AD-01101软件供应商质量管理要求2021.docx

TechnologywithVisionAD-011012021-05-11ntrolledcopywhenprintedHELLAGUIDINGPRINCIPLESFORSOFTWARESUPPLIERSAD-01101HELLAQualityManagementICONTENTS1 IINTRODUCTION41.1 DOCUMENTAPPLICABILITY41.2 DOCUMENTSTRUCTURE42 ISUPPLIERRATING:DETERMINATIONMETHODANDSIGNIFICANCE63 ISUPPLIEREVALUATION:QUALITYCRITERIAFORSUPPLIERNOMINATION93.1 SUPPLIERCAPABILITYANALYSIS93.2 POTENTIALANALYSIS93.3 SUPPLIERINITIALRATING：RELEVANCEANDVALIDITY104 ISUPPLIERDEVELOPMENTPROCESS:NECESSITYANDLIFECYCLE114.1 CRITERIAFORSUPPLIERDEVELOPMENT114.2 DEVELOPMENTPHASESANDEXPECTEDRESULTS115 SUPPLIERMONITORING135.1 Automotvespice®assessment135.2 TECHNICALREVIEW155.3 QUALITYEVALUATION165.4 SUPPLIERRATINGOUTCOME-STRATEGICSUPPLIERS176 IMETHODSOFSUPPLIERESCALATION187 APPLICABLEDOCUMENTS198 REVISIONHISTORY20AD-01101VERSION2021IHELLAGUIDINGPRINCIPLESFORSOFTWARESUPPLIERSWithinaworldofcontinuoustransformationfromhardware-drivenproductstosoftware-drivenelectronicdevicesandserviceinnovations,HELLAworkstoimproveitsorganizationalprocessesandtheskillsofitsemployeessothatitcancontinuetobealeadingplayerinthemarket(industry).StableandmaturedevelopmentprocessesareseenasabasicprerequisiteforfulfillingHELLA,szero-defectqualitypolicy.HELLAexpectsandstronglyencourageshissupplierstoadoptthesameprinciplesandmentality.Thus.HellaGuidingPrinciplesforSoftwareSuppliersprovidesengineeringserviceprovidersandthird-partysoftwaresupplier(hereinafterreferredtoas"supplier")withanupdatedstatementofthebasicqualityrequirementsthatHELLAexpectsthesuppliertomeet.HellaGuidingPrinciplesforSoftwareSuppliersencompassescontractuallyagreedrequirementsofHellaGmbH&Co.KGaA(hereinafterreferredtoas"HELLA"),guaranteeingcompliancewiththequalitycommitmentof'zerodefect(s)"ofprocessesandpartsofthesupplier.Apotentialsupplierconfirmsthatithasread,understoodandacceptedtherequirementsofHellaGuidingPrinciplesforSoftwareSuppliersbyplacingatender.41aniel WehsargHead of Rjrchasing CorporateDr. Christof HartmannHead of Corporate Quality ManagementDirk SchneiderHead of Quality Management Purchasing1 IINTRODUCTION1.1 DOCUMENTAPPLICABILITYTheapplicabilityofthisdocumentislimitedtothosesupplierswhich： areawardedwithaproject,and areexternaltoHELLA(noHELLAsubsidiary),and doesnotusetheHELLAprocesses.Thenominatedsupplierisentirelyresponsibleforthequalityofdeliveriesfromhisownsub-supplierswithwhomtheyengage.Also,thesuppliermustensurethattherequirementsofthepresentdocumentandAD-Ol100：HELLAStandardDevelopmentRequirementsforSupplier(HSDRS111)documentarealsofulfilledbysub-suppliers.Altapplicableadditionaldocumentsarelistedinchapter7.1.1 DOCUMENTSTRUCTUREThisdocumentdescribesthestepsandthelogicaldevelopmentoftheprocessofcooperationwithasupplier,startingwithitsselectioninthepre-contractualphaseandfollowingitsdevelopmentwithinthecontractualframework.Thecurrentdocumentiscomposedaccordingtothefollowingstructure：HELLAGUIDINGPRINCIPLESFORSOFTWARESUPPLIERSdescribesthecriteriathatasuppliermustfulfilinordertobeselectedforapossibleupcomingcooperationwithHELLAexplainsthenecessityandstepsofdevelopingasupplierexplainsthemonitoringofasupplierwithintheHELLAprojectsinwhichitisactiveSupplierRatingFollowingtheimplementationoftheactivitiesofSUPPLIEREVALUATION,SUPPLIERDEVELOPMENT(ifapplicable)andSUPPLIERMONITORING,asupplierratingisdetermined.TherelevanceandcorrespondingproceduresbywhichthisratingisdeterminedaredescribedinChapter2："SupplierRating：determinationmethodandsignificance".Beforeawardingacontracttoasupplier,itscapabilitiesmustbereviewed.Thisreviewismadebasedonmultiplecriteria.Variousactivitieswhichmustbeperformed,aredescribedinChapter3："SupplierEvaluation：qualitycriteriaforsuppliernomination".Onceacontracthasbeensuccessfullyawardedtoasupplier,thesupplierwillbepartofamonitoringprocesswithintheproject.Howthisprocessiscarriedout,theobligationsofthesupplierandtheimpactonhisratingaredescribedinChapter5："SupplierMonitoring".TheexceptionalconditionsinwhichthesuppliermaybepartofadevelopmentprocessaredescribedinChapter4："SupplierDevelopmentProcess：necessityandlifecycle".Theactivitiesdescribedinthisdocumentfortheevaluationofthesoftwarequalitycapabilityareassociatedwiththephasesoftheproductlifecycle,asshowninthefollowingdiagram.Also.HELLAcommunicationpartnersforthesupplierarespecified,dependingoneachphase：ProductLifeCycle：activitiesandcommunicationQuakyDewto9mentSoftwvQuJy Df*<opwtSoftwartQuMJty DevHcpnwntScftw<eProlHe4bPraHCtHrtUFXrchManQQMiityPre-DevelopcnentPrOdUCt Development卜“。”中I Senes ProductionAfter SalesSupplier EvaluationSuppber DevelopmentSupplier MomioringTechnical ReviewSuppber EscalationAlthough the monitoring of the supplier in the project, is carried out only within the 'Product Development" phase, the Technical Review- activities can continue until the end of the "Production series", or, if necessary. "After Sales" phase.2ISUPPLIERRATING:DETERMINATIONMETHODANDSIGNIFICANCEDeterminingtheratingofasupplierwillalwaysplayanimportantroleinthecooperationbetweenthesupplierandHELLA.Thisprovidesanoverviewofthesupplier'sdevelopment&qualityperformanceandprocesscapability.Theratingofasuppliercanbedetermined：a. Beforetheawardofacontractb. Duringprojectlifecycleofthedevelopmentprojectc. Duringthesupplier'sdevelopmentprocessd. Onevent,atanytimewhenthesituationrequiresit(e.g.severeproblems,highfailurerates)a. BEFORETHEAWARDOFACONTRACTBeforeawardingcontractstoseriesanddevelopmentsuppliersforwhichHELLAdoesnothaveavalidqualityassessmentoftheirsoftwaredevelopmentprocess,asuppliercapabilityanalysismustbeperformed.ThisanalysistargetsthesoftwaredevelopmentprocessandisperformedduringtheSupplierEvaluationphase.Followingtheevaluationphase,thesupplierwillbecategorizedaninitialHELLAspecificrating(seeChapter3).Thefollowingwillbeconsideredwhenevaluatingthesupplierrating：- DevelopmentcommitmentaccordingtoHSDRS,requirements- Supplierself-assessmentAutomotiveSPICE®(VDALiSa/SuSA)151- AutomotiveSPICE*AssessmentReport(fromsimilarpreviousprojects)- Potentialanalysisb. DURINGTHEDEVELOPMENTPROJECTTheSupplierMonitoringwillfocusontheprocessesthatwereidentifiedasbeinginscopeoftheprojectatthetimethecontractwasawarded.Dependingonthedurationandcomplexityofthedevelopmentproject,theevaluationmethodswillbedefinedatthebeginningofthecontractaward(seeChapter5).Sinceinthedevelopmentprojecttherearecausalandtemporaldependenciesbetweentheprocesses,thesupplierratingwillbeupdatedduringtheprojectlifecycle,consideringtheresultsoftheevaluations.Thus,thesupplierratingcanbeconfirmed,upgradedordowngraded.Methodsthatmaybeusedtoevaluatethesupplier'srating：- AutomotiveSPICE®Assessment- TechnicalReview- QualityEvaluationc. DURINGTHESUPPLIERDEVELOPMENTPROCESSIfasupplierreceivesaProbationratingsubsequenttotheevaluationprocess,itimpliesthatthesupplierhasagreedtofollowaSupplierDevelopmentProcess.Thismeansthatthesupplierundertakestocreateandimplementimprovementmeasurestoeliminatetheweaknessesidentified.ThisSupplierDevelopmentProcessmustbecoordinatedwithHELLAandmonitoredbyqualityresponsibles.Duringthisprocesstheratingofthesupplierwillbeupdatedaccordingtotheoutcomesoftheprogress.Methodsthatmaybeusedtoevaluatethesupplier'srating：6- Potentialanalysis- AUtoolspossibleusedduringtheDEVELOPMENTPROJECTd. ONEVENT/ATANYTIMEWHENTHESITUATIONREQUIRESITInsomecases,TechnicalReviewcanbeperformedatanystageofprojectdevelopment.Thisistriggeredbynonconformanceanddeviationsfromthespecificationatdeliverybutcanalsobeperformedasapreventivemeasure.TheresultobtainedafterTechnicalReviewiscategorizedanddisplayedbyacolorcodeindicator(seeChapter5).If,followingtheTechnicalReview,indicationsofnon-compliancecausedbythesupplierareidentifiedandthesearenotremediedwithinthetimeframeagreedwithHELLA,thesupplier'sratingwillbedowngraded.Theratingofthesupplier'ssoftwarequalitycapabilitycanbe"A","B,mB2","Cwor"P".Thefollowingtableexplainsthecorrelationbetweentheratingbasedontheprocesscapabilitylevelsandtheawardingofacontract：SUPLIERRATINGDEMANDSONTHEPROCESSCAPABILITY1.EVELCLASSIFICATIONCONSEQUENCEAAllprocessesreachProcessCapabilityLevel3ThesupplierperformsatoptimumqualityFollowingtheevaluation,thecapabilityofthesupplier'sprocessesprovedtobeoptimal.B1AllprocessesreachatleastProcessCapabilityLevel2ThesuppliermeetspartiallythequalitydemandsTheevaluationdoesnotrevealanymajorweaknessesinthesupplier'sprocessescapability,but(herearegapsassociatedWiththedefinedsetofstandardprocessesatorganization'slevel.B2Allprocss<sreachatleastProcessCapabilityLevel1ThesuppliermeetsconditionallythequalitydemandsSupplierevaluationidentifiesprocessqualityweaknessesinoneormoreprocesses.Theseweaknessesrepresentapotentialrisktotheachievementofproductquality.Therefore,additionalcomplementaryimprovementmeasuresarerequiredtomitigatesuchpotentialrisks.Ifthisratingresultsfromthesupplierevaluationphase,thesuppliermustundertakeadevelopmentprocessinordertobeawardedacontract.CAthastoneprocessh”ProcessCapabilityLevelOThesupplierisnotabletomeetthequalitydemandsSignificantweaknessesinprocessqualityareidentifiedinoneormoreprocesses.1. Iftheresultsoftheevaluationareavailablefromthesupplier'sevaluationphase,thesupplierwillonlybeawardedacontractafteranewre-evaluation(atintervalsofatleastoneyear)inwhichitdemonstratestheimprovementoftheprocessescapability.2. IftheCratingistheresultofthesuppliermonitoringwithinthedevelopmentproject(aratingdowngrade),thenthesuppliercarriesthepreviouslydefinedcontractualconsequences(Chapter6).Animprovementprogrammustbeimplementedimmediatelybythesuppliertoachievetherequiredprocesscapability.ThisprogramwillbemonitoredbyHELLAandare-evaluationwillbescheduled.Shouldtheresultsofthisre-evaluationalsorevealaCratingforthesupplier,thenthesupplierwillnolongerbecommissionedinthefuture.P-Probationrating：thsupplircanbusdconditionallyThisratingcanonlybeassignedasaresultofthesuppliersevaluationphase.Therating'P,reflectsthefactthatweaknesseshavebeenidentifiedinrelationtothedevelopmentprocesses.IfHELLAconsidersthatthesupplierhaskeycompetenciesandalsohasthepotentialtoimproveil$processes,thesupplierwillbeofferedtoundertakeadevelopmentprocess.Onlysuppliersthatundertakeadevelopmentprocessreceivethisratingandcanbeawardedacontract.Table1：CriteriafortheratingsbasedonprocesscapabilitylevelsTheratingvalueisnotonlyinfluencedbythecapabilityoftheprocessesaccordingtoASPICE.Theinitialsupplierratingisalsorelatedtothesupplier'sacceptanceoftheHSDRSrequirements.Dependingonthecomplianceratiothesupplierevaluationmightbecanceled,andsupplierCratingassignedaccordingly.Moreover,intheSUPPLIERMONITORINGphase,thesupplier'sperformanceintheprojectistakenintoaccountwhendeterminingthesupplierrating.3ISUPPLIEREVALUATION:QUALITYCRITERIAFORSUPPLIERNOMINATIONBeforesuccessfullyawardingacontracttoasupplier,HELLAwillensurethatthesuppliermeetsthenecessaryqualityrequirementstosuccessfullyperformtheassignedfuturetasks.Theanalysisistargetedonprocessescapability.Ifrequired,additionalassessmentswillalsobeconductedtoidentifyfunctionalsafetyandcybersecuritycharacteristics.3.1 SUPPLIERCAPABILITYANALYSISTheprocesscapabilitywillbedeterminedasanoutcomebythefollowingactivities：1. thesupplierwillcommittocarryoutthedevelopmentinaccordancewiththerequirementsofHSDRS.2. thesupplierwillconductaself-evaluation(Supplierself-assessmentAutomotiveSPICE®：SuSA)thatshouldbebasedonarecentAutomotiveSPICE®assessmentandacurrentjudgmentfortherequesteddevelopment.SuSAcanbedonebythesupplierfordevelopingprojects,orforprojectsalreadyinseriesproduction.Ifnoofficialassessmentisavailable,thesoftwareevaluationscarriedoutintherespectiveprojectsbytheprojectqualityassurancedepartmentinaccordancewithAutomotiveSPiCE®canserveasabasisforSuSA.3. thesuppliermustbeabletopresentavalidreport,concerninganASPICEassessment,issuedbyanaccreditedcertifyingcompany(3rdpartyaudit).Thisreportmustnotbeolderthantwoyears.4. Iftheoutcomesofthepreviousthreepointsdonotprovideaconclusivepictureofthesupplier'sprocessescapability,thePotentialAnalysisisusedasanadditionalqualificationtool.ThePotentialAnalysiswillfocusonevaluatingsupplierexperiencefromsimilarprojectsandthecapabilityofcoresoftwaredevelopmentprocesses.3.2 POTENTIALANALYSISThepotentialanalysisfocusesontheanalysisofthecoreprocesscapabilityaccordingtoAutomotiveSPICE®,namely：-SupportingProcessGroup： QualityAssurance ConfigurationManagement ProblemResolutionManagementandChangeRequestManagement ManagementandAcquisitionProcessGroup： ProjectManagement RiskManagement(ifapplicable) SupplierMonitoring(ifapplicable) SystemandSoftwareEngineeringProcessGroup： SoftwareRequirementsAnalysisSystemRequirementsAnalysis SoftwareArchitecturalDesignSystemArchitecturalDesign SoftwareDetailedDesignandUnitConstructionSystemIntegrationandIntegrationTest SoftwareUnitVerificationSystemQualificationTest SoftwareIntegrationandIntegrationTest SoftwareQualificationTestThepotentialanalysisisconductedbyHELLAassessorsatthesupplier'sdevelopmentsiteor.inspecialcases,viaonlinevideoconference.Thedurationofapotentialanalysiscanbeamaximumofthreedaysifconductedonsite.Ifconductedonline,thedurationmayvary.AcommondatefortheperformingofthepotentialanalysisistobeagreedbetweenthesupplierandHELLA.Inordertoavoiddelaysofthecontractawardprocess,thepotentialanalysismustbeacceptedwithinthenexttwoweeksfromthedecisiononitsnecessity.Non-acceptancemayresultinterminatingthecooperationwiththesupplierandassigningittotheCrating.3.3SUPPLIERINITIALRATING:RELEVANCEANDVALIDITYAftertheevaluationphase,thesuppliermayreceiveoneofthefollowingratings,dependingonthelevelofcapability： A-thesupplierperformsatoptimumquality BI-thesuppliermeetspartiallythequalitydemands B2-thesuppliermeetsconditionallythequalitydemands C-thesupplierisnotabletomeetthequalitydemands P-thesuppliercanbeusedconditionallyTheratingofasupplierreceivedasaresultoftheevaluationphasedoesnotremainvalidduringthedevelopmentproject.Itcanberetained,upgradedordowngradeddependingontheoutcomeoftheprocesscapabilitylevels(seeChapter5).ThesupplierswhohavereceivedtheB2orPratingaftertheevaluationphasewillnotbeawardedacontract,iftherecognitionofthetargetagreementandthecoordinationofthedevelopmentprocessdonottakeplacebeforetheawarddecisionoratthelatestsixweeksafterthequalificationresultisannounced.Asexplainedabove(Table1),asupplierthathasreceivedaBIratingcanbeawardedacorrespondingprojectofitsprocesscapabilitylevels.Onlyifthesupplieracceptsatargetagreementbasedonanagreementofthedevelopmentprogram,thesuppliercanbeassignedwithaprojectthatexceedsthecapabilityofhisprocesses.4 ISUPPLIERDEVELOPMENTPROCESS:NECESSITYANDLIFECYCLESupplierDevelopmentProcessprovidesanarrayofapproachesforidentifyingnon-compliantsuppliersandi