Supplier Risk Management Audit Check List

Comapany Name Current Performance (Last quarter)

Audit Location VQR

Day & Date of Audit Warranty PPM

Manufacturing Category CID PPM

Type of Products BOSF PPM

Certifications BOP PPM

Plant Head Audit Rating

No. of
QFRs/month

Auditees PDI report status

Lot segg./month

Report prepared
by
Auditors
Report prepared
on (Day & Date

Audit Summary
S.No. Area of Evaluation Max. Marks Actual Marks Score Remarks

1 Process Controls 135 0 #DIV/0! #DIV/0!

2 Product Controls 135 0 #DIV/0! #DIV/0!

3 System Controls 130 0 #DIV/0! #DIV/0!

Total 400 0 0% Poor

Section Wise Performance

Product Controls Process Controls System Controls
S.No. Parameters Max. Actual % S.No. Parameters Max. Actual % S.No. Parameters Max. Actual %
1 QGFI 30 0 0% 1 PQCS & PFMEA 19 0 0% 1 Quality System 15 0 0%

2 PDI 11 0 0% 2 Process Monitoring 13 0 0% 2 Change Management 15 0 0%

New Product
3 Product Layout 21 0 0% 3 Process Qualification 17 0 0% 3
Development
14 0 0%

4 Product Testing 23 0 0% 4 Process Capability 9 0 0% 4 Human Resource 31 0 0%

5 Product Traceability 9 0 0% 5 Process Standard 19 0 0% 5 Tool Maintenance 19 0 0%

6 NC Control 23 0 0% 6 Audit Management 23 0 0% 6 Machine Maintenance 19 0 0%

7 Instrument System 18 0 0% 7 Supplier Management 35 0 0% 7 Inventory Management 17 0 0%

QGFI PQCS & PFMEA Quality System

Instrument System 100% PDI Supplier Management 100% Process Monitoring Inventory Management 100% Change Management
50% 50% 50%

0% 0% 0%
NC Control Product Layout Audit Management Process Qualification Machine Maintenance New Product Development

Product Traceability Product Testing Process Standard Process Capability Tool Maintenance Human Resource

Section - A: Product Control

Score
S.No. Check point Remarks
Max Actual
Are CTQ's defined? 3
Is Inspection frequency defined? 2
Is inpection method defined? 3

A1 QGFI
 Are SOP's/WI's/CTQ's etc. displayed? 2
Is manpower sufficient at inspection stage? 2
Sufficiency of equipment / instrument/ gauge 3
A1 QGFI Is Final inspection layout correct w.r.t. process flow (Is mixing possible)? 2
Are dedicated Quality Gates available for CTQ parameters? 2
Is data monitored at Quality Gates? 2
Are limit samples available at/near the station? 2
Is environment conducive for inspection? 2
Are trained manpower deployed at Final inspection? 3
Are inspection records available (defect monitring data, straight pass etc.) 2
Are PDI standards approved by HMCL ? 2
Do PDI standards cover all the CTQ's ? 3
A2 PDI Is inspection report filled as per standards? 2
Are PDI reports submitted along with all lots ? 2
Whether issues/gaps/defects at PDI is monitored? 2
Frequency of product layout is defined or not? 3
Are inspection standards available ? 2
Is drawing available w.r.t. latest ECN? 3
Are all parameters checked ? 2
A3 Product layout
Are the inspection reports sent to HMCL periodically as per schedule ? 2
Is plan vs actual monitored on monthly basis? 3
Whether issues/gaps/defects is monitored and analyzed? 3
Whether reason for variance/gap is mentioned/recorded and action plan available ? 3
Is testing plan available (metallurgy, Performance, durability, Lab, Regulation, COP etc.) 3
Is testing plan adhered? 3
Is testing checksheet available? 2
Is checksheet adequately filled? 2
A4 Product Testing Is infrastructure for testing available? 3
Is testing plan reviewed based on performance and customer feedback? 2
Are test reports submitted to HMCL as per plan? 2
For any NC, whether suitable actions are being taken? 3
Is effectiveness monitoring done for NC part? 3
Is the final product traceable upto raw material/BOP? 3
A5 Product Traceability Is the BOP traceable to the supplier's date of manufacturing and dispatch? 3
Are traceability records maintained? 3
Are customer performance data monitored? 2
Are issues from customers recorded? 2
Are customer issues analyzed? 3
Is effectiveness monitoring done for corrective actions? 2
Is internal rework monitored for all the processes? 2
A6 NC Control
Is internal rejection monitored for all the processes? 2
Is rework analysis done? 3
Is internal rejection analysis done? 3
Are improvement project taken based on these analysis? 2
How non-reworkable NC's are disposed? 2
Does the organization have a list of Instruments, gauges and fixtures? 2
Are the Instruments, gauges and fixtures calibrated? 3
Is there any calibration plan for the Instruments, gauges and fixtures? 3

A7 Instruments, Gauges Is the plan vs actual adhered? 2

and Fixtures Are adequate spare parts available for gauges and fixtures? 2
Does the organization practices MSA? 2
Is there any MSA plan? 2
Is plan vs actual monitored? 2

TOTAL (Section-A) 135 0 Poor

Section - B: Process Control

Score
S.No. Check point Remarks
Max Min
Is the PQCS available? 3
Is PQCS adequate? (CTQ's, RM, Controls etc.) 5
Is PQCS adhered on the shopfloor? 5
B1 Control Plan & PFMEA
Is PFMEA available? 2
Is PFMEA adequate? (with revision) 2
Is PFMEA updated (revised)? 2
Is process flow diagram available? 2
Is it adequate and updated? 2
Process Flow Are process parameters monitored? 2
B2
monitoring Are monitored records available? 2
Is First part/last part inspection done by the inspector/operator? 2
Are NC's analyzed and closed in the process? 3
Is process validation plan available? 3
Is process validation done as per plan? 3
Is re-validation of processes done as defined in HMCL's supplier Quality Manual? 2
B3 Process Qualification Are the records available w.r.t. process validation? 2
Is process setting inspection done? 3
Are the records available for process setting? 2
Is process setting inspection done? 2
Is process capability monitored for all CTQ's? 3
Is there a plan to monitor Cp/Cpk available? 2
B4 Process Capability
Is the plan adhered? 2
Is the process monitored through relevent charts (Xbar-R, I-MR etc.) 2
Are process standard / WI's / SOP's maintained on the machines/processes? 2
Are process standard / WI's / SOP's adequate? 2
Is there any list of Poka-Yoke's available? 3
Is there any mechanism for implementing Poka-Yoke? 2
B5 Process Standard Are all the Poka-Yoke's in working condition as described in the list? 3
Is there any maintenance procedure/checkpoints/plan for the Poka-Yoke's? 3
Is the visual management adequate for the understanding the process NC's? 2
Are safety measures identified and taken on the process? 2
Does Internal process audit plan exists? 2
Is process audit plan vs actual adhered? 3
Are non-conformities recorded and closed? 3
Are repeated non-conformities monitered? 2
Is there any plan for system audit? 3
B6 Audit Management
 B6 Audit Management
Is plan vs actual for system audit adhered? 2
Are non-conformities recorded and closed? 2
Are repeated non-conformities monitered? 2
Do the audit data is being reported to top management in reviews? 2
Are the action plan made for closure of process and system NC's? 2
Is there any system to assess the performance of Tier 2 supplier of HMCL? 2
Is the performance of suppliers reported on timely basis (monthly)? 3
Is there any process to inspect the supplier parts? 2
Are the inspection standard available for supplier parts? 2
Are gauges and fixtures for supplier parts adequately maintained? 3
Is there any sampling plan? 2
Is sampling plan adequate and followed? 2
B7 Supplier Management Is there any supplier audit system? 2
Is audit plan vs actual followed? 2
Are closure of supplier NC's monitored? 3
Is there any process for selection of suppliers and Raw material sources? 2
Is the approval procedure followed/implemented? 3
Is there any procedure and plan to validate the Raw Material testing? (3rd party) 2
Is plan vs actual adhered? 3
Is raw material received with a test certificate? 2

TOTAL (Section-B) 135 0 Poor

Section - C: System Control

Score
S.No. Check point Remarks
Max Min
Is the organization ISO/TS 16949:2009, ISO 9001:2008 certified? 2
Is the certificate valid? 2
Are the non conformities closed? 3
C1 Quality System
Does the organization conducts business reviews/meetings with top management? 2
Is the plan vs actual reviews adhered? 3
Does the customer performance, audit performance a part of review meetings? 3
Is there any change management process exists? 2
Is the process followed? 2
Are the people aware about HMCL's IPPT regulation? 3
C2 Change Management
Are all the ECN's available? 2
Is there any record for the 4M changes in the organization? 3
Is the record adequate? 3
Does the organization have an approved new product development process? 2
Is the process adequate and followed? 3
New Product Are all the inspection standards approved and signed off? 2
C3
Development Are the records of design reviews, gauges available? 2
Does the organization have PPAP? 2
Are the PPAP documents adequate? 3
Is there any Organization Structure available? 2
Is the organization structure approved? 2
Is the Plan vs Actual w.r.t. organization structure adhered? 3
Are the roles and responsibilities defined in every function? 2
Is the Quality Custodian defined? 2
Is there any Reward and Recognition procedure? 2
Human Resource Is there any Training need analysis done? 3
C4 Management Is the training list aligned with the Training need analysis? 2
Is Plan vs Actual adhered for Training process? 3
Is there any procedure for manpower deployement at critical processes? 2
Is the skill analysis done for operators? 2
Is there any Contigency plan available and is it adequate? 2
Awareness level of operators 2
Awareness level of staff 2
Is the Preventive Maintenance plan available? 2
Is Plan vs Actual adhered? 2
Is the Preventive Maintenance checksheet available and adequate? 2
Is the PM checksheet adhered? 2
Tool/Die/Mould/Fixture Are the CTX's have been identified in the checksheet? 2
C5
Maintenance
Is History Card maintained? 2
Is there any Breakdown Maintenance system? 2
Is Breakdown Analysis done? 3
Are frequent and repeated breakdowns monitored? 2
Is the Preventive Maintenance plan available? 2
Is Plan vs Actual adhered? 2
Is the Preventive Maintenance checksheet available and adequate? 2
Is the PM checksheet adhered? 2
C6 Machine Maintenance Are the CTX's have been identified in the checksheet? 2
Is History Card maintained? 2
Is there any Breakdown Maintenance system? 2
Is Breakdown Analysis done? 3
Are frequent and repeated breakdowns monitored? 2
Are Inventory records maintained? 2
Is there any Inventory policy in the organization? 2
Is the storage space for WIP's and Inventory sufficient? 2
Inventory and Shopfloor Is material handling is done in a coherent manner? 2
C7
Management Is there any Trolley/Bin Management system? 2
Are the conditions of Trolleys and Bins adequate? 2
Is the 5S/House Keeping adequate? 2
Does the Organization follow FIFO throughout (BOP to Dispatch)? 3

TOTAL (Section-C) 130 0 Poor

End of Report
 Action Plan against Supplier Audit Observations
Comapany Name(V. Code) ARIHANT PRECISION SCREW PVT. LTD .
Audit Location (Address) 216, HSIIDC , KUTANA , ROHTAK , PIN. 124001
Days & Date of Audit 27.12.2019 ( THURSDAY)
Manufacturing Category ROLLING COMPONENTS
Type of Products FASTENERS , BOLTS
Reason of audit Supplier's Sytem evaluation
Clause Observation

Product

1.Chances of Mixing at QGFI is very high . All material kept on floor without TAG .
2.Data monitoring for Qty Checked -- OK- NG - and its Breakup - not evident.
3. Limit samples are not evident at QGFI .
4.Need to improve 5S in and around the Quality Gate . Layouting required .
5.Straight pass data , defect monitoring records not evident at QGFI .
A1

1.Monitoring of Issues / Gaps / Defects at PDI stage is must . Need to display the
visual board .

A2
 1. During Product layouting - issues/gaps/defects observed and their monitoring /
analysis / reason for variation and action plan to correct the part not evident .
Need to make the format accordingly .
A3

1.Testing plan is not evident , however All required Tests are being conducted
through the Third Party Lab facility as per customer or part requirement .
2.As Testing plan is not Evident , so no specific adherance .
3.No specific Testing Check sheet prepared . Dependent on Third party testing
only.
4.Filled Testing Check sheet is not evident .
5.Lab infra structure is availble but not well managed .
6.Customer feedback is reviewed but not as per Testing plan as it is not evident .
A4 7.Monitoring for NC parts is being done by coordinating with Third Party but no
format at own end to note down the Action Taken and their Effectiveness.

1.As material movement tag APSI/FM/TB/01 are availble but not being
implemented and used .Final FG parts can not be traced out . System is in place
but not adhered and followed . Regular entry to maintain tracebility records are
not being done .
2. Need to write down the Route card number in TAG .
A5
 1.For Effectiveness monitoring on Quality Concerns ,Red Bin Analysis meeting is
must to do which is not being done prersently . Although , Area is defined for
A6 conducting Red Bin Analysis meeting.
2.Improvement activities suggested On PQCDSM and KAIZEN BOARD must be
displayed on shop floor .

A7

Process

Control plan is available but PQCS is not available .

B1 After making PQCS , to mention the Process Control check point on shop floor

1.Process parameters sheet spec. is not mentioned so no effective monitoring .

2.No records are evident SPEC . WISE .
B2 3.FPA / LPA is being done . Format No. APS/FM/DV/17 but loaction for keepinf
FPA / LPA is not defined on machine . Suggested identified Boxes as well as NEED
TO CORRECT THE FORMAT For NC Analysis .

1.Process Qualification - Validation records are not Evident . Completely .

B3 Need to make formats for Process Validation .
Need to mainatain records for Process Validation.0

B4 0
 1.WI are available on machine at Rolling and Threading but SOP are not evident .
2.No pictorial representations . SOP required - in pictorial format .
3. Need to give special focus on Pokayoke Check list , Daily Check list is required
B5 for daily check to ensure . Pokayoke working will ensure Good Quality of screws .
Check list to be made in detail . S.No/ Pokayoke implemented at m/c No. / Type /
Check point / Check method .

B6
B7
0
System

C1 0

C2
1.APQP time plan for New parts are not evident .
2.PPAP File need to maintain . With sequence .

C3

1.Critical process like Rolling , FI need to define and procedure for manpower
deployment requifred.

C4
 1.For Tool / Die - NO RECORDS AND SYSTEM EVIDENT .
Need to work in detail .
PM Plan / PM Check Sheet / History Card / Breakdown records and tool
C5 breakdown analysis with monitoring required.
Break down Record - APSI / FM/ TM/ 02 , Rev.No. 00

1. PM Check Sheet available but not adequate . Check Sheet ADHERED but to
categorize the PM check Sheet . Mech.- Elec.- Hyd.- Pneumatic
2.Need to add CTX in PM Check Sheet for machine important points .
3.Break down maintainenace system needs improvement in terms of data
recording .
C6 4.Need to make a summary sheet for all breakdown and highlight the frequent
B/D

For loss in Production as per the Plan , No analysis and countermeasure is

observed . Even repeated gaps are not been focussed .

C7

1.Need to improve 5S in PDI area .

C8
n against Supplier Audit Observations
Auditors
1
2
3
4
Action plan filled by :
Current Status
Action plan Responsibility Target Date
(Open/Close)

1. all material will be available with tag with complete identification and
polybag with rubber lock . 2.we will displayed all
detail on board in final area
3.Limit Sample was available and display at QGFI
area with exp. date and prpand apr by. MR. SUMIT 30.1.20
4. 5s is ok with proper identification in and around Quality Gate
layouting to be done (w.eft.d .24.1.2020) 5.Daily
Defect Record data to be displayed on board to all team of sorting
(w.eft.d .28.1.2020)

1. Monitoring of Issues / Gaps / Defects to be displayed at PDI stage on

board MR. Karan Thakur 28.1.20
we will keep record of During Product layouting - issues/gaps/defects
observed and their monitoring / analysis / reason for variation and action
plan to correct (APSI/FM/QA/12 - FOR PLAN ,(APSI/FM/QA/52 - FOR
PROCESS VALIDATION RECORD), MR. Karan Thakur 10.2.20

1. we will make testing plan for mechinical test for automotive parts only
2. Testing specific will add
properly like UTS, yeld strength , hardness as per grade required as
standard ISO 898 3.specific Testing Check sheet will
prepared 4. as per testing specific report to be maintain
w. eft d. 10.2.20
5.it willmanage properly
6.as per customer feed back document and evident was available
7.Customer specific
requirement format is available and and capa effectiveness will kept

MR. Karan Thakur 15.2.20

1. We will maintained route card proper

2.Route card number is available on tag MR. Karan Thakur Done
1.For Effectiveness monitoring on Quality Concerns ,Red Bin Analys
meeting was done and documented which is being done prersently
(Done) 2.Improvement activities suggested
On PQCDSM and KAIZEN BOARD was displayed on shop floor . at
enterance area
MR. Karan Thakur Done

PQCS Was available but for some part . we will make for every part and Mr. Hitesh Regular from
we will maintaind as per mention the process control check point 28.1.20

1. PQCS Was available but for some part . we will make for every part and
we will maintaind as per mention the process control check point (w.efft.
D. 28.1.20) 2. we will maintin record as spec.wise
((w.efft. D. 28.1.20) ) 3. currently location is Mr. Vikrant Currently done
defineed in one packed with attached setting approval on machine for
FPA/LPA and when satting will change then FPA/LPA packed will available
in sephrate rack which is decided for it and it willavailable up to 3 month

Sir it was available "" manufacturing process audit plan v/s actul
""(APSI/FM/QA/12 - FOR PLAN ,(APSI/FM/QA/52 - FOR PROCESS MR. Karan Thakur DONE
VALIDATION RECORD),
3. we will make check sheet for pokayoke working will ensure good with
all relevent detail w.eft. D 6.2.20 MR. Karan Thakur 6.2.20

1. APQP time plan and matrix was available for automotive part only
2.we will maintain Mr. Udit
PPAP file with sequence.

29.1.20

we will define questionery for Critical process like Rolling and FI

MR. Karan Thakur 6.2.20

1.We will maintain tool record as per required PM Plan / PM Check Sheet
/ History Card / Breakdown records and tool breakdown analysis with
monitoring

Mr. Rahul 6.2.20

1. PM Check sheet will categorize as like mech, elec. Hyd. Pneumatic. 2.

We will add ctx point in Machine PM Check Sheet(with effective new plan
for this year 10.1.20) 3.we will improve in break down
maintainenace system . 4. we will make summary sheet for all
break down and and it will highlight the frequent B/D from graphical Mr. Rahul 6.2.20

also we are doing morining meeting for that with all relavent point . But
as required we will discussion all relevent point in morning meeting
regarding to not achive plan or repeated gaps and kept copy for evident Mr. Kuldeeep Jain Done

5S have much improve in PDI Area and it will continue Mr. satish Done