Contract on Accident Investigation, Corrective and Preventive Measures for Quality, Environment and Occupational Health and Safety

1. Purpose

To conduct timely accident investigations for actual or potential non-compliant incidents related to product quality, environment, and occupational health and safety. The aim is to eliminate existing or potential non-conformance causes, implement effective control measures, prevent the escalation of incidents and reduce accident losses. Additionally, it involves reporting and handling incidents, identifying responsibilities, learning from lessons, reducing the probability of similar accidents, ensuring that similar issues do not recur, and preventing non-compliance.

2. Scope

This applies to the investigation and handling of quality, environment, and occupational health and safety incidents within the company, as well as the corrective and preventive measures taken for non-compliance.

3. Terms and Definitions

Incident: Any situation that has occurred or may occur, related to work, causing quality, environmental, occupational health damage, personal injury (regardless of severity), or death.
Accident: An event that results in property loss, personal injury, health damage, or death.
Emergency: A special type of incident.
Non-compliance or non-conformance: Failure to meet requirements.
Other term definitions can be found in GB/T28001-2011.

4. Responsibilities

3.1 The Quality Department is responsible for the organization, coordination, and centralized management of management-related incident investigations, non-conformance correction, and preventive measures in the QMS/EMS/SMS management system.
3.2 The Production Department is responsible for organizing, coordinating, and verifying the investigation of non-compliance incidents in the production process, as well as corrective and preventive measures.
3.3 Each responsible department is responsible for implementing their own corrective and preventive measures.

5. Content and Requirements

5.1 Corrective and Preventive Measures Management Process Flowchart

| Responsibility Unit | Record Form | Non-conformance statistics | Review non-conformance | Analyze and verify the reasons for non-conformance | Allocate resources to ensure non-conformance does not recur | Determine and plan improvement measures and plans | Implement improvement work | Verification confirmed | Evaluation of corrective and preventive measures | Standardization of improvement processes | Submit management review | |---|---|---|---|---|---|---|---|---|---|---|---| | All units | 'Problem Diagnosis Statistics Form' | 'Problem Diagnosis Statistics Form' | '8D Report' | '8D Report' | 'Corrective (Preventive) Measures Report' | 'Summary Report on Corrective and Preventive Measures' | | | | | |

5.2.1 Corrective and Preventive Measures Control Process

| No. | Process Block | Work Content or Standard | |---|---|---| | 1 | Non-conformance statistics | Each unit identifies dedicated quality management personnel to collect information on physically non-conforming quality, process violations, and user feedback, and promptly update the 'Problem Diagnosis Statistics Form'. | | 2 | Review non-conformance | 2.1 Input of corrective measures Quality information classification: A. Quality information feedback from end-user automobile manufacturers; B. Quality information of immediate concern to the company; C. Significant non-conformances (in terms of quantity and amount) occurring in the company's leading products; D. Quality information that significantly affects the company's annual quality objectives. Class B: Quality information other than Class A. Any unit receiving Class A quality information must transmit the information to the quality supervisor of the Quality Department within 4 hours, who will organize the handling of the information according to this procedure. Class B quality information is reviewed by the discovering unit to determine the order of non-conformance handling. 2.2 Input of preventive measures Each unit uses statistical techniques and the seven quality management tools to analyze statistical results, identify problems, and determine the reasons for improvement and prevention. Each unit identifies problems and determines the reasons for improvement and prevention using past experience and FMEA.| | 3 | Analysis and verification of non-conformance reasons | Based on quality information classification, the responsible person organizes a non-conformance handling team and uses the seven quality management tools to analyze the causes of non-conformance, or uses FMEA and CP for analysis, and then verifies and determines the causes of non-conformance. | | 4 | Review of resources to prevent non-conformance | Each working group reviews the causes identified in the analysis, evaluates the resources needed, estimates the improvement costs, and determines the order and progress of improvements. | | 5 | Determination and planning of corrective or preventive action plans | Based on the results of the analysis and verification, the working group develops corrective or preventive action plans and improvement work plans. | | 6 | Implementation of improvement plans | Under the organization of the group leader, the working group progresses the work according to the plan. The group leader regularly or irregularly checks the progress of the work. | | 7 | Verification and confirmation | 1. The group leader organizes the working group to verify and confirm the improvement work according to the plan, and retains relevant supporting materials. For measures confirmed as effective, the group leader arranges for personnel to institutionalize the measures and promote them to similar products or management processes. 2. For measures that are ineffective or have unclear effects, the improvement plan is re-evaluated, and reorganization and implementation are carried out. | | 8 | Evaluation of corrective and preventive measures | After confirmation, the group leader summarizes and evaluates the entire corrective or preventive process as an experience for project management improvement. | | 9 | Standardization of improvement processes | After completing the improvement work of this project, each group documents the effective measures and applies them to other similar projects. | | 10 | Submission to management review | Each unit compiles the implementation status of corrective and preventive measures for the month and submits it to the Quality Department. The Quality Department compiles the implementation status of corrective and preventive measures for the company on a monthly basis and submits it to the management review. |

6. Related Documents

6.1 QD7.5.1-2021 'Document Information Control Specification'
6.2 QD9.2.1-2021 'Internal Audit Control Specification'
6.3 QD9.3.1-2021 'Management Review Control Specification'

7. Related Records

7.1 QR10.2-01 '8D Report'
7.2 QR10.2-02 'Corrective (Preventive) Measures Report'
7.3 QR10.2-03 'Problem Diagnosis Statistics Form'
7.4 QR10.3-01 'Continuous Improvement Plan and Inspection'
7.5 Records related to reports, notifications, reports, contacts, and recordings
7.6 Records related to investigations, corrections, analysis, handling, identification, prevention, and verification
7.7 Records related to improvement, corrective action implementation plans, feedback on implementation, summary of rectification reports, and verification evaluations.

Contract on Accident Investigation, Corrective and Preventive Measures for Quality, Environment and Occupational Health and Safety