Self Assessment Sheet by Vendor

MARUTI SUZUKI INDIA LIMITED
Issue Deptt. Prepared

　Vendor Quality System Audit Report
Date of Issue
Copy to Supplier name
Supplier Attendant Name
Supplier code
(Audit Score)
Achieved Score： 0
×１００ = 0
Total Score： 237
Total 0
Part Number：
Subject: Vendor System Audit
Part Name:
Major focus areas:-
Total
Achieved ○ △ ×
1.Production
1 / 24 preparation 2.Regulation for initial
14.Critical parts Management production control
2 / 15 100
3 / 18
13.Handling Management 3.Changing ma
4 / 18
5 / 18 50
6 / 15 12.Products 4.Stand
management manag
7 / 21
0
8 / 21
11.Implementation
5.Educ
of standards
F003-3 QA/MT Ver. 5

management manag
11.Implementation
9 / 18 of standards
5.Educ
10 / 15
11 / 15
12 / 18 10.Equipment/ 6.Quality aud

Inspection
equipment's
13 / 12
management ©
9.5S management 7.Supplier control ©
14 / 9
Total 8.Handling abnormality
(MSIL 0 / 237 0 0 0 © Key Clauses in quality ©
)
Pre decided negative marking (if
Improvement Submission Date　 Last Audit Rating
any)
F003-3 QA/MT Ver. 5

Verified Approved
Audit Date
Audit Person
n for initial
n control
3.Changing management©
4.Standards
management
5.Education and training ©
F003-3 QA/MT Ver. 5

management
5.Education and training ©
6.Quality audit and process verification
ontrol ©
Rating
F003-3 QA/MT Ver. 5

MARUTI VENDOR QUA
Supplier Name 0
Part Name 0
Category Audit Area Concerning reg

１．　 Regarding
Production 1
implementation rule of
preparation production preparation ①
Regarding management
2
/implementation by ①
production preparation
plan/report (master plan)
Defect prevention on the

3
stage of process design
by using FMEA/Matrix
diagram ①
F0003-1 QA/MT Ver. 5

preparation
MARUTI VENDOR QUA
Supplier Name 0
Defect prevention on the

3
stage of process design
by using FMEA/Matrix
Part Name 0
diagram
Product/process
4
evaluation at the quality ①
evaluation meeting in
each trial
②
２． Regulation for
Regulation for 1
initial production control
initial
production ①
control

MARUTI VENDOR QUA
２．
Regulation for
initial
production
control
Supplier Name 0
Part Name 0
2
Implementation of initial ①
production control
３． Definition and
Changing 1
implementation of ①
management changing management
Definition and control

2
method for initial part ①

MARUTI VENDOR QUA
Supplier Name 0
Part Name 0

４． Procedure to make
Standards 1
process control ①
management standards(QA process
charts)
②
４． Procedure to control
Standards 2
standards
management
・Process control ①
standards
・Inspection
specifications
・Operation instructions

MARUTI VENDOR QUA
Supplier Name 0
Part Name 0

５． Education/ training
Education and 1
procedure
①
training
Education for
2
managers/Inspectors/ ①
Special operators

MARUTI VENDOR QUA
Supplier Name 0
Part Name 0

６．
Quality audit 1
Activity to keep/improve
①
and process production quality
verification
Content of process
2
review
①
７． 1 Evaluation method for

Supplier new suppliers ①
control
Management, quality
2
evaluation and
instruction for suppliers ①

MARUTI VENDOR QUA
Supplier Name 0
７．
Supplier
control
Management, quality
2
Part Name evaluation
0 and
instruction for suppliers
８． Handling when abnormal

Handling 1
situation occurs ①
abnormality in
quality
②

MARUTI VENDOR QUA
８．
Supplier Name 0
Handling
abnormality in
quality
Part Name 0

Prevention of recurrence
2
①
・Customer claims
・In process failure
・Suppliers failure
②
９． Location of production
5S 1
site
management
①

MARUTI VENDOR QUA
９． Location of production
1
Supplier Name site
5S 0
management
Part Name 0
Production equipment's
2
management ①
１０． Maintenance of
Equipment/ 1
equipment's , jigs and
Inspection ①
tools
equipment's
management

MARUTI VENDOR QUA
１０．
Equipment/
Supplier Name 0
Inspection
equipment's
management
Part Name 0

Maintenance of
2
inspection equipment's ①
１１． Implementation of
Implementatio 1
standards ①
n of standards

MARUTI VENDOR QUA
Supplier Name 0
Part Name 0

１２． Management of parts flow
Products 1
management ①
Non-confirming parts
2
management ①

MARUTI VENDOR QUA
Supplier Name 0
Part Name 0

13. 1 Bins/ Trolley Management
Handling
Management ①
14. 1 Maru A Parts

Critical parts Management ①
Management

MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOL
Vendor Attendees
0
Concerning regulation Judgment
Do you define in regulation following items for production

preparation?-scope of parts,-responsibility of each department　-
control contents/items?
Do you define importance level during production preparation for

each product and clarify control items based on it ?
Do you implement follow-up to control the schedule and progress

of production preparation items?
Are production preparation plan and report controlled by a

person in charge of progress (top management) periodically?
Do you consider following items and reflect them to the

processes and standards beforehand?
-Troubles in the past; -Defect items expected;
-Defect items unable to capture at customer;
-Defect items difficult to repair;

Vendor Attendees
0
Do you review and improve FMEA or Matrix diagrams when any

critical issue occurs after SOP?
Do you prevent defects by quality improving activities of cross-

function team to evaluate quality performance?
Do you define condition to start mass production and then check

on the product line prior to SOP?
Do you define following items related to initial production control

by standards ?
-controlled parts; -controlled items; -inspection method;
-initial production control period;
-a person who announce start/end of initial production control;
-finish condition;
How do you define items required special control during initial

production control? Do you set stricter inspection methods than
the ordinal inspection?
Do you share the information of initial production control among

the related department?

Vendor Attendees
0
Do you pick up issues and improve them during initial production

control?
Do you control process capability and defect rate during initial

production control?
Do you define unexpected change (unusual) and planned change

clearly?
Do you define procedure(rules applied from sharing information

to result confirmation) at change occurrence?
Do you record product quality check results to ensure

traceability?
Do you retroactively check about product quality when

unexpected change occurs?
Do you define initial part clearly?
Do you control initial parts separately and make quality records

about them?(both internal and outsourced process are included)

Vendor Attendees
0
Do you make process control standards for all products which is

shipped to SMC / MSIL?
Do you mention defined both characteristics of quality and

production control on the process control standards?
Do you mention followings on process control standards required

to each process?
-quality confirmation method; -regulations;
-standards (operation instruction/items to be focused on);
-boundary samples; -parameter chart; -Pokayoke
Do you define following concerned about standards?

-department in charge of making;
-a person in charge of making;
-a person in charge of authorizing;
-making period; -timing to submit to customer;
-revision rule; -retention period;
Do you have consistency to keep process control standard,

inspection specification, operation inspection and parameter
chart?
Do you make use of lists to control preparation and revision of

standards and share the updated information?

Vendor Attendees
0
Do you clarify the department in charge of promoting quality

education, implement education based on annual plan?
Are records of education kept?
Do you define and implement the skill evaluation of operator to

determine whether operator can work without surveillance?(e.g.
acceptable revel/evaluation frequency/evaluation method)
Prior to SOP, do you instruct each operator based on actual

operation instructions?
Do you implement planned education to supervisors for skill

improvement ?
Do you implement special education or technical training to

inspectors and operators of particular process (required
specialized skills)? Are training records kept?
Do you periodically monitor the skill of certificated operators and

follow up to improve their skill?

Vendor Attendees
0
Do you conduct internal quality audit periodically?

following are standardized:, -auditor team; -audit frequency;
-audit timing; -audit method; -audit check sheet;
Do you conduct quality audit to identify issues and properly

improve them?
Do you focus on useful know-how of operation, operations with

poor workability and operation which need a lot of repair and
standardize them?
Do you confirm consistency between actual operation and

standard?
Do you confirm if countermeasures are taken properly to prevent

reoccurring of quality fail?
Do you define criteria to certificate new suppliers and implement

them?
Do you collect supplier failure information, determine supplier

grade according to quality level and conduct audit and instruction
periodically?

Vendor Attendees
0

For outsourcing any production, do you instruct them clearly
about function and important control items of products at the
meeting ?
For outsourced process, do you control the progress of

production preparation and confirmed issues ?
Do you make suppliers to conduct initial production control and

decide department in charge of conduct?
Regarding the parts which are shipped directly to the customers

from outsourced suppliers, do you have method to assure
product quality performance?
Do you make outsourced suppliers to conduct initial parts and 4M
changing management and is it possible to trace?
Do you define clearly what is abnormal situation and make

operators know the definition?
Do you clarify and standardize the handling rules/routes for

customer claims, in process failure and supplier failure?
Do you have criteria to estimate the scope of suspected lot for

abnormal situation?　When abnormal situation occurs, do you
trace suspected　lot based upon the criteria?

Vendor Attendees
0
Do you prevent recurrence of issues by analyzing cause of

occurring defect based on process investigation result such as 5-
why analysis?
Do you reflect corrective action to improvement of process

control and review of standards?
After corrective action are taken, do you conduct on-site checkup

and evaluate the effectiveness?
Do you cascade information of corrective action to similar parts

and processes?
Do you keep store material, work-in-process, finished products,

inventory and container at appropriate storage prevented from
dust, rust, scratch, deformation and rainwater?
Do you control material, work-in-process and finished product by

designated location, volume and standard using visual control?

Vendor Attendees
0
Do you forbid operators to put temporary storage on work place?
Do you implement inspection or critical operation under the

properly controlled environment luminance
/temperature/humidity/vibration/noise/work table, etc.)?
Do you keep condition of production equipment's, jigs and tools

properly?
Do you keep condition of inspection equipment's properly to

ensure accuracy?
Do you conduct daily/regularly check of production equipment's,

dies and jigs? Are records of maintenance kept?
Do you confirm regularly the function of Pokayoke, automated

stop and alarm? Are records of maintenance kept?
Do you standardize frequency of polishing and replacement for

consumable tools(blade/electrode/rub stone, etc.)?

Vendor Attendees
0
Do you calibrate regularly inspection equipment's and put the

expire date on them?
Do you control deterioration (expire date) of boundary samples

for objective judgments such as appearance inspection?
Do you use easy expression (visualizer, onomatopoeia ,etc.) for

operation instructions? So that operator can easily understand
process and critical points.
Do you keep operation instructions on the accessible place and

post important quality points and critical operation points on the
place where operators can see it easily?
Do operators and supervisors operate according to the operation

standards?
Do you regularly monitored that each operator operates

according to the operation instructions？
Is it possible to judge OK/NG specifically by each check sheet (of

daily equipment check, quality control report, etc.) you use?

Vendor Attendees
0
Do you keep first-in first-out of finished products and work-in-

process (material, reserve parts） by using identification tag or lot
indication?
Do you control follows production history by product lot

numbers?
-production date; -production volume; -shipping date
Do you control identification of similar parts separately?
Do you control identification of non-confirming parts and parts on

hold. Do you store them separately?
Do you define procedure to handling (following items) non-

confirming parts and parts on hold?
-root cause analysis; -person responsible for final judgment
-timing; -feedback procedure.
Regarding repaired non-confirming parts and parts on hold to re-

use, do you define responsibility to implement? Are repair record
kept?　

Vendor Attendees
0
Do you make arrangements with customers about the packing

style & transportation system to prevent damage during handling
of finished products & perform accordingly?
Are the packaging style & storage environment controlled with

consideration to contamination?
Do you have system to maintain Bins /Trolleys in Good

Condition?
Does the Packaging method prevent Transportation damage?
Do you have Special checks/Inspection for Maru A parameters of

Maru A part are available?
Do you have Identification of Maru A Process/Operator on Shop

Floor?
Do you keep the repair history when repairing & using Maru A
items?
Achieved Score 0
Maximum Score 237

Vendor Attendees
0
Audit Rating 0.00

UM FOLLOW UP REPORT
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! For new suppliers, circle "New".
SOC Management System Self-Check Sheet New Regular For regular suppliers, circle "Regular".
Name of supplier Entry date : Filled by :
tel: mobile :
email :
*1 This survey is to related to the establishment of SOC (Substance of concern) management system in accordance with MSIL's "Supplier Selection Procedures and
Maruti Suzuki Green Procurement Guideline.

*2 "Strictly Prohibited Substances" mentioned in this survey indicate Cd, Pb, Hg, Cr6+ and asbestos.
*3 For business transaction with MSIL, suppliers are requested to control environmental impact substances (substances of concern) in accordance with "Maruti Suzuki Green Procurement Guideline".
[Response alternatives]　: Yes, : Not yet, but possible in the future, ×: No　　* In the case of " ", specify the deadline in the "Comment" column.
Requirements Judgment criteria New Regular Comment (Notes)

1. SOC management levels concerning products to be delivered　
(1) "Strictly Prohibited Substances" (*2) are internally known.
(2) You have already obtained "SES N 2402" (latest version).

(1) SOC (substances of concern) is internally known.
(3) You can obtain "GADSL" list (from web).
(4) You conduct searches on environmental laws and

regulations related to your own products.
(1) You can submit the "Agreement".

(2) Green Procurement Guideline
(2) You have already submitted the "Agreement".
(1) You can submit "Asbestos-Free Declaration".
(2) You can submit "Inspection Report".

In the case of asbestos related parts, you can submit
(3)
Asbestos- free certificate.
(3) You have already submitted "Asbestos-Free Declaration".
(4) You have already submitted "Inspection Report".
(1) IMDS data input is possible.

You can submit the constitutive substance data on the
products to be delivered. (2) The data can be submitted by other methods than (1).
(4) * For new suppliers, (1) or (2); For regular suppliers, (3) or (4)
* <Automobiles> For export to Japan or Europe, (1) or (3) is (3) IMDS data input has already been implemented.
required.
(4) The data are submitted by other methods than (3).
2. Establishment and maintenance of your company's SOC Management System

(1) You have established some SOC management rules,
etc.
SOC management method has been documented and

(1) (2) The SOC management rules and others properly work.
the system properly works.
(3) You have established specific rules and processes to

cope with non-conformance.
(1) Storage places for purchases and materials are properly

separated to prevent mix-up.
Wrong parts mix-up preventive measures have been

(2) Production lines are properly sectioned to prevent
(2) taken.
mix-up of parts.
(3) Shelves are properly sectioned for individual

products to be delivered to prevent mix-up.
3. Clarification of SOC management status throughout supply chain for your products
(1) A list of subcontractors by products has been
SOC management for purchases is properly prepared.
(1)
implemented. (2) You can obtain constitutive substance data on
purchases.
4. Clarification of SOC management requirements to subcontractors
You request subcontractors for management of (1) Purchase agreement, order sheet, Green Procurement
(1) "Prohibited substances" and "Substances of Guideline, or other document specifies the SOC
Concern". management requirement.
5. Strict control of materials or parts purchased from subcontractors
(1) A "Prohibited Substance-Free Declaration", etc is

obtained from subcontractors.
SOC-free purchases from subcontractors
(1)
can be certified. (2) Subcontractors' SOC management can be checked
by an external agency or your company, or through
subcontractors' prohibited substance inspection results.
Not Applicable
** Not to be filled by the Supplier
Evaluation result Prepared Checked Approved (Comment on special acceptance of Rank-C supplier) General manager
MSIL
A B C
SOC Self check sheet reference manual:
Substances of Concern (SOC) Substances harmful to global environment and human health
Substances of Concern Substances of Concern > Prohibited substances
SES N 2402(Suzuki Enginering Standard) Suzuki engineering standard concerning restricted use of SOC
(Suzuki Engineering Standard: SOC Control Standard) This standard specifies restricted use (content percentage) of prohibited substances in parts and others.
GADSL list Global Automotive Declarable Substance List
Global Automotive Declarable Substance List (1) <D> - Substances that require a declaration when they are used above threshold level
(2) <D/P> - Substances that are prohibited to use for certain purposes and require a declaration for other purposes
(3) <P> - Substances that are prohibited to use for any purposes
REACH regulation Regulation concerning registration, evaluation, approval and restriction of chemical substances
Registration Evaluation Authorisation and Restriction of Chemicals

This is a regulation of the European Union Parliament and European Council to control chemical substances for protection of hu
environment.
(1) Preparation of SVHC (Substance of Very High Concern) List
(2) Designation of approved substances (conditionally approved substances) <Appendix 14>
(3) Designation of restricted substances (prohibited substances) <Appendix 17>
Substances of Very High Concern (SVHC) Chemical substances that have been proposed for use under the REACH Regulation (to be added on an as needed basis)
Sobstance of Very High Concern • If the content is 0.1 wt% or more, the name(s) of substance(s) and safety-related information need to be provided.
• If the content is 0.1 wt% or more and the annual amount of use exceeds 1 ton, a report needs to be submitted.
<What kinds of substances?>
(1) Cancer-causing, mutagenic and reprotoxic materials
(2) Persistent, bioaccumulation potential, and toxic substances
(3) High persistent and high bioaccumulation potential substances　
ELV Directive
Directive on End of Life VehicleAn European Union's Directive intended to reduce environmental impact caused by end-of-life v
End of Life Vehicle
Targeting four hazardous substances (Lead, Mercury, Cadmium, an

(1) Banning the use of hazardous substances
Chromium)
(2) Designation of target parts Segregation of hazardous substances
(3) Target recycling rate　　　　　 95% or more for reuse and recovery (85% or more for reuse and
Maruti Suzuki Green Procurement Guideline
Green Procurement means procurement of environmentally friendly parts, materials and sub-materials from suppliers that are pla
roles in environmental protection activities.
<Outline>
(1) Compliance with environment related laws and regulations
(2) Establishment of Environmental Management System
(3) Establishment of SOC Management System
(4) Environmental efforts in business activities
(5) Submission of Green Procurement Guideline related documents
SOC data collection system for automobile industry. It allows for collection of data on materials and chemical substances contain
IMDS automobile component parts throughout supply chain.Data on chemical substances contained in parts and others are entered into
supplier, enabling prohibited substances to be checked, and if contained, the content rate to be calculated.
International Material Data System
(International Material Data System)

SOC data collection system for automobile industry. It allows for collection of data on materials and chemical substances contain
automobile component parts throughout supply chain.Data on chemical substances contained in parts and others are entered into
supplier, enabling prohibited substances to be checked, and if contained, the content rate to be calculated.
Prohibited Substance-Free Declaration <Examples> Documents to be submitted from suppliers to MSIL
(1) Green Procurement Promotion Agreement

* SOC-free declaration documents(written pledges) to be submitted from your subcontractors to you
(2) Asbestos-Free Declaration
(3) SES N 2402 Compliance Declaration, etc.

a declaration for other purposes
ntrol chemical substances for protection of human health and
n (to be added on an as needed basis)
information need to be provided.
report needs to be submitted.
(CRM substances)
(PBT substances)
(vPvB substances)
e environmental impact caused by end-of-life vehicles
dous substances (Lead, Mercury, Cadmium, and Hexavalent
se and recovery (85% or more for reuse and recycling)
ls and sub-materials from suppliers that are playing active
a on materials and chemical substances contained in

contained in parts and others are entered into IMDS by each
nt rate to be calculated.

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MARUTI SUZUKI INDIA LIMITED

Issue Deptt. Prepared

F003-3 QA/MT Ver. 5

12 / 18 10.Equipment/ 6.Quality aud

F003-3 QA/MT Ver. 5

5.Education and training ©

F003-3 QA/MT Ver. 5

5.Education and training ©

6.Quality audit and process verification

F003-3 QA/MT Ver. 5

Category Audit Area Concerning reg

Defect prevention on the

F0003-1 QA/MT Ver. 5

MARUTI VENDOR QUA

Defect prevention on the

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

Definition and control

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

７． 1 Evaluation method for

F0003-1 QA/MT Ver. 5

８． Handling when abnormal

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

F0003-1 QA/MT Ver. 5

Category Audit Area Concerning reg

14. 1 Maru A Parts

F0003-1 QA/MT Ver. 5

Concerning regulation Judgment

Do you define in regulation following items for production

Do you define importance level during production preparation for

Do you implement follow-up to control the schedule and progress

Are production preparation plan and report controlled by a

Do you consider following items and reflect them to the

F0003-1 QA/MT Ver. 5

Concerning regulation Judgment

Do you review and improve FMEA or Matrix diagrams when any

Do you prevent defects by quality improving activities of cross-

Do you define condition to start mass production and then check

Do you define following items related to initial production control

How do you define items required special control during initial

Do you share the information of initial production control among

F0003-1 QA/MT Ver. 5

Concerning regulation Judgment

Do you pick up issues and improve them during initial production

Do you control process capability and defect rate during initial

Do you define unexpected change (unusual) and planned change

Do you define procedure(rules applied from sharing information

Do you record product quality check results to ensure

Do you retroactively check about product quality when

Do you define initial part clearly?