Pre Assessment /Certification / Surveillance / Re

certification

Supplier Profile Date :

1. Supplier's Name: 2. Proprietors/Directors' Names Contact Nos.

Address:
i)

ii)

Distance from Setco : iii)

3. Facility size ((Sq. Feet or Meters) : 4. Date of Previous Visit :

5. Supplier Category (existing) 6. Telephone/Fax No's :

7. Key Contacts(Plant Head, Manager-Quality , Process Engineer, Product Engineer):

Sr.No. Name Designation Email ID Contact No.

8. Manufacturing Processes Carried

Out

9. Products Manufactured

10.(a) Existing Supplier : No. of items made for Setco 10.(b) New/Potential Supplier : Items proposed to be developed

11. If Existing supplier - Utilization of capacity % for Setco :

12. Overall Turnover (last three Fys) :

13.(a) New/Potential Supplier - Committed/Proposed Utilization of capacity % for

Year Rs (in Lacs)
Setco

14. Total No. of Employees: 15. Major Customers :

16. Working of shifts/day :

17. Quality Management System Certification Status : 18. Technical Collaboration or Tie-up details (if applicable)

IATF 16949:2016/ ISO 9000:2015 ISO 14001:2015/ ISO 18000:2007 /

ISO 45001:2018 / Other

Note : Take copy of certificate.

19. Audit Score: 20. Is there any risk associated to do business with supplier? YES / NO

Sr.No. Element Score Obtained Remarks Specify If Yes:

Financial and Company
1 14
Management
2 Manufacturing Capability 15

3 Process Control 32 21. Decision

4 Sub Supplier Management 11 APPROVE / CONDITIONALLY APPROVE / REJECTED

Total Score 72

Sign Off:
CEO (If Required to Conditionally
HOD - SQA HOD - SCM VP - Manufacturing Approve)
Financial Stability and Company Management - (Overall Weight age - 20%)

Score
Sr No. Assessment Measure Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Organizations Business Strategy - Verify Company's vision, mission, goals.
- Long term and short term business goals Vision, mission and goals are displayed at various locations.
are clearly defined? 3 Vision, mission understood at managerial level.
- What is frequency of review of these Proper strategy and review mechanism.
targets?

Vision, mission and goals are displayed at various locations.

2 Vision, mission understood at managerial level.
Strategy and review mechanism is not effective.
1 1

1 Vision, mission and goals are displayed but not understood.

No defined vision, mission and goals.

0
No review mechanism.

Organizations Business Goals - KPI / KRA deployment

achievement - MRM review Financial goals are reviewed and actions initiated.
- Budget / Cape Reviews 3
KPI / KRA status tracked, MRM reviews are done and recorded.
- Financial reviews
- Action plan.
Financial goals are reviewed and actions initiated.
2 KPI / KRA status tracked, MRM reviews are done, records and
actions are not evident.
2 2

1 Financial goals established but not reviewed and implemented.

0 Financial goals are not defined at all.

Financial Stability - Does the organization is growing? Verify

- Turn over / Balance Sheet
3 3
turn over from balance sheet of last three Organization shows a stable growth in past three years.
3
years. Turn over increased on YOY basis.
- Verify growth of organization in past
three years
Organization is able to maintain constant turn over.
2
(No substantial increase in past three years)
1 Organization is turnover is slight downward trend.

0 Organization is turnover is in constant downward trend.

Financial Stability - Are working capital requirements

defined? 3 Able to manage working capital, No legal notice so far.
- Working Capital - Does the organization able to maintain
- Cost of goods working capital as defined?
- Legal Notice - Is there any legal notice on
organization?
Financial Stability and Company Management - (Overall Weight age - 20%)
Financial Stability - Are working capital requirements
defined? Score
Sr No. Assessment Measure Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
- Working Capital - Does the organization able to maintain Awarded
- Cost of goods working capital as defined?
- Legal Notice - Is there any legal notice on
organization? 2 Partially able to manage working capital, No legal notice so far.
4 1
Not able to manage working capital, however no legal notice so
1
far.

0 Legal notice from government.

Quality Policy and Objective Deployment : - Policy and objectives are displayed at
prominent locations Quality Policy and quality objectives are established , displayed
3
- Quality Policy and Quality Objective - Awareness of Quality policy and at locations and operators are aware.
deployment objectives at each level of employees.
- Visual management for quality objective
Quality Policy and quality objectives are established , displayed
measures. 2
at locations and operators are not aware.
5 1
Quality Policy and Quality Objectives are established, not
1
displayed, no awareness to operators.

0 No quality policy an objectives are established.

Quality Improvement: - Actions initiated to achieve targets? Status of Quality objectives are monitored, actions on non
- Are actions effective? 3 achieving quality objectives are initiated and effectiveness can
- Actions on non achieving Quality be witnessed.
Objectives?
Status of Quality objectives are monitored, actions on non
2 achieving quality objectives are initiated and effectiveness can
not be witnessed.
6 3
Status of Quality objectives are monitored, actions on non
1
achieving quality objectives are not initiated.

0 Status of Quality Objectives are not monitored.

MRM and IQA : - No. of MRM conducted as per plan

Does the organization conduct Management - Actions on MRM points
Review Meeting? At what Frequency?
Does the organization conduct Internal
Quality audits?
Are the non Conformity raised closed
7 effectively?
- MOM of MRM MRM and IQA conducted as per plan, MRM and IQA reports
3
available, actions are initiated and effectively implemented.
- Internal System audit schedule and NC
management
- Product and process audit and action MRM and IQA conducted as per plan, MRM and IQA reports
plan 2
available, actions are initiated and effectively implemented.
3

1 MRM and IQA conducted as per plan, actions are not initiated.

0 MRM and IQA not conducted as per plan.

Financial Stability and Company Management - (Overall Weight age - 20%)

Sr No. Assessment Measure
Responsibility & Authority :
- Defined roles and responsibility
- Authority to stop production in case of
quality issue
8 3
Score
Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Does the organization have defined
responsibility and authority?
3 Requirements fully satisfied.
Does the Authority of Quality Manager /
Quality Inspector includes stopping the
production and hold dispatch in case of 2 requirements partially satisfied
non conformance?

1 Requirements inadequately satisfied

0 Requirements not satisfied

Financial Stability and Company Management - (Overall Weight age - 20%)
Sr No. Assessment Measure
Fast Response :
Immediate response to significant internal
and external quality failures.
9 2
Customer Specific requirements :
- CSR
- method of review of CSR
10
Training and Competency :
- Training need identification
- Training Calendar / Plan
- Training evaluation
11
Delivery Performance
- Review of customer score card
- Actions for improvement
Guideline
- Daily Meetings
- Responsibility for completing each task
- Issue list and tracking for closure of
actions.
1) Mechanism for obtaining customer
specific requirement
2) Training on customer specific
requirements
- Does the organization have process for
training need identification?
- Is training plan developed and training
provided as per training plan?
(Verify training records of min. 2 operators)
1) Does the customer provides score card
or self monitoring is done for delivery
rating?
2) Does the supplier review score cards of
customer?
2) Does supplier initiate actions for
improvement?
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
- Daily Meetings being conducted to review day to day issue.,
record of day to day issues and actions.
3 - Actions initiated with responsibility an target date on reported
issues.
- Issues are communicated to the relevant employees.
- Meetings are conducted at periodic frequency (Weekly /
Monthly)
- Actions initiated with responsibility an target date on reported 1
issues.
- Meetings are conducted but frequency is not defined. Records
1
are not evident.
0 No system is in place.
3 All the customers CSR available, understood and documented.
Some of the customers CSR available ,understood and
2
documented. 3
Very few customers CSR available ,understood and
1
documented.
0 Not followed, poor compliance to requirements
Training needs identified, training plan prepared, training
3
conducted and effectiveness evaluated.
Training needs identified, training plan prepared, training
2
conducted but effectiveness not evaluated.
3
Few training provided but not linked to training need
1
identification and evaluation of effectiveness not done.
0 No training plan , no trainings are conducted.
Customer score cards review is done actions are initiated and
3
effectively implemented.
Financial Stability and Company Management - (Overall Weight age - 20%)
Delivery Performance 1) Does the customer provides score card
or self monitoring is done for delivery
Score
Sr No. - Review ofAssessment
customer score card
Measure rating? Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
- Actions for improvement 2) Does the supplier review score cards of Awarded
customer?
2) Does supplier initiate actions for
improvement? Customer score cards review is done , actions are initiated but
2
not effective.
12 2

1 Customer score card review is done but actions are not initiated.

0 Customer score card review is not done.

Financial Stability and Company Management - (Overall Weight age - 20%)
Sr No. Assessment Measure
Customer Complaint Handling :
- Resolution of customer complaint
- Monitoring of corrective actions
13
Score
Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
1) Defined procedure for control of non
confirming product for defective parts on Customer complaint monitoring is done ,corrective actions are
line and customer complaints 3
taken on defects and effectively implemented.
2) Verify tracking of reported issues,
closure action and effectiveness of
corrective actions.
Customer complaint monitoring is done, actions of customer
2
complaint are taken but not effective.
2
1 Few actions are taken and effectiveness is not monitored.
No system of monitoring of customer complaint and internal
0
defect monitoring
Financial Stability and Company Management - (Overall Weight age - 20%)

Score
Sr No. Assessment Measure Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Record Retention : 1) List of documents with record retention
period?
3 Requirements fully satisfied.
- Defined record retention period 2) Records are preserved to avoid
- Records preservation damage and deterioration.
3) Records are easily retrievable.
2 requirements partially satisfied

14

1 Requirements inadequately satisfied

0 Requirements not satisfied

N/A

Total Score
28 14
Manufacturing Capability (Overall Weight age - 25%)
Sr No. Assessment Measure
Product Design capability:
What kind of resources are available w.r.t.
Design Capability/Testing & Validation?
Evaluate If supplier is design responsible
for product.
1 1
Tool Design Capability :
Does the Supplier has adequate technical
capability to design gauges / tooling ?
2 Write down tool design software used.
Capacity Utilization:
Does the organization monitor machine
utilization ?
3 3
Expansion Plan for equipment :
Is there any expansion plan in next 2 years ?
4 3
Guideline
1) Evaluate the supplier's design system capabilities in
support of customer requirements
2) Testing facilities w.r.t. DVP equipment's.
3) Design software used.
4) Products designed by own
5) Dedicated team of designers
Write down design software used.
1) Technical capabilities in terms of designing of Tool,
Fixture, gauges
2) Design software used.
3) Products designed by own
4) Dedicated team of designers
1) Verify % capacity utilized for existing products
2) Check spare capacity available for product to be
manufactured.
1) Plan of up gradation of technology / Process
2) % of capacity increase due to expansion
3) equipment planning and selection
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Technical capabilities exist to support product design, Dedicated
3
team available for technical support.
Often require support from outsourced/parent unit , Need based
2
personnel available for technical support.
Limited technical capability, mostly depends on 3rd party
1
support / Setco support for technical support
0 Supplier has not adequate technical capability.
Technical capabilities exist to support manufacturing, Dedicated
3 team available for technical support (Tool, Fixture & gauge
development)
Often require support from outsourced/parent unit , Need based
2 personnel available for technical support (Tool, Fixture & gauge
development)
2
Limited technical capability, mostly depends on 3rd party
1
support / Setco support for technical support
0 Supplier has not adequate technical capability.
Product volumes can be manufactured, present capacity
3
utilization is less than 70%.
Product volumes can be manufactured , present capacity
2
utilization is 80%.
Risk to product volume fulfillment, up to 90% capacity utilized.
1
Required additional machine to fulfill demand.
greater than 90% capacity utilized, immediate procurement of
0 machines to support requirement. High risk associated to start
the business at present.
3 Time bound action plan with physical progress evidenced.
2 Time bound action plan available but progress not monitored.
1 Management has shown their interest on expansion.
0 No evidence of possibilities for future expansion.
Manufacturing Capability (Overall Weight age - 25%)
Sr No. Assessment Measure
Plant and Machinery :
Does the supplier have proper type and
volume of equipment to support current and
quoted production capability?
5 3
Change Management :
Does the organization follow systematic
change management process?
6 1
Material Handling:
Is there proper material handling system?
7 1
Guideline
1) No. of machine that can support capacity
2) Are the machine with latest technology or old conventional
type machines available.
3) Appropriate layout of machine
1) Are the drawing, control plan / quality plan revised after
change?
2) Are old copies of the drawings/CP/PFMEA/Quality Plan
are identified with obsolete stamp or scraped?
3) Are the changes validated?
4) Are the change communicated to customer?
1) Availability of bins, pallets, conveyors /overhead cranes.
2) Is the material movement systematic ?
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Number of machines can support capacity, machines are with
3 latest technology (Automatic/Semiautomatic/CNC), condition
and layout of machines is appropriate for product.
Number of machines can support capacity,
2 Some of the machines are conventional type and very old.
Condition and layout of machines is appropriate.
Majority of machinery are conventional type.
1
Condition and layout of the machine is not up to mark.
Majority of machinery are conventional type.
0
Condition and layout of machine are not at all maintained.
3 Requirements fully satisfied
2 Requirements partially satisfied
1 Requirements inadequately satisfied.
0 Requirements not satisfied
All Material is stored properly in bins,trolley,racks to protect from
3 image and deterioration.
Required material handling equipment available.
Majority Material is stored properly in bins,trolley,racks to protect
2 from image and deterioration.
Few material kept on floor and not arranged / mix-up.
Randomly storage of material. Not standardized handling and
1
storage, Material kept on floor and not arranged / mix-up.
Very poor handling and storage of material.
0
No specific equipment available for handling.
Manufacturing Capability (Overall Weight age - 25%)

Score
Sr No. Assessment Measure Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Environmental & Lighting Controls: 1) Verify lighting inside plant premises?
2) Verify sufficient lighting at inspection station? Use lux 3 Requirements fully satisfied
Do work areas have sufficient lighting and meter for verification.
environmental controls such as temperature, 3) Is the Work Environment is sufficient to protect harm to
humidity and air flow according to humans? 2 Requirements partially satisfied
manufacturing process?
8 2
1 Requirements inadequately satisfied

0 Requirements not satisfied

Risk Management: - Verify risk analysis and action plan to mitigate risk.
- Risk analysis linked with contingency plan. 3 Requirements fully satisfied
Are the risks associated to process is
analyzed?

Internal and external risks associated to 2 Requirements partially satisfied

9 process. 2
1 Requirements inadequately satisfied

0 Requirements not satisfied

Contingency Plans: 1) Contingency plan for all possible risks available?

2) Are the contingency situations validated where possible? Contingency plan available, contingency situations are detailed
3
Does the supplier have contingency plans for and contingency plan validated, records available.
emergencies such as utility interruptions, labor
shortages, key equipment failures, natural Contingency plan available, contingency situations are detailed
disasters? 2
but contingency plan is not validated.
10 0
Contingency plan is not adequately defined, no validation
1
records available.

0 No contingency plan , no validation.

Total Score 18 15
A) Process Control - Overall Weight age 40%
Sr No. Assessment Measure
Customer Specific requirement
Availability of updated Customer Specific
Requirement (CSR) with relevant department
and effective implementation of CSR matrix.
(Write down evidence with details for CSR
1 verification)
PFD,PFMEA,CP: Quality Plan
Availability of controlled copy PFD, PFMEA,CP 2) check parameters in control plan with
for the Process in Production Dept.
2 against drawing.
Guideline
Take one / two customer's customer specific
requirement as per CSR matrix and verify
implementation against all the requirements
Does the CSR reviewed at defined
frequency?
1) Check availability of latest rev. copy.
Verification of documents with master list.
drawing of product as appropriate.
3) Check process flow and linkages of
PFD,PFMEA and CP.
If Supplier follows Quality Plan verify that
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
CSR available and CSR implemented. Staff members are aware
3 about CSR.Waiver obtained from customer if CSR are not
followed.
CSR available and CSR implemented. Staff members are aware
2 about CSR.Waiver is not obtained from customer if CSR are not
followed.
2
Updated CSR matrix is not available, customer specific
1
requirements are partially followed and implemented
Updated CSR matrix is not available, customer specific
0
requirements are not followed.
PFD/ PFMEA/ CP Available with Latest Revision, Linkages
available. Product parameters in CP and drawing are matching.
3
OR
Quality plan matching with Drawing
PFD/ PFMEA/ CP Available and Linkages between PFD /
2 PFMEA / CP is not found.(Operation mismatch) OR
Quality Plan few parameters not matching with drawing.
1
PFD / PFMEA / CP is available with latest revision but not
matching with drawing dimensions.
1
OR
Majority dimensions mismatch with quality plan.
PFD / PFMEA / CP is not available OR
0
Quality plan is not available.
A) Process Control - Overall Weight age 40%
Sr No. Assessment Measure
Work Instruction : Availability of work
instruction for each Relevant operations at
machine , Are they understood by operator
and followed?
(includes Safety and relevant process sets)
3 4) Operator follows the WI as per
First off / In process inspection :
First off part Inspection report inline with Quality Operator Name / Operation No./ Process
Plan / Control Plan.
4 3
Guideline
Check Display Boards at Machine /
Inspection station etc.
1) WI for relevant Process
2) Instruction for product safety and operator
safety.
3) WI should be legible and understood by
operator.
requirement.
Verify First off Approval / In process
Dimension and record observation with
and Product Parameters
before starting regular production ,Part
approval by responsible personnel.
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
All Relevant work instructions available, displayed and legible.
3 Operator safety and product safety parameters are included. WI
understood by operator.
Work Instructions available, displayed but not legible. WI
2
understood by operator. 3
Work instructions not displayed at some places. Work
1
instructions does not include safety and product safety.
0 Work instructions missing on majority of work stations.
First off part /In process Inspection records available and inline
with Quality Plan / Control Plan. Process parameters are
3
verified before start of shift/operation and recorded. Inspector is
skilled to measure product parameters..
Some of the records of First piece approval / In process
Inspection available and inline with process plan / control plan.
2
Process parameters are verified but not recorded. Inspector is
skilled as per skill matrix.
First off inspection is carried out and inline with CP / Process
1 plan but in process inspection is not carried out, process
parameter not verified and operator is unskilled.
There is no system of first off approval / In process inspection
0
of parts.
A) Process Control - Overall Weight age 40%
Sr No. Assessment Measure
Identification and calibration of IMTE:
Are the appropriate gauge/inspection/test
instructions available at various production
stages and are they calibrated and identified?
5 2
Special Characteristics :
Are the CTQ parameter / special characteristics Plan?
as per drawing is defined in relevant
documents?
6 documents and operator is not aware of importance.
Process Capability :
Does the manufacturing process demonstrate
the required capability or performance?
Are the corrective actions in place for out of
control situations?
Conduct PPk study for 30 samples and attach
report of Ppk with process audit check sheet.
7 3
Guideline
1) Measuring Instrument condition
2) Measuring Instrument calibration status
(Take two/three examples and verify
calibration reports)
1) Verify special characteristics designation
in control plan,PFMEA and PFC / Quality
2) Verify operator awareness on importance
of the special characteristics?
1) Verify SPC followed for CTQ and Special
characteristics identified in control plan
2) Check Process capability within specified
range
3) Where process capability is not met there
must be 100% inspection
4) Conduct Ppk study on critical process
characteristics.
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
All fixture and checking gauge are permanently identified &
3 calibrated. Calibration status is visible and calibration reports
traceable to ISO/IEC 17025 incase of outside calibration
All fixture and checking gauge are identified & calibrated.
Calibration reports not traceable to ISO/IEC 17025 incase of 3
outside calibration
Calibration status is missing on some gauges. Calibration
1
reports not available.
Calibration status is not available on any gauges. No calibration
0
is planned for instrument and gauges.
Special characteristics are identified and available in relevant
3
documents and operator is aware of importance.
Special characteristics are identified and available in relevant
2
1
Some of the special characteristics are not identified as per
1
drawing
Special characteristics are not identified in any of the
0
documents.
Plan for process capability study is available / records available
as per plan
3
Cpk >=1.33 achieved and
Result conducted study of Ppk >= 1.67
Plan for process capability study is available / records available
2 as per plan. Cpk>= 1.33 achieved.
Result of conducted study of Ppk>= 1.33
No plan for process capability study and no Process capability
1 measurement.
Result of conducted study of Ppk>= 1.33
No plan for process capability study and no Process capability
0 measurement.
Result of conducted study of Ppk<= 1.33
A) Process Control - Overall Weight age 40%
Sr No. Assessment Measure
POKA-YOKE:
Does the error proofing established on the
processes ? How the error proofing verified?
8 3
Part Identification :
Traceability and part identification
9 if any
Guideline
1) Error proofing list and purpose.
2) Error proofing verification method and
records
3) Challenge parts availability for error
proofing verification.
1) Check Identification label in bins /
trolleys/Corrugated box
2) Personnel aware about tagging and
identification system
3) Does identification tag contains stage of
manufacturing, status, manufacturing
date/shift, batch details?
4) Check the customer specific requirement
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Poka Yoke available and working condition.
3
Periodic verification of Poka Yoke available with records.
Poka Yoke available and working condition.
2
No periodic verification of Poka Yoke.
Some of pokayoke are not in working condition.
1
No periodic verification of poka yoke.
0 No Poka Yoke available an no plan for implementation.
All parts / bins/ trolleys are identified. Customer requirements for
3
traceability is followed. Operators aware.
All parts / bins/ trolleys are identified. Customer requirements for
2
traceability is not followed. Operators aware.
2
Partial identification of parts/bins / trolleys (>50%)
1
Operators not aware.
0 No identification
A) Process Control - Overall Weight age 40%

Score
Sr No. Assessment Measure Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Final Inspection: 1) Check Final inspection report of product PDIR / Final Inspection of all lots available. Records are
against control plan / Quality plan for available and matching with drawing / Quality Plan / Control
Are outgoing lots inspection carried out (PDIR / dimensional and critical (fit,form,function) 3 Plan.
Final Inspection Report)? parameters Control on Out of specification situation is evident.

Does the records of the final inspection

maintained?
PDIR / Final Inspection done for all lots available.
2
Control on out of specification situation is not evident.

10 3

PDIR / Final Inspection is done randomly. No proper mechanism

1
of out of specification situation control.

0 No inspection carried out.

PM of M/C : 1) PM schedule and records

2) Machine working condition All Machines are in Good working condition and preventive
3 maintenance done as per defined frequency for all the
Is there a Preventive Maintenance (PM) plan 3) Maintenance and machine identification
on equipment and is it followed? 4) Updation of PM checklist and records machines, display boards updated.

All Machines are in good working condition , preventive

2
maintenance done but status is not clearly identified.
11 3
Few Machines are not in good working condition , preventive
1
maintenance is not done and status is not clearly identified.

0 No machine are in good condition , no PM done

A) Process Control - Overall Weight age 40%

Score
Sr No. Assessment Measure Guideline Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
PM of tools : 1) PM schedule and records
All tools are in Good working condition and preventive
2)Critical spare list and min stock level
maintenance done as per defined frequency for all the tools ,
Is there a Preventive Maintenance (PM) plan 3) Updation of PM checklist and records 3
Records are maintained in check sheet.
on tools and is it followed?.
Status of PM displayed on machine.

All tools are in good working condition , preventive maintenance

2
done, Records are not maintained
12 3

Few tools are not in good working condition , preventive

1
maintenance is not done .

0 PM of tools not done and records are also not maintained.

Downtime Analysis: 1) Down time monitoring

2) Down time analysis, Pareto and action
Is the breakdown maintenance process in place plan in place.
and Does organization have down time 3) Breakdown losses and tracking systems.
monitoring plans in place? 4) Critical spares list, Min. inventory levels
5) Responsibility defined for spares stock
and orders.
6) Skill Matrix for Maintenance team.
13
Breakdown monitoring system is in place, records are evident
3 for down time analysis and action plan available.
Updated critical spare list is evident with necessary actions.
Breakdown monitoring system is in place but records are
2 evident
Analysis of down time is done but actions are not evident.
0

Breakdown monitoring system is in place but records are not

1
evident.

0 No system to monitor breakdown time

A) Process Control - Overall Weight age 40%

Sr No. Assessment Measure
Rejection, Rework/Repair :
Does the organization have separate area for
keeping the defective parts ?
I.e. area separate from regular parts?
Does the organization have defined criteria for
rework / segregation?
14
Guideline
1) Separate area of keeping Non conforming
parts, reworked parts , repaired parts
2) WI for rework and repair parts
3) Re inspection of reworked parts and
availability of records
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Separate area for non conforming parts with identification ,
3 instructions for rework / repair is available and re-inspection
records after rework are evident.
Separate area for non conforming parts with identification ,
2 instructions for rework / repair is available and re-inspection
records after rework are not evident.
3
Separate area for non conforming parts but not identified ,
1 instructions for rework / repair not available and re-inspection
records after rework are not evident.

Ok and Not Ok parts are lying together on shop floor ,

0 instructions for rework / repair not available and re-inspection
records are not evident.

Packaging : 1) Parts packaging instructions available.

2) Parts to be protected from damages 3 Requirements Fully Satisfied
Are the packaging and transport suitable for during transit
CTQ protection ? 2) Packaging as per customer
requirements? 2 Requirements mainly satisfied, Minor deviations
15 3
Requirements partially satisfied, significant deviations related to
1
safety / PPE's

0 Not followed Poor compliance to requirements

Total Score 36 32
Sub Supplier Management - - Overall Weight age 15%
Sr No. Assessment Measure
Sub Supplier Selection :
Does the organization have system to
approve suppliers and only quality capable
suppliers selected?
How are Tier-II suppliers selected &
managed?
1 3
Sub Supplier QMS Status
Does the sub suppliers are ISO 9001
certified?
2 3
Raw material :
Are the raw material procured from
authorized sources?
3
Delivery Adherence :
Does the supplier provide schedules with
delivery date to their sub suppliers?
Guideline
- Supplier evaluation, assessment and
selection procedure with clearly defined
criteria.
- List of approved Supplier
- Are the sub suppliers min. ISO 9001
certified?
- Is the supplier selection done
considering QMS certified supplier.
- Look for RM,BO parts supplier ISO
9001 status.
- Raw material procurement is done
from manufacturer / dealer?
- Are the material dealers are
authorized?
- Does the organization controls
dealers?
- Delivery schedule given to sub
suppliers and conformation from their
supplier
- Action plan for non adherence to
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Supplier evaluation, assessment and selection procedure with
3 clearly defined criteria.
List of approved suppliers available.
Supplier evaluation, assessment and selection procedure is
2
defined with criteria but it is not clear.
1 Non availability of supplier selection procedure / instruction.
0 No process for selection. No evidence of management / metrics.
3 All Suppliers are certified with ISO 9001 certification.
2 Few suppliers are not certified with ISO 9001 but plan available.
Few suppliers are not certified with ISO 9001 and no plan
1
available to get suppliers certified to ISO 901.
0 Majority of suppliers are not certified with ISO 9001.
All RM procurement from authorized sources (manufacturers /
3
dealers)
Majority of material procurement from authorized sources.
2
(manufacturers / dealers)
Only few material procured from authorized sources.
1
(manufacturers / dealers)
No control on material procurement process. Quality of RM can
0
not be ensured.
N/A
Delivery schedule communicated all the suppliers & delivery
3 performance monitoring is carried out , action plan is also
evident.
Sub Supplier Management - - Overall Weight age 15%
Delivery Adherence :
Sr No. Assessment Measure
Does the supplier provide schedules with
delivery date to their sub suppliers?
4 2
Incoming Inspection Control :
Does the incoming inspection of material
(RM,BO) is carried out ?
5 3
Outsourced Process Control :
If necessary, does the supplier have an
effective system to monitor any outsourced
process activities?
6 0
Supplier performance monitoring and
audit plan :
Does the organization have established
system to ensure quality of outsourced
products and services?
7
- Delivery schedule given to sub
suppliers and conformation
Guideline from their
supplier
- Action plan for non adherence to
delivery targets.
- Verify Incoming inspection report of
material.
- Is there a Sampling plan and is it
followed?
- Verification of inspection / test report
of supplier.
Defined process for outsource tooling,
manufacturing process control.
- Conformation of outsource tooling
- Validation / Inspection records
1) Supplier capabilities and
performance must be verified at
defined intervals (Score Card)
2) Supplier audit plan and audit results
Score
Rating Scoring Scale & Guidance Assessor’s Remarks
Awarded
Delivery schedule communicated all the suppliers & delivery
2 performance monitoring is carried out but action plan is also
evident.
1 Delivery schedule communicated but not monitored.
No mechanism for delivery schedule communication and
0
delivery adherence not monitored.
Incoming inspection of material carried out as per sampling
3 plan. Supplier inspection / test reports are verified. Actions
initiated on non conforming material.
Incoming inspection of material carried out as per sampling
2 plan. Supplier inspection / test reports are verified.
Actions are not initiated on non conforming material.
Incoming inspection of material carried out but sampling plan
1 not followed.
Actions are not initiated on non conforming material.
0 No mechanism of incoming material inspection.
3 Requirements fully satisfied
2 Requirements partially satisfied
1 Requirements inadequately satisfied
0 Requirements not satisfied
Performance is verified at defined interval for all suppliers and
3 suppler audit is carried out as per plan, action plan is also
available.
Some of the supplier's performance is verified at regular interval
2 & supplier audit is carried out as per plan and action plans are
available.
Supplier performance is not verified at as per defined frequency.
1
Supplier audits are not carried out.
0 No mechanism for supplier performance monitoring.
N/A
Total Score 11 11