Audit Checklist OQA71368

Document Name: Revision: 13.
0
OQA-71368 Supplier QMS Assessment [OQA-
3923] Form
Page 1 of 16
Functional Group:Supply Chain
Process Owner: Vatturi, Arun Authorized By: Watson, Richard
Title: Technical Program Manager 5 Title: Dir, Quality Engineering
Acknowledged by: Dhiman, Ankush [Consultant]
1.0 Purpose
This document lists out Supplier QMS general questionnaire and reference to the commodity based
questionnaire forms.
2.0 Scope
Supplier QMS Assessment
3.0 Responsibilities
Not Applicable
4.0 Reference Documents

LGL-70987 Anti Slavery Questionnaire [LGL-4002] Form
MTL-71144 Lam Information Security Supplier Questionnaire [MTL-51086] Form
OQA-71409 QMS Sheet-Metal-Frames Questionnaire [OQA-51098] Form
OQA-71411 QMS Established Supplier Questionnaire [OQA-51102] Form
OQA-71412 QMS Packaging-Questionnaire [OQA-51103] Form
OQA-71413 QMS Inventory-Logistics Questionnaire [OQA-51104] Form
OQA-71415 QMS Plastics Questionnaire [OQA-51112] Form
OQA-71416 QMS Remote-Factories Questionnaire [OQA-51113] Form
OQA-71418 QMS Cable Commodity Questionnaire [OQA-51129] Form
OQA-71419 QMS Sub-tier Commodity Questionnaire [OQA-51134] Form
OQA-71420 QMS Mechatronics Commodity Questionnaire [OQA-51135] Form
OQA-71421 QMS Software Controls Commodity Questionnaire [OQA-51136] Form
OQA-71422 QMS DC Power Transformers Supplier Commodity Questionnaire [OQA-51137] Form
OQA-71423 QMS PCBA Commodity Questionnaire [OQA-51138] Form
OQA-71424 QMS Assemblies Commodity Questionnaire [OQA-51139] Form
OQA-71425 QMS OEM Commodity Questionnaire [OQA-51140] Form
OQA-71426 QMS Aluminum Anodization Commodity Questionnaire [OQA-51142] Form
OQA-71427 QMS Precision Cleaning Commodity Questionnaire [OQA-51143] Form
OQA-71428 QMS Welding Facility Commodity Questionnaire [OQA-51144] Form
OQA-71429 QMS Metal Machining Commodity Questionnaire [OQA-51145] Form
OQA-71430 QMS Supplier Quality Control and Inspection Commodity Questionnaire [OQA-51146] Form
OQA-71431 QMS Ceramic and Brittle Material Coating Commodity Questionnaire [OQA-51151] Form
OQA-71432 QMS Quartz-ceramics Commodity Questionnaire [OQA-51153] Form
OQA-71433 QMS ESC Commodity Questionnaire [OQA-51154] Form
OQA-71434 QMS Heater Commodity Questionnaire [OQA-51157] Form
OQA-71435 QMS RF Power OEM Commodity Questionnaire [OQA-51158] Form
OQA-71437 QMS Polymer and Soft Material Coating Commodity Questionnaire [OQA-51163] Form
OQA-71438 QMS Metal Plating Commodity Questionnaire [OQA-51164] Form
OQA-71451 QMS General Questionnaire [OQA-51366] Form
OQA-73028 QMS Additive Manufacturing Commodity Questionnaire Form]
Document ID: DMS-430620066-5516

Released document is on eDMS
Printed copy is valid for this date only
Revision: 13.0
Page 1 of 16
Richard
ering
e commodity based
OQA-51137] Form
naire [OQA-51146] Form

re [OQA-51151] Form
[OQA-51163] Form
ment ID: DMS-430620066-5516

Released document is on eDMS
3/10/2023
Sample QMS Scorecard
QMS Assessment Process an
Sample QMS Scorecard

Assessment Process and Instructions
Note:
1. Please do not make changes with the basic Structure of Workbook and including all
the Worksheets. It can lead to error in Calculation of Scores.
2. Before using this file for any assessment, this file shoould be configured by QMS
admin(@smt-qms-admin@lamresearch.com) also to keep a record of assessment)
QMS Scoring Methodology

ethodology
Supplier Assessment Details
Supplier Code:
Supplier Name:
Supplier Address:
Assessment Date:
Scope:
Team Lead:
Lam Team:
Supplier Team:
Commodity:
Additional Supply Chain Requirements:
Commodity Weighting: 40%
Mandatory Questionnaires
Commodity Questionnaires Document number (with link to eDMS)
Established Supplier OQA-71411
Force/Child Labor Audit (Word Doc) LGL-70987
Information Security Questionnaire MTL-71144
Select Multiple Questionnaire(s) by entering "Y" in the Column Labelled "S

Remove Questionnaire(s) by entering "N" in the Column Labelled "Select Q
Select Questionnaires
Commodity Questionnaires Document number (with link to eDMS)
Anodization OQA-71426
Assemblies/Electrical systems OQA-71424
Cable assemblies OQA-71418
DC Power Transformer OQA-71422
ESC OQA-71433
Heater OQA-71434
Inventory-Logistics OQA-71413
Mechatronics OQA-71420
Metal-Machining OQA-71429
OEM/COTS OQA-71425
Packaging OQA-71412
PCBA OQA-71423
Plastics OQA-71415
Plating OQA-71438
Polymer Coating OQA-71437
Precision-Cleaning OQA-71427
Quartz_ceramics OQA-71432
Remote Factories OQA-71416
RF Power OQA-71435
Sheet Metal Frames OQA-71409
Software-Controls OQA-71421
Sub-tier OQA-71419
Supplier QC Inspection OQA-71430
Surface Treatment OQA-71431
Weldments OQA-71428
Additive Manufacturing OQA-73028
Select Questions from General QMS Questionnaire Sh

Questionnaire Name Document number
General QMS Questionnaire OQA-71451
Details
40%
naires
Select Questionnaire Owner
N SMT
Y SMG
Y SMG
e Column Labelled "Select Questionnaire"

mn Labelled "Select Questionnaire"
res
Select Questionnaire Owner
SMT Surface Treatment
SMT Electrical Systems
SMT ESC
SMT OEM
SMT Ops
SMT OEM
SMT Fab Parts
SME OEM
SMT Packaging
SMT Wet
SMT Advanced Materials
SMT Remote Factory
SMT RF Power
SMT Sheet Metal/Frames
SMT Ops
SMT Part Metrology
SME ESC
SMT Fab Parts
SMT Fab Parts
Questionnaire Sheet
Select Questions Owner
Y QMS Manager
Y
N
Supplier Name/Code: Assessment team (Lead):
Anti-Slavery and Human Trafficking Questionnaire for Managers/HR Personnel

Self Score LAM Score
Question ID Category Tier Question
Yes / No Yes / No
Are workers exempted from paying a fee to the

LGL-001 Anti-Slavery 1 recruiting agency in order to be hired, and if not,
how much?
Are workers allowed to keep their personal

LGL-002 Anti-Slavery 1 identification documents (such as passports or
visas) in their posession?
If your company uses interns or student workers, do

LGL-003 Anti-Slavery 1 you have employment policies for these types of
workers in compliance with local law?
Is your workforce above 18?If no, what percentage?

LGL-004 Anti-Slavery 1
(e.g., 0%, under 10%, under 20%, over 20%)?
Does your company ensure that workers under 18

do not perform night work or hazardous work?
What are the average weekly work hours of the

busiest workers in your factory (e.g., over 40, 40-48,
LGL-006 Anti-Slavery 1 48-60, over 60)? Are they in compliance with the
local law?
Do all your workers have regular rest days (at least

LGL-007 Anti-Slavery 1 one day off every week)?
Do all of your workers have regular breaks or are

they allowed to rest during their working hours?
LGL-009 Anti-Slavery 1 Do workers perform overtime voluntarily?
Are the wages and benefits for any worker at your

company in accoradance with the minimum legal
wage and benefits (or if there is no legal minimum,
LGL-010 Anti-Slavery 1 is it at par with industry standard)?
Do you have procedures to ensure that wages and

LGL-011 Anti-Slavery 1 overtime are calculated correctly, and that only
lawful deductions are made?
Do you have a process to track and take corrective

action when workers are approaching the legal
working hour limits or 60 hours/week (whichever is
lower)?
Does your company have a process for workers to

confidentially report cases of harassment, coercion,
physical punishment or abuse, or other issues, and
are these recorded and investigated?
LGL-4002 version 4.0 20 of 223

Released document is on eDMS. Printed copy is valid for this date only 03/10/2023.
Does your company currently have a program to
LGL-014 Anti-Slavery 1 assure that human trafficking and slavery do not
exist in your operations?
Anti-Slavery and Human Trafficking Questionnaire for Interviews of Supplier's

Employees
Self Score LAM Score
Question ID Category Tier Question
Yes / No Yes / No
Were you exempted from paying fee to a recruiting

LGL-015 Anti-Slavery 1 agency or the employer for the job? If not, how
much?
Have you been paid at or above the minimum legal

LGL-016 Anti-Slavery 1 wage?
LGL-017 Anti-Slavery 1 Are you in possession of your passport?
LGL-018 Anti-Slavery 1 Have you been paid for work you have performed?
Do you generally have at least one day off work

each week?
Does the employer ensure you are not harassed,

coerced, physically punished or abused at work?
Are you permitted time off for illness or medical

needs?
Could you report a problem or concern you have

LGL-022 Anti-Slavery 1 confidentially to your employer, human resources,
or other designated departments?

m (Lead):
Comments

Comments

Supplier Name/Code:
Information Security/IP Protection Questionnaire
Question ID Information Security, and IP Protection Compliance Tier
Do you use local Firewall(s)? If so, please list manufacturer(s) and

IP.01 version(s) 1
Do you use Anti-Virus software? If so, provide product/version

IP.02 information 1
Do you use a local Intrusion Detection System (IDS)/Intrusion Prevention

IP.03 1
System (IPS) ? If so, provide product/version information
Do you use Remote Access Services? Specifically, what type of remote

IP.04 1
access services (i.e. IPSec, SSL)?
What countermeasures have you implemented to resist / prevent "social

IP.05 engineering" threats such as pretexting, phishing, spear phishing, 1
Advanced Persistent Threats (APT's), etc.?
How are IT security protocols such as encryption, hard drive passwords,

IP.06 1
and other IT security techniques implemented within the organization?
IP.07 Is your company ISO/IEC 27001 Certified? 1
Released document is on eDMS. Printed Copy is valid for this date only 03/10/2023.
Lam Research expects a notice within 72 hours of a security incident to
our Information Security team at this
IP.08 1
mailbox(cybersecurity@lamresearch.com), in addition to existing business
contacts at Lam "Do you agree to this?"
Have you ever experienced any cybersecurity incident in the last 12

IP.09 1
months? If yes, please define and describe it.
How do you address/manage Information Security when you subcontract

IP.10 1
work to a third party?
How often are internal or external audits conducted on your Information

IP.11 1
Security programs? What's the scope of audit?
How do you protect Lam's confidential information and other non-public

IP.12 information from any source (e.g. employees, contractors, suppliers, 1
customers, and other 3rd party business partners) from unintended
release?
How do you define intellectual property (IP)?
IP.13 How do have

Do you you assure that
controls andallprocedures
employees inunderstand these definitions,
place to adequately protectapply 1
them appropriately,
technology and have
and intellectual the tools
property necessary
from potentialtocompromise
assure compliance
or theft?
with yourpolicies
Do these definitions
and/procedures
procedures?enable you to identify risks and
incidents, analyze the impact on your business, respond expediently,
appropriately, and effectively when incidents occur and repair any
damage caused by such incidents? Are your controls and procedures
designed to detect:
IP.14 1
i. malfeasance by employees, contractors or other insiders who may
have access to your technology and intellectual property;
ii. industrial, corporate, or other espionage events;
How do your policies,
iii. unauthorized procedures,
intrusions guidelines, and
into commercial security
computer measuresand
networks;
extend BEYOND contractual obligations (e.g. NDA's), patents,
iv. other forms of theft and cyber-theft of your technology and or
copyrights to proactively
intellectual property? protect IP and other information and physical
IP.15 1
assets?
How do you apply "lessons learned" immediately to similar situations,

integrate into training / refreshers in timely fashion, and quickly
IP.16 communicate learnings to all workers? 1
How do your policies, guidelines and procedures prevent inadvertent non-
compliance with respect to HARDWARE/IT controlled technology
IP.17 1
restrictions (e.g., ITAR-related encrypted hard drives that ship with your
products), etc.?
What metrics / KPI's do you use to measure the success and health of
your IP and Information Security systems & processes?
How do you know that your IP and Information Security processes are
healthy, effective, and meet customer (internal and external)
IP.18 1
requirements?
How do you use the performance levels and trends for these metrics /
KPIs for continuous improvement of the processes and outputs /
outcomes?
Do you securely store information in the cloud (or other third party
IP.19 servers)? Provide details of the cloud provider, server location, and 1
protections applicable to that information.
Where are your servers located? What restrictions exist to prevent the
IP.20 information from being moved without Lam’s knowledge and advance 1
consent?
Is multifactor authentication required for all systems? If so, please

IP.21 describe. If not, please provide details of where MFA has been 1
implemented.
IP.22 What protections are in place for export controlled data provided by Lam? 1
Is there a data loss prevention (DLP) tool in use? If so, please describe the
IP.23 details of the DLP implementation. If not implemented, please state what 1
compensating controls are in place to monitor data exfiltration.
Do you limit the ability of your computer users to download information

IP.24 on thumb drives or other movable storage devices? Do you track 1
information downloaded in such a manner?
Is your information (or information provided to you by customers and

IP.25 clients) accessible from locations outside the US (e.g. your overseas 1
offices)? Which locations are those, and who has access?
Do you maintain a Cybersecurity Insurance policy for your business and
IP.26 1
amount of the coverage?
Do you immediately remove or modify access, when a personnel is

IP.27 1
terminated or change of job functions?
IP.28 Do you maintain a Cyber Security Incident Response Plan? (CSIRP) 1
Is a business continuity/disaster recovery plan in place? If so, please

describe the details of the established BCP/DR plan. Has this plan been
successfully tested within the previous year? What is the target time for
IP.29 data recovery? 1
Assessment team (Lead):
ire
Self - Score LAM Score Comments
Yes/No Yes/No
Supplier Name/Code: Assessment team (Lead):
GLOBAL TRADE COMPLIANCE - Supplier Screening Form

ATTENTION !!! This questionnaire must be completed and signed by the
or unsigned questionnaires will be RETURNED to the Supplier and cause
1. Supplier Name and Address Information
Supplier Name
Address (P.O.boxes unacceptable)
Phone Number(s)
Website
State Owned or Controlled Enterprise,

in Whole or in Part (Yes or No)
2. EXPORT SCREENING:
The following areas of screening are under the scope of the U.S. Export Administration Regulations and related regulations. Screening questio
assembly of Lam purchased parts (referred in this document as “Producer”) if the Producer is different from the Supplier. Please answer each
2.1. Parties of Concern List: Are your Company, any affiliates of your Company, or any suppliers of raw materials fo
Denied/Restricted Parties Lists compiled by government agencies for the control of export transactions?
Yes or No
If yes, please expla
2.2. Foreign Corrupt Practices Act (FCPA) Compliance
2.2.1. Is any owner, director, executive, or individual with decision-making authority a government official or employee?
Yes or No
MTL-1923
2.2.2. Have there been any claims, litigation, or investigations, related to fraud, violations of any anti-corruption laws (incl
act, against your Company, any affiliate Company, or any of the owners, directors, executives, or individuals with decision
MTL-1923
Yes or No
2.3. ANTIBOYCOTT COMPLIANCE: Does your Company participate in any international boycott that is not sanctione
otherwise include in their contractual documentation any requests for Lam to agree to blacklist other companies/co
nationality in violation of §760.2 of the United States Export Administration Regulations?
Yes or No
2.4. Nuclear & Missile, Chemical & Biological Weapons Screen, and Aerospace Research
Is your company involved directly or indirectly in the design, development, production, stockpiling, or use of chemica
indirectly in any nuclear activities¹, heavy water manufacturing, missile related activities, rockets systems, Unmanne
Yes or No
1. Nuclear activities include but not limited to the following: development, manufacture, use or storage of nuclear wea
manufacture, use or storage of nuclear reactors or parts and attachments therefor, processing of nuclear fuel, or reproces
2.5. Maritime Nuclear Propulsion Activities

Is your company involved directly or indirectly in the specific design, development, production maritime nuclear pro
construction, support or maintenance .
Yes or No
2.6. Military Activities

2.6.1. Does your Company belong to or is affiliated with any military organization?
Yes or No
MTL-1923
m (Lead):
eening Form
eted and signed by the Supplier. Incomplete
he Supplier and cause delayed consideration
ations. Screening questions should pertain to the Supplier and its Entities engaged in the manufacture or
lier. Please answer each applicable box below:
rs of raw materials for articles manufactured for Lam, known to be currently listed on any
sactions?
ent official or employee?
MTL-1923
anti-corruption laws (including but not limited to the U.S. Foreign Corrupt Practices Act), or any other criminal
r individuals with decision-making authority to Lam’s technology?
MTL-1923
tt that is not sanctioned by the United States, including the Arab League boycott of Israel, or
t other companies/countries to discriminate based on race, religion, sex, national origin or
ing, or use of chemical, biological or toxins weapons, or that they will be used directly or
ts systems, Unmanned Aerial Vehicles, or aerospace research?
or storage of nuclear weapons, fuel or nuclear source materials, research on nuclear fusion, development,
f nuclear fuel, or reprocessing of nuclear fuel.
maritime nuclear propulsion plant equipment, their land prototypes and facilities for their
MTL-1923
QMS Sheet-Metal-Frames Questionnaire Form
Question ID Category Tier Question Self Y/N Lam Y/N Comments, Evidences
Does supplier have Faro Arm

SM/Frame_01.01 Inspection 1 equipment capable of measuring Lam
product
Can Faro Arm calculate GD&T per
SM/Frame_01.02 Inspection 1
ASME Y14.5?
SM/Frame_01.03 Inspection 1 Is Faro Arm programmable off line?
Can Faro Arm data be exported to
external PC?
Can Faro Arm accept downloaded
software/models?
Is Faro Arm accuracy sufficient to
measure Lam's positional tolerances?
Is Faro Arm size envelope sufficient to
measure Lam proposed work??
Does Supplier have adequate CMM
inspection capacity?
Does supplier's Profilometer have
SM/Frame_01.09 Inspection 1 sufficient accuracy to accurately
measure Lam surface finishes?
Does Supplier have an optical
SM/Frame_01.10 Inspection 1 comparator with 50X magnification for
checking small radii?
Does Supplier have an optical
comparator for checking small radii?
Does Supplier have inspection/test
SM/Frame_01.12 Inspection 1 equipment for plating thickness
analysis?
Does supplier have any clean room
capabilities for part inspection?
Are Supplier's inspection personnel
trained on GD&T per ASME Y14.5?
Are Inspectors trained and certified to
ASME Y14.5?
Is hardware validated at Final
inspection
Does Supplier have adequate CNC
SM/Frame_01.17 Equipment 1 lathe machining capabilities required for
Lam requirements?
Does the supplier have tool life
SM/Frame_01.175 Equipment 1 management in which all tools used in
fabrication tracked and monitored?
Does Supplier have tool and die
SM/Frame_01.18 Equipment 1
machining capabilities?
Does Supplier have adequate laser
cutting equipment?
Does supplier have adequate brakes for
forming?
Does supplier have water jet
equipment?
Does supplier have adequate hardware
installation equipment?
Does supplier have adequate surface
finishing equipment?
Does supplier have tube bending and
forming equipment?
Does supplier have Laser tube cutting
equipment?
Does supplier have heat stress relieving
SM/Frame_01.26 Welding 1
capabilities?
Does supplier have in-house weld
analysis capability (polish/etch)?
Does supplier commonly use weld
SM/Frame_01.28 Welding 1 coupons to verify and monitor weld
joint compliance?
Does supplier have Mig, Tig, E-beam,
braze, etc.?
Does supplier have proper weld tables
to support frame welding?
Does supplier have tools for weld
SM/Frame_01.31 Welding 1 analysis (destructive inspection or sonic
/ x-ray of weld)?
Does supplier have Certified welders to
ASW or other recognized authority?
Are parts validated before weld for hole
qty?
Are Weld Fixture used and is a list
available?
SM/Frame_01.35 Welding 1 Are fixtures verified?
Are Check Template used and list
available?
QMS Sheet-Metal-Frames Questionnaire Form
Question ID Category Tier Question Self Y/N Lam Y/N Comments, Evidences
Are weld and critical Features

Inspection Test Plans crated?
Does supplier monitor key processes
SM/Frame_01.38 SPC 1
with real time SPC?
Does the supplier conduct CNC
machine capability studies (Cp, Cpk)?
Is the suppliers SPC equipment
SM/Frame_01.40 SPC 1 electronically linked to software data
collection system?
Are operators provided ongoing SPC
training?
Does the supplier have and use Mini-
tab for SPC calculations?
SM/Frame_01.43 SPC 1 Does supplier perform tool life studies?
Can supplier accept and use CAD
SM/Frame_01.44 Programing 1
models to develop new programs?
What software can you accept and work
SM/Frame_01.45 Programing 1
with?
Remote Does the supplier have an active sub-
SM/Frame_01.46 Factory Sub- 1
tier control tier audit process?
Does the suppliers have a documented
Sub-tier
SM/Frame_01.47 control
1 suppliers selection and assessment
procedure?
Does the supplier understand critical
Sub-tier
1 part management and audit sub-tier
suppliers for conformance?
Does the supplier have a documented
Sub-tier
1 system/procedure for critical part
management?
Does suppliers change control
Sub-tier
1 procedure require customer approval
for all changes?
Does supplier provide routine POR
Sub-tier
1 training for their operators and sub-tier
suppliers?
Is metal detail area allocated for
Detailing/
SM/Frame_01.52 Polishing
1 finishing Lam products properly
ventilated?
Is the ventilation system in detail area
Detailing/ equipped with water filtration that is
SM/Frame_01.53 1
Polishing able to contain the potential sparks of a
flash fire?
Detailing/ Is the detail area organized with
SM/Frame_01.54 1
Polishing combustible materials properly stored?
Are electrical motors used in detail area
explosion proof? (Explosion-proof
Detailing/ electric motors are rated for Class 1,
SM/Frame_01.55 1
Polishing Group C and D in hazardous
environments and for pumping
flammable fluids.)
Does supplier have powder coat
SM/Frame_01.56 Painting 1
capability (booths, ovens etc.)?
Does supplier have wet paint
capability?
Does supplier have data pack software
to perform process analysis for ovens?
Q
Supplier Code
Supplier Name
Scoring Legend 1 = Not Acceptable, 2 = Needs Improv
Q/N Category Sub-Category
INP-WPS-001 In-Process Production Workplace Safety

CML-EHS-001 Compliance Environmental Health & Safety

QMS Assessment
Date
Iteration
1 = Not Acceptable, 2 = Needs Improvement, 3 = Acceptable, 4 = Exceptional, 5 = World Class
Questions Self Score LAM Score
Does the supplier track accidents and lost work days? Has the
supplier operated without any serious injuries resulting in death? 3
At a minimum, does the supplier provide their employees and

guests with a safe work environment free of excess work in- 3
process, supplies, debris, etc.?
Is 6s practiced at all operations in the shop floor? Provide

examples. 3
Does the supplier have a bonded storage area with limited access
for storage of product dispositioned as non-conforming? 2
Does the supplier have documented MRB procedures with records
of meeting minutes and material disposition activities?
Do written policies and procedures exist for environmental, health

and safety? Does the facility have all EH&S permits, licenses,
authorizations? Does the Supplier have dedicated management 3
representatives to ensure compliance to EH&S requirements?
Are EH&S issues and requirements covered during the

Management Review Process? Are EH&S potential releases (water,
waste, air emissions) considered during the design process? Is 2
there a system in place to measure progress of EH&S efforts,
programs or goals?
Have there been any environmental or safety issues,

citations/violations, or fines in the last 12 months in your
organization? If yes, provide details. Does a process exist for 3
internal/external EH&S communication?
Is the facility safe, clean, orderly, and well lit? Is the air quality
good and noise levels low? 3
, 5 = World Class
Comments or Evidence Severity SE question
X
X
X
Score
SBM Meeting Room Shopfloor 4

question question question
X
X
X
Guide Severity
High
No Formal Procedure/Tribal Knowledge High
Med
Must have documented procedure Medium
Low
Must have documented procedure + Evidence of Conformance on
shop floor Low

shop floor + Evidence of effectiveness

shop floor + Evidence of effectiveness + Closed loop
systems/Performance Feedback
Refresh Dashboard
Guide
High Impact on Quality & Safety, Needs Immediate Attention
Medium Impact on Quality & SAfety
Low Impact
Jabil_stds.mht
Q
General Score - 60%
Category Questions Average Score Weight
Incoming Quality 9 0.00 17%

In-Process Production 35 0.00 17%
Compliance 23 0.00 17%
Operational Excellence 52 0.00 17%
Quality Data Management 18 0.00 17%
Business Acumen 27 0.00 17%
Total 164
Scoring Legend
Unacceptable 1-2
Needs Improvement 2-3
Acceptable 3-4
Exceptional 4 - 4.9
World Class 5
QMS Scorecard
Commodity Score - 40%
Weighted Score Tier Questions # YES # NO % YES Score Weight
0.00 Excluded 0
0.00 Tier 1 51 0 0 NA 0 70%
0.00 Tier 2 0 0 0 NA 0 30%
0.00
0.00
0.00
0.00 Total 51
QMS Score 0.00
0.00
Weighted Score
6
0.00
0.00
0.00
0
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2
3
4
5
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Performance by Category
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Subcategories with LAM Score >=4

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QMS Dashbo
0 1 2 3 4 5 6 7 8 9 10 11 0
QMS Dashboard
Performance by Subcategory
0 1 2 3 4 5 6 7 8 9 10 11
Subcategories with LAM Score <2

0 1 2 3 4 5
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9 10 11
5
Supplier Code
Supplier Name
Scoring Legend
Q/N Category Sub-Category
INQ-WHS-001 Incoming Quality Warehouse

INQ-SSM-001 Incoming Quality Sub-Supplier Management
INP-IPP-001 In-Process Production In- Process Parameters

INP-PRC-001 In-Process Production Process Control

INP-WSE-001 In-Process Production Workmanship Errors
INP-WSE-002 In-Process Production Workmanship Errors

INP-CGM-001 In-Process Production Calibration & Gage Matching
INP-TRC-001 In-Process Production Traceability

INP-TST-001 In-Process Production Testing

INP-PMC-001 In-Process ProductionProduction Maintenance & Support
INP-PMC-002 In-Process ProductionProduction Maintenance & Support
INP-NPI-001 In-Process Production New Product Introduction
INP-NPI-002 In-Process Production New Product Introduction

CML-CDC-001 Compliance Competency & Commitment



CML-CPP-001 Compliance Critical Parts & Processes
CML-POR-001 Compliance Process of Records

CML-FAR-001 Compliance FAIR
CML-FAR-002 Compliance FAIR
CML-GSQ-001 Compliance GSQA
OPE-TNG-001 Operational Excellence Training

OPE-RMT-001 Operational Excellence Risk Management


OPE-CMT-001 Operational Excellence Change Management

OPE-TEP-001 Operational Excellence Technical Proficiency

OPE-PBS-001 Operational Excellence Problem Solving


OPE-CIP-001 Operational Excellence Continuous Improvement

OPE-CPG-001 Operational Excellence Capacity Planning

OPE-BCP-003 Operational Excellence Business Continuity Plan
QDM-GLM-001 Quality Data Management Global Metrics

QDM-ITM-001 Quality Data Management IT Management

QDM-QMS-001 Quality Data Management Global QMS

QDM-ADC-001 Quality Data Management Audits and Certifications
BSA-SHR-001 Business Acumen Skills & Human Resources

BSA-CML-001 Business Acumen Communication & Logistics
BSA-LDS-001 Business Acumen Leadership
BSA-CSN-001 Business Acumen Customer Satisfaction

BSA-DSR-001 Business Acumen Diversity & Social Responsibility
BSA-FNC-001 Business Acumen Finance

Supplier Actions for QMS Assessment
Date
Iteration
1 = Not Acceptable, 2 = Needs Improvement, 3 = Acceptabl
Questions Self Score LAM Score
Is there evidence that the ERP can support the supplier with :
(a) Direct & Consigned parts
(b) Automated decrement of inventory & return to stock
(c) Nettable and Non-Nettable stocking locations
(d) Tracks customer owned inventory
(e) Customer Change Control Restricted Parts
Provide evidence of adequate physical space and resources to

accommodate current and forecasted Lam products at the
warehouse?Can clearly defined warehouse locations be visbile in
the system?
What evidence can be demonstrated that supports the

warehouse is driven by KPIs and key metrics to ensure processes
are in control and meeting expectation? How is the data used to
drive warehouse/logistics improvements?
What cycle time for goods receipt (from dock to stock) is required
to support kitting/manufacturing? Show evidence that the supplier
is meeting this target? If not, what plans are in place to resolve?
When was the last physical inventory audit (physical inventory
count) and what were the results? What is the frequency of the
audit?
What measures are in place to prevent material from being pulled

to backfill parts outside the system or prevent inventory loss?
Are the performance measurement systems and agreements in

place for sub-tier Suppliers? (e.g. Scorecard) . Is this closed loop
with a clear long term plan for improvement?
Do you provide forecasts to your suppliers to ensure they have

visibility to future requirements and can adequately support?
What is the frequency of the forecast update/refresh? Is this
closed loop? Demonstrate with examples.
Do you have a supplier certification process for your suppliers?

Does it include measures for quality, delivery, and cost
performance?
Does the supplier have real time documented records for Critical
Feature and associated process parameters. Are they measured
analyzed and reviewed on a real time basis and can this be shared
with Lam real time?. What type of metrics and analysis are
done(CPKs, CPs, DOEs)
Can the Supplier demonstrate that what is physically being
built/tested/packaged on the floor is being done with current
revision level documents as per the customer P.O.?
Does the supplier have the processes and capabilities to

demonstrate and maintain compliance to product safety and
regulatory requirements stipulated in the Lam requirements
specification?
Are work instructions and product quality specifications visible in

all work areas? Are updated charts on productivity, quality, safety,
and problem solving visible for all teams? How do you ensure that
the work instructions and being followed and are effective.
Are updated charts on productivity, quality, safety, and problem

solving visible for all teams? Are up-to-date operational goals and
performance measures prominently posted?
Can the current state of the operation be viewed from a central

control room, on a status board, or on a CRT?
Have the key process parameters for the critical characteristics

been identified, characterized (by DOE) measured, documented
(SPC charts)and reviewed real time. How is this data used to
continuously improve? Please identify some examples that
demonstrate stability and capability of these critical process
parameters. What is the minimum CPK vales for these critical
process parameters?
Is there a systematic approach to capturing defect or non-
conformance data and projects aimed at eliminating or reducing
defects on a continual basis?
Is mistake-proofing (Poka yoke) or error-proofing used to prevent

errors or control critical characteristics? List examples.
Is SPC used real time by the supplier to monitor key processes or

critical characteristics on a real time basis? Is action taken in a
timely manner to address adverse trends? Can this be shared real
time with Lam. Provide examples of control charts, CPK values
Do you document Process Controls via Control Plans and are they
reviewed and updated to capture escapes or other process failures
throughout the manufacturing cycle? . Are these findings used to
recalculate control limits?
How do you control Human workmanship errors? Is mistake-

proofing (Poka yoke) or error-proofing used to prevent human
errors List examples.
What evidence can be shown to demonstrate efforts to eradicate

human errors.
1. Wrong part selected and assembled

2. Defective part assembled
3. Part omitted (step skipped)
4. Extra part assembled (e.g. double gasket
5. Part misoriented / misaligned
6. Part installed in wrong location
7. Part under/over torqued
8. Part or adjacent parts damaged or contaminated (FOD risk)
Are all equipments used to verify or measure a product
maintained within a documented calibration system? What type of
accuracy checks are done for bias and linearity. Demonstrate with
examples.
How does the supplier validate their inspection equipment such as

CMM, Profilometer, Contracer, Optical comparator, calipers and
micrometers?
Does the supplier have a process by which test fixtures are

qualified for validating?
Are all critical features measured? Are these fixtures subject to a

maintenance/calibration/spare parts management process?
Is gage R&R and gage matching performed on critical

measurement applications with correlation to LAM on a regular
basis? What is the acceptable Gage R&R value?
Does the supplier have documented procedures for the

traceability of products , its components and non-conforming
materials through all stages of procurement, production, testing,
delivery and service?
Does the supplier have documented procedures for the timely
recall of product determined to be out of specification or a safety
hazard?
Does supplier have a Time Sensitive Material (TSM) control

procedure? Including identification of all TSM material? (check
list of materials) Verify material is within TSM limits.
Does the supplier have a visual labeling system identify and locate
inventory, tools, processes, and flow?
Can the Supplier demonstrate that what is physically being

built/tested/packaged on the floor is being done with current
revision level documents as per the customer P.O.?
Is the test yield(s) associated with Lam product sustainable at

higher volumes without adverse impact to OTD or increased costs
to Lam?
What evidence is there to demonstrate first pass test yields are

tracked and data is used to improve yields?
What evidence is there to demonstrate the supplier has integrated
the principles of pushing testing as far upstream as possible? How
is the whole unit assembly checked to drawing and BOM for
accuracy.
Are there documented processes in-place which allow customers

to expedite product from manufacturing assembly processes
through finished goods?
How are the equipment PM maintained? An example of the

scheduling and a checklist. What does a minor and major full PM
consist of? How are records maintained? Is a timetable posted for
equipment preventive maintenance and continuous improvement
of tools and processes?
Does the supplier have ability to support new product

development. Ability to use CMM, develop gages, process
characterization of new processes, DOE to optimize process
parameters, DFMEA, PFMEA, CAD design reviews and analysis.
Train operators and use pilot builds to mimic manufacturing
environment
Is there an effective project management process, with cost and

timing goals, for new product start-ups?
Does the supplier track accidents and lost work days? Has the
supplier operated without any serious injuries resulting in death?
At a minimum, does the supplier provide their employees and
guests with a safe work environment free of excess work in-
process, supplies, debris, etc.?
Is 6s practiced at all operations in the shop floor? Provide

examples.
Does the supplier have a bonded storage area with limited access
for storage of product dispositioned as non-conforming?
Does the supplier have documented MRB procedures with records

of meeting minutes and material disposition activities?
Does the supplier monitor and review Customer Change Control

compliance at an executive level? (Mandatory Tier 1 for CE!
requirement, Tier 2 for general)
In the last 12 months, has there been a CE! violation in your

factory? (Mandatory Tier 1 for CE! requirement, not required for
general requirement)
Does the supplier have objective evidence of their ability to
manage and process a high rate of design/ documentation changes
consistent with the rate of change in a Semi Cap industry?

manage 48 hour turnaround on drop ins/config change/pull in-
push outs to provide financial and delivery impacts?

receive and execute a high rate of NSRs (non standard requests)?
What experience does the supplier have with configurable

manufacturing?
Demonstrate with examples what is your Push, Place, Pull, Cancel

(PPPC) Success?
If needed, does the supplier have clean room manufacturing space

sufficient to meet Lam's needs?
Is the manufacturing floor space available sufficient to match
Lam's needs inclusive of appropriate power, CDA, helium, etc.?
Does the supplier have sufficient process controls in place to

protect Lam and Lam customer IP?
Do written policies and procedures exist for environmental, health

and safety? Does the facility have all EH&S permits, licenses,
authorizations? Does the Supplier have dedicated management
representatives to ensure compliance to EH&S requirements?

Management Review Process? Are EH&S potential releases (water,
waste, air emissions) considered during the design process? Is
there a system in place to measure progress of EH&S efforts,
programs or goals?

citations/violations, or fines in the last 12 months in your
organization? If yes, provide details. Does a process exist for
internal/external EH&S communication?
Is the facility safe, clean, orderly, and well lit? Is the air quality
good and noise levels low?
Is there a formal Supplier Selection Criteria and Process? Are
Critical Parts differentiated?
Does the supplier have strategic materials management

organization?
Do you have Supply Base rationalization program in place as part

of your Supply Chain strategy ?
Does the supplier have methods for identifying Customer Change

Control restricted parts in their ERP system and throughout the
manufacturing process? (Mandatory Tier 1 for CE! requirement)
Does the supplier have documented records of a Management

Review process for the review of quality processes and
procedures? Does it include a review of all concessions including
the supplier's cost of quality program?
Does the supplier have a fully documented Internal assessment

system to include reports that define assessment activities,
findings, and corrective actions issued from previous internal
assessments with records of closure?
Can the supplier provide documented records for "copy exact", or
"POR Controlled" that lock down all manufacturing, assembly and
test procedures?
Does the supplier have documented records for First Article

Inspection / Test?
Are the First Article Inspection Records clearly understood by all

personnel responsible for FAIR?
Compliance to LAM GSQA requirements. Ability to provide real

time process and critical feature data into Lam's IT system
Does the supplier have a documented training plan that identifies

training needs and requirements for each work station.? Is there a
review for effectiveness?
Are complete and accurate training records maintained for

personnel whose work impacts product or service quality?
How are job requirements (skills, knowledge, abilities) for the
individuals responsible for designing, building and testing the
customer's product (lifecycle) decided and compared to current
skills sets. How are the gaps determined and what are the plans to
close them?
Does the supplier have formal Customer Change Control training

requirement for relevant employees i.e. Design Engineering,
Production etc.? (Mandatory Tier 1 for CE! requirement)
What are the job requirements (skills, knowledge, abilities) for the
individuals responsible for managing: (a) Engineering Change
Process, (b) Documentation Control Process, ( c) MRB Process, (d)
Production Qualification Process , (e) Manufacturing, (f) Quality,
SPC Support(Indirect) positions?
Are work teams trained, empowered, and involved in problem

solving and ongoing improvements?
Does the Supplier have a process in place to ensure the integrity of

their Software(s) so as to protect Lam and Lam's customers from
inadvertent exposure to computer viruses?
How does supplier manage obsolescence? (Mandatory Tier 1 for

CE! requirement, not required for general requirement)
Does your organization have a process to support Flex material
(material purchased or planned without forecast, can be
configured to meet future needs), for reduced cycle time?
Does the supplier have a controlled, systemic method for

qualifying the processes used in building and testing a product
prior to its release for volume manufacturing?
How does the organization respond to problems, both internal and

external?
Do you have a clear documented process and ownership for your

Risk Management and Business Continuity Planning (BCP)? How is
it performed? Are there documented plans or methods
established for identification and ranking of risks?
Are you familiar with Lam’s 14 most critical BCP criteria and what
is takes to get to a “Level 3” approval? Have you provided your
BCP (and supporting documents) to Lam for review and approval
against these criteria?
Are production materials brought to and stored at line side rather

than in separate inventory storage areas?
Does supplier have a Customer Change Control Policy instituted,
understood and adhered throughout it's operation? Is Customer
Change Control integral to the supplier's ECO/ECN Process?
(Mandatory for CE! requirement). Provide examples
Does the supplier have routing and approval authorization for

proposed product changes to customer change control restricted
parts? (Mandatory Tier 1 for CE! requirement, Tier 2 for general)
Does the supplier have a formal process for informing its

Customer(s) of a Customer Change Control violation. (Mandatory
Tier 1 for CE! requirement)
Does the supplier have a documented process of their Change

Control and Document Control management systems?
Does the supplier have a documented, closed-loop process for

Change Control, Document Control Management Systems and
implementation of design changes (i.e.., material disposition)?
Does the supplier's procedures require customer approval prior to

the implementation of any changes? Does the supplier have a
documented process for customer notification of design changes?
Can the supplier design group support discussions to identify
technical solutions to complex problems? How timely is the
response and engineering support to Lam requests? Show
examples as to how operator variable is made fool proof.
Do you have the technical proficiency to assess a Lam design for

producibility and affordability? Provide examples where the
supplier provided feedback or suggestions for improving Lam
designs or specifications.
What evidence exists to show investment in R&D applicable to

Lam product? What evidence can be provided to show that
roadmaps exist for Lam associated technologies and/or
products/processes?
What level of engagement is there between production and design

engineering when a new design is developed? How does
Engineering ensure designs are producible? Provide an example.
Do you use producibility tools to aid in ensuring new designs are

producible and key characteristics are identified (e.g. DFMA, DTC,
DFMEA, DFSS)? List some examples.
What evidence is there the design team incorporates lessons

learned from production when creating a new design? What are
some of the DFX learnings. How are fool proof solutions
generated for typical workmanship issues
What specific evidence can demonstrate appropriate engineering
metrics are being tracked that lead to more producible designs or
a reduction in design cycle time? Have you done any correlation
studies between the Component AFR to first pass yield, to final
testing, to in process defects to component quality.
What process is in place to monitor for part or component

obsolescence?
What evidence can be provided to show that roadmaps exist for

Lam associated technologies and/or products/processes? How do
you ensure that the process maturity follows the product
complexity
Does the supplier conduct Pareto Analysis for performance issues

and track Process Yields? Does this data provide feedback to
processes, procedural review , and customers?
Does the supplier have a documented, deployed and functioning

methodology for root cause analysis? Can the supplier provide
evidence of root cause analysis, actions items for all internal and
external (customer )problems?
Is there evidence of closed-loop RCCA for product dispositioned as

non-conforming? What is your rate of repeat problems?
Does the supplier have a documented CAPA system? Is it closed
loop and do records exist to support if corrective action is verified
and brought to closure within the specified time?
Do you use formal risk mitigation tools such as PFMEA to address

manufacturing risks? How often is this document reviewed. What
are your typical RPN numbers. How do you typically address the
"occurrence" value
How is lean thinking and lean manufacturing concepts used across

the board to drive systemic elimination of waste? Please provide
examples. What lean concepts have extended into processes
inside and outside of the manufacturing environment?
Is supplier aware of Lam’s FA cycle time requirements for

critical/safety issues and medium impact issues?
Does the supplier measure their performance against Lam

expectations?
Have supplier provide an example of a recent failure analysis

report; does this FA meet minimum expectations for content?
Does supplier monitor PNR (NTF) performance for failure analysis?
Does supplier have a standard FA investigation process by product

family that includes step by step work instructions?
Does supplier have a process to train and qualify personnel to

conduct FA?
To what level do you control and drive improvement across the

value chain?
What evidence is there that management is committed to creating

a culture of continuous improvement? Does management lead or
participate in regular shop floor walks, RMBWA, Layered Process
Audits (LPA), or equivalent activities within the factory? Are issues
effectively addressed in a timely manner?
Do you have an Annual Operating Plan (AOP or equivalent) in place

with Key Performance Indicators, Goals, Initiatives, or targets
identified and communicated throughout the organization? What
evidence is there that demonstrates AOP goals are being tracked
on a regular basis with action items assigned with measured
targets?
Do you have a 5 year strategic plan and initiatives outlined? How
does it support Lam's product and strategy?
Describe what type of documented continuous improvement (CI)

program is in place. What level of evidence can be provided to
show a CI project has had a positive impact on a Lam products
How is PFMEA , DFMEA, training, SPC & DOE used as part of

continuous improvement .Provide examples
What are the key elements you take into account when looking at
capacity planning? What is your lead time to increase capacity by
10%, 25%, and 50%?
What utilization processes are in place to approve increases in

capacity and how does management approve increased resources
(man, machine, material, etc.) requirements to be added (% surge)
to ensure continuous supply?
What evidence shows your willingness to invest in growth based

on Lam forecast? Do you have system or any other capital
equipment related constraints?
How does customer forecast information get translated to daily
shop floor build requirements? Who / what establishes build
requirements and schedules?
What & how the team size for the job requirements (skills,
knowledge, abilities) for the individual(s) responsible for
effectively managing the production planning/efficiency
monitoring processes?. Capacity and head count planning and
frequency.
Has Lam approved your Supply Chain Risk Management Plan

(SCRMP) to meet the target of being 80% operational within 2
weeks of a SCRMP triggering event?
Does the supplier have a documented Cost of Quality program

that includes cost of detection ,prevention, and costing for
defective product rework, scrap?
Does the supplier has design capabilities in the portfolio? How is

reliability and quality designed into the product?
What production efficiency metrics are important to the

organization? Correlation of internal metrics (CPKs, failure rates,
repair rate) to external metrics (AFR, 8Ds, FACT, etc.)
How you manage Cost of purchased parts? How is the total cost of
quality established?
What is your E&O as percentage of your COGS?
What metrics are in place at the various levels of the organization

to monitor health and overall performance of the factory,
programs, product lines, site and customers? What are the action
plans in place for identified short comings and/or gaps to metrics?
What is the Accuracy of Inventory? To what level do you control

and drive improvement on your inventory turnover across the
supply chain?
Does your Information Technology department have a

documented disaster recovery plan? Is your data backed up
adequately to ensure quick and immediate access, and to prevent
data loss?
Do you have documented information security policies and

procedures?
Have you deployed adequate technology to address the potential
for security breaches? Do you have adequate resources allocated
to information security?
How do you handle security issues with its employees working

from home?
Do you have adequate resources allocated to information

security?
Does the supplier have a fully documented

Quality System in compliance with a nationally recognized Quality
Management System?
Is there an overall Industry strategy in place at the supplier? How

has the supplier invested in understanding and identifying ways to
incorporate some of the tenets of I4.0 to gain efficiencies and
improve capability? List some specific areas of knowledge the
supplier has gained and any investments or areas of
implementation.
How does best practice sharing take place across your global
factories?
Does the supplier have ISO 14001 certification?
If CE Marking is required by Lam, does supplier have the capability

of demonstrating compliance with CE Marking requirements?
If formal third party listing or certification (UL, etc.) is required by

Lam, does the supplier obtain and continuously maintain
certification?
Are critical skills (certified welding, x-ray tech, 5-axis

CNC/Robotics/CMM programming, etc...) identified and a plan in
place to ensure continued availability to support Lams production
requirements and forecast?
What methods to you use to develop and keep talented labor?

What incentives are in place that award good behavior and
motivate employees to meet or exceed expectations? (Retaining
top direct labor talent)
Do you utilize part-time or temporary work force? What is the

training or orientation process for temporary labor?
Is there an annual ethics program in place for all employees? Is
there evidence of leaders and mangers promoting ethical
behaviors throughout the organization?
Is there a responsible party identified for employees to go to for
guidance regarding ethics and compliance issues? How do
employees know who to contact?
Is there a means to report potential violations of company policy
confidentially or anonymously? What controls are in place to
prevent Conflicts of Interest within the organization?
Demonstrate with evidence how leaders communicate the
organization's vision and strategies? How does the management
collect feedback and how timely is their response?
What are the systems used to drive accountability and alignment

between the corporate office and a remote site? How often are
they aligned?
At what level of management is there visibility within the supplier?
How does senior and executive management engage and get
updated on Lam related activities?
What experience do you have with importing and exporting of

materials? Is there an import/export department within the
company to provide expert guidance of local and international
transportation laws?
Is material moved only once as short a distance as possible? Do

you have appropriate equipment and containers for Lam's
products?
Are visitors welcomed and given information about plant layout,
workforce, customers, and products?
How does the leadership use benchmarking to improve the
organization? Are there long term succession plans in place for key
leadership and management positions?
Can you present "ready now" back-ups identified for key individual
contributor or supervisory positions? Do you have adequate
"bench strength" in key roles for direct and indirect functions?
Is corporate executive staff responsive and visibly engaged when

there are significant issues that may have financial impact for Lam
(including late deliveries to Lam customers)?
How do you prioritize Lam needs compared to other accounts?
How much of your business does Lam represent at the site level
and corporate level?
Is Lam considered a top priority customer and what preferred
treatment/resources do top priority customers receive that others
do not?
Do you have a process to measure and track performance with
your customers?
Is there a specific customer satisfaction (supplier scorecard) rating
associated with Lam product and are there action plans in place to
address unacceptable scores or trends? Are these ratings
displayed in the unit?
What is the supplier's track record of adequate responsiveness to
RFIs, RFQs, or other time sensitive customer requests that support
Lam business? How timely Do you respond to other requests (QMS
actions, 8Ds, Defect trends, FACT)?
Do you exhibit proactive communication by notifying Lam of

problems or potential issues in advance? Provide an example.
What evidence is there the supplier has an effective
contract/requirements review process?
Are ratings for customer satisfaction and product quality displayed

on line? What is done with this information? Show examples
Do you have a shared understanding of diversity, inclusion, and

cultural awareness that is shared with all employees? What is the
management team doing to ensure that diversity is embraced in
the workplace?
Do you conduct at least one diversity and inclusion training session
annually for all employees?
What evidence is there the company is a good corporate citizen?
What do you do for your community or to support your employees
within their community?
Supplier shall demonstrate adequate financial health so as not to
become a risk to ongoing business with Lam.
MS Assessment
rovement, 3 = Acceptable, 4 = Exceptional, 5 = World Class
Findings Severity
CAPA Due Date
Score Guide
1 No Formal Procedure/Tribal Knowledge Severity
2 Must have documented procedure High

3
shop floor Medium

4
shop floor + Evidence of effectiveness Low

5 shop floor + Evidence of effectiveness + Closed loop
Update
Guide
High Impact on Quality & Safety, Needs Immediate Attention
Medium Impact on Quality & SAfety
Low Impact
Row Labels
BSA-CML-001
BSA-CML-002
BSA-CML-003
BSA-CML-004
BSA-CML-005
BSA-CML-006
BSA-CSN-001
BSA-CSN-002
BSA-CSN-003
BSA-CSN-004
BSA-CSN-005
BSA-CSN-006
BSA-DSR-001
BSA-DSR-002
BSA-DSR-003
BSA-FNC-001
BSA-LDS-001
BSA-LDS-002
BSA-LDS-003
BSA-LDS-004
BSA-LDS-005
BSA-SHR-001
BSA-SHR-002
BSA-SHR-003
BSA-SHR-004
BSA-SHR-005
BSA-SHR-006
CML-CDC-001
CML-CDC-002
CML-CDC-003
CML-CDC-004
CML-CDC-005
CML-CDC-006
CML-CDC-007
CML-CDC-008
CML-CDC-009
CML-CDC-010
CML-CPP-001
CML-CPP-002
CML-CPP-003
CML-CPP-004
CML-EHS-001
CML-EHS-002
CML-EHS-003
CML-EHS-004
CML-FAR-001
CML-FAR-002
CML-GSQ-001
CML-POR-001
CML-POR-002
CML-POR-003
INP-CGM-001
INP-CGM-002
INP-CGM-003
INP-CGM-004
INP-CGM-005
INP-IPP-001
INP-IPP-002
INP-IPP-003
INP-IPP-004
INP-IPP-005
INP-IPP-006
INP-NPI-001
INP-NPI-002
INP-PMC-001
INP-PMC-002
INP-PRC-001
INP-PRC-002
INP-PRC-003
INP-PRC-004
INP-PRC-005
INP-TRC-001
INP-TRC-002
INP-TRC-003
INP-TRC-004
INP-TRC-005
INP-TST-001
INP-TST-002
INP-TST-003
INP-WPS-001
INP-WPS-002
INP-WPS-003
INP-WPS-004
INP-WPS-005
INP-WSE-001
INP-WSE-002
INQ-SSM-001
INQ-SSM-002
INQ-SSM-003
INQ-WHS-001
INQ-WHS-002
INQ-WHS-003
INQ-WHS-004
INQ-WHS-005
INQ-WHS-006
OPE-BCP-003
OPE-CIP-001
OPE-CIP-002
OPE-CIP-003
OPE-CIP-004
OPE-CIP-005
OPE-CIP-006
OPE-CMT-001
OPE-CMT-002
OPE-CMT-003
OPE-CMT-005
OPE-CMT-006
OPE-CMT-007
OPE-CPG-001
OPE-CPG-002
OPE-CPG-003
OPE-CPG-004
OPE-CPG-005
OPE-PBS-001
OPE-PBS-002
OPE-PBS-003
OPE-PBS-004
OPE-PBS-005
OPE-PBS-006
OPE-PBS-007
OPE-PBS-008
OPE-PBS-009
OPE-PBS-010
OPE-PBS-011
OPE-PBS-012
OPE-RMT-001
OPE-RMT-002
OPE-RMT-003
OPE-RMT-004
OPE-RMT-005
OPE-RMT-006
OPE-RMT-007
OPE-RMT-008
OPE-TEP-001
OPE-TEP-002
OPE-TEP-003
OPE-TEP-004
OPE-TEP-005
OPE-TEP-006
OPE-TEP-007
OPE-TEP-008
OPE-TEP-009
OPE-TNG-001
OPE-TNG-002
OPE-TNG-003
OPE-TNG-004
OPE-TNG-005
OPE-TNG-006
QDM-ADC-001
QDM-ADC-002
QDM-ADC-003
QDM-GLM-001
QDM-GLM-002
QDM-GLM-003
QDM-GLM-004
QDM-GLM-005
QDM-GLM-006
QDM-GLM-008
QDM-ITM-001
QDM-ITM-002
QDM-ITM-003
QDM-ITM-004
QDM-ITM-005
QDM-QMS-001
QDM-QMS-002
QDM-QMS-003
Question
Demonstrate with evidence how leaders communicate the organization's vision and strategies? How
does the management collect feedback and how timely is their response?
What are the systems used to drive accountability and alignment between the corporate office and a
remote site? How often are they aligned?
At what level of management is there visibility within the supplier? How does senior and executive
management engage and get updated on Lam related activities?
What experience do you have with importing and exporting of materials? Is there an import/export
department within the company to provide expert guidance of local and international transportation
laws?
Is material moved only once as short a distance as possible? Do you have appropriate equipment and
containers for Lam's products?
Are visitors welcomed and given information about plant layout, workforce, customers, and products?
Do you have a process to measure and track performance with your customers?
Is there a specific customer satisfaction (supplier scorecard) rating associated with Lam product and are
there action plans in place to address unacceptable scores or trends? Are these ratings displayed in the
unit?
What is the supplier's track record of adequate responsiveness to RFIs, RFQs, or other time sensitive
customer requests that support Lam business? How timely Do you respond to other requests (QMS
actions, 8Ds, Defect trends, FACT)?
Do you exhibit proactive communication by notifying Lam of problems or potential issues in advance?
Provide an example.
What evidence is there the supplier has an effective contract/requirements review process?
Are ratings for customer satisfaction and product quality displayed on line? What is done with this
information? Show examples
Do you have a shared understanding of diversity, inclusion, and cultural awareness that is shared with all
employees? What is the management team doing to ensure that diversity is embraced in the workplace?
Do you conduct at least one diversity and inclusion training session annually for all employees?
What evidence is there the company is a good corporate citizen? What do you do for your community or
to support your employees within their community?
Supplier shall demonstrate adequate financial health so as not to become a risk to ongoing business with
Lam.
How does the leadership use benchmarking to improve the organization? Are there long term
succession plans in place for key leadership and management positions?
Can you present "ready now" back-ups identified for key individual contributor or supervisory positions?
Do you have adequate "bench strength" in key roles for direct and indirect functions?
Is corporate executive staff responsive and visibly engaged when there are significant issues that may
have financial impact for Lam (including late deliveries to Lam customers)?
How do you prioritize Lam needs compared to other accounts? How much of your business does Lam
represent at the site level and corporate level?
Is Lam considered a top priority customer and what preferred treatment/resources do top priority
customers receive that others do not?
Are critical skills (certified welding, x-ray tech, 5-axis CNC/Robotics/CMM programming, etc...) identified
and a plan in place to ensure continued availability to support Lams production requirements and
forecast?
What methods to you use to develop and keep talented labor? What incentives are in place that award
good behavior and motivate employees to meet or exceed expectations? (Retaining top direct labor
talent)
Do you utilize part-time or temporary work force? What is the training or orientation process for
temporary labor?
Is there an annual ethics program in place for all employees? Is there evidence of leaders and mangers
promoting ethical behaviors throughout the organization?
Is there a responsible party identified for employees to go to for guidance regarding ethics and
compliance issues? How do employees know who to contact?
Is there a means to report potential violations of company policy confidentially or anonymously? What
controls are in place to prevent Conflicts of Interest within the organization?
Does the supplier monitor and review Customer Change Control compliance at an executive level?
(Mandatory Tier 1 for CE! requirement, Tier 2 for general)
In the last 12 months, has there been a CE! violation in your factory? (Mandatory Tier 1 for CE!
requirement, not required for general requirement)
Does the supplier have objective evidence of their ability to manage and process a high rate of design/
documentation changes consistent with the rate of change in a Semi Cap industry?
Does the supplier have objective evidence of their ability to manage 48 hour turnaround on drop
ins/config change/pull in-push outs to provide financial and delivery impacts?
Does the supplier have objective evidence of their ability to receive and execute a high rate of NSRs (non
standard requests)?
What experience does the supplier have with configurable manufacturing?
Demonstrate with examples what is your Push, Place, Pull, Cancel (PPPC) Success?
If needed, does the supplier have clean room manufacturing space sufficient to meet Lam's needs?
Is the manufacturing floor space available sufficient to match Lam's needs inclusive of appropriate
power, CDA, helium, etc.?
Does the supplier have sufficient process controls in place to protect Lam and Lam customer IP?
Is there a formal Supplier Selection Criteria and Process? Are Critical Parts differentiated?
Does the supplier have strategic materials management organization?
Do you have Supply Base rationalization program in place as part of your Supply Chain strategy ?
Does the supplier have methods for identifying Customer Change Control restricted parts in their ERP
system and throughout the manufacturing process? (Mandatory Tier 1 for CE! requirement)
Do written policies and procedures exist for environmental, health and safety? Does the facility have all
EH&S permits, licenses, authorizations? Does the Supplier have dedicated management representatives
to ensure compliance to EH&S requirements?
Are EH&S issues and requirements covered during the Management Review Process? Are EH&S
potential releases (water, waste, air emissions) considered during the design process? Is there a system
in place to measure progress of EH&S efforts, programs or goals?
Have there been any environmental or safety issues, citations/violations, or fines in the last 12 months
in your organization? If yes, provide details. Does a process exist for internal/external EH&S
communication?
Is the facility safe, clean, orderly, and well lit? Is the air quality good and noise levels low?
Does the supplier have documented records for First Article Inspection / Test?
Are the First Article Inspection Records clearly understood by all personnel responsible for FAIR?
Compliance to LAM GSQA requirements. Ability to provide real time process and critical feature data
into Lam's IT system
Does the supplier have documented records of a Management Review process for the review of quality
processes and procedures? Does it include a review of all concessions including the supplier's cost of
quality program?
Does the supplier have a fully documented Internal assessment system to include reports that define
assessment activities, findings, and corrective actions issued from previous internal assessments with
records of closure?
Can the supplier provide documented records for "copy exact", or "POR Controlled" that lock down all
manufacturing, assembly and test procedures?
Are all equipments used to verify or measure a product maintained within a documented calibration
system? What type of accuracy checks are done for bias and linearity. Demonstrate with examples.
How does the supplier validate their inspection equipment such as CMM, Profilometer, Contracer,
Optical comparator, calipers and micrometers?
Does the supplier have a process by which test fixtures are qualified for validating?
Are all critical features measured? Are these fixtures subject to a maintenance/calibration/spare parts
management process?
Is gage R&R and gage matching performed on critical measurement applications with correlation to LAM
on a regular basis? What is the acceptable Gage R&R value?
Does the supplier have real time documented records for Critical Feature and associated process
parameters. Are they measured analyzed and reviewed on a real time basis and can this be shared with
Lam real time?. What type of metrics and analysis are done(CPKs, CPs, DOEs)
Can the Supplier demonstrate that what is physically being built/tested/packaged on the floor is being
done with current revision level documents as per the customer P.O.?
Does the supplier have the processes and capabilities to demonstrate and maintain compliance to
product safety and regulatory requirements stipulated in the Lam requirements specification?
Are work instructions and product quality specifications visible in all work areas? Are updated charts on
productivity, quality, safety, and problem solving visible for all teams? How do you ensure that the work
instructions and being followed and are effective.
Are updated charts on productivity, quality, safety, and problem solving visible for all teams? Are up-to-
date operational goals and performance measures prominently posted?
Can the current state of the operation be viewed from a central control room, on a status board, or on a
CRT?
Does the supplier have ability to support new product development. Ability to use CMM, develop
gages, process characterization of new processes, DOE to optimize process parameters, DFMEA, PFMEA,
CAD design reviews and analysis. Train operators and use pilot builds to mimic manufacturing
environment
Is there an effective project management process, with cost and timing goals, for new product start-ups?
Are there documented processes in-place which allow customers to expedite product from
manufacturing assembly processes through finished goods?
How are the equipment PM maintained? An example of the scheduling and a checklist. What does a
minor and major full PM consist of? How are records maintained? Is a timetable posted for equipment
preventive maintenance and continuous improvement of tools and processes?
Have the key process parameters for the critical characteristics been identified, characterized (by DOE)
measured, documented (SPC charts)and reviewed real time. How is this data used to continuously
improve? Please identify some examples that demonstrate stability and capability of these critical
process parameters. What is the minimum CPK vales for these critical process parameters?
Is there a systematic approach to capturing defect or non-conformance data and projects aimed at
eliminating or reducing defects on a continual basis?
Is mistake-proofing (Poka yoke) or error-proofing used to prevent errors or control critical
characteristics? List examples.
Is SPC used real time by the supplier to monitor key processes or critical characteristics on a real time
basis? Is action taken in a timely manner to address adverse trends? Can this be shared real time with
Lam. Provide examples of control charts, CPK values
Do you document Process Controls via Control Plans and are they reviewed and updated to capture
escapes or other process failures throughout the manufacturing cycle? . Are these findings used to
recalculate control limits?
Does the supplier have documented procedures for the traceability of products , its components and
non-conforming materials through all stages of procurement, production, testing, delivery and service?
Does the supplier have documented procedures for the timely recall of product determined to be out of
specification or a safety hazard?
Does supplier have a Time Sensitive Material (TSM) control procedure? Including identification of all
TSM material? (check list of materials) Verify material is within TSM limits.
Does the supplier have a visual labeling system identify and locate inventory, tools, processes, and flow?
Can the Supplier demonstrate that what is physically being built/tested/packaged on the floor is being
done with current revision level documents as per the customer P.O.?
Is the test yield(s) associated with Lam product sustainable at higher volumes without adverse impact to
OTD or increased costs to Lam?
What evidence is there to demonstrate first pass test yields are tracked and data is used to improve
yields?
What evidence is there to demonstrate the supplier has integrated the principles of pushing testing as
far upstream as possible? How is the whole unit assembly checked to drawing and BOM for accuracy.
Does the supplier track accidents and lost work days? Has the supplier operated without any serious
injuries resulting in death?
At a minimum, does the supplier provide their employees and guests with a safe work environment free
of excess work in-process, supplies, debris, etc.?
Is 6s practiced at all operations in the shop floor? Provide examples.
Does the supplier have a bonded storage area with limited access for storage of product dispositioned as
non-conforming?
Does the supplier have documented MRB procedures with records of meeting minutes and material
disposition activities?
How do you control Human workmanship errors? Is mistake-proofing (Poka yoke) or error-proofing used
to prevent human errors List examples.
What evidence can be shown to demonstrate efforts to eradicate human errors.
1. Wrong part selected and assembled

2. Defective part assembled
3. Part omitted (step skipped)
4. Extra part assembled (e.g. double gasket
5. Part misoriented / misaligned
6. Part installed in wrong location
7. Part under/over torqued
8. Part or adjacent parts damaged or contaminated (FOD risk)
Are the performance measurement systems and agreements in place for sub-tier Suppliers? (e.g.
Scorecard) . Is this closed loop with a clear long term plan for improvement?
Do you provide forecasts to your suppliers to ensure they have visibility to future requirements and can
adequately support? What is the frequency of the forecast update/refresh? Is this closed loop?
Demonstrate with examples.
Do you have a supplier certification process for your suppliers? Does it include measures for quality,
delivery, and cost performance?
Is there evidence that the ERP can support the supplier with :
(a) Direct & Consigned parts
(b) Automated decrement of inventory & return to stock
(c) Nettable and Non-Nettable stocking locations
(d) Tracks customer owned inventory
(e) Customer Change Control Restricted Parts
Provide evidence of adequate physical space and resources to accommodate current and forecasted
Lam products at the warehouse?Can clearly defined warehouse locations be visbile in the system?
What evidence can be demonstrated that supports the warehouse is driven by KPIs and key metrics to
ensure processes are in control and meeting expectation? How is the data used to drive
warehouse/logistics improvements?
What cycle time for goods receipt (from dock to stock) is required to support kitting/manufacturing?
Show evidence that the supplier is meeting this target? If not, what plans are in place to resolve?
When was the last physical inventory audit (physical inventory count) and what were the results? What
is the frequency of the audit?
What measures are in place to prevent material from being pulled to backfill parts outside the system or
prevent inventory loss?
Has Lam approved your Supply Chain Risk Management Plan (SCRMP) to meet the target of being 80%
operational within 2 weeks of a SCRMP triggering event?
To what level do you control and drive improvement across the value chain?
What evidence is there that management is committed to creating a culture of continuous
improvement? Does management lead or participate in regular shop floor walks, RMBWA, Layered
Process Audits (LPA), or equivalent activities within the factory? Are issues effectively addressed in a
timely manner?
Do you have an Annual Operating Plan (AOP or equivalent) in place with Key Performance Indicators,
Goals, Initiatives, or targets identified and communicated throughout the organization? What evidence
is there that demonstrates AOP goals are being tracked on a regular basis with action items assigned
with measured targets?
Do you have a 5 year strategic plan and initiatives outlined? How does it support Lam's product and
strategy?
Describe what type of documented continuous improvement (CI) program is in place. What level of
evidence can be provided to show a CI project has had a positive impact on a Lam products
How is PFMEA , DFMEA, training, SPC & DOE used as part of continuous improvement .Provide
examples
Does supplier have a Customer Change Control Policy instituted, understood and adhered throughout
it's operation? Is Customer Change Control integral to the supplier's ECO/ECN Process?(Mandatory for
CE! requirement). Provide examples
Does the supplier have routing and approval authorization for proposed product changes to customer
change control restricted parts? (Mandatory Tier 1 for CE! requirement, Tier 2 for general)
Does the supplier have a formal process for informing its Customer(s) of a Customer Change Control
violation. (Mandatory Tier 1 for CE! requirement)
Does the supplier have a documented process of their Change Control and Document Control
management systems?
Does the supplier have a documented, closed-loop process for Change Control, Document Control
Management Systems and implementation of design changes (i.e.., material disposition)?
Does the supplier's procedures require customer approval prior to the implementation of any changes?
Does the supplier have a documented process for customer notification of design changes?
What are the key elements you take into account when looking at capacity planning? What is your lead
time to increase capacity by 10%, 25%, and 50%?
What utilization processes are in place to approve increases in capacity and how does management
approve increased resources (man, machine, material, etc.) requirements to be added (% surge) to
ensure continuous supply?
What evidence shows your willingness to invest in growth based on Lam forecast? Do you have system
or any other capital equipment related constraints?
How does customer forecast information get translated to daily shop floor build requirements? Who /
what establishes build requirements and schedules?
What & how the team size for the job requirements (skills, knowledge, abilities) for the individual(s)
responsible for effectively managing the production planning/efficiency monitoring processes?. Capacity
and head count planning and frequency.
Does the supplier conduct Pareto Analysis for performance issues and track Process Yields? Does this
data provide feedback to processes, procedural review , and customers?
Does the supplier have a documented, deployed and functioning methodology for root cause analysis?
Can the supplier provide evidence of root cause analysis, actions items for all internal and external
(customer )problems?
Is there evidence of closed-loop RCCA for product dispositioned as non-conforming? What is your rate of
repeat problems?
Does the supplier have a documented CAPA system? Is it closed loop and do records exist to support if
corrective action is verified and brought to closure within the specified time?
Do you use formal risk mitigation tools such as PFMEA to address manufacturing risks? How often is
this document reviewed. What are your typical RPN numbers. How do you typically address the
"occurrence" value
How is lean thinking and lean manufacturing concepts used across the board to drive systemic
elimination of waste? Please provide examples. What lean concepts have extended into processes inside
and outside of the manufacturing environment?
Is supplier aware of Lam’s FA cycle time requirements for critical/safety issues and medium impact
issues?
Does the supplier measure their performance against Lam expectations?
Have supplier provide an example of a recent failure analysis report; does this FA meet minimum
expectations for content?
Does supplier monitor PNR (NTF) performance for failure analysis?
Does supplier have a standard FA investigation process by product family that includes step by step work
instructions?
Does supplier have a process to train and qualify personnel to conduct FA?
Does the Supplier have a process in place to ensure the integrity of their Software(s) so as to protect
Lam and Lam's customers from inadvertent exposure to computer viruses?
How does supplier manage obsolescence? (Mandatory Tier 1 for CE! requirement, not required for
general requirement)
Does your organization have a process to support Flex material (material purchased or planned without
forecast, can be configured to meet future needs), for reduced cycle time?
Does the supplier have a controlled, systemic method for qualifying the processes used in building and
testing a product prior to its release for volume manufacturing?
How does the organization respond to problems, both internal and external?
Do you have a clear documented process and ownership for your Risk Management and Business
Continuity Planning (BCP)? How is it performed? Are there documented plans or methods established
for identification and ranking of risks?
Are you familiar with Lam’s 14 most critical BCP criteria and what is takes to get to a “Level 3” approval?
Have you provided your BCP (and supporting documents) to Lam for review and approval against these
criteria?
Are production materials brought to and stored at line side rather than in separate inventory storage
areas?
Can the supplier design group support discussions to identify technical solutions to complex problems?
How timely is the response and engineering support to Lam requests? Show examples as to how
operator variable is made fool proof.
Do you have the technical proficiency to assess a Lam design for producibility and affordability? Provide
examples where the supplier provided feedback or suggestions for improving Lam designs or
specifications.
What evidence exists to show investment in R&D applicable to Lam product? What evidence can be
provided to show that roadmaps exist for Lam associated technologies and/or products/processes?
What level of engagement is there between production and design engineering when a new design is
developed? How does Engineering ensure designs are producible? Provide an example.
Do you use producibility tools to aid in ensuring new designs are producible and key characteristics are
identified (e.g. DFMA, DTC, DFMEA, DFSS)? List some examples.
What evidence is there the design team incorporates lessons learned from production when creating a
new design? What are some of the DFX learnings. How are fool proof solutions generated for typical
workmanship issues
What specific evidence can demonstrate appropriate engineering metrics are being tracked that lead to
more producible designs or a reduction in design cycle time? Have you done any correlation studies
between the Component AFR to first pass yield, to final testing, to in process defects to component
quality.
What process is in place to monitor for part or component obsolescence?
What evidence can be provided to show that roadmaps exist for Lam associated technologies and/or
products/processes? How do you ensure that the process maturity follows the product complexity
Does the supplier have a documented training plan that identifies training needs and requirements for
each work station.? Is there a review for effectiveness?
Are complete and accurate training records maintained for personnel whose work impacts product or
service quality?
How are job requirements (skills, knowledge, abilities) for the individuals responsible for designing,
building and testing the customer's product (lifecycle) decided and compared to current skills sets. How
are the gaps determined and what are the plans to close them?
Does the supplier have formal Customer Change Control training requirement for relevant employees
i.e. Design Engineering, Production etc.? (Mandatory Tier 1 for CE! requirement)
What are the job requirements (skills, knowledge, abilities) for the individuals responsible for managing:
(a) Engineering Change Process, (b) Documentation Control Process, ( c) MRB Process, (d) Production
Qualification Process , (e) Manufacturing, (f) Quality, SPC Support(Indirect) positions?
Are work teams trained, empowered, and involved in problem solving and ongoing improvements?
Does the supplier have ISO 14001 certification?
If CE Marking is required by Lam, does supplier have the capability of demonstrating compliance with CE
Marking requirements?
If formal third party listing or certification (UL, etc.) is required by Lam, does the supplier obtain and
continuously maintain certification?
Does the supplier have a documented Cost of Quality program that includes cost of
detection ,prevention, and costing for defective product rework, scrap?
Does the supplier has design capabilities in the portfolio? How is reliability and quality designed into the
product?
What production efficiency metrics are important to the organization? Correlation of internal metrics
(CPKs, failure rates, repair rate) to external metrics (AFR, 8Ds, FACT, etc.)
How you manage Cost of purchased parts? How is the total cost of quality established?
What is your E&O as percentage of your COGS?
What metrics are in place at the various levels of the organization to monitor health and overall
performance of the factory, programs, product lines, site and customers? What are the action plans in
place for identified short comings and/or gaps to metrics?
What is the Accuracy of Inventory? To what level do you control and drive improvement on your
inventory turnover across the supply chain?
Does your Information Technology department have a documented disaster recovery plan? Is your data
backed up adequately to ensure quick and immediate access, and to prevent data loss?
Do you have documented information security policies and procedures?
Have you deployed adequate technology to address the potential for security breaches? Do you have
adequate resources allocated to information security?
How do you handle security issues with its employees working from home?
Do you have adequate resources allocated to information security?
Does the supplier have a fully documented
Quality System in compliance with a nationally recognized Quality Management System?
Is there an overall Industry strategy in place at the supplier? How has the supplier invested in
understanding and identifying ways to incorporate some of the tenets of I4.0 to gain efficiencies and
improve capability? List some specific areas of knowledge the supplier has gained and any investments
or areas of implementation.
How does best practice sharing take place across your global factories?
Category Subcategory Self Score LAM Score
Business Acumen Communication & Logistics

Business Acumen Customer Satisfaction

Business Acumen Diversity & Social Responsibility

Business Acumen Finance
Business Acumen Leadership

Business Acumen Skills & Human Resources
Compliance Competency & Commitment

Compliance Critical Parts & Processes
Compliance Environmental Health & Safety

Compliance FAIR
Compliance FAIR
Compliance GSQA
Compliance Process of Records
In-Process Production Calibration & Gage Matching

In-Process Production In- Process Parameters
In-Process Production New Product Introduction
In-Process Production New Product Introduction
In-Process Production Production Maintenance & Support
In-Process Production Production Maintenance & Support

In-Process Production Process Control
In-Process Production Traceability
In-Process Production Testing
In-Process Production Workplace Safety

In-Process Production Workmanship Errors

In-Process Production Workmanship Errors
Incoming Quality Sub-Supplier Management
Incoming Quality Warehouse
Operational Excellence Business Continuity Plan

Operational Excellence Continuous Improvement

Operational Excellence Change Management
Operational Excellence Capacity Planning
Operational Excellence Problem Solving


Operational Excellence Risk Management

Operational Excellence Technical Proficiency

Operational Excellence Training

Quality Data Management Audits and Certifications
Quality Data Management Global Metrics

Quality Data Management IT Management

Quality Data Management Global QMS

Findings Severity
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Assessment Date Primary QMS Score Risk Description Improvement Action - 1
SUMMARY
Revision 1 -Due Date QMS Score Rev-1 Improvement Action - 2 Revision 2 -Due Date
QMS Score Rev-2 Improvement Action - 3 Revision 3 -Due Date QMS Score Rev-3
Acronym Description
ABS Acrylonitrile-Butadiene-Styrene (Terpolymer) A type of plastic
ANSI American National Standards Institute
APICS The Association for Operations Management (formerly American Production & Inventory Control Society)
ASL Approve Supplier List
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials (ASTM International, West Conshohocken, PA)
AWS American Welding Society
CAD Computer Aided Design
CAR Corrective Action Request
CCC Customer Change Control
CDA Clean Dry Air
CE! Copy Exactly
CM Contract Manufacturer
CMM Coordinate Measuring Machine
CNC Computer Numerically Controlled
COPQ Cost of Poor Quality
Cp Process Capability Ratio (Tolerance spread / 6 sigma)
CPIM Certified in Production and Inventory Management
Cpk Process Capability Ratio (Upper or Lower Tolerance spread / 3 sigma)
E&O Excess and Obsolete
EC Engineering Change
ECN Engineering Change Notice
ECO Engineering Change Order
EH&S Environmental Health and Safety
EICC Electronics Industry Code of Conduct
EMS Environmental Management System
ERP Enterprise Resource Management
ESC Electrostatic Chuck
ESD Electrostatic Discharge
FTIR Fourier Transform Infrared (spectroscopy)
GD&T Geometric Dimensioning and Tolerancing
GR&R Gage Repeatability and Reproducibility
ICT Integrated Circuit Testing
IP Intellectual Property
MFG Manufacturing
Mil. Std. Military Standard (U.S. Military)
MRB Material Review Board
MRP Material Resource Planning
MTBF Mean Time Between Failure
NIST National Institute of Standards & Technology (US)
OD Outside Diameter
OEM Original Equipment Manufacturer
OMS Operational Method Sheet
OSHA Occupational Safety & Health Administration (US government)
OTD On Time Delivery
PO Purchase Order
POR Process of Record
PPPC Property Plant People Capacity
PR Problem Report (replaces Engineering Change Request. Applies to Lam only)
PRR Production Readiness Review
QMS Quality Management System
R&R Repeatability and Reproducibility
RCCA Root Cause and Corrective Action
RTD Resistant Temperature Device
SE Supplier Engineer (Replaces SQE)
SOE Sequence of Events
SPC Statistical Process Control
SQE Supplier Quality Engineer - Now simply Supplier Engineer (SE)
TIG Tungsten Inert Gas (Welding)
TQC Total Quality Checks
UL Underwriters Laboratory
Q/N Category
INP-WPS-001 In-Process Production

CML-EHS-001 Compliance
Subcategory Questions
Does the supplier track accidents and lost work days?

Workplace Safety Has the supplier operated without any serious injuries
resulting in death?
At a minimum, does the supplier provide their

Workplace Safety employees and guests with a safe work environment
free of excess work in-process, supplies, debris, etc.?
Is 6S practiced at all operations in the shop floor?

Workplace Safety Provide examples.
Does the supplier have a bonded storage area with

Workplace Safety limited access for storage of product dispositioned as
non-conforming?
Does the supplier have documented MRB procedures

Workplace Safety with records of meeting minutes and material
disposition activities?
Do written policies and procedures exist for
environmental, health and safety? Does the facility
have all EH&S permits, licenses, authorizations? Does
Environmental Health & Safety the Supplier have dedicated management
representatives to ensure compliance to EH&S
requirements?

Management Review Process? Are EH&S potential
Environmental Health & Safety releases (water, waste, air emissions) considered
during the design process? Is there a system in place
to measure progress of EH&S efforts, programs or
goals?

citations/violations, or fines in the last 12 months in
Environmental Health & Safety your organization? If yes, provide details. Does a
process exist for internal/external EH&S
communication?
Environmental Health & Safety Is the facility safe, clean, orderly, and well lit? Is the air
quality good and noise levels low?
KPI 5 = Best in World
Meeting minimum requirements for '4' BUT

overall process is closed loop, embracing I4.0, or
Workplace safety evidence
set up to actively drive process or quality
improvement via benchmarking, innovation, etc

Workplace safety evidence overall process is closed loop, embracing I4.0, or

Is 6S practised

Facility/area exists

Accountability clear and understood
Do written program, Policies and Procedures exist
for environmental, health and safety? Does the
facility have all EH&S permits, licenses, overall process is closed loop, embracing I4.0, or
authorizations? Does organization have ISO
14001 certification?

Improvement: Are EH&S potential releases
(water, waste, air emissions) considered during
the design process?

Details of citations/violations to safety in the past overall process is closed loop, embracing I4.0, or
12 months set up to actively drive process or quality

Physical Inspection
3 = Acceptable
4 = Exceeds Expectation but not Best
Meet minimum
Records available for injuries/illness and lost day

work time and efforts taken to reduce
work time. Since the organization started
environmental impacts.
management is working towards achieving 100%
Since the organization started no serious injuries
workplace safety & observed positive trend
occurred which resulting in death. Proofs are
towards reducing accidents & injuries
available for review
Safe work environment in place for all employee

Safe work environment in place for all employee and working on providing the same to guests.
and guests. Proofs are available for review
Proofs are available for review
6S program in place and actively managed. Work Work areas are well maintained, no hazards
areas are well maintained, no hazards present.
present. Programs in place to routinely check
Programs in place to routinely check work areas
work areas for maintenance, organization and
for maintenance, organization and potential
potential hazards
hazards. Proofs are available for review
TOOLS: TOOLS:
- cage with locks and active inventory - cage with locks and active inventory
management via separate storage location in management via separate storage location in
MRP; part numbers scanned into MRP MRP; part numbers manually inputted into MRP
- process for immediate removal of non- - process for immediate removal of non-
conforming material from the manufacturing conforming material from the manufacturing
floor floor
- A clear, objective process exists for determining - A clear, objective process exists for determining
the level of indirect support initially required the level of indirect support initially required
- Evidence exists that the level of support is
- Evidence exists that the level of support is
continuously reviewed and, if necessary, adjusted
continuously reviewed and, if necessary, adjusted
- Evidence exists that individuals in this role have
contributed "value add"
ISO-14001 certified. Policies, procedures exist for Working towards ISO-14001 certification.
EHS and also facility have all EH&S permits, Policies, procedures exist for EHS and also facility
licenses, authorization. have all EH&S permits, licenses, authorization.
Evidence is available for regulatory compliance Evidence is available for regulatory compliance
and regular audits performed to ensure and regular audits performed to ensure
compliance maintained. compliance maintained.
EH&S is on the agenda for management reviews

Management has added EH&S to the agenda for
and is covered in Management Review Meeting
management reviews and is covered in
Minutes. All employees are trained in EH&S
Management Review Meeting Minutes. All
policies and procedures.
employees are trained in EH&S policies and
Supplier maintain all accidental history & first aid
procedures.
records to measure the EH&S efforts.
No serious injuries observed in the last 24

Since the organization started no serious injuries
months.
occurred & no such violations and fines. Proofs
Management is working on improving the safe
are available for review
environment in the work place.
1. Programs in place to routinely check work

areas for maintenance, organization and
potential hazards.
2. There are no unnecessary hazards in the work Work areas are well maintained, no hazards
areas. present. Programs in place to routinely check
3. Machines are well secured and safety work areas for maintenance, organization and
measures are taken care. potential hazards.
4. Work place is well lit for working & noise levels
are within acceptable limits
5. Proofs are available for review
Alternate criteia of
2 = Improvement Needed; 1 = Improvement Needed;
Does not Meets Minimum Process does not Exisit

work time. Since the organization started only
Process does not exist
minor injuries occurred. Proofs are available for
review
Management working towards providing Safe

work environment for all employee and to Process does not exist
guests. Proofs are available for review
Work areas are maintained, no visible hazards Process does not exist
TOOLS:
- cage with locks and active (manual) inventory
management
There is no documented process or tribal practice
- process for immediate removal of non-
or objective evidence
conforming material from the manufacturing
floor
- A clear, objective process exists for determining There is no documented process or tribal practice
or objective evidence
the level of indirect support initially required
Management is considering getting ISO-14001
registered. Policies exist and employees are Process does not exist
aware of policy. Evidence is available for
regulatory compliance.
Management is working towards adding EH&S to

the agenda for management reviews and is
covered in Management Review Meeting Process does not exist
Minutes. All employees are trained in EH&S
policies and procedures.
There was a minor environmental issue 12

months back, now precautionary measures have
been taken and no E&S issues occurred in 12 Process does not exist
months
Working towards achieving it
Work areas are maintained, no visible hazards Process does not exist
5 = Best in World 4 = Exceeds Expectation but not Best
Must have documented procedure + Evidence

of Conformance on shop floor + Evidence of
effectiveness + Closed loop
effectiveness

of Conformance on shop floor + Evidence of of Conformance on shop floor + Evidence of
effectiveness

effectiveness

effectiveness

of Conformance on shop floor + Evidence of Must have documented procedure + Evidence
effectiveness
of Conformance on shop floor + Evidence of of Conformance on shop floor + Evidence of
effectiveness

effectiveness

effectiveness

effectiveness + Closed loop effectiveness
3 = Acceptable 2 = Improvement Needed;
Meet minimum Does not Meets Minimum

Must have documented procedure
of Conformance on shop floor
Must have documented procedure + Evidence Must have documented procedure




Must have documented procedure + Evidence Must have documented procedure



1 = Improvement Needed;
Process does not Exisit
No Formal Procedure/Tribal Knowledge


5.0 Revision History
Date
Rev Originated by:
Modified
1.0 8/28/2013 System Account
2.0 1/8/2014 System Account
3.0 1/16/2014 Bryan Pankhurst
4.0 8/4/2014 eDMS Admin (Helen Nguyen)
5.0 7/6/2016 Greg Novacek
7.0 5/25/2017 Gaurav Makkar
8.0 11/7/2017 eDMS Admin (Pascaline

Ujeneza)
10.0 6/4/2018 Kurt Schumache
12.0 9/30/2021 eDMS Admin (Tom Jones)

13.0 3/28/2022 Ankush Dhiman
Description of Change
New version change to eDMS 1.0 due to Central Repository to eDMS
migration.
Updated Metadata (Properties View; Final Approver) to Jerome
Hubacek. Previously showed Greg Novacek. No Content Change
made. See Version History for content change made by Bryan
Pankhurst. Steve Lin update to the QMS Assessment Form.
Commodity Specific tab had mispelled word (PLA change to Plas).
Minor change only does not require reroute to All for approval.
Corrected minor error found in formula only. Approved by Greg
Novacek. Update to align to CQA 1002 rev 4, align use of Next review
date (NRD) on eDMS only. NRD will not appear on document. Revision
history will be used on eDMS going forward. Historical revision history
will be on document. Adding valid date on current date note in footer.
Footer update. Moved mandatory questions to top of Prep sheet and

fixed formula errors on Summary Chart tab. updated to separate out the
different commodity questionnaires that were earlier included in a single
document(OQA 3923). Now, there are number of QMS docs that will be
referenced in updated OQA 3923 for Supplier QMS assessment. These
QMS docs are already released in eDMS. So the updated OQA 3923
will have a general questionnaire and reference to different commodity
specific questionnaires.
Major rewrite as per QMS improvement project per Kurt Schumacher.

Updated Owners to positions to replace individual names. Corrections
sent to Kurt and Ashith for updating. Greg N approval provides; 1
question reference needs to be completed; extra tabs can be removed.
Added Confidentially notation to the document to comply with BOP-
41177. No other content changes made to document.
Updated footer. Re-uploading document and restarting minor workflow
to fix stuck in progress issue
Removed Reliant as Commodity.. Changed the layout to Normal view.
Removed the unwanted sheets, updated links, changed the print
preview. Fixed Rev history
Changed doc owner from Kurt Schumacher to Chris Walls per Kurt. And
updated next review date per Chris.
Updated the Title. Changed Doc owner to Arun Vatturi per request form
Celine George. Replaced existing file with new template. Changed the
Doc owner to Arun Vatturi and Anuj Kulkarni as other approver. Added
"MyLam" Flag to the metadata properties of the document. Replaced
OQA-3012 with MTL-61208.
Content copy to new template for eDMS 2021
1. Added detailed evaluation of scoring Criteria for general
Questionnaire scoring.
2. Added SE, SBM, Shop Floor & Meeting Room Tags to general
questions.
3. Added Supplier Self-Assessment Scores Feature.
4. Added Additive Manufacturing Commodity Specific Questionnaire.
5. Added in QMS process steps " Align with Supplier Development
Team for SHARP or RRA Assessment"
6. MTL-1923 Foreign trade Questionnaire made obsolete.
7. Cyber security & Information Protection Questionnaire updated.
8. QMS general Questionnaire updated as per OQA-71453

Audit Checklist OQA71368

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Document Name: Revision: 13.

4.0 Reference Documents

Document ID: DMS-430620066-5516

naire [OQA-51146] Form

ment ID: DMS-430620066-5516

Sample QMS Scorecard

QMS Scoring Methodology

Select Multiple Questionnaire(s) by entering "Y" in the Column Labelled "S

Select Questions from General QMS Questionnaire Sh

e Column Labelled "Select Questionnaire"

Anti-Slavery and Human Trafficking Questionnaire for Managers/HR Personnel

Are workers exempted from paying a fee to the

Are workers allowed to keep their personal

If your company uses interns or student workers, do

Is your workforce above 18?If no, what percentage?

Does your company ensure that workers under 18

What are the average weekly work hours of the

Do all your workers have regular rest days (at least

Do all of your workers have regular breaks or are

LGL-009 Anti-Slavery 1 Do workers perform overtime voluntarily?

Are the wages and benefits for any worker at your

Do you have procedures to ensure that wages and

Do you have a process to track and take corrective

Does your company have a process for workers to

LGL-4002 version 4.0 20 of 223

Anti-Slavery and Human Trafficking Questionnaire for Interviews of Supplier's

Were you exempted from paying fee to a recruiting

Have you been paid at or above the minimum legal

LGL-017 Anti-Slavery 1 Are you in possession of your passport?

Do you generally have at least one day off work

Does the employer ensure you are not harassed,

Are you permitted time off for illness or medical

Could you report a problem or concern you have

LGL-4002 version 4.0 21 of 223

LGL-4002 version 4.0 22 of 223

LGL-4002 version 4.0 23 of 223

Information Security/IP Protection Questionnaire

Question ID Information Security, and IP Protection Compliance Tier

Do you use local Firewall(s)? If so, please list manufacturer(s) and

Do you use Anti-Virus software? If so, provide product/version

Do you use a local Intrusion Detection System (IDS)/Intrusion Prevention

Do you use Remote Access Services? Specifically, what type of remote

What countermeasures have you implemented to resist / prevent "social

How are IT security protocols such as encryption, hard drive passwords,

IP.07 Is your company ISO/IEC 27001 Certified? 1

Have you ever experienced any cybersecurity incident in the last 12

How do you address/manage Information Security when you subcontract

How often are internal or external audits conducted on your Information

How do you protect Lam's confidential information and other non-public

How do you define intellectual property (IP)?

IP.13 How do have

How do you apply "lessons learned" immediately to similar situations,

Is multifactor authentication required for all systems? If so, please

Do you limit the ability of your computer users to download information

Is your information (or information provided to you by customers and

Do you immediately remove or modify access, when a personnel is

IP.28 Do you maintain a Cyber Security Incident Response Plan? (CSIRP) 1

Is a business continuity/disaster recovery plan in place? If so, please

GLOBAL TRADE COMPLIANCE - Supplier Screening Form

1. Supplier Name and Address Information

Address (P.O.boxes unacceptable)

State Owned or Controlled Enterprise,

2. EXPORT SCREENING:

If yes, please expla