Supplier Name: Supplier Location: Vendor No:

Evaluation Date: Conducted By:

Preliminary Supplier Evaluation

GENERAL EVALUATION INSTRUCTIONS

Purpose This Preliminary Supplier Evaluation (PSE) is to

assess the supplier's technology and ability to produce a
quality product to Southco's standards.

Application To evaluate a supplier prior to awarding a contract or

adding to approved supplier list.

Please complete this form and fax to

at fax number by

* PLEASE SEND AN UP-TO-DATE COPY OF YOUR ORGANIZATION CHART.

Form 1315 - SCM Rev. G January 2010

 PRELIMINARY SUPPLIER EVALUATION
COMPANY OVERVIEW
SUPPLIER NAME:
SUPPLIER ADDRESS:
CITY, STATE, ZIP CODE:
SUPPLIER WEB ADDRESS:
PARENT COMPANY
AFFILIATES
YEARS IN YEARS
TITLE NAME E-MAIL ADDRESS PHONE NO. POSITION AT CO.

CEO/PRESIDENT
QC MANAGER
PLANT MANAGER
PROD. CONTROL
PROCESS ENGR.
PRODUCT ENGR
SALES
OTHER

1 ARE YOU ISO-9001:2000 CERTIFIED? IF YES, SEND COPY OF CERTIFICATE.

ISO 14000 IF NO, PLANNED DATE? REGISTRAR?
(Send copy of cert)
TS 16949

2 FACILITY SIZE (SQ FT)? NUMBER OF EMPLOYEES? AVG. YRS SERVICE?

YEARS IN BUSINESS?

3. EMPLOYEE TURNOVER RATE(%)? MANAGEMENT HOURLY

4. UNION REPRESENTATION? IF YES, NAME AND EXPIRATION DATE?

5 YOUR CURRENT PLANT UTILIZATION? % IMPACT OF SOUTHCO QUOTED BUSINESS ON YOUR PLANT?

6. HOW MANY SHIFTS PER DAY DOES YOUR PLANT NORMALLY WORK? DAYS PER WEEK?

7. WHAT IS THE GEOGRAPHICAL EXTENT OF YOUR BUSINESS?

8. WHAT TYPE OF PRODUCTS DO YOU MANUFACTURE?

9. WHAT INDUSTRIES DO YOU SUPPLY?

10, LIST YOUR PRIMARY IN-HOUSE MANUFACTURING PROCESSES:

11. NAME YOUR TOP 5 CUSTOMERS % OF BUSINESS PPM

** NOTE: - % = PERCENT OF TOTAL VOLUME PPM = RETURN + SCRAPPED + SORTS + REWORKS) X 1,000,000 / RECEIPTS

12. DO YOU HAVE SCHEDULED SHUTDOWNS? YES NO WHAT ARE THEY?

13. DO YOU CURRENTLY MANUFACTURE PARTS FOR THE AUTO INDUSTRY? YES NO

14. WHAT ARE THE TYPICAL TOLERANCES WITH WHICH YOU WORK?

15. STANDARD LEAD-TIME TO PPAP PARTS? WEEKS

NON-US COMPANY. IF YOU ARE A NON-US COMPANY AND WILL SHIP TO A US SOUTHCO FACILITY, YOU MUST
COMPLETE AND SUBMIT THE C-TPAT SURVEY FORM 1315D OF THIS SPREADSHEET

CALIBRATION OR GAGE SUPPLIERS STOP HERE. THOSE WHO ARE NOT ISO 17025 ACCREDITED MUST COMPLETE SOUTHCO
FORM 1315a AND RETURN WITH THIS SURVEY. SUPPLIERS ACCREDITED TO ISO 17025 MUST RETURN A CURRENT COPY OF
THEIR CERTIFICATE WITH THIS FORM.

HEAT TREAT SUPPLIERS STOP HERE. SIGN THE BOTTOM OF THIS DOCUMENT AND COMPLETE FORM 1315B OF THIS SPREADSHEET

PLATING SUPPLIERS STOP. SIGN THE BOTTOM OF THIS DOCUMENT AND COMPLETE FORM 1315C OF THIS SPREADSHEET

ISO/TS CERTIFIED SUPPLIERS STOP HERE. SIGN THE BOTTOM OF THIS DOCUMENT. RETURN THIS DOCUMENT ALONG
WITH A COPY OF YOUR ISO/TS CERTIFICATION TO SOUTHCO.

Form 1315 - SCM Rev. G January 2010

 QUALITY SYSTEM
Question Y/N Examples Notes
1. Is the supplier familiar with the following:
* PPAP? PPAP manual / packages
* Containment? Control Plan / Procedure
* Lab Accreditation? ISO 17025, A2LA
* Corrective Action System? Internal System
* Prototype? Documentation
2. Does the supplier use a disciplined problem solving
method? 8D, five step

3. Is there a planning process consistent with the Design Reviews, FMEA's, Control
elements of APQP? Plans, Timing Charts, Checklists

4. Does the supplier perform internal quality audits? Frequency, Documentation,

Corrective actions
5. Does the supplier use statistical Process Control
(SPC)?
6. Does the supplier use Measurement Process Control
System Analysis (MSA)?

PROCESS CONTROL
Question Y/N Examples List Examples and Exceptions
1. Are all interrelated processes in-house? Flow Diagram
2. Are control plans revised for product and process Control Plans compared to
changes or when processes are found to be product and process SPC Charts
unstable or non-capable? updated

3. Does the supplier utilize defect prevention SPC, Error Proofing, Visual
methods? controls
4. Work area chean and well organized? Adequate lighting

Process Steps State Control Plan / Inspection Criteria Verification/Effectiveness

Receiving Raw Material

Material Identifications

Nonconforming Material

In-Process

Final Inspection

Product Rework

Preventative Maintenance
Tools & Equipment
Calibration

Form 1315 - SCM Rev. G January 2010

 DESIGN CONTROL
Question Y/N Examples Notes
1. Does the supplier have the capability to design
CAD / CAM
products?

2. Capable of Electronic Data Transfer? Transfer Data

3. Does the supplier have a comprehensive prototype

Prototype Lab
program?
4. Is the supplier capable of converting prototype
Converted Tools
tools for production?
5. Does supplier use Finite Element Analysis Tools?

6. Does supplier use Design for six sigma or similar

tools?

Do you design and/or build your own tools? If yes, What percentage?

Do you perform your own tool maintenance? If yes, What percentage?

PURCHASING
Question State Plan / Procedure Verification/Effectiveness

1. How do you qualify your suppliers?

2. How do you rate your suppliers?

3. Are you EDI capable?

FINANCIAL STABILITY
Question State Details
1.
Have you declared bankruptcy or changed
majority ownership in the last 3 years?

2. List your current ratio, % revenue into R&D,

and % growth in last 5 yrs

COST REDUCTION
Question State Details
1. Do you have a cost reduction program
(internal/external)?

HANDLING, STORAGE, PACKAGING, & DELIVERY

Question Y/N Examples Notes
1. Does the supplier currently deliver orders to the
Documentation
US, UK, and Asia?

Question State Plan / Procedure Verification/Effectiveness

1. What are the supplier's current shipping
methods?
2. What is the supplier's current inventory
management system?
3. How many days of finishd product inventory
is on hand?
4. What process assures that your production
capacities are not oversold?
5. What type of packaging and labeling do you
currently utilize?
6. For Suppliers holding Southco inventory,
do you currently utilize FIFO for
inventory handling and shipping?

TRAINING
Question State Plan / Procedure Verification/Effectiveness
1. How does the supplier cover for
absenteeism?
2. How does the supplier train replacement
employees?
3. How does the supplier deal with internal
language barriers?
4. How is the effectiveness of the training
verified?

SUPPLIER HAS REVIEWED SOUTHCO FORM 1058 - SOUTHCO SUPPLIER QUALITY STATEMENT OF REQUIREMENTS

Supplier Representative Name / Title

DATE:
Supplier Representative Signature

Form 1315 - SCM Rev. G January 2010

 Calibration Supplier Assessment Tool

Southco Supply Chain Management

Calibration Supplier Requirements

Southco maintains control of all monitoring and measuring devices used in the
Manufacture of our products. To ensure valid results, all equipment is verified at
Specified internals against national or internationally recognized standards. All
calibration and gauge suppliers are required to show compliance to Southco
requirements via one of the following methods

• ISO/IEC Guide 25 or ISO/TC 17025 or National Equivalent Accreditation

Or

• Completed Southco Assessment (Form 1311), which is located below, with

satisfactory results.

The following request will accompany all purchase orders for calibration services

“Please perform calibration using standards traceable to the National Institute of

Standards and Technology, in accordance with procedures set forth in ANSI/NCSL
Z540-1 ISO10012 and Fed-std-H28, as applicable. Please provide Southco with
adequate Certification of Calibration containing before and after readings and
other pertinent data. This certificate should also include a statement of
conformance after calibration."

Form 1315a - SCM Rev. E 08-Nov-07

 Calibration Supplier Assessment Tool

Lead Auditor Date:

Auditor 2 Part Number:
Auditor 3 Part Description:
Auditor 4 Revision Level:
Audit Status: IAR:
Initial Follow up

ISO / IEC Guide 25: 1990 E, Section 4 YES NO N/A COMMENTS

Organization and Management
1. Is there Managerial Staff assigned to the Laboratory?
(4.2a, f, g, h)
2. Do they have the authority and resources needed to direct
the Laboratory? (4.2 a, d, f, g, h)
3. Are the authorities and responsibilities defined for all
personnel who perform work connected to the Laboratory?
(4.2 a, d, f, g, h)
4. Who is the Technical Manager for the Laboratory? (4.2 f, g)
5. Who is the Deputy Technical Manager? (4.2 h)

ISO / IEC Guide 25: 1990 E, Section 5

Quality System, Audit and Review
6. Does the following exist? (5.2 a-s)
a. Organizational charts
b. Procedures for document control
c. Job Descriptions for all Lab Personnel
d. Written procedures that describe the traceability of measures
e. Work Order Review Procedures
f. Written calibration procedures for all calibrations and tests
g. Procedures for Corrective actions
h. Procedures for random audits of the lab
i. Procedures that define the timing of a review of the quality system

ISO / IEC Guide 25: 1990 E, Section 6

Personnel
7. Are there up to date training records for all Laboratory Personnel?
(6.2)
8. Is the training syllabus defined and documented? (6.3)

ISO / IEC Guide 25: 1990 E, Section 7

Accomodation and Environment
9. Is the environment of the Laboratory Monitored?

10. If so to what extent? (7.1, 7.2, 7.3)

11. Are there procedures that define the access to the Laboratory? (7.5)

12. Are there procedures that provide housekeeping practices? (7.6)

ISO / IEC Guide 25: 1990 E, Section 8

Equipment and Reference Materials
13. Are there maintenance procedures for the measuring equipment?
(8.2)
14. Are there procedures that define how the calibration status of
equipment is identified? (8.2, 8.3)
15. Are there procedures for identifying items that have been calibrated?
(8.3)

Form 1315a - SCM Rev. E 08-Nov-07

16. Is there a record keeping system for machine calibrations?
What information is contained on the record? (8.4 a-h)
Calibration Supplier Assessment Tool

Form 1315a - SCM Rev. E 08-Nov-07

 Calibration Supplier Assessment Tool

ISO / IEC Guide 25: 1990 E, Section 9 YES NO N/A COMMENTS

Measurement Traceability & Calibration
17. Are there procedures for placing equipment into service? (9.1)
18. Are there procedures for calibration schedules for measurement
equipment and reference standards? (9.1, 9.6)
19. Is the calibration path to national and or International standards well
documented? (9.2, 9.3)
20. Are there procedures that define the specific use for reference
standards? (9.4 - 9.7)

ISO / IEC Guide 25: 1990 E, Section 10

Calibration and Test Methods
21. Are there procedures for all calibrations performed in the
Laboratory? (10.1 - 10.4)
22. Are there procedures that define sampling plans when such plans
are used? (10.5)
23. Are there checks in place for any manual calculations that are
performed as a part of measurement results preparations? (10.6)
24. Are there procedures in place that regulate when computers can be
used and what computers can be used? (10.7 a-e)

ISO / IEC Guide 25: 1990 E, Section 11

Handling of Calibration and Test Items
25. Are there procedures for segregating and identifying items that need
to be calibrated? (11.1)
26. Are there procedures that mandate an inspection of items when they
are received to determine their readiness for measurement? (11.2)
27. Are there procedures that describe how calibration and test items
shall be stored to protect them during storage? (11.3)

ISO / IEC Guide 25: 1990 E, Section 12

Records
28. Is the following information retained for laboratory records?
Original Data and Calculations
Calibration Records
Copy of Calibration Certificates
Personnel Involved
Procedure Used
29. Is the record system set up to record all pertinent data from test and
calibrations? (12.1)
30. Are there procedures that provide for adequate storage of test
records? (12.2)

ISO / IEC Guide 25: 1990 E, Section 13

Certificates And Reports
31. Are there procedures for filling out measurement test reports and
calibration test reports accurately, clearly, unambiguously and
objectively? (13.1)
32. Are there procedures for notifying clients of possible errors in the test
or calibration that was performed? (13.6)
33. Are there procedures that define the proper use of electronic or
electromagnetic means for transmitting test or calibration results?
(13.7)

Form 1315a - SCM Rev. E 08-Nov-07

 Calibration Supplier Assessment Tool

YES NO N/A COMMENTS

34. Is there evidence that the following information is being recorded on

certificates and reports? (13.2 a-o)
• A title "Calibration Certificate", Test Report"
• Name and address of the test laboratory
• Unique identification of the report "serial number"
• Name and address of client, where appropriate
• Description of item measured
• Condition of item
• Date of receipt and date of test of item
• Identification of the test method used
• Reference to sampling method, where relevant
• Any deviation from identified standard test method
• Measurements, examinations and derived results
• A statement of the estimated uncertainty of the calibration
A signature and the title of the person accepting responsibility
• for the content of the certificate or report
Where relevant, a statement that the results relate only to the
• items calibrated or tested
Where relevant, any sub-contracting services shall be identified as
such
ISO / IEC Guide 25: 1990 E, Section 14
Sub-contracting Of Calibration Or Testing
35. Is there a documented process for approving sub-contractors for the
Laboratory? (14.1)
36. Are records kept on sub-contracting services and are measurements
audited on a regular basis? (14.2)

ISO / IEC Guide 25: 1990 E, Section 15

Outside Support Services and Supplies
37. Are there documented records of the data gathered during the
approval process of the outside suppliers? (15.1, 15.2)
38. Is there a listing of all outside service providers that have been
approved by the Laboratory? (15.3)

ISO / IEC Guide 25: 1990 E, Section 16

Complaints
39. Are there documented polices and procedures for the handling of
customer complaints? (16.1)
40. Are there audit procedures that can be followed when a complaint is
issued, questioning the quality of the Laboratory's measurements?
(16.2)

ADDITIONAL COMMENTS SPACE:

Form 1315a - SCM Rev. E 08-Nov-07

 Calibration Supplier Assessment Tool

Use Of Form Guidelines

1. This form is a tool to use in calibration supplier audits. It may be used to assess levels
of compliance to ISO Guide 25 and to develop corrective action plans where gaps exist.
It is not a requirement to use this form in any audit.

Form 1315a - SCM Rev. E 08-Nov-07

 HEAT TREAT SYSTEM SURVEY REPORT
A. GENERAL INFORMATION
Division Survey No.: Date:
(If part is outsourced for heat treat)
H.T. Supplier Name Heat Treat Service Provided By:
Supplier Code
Plant Address
Address City
City State and Postal Code
State/Country and Postal Code Phone No. (Area Code)
Phone No. (Area Code) Quality Manager
Quality Manager
Ford Engineer
Supplier in conformance with Survey representative signature(s)
Ford Heat Treat System Survey Yes No
Corrective action required Yes No

Purchasing assistance required Yes No

Supplier acknowledgement signature

B. HEAT TREAT PROCESSES AVAILABLE AT THIS LOCATION

Annealing Carburizing Tool Steel Treating Brazing
Bright Fluid Bed Fluid Bed Dip
Full Gas Furnace Furnace
Homegenize Ion Salt Torch
Isothermal Pack Vacuum Vacuum
Local (Flame, Salt
Induction) Vacuum
Spheroidize Carbon High Speed Steel Marquenching/
Restoration Treating Martempering
Fluid Bed Press Quenching
Furnance
Hardening Nitriding Salt
Conductive Fluid Bed Vacuum Steam Treating
Flame Gas
Furnace Ion Sintering
Induction Salt
Induction-Atmosphere Temper/Stress Relief
Neutral Salts
Precipitation Carbonitriding Aluminum/Nonferrous
Tufftriding Fluid Bed T-5 Normalize
Vacuum Gas T-6
Salt Solution
Tufftriding Austempering
Vacuum Carbo Austempering Recrystallize
Ferritic Nitro Cryogenic Treating
Carburizing (Deep Freeze)

Form 1315b - SCM Rev. E 08-Nov-07 11

 C. FORD PARTS, PROCESS AND SPECIFICATION LIST.
Part Name Part Number Material Process Hardness (Surf/Core) Case Depth (Effect/Total)

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

D. HEAT TREAT EQUIPMENT AND CONTROLS LIST

Furnaces Temperature Instrumentation Flow Meters
Atmosphere Controlling
Electric Indicating Mixing Valves
Fluidized Bed Recording
Gas/Oil Fired
Salt Bath Atmospheres Controls
Vacuum Thermocouple Infrared Monitoring
Test Pyrometer Controlling
Atmospheres Test Thermocouple Resistance Wire Test
Ammonia (NH3) (Standard) Oxygen (O2) Probe
Dissociated Primary Standard Other
Ammonia (NH3) Thermocouple
Generators Other
Endothermic Flame Units (List)
Exothermic Induction Units
Nitrogen
Other
E. TYPE OF QUENCH SYSTEMS AVAILABLE:
Oil Salt (%) Synthetic (%)
Water Caustic (%) Other (List)
F. INSPECTION/TEST EQUIPMENT AVAILABLE:
Emission Spectrometer Cut-off Equipment (abrasive wheel, bandsaw, etc.)
Carbon/Sulfur Analyzer Metallographic Sample Preparation
Hardness Testers Metallograph
Brinnel Scanning Electron Microscope (SEM)
Rockwell Eddy Current
Rockwell Superficial Gas Chromatography
Microhardness (Tukon) Quenchometer
Magnetic Penetrant Inspection Fluroscope
Liquid Penetrant Inspection Ultra Sound
Mechanical Test Equipment Other (List)

Form 1315b - SCM Rev. E 08-Nov-07 12

Heat Treating Facility's Name
Assign a rating for each element based on the Heat Treat System Survey Scoring Guidelines Rating

A. PLANNING FOR QUALITY

1. Is the responsibility for quality planning of heat treat processes clearly defined? Assess the adequacy of the
heat treater's quality planning effort. Identify the key contact personnel/department for quality planning and
quality concern resolution. Include names, department names, and phone numbers.

2. Are Failure Mode and Effects Analyses (FMEA) and Control Plans used as a basis for establishing quality
programs for heat treat processes?
•
Does the heat treater use analysis processes to determine special characteristics and process parameters?

• Is the customer/end user of the heat treated product brought into the quality planning process?

3. Does the heat treater have available and use a procedure for reviewing part design and heat treat process
changes prior to implementation?
• Are FMEAs and Control Plans reviewed and updated as part of the procedure?
• Is customer approval obtained prior to implementing changes?

• Is there a procedure for updating operator instructions and visual aids for process and product changes?

TOTAL PLANNING FOR QUALITY (Total points available = 30) =

B. STATISTICAL METHODS

4. Is Statistical Process Control (SPC) utilized for special product characteristics and process parameters?
How are the special characteristics chosen? Describe the SPC methods used. Are they appropriate to the
•
factors being controlled?

Evaluate the heat treater's reaction to out-of-control conditions. Is the reaction as specified in the Control
•
Plan? What is the role of the operator?

Evaluate the heat treater's application of SPC, based on the evidence of the control charts, process logs
•
and other appropriate documentation.

5. Are process verifications/capability studies conducted on new product characteristics and heat treat process
parameters?

6. Are statistical control charts being used effectively to monitor the process?
Do control charts indicate that statistical control has been achieved and that process capability has been
demonstrated?
In all cases where process capability has not been demonstrated, is there a plan to improve the process? Is
•
appropriate interim action being taken to prevent shipment of nonconforming parts?

7. Does the heat treater have a defined program to being about continual improvement in quality and
productivity?

Form 1315b - SCM Rev. E 08-Nov-07 13

Heat Treating Facility's Name Rating

8. Does the heat treater have an effective system for ensuring the quality of incoming products and services?

How is SPC encouraged at Tier 1 and Tier 2 suppliers?

• Assess the adequacy of the heat treater's control on the quality of the services it receives.

TOTAL STATISTICAL METHODS (Total points available = 50) =

C. GENERAL

9. Are process/product monitoring and control functions and responsibilities clearly defined?
Indicate which plant activities conduct process/product monitoring and control.

Assess the adequacy of the heat treater's control program.

10. Are written procedures defining quality-related functions available?

• Are these procedures appropriate to and adequate for the heat treater's operations?
• Are the procedures implemented as written?
• Is there a review process to verify implementation?
• Is there an adequate procedure for reacting to ES, ES-M, product qualification and test failures?

11. Are written process monitoring and control instructions available for incoming, in-process, laboratory,
dimensional inspection and outgoing auditing?
Are all Special characteristics and Process Parameters included, particularly those affecting function and
•
durability?
• Are Special characteristics and related operations identified?
• Are sample sizes and frequencies adequate?
• Is appropriate statistical analysis specified?

12. Are appropriate process monitors, thermocouple and inspection/test equipment available to facilitate process
control?

13. Does the heat treater have an effective preventive maintenance program for heat treat process equipment,
thermocouple and process monitoring equipment?
Do records indicate that process monitors, thermocouples and inspection test equipment are periodically
•
inspected and calibrated?
• Does the heat treater perform furnace temperature uniformity surveys (thermal profiles)?
• Asses the adequacy of the heat treater's preventive maintenance program and its effectiveness.

14. What controls does the heat treater use to indicate the processing and inspection status of products throughout
the heat treating system.
Are effective controls in place to provide accurate part processing information throughout processing
•
storage, packaging and shipping?
Are controls adequate to prevent movement of nonconforming rejected in-process products into the
•
production system?

15. Does the heat treater have complete records supporting Production Part Approval (PPAP) certification?
When required, has product engineering approval of Product/Process Control Plan, samples and test
equipment been documented.

Form 1315b - SCM Rev. E 08-Nov-07 14

Heat Treating Facility's Name Rating

16. Does the heat treater react appropriately to customer concerns?

• Are in-house and customer quality concerns effectively communicated to all members of the
organization?
• Are nonconforming parts returned by customer analyzed? Is the root cause of failure
determined, verified and corrective action taken?
• Is a disciplined method of problem solving, e.g., the Eight Discipline format, utilized?

TOTAL GENERAL (Total points available = 80) =

D. IN-PROCESS AND OUTGOING

17. Are process monitoring and inspection/tests performed according to the instruction sheets?
• Are there adequate records of inspections and tests?

18. Are documented heat treat reject, reprocessing or scrap procedures available?
• Are reprocessed parts audited for conformance to all customer requirements?
• Assess the adequacy of the procedures?

19. Are heat treat processing, handling, storage and packaging adequate to preserve product quality?
• Assess the heat treater's furnace loading system, in-process handling and shipping process for any
cause of concern.

20. Are plant cleanliness, housekeeping, environmental, and working conditions conducive to quality
improvements?
• Are there working conditions that could be detrimental to quality improvement?
• Could product quality be affected by plant environment?

TOTAL IN-PROCESS and OUTGOING (Total points available = 40) =

TOTAL RATING POINTS FROM ELEMENTS 1-20 Maximum = 200 points) =

Conformance to QS-9000, Heat Treat System Survey Scoring Guidelines and W-HTX requires at least a "7" rating on each
individual element and at least a "160" overall System Survey Rating. Suppliers should provide improvement action plans for all
areas with a rating below "7" within 60 days.

Form 1315b - SCM Rev. E 08-Nov-07 15

 PLATING SUPPLIER SURVEY

What is the geographical extent of your business:

Are you willing to participate in team meetings at your facility and ours:

Do you pick up and deliver?:

What are your leadtimes of processing materials:

List testing equipment:

Do you have available capacity:

Number of automatic and manual plating lines:

How old is the equipment?:

What industry and automotive specs do you plate to and meet?:

What process controls do you have in place (automatic?):

Do you do SPC in process? (If so, what kind?):

Do you have a Quality Manual? (If yes, please supply a copy):

What outside certifications do you have such as ISO 9001/2000, TS16949, and
automotive?

How long do you retain records?:

Do you have gauges to check plating over threads?
Do you provide plating thickness measurements with each batch?:
Will you if requested:

Do you have minimum lot sizes? (if so what?):

What are your typical load sizes?:

Do you mix parts to optimize load size? If yes, how do you separat

Form 1315c - SCM Rev. E 8-Nov-07

How do you manage your waste treatment:

Do you do both barrel and rack plating?:

Do you bake plated parts to relieve hydrogen embrittlement?:

What is your capacity in pounds to plate and bake?:

Do you analyze your plating baths and tanks?

In house?
Frequency?

What kind of test equipment do you use to analyze them?

Following is a list of current processes we currently utilize or are considering.

Please check all processes you do and add any additional processes below:

Form 1315c - SCM Rev. E 8-Nov-07

Finish Barrel Rack Automatic Manual
Aluminum
• per MIL-DTL-83488
Black Oxide
per MIL-F-495; MIL-DTL-13924
Brass
• Gloss – Bright / Dull / Brushed /
Antique / Satin
Cadmium Plate
• per AMS-QQ-P-416; BS EN 12330
• with Chromate Dip – Bright, Yellow,
Olive Drab, Black
• with Phosphate Dip
• over Copper
Chrome Plate
• Color – Metallic / Black

• Gloss – Bright / Glossy / Satin /

Brushed / Matte
• over Copper / Nickel
• per SAE AMS-QQ-C-320; MIL-F-
14072 or BS EN 12540
Copper
• per SAE AMS 2418

E-Coat
• Gloss – Glossy / Semi-gloss / Dull
Fluorocarbon
• Emralon
• Xylan
Geomet plus Sealer
Nickel
• Bright / Black
• per MIL-F-14072; QQ-N-290; SAE
AMS 2418
Phosphate
• per GM4435M
• Zinc Phosphate

Form 1315c - SCM Rev. E 8-Nov-07

Polymer Coating
• per FED-STD-595; MIL-PRF-23377;
MIL-PRF-22750
• Phosphate plus Delta Protekt plus
Delta Seal
• Ultratec
• Sermagard

Powder Coat
• Gloss – Glossy / Semi-gloss /
Textured / Flat
Tin
• Bright per ASTM B545
Zinc Plate
• per ASTM B633; BS EN 12329; AS
1789; DIN 50961
• with Hexavalent Chromate – Bright,
Yellow, Olive Drab, Black
• with Phosphate Dip
Zinc Plate
Zinc Plate
• with Trivalent Black Chromate
• Gloss – Bright / Semi-gloss

• Sealed
Zinc Cobalt
• with Chromate – Bright / Black /
Yellow
• with Phosphate Dip
• Sealed
Zinc-Iron Alloy
• with Chromate – Metallic Grey / Black

Zinc-Nickel Alloy
• per ASTM B841
• with Chromate – Metallic Grey / Black
/ Yellow

Form 1315c - SCM Rev. E 8-Nov-07

Additional Processes:

Additional Comments:

Comments (For Southco Use Only):

Form 1315c - SCM Rev. E 8-Nov-07

 C-TPAT SURVEY
Section 1: Facilities Information
Date Completed

Company Name:

C-TPAT SVI Number (if applicable)

Street Address:

Mail Address ( P. O. Box )

City / Country

Name and Title of person providing information:

Telephone & fax number of contact person:

E-mail Address:

Section 2: Type of Business

Factory Warehouse Inland

Select business that best describes your company Supplier NVOCC Carrier

Frt Fwdr Air Consol. Other

Section 3: Certification
1) Is your Company a certified participant in a government-sponsored supply chain security program (eg. C-TPAT) YES NO (Check One)

2) If yes, what is your certification & certification number:

3) If no, do you plan to become certified within 12 months ?: YES NO (Check One)

Section 4 TO 11: Security Criteria

1 - YES
PROVIDE CODE AND COMMENTS THAT BEST DESCRIBES 2 - PARTIALLY IN PLACE

YOUR CURRENT SITUATION FOR EACH ITEM 3 - NOT NOW - MAY CONDIER AT LATER DATE

4 - NO - WILL NOT BE CONSIDERED

Form 1315d - SCM Rev, E 08-Nov-07 21

 DATE:
C-TPAT SURVEY ACTION PLAN
SUPPLIER NAME:
TARGET
DATE
No. Section 4: Physical Security Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
COMPLETED
DATE
Are all buildings constructed of materials which resist
4.1
unlawful entry and protect against outside intrusion?

Is there secure perimeter fencing around buildings and

4.2
warehouses?

Are gates manned and or monitored, and locked during non-

4.3
working hours?

Are separate gates used for employees, visitors, and

4.4
truck/commercial traffic?

If a manned gatehouse is used, is it equipped with a

4.5
communications system?

4.6 Are there CCTV cameras and if so, who monitors them?

4.7 Does the CCTV system cover interior and exterior areas?

4.8 Are recorded tapes retained for a minimum of 30 days?

4.9 Are all interior/exterior areas adequately illuminated?

4.10 Are locks installed on all windows and doors?

4.11 Do you have an alarm system for theft and fire?

Is private vehicle parking separate from the shipping, loading

4.12
and cargo areas?

Are there communication systems in place to contact internal

4.13
security or local law enforcement personnel?

TARGET
DATE
No. Section 5: Access Controls Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
COMPLETED
DATE
Do you employ an identification system for all employees?
5.1
Describe method - badges, etc.

5.2 Do you record, identify and escort all visitors?

Is the packing area restricted to those employees assigned

5.3
to work there?

Are there designated security personnel or devices in the

5.4
packing area? Please describe.

5.5 Are there procedures for drivers waiting.

What procedures are in place to challenge unauthorized or

5.6
unidentified persons in controlled areas?

Form 1315d - SCM Rev, E 08-Nov-07 22

 C-TPAT SURVEY - continued
TARGET
DATE
No. Section 6: Procedural Security Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
COMPLETED
DATE
Is there an employee and/or security officer designated to
6.1
supervise the introduction or removal of cargo?

Do you verify outgoing finished merchandise is marked,

6.2
counted, weighed and documented?

6.3 Is tamper-proof tape used to secure boxes?

6.4 Are shortages or overages detected and reported?

Do you have procedures for reporting timely movement of

6.5
incoming and outgoing freight.

6.6 Are storage areas secured and inspected?

Are there procedures for reporting any abnormalities in the

6.7
movement of cargo?

6.8 Do you have a transportation tracking system in place?

6.9 Are trucks / containers inspected on arrival?

Are procedures in place to notify law enforcement agencies

6.10
in cases where illegal activities are detected or suspected?

TARGET
DATE
No. Section 7: Personnel Security Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
COMPLETED
DATE
Do you conduct pre-employment screening and interviewing
7.1
of prospective employees?

Do you conduct background checks and application

7.2
verifications where permitted by law?

TARGET
DATE
No. Section 8: Documentation Security Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
COMPLETED
DATE
Do you have controls in place to check the accuracy of all
8.1 shipping documentation, to include invoices and packing
lists?

Is the documentation supplied to government officials for

8.2
export control purposes?

If your documents are prepared on a computer system, do

8.3 you have systems to maintain the integrity of the data and to
prevent unauthorized changes or access?

Form 1315d - SCM Rev, E 08-Nov-07 23

 C-TPAT SURVEY - continued
TARGET
DATE
No. Section 9: Education and Training Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
COMPLETED
DATE
Does your company provide a security training program to
9.1
employees?

If no, will you be implementing any form of security training

9.2
in the near future?

TARGET
Section 10: Conveyance and Manifest DATE
No. Code Current status RECOMMENDED IMPROVEMENTS COMPLETION
Security COMPLETED
DATE
Do you maintain processes to protect against the
10.1 introduction of unauthorized personnel and material in the
supply chain?

Do you physically search all readily accessible areas,

10.2
securing panels and compartments?
Do you have procedures for reporting cases in which
10.3 unmanifested materials, or signs of tampering are
discovered?

Do you ensure manifests are complete, legible, accurate and

10.4
submitted in a timely manner to Customs, when applicable?

TARGET
Section 11: FOREIGN DATE
No. Code Comments RECOMMENDED IMPROVEMENTS COMPLETION
Container Security (if applicable) COMPLETED
DATE
Do you have documented procedures for affixing, replacing,
11.1 recording, tracking and verifying seals on containers or
trailers?

Do you have procedures in place to inspect containers prior

to loading at your facility to include the following inspectiion
11.2 points: front wall, left and right side floors / doors, outside
and undercarriage, and the locking mechanisms on the
doors?

11.3 Are unused seals secured to prevent unauthorized access?

Is a dedicated person in charge of all access and use of

11.4
seals to prevent unauthorized use?

Do you advise the port of the seal number placed on the

11.5
contanier?

Do you advise the consignee of the seal number used on

11.6
each container?

11.7 After loading, does the container go direct to the port ?

After loading, is the container stored in a secure area to

11.8
prevent unauthorized access or manipulation?

CERTIFIED TO BY REVIEWED BY

_______________________________________________ ___________________________________________________
Print Name Name (Southco Reviewer)

_______________________________________________ ___________________________________________________
Signature Title

_______________________________________________

Form 1315d - SCM Rev, E 08-Nov-07 24

 Title

Form 1315d - SCM Rev, E 08-Nov-07 25

 PRELIMINARY SUPPLIER EVALUATION

DOCUMENT REVIEW REQUIRED? RECEIVED?

1
Review with Supplier - Form 1058 Supplier Quality YES NO YES NO
Statement of Requirements
2
Form 1178 - Supplier Confidentiality and Non-Disclosure YES NO YES NO
Agreement
3
Form 1315a - Calibration Supplier Requirements YES NO YES NO
4
YES NO YES NO
Certificate - ISO 17025
5
Form 1315b - Heat Treat System Survey Report (required YES NO YES NO
from all Heat Treat suppliers)
6
Form 1315c - Plating Supplier Survey (required from all YES NO YES NO
Plating suppliers)
7
Form 1315d - C-TPAT Survey (required from any supplier YES NO YES NO
importing to a US Southco facility)
8
YES NO YES NO
Certificate - ISO 9001:2000
9
YES NO YES NO
Certificate - TS16949
10
Form 1316 - Supplier Development Audit Worksheet YES NO YES NO
(required from supplier's not certified to ISO 9001:2000)

QUESTION EFFECTIVE DEFICIENT

I QUALITY SYSTEM
II PROCESS CONTROL
III DESIGN CONTROL
IV PURCHASING
V HANDLING, STORAGE, PACKAGING, & DELIVERY
VI TRAINING

Form 1315 - SCM Rev. F August 2008

 SOURCING RECOMMENDATION
IS AN ON-SITE AUDIT REQUIRED? YES NO

Reason:

DO NOT SOURCE

Reason:

SOURCE

Comments:

DATE:
Buyer

DATE:
Supplier Quality Engineer

DATE:
Regional Supply Chain Manager

Form 1315 - SCM Rev. F August 2008