SCMH 4.4.

4 SUB-TIER SUPPLIER CONTROL

-ASSESSMENT PROCESS OVERVIEW

Rev. Date: 8DEC2021

SCMH Topic 4.4 Sub-tier Supplier Control
https://iaqg.scmh.org
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 Sub-tier Supplier Control – Link to SQMB
It is highly recommended that users understand the content of the
SCMH Supplier Quality Management Basics (SQMB) before using
this guidance.
The guidance contains;
1. Quality System Requirements Flow-down
2. Supplier Selection
3. Supplier Pre-Production Planning
4. Production Readiness
5. Purchased Product Verification
6. Supplier Performance Monitoring
7. Supplier Surveillance
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
 Sub-tier Supplier Control Management Overview
I. Sub-tier Supplier Control Management Guidance
I. Introduction
II. Sub-tier Assessment Process
III. Sub-tier Assessment - Key Elements
IV. Sub-tier Assessment Matrix and
Checklists
II. Sub-tier Supplier Control
Assessment Matrix and Checklists
Other strongly related topics to be considered;
SCMH Topic 7.10 Contractual Requirements Review & Management Guideline and
SCMH Topic 7.3 Risk Management in the Plan & Manage section of the SCMH.
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 Sub-tier Supplier Control –Management Guidance
Aviation, Space & Defense (AS&D) continues to increase the amount of work
outsourced to suppliers;
• Growing complexity of supply chain
• Dependent on supplier’s ability to manage their sub-tiers.
Customer Flow
Customer down of the
“appropriate”
Requirements
Suppler
Feedback
Tier 1

Supplier Flow
Supplier down of the
“appropriate”
Requirements
The Customer is the highest or final Sub-tier Tier 2
manufacturing/processing organization in Control Feedback

Point Sub-Tier
the chain and is the end-user’s contact.
→The Supplier is the customer’s direct contact organization Sub-tier
Feedback
Tier x

within the supply chain. Control Etc.

Point
→The Sub-tier furnishes parts, materials, or services to the supplier
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 Sub-tier Assessment Process
Verify that your suppliers are managing their sub-tiers effectively

– Establish a method
– Communicate
expectations to your
suppliers
– Verify that suppliers
are working to your
expectation

Based on:
Supplier Criticality,
Product complexity

5
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 Sub-tier Assessment Process -8 Key Elements
The reasons for escapes were analyzed and the following are the
main topics where the problems were found;
A. Supplier’s Sub-tier Approval and Surveillance Process
B. Contract Review Process
C. Production Planning & First Article Inspection
D. On-going Product and Process Verification
E. Monitoring Sub-tier Performance
F. Change Management
G. Manufacturing Process Control
H. Corrective Action
These topics now make up the Sub-tier Assessment Process and are also
covered in Supplier Quality Management Basics.
6
© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
 Sub-tier Assessment Matrix
Assessment criteria defined for each of the 8 elements
Expectations are categorized as:
• Significantly below Threshold
• Below Threshold
• Threshold
• Above Threshold
• Significantly Above
Threshold

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 A. Supplier’s Sub-tier Approval and Surveillance
Process
Quality System Requirements extended to the Sub-tiers as part of
the approval process. Threshold

Approval and surveillance Process 3

The supplier's sub-tier approval process
includes clearly defined quality requirements
that are effective in assessing their sub-tier
suppliers' quality management system.
At a minimum the process typically includes:
* A flow-down document that incorporates
customer unique quality system
requirements.
* Specific requirements for sub-tiers with
non-certified quality systems.
* Requirements for customer
directed/approved sub-tiers.
On-site audits are performed at sub-tier
suppliers as determined by risk.
Results, approvals, denials and required
actions from sub-tier evaluations/audits are
retained.

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 B. Contract Review Process
Product quality is dependent on understanding and execution of the contractual requirements
Clarity of terms and conditions, product definition, processing specs and quality requirements.
Contract Review Process

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 C. Production Planning & First Article Inspections
Supplier includes sub-tiers in the production planning process
Suppliers review sub-tier production plans and approve FAI
Process Plan and FAI Process
2 5
3 4
1 Create/Update Create/Update full
Validate Sub-tier Initial Production
Inputs/Triggers Production or partial FAI
Production Plan Run
Planning (as required)

7 6
FAI FAI
Monitoring Approval

10
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 D. On-going Product and Process Verification
Supplier verifies on-going product conformance through sub-tier
process control and in-process inspection data

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 E. Monitoring Sub-tier Performance
Supplier monitors sub-tier performance to drive improvement
The level of monitoring may vary depending on risk.
Performance Monitoring Process

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 F. Change Management
Supplier ensures sub-tiers have a defined process for managing
changes effectively
Includes all product, process and system changes
Requires communication to all affected parties
Ensures customer notification and approval

2
1 3 4
Provide notification
Proposed Product or Implement the Validation and
and/or obtain
Process Change Change Documenation
approval

13
© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
 G. Manufacturing Process Control (MPC)
Supplier ensures product and process variation is minimized through flow-down of
MPC requirements to sub-tiers
Development and use of control plans
Application of statistical methods to manage/reduce process variation
Process for ensuring sub-tier MPC

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 H. Corrective Action (C/A)
Supplier ensures sub-tiers have an effective C/A process to eliminate and prevent
reoccurrence of nonconformities
Supplier/Sub-tier Corrective Action Process
1
Within suppliers’
3 4
process, determination 2
Submit RCCA to Validation of
is made that the sub- Sub-tier RCCA Process
Originator Effectiveness
tier supplier is
responsible

5
Yes
Feedback to Sub-tier
Effective?
Performance
Monitoring

No

15
© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
 Sub-tier Supplier Control Assessment
SCMH 4.4.3 Sub-tier Supplier Control Assessment Matrix and Checklist
Templates and guidance for performing a Supplier Management assessment
Assessment Matrix Templates
Key Element
Assessment Level Score >
A. Supplier’s Sub-tier
Approval and Surveillance
Process
Example of the desired levels as derived by
the customer. During the supplier's sub-tier
assessment, compare the actuals to the
B. Contract Review Process
desired to see the Gaps that will need
actions taken to correct.
C. Production Planning &
First Article Inspection
Example of the actual levels of the
supplier's processes to control of sub-tiers,
D. On-going Product and
as derived by the customer through a Sub-
Process Verification
tier Assessment. Compare the actuals to
the desired to see the Gaps that will need
actions to correct.
Line)
E. Monitoring Sub-tier
Performance
F. Change Management
G. Manufacturing Process
Control
H. Corrective Action (RCCA)
© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
(Example) Sub-Tier Assessment Matrix
B
e Above Threshold
l Significantly Below Thre shold
o Level 4 >>>
w
1 2
Approval process for suppliers is adhoc.
Only Customer directed/approved suppliers are
on the approved supplier list. No method of roll-
down of requirements to sub-tiers.
No contract review process in place to assure an
understanding of flowed-down quality
requirements. Does not flowdown purchase
order requirements from customer to sub-tiers
suppliers.
(Black Line)
Sub-tiers are not included in the production
planning for new parts or processes. There are
no additional requirements for first production
runs. First Article Inspection requirements are
not flowed to sub-tiers.
Verification of product and/or processes are
inconsistent. Verification documents (e.g.
certificate of conformity, test records, statistical
records, process control records) are incorrect
or missing.
(Purple
Sub-tier supplier performance data is not
collected or reviewed at an established
frequency.
The supplier has no process for sub-tiers to
provide notification of changes in engineering or
manufacturing processes.
There is no use of, or flowdown requirement for,
sub-tiers to utilize statistical process control tools
and techniques.
Subtier suppliers are not required to provide
corrective action for nonconformance issues.
Below Threshold
A sub-tier approval process is in place but quality
system requirements are not clearly defined or
documented. Evidence of supplier verification is
inadequate and/or does not include:
* a verification of the flow-down or
implementation of customer specific quality
system requirements at sub-tiers,
* a minimum set of requirements for non-certified
quality systems, or
* re-evaluation of sub-tier's Quality systems.
The supplier does a contract review but has no
formal process is in place. Does not have
objective evidence of a review for the quality
requirements; does not validate its effectiveness
of the contract review.
The production planning process is adhoc:
* the requirements for sub-tier involvement is not
defined
* Sub-tiers are not notified of initial production
runs
* FAI requirements are indicated on purchase
orders as required.
Results of inspections and supplier process
verifications are documented. Inspection
frequency is not adjusted for high risk product
and/or sub-tiers. Product and process
verification documents, such as Certificates of
Conformity, test records, statistical records,
supplier performance data, process control
records are maintained but not reviewed.
Sub-tier supplier performance data is collected,
but metrics may not include such quality aspects
as escapes, audit results, corrective action
responses or other posibilities. Supplier
performance data is not reviewed at an
established frequency.
Process changes or changes associated with
frozen processes are not managed through any
documented change management process.
However, engineering changes are formally
managed. Sub-tiers provide notice of change
only when impacting form, fit or function.
Flowdown requirements / utilization of statistical
process control tool and techniques are not
consistently applied. Control plans are
inadequate or incomplete (i.e. do not include
inspection requirements, specifications /
tolerances and control methods).
Corrective action responses are required from
sub-tier suppliers but are not assessed to ensure
effectiveness and/or adequacy to correct and
prevent a recurrence. Supplier does not validate
corrective actions.
Assessment Checklist Templates
Pluses or minuses from the threshold Level Three
Significantly Abov e Thre shold
Threshold The Level 3 plus the following added for The Level 3 and 4 plus the following added
for Level 5 >>>
3 4 5
The supplier's sub-tier approval process includes Sub-tiers producing aerospace products or Evidence the supplier assessment process is
clearly defined quality requirements that are processes are certified to aerospace industry continually reviewed and improved.
effective in assessing their sub-tier suppliers' standards (i.e., Nadcap or OEM / 9100, 9120,
quality management system. 9110 Quality Management System)
At a minimum the process typically includes:
* A flowdown document that incorporates
customer unique quality system requirements.
* Specific requirements for sub-tiers with non-
certified quality systems.
* Requirements for customer directed/approved
sub-tiers .
On-site audits are performed at sub-tier suppliers
as determined by risk.
Results, approvals, denials and required actions
from sub-tier evaluations/audits are retained.
The supplier is certified to AS/EN9100 and has a A. Supplier's Sub-tier Approval Process Suppliers include their sub-tiers in the flowdown of
formal process of Contract Review. There is a the contract requirements. Both pre-production and
flowdown of the data obtained from the contract
review to the internal operations or sub-tiers.
production planning is incorporated with the use of
an Advanced Product Quality Planning model. Sub-
Objective evidence is available of the flowdown of tiers are also involved in the completion of First
those requirements. Supplier formally integrates
their sub-tiers into the flowdown of the contract
Article Iinspection Report (FAIR) requirements to the
AS9102 during the planning phase.
requirements.
The supplier has a defined production planning For high risk products and processes, Supplier Sub-tiers use a risk-based FAI methodology (e.g.
process that includes the involvement of sub-tiers. ensures on-site verification of the manufacturing PPAP), including action plans for risk mitigation.
Based upon risk, sub-tier work instructions, and FAI processes are performed. Subtiers Statistical or Lean methods are applied to improve
gaging instructions and operation sheets are maintain or improve initial process capabilty. processes impacting products. Supplier has an
reviewed/approved as part of the planning effective process for transfer of product. (starts with
process. Preliminary process capability is "last-off" and ends with "first-off")
evaluated for new and modified processes. Sub-
tiers submit FAI Report (FAIR) as required. FAI
process ensures compliance to product
requirements for initial and delta FAIs.
The receiving or source inspection processes The supplier has a designated quality Supplier has an automated process in place to
account for key and special characteristics. A representative (DQR) or delegated supplier analyze product / process verification data.
process is in place to ensure "Pass-Through /
Hidden Characteristics" have been verified at
source. Rationale for reduced inspections is
system in place. Supplier periodically performs
evaluations of sub-tier DQR and/or product
verification activities.
documented, substantiated and consistent with
customer expectations. Product and process
verification documents, such as Certificates of
Conformity, test records, statistical records,
supplier performance data, process control
records are reviewed for compliance and
maintained.
The supplier uses performance data to monitor
sub-tier suppliers (e.g. quality, delivery,
An established rating system is implemented and
data is shared with the sub-tier supplier. Rating
An established Continuous Improvement Process is
implemented for sub-tier suppliers with metrics and
escapes, audit results, corrective action system is used to mitigate risk and improve reporting structure.
responses, etc.). The sub-tier supplier's
performance is periodically reviewed with
supplier performance.
management. Results of these reviews are used
to establish the level of sub-tier control required.
There is a change management process in place There is a cross-functional team consisting of The effectiveness of the change management
that defines the level and types of changes with Engineering, Manufacturing Engineering, Quality system is evaluated during Management Reviews
associated requirements. This process includes and Production in place to review all flowed-down and actions taken as required.
appropriate notifications and approvals of sub- or rolled-up proposed changes. The team
tiers' changes. There is a change tracking and ensures engineering, quality and manufacturing
monitoring system in place to ensure that documents are updated as required.
changes are timely and effectively implemented.
Partial (i.e. delta) first article inspections are
performed as required per AS9102 and/or
customer requirements.
Utilization of Statistical Process Control tools and
by sub-tier suppliers. Planning for the control of
product includes consideration for key, critical
and "Pass Through" / Hidden Characteristics.
Control plans are consistently utilized in the sub
tier supplier base. Production records should
validate that reaction plans are effectively
executed when an out-of-control situation occurs.
Sub-tier suppliers self-identify key process /
techniques (e.g. control charts, capability studies, product characteristics and utilize Statistical
etc.) are consistently flowed down to and applied Process Control tools and techniques.
Sub-tier suppliers implement automated Statistical
Process Control tools and techniques and have
achieved the benefits of effective process control
(e.g. reduced variation reflected through high CPK,
predictive maintenance programs, lean process
design, Six Sigma, etc.)
Templates can be used as is or
The supplier has a corrective action process that There is evidence that sub tier non- Nonconformance data collection is automated,
customized to meet your needs.
extends to their sub-tiers. The process ensures conformances/escapes have been reduced. Sub collected and analyzed at a pre-determined /
implementation and effectiveness of corrective tiers are using investigative tools such as, 5- specified frequency to drive continuous
actions to eliminate the cause(s) of Whys, Cause and Effect, Failure Modes and improvement.
nonconformities. Corrective actions directly Effects Analysis, fault tree, etc. to determine Root
address the root cause and recurrences are cause(s). A strong use of error proofing is
infrequent. Supplier communicates corrective evident. Establishment of a Corrective Action
action(s) to customer as required. Review Board which requires sub-tier
participation for escapes and/or repeat
nonconformities to drive correction of
nonconformities caused at their level.
16
 Sub-tier Supplier Control Assessment
SCMH 4.4.3 Sub-tier Supplier Control Assessment Matrix and Checklist
Using the tools to do an assessment
Establish expectations for sub-tiers
Assess sub-tier’s Supplier Management Processes
Document the assessment results
Assessment Checklist
Key Element
Assessment Level Score >
A. Supplier’s Sub-tier
Approval and Surveillance
Process
Example of the desired levels as derived by
the customer. During the supplier's sub-tier
assessment, compare the actuals to the
B. Contract Review Process
desired to see the Gaps that will need
actions taken to correct.
C. Production Planning &
First Article Inspection
Example of the actual levels of the
supplier's processes to control of sub-tiers,
D. On-going Product and
as derived by the customer through a Sub-
Process Verification
tier Assessment. Compare the actuals to
the desired to see the Gaps that will need
actions to correct.
Line)
E. Monitoring Sub-tier
Performance
F. Change Management
G. Manufacturing Process
Identify gaps to expectations
Control
H. Corrective Action (RCCA)
Establish gap closure plan
© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
(Example) Sub-Tier Assessment Matrix
B
e Above Threshold
l Significantly Below Thre shold
o Level 4 >>>
w
1 2
Approval process for suppliers is adhoc.
Only Customer directed/approved suppliers are
on the approved supplier list. No method of roll-
down of requirements to sub-tiers.
No contract review process in place to assure an
understanding of flowed-down quality
requirements. Does not flowdown purchase
order requirements from customer to sub-tiers
suppliers.
(Black Line)
Sub-tiers are not included in the production
planning for new parts or processes. There are
no additional requirements for first production
runs. First Article Inspection requirements are
not flowed to sub-tiers.
Verification of product and/or processes are
inconsistent. Verification documents (e.g.
certificate of conformity, test records, statistical
records, process control records) are incorrect
or missing.
(Purple
Sub-tier supplier performance data is not
collected or reviewed at an established
frequency.
The supplier has no process for sub-tiers to
provide notification of changes in engineering or
manufacturing processes.
There is no use of, or flowdown requirement for,
sub-tiers to utilize statistical process control tools
and techniques.
Subtier suppliers are not required to provide
corrective action for nonconformance issues.
Below Threshold
A sub-tier approval process is in place but quality
system requirements are not clearly defined or
documented. Evidence of supplier verification is
inadequate and/or does not include:
* a verification of the flow-down or
implementation of customer specific quality
system requirements at sub-tiers,
* a minimum set of requirements for non-certified
quality systems, or
* re-evaluation of sub-tier's Quality systems.
The supplier does a contract review but has no
formal process is in place. Does not have
objective evidence of a review for the quality
requirements; does not validate its effectiveness
of the contract review.
The production planning process is adhoc:
* the requirements for sub-tier involvement is not
defined
* Sub-tiers are not notified of initial production
runs
* FAI requirements are indicated on purchase
orders as required.
Results of inspections and supplier process
verifications are documented. Inspection
frequency is not adjusted for high risk product
and/or sub-tiers. Product and process
verification documents, such as Certificates of
Conformity, test records, statistical records,
supplier performance data, process control
records are maintained but not reviewed.
Sub-tier supplier performance data is collected,
but metrics may not include such quality aspects
as escapes, audit results, corrective action
responses or other posibilities. Supplier
performance data is not reviewed at an
established frequency.
Process changes or changes associated with
frozen processes are not managed through any
documented change management process.
However, engineering changes are formally
managed. Sub-tiers provide notice of change
only when impacting form, fit or function.
Flowdown requirements / utilization of statistical
process control tool and techniques are not
consistently applied. Control plans are
inadequate or incomplete (i.e. do not include
inspection requirements, specifications /
tolerances and control methods).
Corrective action responses are required from
sub-tier suppliers but are not assessed to ensure
effectiveness and/or adequacy to correct and
prevent a recurrence. Supplier does not validate
corrective actions.
Pluses or minuses from the threshold Level Three
Significantly Abov e Thre shold
Threshold The Level 3 plus the following added for The Level 3 and 4 plus the following added
for Level 5 >>>
3 4 5
The supplier's sub-tier approval process includes Sub-tiers producing aerospace products or Evidence the supplier assessment process is
clearly defined quality requirements that are processes are certified to aerospace industry continually reviewed and improved.
effective in assessing their sub-tier suppliers' standards (i.e., Nadcap or OEM / 9100, 9120,
quality management system. 9110 Quality Management System)
At a minimum the process typically includes:
* A flowdown document that incorporates
customer unique quality system requirements.
* Specific requirements for sub-tiers with non-
certified quality systems.
* Requirements for customer directed/approved
sub-tiers .
On-site audits are performed at sub-tier suppliers
as determined by risk.
Results, approvals, denials and required actions
from sub-tier evaluations/audits are retained.
The supplier is certified to AS/EN9100 and has a A. Supplier's Sub-tier Approval Process Suppliers include their sub-tiers in the flowdown of
formal process of Contract Review. There is a the contract requirements. Both pre-production and
flowdown of the data obtained from the contract
review to the internal operations or sub-tiers.
production planning is incorporated with the use of
an Advanced Product Quality Planning model. Sub-
Objective evidence is available of the flowdown of tiers are also involved in the completion of First
those requirements. Supplier formally integrates
their sub-tiers into the flowdown of the contract
Article Iinspection Report (FAIR) requirements to the
AS9102 during the planning phase.
requirements.
The supplier has a defined production planning For high risk products and processes, Supplier Sub-tiers use a risk-based FAI methodology (e.g.
process that includes the involvement of sub-tiers. ensures on-site verification of the manufacturing PPAP), including action plans for risk mitigation.
Based upon risk, sub-tier work instructions, and FAI processes are performed. Subtiers Statistical or Lean methods are applied to improve
gaging instructions and operation sheets are maintain or improve initial process capabilty. processes impacting products. Supplier has an
reviewed/approved as part of the planning effective process for transfer of product. (starts with
process. Preliminary process capability is "last-off" and ends with "first-off")
evaluated for new and modified processes. Sub-
tiers submit FAI Report (FAIR) as required. FAI
process ensures compliance to product
requirements for initial and delta FAIs.
The receiving or source inspection processes The supplier has a designated quality Supplier has an automated process in place to
account for key and special characteristics. A representative (DQR) or delegated supplier analyze product / process verification data.
process is in place to ensure "Pass-Through /
Hidden Characteristics" have been verified at
source. Rationale for reduced inspections is
system in place. Supplier periodically performs
evaluations of sub-tier DQR and/or product
verification activities.
documented, substantiated and consistent with
customer expectations. Product and process
verification documents, such as Certificates of
Conformity, test records, statistical records,
supplier performance data, process control
records are reviewed for compliance and
maintained.
The supplier uses performance data to monitor
sub-tier suppliers (e.g. quality, delivery,
An established rating system is implemented and
data is shared with the sub-tier supplier. Rating
An established Continuous Improvement Process is
implemented for sub-tier suppliers with metrics and
escapes, audit results, corrective action system is used to mitigate risk and improve reporting structure.
responses, etc.). The sub-tier supplier's
performance is periodically reviewed with
supplier performance.
management. Results of these reviews are used
to establish the level of sub-tier control required.
There is a change management process in place There is a cross-functional team consisting of The effectiveness of the change management
that defines the level and types of changes with Engineering, Manufacturing Engineering, Quality system is evaluated during Management Reviews
associated requirements. This process includes and Production in place to review all flowed-down and actions taken as required.
appropriate notifications and approvals of sub- or rolled-up proposed changes. The team
tiers' changes. There is a change tracking and ensures engineering, quality and manufacturing
monitoring system in place to ensure that documents are updated as required.
changes are timely and effectively implemented.
Partial (i.e. delta) first article inspections are
performed as required per AS9102 and/or
customer requirements.
Utilization of Statistical Process Control tools and Sub-tier suppliers self-identify key process / Sub-tier suppliers implement automated Statistical
techniques (e.g. control charts, capability studies, product characteristics and utilize Statistical Process Control tools and techniques and have
etc.) are consistently flowed down to and applied Process Control tools and techniques. achieved the benefits of effective process control
by sub-tier suppliers. Planning for the control of (e.g. reduced variation reflected through high CPK,
product includes consideration for key, critical predictive maintenance programs, lean process
and "Pass Through" / Hidden Characteristics. design, Six Sigma, etc.)
Control plans are consistently utilized in the sub
tier supplier base. Production records should
validate that reaction plans are effectively
executed when an out-of-control situation occurs.
The supplier has a corrective action process that There is evidence that sub tier non- Nonconformance data collection is automated,
extends to their sub-tiers. The process ensures conformances/escapes have been reduced. Sub collected and analyzed at a pre-determined /
implementation and effectiveness of corrective tiers are using investigative tools such as, 5- specified frequency to drive continuous
actions to eliminate the cause(s) of Whys, Cause and Effect, Failure Modes and improvement.
nonconformities. Corrective actions directly Effects Analysis, fault tree, etc. to determine Root
address the root cause and recurrences are cause(s). A strong use of error proofing is
infrequent. Supplier communicates corrective evident. Establishment of a Corrective Action
action(s) to customer as required. Review Board which requires sub-tier
participation for escapes and/or repeat
nonconformities to drive correction of
nonconformities caused at their level.
17
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)