SUPPLIER ASSESSMENT REPORT

Type of assessment : Supplier Self-Assessment / Initial / Re-assessment Date of Visit :

Supplier Name: Supplier code:

Address: Auditors :

Product (S): Auditee :

SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
SURVEY ITEMS ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)

1-0

Do the Supplier implements / maintains the QMS

1-1 in accordance with ISO 9001,IATF 16949 or any
other standard as applicable.
General Ref.
If the supplier is not certified to any standard, is
there a plan for certification available ? (Verify the
1-2
adherence to plan during successive
assessments.)
QUALITY MANAGEMENT SYSTEM

Is the Quality Policy, Quality Objectives defined,

1-3
being implemented.
Quality Manual
Is the Quality Manual & relevant Quality
1-4 Procedures, forms & other documents made &
implemented.

Has the supplier identified.

A) Document approval authority.
B) Document approval records.
C) Identification, storage disposal of obsolete
Document control /
1-5 documents.
Control of records
D) System to ensure non-availability of obsolete /
Invalid documents all points of use.
E) System of record retention and disposal of
records.

Has the supplier defined a system to

a) Notify / distribute customer engineering
Engineering Specifications 1-6 standards changes.
B) Process and records for the implementation of
the change.

2-0

Is the supplier management committed towards.

A) Ensuring the availability of resources including
human resources.
Management commitment 2-1
MANAGEMENT RESPONSIBILITY

B) Conducting timely Management Review.

C) Alignment of business plan with customer
objectives and stated Quality policy.

Do the suppliers management maintain the

QMS Planning 2-2 integrity of the management system when
changes to the QMS is planned.

Authority & Has the supplier management defined Authority &

Responsibility/Quality 2-3 Responsibility for Quality in case any Non-
Resp. conformance occur in all shifts.

Has the supplier identified

Management
2-4 1) MR (Management Representative)
Representative
2) CR (Customer Representative)
 SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
SURVEY ITEMS ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)

3-0

Do the supplier trains all the personnel

performing work affecting quality.
A) There training schedule, Training records are
available.
B) Qualification criteria defined.
RESOURCE MANAGEMENT

C) Records of training effectiveness.

D) Are trained for customer specific requirement i.
e. (Pass Through Characteristic i. e. PTC) and
any other requirement.
Human Resources / E) Training provided on the Job including to
3-1
Training contract personnel.
F) Consequences to the
customer of non - conformity to quality
requirements (I. e. PTC)
G) Are the employee sufficiently empowered &
motivated ?
H) Contingency plan for man power.
I) Provide adequate work environment.
J) Maint 5'S.
K) Use of PPE (Personal Protective Equipments.)

4-0

Is the supplier capable to effectively

Customer Communication 4-1 communicate to customer in case of any
deviations occur in planned arrangements.

Is the supplier capable

A) To design and develop the product
Design Development 4-2 B) Use CFT approach
C) An approach to develop the product equivalent
to APQP.

Do the supplier prepares as required.

A) Process specification (Control plan) &
drawings.
Mfg B) PFD
4-3
output C) PFMEA
D) Work Instruction
PRODUCT REALIZATION

E) Mistake proofing projects.

F) Product / Process verification plans.

Has the supplier identified a system

A) To submit PPAP as per latest AIAG standard
or as per check sheet given by customer.
PPAP 4-4
B) To inform the changes & get approval from
customer before changing the process /
product/method on PPAP approved parts.

Do the supplier have system for

1. Incoming inspection of purchase products
including customer supplied product
2. Selection system & approved sub supplier
records.
3. Performance Rating method & information to
Purchasing 4-5 sub supplier.
4. Sub - supplier audit results
5. Compliance to governmental /regulatory
requirements.
6. Development of sub supplier.
7. Sufficient purchasing information I. e. P. O.
Commercial Contract.

Do the supplier implements a system.

A) for existence of preventive maintenance.
B) taking corrective - Preventive action in case of
Preventive & Predicative
4-6 any failure (i. e. contingency plan) C) An
maintenance effective break down maintenance system.
 SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
SURVEY ITEMS ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)

Has the supplier identified & planned the

processes required to produce products.
A) Availability of job instruction / Control plans /
Product realization SOP / Drawing at shop floor.
Product & service 4-7 B) Adherence to documents.
provision. C) Monitoring and control of suitable process
parameters and product charactristics.
D) FOP approval.
E) Acceptance criteria.

Has the supplier identified process to protect the

Confidentiality 4-8
confidently of customer information.

Is the supplier determines

A) Method to monitor 100% on time delivery.
Customer related process 4-9
B) Corrective - preventive action in case delay in
achieving the compliance (I.e. 8D report)

Has the supplier identified significant

Customer related Sp. characteristic I. e. (Pass Through Characteristic
4-10
Characteristics I.e. PTC) in its documentation (I. e. Control Plan,
PFMEA etc.)

Do the supplier reviews the requirement related

Contract Review 4-11
to product i.e. contract review with the customer.

Has the supplier identified a system for

PRODUCT REALIZATION

A) Tool & gauge design, manufacturing &

verification activities.
Tooling Management 4-12 B) Maintenance & repair facilities including
providing trained personnel.
C) Tooling identification clearly defining their
status.

Is there a system for production scheduling to

Production scheduling 4-13
meet customer requirements.

Has the supplier defined

A) A system to validate process where its output
cannot be measured.
Validation of Production 4-14 B) Processes are capable to meet planned
results
C) Frequency of validation
D) Records of validation.

Has the supplier defined a method

A) Suitable product identification throughout the
Identification & facility I. e.tracebility from raw material to
4-15
Traceability delivered product.
B) Method of traceability where required by
customer.

Is there a system for

Preservation of product /
4-16
Storage & inventory
1) Preservation of product.
2) Storage of incoming, WIP, finished product.
3) Providing adequate handling means
4) Inventory management
5) Evidence of FIFO.

SURVEY ITEMS
4 M Change management
PRODUCT REALIZATION
Control of MMD
Measurement, analysis
improvement
Monitoring measurement
of manufacturing process
MEASUREMENT ANALYSIS & IMPROVEMENT
Identification of statistical
tool
Customer satisfaction
IQA
SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)
Has supplier monitoring 4 M changes ?
A) List of planned unplanned change available.
B) What actions will be taken if 4M change
4-17
occurs.
C) Part validation record.
D) Monthly 4 M change from supplier.
Has the supplier made
A) List of equipment
B) Defined method for calibration
C) Calibration schedule
D) Records of calibration
4-18 E) Traceability of calibration
F) Calibration status
G) MSA plan & implementation records
H) Lab scope for internal calibration
(I) Uses the calibration / testing / Inspection from
the NABL approved Lab for external calibration.
5-0
Has the supplier planned to demonstrate
5-1
Conformity of the Product I. e. Product audit.
Do the supplier conducts the Manufacturing
process audit.
A) Review of production line to process flow
diagram and control plan.
B) Process capability results.
5-2
C) Review of control charts.
D) Process study reports.
E) Plan & Executed actions from process study.
F) Records of process change.
G) Corrective action (i. e. 8D) report.
Has the supplier
A) Defined the requirement of appropriate
5-3 statistical tools in control plan.
B) Understand & implement basic SPC tools,
stability process capability etc. in the process.
Do the supplier monitors the customer
satisfaction in terms of delivery schedule, quality
5-4
issues, customer line stoppages, incident of
premium freight paid etc.
Do the supplier maintains & implement
1) IQA schedule (Audit scope, criteria, frequency,
methods)
B) Records of performed audits.
5-5
C) Implementation of NC reports including follow
up audit records.
D) List of Qualified auditors.
E) Appropriate prioritization.
MEASUREMENT AN

SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
SURVEY ITEMS ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)

Is the supplier audit at appropriate stage, of

Product audit, Monitoring
5-6 production and delivery to verify conformance to
measurement of product
all specified requirements at defined frequency.

Layout inspection and Do the supplier perform layout inspection &

5-7
functional testing functional testing.

Has the supplier a defined method

A) To identify NC-product (Rework also)
Control of Non -
5-8 B) Segregation from conformed material.
confirming product
C) Evaluation & Disposal
D) Information to customer.
A) Do you define clearly what is abnormal
situation and make operators know the definition?
B) Do you
Handling abnormality in have criteria to estimate the scope of suspected
5-9
quality lot for abnormal situation? When abnormal
situation occurs, do you trace suspected lot
based upon the criteria?

Observe on site the Continuous improvement

objectives as defined Example :- A)
Process Efficiency Customer Complaints handling
measurables: targets and 5-10 B) In House PPM Trends
results C) Supply improvement
D) Other Requirement
MSA

Do the supplier determine collect & analyze

appropriate data to demonstrate the suitability
and effectiveness of defined system i. e. COPQ,
product inspection results, process capability
Analysis of data 5-11 data, Internal audit, CAPA & use the data for
A) customer complaints resolution
B) Prioritization of action.
C) Continual improvement.
D) Manufacturing process improvement.

The supplier take action to eliminate the cause of

NC in order to prevent re occurrence (i. e. 8D
format)
A) Problem solving method used (why-why, 8D,
Corrective -Preventive 7step)
5-12
action B) Error proofing / Poka-yoke plan /
implementation record.
C) Corrective action impact on similar process.
D) Preventive action
E) Reject product test / analysis records (8D)

6-0
Has supplier a defined system for following
A) Training of 5S and Safety to all
emplyoees
B) Proper identfication of required items
C) Signboard and location identification.
5S and Safety 6-1
D) Signboard and location
identification.
E) Internal 5S and Safety audit with checksheet
F) Recognition and reward policy for 5S
champions
DE OF CONDUCT
 SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
SURVEY ITEMS ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)

Has supplier a defined system for following

5S,SAFETY & SUPPLIER CODE OF CONDUCT
Supplier Code of Conduct 6-2
A) Does supplier have policy to ensure
that There is no child labour?
B) Do all workers have free safe access to toilets
which are in good condition and have running
water with soap?
C) Are Fire Extinguisher provided & is easily
accessible. D) Are
the emergency evacuation routes clearly
identified and free from obstacles?
E) Are there first aid kits containing products
suited to the risks? (At least 1 per 150
employees)
F) Is PPE distributed and replaced free of charge
to the personnel needing it? G) Is the
working hours policy displayed or known by the
workers? (Break time, factory operating hours,
days off, OT policy etc…) H) Do all
workers have access to free drinking water?

Has supplier a defined system for following

A) Are different type of wastes
identified on shop floor and standards/
Procedures made?
B) Is Segregation done at source for different
type of wastes?
Environment Compliance 6-3
C) Storage and disposal being done as per
consent and periodic confirmation at disposal
stage?
D) Is a system in place to document/register and
fulfill customer specific enviroment related
requirements?
7-0

Has supplier following initial supply control during

ECN/PCN as per SLSPL supplier quality manual
Initial control

requirements ?
A) Initial production control period
Initial flow control 7-1
B) Stricker inspection during initial supply.
C) IFC announcement, Trend monitoring, Exit if
target achieved.
D) Analysis issue reported during IFC period.

8-0

Requirement of CQI Audit

A) Is CQI required for product
CQI

CQI Requirement 8-1

B) If yes, is audit check sheet available
C) What is the Audit status

9-0

Countermeasure Are all countemeasures implemented and

9-1
verificetion effective submitted by supplier ?
NC

Previous Audit NC Are all countemeasures implemented and

9-2
verification effective submitted by supplier against audit NC's.

Rating is to be done on a scale of 0 to 3

0 System does not exist Score (Clause 1) 0%

1 Does not meet the requirement.
2 Marginally meets the requirement, needs improvement.
3 Fully compliant.
4 Minimum Score in Quality clause (Clause No.1) shall be 70% & score in each clause shall be Min 50% (Except Quality Clause) Overall Score
5 Over all rating shall be minimum 60%
(As a rule, when over all rating is less than 60 % and / or there is an itemized rating of 0 point, judgment is made as "Not Approved)

Overall remarks of the assessment team.

 SUPPLIER
SUPPLIER SELF AUDIT ON SITE AUDIT
SURVEY ITEMS ITEMS TO BE CHECKED SELF AUDIT ON SITE AUDIT OBSERVATION COUNTERMEASURE TARGET DATE RESPONSIBILITY STATUS
OBSERVATION SCORE (0-3)
SCORE (0-3)

Signature of Auditors
Remarks of Approval Authority

Signature of HOD- Material