Supplier Quality System Audit Check Sheet

Shivani (Auditor) Team Members

Supplier Name & Address

Supplier Number / Vendor Code

Audit Date

Date of last Audit Supplier (Auditee)Team members :-

1. System

2. Product

3. Process

Supplier Quality Management System Certification Register and Date of Certification Expiration

ISO 9001:2015

IATF 16949:2016

ISO 14001:2015

ISO 45001:2018 / OHSAS 18001:2007

(1) Quality Management System/ Environment /safety*

S.No. Check Points / Requirements Score N/A Audit Observations / Re

Whether the supplier have QMS certification and QMS certification having ISO 9001 certification have IAF
1 accreditation (If certified to ISO 9001)?

2 Organization chart made with clearly responsibility of individuals quality functions?

Is the system defined for Internal Audit & Internal System Audit done as per the defined frequency with
3 timely closure of the action plan?
Is the system audit done by competent auditor & is there any competency of the auditor defined &
4 maintained?
Is there a plan for Process & product audit & the audit is being conducted as per the defined frequency with
5 timely closure of the action plan.

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 S.No. Check Points / Requirements Score N/A Audit Observations / Re

6 Customer /Product/Process requirement adhered in quality manual /Procedure/Format/WI

7 Is special controls on product safety are monitored & adhered in the Control Plan / Formats / WI?

8 Has the supplier obtained necessary license/legal requirement , as applicable to govt Rules/Regulation

Are working person having environmental awareness/knowledge of PPE/Safety Equipments installed across
9 plant.

(2)Management Review
Is there management review plan available & management review is done by the top management as per the
10 plan?
Are all the required agenda of management review as per ISO 9001:2015 / IATF 16949:2016 covered during
11 the management review?

12 Are all the departments have their KPI /Objectives in line with Quality Policy?

13 Are the action taken against the failure of the defined objectives / KPI?

Continual improvement-Kaizen trends chart for customer defects, Internal rejection external, sale value,poka-
14 yoke,List of Improvement made.
Are Schedule V/S Delivery being monitored on daily basis & visulised,Gaps for non adherence of schedule is
15 recorded & analyzed.

(3)Documents Control & Change Management*

Are latest drawing ,SOP,PFD,PFMEA, Control plan,Inspection standards/PQCT available and is the same is
16 updated based on failures (Internal / External) and the current revision no. is reflected on each documents
based on revision?

Supplier have a record retention process as defined by the Customer?

17 (Minimum 3 Years & 11 Years for Safety Parts)
Suppliers FMEA's and Control Plan's match the Process Flow diagram & process are as per the actual
18 processes? (One Line Process audit verification)
Is there rules for providing Information to customer in case of any 4M change point in process/product &
19 approval / PSW taken before implementation?

(4)Raw Material inspection

Raw material test certificate are being received from sub-suppliers & compared with applicable raw material
20 standard.

21 FIFO mechanism followed at raw material stage.

Third Party Test for raw material plan made (From External NABL lab) & execution is being followed & records
22 are evident

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 S.No. Check Points / Requirements Score N/A Audit Observations / Re

(5) In process inspection

23 Is there system of first pcs /set up approval ?

Is set-up parts identified?

24 Is there rejection record available for set-parts being used?

25 Is there in periodic process inspection is being followed and records are evident ?

Is work instruction been prepared for all Processes & displayed at the point of use? Also all the work
26 instructions are available in local language for operator understanding?

27 List of Measuring and Monitoring equipment are made and Calibration record of same available.

Availability of all required fixture ,Tool, Gauges, on shop floor at defined location.
28 Inspection Jigs / gauges / Panel Checkers are controlled and periodically validated.

29 Are all the processes are controlled as per the PCS & Control Plan?

30 Are Process capability (cp,cpk),studies conducted on identified SC/CC characteristics.

Are Recent quality issues is being displayed in the form of one points lesson/Quality alert during inprocess for
31 operator awareness

(6) Final Inspection and Testing

32 Is final inspection area defined for inspected/non-inspected/reject/hold parts?

Are updated WI/OPS/Defect Chart available at final inspection are displayed & inspectors are being following
33 the same?
Are Trained inpector available at the final inspection & Testing & aware about the latest issues & monitoring
34 of the same is done by the inpectors?

35 Are limit/master samples available at identified working location.

36 Does the supplier inspect and test in process product as per control plan /Final inspection standard?

37 Are containment and 100% inspection being done and recorded In case of suspected lot?

38 Are all the parts being send to the customer are pre-inspected before sending to the customer?

39 Outsource processes carried by suppliers are audited in planned manner

(7)Inspection Measuring and Test Equipment / Preventive Maintenance of Tool

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 S.No. Check Points / Requirements Score N/A Audit Observations / Re

40 List of measuring and monitoring equipment available with supplier and test equipment's are calibrated

41 Is the calibration plan available with the supplier for all equipment and followed effectively

Are history card are maintained updated for all instruments for gauges and instruments in case breakdown of
42 monitoring and measuring equipment.

43 Preventive maintenance plan of current financial year available and followed in planned manner

Is there any system to define PM frequency of tool/Jig/Fixture/Machine etc.and all the history card updated
44 based on the observed Failures?
Are Machine preventive maintenance and Predictive maint. check sheet are made as per process specific?
45 Is there checkpoint for special items i.e. Poka-Yoke/ Guide block etc.

(8) Training *

46 Procedure for operator and staff for education and training available

47 Training topic list & training contents are available.

48 Criteria of training need identification, and updation of skill matrix define

49 Training plan for operator staff made based on training needs identified

50 History of education is maintained and understanding level is checked after the education.

Are all the trained Operator & Inspectors are deployed on the line & regular updates on the failures are given
51 to the operators & Inspectors?

(9) Control of Non -confirming Product*

52 Is there standard procedure /flow chart for handling of non -conforming parts.

Customer complaint countermeasure implementation done or not. Action evident for reducing the external
53 issue.
Does the supplier clearly identified non confirming/suspect product and the quarantine area/Red tag area and
54 al the parts are marked in red Bin
Is Red bin analysis conducted on daily basis, & internal PCR issued for critical defect by CFT?
55 Does closing of PCR done timely & countermeasure monitored?

56 Is there any system for horizontal deployment of countermeasure taken?

57 Is there horizontal deployment of countermeasure available?

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 S.No. Check Points / Requirements Score N/A Audit Observations / Re

58 Is there any Abnormal Situations defined & followed?

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 S.No. Check Points / Requirements Score N/A Audit Observations / Re

(10)Storage at FG ,Packaging and preservation/First in First out

59 Storage is appropriate to prevent from outside environment,rain,dust,wind. Etc. at incoming store

60 Identification tag with receipt date are provided part/packing stored in store area.

61 Maximum stacking height limit defined in each area with stacking limit are clearly visible and followed

62 Do you ensure first-in-first-out, dirty mix up (Customer packing approval standard is available or not)

63 Part wise storage defined & sufficient bins are available for In Process/FG or not

64 Is there system available for monitoring Pemium Freight & action taken to reduce the same?

(11) Method of Sub-supplier Management

There is any mechanism for making Approved supplier list and review mechanism with controlling for
65 Approved supplier list.

66 Sub - supplier upgradation ( Education and Audit Plan ) is available.(Not applicable for Raw Material supplier)

67 Products received from sub-suppliers are checked and records are maintained.

(12)Quality Gate/Fire wall/traceability*

68 Critical to Quality check points/past Kakotora defined and monitored.

69 Initial supply product is clearly identified with displays for attention of operator and management.

70 Are the special control item and method during initial supply control period decided

71 Is required product identification maintained through all stages of production assy final storage and delivery

72 is there system of traceability/lot control available for the product from raw material to supplied products?

Total achieved Score

% Achieved

% Achieved in critical (*) check points

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 S.No. Check Points / Requirements Score N/A Audit Observations / Re

Criteria for Selection

Details Criteria
Audit Rating Rating Grade
New Supplier Regular Su
> 80%, total in critical
Above A Selected with action plan for improvement Action plan for improvement to be submitted
clauses > 60
60~80 %, total in critical Conditionally Approved,need action plan and evidences of closure and reaudit
Between B Action plan with evidences to be submitted a
clauses >40 within 2 months of closure

Not selected, to be improved until the score is 80% (Max. time available for
Below <60 % C Action plan with evidences to be submitted a
improvement is 6 months)

* Marks are criticla point & need special focus during audit and its sustainance has to be verified during the audit & action plan.
Rating Scale Description Action Plan Criteria
0 System not made 1. Action Plan to be submitted within 15 days working days of the audit
1 System made but not compliance 2. Closure evidences to be submitted within 30 working days after the audi
2 System made but not followed effectively at all stages.
3 System fully compliance
N/A Not Applicable.

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

r Quality System Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

ication Register and Date of Certification Expiration

t System/ Environment /safety*

Audit Observations / Remarks

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Audit Observations / Remarks

agement Review

rol & Change Management*

aterial inspection

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Audit Observations / Remarks

ocess inspection

spection and Testing

quipment / Preventive Maintenance of Tool

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Audit Observations / Remarks

) Training *

on -confirming Product*

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Audit Observations / Remarks

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Audit Observations / Remarks

g and preservation/First in First out

ub-supplier Management

e/Fire wall/traceability*

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Audit Observations / Remarks

ia for Selection
Details Criteria
Regular Supplier

Action plan for improvement to be submitted & to be verified in next system audit

Action plan with evidences to be submitted and verified

Action plan with evidences to be submitted and reaudit to be done within 2 months

action plan.
Action Plan Criteria
1. Action Plan to be submitted within 15 days working days of the audit
2. Closure evidences to be submitted within 30 working days after the audit.

Format No.: F040S047 DATE: 07 REV NO: 01.08.2018

 Supplier Process & Product Audit Check Sheet

Shivani (Auditor) Team Members

Supplier Name & Address

Supplier Number / Vendor Code Supplier (Auditee)Team members :-

Audit Date :-

Part Description:-

Audit Purpose:-

S.No. Check Points / Requirements Score Audit Observations / Remarks

1 Does the supplier have control plan for running parts?

2 Does the supplier carry out process as per control plan ?

3 Linkage of PFD,PFMEA,Control plan with process Work Instruction , Inspection Standards.

4 Adherance of process control standard / work instruction and Inspection standards in the process ?

5 Is the set-up approval/inprocess inspection followed or not ?

6 Adherance of process flow.

7 Availablity of measuring instruments as mentioned in control plan & is suitable for use in process?

Operator skill Matrix available suitable for work as per process defined , awareness of the operator for the
8 work & evaluation with On job training is done ?

9 Whether the machine are adequate for process & product or not ?

10 External issues recorded & implemented as per the corrective action submitted for external issues ?
S.No. Check Points / Requirements Score Audit Observations / Remarks

Does supplier carry out daily red bin analysis / internal issues implemented as per the corrective action
11 submitted ?

12 Is the 5'S maintained on shop floor ?

S.No. Check Points / Requirements Score Audit Observations / Remarks

13 Does supplier send PDIR along with each supplied lot?

PSW /PPAP of offloading are available with supplier and PSW sign off with customer must be available at
14 supplier.

15 Is there Pokayoke / Error Proofing defined in the process & verified during the start of the production?

16 Is CTQ / SPC identified for Process & Product & is it being monitored & action taken for improvement?

17 Availablity of fixture, tool and gauges with supplier and are calibrated.

Product Audit Observation

18 Observation
Specification
S1 S2 S3 S4 S5
a
b
c
d
e
Marks
Rating Obtained
%
Audit Rating Rating Grade Details
Above > 80% A Excellent (Green supplier)
Between 60~80 B Need Action plan
Below <60 C Required action Plan with Follow up audit to reverify the action plan
Rating Scale Description Action Plan Criteria

0 PFD /Control Plan / PFMEA not available / Not defined

1. Action Plan to be submitted within 7 days working days of th
1 Avaibility of PFD /Control Plan / PFMEA but not complaining at several places

2 Few observation for non compliance of the PFD /Control Plan / PFMEA
2. Closure evidences to be submitted within 20 working days aft
3 Fully compliance with PFD /Control Plan / PFMEA
Process & Product Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

Audit Observations / Remarks

Audit Observations / Remarks
 Audit Observations / Remarks

Details
supplier)
n
Plan with Follow up audit to reverify the action plan
Action Plan Criteria

1. Action Plan to be submitted within 7 days working days of the audit

2. Closure evidences to be submitted within 20 working days after the audit.

 Supplier

Supplier Name & Address

Supplier Number / Vendor Code

Audit Date :-

Part Description:-

Audit Purpose:-

S.No. Control Process Specification

Supplier Should Maintain:-

1. Process Control Plan
1 Process Control Documents 2. Process Control Sheet
3. Thickness Data Sheet
4. SST Testing Report

a) Conc. should been checked

b) Discarding frequency should be
decided per vol. of Material
c) Temp. & Timer should be maintained &
auto controlled.
d) Oil Contents should be checked &
2 Soak Cleaning
maintained less than 2%.
e) Air Agitation need to implement to
improve the Part quality as well as
Productivity.
f)Temperature sensors and heaters.

a) Contineous Water Rinsing should be

use which is suffient to rinse the Material
3 Water Rinsing Properly.
b) pH of water should be controlled and
maintained 11.3 to 16.8

Supplier Name & Address
Supplier Number / Vendor Code
Audit Date :-
Part Description:-
Audit Purpose:-
S.No. Control Process
4 Pickling Acid
5 Anodic Cleaning
6 Water Rinsing
Supplier
Specification
a) Conc. should been checked
b) Discarding frequency should be
decided per vol. of Material
c) Heavy Sludge should be Cleaned to
aviod the H2 Entrapatation
a) Conc. should been checked
b) Discarding frequency
should be decided per vol. of Material
c) Temp. & Timer should be maintained &
auto controlled. d) Oil Contents should
be checked & maintained less than 2%.
e) Air Agitation need to implement to
improve the Part quality as well as
Productivity.
f) TDS of water should be maintained less
than 500.
a) Contineous Water Rinsing should be
use which is suffient to rinse the Material
Properly.
B) pH of water should be controlled and
maintained 6.5 to 7.2.
 Supplier

Supplier Name & Address

Supplier Number / Vendor Code

Audit Date :-

Part Description:-

Audit Purpose:-

S.No. Control Process Specification

a) Ripple should be checked it should

be< 5%.
b) Contact Points should be Clean on
hour basis.
c) Contact Point Should be Tight &
Properly Clean.
d) Brightners & Additive should be added
as per ml/1000 Amp-hr.

e) No Gap should be allowed and

capacity of Filter should be 3-4 times of
the Vol. of Plating Bath.

f) No Metallic Impurities allowed in Acid

Zinc Bath
7 ( Acid Medium )
Zinc Bath.
g) Schedule of Treatemnt of Plating Bath
should be decided on Imurities basis in
Zinc Bath.
h) Treatment Should be done with Proper
Zinc Dust Treatment < Used Activated
Zinc Dust, Pack the Carbon in filter by
sucking of Mixture of Carbon & Water by
mixing in saparate bucket through the
Filter Pipes >
i) Anode Contacts should be free from
Iron Metal as their is a chances of Iron
Impurities generation
 Supplier

Supplier Name & Address

Supplier Number / Vendor Code

Audit Date :-

Part Description:-

Audit Purpose:-

S.No. Control Process Specification

a) D.M Water should be used in Drag out

and Water Rinse in Post Treatment.
b) Discarding Frequency has been
8 Drag Out and Water Rinse Bath decided as per Impurities Level.
c) pH & Conductivity of D.M Water should
be checked. pH should be 5.0-5..5 &
Conductivity should be <10us.

a) Auto Timer & Temp. Controller

11 Drying
should be adopted.

a) Validation of Calibration of Oven

should be done .
12 Baking
b) Auto Timer & Temp. Controller should
be adopted.

a) SST facility should be present at

supplier end.
b) Plating Thickness should be
13 Final Inspection
maintained min.8 Mic.
c) In-House Lab should be available at
Supplier End.
 Supplier

Supplier Name & Address

Supplier Number / Vendor Code

Audit Date :-

Part Description:-

Audit Purpose:-

S.No. Control Process Specification

a) Digital pH meter
b) Conductivity meter present at supplier
end.
c) Hydrometer
d) Pemp. indicators with controller
14 Facilities available
e)Oil separarting for degreasing bath

f)Chemicals for Pink test

g) DM water plantPlating
h) Effluent treatment plant.

a) Level of illumination and ventilisation

b) Acidic enviroment.
15 Visual Observations c) Lab in open
d) SOP defined at any process.

e) Chemical storage.

FORMAT.NO.F040S040 DATE REV NO. 15.05.2017

Supplier Plating Process Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

Veriafication
Observation C'measure Taken by Supplier Target Date
Satus
Supplier Plating Process Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

Veriafication
Observation C'measure Taken by Supplier Target Date
Satus
Supplier Plating Process Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

Veriafication
Observation C'measure Taken by Supplier Target Date
Satus
Supplier Plating Process Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

Veriafication
Observation C'measure Taken by Supplier Target Date
Satus
Supplier Plating Process Audit Check Sheet

Shivani (Auditor) Team Members

Supplier (Auditee)Team members :-

Veriafication
Observation C'measure Taken by Supplier Target Date
Satus