WD STA 09 Supplier Quality Manual 010713

Supplier Quality Manual
Roots Industries India Limited

Kathirnaicken palayam road,
Thoppampatti
Coimbatore 641017
TamilNadu, India.
Website www.rootsindia.com

REVISION SUMMARY
Revision
No.
Change Description
New release
Environmental Policy added

Company name updated.
New Supplier acceptance
criteria added.
EMS requirements in
packaging and transportation
are added.
Supplier Delivery Rating
details modified
List of formats is added.

Thickness of the polythene
bag is changed from less than
20 Microns to less than 40
Microns
Target time for Containment
action of NC parts added
Implementation procedure for
Change Request from
Suppliers is modified.
Quality Policy Rev D is

updated.
Issue date
Remarks
12.01.2007
16.08.2010
01.12.2012
01.07.2013
WD/STA/09 Rev.C dated 01.07.2013
Page 1 of 30

CONTENTS
Foreword
03
Vision & Mission
04
Quality Policy
05
Environmental policy
06
1.
Introduction
07
2.
Supplier selection and approval process
08
3.
New Part /Process development
09
4.
Quality System requirements
11
5.
Control on Roots supplied Documents/Tools/Equipments
13
6.
Order placing (Purchasing / Sub contracting)
14
7.
Packaging and Transportation
15
8.
Incoming inspection controls in Roots
16
9.
Handling of Non conforming (NC) items
18
10.
Supplier performance monitoring (Quality & Delivery)
20
11.
Implementation of Engineering Changes
21
12.
Concessions/ Deviations / Change request
22
13.
Tier-II Supplier management
23
14.
Supplier Audits
24
15.
Records & retention period
25
16.
List of Documents / Formats
26
17.
Terms and Definitions
27
Page 2 of 30

FOREWORD
Dear Suppliers,
The need of improved product quality is more clearly recognized and accepted
through out the world now, than at any time in History. Worldwide competition
provides customers with a vast array of quality levels with competitive prices from
which to choose.
ROOTS has always maintained a leadership position on Quality and recognizes the
needs to improve product reliability and durability to higher levels with competitive
price to meet market demands.
As a part of Continuous enhancement of Quality, we are extremely happy to publish
this Supplier Quality Manual, which is to improve our products and to scale up our
customer satisfaction levels by introducing prevention oriented supplier development
program. This manual is expected to provide a good foundation for robust business
processes that are necessary for meeting competitive market challenges. We do hope
that this manual will not only help our suppliers to understand our performance
expectations, but also help us to leverage the supplier strengths in our march forward
in the quality journey.
Please feel free to contact us for any clarifications in this manual. We sincerely hope
that suppliers will extend unstinted support for our endeavor to become a world-class
organization and be our partners for success.
Think like the Customer and act like the Owner and Simplicity is the key to
efficiency are the mantras, which drive ROOTS to step into continuous success in
the competitive market.
We wish you long and fruitful association with ROOTS
With kind regards
K.Ramasamy
Chairman
ROOTS GROUP
Page 3 of 30
ROOTS VISION
To become a World Leader in any field that we

undertake.
ROOTS MISSION
To be valued as a company that understands Quality

and integrates it at every level to provide worldclass products and to offer outstanding values to our
Customers.
Page 4 of 30
Page 5 of 30
Environmental Policy
With due concern towards maintaining and improving the Quality of

Life, Roots is committed for sustainable development by minimizing
pollution and conserving resources.
This will be achieved through continual improvement in Environmental

Awareness of all employees & associates, Compliance to legal & other
Requirements and objective towards Environmental Protection.
K.Ramasamy
Chairman
ROOTS GROUP
Rev. Status: A
Date
: 18/03/2009
Page 6 of 30

1. INTRODUCTION
1.1 The purpose of this manual is
a.
To communicate to all Suppliers regarding ROOTS expectations and the minimum

requirements for assuring continuous quality supplies.
b.
To specify the procedures and the documents that Supplier has to follow inturn to
ensure Quality, Delivery, Cost and other requirements of ROOTS.
1.2 The manual is developed with a focus on

a.
Defect Prevention rather than Defect Detection
b.
Effectiveness & Efficiency in Roots supply chain
c.
Promoting Continual Improvements in Supplier sites
d.
Developing the suppliers towards Self-certification
e.
To maximize the profit of our suppliers by improving their efficiency and reducing
wastages
Page 7 of 30

2. SUPPLIER SELECTION AND APPROVAL PROCESS
2.1 Objective: To explain the procedure for inducting a new supplier into ROOTS and adding
new business to the existing sources of supply.
2.2 Procedure
The Suppliers are identified based on the requirements through Direct interactions / Customer
recommendations / Websites / Trade journals / Advertisements.
Supplier Evaluation Form is forwarded to the Identified Suppliers and the suppliers are
requested to submit the same duly filled. The Filled Supplier evaluation forms, received from
the Suppliers, are scrutinized based on the Technical, Commercial and regulatory
requirements.
Then, request for submission of quotations are sent to the scrutinized suppliers. Based on the
receipt of quotation and competitiveness, Suppliers are selected for evaluation.
2.2.1 General Evaluation Criteria:
a. Commitment towards the business with ROOTS and improvement policies
b. Production and support facilities
c. Inspection and testing facilities
d. Quality system and Continuous improvement initiatives
e. New product development capabilities
f.
Financial strength
g. Meeting of safety and other Environmental norms

h. Organization structure
i.
Performance with existing customers
j.
QMS certification and its adherence level
ROOTS team will conduct an on-site assessment/audit i.e. of basically intended to verify
supplier technical capabilities, capacity and operating system for adequacy and adherence of
the selected supplier.
Decision on the supplier for development of part / process can be Approval or Conditional
approval.
In case of conditional approval due to non-conformities during the assessment/audit, the
supplier shall submit a time bound action plan for correcting the non-conformities. ROOTS may
reject the business proposal if the nonconformities observed are not closed within the agreed
time.
Supplier Approval Criteria:
QMS ISO 9001 Third Party certification
Roots Audit score 82% minimum
Once the Supplier is approved by STA, Supplier code is given and Part / Process is approved
as outlined in NEW PART / PROCESS DEVELOPMENT.
Page 8 of 30

3. NEW PART/PROCESS DEVELOPMENT
3.1 Objective: To explain the system / steps to be followed by suppliers during the
development and approval of new parts/process.
3.2 Procedure
Supplier may form CFT (Cross Functional Team) for new part development and nominate
representative for interactions with ROOTS. The CFT shall include members from
Engineering, Manufacturing, Quality, Purchasing, Subcontractor and customer as required.
Supplier shall follow the APQP guidelines for New Part Development as per the latest edition
of APQP reference manual or as guided by ROOTS.
The steps followed by ROOTS during the development of new part / process.
Supplier shall
1. Interact with ROOTS after studying the Part Development drawing with the following
information:
a. Production feasibility of the part
b. Cost break up details for the part
c. Suggestions for improving Quality, Cost & Delivery (QCD)
d. New investment requirement, if any
2. Develop mutually agreed Time-bound project plan with Milestone for part/process
development after getting approval from ROOTS (The supplier may get and use Roots
specified formats).
3. Prepare Process Flow Diagram, Process FMEA, Control Plan and list of Process/Product
Special characteristics etc (Refer Guidelines of PPAP requirements WD/STA/05 issued
by Roots)
4. The Suppliers with proprietary design shall review completeness of Design FMEA with
ROOTS team along with the above requirements (Refer Guidelines of PPAP requirements
WD/STA/05 issued by Roots). The Supplier shall forward the proposal drawing and get
approval from ROOTS.
5. Prepare & submit the samples along with Inspection report, Material test report and
Performance test report as applicable.
6. Identify the Pass through characteristics along with the ROOTS CFT team and the
suitable controlling methods shall be deployed in their process.
7. On receipt of confirmation from ROOTS, the Supplier shall develop a detailed plan for
procuring the tools, gauges, test rigs, etc. required for mass production based on the
volume requirement indicated by ROOTS.
8. Develop Tools and facilities.
9. Conduct Process trials and validation.
10. Based on the Process trial & validation results take corrective actions and update the
control plan and other Engineering documents as applicable.
Page 9 of 30

11. After getting concurrence from ROOTS STA, conduct PTR (Refer Guidelines of PPAP
requirements WD/STA/05 issued by Roots).
12. Compile PPAP documents as per the agreed submission level and submit to Roots STA.
13. ROOTS STA will give the formal approval by signing off Part Submission Warrant (PSW)
after verification of all the requirements.
Page 10 of 30

4. QUALITY SYSTEM REQUIREMENTS
4.1 Objective: To give the requirements / expectation of ROOTS on Statutory,
Environmental and Quality System requirements to be implemented by the suppliers.
4.2 Requirements / Expectations
a.
Supplier shall comply with Government, Safety and Environmental regulations

applicable to the supplier process.
b.
The supplier shall comply with Quality Management System ISO 9001 latest revision
and be certified by 3rd party certification body. However, ultimate goal is to implement
ISO/TS 16949 requirements.
c.
Supplier shall immediately notify ROOTS if Quality certification is suspended or placed

on probation.
d.
The Non-ISO Supplier shall determine the action plan to obtain 3rd party certification
and shall forward the same to ROOTS.
e.
Supplier shall follow APQP guidelines for New Part/Process Development as per the
latest edition of APQP reference manual or as guided by ROOTS.
f.
Supplier shall follow PPAP guidelines for New Part/Process Approval and
Implementation of Engineering changes as per Guidelines of PPAP requirements
WD/STA/05 issued by ROOTS.
g.
The supplier shall identify the key indicators such as OEE (Overall Equipment
Effectiveness), FTT (First Time Through), PPM (Parts Per Million) etc.
h.
The supplier shall use Problem solving techniques like G8D, Why Why Analysis, Cause
and Effect diagram etc for Non conformance analysis and corrective actions. The
supplier shall use ROOTS recommended formats for the same.
i.
The supplier shall use appropriate Statistical tools in the manufacturing process to
ensure product conformity.
j.
The supplier shall determine and manage the Work Environment to achieve
Productivity and conformity to Product requirements.
4.3 General Guidelines for Supplier Quality System

a.
Supplier shall have Process flow diagram, FMEA, Control plan/Process sheet / Standard
Operating Procedure (SOP), Job instruction for operators, List of Checking aids,
Calibration of Instruments and its records, Setup and patrol inspection records,
Operator training and Motivation, Tool approval report, Tool history card with
maintenance details, Machine history card with list of Critical spare parts, Process
Validation records etc.
b.
Supplier shall display Production related information such as Process Flow Diagram,
Control plan / Process sheet / Standard Operating Procedure (SOP), Job instruction for
operators and Reference samples at workstation.
c.
The supplier shall implement Error Proofing system (Poka yoke) wherever required.
d.
The supplier shall have Employees skills assessment and Training programs based on
their skills. The supplier shall monitor the effectiveness of Training and give retraining
as appropriate.
Page 11 of 30

e.
Supplier shall ensure Good House Keeping by implementing 5S Practices.
f.
Supplier shall develop guidelines for Kaizen and Continuous improvements in Quality,
Cost and Delivery and shall monitor the targets for its achievements.
g.
The supplier shall identify a separate area for placing of Non Conformance (NC) items.
h.
Green card for Accepted items, Yellow card for NC/Doubtful items and Red card for
Rejected items or Routing card system are to be followed in all areas of the process for
effective Identification & Traceability.
i.
ROOTS recommends implementation of the Management techniques/ Tools like Quality

circle, Lean Manufacturing, Cellular manufacturing, TPM, Kanban, JIT (Just in Time),
BPR (Business Process re-engineering), SMED (Single Minute Exchange of Dies) etc for
mutual benefits.
j.
Supplier shall ensure MSDS (Material Safety Data Sheet) requirements as applicable
and Employee Safety and other general factory safety requirements.
Page 12 of 30

5. CONTROL ON ROOTS SUPPLIED DOCUMENTS/TOOLS/EQUIPMENTS
5.1 Objective: To specify the procedure for control / maintenance of ROOTS supplied
Documents / Tools / Equipments.
5.2 Procedure
a.
The Tools, Equipments, Drawings and Documents issued by ROOTS shall always
remain as the property of ROOTS.
b.
Supplier shall scrap/return the old Engineering Documents to ROOTS after receiving
the latest Documents.
c.
Master list of all items supplied by ROOTS shall be maintained. Ex: Press tools, PDC
dies, Plastic moulds, Machine tools, Inspection Equipments / Instruments.
d.
The Tools/Equipments received from ROOTS shall be maintained with proper

Identification and Traceability.
e.
The supplier shall not reproduce or disclose any information related to the items
manufactured by them to 3rd parties. Confidential information such as the patents,
Design, Drawings and all other information relating to the manufacture of the items
shall be maintained.
f.
The Supplier shall take responsibility of maintenance and calibration of the tools and
the gauges provided by ROOTS.
g.
The Supplier shall define and practice preventive maintenance schedule in coordination with Roots to achieve the intended tool life and part quality requirements.
h.
The Supplier shall maintain history card for all Dies and Press tools and shall submit a
copy of the same upon request.
i.
Further in the unlikely event of termination of the agreement for some reason or other,
the supplier shall return all Tools, Equipments, Drawings and all other related
documents to ROOTS.
Customer owned Tools supplied by ROOTS

In addition to the above general requirements, Customer owned Tools / Equipments supplied
by ROOTS shall be ensured for the customer specific requirements such as Identification,
maintenance, etc
Page 13 of 30

6. ORDER PLACING (PURCHASING / SUB CONTRACTING)
6.1 Objective: To enable the supplier to have effective production planning to meet ROOTS
supply requirements.
6.2 Procedure:
a. ROOTS shall release the Purchase order / Job order for the regular procurement once
the Suppliers part/process is approved by ROOTS - STA. The Purchase order / Job
order contains Order number, Part number, Part description, Required quantity,
Delivery date and other particulars as applicable.
b. Based on the monthly production schedule the concerned buyer department
(Materials/Subcontract) releases the monthly or weekly or daily schedule for the
concerned Suppliers as applicable.
c. Amendments if any to Purchase orders / Job Orders or schedules are communicated
to the Suppliers through Telephone/Mobile/e-mail/Fax/post/courier/ in person.
6.3 Supplier responsibilities:
a. Adequate communication facilities like Telephone, Mobile phones, Fax, and Computer
with Internet connection shall be made available. The facilities shall be upgraded as
and when required to meet the changing world.
b. Suppliers shall look at schedules released by ROOTS - Buyers for production planning
and shall ensure meeting of 100% delivery schedule.
c. The Supplier shall ensure the material received from ROOTS for quantity as well as
the damages and maintain suitable records.
d. The incoming materials received from ROOTS and Work In Progress (WIP) should
have proper identification.
e. In case of concern / likely to fail in meeting the confirmed scheduled quantity
requirements, supplier shall give prior notification to ROOTS-Buyers to avoid
stoppage in ROOTS production line.
Page 14 of 30

7. PACKAGING & TRANSPORTATION
7.1 Objective: To ensure safety of the components and timely delivery of scheduled
quantity to ROOTS.
7.2 Procedure:
1.
The supplier as per Delivery schedule shall ensure adequate inventory of finished goods.
2.
Material shall be delivered to ROOTS through Direct transportation / ROOTS vehicles as

agreed.
3.
Vehicles covered by Tarpaulin are only to be used to prevent from rain. Vehicle Emission
Certificate is mandatory for Vehicles
4.
The supplier shall deliver products in a suitable packaging approved by ROOTS in order
to prevent Damages and Quality problems.
5.
ROOTS recommends to use only reusable / returnable plastic crates / pallets / trolleys
/ PP boxes (collapsible) for packaging.
6.
Polythene bags of thickness less than 40 microns and usage of Stapler pins are not
permitted for ROOTS parts Packaging.
7.
Samples of the containers shall be submitted to ROOTS for approval. On approval of

samples, adequate containers shall be procured based on:
a. Lead time to supply.
b. Stock levels at ROOTS.
c. Lead time to receive empty containers.
d. Expected increase in volumes.
8.
Containers shall be always maintained in clean and good condition. The supplier shall
replace the containers damaged during circulation immediately.
9.
Labeling / Packaging slips / Tags attached with the delivered parts shall contain the
following information
a. Supplier name, Location and Supplier code.
b. ROOTS Part number and Part description.
c. Number of containers / Bags/ Cases.
d. Quantity despatched and Gross weight.
e. Expiry dates applicable to shelf life items such as but not limited to rubber items,
chemicals and paints.
10. As required by ROOTS Two bin system, KANBAN, Just In Time (JIT) are to be adhered
by the supplier
11. Protection to the components (if any) before packing shall be as per the agreed norms
with ROOTS.
Page 15 of 30

8. INCOMING INSPECTION CONTROLS IN ROOTS
8.1 Objective: To ensure effective controls at Incoming Inspection area of Roots.
8.2 Procedure
The Parts supplied by the supplier will be subjected to Inward Inspection and Acceptance is
given if the supplied lot meets all requirements as specified by ROOTS. If the lot does not
meet the requirements, the procedure HANDLING OF NONCONFORMING (NC) ITEMS is
followed
8.3 Supplier responsibilities:
The following reports shall be submitted along with the supplies as per the agreed norms:
Reports
S.No
Norms
Pre-Despatch Inspection Report (PDIR)
With every lot / as agreed
Material & Performance Test Reports
With every lot / as agreed
Process Capability Reports
Cpk value in PDI Report of

every lot or as agreed
Endurance test reports as per Drawing / Roots

Engineering Standard (RES)
As agreed during part

approval process (PPAP).
8.3.1 Pre-Despatch Inspection report (PDIR)

1.
The supplier shall perform Pre-Despatch Inspection for all dispatches and submit the
report in the prescribed format as per agreement of inspection during Part Approval
Process (PPAP).
2.
The supplier shall carry out 100% inspection for all appearance items for visual
defects and ROOTS specified sampling plan is to be used during Pre-Despatch
Inspection.
3.
Master Sample / Limit samples approved by ROOTS shall be used during the
verification of all visual checks and those samples shall be replaced as per validity
date.
4.
Pre-Despatch Inspection report shall contain certified inspectors Name & Sign.
8.3.2 Material / Performance / Endurance Test reports

1.
The supplier shall perform all tests and submit the reports with every lot / as agreed
during Part Approval Process (PPAP).
2.
If the supplier does not have the facility, the tests can be carried at the ROOTS
specified sources / NABL approved laboratories.
Page 16 of 30

8.3.3 Process Capability Reports
Supplier shall maintain process capability reports for Special characteristics (SC/CC/HIC
Refer TERMS AND DEFINITIONS) as specified in ROOTS Control Plan. ROOTS will verify
Process capability reports / Control charts whenever required.
Please refer Guidelines of PPAP requirements WD/STA/05 for Acceptance norms for
Process capability index (Cpk) and Process Performance index (Ppk) of the parameters.
Page 17 of 30

9 HANDLING OF NONCONFORMING (NC) ITEMS
9.1 Objective: To give guidance on Handling of Nonconforming (NC) Items
9.2 Procedure:
9.2.1 Non-Conformance in Supplier process
9.2.1.1 Purchase Suppliers
The supplier shall carry out In-process NC analysis and implement necessary Corrective and
Preventive actions. The supplier shall use the problem solving techniques like G8D, Cause &
Effect Diagram, Why-Why analysis etc. The internal rejection trend should show positive
results, which will be verified during the audit by ROOTS.
The supplier shall get approval from ROOTS before implementation of any engineering
change as a part of Corrective/Preventive action as per IMPLEMENTATION OF ENGINEERING
CHANGES.
9.2.1.2 Subcontract Suppliers
With all above activities specified for Purchase Suppliers, the supplier shall return the
materials along with NC analysis report periodically as specified by ROOTS.
9.2.2 NC at ROOTS Inward
1.
If ROOTS determines the received part is non-conforming, the suppliers

communicated through Telephone/ Mobile/ e-mail/ Fax/ post/ courier/ in person.
are
2.
The supplier shall reply for non-conformance within 24 hours through E-Mail/ Fax/
courier/ in person.
3.
After mutual agreement on non-conformance, parts will be moved to NC area, the

Supplier shall take the responsibility to collect back the material at their cost within 24
hours.
4.
As an immediate measure the supplier shall indicate the following within 24 hours
(Coimbatore Suppliers) and within 48 Hours (Out of Coimbatore suppliers) after receipt
of the information:
a. Containment action for the parts at ROOTS, at the supplier site and in transit.
b. Short term / Temporary countermeasure with time line.
c. Method of segregation or sorting.
d. Identification after segregation or sorting.
5.
The supplier shall submit Permanent Corrective & Preventive action report within 15
days after receiving the Quality Problem Report (QPR). The supplier shall use the
problem solving techniques like G8D, Cause & Effect Diagram, Why-Why analysis for
root cause analysis and Corrective action.
6.
The effectiveness of the implemented Corrective & Preventive actions shall be monitored
and updated to ROOTS.
Page 18 of 30

9.2.3 Line Rejection in ROOTS
1.
If there is any major line rejection noticed in Roots production line due to supplier parts,
the suppliers are communicated through Telephone/Mobile/e-mail/ Fax/post/courier/ in
person.
2.
The supplier shall attend the problem immediately so as the production of ROOTS is not
suffered (within 12 hours by Coimbatore suppliers and 24 hours by Outside Coimbatore
Suppliers after the receipt of the information).
3.
After mutual agreement on non-conformance, parts will be moved to NC area. The

Supplier shall segregate the available stock in all stages of ROOTS and take the
responsibility to collect back the defective material at their cost immediately.
4.
As an immediate measure the supplier shall indicate the following:

a. Containment action for the parts at ROOTS, at the supplier site and in transit.
b. Short term / Temporary countermeasure with time line.
c. Method of segregation or sorting.
d. Identification after segregation or sorting.
5.
The supplier shall submit Permanent Corrective & Preventive action report within 15
days after receiving the Quality Problem Report (QPR). The supplier shall use the
problem solving techniques like G8D, Cause & Effect Diagram, Why-Why analysis for
root cause analysis and Corrective action.
6.
The effectiveness of the implemented Corrective & Preventive actions shall be

monitored and updated to ROOTS.
7.
The loss occurred to ROOTS due to supply of defective parts and Value of Rejected /
Rework parts will be deducted from the supplier payment.
9.2.4 NC due to Customer Complaints / Warranty failure

1.
The suppliers are communicated through Telephone/Mobile/e-mail/Fax/post/courier/ in

person.
2.
The supplier shall analysis the Quality issues and shall submit Permanent Corrective &
Preventive action report within 15 days after receiving the Quality Problem Report
(QPR). The supplier shall use the problem solving techniques like G8D, Cause & Effect
Diagram, Why-Why analysis for root cause analysis and Corrective action.
3.
The effectiveness of the implemented Corrective & Preventive actions shall be monitored
and updated to ROOTS.
4.
The loss occurred to ROOTS due to supply of defective parts and Value of Rejected /
Rework parts will be deducted from the supplier payment.
Page 19 of 30

10. SUPPLIER PERFORMANCE MONITORING (QUALITY & DELIVERY)
10.1 Objective: To specify how Quality & Delivery performance of the supplier is monitored
in ROOTS.
10.2 Procedure:
The Performance of the supplier is monitored through their Quality and Delivery
performance. The Supplier rating is done every month and is communicated to the
respective supplier through Supplier Performance Report.
The rating is done as stated below
10.2.1 QUALITY RATING (QR)
Supplier Rejection or Rework PPM =
Rejected or Rework Quantity

--------------------------------- X 10, 00,000
Supplied Quantity
Quality PPM Target will be mutually agreed for every New Financial year and shall be
specified & monitored through Supplier Performance Report.
10.2.2 RESPONSE TIME
Response time for Quality issues is also monitored through Supplier Performance Report
against the set target.
10.2.2 DELIVERY RATING (DR)
Delivery rating is based on Failure of delivery commitment.

The Supplier Performance Report is sent to suppliers with an objective to improve their
performance both in Quality and Delivery. Suppliers shall submit Corrective action for
deviations in Quality and Delivery performance.
Page 20 of 30

11. IMPLEMENTATION OF ENGINEERING CHANGES
11.1 Objective: To specify the procedure for implementation of Engineering change to
running parts including Product and Process changes.
11.2 Procedure:
Supplier shall
1. Discuss with ROOTS with the following information after studying the change details
given by ROOTS.
a. Manufacturability of change
b. Effect on Capacity
c. Tool development / modification lead-time.
d. Tool modification / new tool development charges with break up
e. Associated cost effect with the detailed break up
f. Investment details for addition of facility, if any.
2. Proceed with the change only after receiving the Purchase order or Job order for revised
Part number or clear information on implementation from ROOTS authorized person.
3. Submit an action plan for sample development. Ensure regular supplies are not affected
during sample development / approval period.
4. Follow the procedure as per NEW PART / PROCESS DEVELOPMENT process for getting
change approval.
5. Finalize implementation date jointly with ROOTS, once the part approval is obtained.
Ensure sufficient stock levels are built up for smooth change over. In case of request for
immediate change over, discuss with ROOTS on disposal action/ exhausting of the old
components before proceeding with change over.
NOTE: No tools can be scrapped / modified without written consent of ROOTS
Page 21 of 30

12. CONCESSIONS/DEVIATIONS/ CHANGE REQUEST
12.1 Objective: To specify the procedure for handling Concessions, Deviations and Change
requests raised by suppliers.
12.2 Procedure:
12.2.1 Concession
If any concession agreed in product quality between the supplier and ROOTS, then the
supply should be made along with concession approval given by Roots.
12.2.2 Deviation
Supplier shall
a. Address to ROOTS regarding the potential concerns likely to affect supplies
b. In case of any suspected non-conformance already despatched, inform ROOTS with
clear description of the non-conformance and despatch details.
ROOTS will take further action based on the criticality of the deviation.
12.2.3 Change request / ideas for improving the existing supplies
The supplier shall submit Change request for improving the existing supplies through
Change Request form to ROOTS MTL / SUB.
Preliminary review will be done by MTL/ SUB and STA team. If it is found feasible in the
Preliminary review, Change request will be forwarded to ROOTS - Engineering Team and
feedback will be given to the suppliers by MTL/SUB. Once, the change is accepted by ROOTS
engineering team, the change shall be implemented as outlined in NEW PART / PROCESS
DEVELOPMENT.
Page 22 of 30

13. TIER-II SUPPLIER MANAGEMENT
13.1 Objective: To provide minimum requirements / guidelines for managing Tier-II
suppliers.
13.2 Procedure
The supplier has to comply the following requirements on Tier-II supplier management.
13.2.1 Supplier Responsibilities
a.
The supplier shall maintain master list of Tier-II suppliers with clear details of the
operations carried out.
b.
A copy of the Master list of suppliers shall be submitted to ROOTS along with PPAP for
all ROOTS parts.
c.
Procurement of Raw materials by the Tier-II suppliers only from mutually agreed
sources.
d.
Special processes like Plating, Powder coating, Painting, Heat treatment etc shall be
processed only with the mutually approved sources.
e.
Information shall be given and the approval to be obtained before any change of TierII supplier and change in process as per PPAP guidelines.
f.
Performance of
improvement.
g.
The data on production capacity for the parts supplied by Tier-II suppliers shall be
maintained.
h.
Supplier best practices shall be deployed to Tier-II suppliers on periodic basis.
i.
QMS certifications like ISO 9001:2000 for Tier- II is to be encouraged.
all
Tier-II
suppliers
shall
be
monitored
to
ensure
continual
Page 23 of 30

14. SUPPLIER AUDITS
14.1 Objective: To verify the compliance of the Supplier Process / Quality System for
ROOTS requirements, corrective actions for past failures and to enable / support towards
continual improvement.
14.2 Procedure
a. ROOTS will conduct as per Audit check list to ensure Supplier Process / Quality
System requirements meets ROOTS requirements.
b. The audit frequency may be once a year or more depending on how the supplier
meets the performance targets. Supplier audits are scheduled based on the Supplier
rating, Line rejection and Customer complaints.
c. Roots customer may carry out audit at the supplier site. This audit may be scheduled
or Issue based.
d. In case of any major Quality / Delivery problem reported on the supplies, ROOTS may
decide to carry out detailed audit on process on immediate basis.
e. ROOTS will communicate the non-conformities / findings, areas of concerns that
require improvement after the audit.
f.
Supplier shall forward the time bound action plan for closure of non-conformities and
notify ROOTS on the progress made.
g. The corrective actions taken by the Supplier are monitored for its effectiveness.
h. The supplier will be block listed from the active list if improvements are not noticed as
applicable.
Page 24 of 30

15. RECORDS & RETENTION PERIOD
15.1 Objective: To provide minimum requirements / guidelines for retention of the
documents and records.
15.2 Procedure
Supplier shall have procedures for Documents and Data control and shall implement the
same effectively. This includes documents of external origin, such as standards and
customer drawings, to the extent needed.
The records shall be legible, readily retrievable and stored properly.
The minimum retention period for various types of records have been specified in the below
Table. The records shall be made available to ROOTS for verification on request.
S.No
Type of Record
Example
Minimum
Retention Period
Engineering
Documents
Drawings, Control Plans,

Engineering Standards, Material
Specification etc
For the life of the

Product + 1
Calendar year.
Product / Process
approval records
PPAP Documents, Tool Approval

report & Master Samples.
For the life of the

Product + 1
Calendar year.
Other records
related to Product
/ Process
Corrective and Preventive action

reports, Set up & Patrol Inspection
records, Calibration Records, Tool /
Machine maintenance & History
card, Periodic Validation test
reports, etc
Two Calendar
Years.
Purchase / Job
order transaction
Records.
Purchase/Job orders, Tool /

Equipment transaction slip and
other related documents.
Two Calendar
Years.
1
2
Note: Specific requirement on the records based on our customer requirements will be
informed during Production Part Approval Process (PPAP), which shall be maintained.
Page 25 of 30

16.
List of Documents/Formats to be collected from ROOTS.
16.1 Documents
1. Guidelines of PPAP requirements - WD/STA/05.
2. Supplier Part Approval requirements After Market & Industrial Automotive
Applications WD/STA/06.
3. Guidelines for Supplier FMEA - WD/STA/08.
16.2 Formats
1.
2.
3.
4.
5.
6.
7.
8.
9.
APQP Timing Plan for Supplier Parts-MR/184

Change Request from Suppliers MR/679
Process Flow Diagram-MR/680
Control Plan-MR/681
Process FMEA-MR/ 682
Initial sample evaluation report-MR/683
Part Submission Warrant-MR/684
Process Capability study report (Ppk & Cpk)-MR/173
8D report-MR/617
Page 26 of 30

17. Terms and Definitions
17.1 Abbreviations
APQP
BPR
CC
CFT
DFA
DFM
DOE
FMEA
FTT
HIC
ISO
JIT
MFE
MSA
MTL
OEE
PPAP
PPM
QLA
QPR
SC
SMED
SPC
STA
SUB
TPM
TS
WIP
Advance Product Quality Planning

Business Process Re-Engineering
Critical Characteristics
Cross Functional Team
Design for Assembly
Design for Manufacturability
Design of Experiments
Failure Mode Effect Analysis
First Time Through
High Impact Characteristics
International Organisation for Standardisation
Just in Time
Manufacturing Engineering Department
Measurement System Analysis
Materials Department
Overall Equipment Effectiveness
Production Part Approval Process
Parts Per Million
Quality Assurance Department
Quality Problem Report
Significant Characteristics
Single Minute Exchange of Dies
Statistical Process Control
Supplier Technical Assistance Department
Subcontract Department
Total Productive Maintenance
Technical Specification
Work In Progress
17.2 Definitions
Advance Product Quality Planning (APQP)
Advanced Product Quality Planning is a structured method of defining and establishing the
steps necessary to assure that a product satisfies the customer requirements. APQP reference
manual has been authored by Ford, Daimler Chrysler and General Motors and available
through Automotive Industry Action Group (AIAG).
Corrective action
The actions to eliminate the cause of a detected nonconformity or other undesirable situation.
Critical Characteristics (CC)
Critical Characteristic (CC) is defined as the Product Parameters, feature and Requirements
that affect compliance with Government Regulation or safe vehicle / Product function (such as:
Sound Pressure level, emissions, Noise, Radio frequency interference, etc) and require
special actions or controls which is to be addressed in the control Plan. The Critical
characteristics (CC) are denoted by the symbol << >>.
Page 27 of 30

Customer approved suppliers
The Suppliers who are recommended by the customer to procure the items/ services.
Error proofing
A manufacturing system that prevents the manufacture of nonconforming products.
First Time Through (FTT)

The percentage of produced products that directly pass all the requirements/specifications
without any rework or rejections.
Global 8 Discipline (G8D)

A problem-solving tool used to analyse the root cause of the problem and to eliminate its
reoccurrence.
High impact Characteristics (HIC)

High impact Characteristic is defined as the Parameter, which severely affects the operation of
the process or next operations if they are outside of the Specification tolerance. The High
impact characteristics (HIC) are denoted by the symbol
HIC
QMS ISO 9001

An International Standard, released by the International Organization for Standardization
(ISO), specifies the Quality Management System requirements.
QMS ISO/TS 16949
An International Standard, prepared by the International Automotive Task Force (IATF) and
Japan Automobile Manufacturers Association (JAMA) with ISO / TC 176, specifies the Quality
Management System requirements for Automotive Industry and its ancillary unit.
Kaizen
An improvement from the existing method/system.
Measurement System Analysis (MSA)

The method used to assess the quality of a Measurement system and to analyse the variations
between the Measurement systems that are used for verification of Product / Process
parameters.
Non-Conformance (NC)
Deviation from the specifications / requirement.
Page 28 of 30

Overall Equipment Effectiveness (OEE)
OEE is used to analyse the effective utilization of the plant resources. OEE is calculated by
using the formula
OEE = Productivity x Availability x Quality
Pass through characteristics
The Pass through characteristics is the characteristics that have impact on Performance of
Roots product and that could not be measured at Roots.
Production Part Approval Process (PPAP)
Production Part Approval Process is to ensure that all Customer-Engineering requirements are
understood by the organization and to demonstrate that the manufacturing process has the
potential to produce product consistently meeting the requirements during an actual
production run at the quoted production rate.
Preventive action
The actions to eliminate the cause of a potential nonconformity or other undesirable potential
situation.
Process Capability
The ability/capability of the process that produces the parts/products meeting the specification
with less variation.
Purchase Suppliers
The Suppliers, who supplies Raw materials, Components, Sub assemblies, Packaging materials
etc with materials against the ROOTS drawings / specifications.
Quality Problem Report (QPR)
The non-conformity report raised by ROOTS if any nonconformance noticed in the supplier
supplied product.
Roots Engineering Standard (RES)
The Standard released by Roots to convey Specific Engineering requirements of ROOTS.
Self certification Suppliers
The Supplier, who ensures consistent quality and delivery of the product by adopting the
required manufacturing methodologies and Quality system to ensure defect free products. The
product supplied by those suppliers will directly fed into assembly/production without any
inspection by ROOTS.
Page 29 of 30

Significant Characteristics (SC)
Significant Characteristic (SC) is defined as the Product parameters, feature and Requirement
that are important for Customer Satisfaction and for which the controls must be addressed in
the control plan. The significant characteristics (SC) are denoted by the symbol .
Special Characteristics
Product characteristics or Manufacturing process parameter that can affect safety or
compliance with regulations, fit, function, performance or subsequent processing of the
product. The Special characteristics are categorized according to the criticality of the function
as Critical Characteristics (CC), Significant Characteristics (SC) and High impact
Characteristics (HIC).
Statistical Process Control
Statistical method of controlling the manufacturing process by using statistical tools such as
Average range Chart (X bar & R Chart), Pareto analysis, Trend charts etc to prevent the
occurrence of Non conformance.
Subcontract Suppliers
The Suppliers, who provides services like Plating, Machining, Assembling etc for the materials
supplied by ROOTS against the ROOTS drawings / specifications.
Suppliers
The Suppliers who supplies Products or provides Services against the ROOTS drawings /
specifications.
Supplier Technical Assistance
The function that deals with Approval of ROOTS Suppliers, Production Part Approval Process
(PPAP) of suppliers, Periodic supplier site assessment and assisting the suppliers to resolve
their non-conformities & Continual improvement.
Validation
Confirmation of a product that the requirements for an intended use or application have been
fulfilled.
Verification
Confirmation of a product that the requirements have been fulfilled.
Page 30 of 30

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Supplier Quality Manual

Roots Industries India Limited

Supplier Quality Manual

Environmental Policy added

List of formats is added.

Quality Policy Rev D is

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

Vision & Mission

Supplier selection and approval process

New Part /Process development

Quality System requirements

Control on Roots supplied Documents/Tools/Equipments

Order placing (Purchasing / Sub contracting)

Packaging and Transportation

Incoming inspection controls in Roots

Handling of Non conforming (NC) items

Supplier performance monitoring (Quality & Delivery)

Implementation of Engineering Changes

Concessions/ Deviations / Change request

Tier-II Supplier management

Records & retention period

List of Documents / Formats

Terms and Definitions

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

With kind regards

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

To become a World Leader in any field that we

To be valued as a company that understands Quality

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

With due concern towards maintaining and improving the Quality of

This will be achieved through continual improvement in Environmental

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

To communicate to all Suppliers regarding ROOTS expectations and the minimum

1.2 The manual is developed with a focus on

Defect Prevention rather than Defect Detection

Effectiveness & Efficiency in Roots supply chain

Promoting Continual Improvements in Supplier sites

Developing the suppliers towards Self-certification

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

g. Meeting of safety and other Environmental norms

Performance with existing customers

QMS certification and its adherence level

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

Roots Industries India Limited

WD/STA/09 Rev.C dated 01.07.2013

Supplier Quality Manual

Roots Industries India Limited