG要求每年最少一次
• Periodic tests/inspections should also be defined in the control plan; the results are to be documented.
在控制计划中应制定定期试验／检查的频次。结果应文件化。
• These periodic inspections and tests should validate all quality requirements of the product are fulfilled.
They can be performed at different times for different requirements.
这些定期的检查和试验，应验证产品是否满足所有质量要求。对不同的检查/试验要求，可以在不同时间完成。
• These inspections and tests exceed the normal inspections both in type and in scope.
这些检查和试验，在类型和范围方面胜过常规检验。
• As required repeated inspections may be carried out, for example, as a result of special requirements from
production for a limited period.
按要求可能会进行重复性的检验，例如，对特定的时期，来自生产的特殊要求的结果。
Examples: 举例：
Customer specific requirements (including performance and visual items)
顾客特殊要求（包括性能和目视项目）
• Manufacturability, testability
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可制造性，易测性
• Test arrangements, test equipment, software
试验安排，试验设备，软件
• Release criteria
发行的准则
• External or internal standards / specifications or instructions
内部或外部的标准/规范或指导书
• Legal requirements (safety, environmental compatibility, recycling)
法律要求（安全，环境，兼容性，重复利用）
• durability tests
耐久试验
• reliability tests
可靠性试验
• long term testing (weathering, ozone, corrosion testing)
长期的测试（风化，耐臭氧，侵蚀试验）
• re-qualification tests
再限定试验
C6
Customer support for nonconformance and issue resolution
当出现不合格或需要解决问题时，供应商是否能够支持？
Comments: 注解：
• Supplier must define a process for issue/problem resolution.
供应商必须确定问题/难题解决的流程。
• Supplier must maintain a specific method for issue/problem resolution if provided or
demanded by customer.
如果顾客提供或要求某种特殊的问题/难题解决方法，供应商必须采用。
C6a
Is there a process for nonconformance and issue resolution?
是否有一个（处理）不合格和解决问题的流程？
Comments: 注解：
• Supplier must handle nonconforming products in one of the ways listed below:
供应商必须用下列的方式之一处理不合格品：
§ define and carry out of corrective-actions
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确定和执行改进措施
• approval / permission for use – release or acceptance of nonconforming products from responsible dept. or
customer
不合格产品让步或接受使用，应有负责部门或顾客的许可/正式批准，才可使用。
• to separate and mark no conform products to avoid further use
隔离并且标识不合格的产品，避免进一步使用。
• What problem solving techniques does the supplier use?
供应商使用何种问题解决方法？
• Does the supplier meet the customer requirements for issue resolution, if problems occur during
development and production phase?
如问题发生在开发和生产阶段， 供应商能否满足顾客对于问题解决要求？
• How are lessons learned incorporated into the production process?
得到的教训怎样具体体现到生产过程？
• How do you measure and compare scrap? Is there a program to reduce scrap?
怎样测量和比较废品？有减少废品的计划吗？
Examples: 举例：
• 8D-, 7D –Report
7D、8D报告
• 5 Why Method
5个为什么方法
• KAIZEN Documents
持续改进文件
• ISHIKAWA Charts
ISHIKAWA图表
• Corrective action plan
改进措施计划
C7
Is there a process for warranty and goodwill analysis and
recovery requests from your customers?
是否有流程来分析对顾客的保证和期望以及恢复要求？
Comments: 注解：
• Does the supplier review customer warranty data for leading indicators, trends and verification of
implemented corrective actions?
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供应商是否评审了顾客索赔数据的主要指标、趋势并确认了改进措施的执行情况？
• Does the supplier perform root cause analysis and corrective action on parts returned from customer
vehicles?
对于来自顾客车辆被返回的零件，供应商是否执行根本原因分析和纠正活动？
• Does the supplier correlate warranty data with other failed parts analyses?
供应商是否将索赔数据和其他失效零件结合起来进行分析？
• Does the supplier incorporate lessons learned in warranty analysis into current manufacturing processes
and future product design?
供应商是否总结在索赔分析方面的经验教训，以指导当前的制造过程和将来的产品设计？
C7a
Does the supplier perform root cause analysis and corrective action on
parts returned from customer and customer vehicles?
对顾客和顾客车辆退回的部件，供应商是否执行根本原因分析和改进活动？
Comments: 注解：
• Is there a defined process or procedure for the analysis, implementation and monitoring of corrective
actions following product non-conformities found during use. The results of a fault analysis and the corrective
actions shall be communicated to the customer and may influence the product design.
在产品使用过程中发现不符合后，是否有确定的流程或程序来分析、执行和监测改进措施？故障分析结果和纠
正措施，是否要传达到顾客或可以改变产品设计？
• The objectives are to avoid non -conformities, to exclude the possibility of a repeat non-conformity and to
implement a continuous improvement process.
目标是消除不合格，排除返工不合格的可能性，并执行持续改进过程。
Examples : 举例：
• Non-conforming products must be obtained
不合格产品必须被检出
• Non-conforming products must be analyzed (area of non -conformity / type of nonconformity)
必须对不合格产品进行分析（不合格的范围/不合格的类型）。
• Definiti on of corrective actions (short, medium and long term)
关于改进措施的确定（短期、中期和长期）
• Implementing corrective actions
执行纠正措施
• Monitoring of corrective actions
监测改进措施
• The results of analyses must be introduced in development activities
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必须将分析的结果纳入开发活动中。
• Evidence of effectiveness.
显著的效果
• ISHIKAWA Charts
C7b
Does the supplier review customer warranty data for leading indicators,
trends and verification of implemented corrective actions?
供应商是否对顾客保证资料中的关键参数、趋势和已经完成的纠正措施进行回顾？
Comments: 注解：
Does the supplier access, review and evaluate customer warranty data on a regular basis?
供应商是否在定期的基础上访问、回顾和评估顾客索赔的数据？
Examples: 举例：
• Customer warranty data,
顾客索赔数据
• field-ppm charts,
现场PPM图表
C7c
Does the supplier correlate warranty data with other failed parts
analyses? 供应商是否把保证数据和其他失效件的分析相结合？
Comments: 注解：
• Does the supplier maintain a book of knowledge, (lessons learned), which correlates external and internal
failures?
供应商是否保存同内部和外部失效相关的信息（教训）？
• Is the information transferred back to DFMEAs, PFMEAs and control plans?
这些信息是否返回到D FMEAs, PFMEAs和控制计划？
Examples: 举例：
• Book of knowledge,
信息手册
• change records,
变更纪录
• FMEAs
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D – Production 生产
Comments: 注解：
Production at the supplier’s site should follow the strategy of the DaimlerChrysler Production System.
在供应商场所的生产应遵循DC生产系统的策略。
Checklist Overview:
D1 Is there a process to optimize in -house production technologies?
是否有一个内部产品工艺最优化的流程？
D1a Does the supplier have process simulation capability?
供应商是否有过程模拟能力？
D1b Is there a preventive maintenance program for machinery and tooling?
是否有设备和工装的预防维护计划？
D2 Is the production organized according to the lean production principle?
是否按照精益生产原理进行生产安排？
D2a Does the supplier use Lean techniques?
供应商是否运用精益生产技术？
D2b Does the supplier use visual management in the manufacturing area?
供应商是否在生产区域运用目视化管理？
D2c Are tools marked clearly with their status (released, maintained, maintenance required, quarantine) and
properly stored?
工装状态是否明确标识（合格发放、已维护、待维护、隔离）并且合理保存？
D3 Are the employees informed about the consequences of incorrect work?
员工是否被告知误操作的后果？
D3a Do the employees know the respective reaction plan and contingency plan?
员工是否知道各自的反映计划和突发性事件计划？
D3b Does the Supplier have a process for suspected non-conforming parts that have left the supplier plant?
供应商是否有流程来控制已经出厂的可以不合格品？
D4 Is the handling of customer-owned material/products/tools organized effectively?
是否有效的组织如何处理顾客提供的材料/产品/工装？
D4a Does the supplier have a process for controlling customer owned tooling gages equipment containers
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and products?
供应商是否有流程来控制顾客所有的工装量具的容器和产品？
D5 Are all the production processes controlled?
是否控制了所有的生产过程？
D5a What records does the supplier maintain about rework？
对于不合格品供应商采用什么记录？
D5b Are special characteristics controlled and analyzed?
特殊特性是否得以控制和分析？
D5c Is there a system/process to control calibration of gage and test equipment?
是否有体系/流程来控制计量器具和实验设备的校准？
D5d Are there operating instructions for each production operation?
是否在每个生产岗位都有操作指导书？
D5e Does the supplier use statistical techniques to control the manufacturing process?
供应商是否采用统计技术来控制制造过程？
D5f Does the supplier have a segregated and secured area to hold non-conforming and suspect material?
供应商是否设立不合格品或可疑品的隔离区？
D5g Is there a lot traceability process from incoming material through finished part shipment throughout the
supply chain?
在整个供应链中，是否有从进料到出厂的批号追溯流程？
D1
Is
there
a
process
to
optimize
in-house
production
technologies?
是否有一个内部产品工艺最优化的流程？
Comments: 注解：
Optimization of production technologies should reduce variation of product characteristics and production
-process parameters.
生产技术的最优化应减少产品特性和生产过程参数的波动。
D1a
Does the supplier have process simulation capability?
供应商是否有过程模拟能力？
Comments: 注解;
• What methods are used for production planning?
采用什么方法进行生产计划？
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• Does dedicated equipment exist for improvement of production technology?
专用设备用于生产技术的改进吗？
• Does improvement follow a closed PDCA-loop? Is information and data recorded and evaluated for
effective support of improvement?
改进遵循一个关闭的PDCA-循环吗？
• Is process development part of the project's QM-plan?
过程开发是项目质量管理计划的一部分吗？
• Does the Control plan include work steps, inspection procedures, special characteristics, special processes,
maintenance, risk detection, reaction plans and contingency plans?
控制计划是否包括工作步骤、检查程序、特殊特性、特殊过程、维护、风险探测、反应计划和突发事件计划？
Examples: 举例：
• Process simulation equipment
过程模拟设备
• computerized models,
计算机模拟
• material flow chart,
材料流动图
• Production simulation lines
生产模拟线
• mold flow analysis
模流分析
D1b
Is there a preventive maintenance program for machinery and tooling?
是否有设备和工装的预防维护计划？
Comments: 注解：
• Supplier should identify equipment and machinery, which is necessary to keep, key processes running. The
supplier must provide resources to cover all necessary maintenance-actions and to implement a planned /
defined preventive and predictive maintenance system
供应商应确定保证关键过程运行的必要设备和机器。供应商应为所有必须的维修活动和计划的执行及确定的预
防和预测维修系统提供资源。
• Does the maintenance schedule include a clean work environment and clean workplaces?
维护时间表是否包括清扫工作环境和清扫工作场地。
• Is it a manual or automated process? How is the data analyzed?
它是手动还是自动化过程？如何分析数据？
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Examples: 举例：
• Physical walk through and review,
亲身体验和评价
• Housekeeping policy
管理方针
• planned / periodic maintenance activities
计划/定期的维护活动
• packing and conservation of all machinery, equipment and measuring tools
所有机器、设备、测量工具的包装和保存
• availability of spare parts for production equipment of key-processes
关键过程的生产设备备件的有效性
• documentation, evaluation und development of maintenance objectives
维护目标的文件化、评估及开发
D2
Is the production organized according to the lean production
principle?
是否按照精益生产原理进行生产安排？
Comments: 注解：
Lean Manufacturing or Lean Production = philos ophy of continually reducing waste in all areas and in all
forms
精益制造或精益生产=在所有范围，用各种形式持续减少浪费的哲学。
D2a
Does the supplier use lean techniques?
供应商是否运用精益生产技术？
Comments: 注解：
• What lean techniques does the supplier utilize in the manufacturing process and other organizational areas?
供应商在制造过程和其他组织区域采用什么精益技术？
• Shop floor observation: one -piece -flow?
车间现场观察：是否一个流（零库存）?
• How do you detect opportunities for improvement?
你如何察觉改善机会？
Examples:
举例：
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• Poka Yoke
防误防错
• Kaizen activities
Kaizen活动（持续改进，减少浪费）
• KANBAN
看板
•5S
o Seiri: sort out unnecessary items
分出不需要的项目
o Seiton: set all items in order.
所有项目按照顺序放置
o Seiso: shine and clean
光亮和清洁
o Seiketsu: standardize workplace organization
使组织工作场所标准化
o Shitsuke: sustain the new system
持续新的系统
D2b
Does the supplier use visual management in the manufacturing area?
供应商是否在生产区域运用目视化管理？
Comments: 注解：
Shop floor observation:
观察车间现场
• Does the supplier maintain clear site lines in all manufacturing areas ?
供应商是否在所有制造区域内保持生产线井井有条？
• Does the supplier have adequate signage in the facility?
供应商是否有适当的设备标识？
Examples: 举例：
• Reference documented workshop results. 参考车间成果的文件
• Blackboards
黑板
• displays
展览
• posters
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标语
• diagrams
图表
• pareto analysis
pareto分析
• radar screen
雷达屏
• Quality trend charts
质量趋势图
D2c
Are tools marked clearly with their status (released, maintained,
maintenance required, quarantine) and properly stored?
工装状态是否明确标识（合格发放、已维护、待维护、隔离）并且合理保存？
Comments: 注解：
Supplier has to implement a tool-management system, which consists for example: maintenance and repair
facilities and staff
供应商应执行工具管理系统，例如该系统由维护、工具修理和人员组成。
Examples: 举例：
• tools marked clearly with their status
工装有明显状态标识
• tools stored and identified appropriately
适当的存储和鉴别工装
• storage
存储
• adjustment
调整
• preventive tool-replacement programs for devices which can be worn out
对于磨损工装预防性的工装置换计划
• documentation in case of modification of tool-specifications
工装规范发生更改的文件
• replacement of tool
工装的置换
D3
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Are the employees informed about the consequences of
incorrect work?
员工是否被告知误操作的后果？
Comments: 注解：
Supplier should inform employees about the consequences of non-conforming work in order to increase
awareness about importance of their daily performance.
为了增强员工对日常工作重要性的认识，供应商应告诉员工误操作的后果。
D3a
Do the employees know the respective reaction plan and contingency
plan?
员工是否知道各自的反应计划和应急计划？
Comments: 注解：
The reaction plans are defined in the control plan and operator instructions. Operator instructions must be
easily available to employees at the point of operation.
在控制计划和操作指导书中应制定反应计划。操作指导书必须放置在操作者容易得到的地方。
Examples: 举例：
• Work/operator instruction
工作/操作指导书
• Inspection/test instruction
检查/试验指导书
• Control plan
控制计划
D3b
Does the Supplier have a process for suspected non-conforming parts
that have left the supplier plant?
供应商是否有流程来控制已经出厂的可疑不合格品？
Comments: 注解：
• If a suspected or non-conforming part has left the supplier plant, the supplier must have a process and
implement actions to notify the customer.
如果一批可疑的或不合格零件已经出厂，供应商必须有一个通报客户的流程并执行。
• What is the plan for notifying customers of non-conforming material?
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通报顾客不合格原材料的计划是什么？
Examples: 举例：
• Documented procedure,
文件化的程序
• Corrective action plan,
改进措施计划
• Confirmation of results,
结果确认
• Customer notification records
顾客通报记录
D4
Is the handling of customer-owned material/products/tools
organized effectively?
是否有效的组织如何处理顾客提供的材料 /产品/工装？
Comments: 注解：
• Customer owned materials/products could be: transportation kits, tools, test equipment and also parts made
by the customer himself.
顾客拥有的材料/产品可以是：运输工具、工装、试验设备，也可以是顾客自己制成的零件
• Customer owned items must be marked.
顾客拥有的财产必须进行标识
D4a
Does the supplier have a process for controlling customer owned tooling
gages equipment containers and products?
供应商是否有关于提高质量意识的流程？
Comments: 注解：
• Supplier should have a process to take special care for customer owned items. Supplier should identify and
verify customer owned property. In case of loss or damage, the customer must be notified immediately.
供应商应有一个流程，特殊关注顾客的财产，供应商应确认和检验顾客财产。假如遗失或损坏应立即通报顾客。
• Which items do you handle as customer owned products? What are your quality related activities related to
these products?
作为顾客拥有的产品你处理了那些项目？对这些产品进行什么与质量相关的活动？
• Expectation: Customer owned products must be marked and labeled clearly. Customer owned gages and
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inspection tools must be integrated in a controlled calibration process. Customer supplied components must
be integrated in the quality management (Incoming inspection, lot control,...)
期望：对顾客拥有的产品必须进行标识，且标志明显。顾客拥有的量、检具必须纳入完整的受控校准流程。顾
客提供部件必须纳入完整的质量管理（引入的检查、批次控制...）
Examples: 举例：
• Procedures
程序
• Tooling record
工装档案
• Identification
鉴定
• Quality Records
质量档案
D5
Are all the production processes controlled?
是否控制了所有的生产过程？
Comments: 注解：
A process flow chart and control plan must identify all process steps from receiving inspection through final
shipping of product to the customer.
过程流程图和控制计划必须对从接收检验，到最终发运到顾客手中所有的过程进行确认。
D5a
What records does the supplier maintain about rework
对于不合格品供应商采用什么记录？
Comments: 注解：
• The supplier shall maintain records of rework that is performed outside of the regular production process.
供应商应保留正规生产过程以外的返工记录。
• Rework outside of the normal production process must be approved by the customer.
正规生产过程以外的返工，必须经顾客批准。
• What information does the supplier provide to its customers about rework?
关于返工，供应商给顾客提供了什么信息？
• Are traceability reports available in 24 h after input from customer?
在接到顾客要求后，是否能在24小时内提交可追溯报告？
Examples: 举例：
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• Shop floor observation to the examples above
在车间现场观察上述的例子
• serial and/or batch numbers are recorded for traceability
记录序列号和/或批号用于追溯
• inspection records
检查记录
• customer notification records and approvals
顾客通知记录以及正式批准
• lot traceability records
批量可追溯记录
• approved rework instruction
经批准的返工作业指导书
D5b
Are special characteristics controlled and analyzed?
特殊特性是否得以控制和分析？
Comments: 注解：
• Are the relevant process parameters and product characteristics monitored and controlled?
有关的过程参数和产品特性是否进行监控和控制？
• Review SPC charts for the special characteristics. Are the charts in control?
对特殊特性要评审SPC图表，看是否受控？
Examples: 举例：
• Reference SPC charts,
参考SPC图表
• Process audit records
过程审查记录
• PFMEA
• Quality records,
质量记录
• Flow charts,
流程图
• Statistical charts
统计图
• Control plan
控制计划
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D5c
Is there a system/process to control calibration of gage and test
equipment?
是否有体系/流程来控制计量器具和试验设备的校准？
Comments: 注解：
• The monitoring of all measuring and test equipment in all areas (i.e.: development, tool making,
maintenance, production, assembly, quality and customer service), is required in order to provide confidence
in decisions and actions based on the results of measurements.
为了提供作决定的信心和以测量结果为基础的活动，必须对所有范围内（如：开发、工装制造、维护、生产、
装配、质量和顾客服务）的测量和试验设备进行监控。
• They must be calibrated regularly in order to guarantee accuracy over their entire life time.
为了保证测量和试验设备在整个寿命周期的准确性，必须定期进行校准。
• In addition, fixtures, measuring and test devices and process monitoring instruments that might influence
the quality or a defined characteristic of a product or a process must be monitored in the same way.
另外，对可能影响到质量或确定的产品/过程特性的夹具、测量和试验装置、过程监测工具等，必须以同样的方
式进行监控。
• The system of equipment monitoring must be described in a procedure including the following:
设备监测的系统必须在程序中进行描述。包括下列各项：
• initial inspection and release of new test equipment (See MSA volume and VDA 5 volume)
新试验设备首次检查和发放（见MSA和VDA 5）
• labeling system
商标系统
• record of certification from source of supply / release list
来源于供应/发放清单的鉴定记录
• inspection procedures for monitoring of inspection and test equipment with defined inspection intervals
有明确检查时间间隔的检查程序，对检验和试验设备进行监控。
Examples: 举例：
• Calibration, maintenance procedure
校准、维护程序
• standards equipment of all kinds
各种标准设备
• gauges
量规
• measuring instruments
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测量器具
• sensors
传感器
• measurement recorders
度量记录器
• special test equipment including the software.
特殊试验设备包括软件
D5d
Are there operating instructions for each production operation?
是否在每个生产岗位都有操作指导书？
Comments: 注解：
• Supplier shall define the operating instructions for each step in the production process.
供应商在生产过程的每一道工序都应确定操作指导书
• These instructions must be easily available at the specific point of operation.
这些指导书必须在操作地点能容易得到
• The working instruction must be easy to understand for the operators.
操作指导书对操作者来说，必须容易理解
• Are operator instructions documented?
操作指导书是否文件化？
• Are operator instructions approved and updated for each operation?
每个工位的操作指导书是否得到批准和更新？
• Are inspection points identified?
确定检查点了吗？
Examples: 举例：
• Operator Instructions,
操作指导书
• Control Plans,
控制计划
• Location of operator instructions
操作指导书的位置
D5e
Does the supplier use statistical techniques to control the manufacturing process?
供应商是否采用统计技术来控制制造过程？
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Comments: 注解：
• Are process control charts used at the manufacturing points? Are the charts current?,
在制造现场是否使用过程控制图图表？图表是最近的吗？
• Are out-of-control conditions identified and are corrective actions documented?
是否确定失控情况？改进措施是否文件化？
Examples: 举例：
• SPC charts,
SPC图表
• Variable charts,
变量图表
• Attribute charts
特征图表
D5f
Does the supplier have a segregated and secure d area to hold
nonconforming and suspect material?
供应商是否设立不合格品或可疑品的隔离区？
Comments: 注解：
• Non-conforming and suspected material must be separated in order to prevent nonconforming material
from being used in the manufacturing processes or delivered to the customer.
为了防止不合格材料用于制造过程或交给顾客，必须对不合格和可疑材料进行隔离。
• Parts with obsolete change status must be handled like nonconformance parts. Confirm that segregated
area fulfills written procedure.
报废变更状态的零件，必须象不合格零件那样处理。确定隔离区并履行书面手续。
Examples: 举例：
• Documented procedure,
文件化的程序
• Area inventory,
存货区域
D5g
Is there a lot traceability process from incoming material through
finished part shipment throughout the supply chain?
在整个供应链中，是否有从进料到出厂的批号追溯流程？
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Comments: 注解：
Definition Traceability:
可追溯定义：
Ability to determine the status or the location of a part / product throughout the production process including
the Customers process if applicable.
能确定零件/产品贯穿整个生产过程，如适用包括顾客过程的状态或位置。
Lot traceability means : traceability on special Characteristics to the product and their processes by part,
shift, lot, defined to the risk of lifetime.
批次可追溯方法：依据零件、班次、批次和已确定的寿命风险可追溯产品和过程特殊特性。
DC requires first answer for traceability within 24h
对可追溯，DC要求在24小时内给予答复
• Check for internal and procedures and value added by suppliers.
检查内部、程序及供应商附加的数值
• Products with special requirements for documentation must be traceable back to raw material.
有文件化特殊要求的产品，必须要追踪到原材料
• Using a complete part or assembly, have the supplier demonstrate lot traceability on the individual parts.
供应商利用成品或总成来证明单个零件的批次追溯
Examples: 举例：
• Does the supplier have a documented system for supplier lot traceability, including traceability throughout
the extended supply chain?
供应商是否有批次追溯的文件化的体系，包括整个供应链的追溯？
• Traceability records (production data recorded and analyzed for traceability of products),
追溯记录（记录和分析生产数据，作为产品追溯）
• Bar or digital code on part transportation kit and papers
零件运输器具和卡片上的条形码或数字代码
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E - Engineering (Product and Process)
工程（产品和过程）
Comments: 注解：
• Engineering product and process focuses on the core engineering development process and resources
involved.
产品和过程设计的重点是核心工程的开发过程及有关的资源
• If Product Engineering is performed outside of the evaluated location the questions below can be scored as
non applicable (NA). Process engineering shall still be evaluated on –site for the location.
如果产品设计是在评估场地以外进行的，下面的评分应是“不适用”（NA）。过程设计仍应在现场进行评估。
Checklist Overview:
E1 Are roles and responsibilities clarified and defined at the interfaces to customers as well as
suppliers?
顾客和供应商联系人的角色和职责是否被指明和确定？
E1a Is there a process for determining the roles and responsibilities of R&D for each project?
是否有流程规定每个研发项目（人员）的角色和职责？
E1b Does a process exist to allow circulation of customer requirements throughout the supply chain?
是否有流程使顾客要求能在整个供应链中得以流通？
E2 Can the organization verify that appropriate resources for each ustomer project are available?
组织是否能为每一个可行的顾客项目识别出适当的资源？
E2a Do all of the affected areas have enough qualified personnel available for handling of the customer
requirements?
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是否所有受影响的区域都有足够的经过授权的员工可用来处理顾客需求？
E2b Does the supplier have a process for budgeting of projects?
供应商是否有项目预算流程？
E3 Does the supplier have a process to analyze and implement specific customer requirements?
供应商是否有分析和执行顾客特殊需求的流程
E3a How do you identify customer specific requirements for methods, tools and IT applications?
怎样识别顾客特殊要求中的方法、工装和IT应用软件？
E3b Are customer requirements concerning tools and methods documented?
顾客需要关注的的工装和方法是否文件化？
E4 Does the internal reporting system support the project management of the customer?
内部报告体系是否支持顾客的项目管理？
E4a What is the process for verifying if customer related performance indicators are fulfilled?
应该执行什么流程来验证相关的顾客性能已经得以完成？
E5 Does the change management process ensure the fulfillment of customer requirements
throughout the supply chain?
变更管理流程是否能保证顾客在整个供应链中的需求都得以执行？
E5a Does the supplier have a procedure to control changes?
供应商是否有程序来控制其分供方的过程和材料变更？
E5b Are changes caused by sub-suppliers included in the change management process?
分供方变更是否也包括在变更管理流程中？
E5c Are changes verified and validated against customer requirements before they are implemented?
变更是否在被执行前按照顾客需求进行确认和验证？
E1
Are roles and responsibilities clarified and defined at the
interfaces to customers as well as suppliers?
顾客和供应商联系人的角色和职责是否都被指明和确认？
Comments: 注解：
For the engineering process of new or changed products and processes, the roles and objectives from the
Customer and throughout the supply chain shall be identified and defined.
对于新的以及变更产品或过程的设计过程，供应商应识别并确定来自顾客及整个供应链角色和目标。
E1a
Is there a process for determining the roles and responsibilities of R&D
for each project?
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是否有流程规定每个研发项目（人员）的角色和职责？
Comments: 注解：
Are roles and responsibilities of each project made transparent in house as well as at the customer and
supplier organizations?
在内部及顾客和供应商组织机构中，是否明确每个项目的任务和职责。
Examples: 举例：
Organizational Charts, Examples of engineering involvement
组织机构图，包含工程的例子
• Responsible project manager
负责的项目经理
• Project management and employees in Product development (hard and software)
产品开发部门的项目管理和员工（硬件和软件）
• Project management and employees in Purchasing
采购部门的项目管理和员工
• Project management and employees in Logistics
物流部门的项目管理和员工
§ Project management and employees in Process development and Production
过程开发和生产部门的项目管理和人员
• Project employees in materials engineering
材料工程方面项目人员
• Project employees in laboratory area
试验领域项目人员
• Quality management for the project
项目的质量管理
• Controlling for the project
项目控制
• Project management support
项目管理支持
E1b
Does a process exist to allow circulation of customer requirements
throughout the supply chain?
是否有流程使顾客要求能在整个供应链中得以流通？
Comments: 注解：
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Evidence must be provided of a process, which guarantees the updating, and distribution of all relevant
documents to the responsible organizational units.
必须提供过程的证据，以证明保证所有相关文件发放到组织中负责单位并及时更新。
Examples: 举例：
• Translated (for example a translation of a for eign language customer standard, quality agreement,
performance specification, etc.),
翻译（例如将外文的顾客标准、质量协议、性能规范等译成中文）。
• Explained and clarified (for example explanation of customer specific abbreviations),
解释和明确（例如顾客专用缩写的解释）
• The customer contacts for specific topics (engineering, purchasing, quality assurance, et.) made known to
those responsible,
应了解顾客各专项联系人（工程、采购、质量保证等）。
• Product function and application
产品功能和应用
E2
Can the organization verify that appropriate resources for each
customer project are available?
组织是否能为每个可行的顾客项目识别出适当的资源？
Comments: 注解：
How does the supplier plan for and allocate resources for customer projects?
对顾客项目，供应商如何计划和分配资源？
NOTE: resources refer to personnel, material and equipment
注意：资源涉及到人员、材料和设备
Examples: 举例：
• Can the supplier produce prototype parts at this location?
供应商能在本场所生产样件吗？
• Prototype manufacturing facility,
样件制造设备
• Examples of prototypes
样件的例子
• Resource planning documents
资源计划文件
E2a
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Do all of the affected areas have enough qualified personnel available for
handling of the customer requirements?
是否所有受影响的区域都有足够的经过授权的员工可用来处理顾客需求？
Comments: 注解：
• How do you identify the needed manpower of specialists in your projects?
如何确定该项目需要的专家人数？
• How do you avoid manpower shortage?
如何避免人力不足？
• Who is responsible for identification of manpower shortage?
谁负责确认人力是否不足？
• To whom are shortages reported for clarification?
向谁明确汇报人力不足？
Examples: 举例：
• Organization charts
机构图
• Resource planning documents
资源计划文件
• Project review minutes
项目评审记录
E2b
Does the supplier have a process for budgeting of projects?
供应商是否有项目预算流程？
Comments: 注解：
The supplier should have a process, procedure or method of documenting resources and costs for projects.
供应商应有一个将项目资源、成本文件化的流程、程序或方法
Examples: 举例：
• Cost analysis documents for product and resources
产品和资源的成本分析文件
• Project data sheets
项目数据表
E3
Does the supplier have a process to analyze and implement
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specific customer requirements?
供应商是否有分析和执行特殊顾客要求的流程？
Comments: 注解：
The supplier shall have a process which ensures that all technical standards, specifications, process
instructions and their revisions received from the customer are released, distributed and introduced on a
timely basis.
供应商应有一个流程，以保证所有来自顾客的技术标准、规范、过程指导书及承认的更改版本能及时地发布、
分发和介绍。
E3a
How do you identify customer specific requirements for methods, tools
and IT applications?
怎样识别顾客特殊要求中的方法、工装和IT应用软件？
Comments: 举例：
The supplier shall have a process or procedure to identify customer specific engineering requirements.
供应商应有识别顾客特殊设计要求的流程或程序。
Examples: 举例：
• CATIA,
• AutoCad,
• Version number,
译本号码
• Training records,
培训记录
• CAD work stations
CAD工作站
• Test equipment
试验设备
E3b
Are customer requirements concerning tools and methods
documented?
顾客要求的有关工装和方法是否文件化？
Comments: 注解：
The supplier shall have a process or procedure to identify customer specific process requirements
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供应商应有流程或程序，来识别顾客特殊工艺要求。
Examples: 举例:
• Process standards
工艺标准
• AQP meeting minutes
AQP会议记录
• Customer sourcing package
顾客资料包
E4
Does the internal reporting system support the project management of
the customer?
内部报告体系是否支持顾客的项目管理？
Comments: 注解：
• The supplier shall have a process or procedure to report the status of the project and conformance to the
customer’s quality gates.
供应商应有流程或程序，报告项目以及符合顾客质量门要求的状态。
• The supplier shall have periodic quality gate (milestone) reviews that meet the requirements of the
customer.
供应商应定期的进行质量门（里程碑）评审，以满足顾客的要求。
E4a
What is the process for verifying if customer related performance
indicators are fulfilled?
应该用什么流程来验证相关顾客指标已经得以完成？
Comments: 注解：
Can the supplier forward information and data in the language and format required by the customer meeting
his requirements, (milestones, quality gate criteria, escalation process)
供应商是否能以顾客要求的语言及格式反馈信息及数据，以满足顾客（如里程碑、质量门标准、增产过程等）
的要求。
Examples: 举例：
• traffic lights, numeric evaluation of milestone activities
红/绿灯，里程碑活动的数值评估
• milestone reports
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里程碑报告
• Identification of quality gates
质量门的辨认
• MDS/CDS
• AQP timelines
AQP时间表
E5
Does the change management process ensure the fulfillment of
customer requirements throughout the supply chain?
变更管理流程是否能保证顾客在整个供应链中的需求得以执行？
Comments: 注解：
The supplier shall have a process or procedure to ensure that the customer requirements are distributed and
verified throughout the extended supply chain.
供应商应有流程或程序，以保证顾客要求在整个供应链中分发和验证。
E5a
Does the supplier have a procedure to control changes?
供应商是否有程序来控制其分供方的过程和材料变更？
Comments: 注解：
• Change Management is the controlled process of validation, release, development and implementation of a
changed or modified project, process, and product configuration.
变更管理是针对更改或改进的方案、过程、产品结构进行确认、发布、开发和执行的受控过程，
• Is there a process for updating the related production/engineering control documents in case of changes?
如发生变更，是否有更新有关的生产/设计控制文件的流程？
• How do you inform your customers in case you detect necessity of changes in the process or at the
product?
假如发现过程中或产品需要变更，如何通知顾客？
Examples: 举例：
• Design Control procedure,
设计控制程序
• Examples of changes in process,
过程更改的例子
• Internal procedures, examples,
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内部程序举例
• sign off documents,
认证文件
• Sample parts retained,
保留样件
E5b
Are
changes
caused
by
sub-suppliers
included
in
the
change
management process?
分供方的变更是否也被包括在变更管理流程中？
Comments: 注解：
• Is there a process for updating the related production/engineering control documents in case of changes
initiated by the extended supply chain?
假如由供应链发起变更，是否有更新相关生产/设计控制文件的流程？
• How do you monitor the reaction (time, reliability) of your suppliers on change requests?
如何监控你的供应商对更改要求的反应（时间、可靠性）？
Examples: 举例：
• Change records
变更记录
• PPAP documents
PPAP文件
• AQP minutes
AQP记录
E5c
Are changes verified and validated against customer requirements
before they are implemented?
变更是否在被执行前按照顾客需求进行确认和验证？
Comments: 注解：
Are process or product changes tested and verified against customer requirements prior to release?
变更发布之前是否按照顾客的要求试验和检验了过程或产品变更？
Examples: 举例：
• Change records
变更记录
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• FMEA
• Specification records
规范记录
• Test records
试验记录
• APQP minutes
APQP记录
F - Logistics / Supply
物流与供应
Comments: 注解：
The logistics and supply section focuses on the production, handling and supply from raw material to finished
goods provided to the customer.
物流和供应部分重点是从原材料到成品并提供给顾客的生产、运输和供应过程。
Checklist Overview:
F1 Are availability and capability of processes monitored, evaluated and continuously improved for
fulfillment of capacity requirements?
为了满足产能需求，过程有效性和过程能力是否得以监控，评价和持续改进？
F1a Does the supplier have a process to use flexible manufacturing systems?
供应商是否运用柔性生产系统？
F1b Are capability studies analyzed on all special characteristics within the flexible manufacturing system?
能力研究时是否分析了柔性生产系统中的所有的特殊特性？
F2 Does the communication with the customer ensure short- and longterm supply?
与顾客的沟通是否能确保短期和长期的供应？
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F2a Is there a process to receive and process data from your customers?
是否有接收和处理顾客数据的流程？
F2b Does the organization analyze the customer "Release requirements"?
组织是否分析顾客的“释放要求”？
F2c Are RFQs, quotations, and contracts checked and approved for completeness and integrity?
是否对RFQs报价和合同的完全性和完整性进行检查和批准？
F3 Does the material flow ensure fulfillment of customer requirements throughout the supply chain?
是否能确保整个供应链中的材料流转都能满足顾客需求？
F3a Is there a well-organized flow of material from receipt of raw materials to final product shipment?
从材料接收到成品发货，是否有完善的材料流转安排？并解释。
F3b Which contingency plans exist for stoppage at suppliers or for equipment breakdown?
对于分供方中断或设备停机，供应商有哪些偶发事件计划？
F3c Which methods do you apply for approval of product and process capability for series production?
用什么方法批准批产的产品和过程能力？
F3d Can products be identified anytime during storage and transportation?
是否在储存和搬运中任何时候产品都能得以识别？
F4 Does Handling and storing of the products ensures the customer requirements?
在处理和储存产品时是否都能确保顾客要求？
F4a Does the supplier follow the practice of "first in, first out" in the entire process?
供应商是否在整个过程中遵守先进先出的原则？
F4b Does the supplier have a process for detection and control of material or product contamination and
damage during storage, packaging and transportation?
供应商是否具备流程来保护和控制材料或产品在保存、包装以及运输过程中的污染和损坏？
F4c Does the supplier monitor and analyze the quality of containers required to meet customer "Release
requirements"?
为了满足顾客的“释放要求”，供应商是否对集装箱必须的质量要求进行监控和分析？
F5 Is the start of series production supported effectively? How do you plan and con trol the flexibility of
production figures during program launch ramp-up phase?
开始批产是否得到有效的支持？在项目爬坡阶段，怎样计划和控制柔性生产参数的？
F5a Will the supplier provide quality-engineering support at the car manufacturer(s) when required?
在主机厂需要时供应商是否能够提供质量技术支持/
F5b Are quality assessments of processes and procedures performed with a fre quency applicable to the
ramp-up phase?
在启动阶段，是否对工程和程序进行定期有效的质量评估？
F5c Does the organization produce pre-series products under conditions of series production?
供应商是否在批产的条件下进行产品的是生产？
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F1
Are
availability
and
capability
of
processes
monitored,
evaluated and continuously improved for fulfillment of capacity
requirements?
为了满足产能需求，过程有效性和过程能力是否得以监控，评价和持续改进？
Comments: 注解：
• Are equipment and the capability of the equipment suitable for the process?
设备和设备能力是否与过程相匹配？
• Does the process meet the customer requirements ?
过程是否满足于顾客要求？
F1a
Does the supplier have a process to use flexible manufacturing
systems?
供应商是否运用柔性生产系统？
Comments: 注解：
• A flexible manufacturing system enables the production of a variety of items, in small quantities, at a low
cost per unit.
柔性生产系统能够使品种多样化、小批量、低成本的生产。
• Characteristics of a flexible manufacturing system are often quick changeover and rapid
response time.
柔性生产系统的特性是经常快速的切换及快速的反应时间。
Examples: 举例：
• Refer to production schedules
查阅生产进度表
• Set up instructions
设立指导书
• Shop floor observation
观察车间现场
F1b
Are capability studies analyzed for all special characteristics within
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the flexible manufacturing system?
能力研究时是否分析了柔性生产系统中的所有的特殊特性？
Comments: 注解：
• The supplier shall have a procedure for analyzing the capability of their core manufacturing process tools
and equipment.
供应商应有流程来分析核心制造过程工装和设备的能力。
• Environmental conditions must be included into the scope of the process and under control that have
influence on the process and on the product.
对过程和产品有影响的环境条件必须包括在过程范围内并受控。
Examples: 举例：
• Environmental records/studies (Dust, temperature, humidity, exhaust gas, thermal expansion, ageing
material, sunlight)
环境的记录/研究（灰尘、温度、湿度、气体排放、热膨胀、材料老化、日照）
• Tooling/equipment list
工装/设备清单
• Capability studies
能力研究
F2
Does the communication with the customer ensure short- and
longterm supply?
与顾客的沟通是否能确保短期和长期的供应？
Comments: 注解：
• Does the supplier have a procedure to process long/or short term releases from the customers?
供应商对顾客发布的长期或短期的订单是否有处理程序或流程？
• Does this process include electronic data transfer (DFÜ/EDI) ?
这个流程是否包括电子数据传递(DFÜ/EDI)？
F2a
Is there a process to receive and process data from your customers?
是否有接收和处理顾客数据的流程？
Comments: 注解：
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• How do you receive data from your customers?
如何从顾客处接收数据？
• How do you generate the production program out of quarterly/monthly/weekly/daily forecasts?
如何按每季/每月/每周/日的预测制定生产计划？
• How do you identify quantities required before series production runs at full rate?
在量产满负荷之前如何确定需要的数量？
Examples: 举例：
check production forecast for plausibility and reliability
检查生产预报合理性及可靠性？
F2b
Does the organization analyze the customer "Release requirements"?
组织是否分析顾客的“释放要求”？
Comments: 注解：
Does the supplier analyze the customer requirements including supply and service?
供应商是否分析顾客包括供应和服务的要求？
Remark: For German readers: RELEASE REQUIREMENT = Lieferabruf
注释：作为德国读本发布要求= Lieferabruf
Examples: 举例：
Records of customer releases
顾客发布的纪录
F2c
Are RFQs quotations and contracts checked and approved for completeness and
integrity?
是否对RFQs报价和合同的完全性和完整性进行检查和批准？
Comments: 注解：
• Before a quotation is submitted or before a contract/order is accepted, the contract documents
(specifications, drawings, target specifications, standards, quality agreements, logistics stipulations etc.)
should be reviewed for completeness.
提交报价单之前或接受合同/订单之前，应对合同文件（如规格、图纸、规范目标、标准、质量协议、物流契约
等）进行完全评审。
• This requires that the supplier has a system in which all responsible functions of the company and its
organizational units (e.g. sales, development, production, production scheduling, quality engineering and
material management) confirm that they are able to fulfill customer requirements. Interfaces to the customer
must be defined.
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要求供应商具备体系，以确保公司所有职能部门和组织机构（如销售、开发、生产、生产计划、质量工程和材
料管理）能够实现顾客要求。必须明确与顾客的接口。
Examples: 举例：
The contract inspection includes, e.g.:
合同检查包括：
• Defined sequence in the quality manual/procedure (flow chart)
在质量手册/程序（流程图）里确定先后顺序
• Approval procedure before a quotation is issued to the customer (form with approval by the responsible
organizational unit)
在报价单发送给顾客之前的批准程序（由负责的组织机构批准）
Inspection of the contract documents for:
合同文件的检查：
• Clarity of individual requirements
明确个别的要求
• Inconsistencies in individual requirements
个别要求的矛盾
• Lack of individual requirements
缺乏个别的要求
• Defined deadlines.
确认最终期限
F3
Does the material flow ensure fulfillment of customer requirements
throughout the supply chain?
是否能确保整个供应链中的材料流转都能满足顾客要求？
Comments: 注解：
Does the supplier have a process to analyze and verify that customer requirements can be fulfilled by the
extended supply chain?
供应商是否有流程分析和验证顾客要求能在整个供应链中履行？
F3a
Is there a well-organized flow of material from receipt of raw materials to final
product shipment?
从原材料接收到成品发货是否有完善的材料周转流程？
Comments: 注解：
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• How do you realize a one-piece flow throughout your production until arrival at the customer?
贯穿你的生产直到产品送达顾客，你是如何实现一个流的？
• Does the organization maintain the conformity of the product during internal processing and until delivery?
从内部加工直到交付的过程，组织是否保持产品的一致性？
• Is repair and rework included?
是否包括返修和返工？
• Is a KANBAN or similar system in use?
是否使用看板或类似系统？
Examples: 例如：
• Use process flow chart to determine effectiveness
使用工艺流程图确定有效性。
• Check in warehouse and production for evidence of procedures described by managers interviewed
检查库房和生产证明执行管理评审的程序。
• Check process FMEA for handling and transportation steps
检查PFMEA的搬运和运输步骤。
F3b
Which contingency plans exist for stoppage at suppliers or for equipment
breakdown?
如果分供方停止供货或设备停机，供应商有哪些意外事故计划？
Comments: 注解：
Does the supplier have a process to ensure a continuous flow of material to meet customer requirements in
the event of a work stoppage, equipment failure, or building/infrastructure catastrophe?
如果发生工作中断、设备失效或厂房/下部结构倒塌，供应商是否有程序，从而确保材料连续运转以满足顾客需
求？
Examples: 举例：
• look for emergency plans
查看突发事件计划
• P-FMEA
• the control plan
控制计划
• production and supply chain break down
生产和供应链中断
• process procedure
过程程序
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F3c
Which methods do you apply for approval of product and process capability for
series production?
用什么方法批准量产的产品和过程能力？
Comments: 注解：
The methods must be capable to identify bottleneck situations in the production and supply chain.
方法应能够识别生产和供应链的瓶颈。
Examples: 举例：
• Flow chart
流程图
• Capability study document
能力研究的文件
F3d
Can products be identified anytime during storage and transportation?
是否在存储和运输的任何时候，都对产品加以识别？
Comments: 注解：
• "Identification of products" means a clear and traceable description by part number or an equivalent
together with the change index.
“产品标识”意味着通过使用零件号或等同物和变化指标一起对产品有一个清楚和追溯性的描述。
• Does the supplier have a pr ocess to identify at every step of manufacturing, storing and transporting which
status the product/part has for which next process step it is needed.
供应商是否有程序，能够识别制造、存储和运输的每一步的产品/零件状态及下道工序所需的状态？
Examples: 举例：
• Shop floor observation
车间现场观察
• Work report
工作报告
• ANDON system
ANDON体系
F4
Does Handling and storing of the products ensures the customer
requirements?
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产品的传递和存储是否能够满足顾客的要求？
Comments: 注解：
Handling and storing of the products refers to special loading devices, customer owned storage equipment,
customer definitions or documented requirements, manuals.
产品的搬运和存储是指专门的装载设施，顾客所有的储存装置，顾客明确或文件化的要求和手册。
F4a
Does the supplier follow the practice of "first in, first out" in the entire
process?
整个过程中，供应商是否遵循“先进先出”的原则？
Comments: 举例：
• Verify an inventory system exists,
验证是否存在库存管理体系。
• Verify material is being used in the order it is received.
验证材料是否按照接收的顺序使用。
• Verify people know how to handle and stock material
验证人员是否知道怎样传递和存储材料。
Examples: 举例：
• Verify racks and boxes / containers are marked,
验证架子和盒子/包装箱是否有标识。
• Review the incoming inventory and reference the material build date.
审核来料库存并参考材料成型日期。
• Review WIP and verify material is being used in order it is received.
验证WIP并验证材料是否按照接收的顺序使用。
• Review shipping and verify finished goods are shipped in order they are produced.
审核运输过程并验证成品是按照生产顺序运输。
• Review procedures and inventory on shelf
审核程序和架子上的库存。
F4b
Does the supplier have a process for detection and control of material or product
contamination and damage during storage, packaging and transportation?
存储、包装和运输的过程中，供应商是否有程序，探测和控制产品或材料的污染和
损坏？
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Comments: 注解：
• Verify material, within the process and in inventory, is not being damaged by handling.
验证加工过程中和库存的材料没有因为搬运而发生损坏。
• Verify material in inventory is not being damaged during and by the packaging
验证库存材料没有在包装过程中或因为包装而损坏。
• Are obsolete materials / products handled like defective materials / products?
是否将报废的材料/产品视做缺陷材料/产品处理？
Examples: 举例：
• Review material in process and incoming on the manufacturing floor,
审核加工过程的材料和制造现场的即将开始使用的材料。
• Review the material in process and in inventory (incoming and finished goods) for damaged containers.
审核加工过程的材料和库存（入厂和成品）材料的包装箱是否损坏。
• Review incoming and finished goods for damaged containers
审核入厂和成品的包装箱是否损坏。
• Verify all material is covered appropriately within the process and in storage if required.
验证所有的材料都按照加工和储存的要求适当的遮盖。
F4c
Does the supplier monitor and analyze the quality of containers required to meet
customer "Release requirements"?
供应商是否监督和分析包装箱的质量以满足顾客提出的要求？
Comments: 注解：
Quality of containers means returnable ore customer provided.
包装箱质量是指可退回或顾客提供的包装箱质量。
Card board containers must meet all customer requirements.
纸盒包装箱一定要满足所有顾客的要求。
Examples: 举例：
• Shop floor observation
车间现场观察
• Overall condition (worn? bent? soiled?)
全面情况（磨损？弯曲？变脏？）
• adequacy for use with the product
是否够用？
• useable for the speci al shipping situation
对特定的运输情况是否适用？
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F5
Is the start of series production supported effectively? How do you plan
and control the flexibility of production figures during program launch
ramp-up phase?
是否对开始量产提供有效的支持？在计划开始增加产量阶段是怎样计划
和控制弹性生产数量的？
Comments: 注解：
Does the supplier have a process to support the zero series phase through series volume production ?
供应商是否有程序，支持从量产开始阶段到大批量的生产？
F5a
Will the supplier provide quality-engineering support at the car manufacturer(s)
when required?
需要时，供应商是否能够到汽车生产厂提供质量--工程支持？
Comments: 注解：
• Will the supplier provide quality-engineering support at the car manufacturer(s) when required?
需要时供应商是否能够到汽车生产厂提供质量--工程支持？
• For vehicle launch, can the supplier provide on-site support if and when required?
整车投产时，如果需要供应商是否能够提供现场支持？
• If and when quality issues arise, can the supplier provide on-site support?
出现质量问题时，供应商是否能够提供现场支持？
• Is the supplier able to give the support and communicate in the language required at the Customers site?
供应商是否能够按照顾客现场要求的语言交流并提供语言支持？
Examples: 举例：
• Procedure for customer support,
顾客支持的程序。
• Examples of support for non-conformances
对不符合项提供支持的例子。
• List of support offices
支持部门清单。
F5b
Are quality assessments of processes and procedures performed with a
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frequency applicable to the ramp -up phase?
是否按适合爬坡（增产）阶段的频率对过程和程序进行质量评估？
Comments: 注解：
Does the supplier have a process for analyzing product and processes following automotive standards?
供应商是否有程序，按汽车标准分析产品和过程？
Examples: 举例：
• APQP documents
APQP文件
• PPAP documents
PPAP文件
• Ppk studies
Ppk研究
• Cpk studies
Cpk研究
• Dimensional studies
尺寸研究
F5c
Does the organization produce pre -series products under conditions of
series production?
组织是否按照批量生产的条件进行量产前产品的生产？
Comments: 注解：
Does the supplier utilize production equipment processes and operators at production rates to produce pre
series products?
供应商是否按照生产节拍由生产操作者使用生产用设备、工艺完成量产前产品的生产？
Examples: 举例：
• run at rate procedure
生产节拍运行程序
• tooling/equipment list
工装/设备清单
• training matrix
培训矩阵图
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G - Sub-supplier Management 分供商管理
Comments: 注解：
Sub-supplier management focuses on the assessment, distribution and verification of customer requirements
from the supplier throughout the extended supply chain.
分供商管理的重点是：从供应商并贯穿整个扩展供应链评估、分配和确认顾客的要求。
Checklist Overview:
G1 Does the supplier management process cover the communication of customer
requirements throughout the supply chain, including nonproduction suppliers?
供应商管理程序是否包含了将顾客的要求传达到整个供应链（包括非生产性供应商）？
G2 How are the distribution, update and revision of documents handled?
怎样处理文件的下发、更新和修改？
G3 How are customer specifications integrated in own specifications?
顾客的标准是如何同自己的标准相结合的？
G4 Is there a process for defining roles and responsibilities throughout the supply chain?
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是否有程序，明确整个供应链中的任务和负责人？
G4a Are roles and responsibilities of related functions at customer and sub –supplier organization
determined?
是否确定了负责顾客和分供商管理的组织机构的任务和相关职能负责人？
G5 Do the processes of supplier management support the scope of business?
供应商管理程序是否支持商业范围？
G5a Do you have a procedure to assess your suppliers?
是否有评估供应商的程序？
G6 Does the supplier have a process to control their suppliers that includes regular audits of control
procedures?
供应商是否有控制其分供方的过程，包括对控制程序的定期审核？
G7 Do the applied methods ensure the quality of supplied products in accordance with the zero
defect strategy?
应用的方法是否能够确保得到的产品的质量是按照领缺陷战略执行？
G7a Is there a process for controlling incoming material?
是否有来料控制过程？
G7b Does the supplier have a process for suspected non-conforming parts throughout the supply chain?
供应商是否有过程对整个供应链中的可疑产品进行控制？
G1
Does the supplier management process cover the communication of
customer requirements throughout the supply chain, including
nonproduction suppliers?
供应商管理程序是否包含了将顾客的要求传达到整个供应链（包括非生
产性供应商）？
Comments: 注解：
• Does the supplier have a process or procedure for communicating customer requirements throughout the
supply chain, including nonproduction suppliers?
供应商是否有过程或程序，将顾客的要求传达到整个供应链（包括非生产供应商）？
• Are service providers (cleaning, subassembly, 3rd party logistics, external interim stock, external
warehouse…) included into the supplier management processes?
服务的提供者（清洁、分装、第三方物流、外部临时库房、外部仓库……）是否包括在供应商管理过程中？
• How are Updates for worded to th e extended supply chain?
如何将更新书面告知扩展供应链？
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• Do the processes of sub-supplier management cover the implementation of customer requirements
throughout the supply chain?
分供商管理程序是否包含整个供应链都能够实现顾客的要求？
Examples: 举例：
• Are included in RFQ?
是否包括在询价包中？
• Marked as customer specific?
是否标识为顾客的特殊要求？
• Procedure
程序
• Verification/supplier audits
验证/供应商审核
G2
How are the distribution, update and revision of documents handled?
怎样处理文件的下发、更新和修改？
Comments: 注解：
Does the supplier have a process to maintain their own and Customer related documents within their
organization and throughout the extended supply chain?
在组织和整个扩展供应链，供应商是否有程序，用来维护自己的文件及同顾客相关的文件。
Examples: 举例：
• Procedures
程序
• Distribution records
下发记录
• Document control records
文件控制记录
G3
How are customer specifications integrated in own specifications?
顾客的标准是如何同自己的标准相结合的？
Comments: 注解：
• Is there a process for translating customer specifications into supplier owned documents?
是否有程序，将顾客的标准翻译为供应商自己的文件？
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• MCG does not allow copying and transferring of DBL (Daimler Benz Liefervorschriften = Material
Specification)
MCG不允许复制和转让奔驰的材料标准。
Examples: 举例:
• Supplier specifications
供应商标准
• Cross reference documents
交叉引用文件
G4
Is there a process for defining roles and responsibilities throughout the
supply chain?
是否有程序，明确整个供应链中的任务和负责人？
Comments: 注解：
• Does the supplier keep up-to-date organizational charts and contact lists for the extended supply chain?
供应商是否保存不断更新的扩展供应链组织机构图和联系清单？
• Important if the sub suppliers are defined by customer
如果分供商是由顾客指定的这将很重要。
G4a
Are roles and responsibilities of related functions at customer and
subsupplier organization determined?
是否确定了负责顾客和分供商管理的组织机构的任务和相关职能负责人？
Comments: 注解：
Is there a process for defining roles and responsibilities between the supplier and directed or non directed
sub-suppliers.
否有程序，确定供应商和直接（或间接）分供商之间的任务和负责人？
Examples: 举例：
• Check for directed tier2 and documented roles and responsibilities concerning development, supply
检查二级直接供应商和文件所规定的同开发、供应相关的任务和负责人。
• project organizational charts (must include functional responsibility)
项目组织机构图（一定要包括职能负责人）。
• contact list
联系清单
• APQP documents
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APQP文件
G5
Do the processes of supplier management support the scope of
business?
供应商管理程序是否支持商业范围？
Comments: 注解：
How does the supplier measure the effectiveness of their sub-suppliers to targets or objectives coming from
the business plan.
供应商是如何评估他们的分供商完成商业计划的目标和指标的有效性的？
G5a
Do you have a procedure to assess your suppliers?
是否有评估供应商的程序？
Comments: 注解：
• A process must be defined to evaluate the qualifications of sub- suppliers as well as service suppliers.
必须要确定程序，评价分供商和服务性供应商的资格。
• Are suppliers assessed before sourcing?
供货前是否对供应商进行评估？
• How do you measure supplier performance? What kind of targets do you set for your suppliers?
如何评估供应商的工作？为供应商设定了何种目标？
Examples: 举例：
Assessment of a quality system by
通过以下方式评估质量体系
• Systems audits and process audits by the supplier
供应商自己进行的体系审核和过程审核。
• System audits by other customers of the sub-supplier
分供商的其他顾客进行的体系审核。
• Certification by accredited certification bodies
公认的认证机构的认证证书。
A list of the released suppliers
放行供应商的总则：
Where to look for:
到哪寻找：
• Does the supplier review and approve the facility, equipment, and manufacturing conditions used for
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external special processes (e.g. heat treatment, welding, and surface treatment)?
供应商是否审核和批准了外委加工的特殊工序（如热处理、焊接和表面处理）的设备、工装和制造条件？
• Review audit records for sub-supplier visits that perform special processes.
检查对特殊工序分供商进行现场评审的记录。
• Does the supplier have a documented procedure for evaluation and selection of their suppliers?
供应商是否有文件化的程序，评估和选择他们的供应商？
• Review procedures and examples of procedures for new supplier selection process
审核新供应商选择过程的程序和例子。
• Reference completed audit reports, Process certifications, Internal procedure, audit records, Approval
Process
参考完成的审核报告、工序证书、内部程序、审核记录、批准过程。
G6
Does the supplier have a process to control their suppliers that includes
regular audits of control procedures?
供应商是否有控制其分供方的过程，包括对控制程序的定期审核？
Comments: 注解：
• Does the supplier perform regularly scheduled quality audits with its suppliers?
供应商是否同分供方一起按计划定期执行质量审核？
• Do your suppliers advise you of corrective actions and do they confirm that stay implemented the action
recommended?
你的分供方是否告知你改进措施并且他们确认执行推荐的措施？
• How do you evaluate effectiveness of corrective actions at your suppliers?
你如何评估分供商改进措施的有效性？
Examples: 举例：
Additional to the regular audits evaluation should be repeated in case of:
在下列情况下重复附加的定期审核评估：
• Re-location of production at the subcontractor
次承包者重新建立生产场地。
• New products/product group
新产品/生产团体
• Repeated instances of quality deficiencies
质量缺陷重复出现的情况。
Audit reports
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审核报告
G7
Do the applied methods ensure the quality of supplied products in
accordance with the zero defect strategy?
应用的方法是否能够确保得到的产品的质量是按照领缺陷战略执行？
Comments: 注解：
Does the supplier have a process to verify and control the quality of the products from their sub-suppliers?
供应商是否有过程，验证和控制分供方的产品质量？
G7a
Is there a process for controlling incoming material?
是否有来料控制过程？
Comments: 注解：
• How does your product and process approval work?
如何进行产品和过程的批准？
• How is the approval status identified?
如何确认批准状态？
• Which methods for monitoring of series production do you apply?
应用什么方法监督量产？
• How do you evaluate the affectivity of corrective actions after claims at your suppliers?
向你的供应商提出改进后是如何评估改进措施的有效性？
• How do you assess your supplier's capability of traceability?
如何评定你的供应商的追溯能力？
Examples: 举例：
• Receiving inspection audit
接收检验的审核
• SPC charts of their sub –suppliers
分供商的SPC图
• PPAP documents
PPAP文件
• Customer complaints
顾客抱怨
G7b
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Does the supplier have a process for suspected non-conforming parts throughout
the supply chain?
供应商是否有过程对整个供应链中的可疑产品进行控制？
Comments: 注解：
Can the supplier demonstrate traceability for non-conforming parts through the extended supply chain?
在整个扩展供应链，供应商是否能够证明对不合格品的追溯？
Examples: 举例：
• Sub-supplier ppm rate
分供商的PPM
• Corrective action request/ 8D or 7d report
要求的改进措施/8D或7 d报告
• Supplier quality score card
供应商质量评分卡
H - Cost Management 成本管理
Comments: 注解：
Cost management focuses on the process of quotation and cost reduction.
成本管理的重点是报价和缩减成本的过程。
Checklist Overview:
H1 Is the pricing based on customer requirements?
是否基于顾客的要求定价？
H1a What is the process for generating the piece price?
产生单价的过程？
H2 Are product costs permanently analyzed regarding changes?
是否对有关变更的产品成本进行永久分析？
H2a Does the supplier have a process to control the cost of changes by their suppliers?
供应商是否有过程，控制分供方的变更成本？
H2b Does the supplier have a process to analyze the cost of changes by their customers for product
and process?
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供应商是否有过程，分析由顾客产品或工艺变更造成的成本？
H3 Are suitable tools for evaluation of cost risks being applied?
是否应用恰当的工具评估成本风险？
H3a How does your cost controlling process identify risks caused by rescheduling, modified
specifications etc?
成本控制过程是如何识别重新计划、修改标准等造成的风险的？
H3b Is there a process to analyze and avoid excess material in the warehouse and at the workplaces?
是否有过程，分析和避免库房和工作场所存在过多材料？
H4 Does management have a process for evaluating the cost of nonconformance regularly?
管理层是否有定期评估不合格品成本的过程？
H4a Who is involved in tracking of nonconformity costs?
谁负责追踪不合格品成本？
H4b Does the organization reveal internally the loss caused by ineffective work and by supply of
defective products?
组织是否内部展示由于无效工作和提供缺陷产品而产生的损失？
H1
Is the pricing based on customer requirements?
是否基于顾客的要求定价？
Comments: 注解:
Is there a process for analyzing all customer requirements into the quotation?
是否有过程，在报价时分析顾客的所有要求？
H1a
What is the process for generating the piece price?
产生单价的过程？
Comments: 注解：
• All decisive cost elements must be determined and taken into consideration/generation of the piece price.
一定要对所有决定成本的因素进行确定、考虑并产生单价。
• The costs are compiled by the responsible divisions and are incorporated into the overall calculation.
成本由负责部门汇编并同全面计算相结合。
Examples: 举例：
Observation to: 观察：
• Cost breakdown?
成本细目分类
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• Cross-functional approach?
跨功能的方法
• Feasibility study
可行性研究
The individual cost elements contain, e.g.:
单个成本因素包括：
• Development costs
开发成本
• Material costs
材料成本
• Investments (including hardware/software)
投资（包括硬件/软件）
• Quality measures costs
质量测量成本
• Transportation costs
运输成本
• Packaging costs
包装成本
• Value-added portions
附加值部分
• Overhead
企业一般管理费用
H2
Are product costs permanently analyzed regarding changes?
是否对有关变更的产品成本进行永久分析？
Comments: 注解：
• What is the process for analyzing product or process change requests?
分析产品或工艺变更申请的过程是什么？
• Cost analyses must include if applicable the extended supply chain.
如果适用成本分析一定要包括扩展供应链。
H2a
Does the supplier have a process to control the cost of changes by their
suppliers?
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供应商是否有过程，控制分供方的变更成本？
Comments: 注解：
• Are changes evaluated concerning product cost and process cost?
是否对变更涉及到的产品成本和工艺成本进行了评估？
• Are the processes of cost consideration linked throughout the supply chain?
考虑成本的过程是否同整个供应链相连？
Examples: 举例：
• How are development costs controlled?
如何控制开发成本？
• How do you reach cost targets?
如何实现成本目标？
• Which methods do you apply for controlling?
应用什么方法控制成本？
Expectation: 期望：
cost calculation should be reviewed at major project milestones and in case of major changes of product
and/or process
在主要项目里程碑及大的产品或/和工艺变更时应重（审）查成本计算。
H2b
Does the supplier have a process to analyze the cost of changes by their
customers for product and process?
供应商是否有过程，分析由顾客产品或工艺变更造成的成本？
Comments: 注解：
• Are changes evaluated concerning product cost and process cost?
是否对变更涉及到的产品成本和工艺成本进行了评估？
• Are the processes of cost consideration linked throughout the supply chain?
考虑成本的过程是否同整个供应链相连？
Examples: 举例：
• How are development costs controlled?
如何控制开发成本？
• Change notices
变更通知
• Cost analysis sheets
成本分析单
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H3
Are suitable tools for evaluation of cost risks being applied?
是否应用恰当的工具评估成本风险？
Comments: 注解：
Does the supplier have a cost analysis process that follows the customer required/automotive standards of
cost break down?
供应商是否有成本分析过程，按照顾客的要求/成本分解的汽车标准？
H3a
How does your cost controlling process identify risks caused by rescheduling,
modified specifications etc.?
成本控制过程是如何识别重新计划、修改标准等造成的风险的？
Comments: 注解：
The supplier must have a process where defined risk must be cost evaluated?
供应商一定要有过程，对明确的风险进行成本评估。
Examples: 举例：
risks to be considered:
应考虑的风险：
• product liability,
产品责任
• warranty and goodwill,
担保和信誉
• project organization,
项目组织
• contingency plan
意外事件计划
H3b
Is there a process to analyze and avoid excess material in the warehouse
and at the workplaces?
是否有过程，分析和避免库房和工作场所存在过多材料？
Comments: 注解：
Does the supplier have a process to identify excess material at all areas?
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供应商是否有识别所有区域是否材料过剩的过程？
Note: 注：
This question refers to all phases of product realization. Excess material can be caused by engineering as
well as production control
这个问题指的是产品实现过程的所有阶段。过剩材料可能是由工程和生产控制产生的。
Examples: 举例：
• How is excess material identified?
如何识别过剩材料？
• What is the process to eliminate excess material?
消除过剩材料的过程是什么？
• What is the process to analyze the cost of excess material?
分析过剩材料成本的过程是什么？
H4
Does management have a process for evaluating the cost of
nonconformance regularly?
管理层是否有定期评估不合格品成本的过程？
Comments: 注解：
Internal losses (costs) are losses (costs) before delivery as a result of unacceptable quality.
内部损失（成本）是指：作为不可接受的质量交付之前所发生的损失（成本）。
They may arise from reduced work efficiency caused by rework, poor, ergonomics etc.
内部损失或许来源于返工、不良、工效等产生的工作效率降低。
They include also failure costs resulting from the non-fulfillment of quality requirements by a product prior to
delivery (e. g. duplicate activities, renewed production, rework, retesting, and scrap).
也包括产品交付前由于不满足质量要求（如重复活动、生产更新、返工、再次试验、废品）而导致的故障成本。
External losses (costs) are tangible and intangible losses after delivery, which are identified as resulting
from unacceptable quality.
外部损失（成本）是指由于不可接受的质量交付后产生的切实的和无形的损失。
Tangible losses are failure costs, which result from the non -fulfillment of the quality requirement by a
product after delivery (e. g. sorting, rework and repair, warranty performances and return, direct costs and
compensation, costs of product recalls, productliability costs).
切实损失是指产品交付后由于没有满足质量要求（如挑选、返工和修理、性能索赔和退货、直接成本和赔偿、
产品招回成本、产品责任成本）而产生的失效成本。
Typical intangible losses include, for example, lost future sales as a result of customer dissatisfaction.
典型的无形损失包括：例如由于顾客不满意造成的未来销售损失。
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H4a
Who is involved in tracking of nonconformity costs?
谁负责追踪不合格品成本？
Comments: 注解：
• Does the supplier have a process for tracking nonconforming costs?
供应商是否有追踪不合格品成本的过程？
• How are the costs of corrective actions evaluated?
如何评估改进活动的成本？
• Is internal and external loss recorded and analyzed?
是否记录和分析内/外部损失？
Examples: 举例：
• Are the results reported to the management?
结果是否向管理层报告？
• How often is this discussed?
多长时间讨论一次？
• How are corrective actions implemented?
如何执行改进措施？
• How are these evaluated?
如何评估？
• Customer ppm
顾客PPM
• Customer warranty
顾客索赔
• Cost recovery records
顾客修复记录
H4b
Does the organization reveal internally the loss caused by ineffective
work and by supply of defective products?
组织是否内部展示由于无效工作和提供缺陷产品而产生的损失？
Comments: 注解：
• Does the supplier have a process to identify internal nonconforming products and processes?
供应商是否有识别内部产品和工艺不符合的过程？
• Are those costs revealed internally throughout the organization?
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整个组织内部是否展示这些不合格造成的成本？
Examples: 举例：
Shop floor observation of cost reduction charts for:
车间现场观察成本减少的图表：
• scrap cost for reject parts,
退回零件的报废成本
• labor cost for rework,
返工的人力成本
• loss of labor cost for manufacturing of reject parts,
退回零件的人力制造成本损失
• labor cost for additional inspections,
附加检查的人力成本
• recovery requests from customers,
顾客的修复要求
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