Process Name - Subtier Supplier Process Audit

Version: 3.0 Issue Date: August 20, 2014

Auditor: Date: Score

Supplier: Location: 0%
Duns: Part Name: RED

A. Organization/Structure AUDIT WORKSHEET

EVIDENCE/ C
QUESTION: DOCUMENTATION REQUIRED ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \
^
OBSERVATIONS

Is there a formal Supplier Quality Management Department?

1 If so, is there a designated SQE for each geographic region?
Provide Global Org Chart H^ H^

Are there Supplier Quality Engineers assigned to work with

2 Org Chart or other document noting specific responsibilities H^ H^
tiered suppliers?

List of quality related training that is required for the Supplier Quality
Does the SQ Department provide or require Staff, and documented training records of current supplier quality
3 education/training for its staff?
H^ H^
members

B. Supplier Development Process AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION REQUIRED ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \
^
OBSERVATIONS

Is there a documented supplier development and/or sourcing

4 process?
Documented procedure H^ H^

Are there standard audit tools in your "Tool Box" of common Listing of common audit used - similar to SFE (Shop Floor
5 processes used to evaluate your suppliers? Excellence), PSA, PCPA etc.
H^ H^

Are there standard improvement techniques in your "Tool

Listing of common processes used - QSB (Mandatory), and DD&W,
6 Box" of common processes used to improve your supplier's performance continuously? H^ H^
Six Sigma, etc.

Are there standard problem solving techniques used in your Listing of techniques used -similar to Fishbone, Six Sigma, Red X,
7 "Tool Box" to resolve problems at/with your suppliers? 8D, DD&W, 5 why, etc.
H^ H^

8 Do you provide training and development for your suppliers? Documented list of available training H^ H^

Do you have a method of monitoring sediment, and do the

9 run charts show continuous improvement?
Sediment Monitoring Procedure H^ H^

C. APQP Process AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \
OBSERVATIONS
REQUIRED ^

10 Do you utilize APQP with your suppliers? Documentation of the use of the AIAG APQP process H^ H^

11 Do all purchased parts have a completed and up to date PPAP?

12 Do you review supplier control plans? Documented procedure H^ H^

13 What is your PFMEA RPN reduction process with your suppliers?

Are the capability requirements met for critical characteristics? Evidence of Process Control Plan Audit performed H^ H^

Are all the PTC's (Pass Through Characteristic) identified on prints and monitored on tiered suppliers' control plans.
PFMEA audits or PFMEA review meetings H^ H^
14
Part Print H^ H^

15 Part prints or design review meetings H^ H^

Evidence of Process Control Plan Audit performed
Review the capacity analysis sheet done for the supplier during APQP Process.
Is R@R completed for all of tiered suppliers? Is the supplier's
16 capacity monitored, especially when new business is added (including by other customers)? H^ H^

Regular capacity review.

Does Tier 1 supplier have a list of Tier 2 suppliers that are
17 approved by General Motors?
Approved supplier list H^ H^

Is supplier QMS certification status monitored for your suppliers?

QMS certification status. H^ H^
18
l

D. Process Control and Audit AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION REQUIRED ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \
^
OBSERVATIONS

Include but not limited to:

QSB audit
Is there a regular lot sampling and audit plan to tiered
19 PCPA H^ H^
suppliers?
PPSSA
CQI audit

Is there a procedure to do Read Across and/or share lesson

20 learned throughout tiered suppliers
Tracking form of Read Across and/or lesson learned H^ H^

Are there documented incoming inspection (IQC) instruction reflecting the latest engineering change level and KCDS for all purchased parts?

21 IQC insturctions and revision management H^ H^

Verification Station (100%)

Is there on line inspection to monitor KPCs, PQCs, AQCs,
22 Sampling inspection H^ H^
DRs and PTCs etc.?
SPC
Documented traceability requirement
23 Do you have tracability requirement to your suppliers? H^ H^

Ensure proper specifications and dimensions are being accounted for

Does Tier 1 supplier conduct an on-site GP-12 audit at Tier 2
24 and measured, especially items that are pass through for the Tier 1 Supplier. H^ H^
supplier?

E. Performance Tracking AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION REQUIRED ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \
^
OBSERVATIONS

Tracking document(s) with customer measurables, such as product

25 Do you have a process to track supplier performance? quality (discrepant parts, PPM, PRR's), customer disruptions and delivery performance
H^ H^

Does top management regularly review supplier

Staff Meeting Agenda
26performance? High risk/critical tiered supplier List
H^ H^

What actions are taken with inadequate performing Supplier performance review meetings, On site SQE's, Containment,
27 suppliers? New Business Hold, Exit Strategy
H^ H^

Are SQ goals & expectations communicated to your

28 suppliers?
Statement of Requirements on P.O.s, Supplier Communications H^ H^

F. Change Management AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION REQUIRED ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \
^
OBSERVATIONS
 Do you have a formal change management process with Change Management procedure, identifying participants &
29 your suppliers? responsibilities
H^ H^

Is there a process in place for your suppliers to notify you of changes in their process or supply base?
Change Management procedure, identifying participants & responsibilities
30 Do you track changes made by your suppliers? Tracking document, focused on traceability H^ H^
31
H^ H^

Are you aware of the SPCR process, and that GM shall be Change Management procedure, identifying participants &
32 notified of all changes? responsibilities
H^ H^

G. Problem Communication/Resolution Process AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION REQUIRED ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \ OBSERVATIONS
^

33 Do you have an active problem communication process with

your supplier(s)?
Documented process similar to GM's PRR system (paper or
electronic)
H^ H^

Examples shown in supplier communication

Does the process provide for containment, short-term and Both Tier 1 & 2 suppliers have containment, disposal and/or backship information.
34 permanent corrective action information?
H^
Drill Deep process, 5 Phase, 8D, Is or Is Not, Red X, 6 Sigma or other similar approaches
H^

Does the process require the use of a problem solving tool

35 to understand root cause and corrective action?
H^ H^

Does the process include a tool to read across corrective action and prevent recurrence?
36 Read Across Matrix, lessons learned data base H^ H^

Is the effectiveness of Permanent Corrective Action verified

37 by your SQE with on site visits?
Documentation of SQE visit on specific issue H^ H^

Total

H. Material Routing AUDIT WORKSHEET

EVIDENCE / C
QUESTION: DOCUMENTATION ][KPULAHP UA MPD MHE SGMU UA OAAD BA^ Mhswkr \ OBSERVATIONS
^

REQUIRED
Is the process of routing and labeling material established
38 and reviewed with your suppliers to ensure integrity of the material chain prior to your receipt? PFMEA, PCP, Flow diagram, procedure H^ H^

Is a defined FIFO and product "shelf life" been established

39 and being followed for your suppliers product?
Process Control at your location H^ H^

SCORE

Rating:
Green “ 90% / Yellow 70-89% / Red ≤ 69%

Sections Percent of compliance Results sc

A. Organization/Structure 0%
B. Supplier Development Process 0% RED
C. APQP Process 0% RED
D. Process Control and Audit 0% RED
E. Performance Tracking 0% RED
F. Change Management 0% RED

G. Problem Communication/Resolution Process 0% RED

H. Material Routing 0% RED

If any of the single sections is rated RED, overal audit result is RED with 0% score

Summary score 0% RED Pts Element Scoring

Requirements not met, needs immediate correction
0 SQE to assure actions are in place prior to leaving the facility,
including CS1/2 implementation if necessary
Requirements not met, process acceptable with additional controls in
1 place

2 Requirements met, process has improvement potential

3 Requirements fully met, best practice process in place

NA Not Applicable (does not impact audit score)

Supplier Representative Name with Signature

GM Representative Name with Signature NR Not Rated (impacts audit score)
Zra`kss Zkrbarimh`k SUPPLIER ACTION PLAN REPORT Rev. 7

1/7/02

Supplier Start Date: SQE

Location Rev. Date: SQE Phone:
Duns Grad Date: Manager:
Commodity Program: Group:
Prepared by: Creativity Team:

G Green - Task Completed on Time

Y Yellow - Task May Be Late
R Red - Task is Late
W White - Task Re-Timed, No Status
B Blue - Task Status is Incorrect / Not Updated
On Track (Bold Box/No Color)

STATUS
Most
Oldest Recent

AUDIT DATE TARGET ACTUAL LAST

ITEM Priority ACTION ITEM ACTION LEADER 1 2 3 4 5 6 COUNTER MEASURES
SECTION OPENED CLOSE DATE CLOSE DATE UPDATE

1
2
3
4
5
6
7
8
9
10

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Zra`kss Zkrbarimh`k SUPPLIER ACTION PLAN REPORT Rev. 7 1/7/02

C5: Person at supplier that prepared the form for the GM SQE. (lf applicable)

C16:
1- Normal priority

2- High priority

3- Highest priority

D16: ACTlON lTEM: The item that requires action to improve the process or quality of the product being produced.

E3: Graduation Date:

This Date Will Be Determined By GM SQ Directors

E4: For PDC SQE Only:

ldentify which program your supplier is in "lQ' or "SQA".

E16: ACTlON LEADER: The person that leads the team to make the improvements. This should be the suppliers person but may be a GM Management person.

F16: START DATE: The date the action item was identified and listed in the action item column

G16: TARGET CLOSE DATE: The date the supplier will complete the action item.

This date may change. lf the date changes, you are required to entry the correct color code in the pass status and present status
columns. A comment on why the change to be entered in the comment field

H16: ACTUALCLOSE DATE: The date the action item was closed TO lNCLUDE VALlDATlON.

The SQE should validate the action item as being closed and RESOLVED.

l16: LAST UPDATE: The date the SQE reviewed the action item.

l13: PAST STATUS: The cell is filled in when the status changes. Oldest status to the left
lf status is WHlTE put a "W" in the cell. Do not leave blank.
Copy the cell for the correct color.

COLOR CODE:
GREEN: Task Completed on Time
YELLOW: Action item is in trouble and may affect target
date. RED: Action item has missed target date.
WHlTE: Task Re-Timed, No Status
BLUE: Task Status is incorrect / Not Updated

P16: COUNTER MEASURES:

569098045.xlsx Printed: 01/07/2022 Page 4 of 5

Audit form developed by:

Name Department Region Phone Mail
Elliott Walter Dept

Changes Log:
Date Version Description
2/17/2011 Initial Release Document Owner: Elliott Walter
11/11/2011 1.0 Adding Process Control and Audit module
10/2/2013 2 Additional Content Added
8/20/2014 3.0 Minor modifications to be aligned with GM 1927-03 SOR Subtier.