1038929 01 supplier pre-qualification assessment (1)

8/10/2019 1038929 01 Supplier Pre-Qualification Assessment (1)

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Audit No./Year:

Audit Date:

Company:

Address:

Process(es):

Products:

Total no. of employees: Employees in Quality dept.:

Main customer(s):

Quality Certifications: ISO 9001 certif. number Expiration: Certif. no:ISO/TS 16949 certif. number Expiration: Certif. no:ISO 14001 certif. number Expiration: Certif. no:Other certification available Expiration: Certif. no:

Assessment reason: Initial Audit for New Supplier

Follow up

Other:

Name Title Name Title

KSS Auditor(s):

Supplier Participants:

Assessment Summary:This audit Previous aud

Total Potential Score

Total Actual Score

Number of Improvement Items:

Overall Audit Score

Corrective Action Due Date:

Assessment Passed? Yes No (see comments below)

Corrective Action Required ? Yes No Total Pages:

KSS Quality First Manual acknowledgment:

* Partnership:** Complexity of product:

Supplier Management Acknowledgement KSS Auditors

Supplier Engineering Manager:Supplier Manufacturing Manager:

0

ImprovementAreas:

Best PracticeAreas:

0.00%

Supplier Pre-Qualification Assessment

503

Contractual Partner Simple/medium complexity parts

Yes - signed


2/18

Supplier Pre-Qualification Assessment Summary

Total ScorePotential Score Actual Score Overall

1.0 Management 27 0 0.00%

2.0 Waste Reduction 29 0 0.00%

3.0 Internal Auditing 29 0 0.00%

4.0 Customer PPAP 29 0 0.00%

5.0Corrective / PreventiveAction 20 0 0.00%

* 6.0 Engineering / Testing 41 0 0.00%

* 7.0 Program Management 21 0 0.00%

8.0 Procurement & Supplier Management 22 0 0.00%

** 9.0 Tooling / Machine 59 0 0.00%

10.0 Receiving Inspection 46 0 0.00%

** 11.0 Process Control / Traceability 108 0 0.00%

12.0 Measurement & Calibration 39 0 0.00%

13.0 Employee Orientation / Training 24 0 0.00%

14.0 Document Control / Records Management 9 0 0.00%

503 0 0.00%Total Score (%)

Criteria

Report no. 1038929 Rev. 01


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1

Supplier Pre-Qualification Assessment scoring summary



4/18

WeightScore

(0 or 1) Res

1.0 Management Review

1.1 Formal Management Review process exists, is conducted semi-annually (at a minimum), and coversall elements of the Quality Systems Manual applicable to the facility. 3

0

1.2 Key Measureables are defined, measured, tracked and action plans in place as needed. 3 0

1.3 Supplier PPM and on time delivery is tracked and a reporting system in place. 5 0

1.4 Customer PPM and on time delivery is tracked, and action plan in place as needed. 5 0

1.5 English Speaking ability of key person and key function. 5 0

Housekeeping & Working Condition

1.6 Housekeeping (offices, plant, labs warehouse, outside building, yard trailers). 3 0

1.7 Working conditions (Such as safety, health and environment, enough light for visual checks, noiseinspection in quiet areas)

3 0

27

0

Instructions: Assign score of 1 or 0 in Light Blue colored column.Score should be assessed based on 100% implementation of all aspects of each question.

Supplier Pre-Qualification Assessment1.0 - Management

Actual Score

Criteria


Deployment / Execution

0%


5/18

Supplier Pre-Qualification Assessment 2.0 - Waste Reduction

WeightScore

(0 or 1)Result

2.0 Waste Reduction

2.1 Scrap Analysis and Reduction process. 5 0

2.2 Formal, real time review, analysis champion and corrective action process for scrap - trendspositive. Pareto analysis for scrap with detailed and timely action plans for top pareto issues.

3 0

2.3 Downtime analysis and reduction process, Planned and Unplanned maintenance activitiesdocumented?

5 0

2.4 Formal, real time review, analysis champion and corrective action process for downtime -trendspositive. Pareto analysis for downtime with detailed and timely action plans for top pareto issues.

3 0

2.5 Downtime and Scrap issues are fed back to PM process. 5 0

2.6 Cost of Quality (COQ) Process. Pareto analysis of each element. 5 0

2.7 Detailed and timely action plans for top COQ pareto issues for each element. 3 0

29

0


Criteria

Actual Score



0%



6/18


7/18


8/18

Supplier Pre-Qualification Assessment 5.0 - Corrective / Preventive Action

Weight Score(0 or 1)

Result

5.0 Corrective & Preventive Action

5.1 All customer concerns are tracked, addressed and verified for internal and external closure.Responses submitted on time and accepted the first time.

5 0

5.2 Process/product issues systematically analyzed with team approach for structured problem solving,utilizing 5-Why, 8D or other required problem solving formats.

5 0

5.3 Repeat concerns are evaluated for management action and problem solving process improvement.CAR kept on file and verified for internal and external closure.

1 0

5.4 Corrective actions for concerns are addressed across similar products, processes and implementedas applicable

5 0

5.5Both formal and informal customer and supplier concerns are addressed. In process concerns aretracked and verified for closure.

1 0

5.6Formal continuous improvement program in place with project log and action item register withtarget and completion dates identified.

3 0

20

0


Criteria

Actual Score


0%




9/18

Supplier Pre-Qualification Assessment 6.0 - Engineering / Testing


Result

6.0 DFMEA Management

6.1 DFMEA's are cross functionally reviewed and approved prior to release 1 0

6.2 DFMEA's are released into document control initially and following all revisions 1 0

6.3 All "hard" or "control level" revisions to products require DFMEA update and release to the new level 1 0

6.4DFMEA RPN reduction actions are documented and completed where applicable - DFMEA is updatedto reflect completion of all RPN reduction actions.

1 0

DV / PV Reporting System

6.5Test plan development and approval process (internal and customer); is manufacturing feasibilityassessed on the basis of the requirements established for the product and process, on a cross-

functional level?

5 0

6.6 Build level and component suppliers / lot numbers are documented for DV and PV builds 3 0

6.7 PV build must be 100% production components (PPAP'ed) and off production processes and tools. 3 0

6.8Delta DV /PV all changes after initial full DV / PV. Team agrees on modified plan if full DV / PV is notnecessary

3 0

6.9Corrective and preventive action system for testing, including issue resolution and formal closure - forall DV / PV / Cert tests. Corrective actions completed within time requirements

5 0

6.10 All component design changes implemented via KSS SREA or approved by other customer. 5 0

Engineering Change Notice System

6.11 Post launch Design Change validation, approval and implementation process 5 0

6.12 All effected areas notified of change 5 0

6.13 Date of first production run with the change recorded. 3 0

41

0

Instructions : Assign score of 1 or 0 in Light Blue colored column.

Score should be assessed based on 100% implementation of all aspects of each question.

Criteria

Actual Score


0%




10/18

Supplier Pre-Qualification Assessment 7.0 - Program Management


Result

7.0 Customer Side Program Management

7.1Product launch process in place with established phases for completion and check sheets fortracking.

5 0

7.2 Metrics tracked (% pass on original date, % red programs, attendance) Actions taken 3 0

7.3 Evidence books complete with retention controlled. 1 0

7.4 Lessons learned recorded and records retained. 1 0

7.5 Detailed program timing plans exist, are updated regularly and distributed to all involved persons 3 0

7.6 Regular Program Team Meetings held to track and update development / launch timing plans 1 0

7.7 Program delay / risk escalation and recovery process 1 0

Supplier Side Program Management

7.8Supplier product launch process reviewed and tracked for timing; are the necessary resourcesplanned and available for the development of the project and are changes highlighted?

5 0

7.9 Action items registers with follow-up for quality and timing issues. 1 0

21

0


Criteria

Actual Score


0%




11/18

Supplier Pre-Qualification Assessment 8.0 - Procurement & Supplier Management

WeightScore

(0 or 1) Result

8.0 Supplier Selection Process

8.1 All suppliers must pass initial on-site Quality Systems survey before sourcing. 1 0

8.2 All suppliers are ISO 9001:2000 or TS 16949:2002 certified or have customer waiver. 5 0

8.3 Supplier Directory (Supplier status: Approved / Business Hold / Desource, quarterly updates) 3 0

Supplier PPAP process

8.4Supplier PPAP process (review checklist, all PPAP elements addressed, no marked prints, 100%compliance or approved SREA, no statements of conformance without raw data).

5 0

8.5 Dimensional verification of supplier data for CC / SC's 3 0

8.6 Follow-up system for rejected or interim approved PPAP's 1 0

8.7 PPAP Date Determination & Communication Process 1 0

8.8 Supplier Run @ Rate process (risk determination, witnessed / self certify status) 1 0

8.9 Supplier Run @ Rate status tracking, follow-up and resolution process 1 0

Supplier Performance Tracking

8.10 Supplier ratings distribution to supply base. 1 0

22

0


Criteria

Actual Score


0%




12/18

Supplier Pre-Qualification Assessment 9.0 - Tooling / Machine


Re

9.0 Preventive Maintenance / Tooling

9.1 Tooling Preventive Maintenance (PM) schedule available, Tooling work orders show PM is current. 5

9.2 Tool tracking system with tool number, location, usage, capability and rev. 3

9.3Tooling spare parts and perishable tools inventory list available and maintained including spare partlocation and reorder points.

3

9.4 Tooling reactive maintenance tracked for feedback for predictive maintenance. 1

9.5 Tooling design / construction standards. 5

9.6 Tool build / approval tracking. 5

9.7 Customer owned tools have clear identification. 5

9.8Equipment PM (Preventive Maintenance) schedule available. Equipment work orders showequipment PM is current.

5

9.9 Equipment tracking system available with equipment number, location, usage, capability and rev. 3

9.10Equipment spare parts inventory list available and maintained including spare part location andreorder points.

3

9.11 Equipment reactive maintenance tracked for feedback for predictive maintenance. 1

9.12Supplier change / tool move planning, validation & customer approval (supplier and KSS and toolingaudit initiated changes).

3

9.13 Equipment systematically requalified after maintenance / breakdowns 5

9.14 Maintenance / breakdowns documented and tied to lot traceability records. 3

9.15 Part related equipment marked with part number / engineering level. 3

9.16 Maintenance trouble log exist and posted at the machinery. 1

9.17 Machine control characteristics tracked / controlled at each machine. 1

9.18 Documented set-up / changeover Work Instructions exist. 3

9.19 Unreleased or unapproved equipment / tools identified and appropriately stored. 1

59

0


Criteria


Total Score0%



13/18

Supplier Pre-Qualification Assessment 10.0 - Receiving Inspection

WeightScore

(0 or 1)Result

10.0 Receiving Inspection

10.1 Receiving Inspection process (all direct material for PV and production are in scope) 5 0

10.2 Verification of current PPAP Approval for supplier and revision being received 3 0

10.3 Revision level inspected to is revision level ordered 3 0

10.4 CC / SC's checked at a minimum 3 0

10.5 Is all incoming raw material has the supplier self-inspection certifications? 3 0

10.6 For heat treated parts each box is verified for correct hardness. Dock-to-stock not allowed. 3 0

10.7 Plant component issue feedback to Receiving Inspection criteria 3 0

10.8Control Plan & Inspection Records Sheet available. Are incoming goods inspected systematicallyaccording to their specification and according to the control plan ?

3 0

10.9 Inspection Results Recorded, not just Pass / Fail or Accept / Reject 3 0

10.10 All rejected material is identified and moved to a quarantine area 3 0

10.11If any Dock-to-Stock Program defined, the part must be PPAP approved at current revision, noOpen NCR's, acceptable history, QA Mgr. approval, component criticality considered

5 0

10.12Material Review Board (MRB) Process (corrective action responsibility determination, materialdisposition). MRB Process includes QNs/NCRs dispositioned within 48 hours with follow-up andclosure tracking.

3 0

10.13 All supplier concerns are tracked, addressed, Corrective Action Report(s) kept on file and verifiedfor closure.

3 0

10.14 Supplier delivery issue resolution process (corrective action, follow-up and closure) 3 0

46

0


Criteria

Actual Score


0%




14/18

Supplier Pre-Qualification Assessment 11.0 - Process Control / Traceability

WeightScore

(0 or 1) Re

11.0 Core Documents

11.1 APQP documents cross linked by operation sequence and operation number. 5

11.2 PFMEA is updated for all process and design changes. 5

11.3 PFMEA being updated to include findings from internal quality as well as customer complaints. 3

11.4 PFMEA and Control Plan understood to be living documents & updated timely & appropriately. 3

11.5 PFMEA includes all processes from receiving to shipping. 3

11.6 RPN's reduction actions are noted and RPN's reduced accordingly. 3

11.7 PFMEA's are cross functionally reviewed and approved prior to release. 3

11.8 Control Plans are complete and followed at all times. 5

11.9 Control Plans include Prototype, Pre-Launch and Production control requirements, as required bythe customer.

1

11.10Control plans reviewed and updated as appropriate when any of the following occurs: product orprocess changes, processes are found to be unstable or non-capable, inspection method, frequencyis revised.

3

11.11 Process exists for the application of Statistical Methods, reaction plans and improvement 3

11.12 CP and PFMEA contain all CC/SC shown on the drawing and spec. 3

11.13 SPC used on all CC/SC's or equivalent where possible. 3

11.14 Action take when Ppk


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Supplier Pre-Qualification Assessment 11.0 - Process Control / Traceability

WeightScore

(0 or 1)

CriteriaDeployment / Executio

Management of Nonconformances at the Line

11.23 Clear identification and segregation of non-conforming and suspect material as well as control toprevent misuse.

3

11.24 Scrap / Rejected Material is identified at all times. Use of the rework or scrap containers understoodand documented for the operators.

3

11.25 Supervisor or Quality (not operators) control keys, remove defects from process and clear faults. 1

11.26 Scrap is removed from line every shift at a minimum. 1

11.27 Rejected Material is identified and moved to quarantine area immediately. 3

11.28 Procedures for rework clear and followed. Customer Approval Required. Reverification of parts

through production process when rework is needed.3

Operator Control

11.29 Detailed operator Instructions and Visual Aids exist, are visible and followed by all operators.Operators instructions reflect PFMEA and control plan.

5

11.30 Operators are responsible for the quality of their work. 3

11.31 Operators have the authority to shut down lines in the event of nonconforming parts. 1

11.32 Work In Process minimized. If operations are not bottlenecks, one piece flow being utilized. 3

Lot Traceability / Shelf Life Tracking

11.33Backward Traceability: Lot Traceability System provides traceability from finished product lotnumber / serial number to all process quality data, component / sub-assembly lot numbers andcomponent raw material lot numbers. Verify system by auditing a random component lot.

3

11.34Forward Traceability: Lot Traceability System provides traceability from component lot number to allsub-assembly and finished assembly lot / serial numbers produced, shipped and where / whenshipped. Verify system by auditing a random component lot.

3

11.35 First in First Out system used for shipping and for dispersing materials to production. Items used outof sequence must have documentation to show reason used out of sequence.

3

11.36 Shelf life tracking includes checking shelf life expiration dates prior to production and also checkingshelf life of inventory on an established schedule.

3

108

0


Total Score


0%


16/18


12.0 Measurement & Calibration

12.1 Supplier has Metrology capability in house. 5

12.2Supplier has the required equipment (CMM, Optical Comparator, Micro vu, etc) to properly check thefeatures on the parts we wish to source to them?

5

12.3Supplier has required expertise in house. (understand GD&T, ability to program and operate CMM,etc.)

3

12.4 Calibration control system exists for all gages (including manual gages) 3

12.5 All measuring devices have an unique identifying number and an inventory log is maintained. 3

12.6 Calibration frequencies are established and measuring devices reviewed are current. 3

12.7 Gages / Test Equipment / Standards are calibrated and the calibration data recorded. 3

12.8 Calibration instructions are controlled and in use. 3

12.9 Gage R and R studies are performed for the measuring devices, with acceptible results. 3

12.10 Master rejects and boundary samples included in calibration system. 5

12.11Outsourced calibrations are performed by accredited laboratories. Calibrations requested to beperformed by the accredited laboratories fall within the scope of the outside labs certification.

3

39

0


0%

Deployment / Executio

Supplier Pre-Qualification Assessment12.0 Measurement & Calibration

Criteria

Total Score



17/18

Weight Score(0 or 1) Result

13.0 Employee Orientation and Training

13.1 Job descriptions for all positions. 1 0

13.2 Required skill levels identified. 3 0

13.3 Comprehensive training program for employees by job classification. 3 0

13.4 Training of production operators prior to performing production operations. 5 0

13.5 Temporary employees trained the same as permanent employees. 1 0

13.6 Effectiveness of training is periodically reviewed and includes all employees / job functions 3 0

13.7 Skills matrix available for operators. 3 0

13.8On line operator has required skills to perform job based on skill matrix and can demonstrate jobknowledge.

5 0

24

0


0%


Supplier Pre-Qualification Assessment13.0 - Employee Orientation / Training

Criteria

Total Score




18/18

Supplier Pre-Qualification Assessment 14.0 - Document Control / Records Management

WeightScore

(0 or 1)Result

14.0 Document Control / Records Management Process

14.1 Document Control / Records Management process followed 3 0

14.2 Change Communication / Review / Signoff process 1 0

14.3 Distribution Process for revised documents. 1 0

14.4 Obsolete Documentation Removal Process. 1 0

14.5 Engineering change implementation, customer approval process followed 3 0

9

0

Criteria

Total Score

Total Potential Score0%
