SUPPLIER ASSESSMENT
R/SD/04
Cover Page
PURPOSE OF AUDIT:
AUDIT DATE:
SUPPLIER NAME & ADDRESS:
AUDIT RESULT:
Audit Score null
Grade null
PREVIOUS AUDIT DETAILS:
Previous Audit Date
Previous Audit Score
AUDITOR/S:
Sr. No. Name Signature
AUDITEES:
Sr. No. Name Signature
GUDLINES FOR SCORING / GRADING:
Scoring Criteria for each questions :-
2 - Requirements fully complied.
1- Requirements partially complied.
0- Requirements not complied.
NA - Not Applicable
Grading Criteria:-
A Grade - Overall Score => 90%
B Grade - 80% =< Overall Score < 90%
C Grade - Overall Score < 80%
Requirement of Action plan:-
Supplier need to submit action plan for OFI, NC mentioned in the report within 8 days from the Audit Date
Questionnaire
Cl. No. Question for Assessment
A Product Development
1 Are the customer requirements available?
Is a product development plan available and
2
are the set objectives adhered to?
Has feasibility been determined on the basis
3
of all current requirements?
Has the design FMEA been performed and
4
have improvement actions been defined?
H+F2ave the respective activities at sub-
5 contractors been inspected and have proofs
been submitted?+G9
B. Process Development
Is a process development plan available and
1
are the set objectives adhered to?
Are all capacity requirements planned for
2
series production?
Has the Process FMEA been prepared and
3
are the improvement actions defined?
Has a Quality Management Plan been
4
established?
Has a pre-production run been carried out
5 under the conditions of series production for
the release of series production?
C. Supplier and Purchased Material Management
Are only approved and qualified sub-
1
contractors used?
SUPPLIER ASSESSMENT
R/SD/04
Questionnaire
Guidelines Score
Drawings, standards, specifications,Quality agreements,
Purchase order documents
Time Plan, Development plans of sub-contractors where
necessary.
Feasibility review, feedback to customer
DFMEA, Improvement Actions
Sourcing decision, Communication of Product details/test
requirements to sub-supplier
Process Flow Chart, Control Plan
Availability of RM, Qualified personnel, Production equipment,
tooling, facilities, inspection, measuring and test equipment
PFMEA, Improvement actions if any
Inspection sequence plan
Inspections at appropriate production stages
Clarification of acceptance criteria
Definition of minimum quantities,records of process
parameters, Initial sample inspection, Handling, Packaging
Supplier selection criteria, Approved Supplier List, QMS
Certification, Assessment of Quality Performance.
OFI NC
Is the quality of purchased parts assured as
2
per receiving standard?
Is the performance w.r.t. quality, delivery &
3 cost evaluated and are improvement actions
initiated in case of nonconformities?
Are the specification, PPAP & packaging
4
agreement available for all supplied products?
Are the stock levels of purchased material in
5
line with the production requirements?
Are purchased materials delivered and stored
6 appropriately with proper identification for
traceability?
Are the supplier audits carried out & action
7
plan taken in case of non conformities?
D. Personnel Qualification
Are responsibilities and authority assigned to
1 the personnel who control the product and
process quality?
Are responsibilities and authority assigned to
2 personnel with regard to the production
equipment and the production environment?
Are the employees qualified to complete the
3 defined tasks and is their qualification
maintained?
Are personnel perform / influence / confirm
4 the SC/CC characteristics, trained in their
responsibilities?
Does a personnel plan exist to meet
5
production requirement?
Is there a system for employee motivation and
6
is it used effectively?
E. Machinery / Equipment
Does the available production equipment and
1 tooling ensure that the quality requirements
for the product are met?
Incoming quality plan, Inspection & Test methods, Inspection
and test frequencies, Analysis of key nonconformities
Evaluation of the quality performance (quality / costs / service),
Communication to the suplier, Action plan in case of not
meeting the requirement
Sub supplier PPAP, Initial Sample report, Packaging
agreement, Declaration about declarable substances
Min max level, Reorder level & frequency, Procurement plan,
Scheduling to suppliers
Packaging Condition, FIFO (first in first out), 5S, Climatic
conditions MSDS, Identification (traceability), Prevention of mix
ups
Supplier audit plan, Audit reports, Communication of audit
report to supplier, Action plan for non conformities
For task -
Worker self-inspection, Process control,Quarantine authority
For task-
Order and cleanliness (housekeeping),
Rrepairs and maintenance (predictive/preventive)
Availability of parts, storage
Records of induction training, Training records, Knowledge of
the product and possible / process, Qualification record.
Personnel must be instructed about the requirement to adhere
to laws, effects of deviation/non-compliance, responsibilities,
information flow
Shift plan (contract related)
Qualification record (qualification matrix)
Improvement suggestions, additional training, quality circles,
Low absenteeism levels
Machine and process capability, Error proofing,
Warning mechanism to detect deviations from limiting
specifications, Maintenance plan, Suitability of loading and
unloading fixtures.
Can the quality requirements be effectively
2 monitored with the measurement and
inspection equipment used?
Are the work and test stations laid out
3
according to the process requirements?
Are the relevant details fully completed and
4 adhered to in the production and inspection
documents?
Is the appropriate equipment and tooling
5
available to support product changeover?
Is a release provided for start of series
6 production and are set up data and deviations
recorded?
F. Manufacturing / Parts Handling / Storage / Packaging
Are the production volumes planned in
1 accordance with customer demand and FIFO
maintained?
Has the process capability regarding the
SC/CC characteristics been proven or is a full
2
inspection performed in the absence of a
capability verification?
Are products and components handled with
3 appropriate transportation means and
appropriately stored ?
Is the process of handling Nonconfirming /
4 Suspect material defined and persons
responsible for this are aware of this process?
Are reject, rework, set-up parts and excess
5
material separated and identified?
Is the material and parts flow secured against
6
mixing/confusion and is traceability ensured?
Are the parts packed & stored as per
7
customer requirement?
Are tools, facilities, and inspection, test and
8
measuring equipment stored appropriately?
G. Failure analysis, corrective actions, continuous improvement
Measuring accuracy, measurement system capability
Calibration records for inspection, test and measuring
equipment
Ergonomics, Lighting, Order and cleanliness, Working
environment,Occupational health and safety regulations
Process parameters, Data regarding machines / tools,
Inspection and test specifications, Work instructions,
Inspection and test instructions
Set-up plans, Set up aids
Stoppage of the equipment, process interruption, Material
change (e.g., batch change), Changed production parameters,
First off inspection with documentation
Relevancy of parameter data
age / Packaging
Inventory, Minimal or no intermediate storage, First in first out
SPC for all the SC/CC characteristics
Appropriate transportation means, Protection from damage
Parts positioning, Order, cleanliness, overstocking,
Environmental influences, air conditioning if required
NC Management process, Work Instruction, Interview of
person handling this process
Quarantine storage
Identification for scrap, rework and set-up parts
Parts identification, Batch identification, Expiration dates, FIFO,
Removal of invalid identifications
Packaging standard
Packging Sign off with customer
Equipment/tooling storage, Defined storage areas,
Environmental influences, Identification
ontinuous improvement
Are quality and process data completely
1 recorded and in such a manner that they can
be analysed?
Are the causes analysed and is corrective
2 action initiated in the event of any deviations
from product and process requirements?
Is the required corrective action implemented
3 according to the deadlines and is its
effectiveness verified?
Are processes and products regularly audited
4
& continuly improved?
Are targets set for the product and process
5
and is their achievement followed up?
H. Customer Service and Customer Satisfaction
Are the customer requirements regarding the
1 QM system, product and process complied
with?
Is customer service guaranteed and are
2
complaints recorded and evaluated?
Are there contingency plans for ongoing
3 supply of parts and immediate actions taken
for problems?
Are all non-conformities analyzed and
4
improvement actions implemented?
Is the verification for legal requirements
5
evaluated by regular internal audits?
Does the packaging and the identification
6
comply with the customer requirements?
I. Change Management Process
Are the unexpected & planned change
1
defined clearly?
Is there a system defined for the change
2
management?
Rejection, Rework data, Control charts, Recording equipment
for process parameters, Equipment down times, Parameter
changes, Traceability
Deviations to dimensions, material and functional
Cause and effect diagrams , FMEA, failure analysis, Process
capability analysis, 8D method
Revision in PFD, FMEA, Control Plan, Work Instruction
Layered Audit, Product Audit report, Process Audit Report,
Corrective action against NC
Production OEE, COPQ, Audit Results, Process Capability
QM system certification, Quality agreements / standards,
Functional inspections
Records of customer visits, Knowledge about product
use/product problems, transportation complaints,
Communication of improvement actions
Emergency plans (e.g. for power failure, alternative
productions, sub-contractors, packaging, transportation), Use
of outside capacities
Analysis of the non-conformities (internal/external),
Involvement of all the relevant departments (internal /external),
Check of effectiveness
List for the declarable substances in the automobile industry
Suitability of the packaging, protection, Cleanliness,
Identification according to customer specifications, Position of
the identification, Removal of invalid identification
Change management process, 4M change
Change management process, Monitoring of change
management
Is the product quality recorded in the change
3 management process & is the tracebility
ensured?
Do you have process to manage the change
4
in outsourced parts?
J. Environmental Management
Does the organisation is ISO 14001 certified &
1
EMS system in place?
Does the organization have a valid Factory
2 License, Air Concent, Water Concent &
Concent to Operate?
Is company/organisation aware about the
3 legal requirements of concerned state
pollution control board?
Does the company/organisation
4 use/produce/handle any hazardous
material/chemical?
Does company provide and training on
5
Awareness of QMS/EMS?
Is company having any emergency
6
preparedness plan?
Test results, PPAP
Supplier audit report, PPAP, Change monitoring
Environmental awareness, EMS Procedures, EMS Certification
Factory License, Air Concent, Water Concent & Concent to
Operate
Pollution control board requirements and compliance
Storage of hazardous material, MSDS, Types of waste, Waste
management procedures, Waste disposal methods
Training plan, Training records,
Layout for emergency exit, assembly point, condition of fire
control equipments.
Total Assessed Points 0
Total Applicable Score null
Achieved Score null
Achieved Score % null
SUPPLIER A
R/S
Corrective Action Plan
SUPPLIER NAME : 0
AUDIT DATE : 30-Dec-99
Obs.
Cl. No. Audit Observation
Category
SUPPLIER ASSESSMENT
R/SD/04
Corrective Action Plan for Audit Observations
To be given by supplier
Root Cause Corrections
pplier
Target
Systematic Corrective Action Resp.
Date
Note : Action plan to be taken from the supplier within 8 days from the Audit Date
m the Audit Date
