SUPPLIER SYSTEM AUDIT CHECKLIST Doc No.

AHPL/SQA/CL/04/E
Rev. Date: 25.06.20/06

SUPPLIER'S NAME : Masu Brake Pads Pvt Ltd.

SUPPLIER'S REPRESENTATIVE : Mrs. Sasireka
AUDITOR :- Sagar Bhosale
DATE:- 17.09.21/18.09.21
SN Evaluation Clause Weightage What to Look for Mark Max. Wghtd. Observations Corrective Action Resp. Target date Status
(A) Obtained Wghtd. Score
(B) Score (A) x (B)

A MANAGEMENT
1 ORGANIZATION 2 * Defined organization structure with roles and responsibility 8 16 16 - Organziation structure defined (Doc.no: QP/HRD/02) and Roles
STRUCTURE, QUALITY * Quality policy & Quality Manual made and awareness through the and responisbilities are defined for all. (Doc.no: F/HRD/12)
POLICY organization - Quality Manual available and followed as per IATF standard.
* Procedure to revise quality policy is defined and followed (Doc.No: MBPPLIM- 5.0)
- Yes, Quality policy (Doc.no;Appendix:13) communicated by
displayed in shop floor. Awareness Training given as per
training plan.
- Six months once reviewed during MRM and revised based on
need.
-MRM review frequency is high

2 QMS (QUALITY 1 * Quality manual is available and updated as per latest revision of 6 8 6 - Quality Manual is available and updated as per IATF standard
MANAGEMENT QMS 16949: 2016. IATF 16949 certificate valid till 24th July'2024
SYSTEM),REVIEW * Departmental targets of the organization defined in terms of - KPI's defined for department wise and monitoried and
MECHANISM PQCDSM, and review is done as per defined frequency reviewed on monthly basis. ( F_SYS_46 ) No gap analysis
* Defined agenda of Quality review/MRM, outcome is documented - MRM review conducted as per procedure QP/SYS/03 by six
and tracked months once (F/SYS/72) - Outcomes are minuted and circulated.
(Doc.No: F/SYS/07)
-MRM Review frequency is high.
-MRM outcome not analyzed & monitored.
-KPI defined department wise but in quality ther is hug gap in
concern analysis & resolution that is not reflecting in MRM.

3 MANUFACTURING 2 * Defined procedure for new product development activity 6 16 12 - Procedure available for new product development. Doc.
CONTROL PLAN * APQP time plan prepared inline with customer milestones ref.No:QP/NPD/01
(DEVELOPMENT SYSTEM) * Micro level activities are defined for each phases - APQP time plan prepared as per customer request
* Periodic review is done and gaps are analyzed, actions are identified - Management review condcuted as per timing plan and gaps are
and tracked reviewed by top management but review frequency is high
hence gaps were analyzed late leading to delay in close of
observations.
- Specific APQP review frequency not defined & followed & gap
analysis not done.

4 CONTROL OF DOCUMENTS 1 * Defined procedure for document control including internal and 8 8 8 - Procedure available for documents control and followed.
external Doc.ref.No: QP/SYS/01
* Check for evidence for the compliance - Compliance verified during system audit

5 CONTROL OF NON 1 * Availability of procedure for handling non-confirming products, at 8 8 8 - Procedure available and followed for non conforming products
CONFIRMING PRODUCTS incoming, in process, final inspection handling. Doc.no: QP/SYS/10
* Identification of non-confirming products - NC area identified separately with tag
* Lock and key arrangement to prevent mix-up - Red bin system available with lock and key facility

6 ABNORMALITY-
TREATMENT CONTROL
(CONTINGENCY PLAN)
1 * Procedure for Abnormal Treatment Control according 4M &
contingency plan available
* Availability of contingency plan including (Supplier, labour shortage,
transport, major breakdown, material shortage)
* Periodic review and updation
4 8 4 - Work instruction covered what actions need to take during
abnormality happens
- Contingency plan available and covered all major issues as per
IATF guidelines. Ref.no:F/PRD/04
- Contingency plan reviewed once in six months is high and
revised based on requirement review once in a six month.
-Employee contigency plan is not available.
- 4M change closure time line not defined.
- 4M change closure review not condcted there is point in MRM
but once in a six month this is not evident.
 SUPPLIER SYSTEM AUDIT CHECKLIST Doc No. AHPL/SQA/CL/04/E
Rev. Date: 25.06.20/06

SUPPLIER'S NAME : Masu Brake Pads Pvt Ltd.

SUPPLIER'S REPRESENTATIVE : Mrs. Sasireka
AUDITOR :- Sagar Bhosale
DATE:- 17.09.21/18.09.21
SN Evaluation Clause Weightage What to Look for Mark Max. Wghtd. Observations Corrective Action Resp. Target date Status
(A) Obtained Wghtd. Score
(B) Score (A) x (B)

7 INTERNAL AUDIT 1 * Procedure for internal audit available, covering Product, Process,
system and doc audit
* Plan is prepared and audits are conducted as per plan
* NC's are recorded and countermeasure taken and monitored for
effective implementation
* Review of audit findings are done in MRM/Quality review
4 8 4 - All the procedures are implemented , covered in the internal
audits.Also customer specific requirements are covered in the
resp.procedures ( Internal audit, Process Audit & Product Audit
procedure Doc.No.:- QP/SYS/07,QP/SYS/08 & QP/SYS/09)
- Dock audit plan vs adherance not observed.
- No action plan observed agaisnt ncs reported in audits.
- Effectiveness monitored not evident.
- Audit outcomes are reviewed during MRM review. Doc.no:
F/SYS/07
- No time line defined for closure of audit NCS.

8 SUPPLIER CONTROL
2 * Procedure for supplier selection & approval
* List of approved suppliers, their certification status
* Delivery and quality targets for suppliers
* Monthly performance evaluation
* Supplier improvement program
* Supplier audit plan, and plan v/s actual status
6 16 12 - Procedure available and followed for supplier selection.
Doc.no: QP/PUR/01
- List of approved supplier available. Doc. Ref.no. F/PUR/02
- Supplier targets are defined during PPAP
- Supplier performance evaluation monitoring followed on
monthly basis. QP/PUR/04 & F/PUR/08
- No Improvements are identified during supplier audit
- Supplier audit plan avaialble. Adherence level - 100%
- No Supplier improvement program conducted.
-Supplier defects occurence high.

9 TRAINING TO EMPLOYEES
1 * Training procedure 8 8 8 - Training procedure available. Doc. Ref.no: QP/HRD/01
* Identification of training for onroll & contractual employees - Training plan available for permanent and contract labours.
* Training calender, Plan v/s Actual F/HRD/02
* Training feedback, action plan - After completing the training feedback collected. Doc.no:
* Training effectiveness F/HRD/04
- Training effectiveness are not monitored.Doc.no: F/HRD/19

10 CUSTOMER CONCERNS
2 * Procedure for handling customer concerns
* Analysis of customer complaint
* Tools used for analysis
* Identification, timely implementation and monitoring effectiveness
of customer complaint
* Standardization, horizontal deployment of actions
4 16 8 - Procedure available for handling the customer concerns/
complaints. Doc.no: QP/MKT/03
- Followed 8D analysis for customer complaint but analysis
incomplete all steps not followed Doc.No: F/ SYS/27
- CAPA monitoring followed for customer complaint
- Actions are standardized in work instruction, drawing etc.,
- Customer concern analysis incomplete.
- Preventive actions not planned.

11 RESOURCE / CAPACITY 1 * Plant capacity sheet 8 8 8 - Plant capacity sheet maintained - Annexure 01 F/NPD/02
PLANNING (DEVELOPMENT * Review of capacity sheet as per defined frequency and long term - Reviewed by Monthly. Doc.no: QP/PRD/01
/ MASS PRODUCTION) business plan

B MANUFACTURING

SUPPLIER'S NAME : Masu Brake Pads Pvt Ltd.
SUPPLIER'S REPRESENTATIVE : Mrs. Sasireka
AUDITOR :- Sagar Bhosale
DATE:- 17.09.21/18.09.21
SN Evaluation Clause
12 PLANNING
12 MACHINE MAINTENANCE
13 TOOL/DIE MAINTENANCE
14 FLOW OF MATERIAL IN
SHOP FLOOR
15 WORK INSTRUCTIONS/
STANDARDS
16 TOOL ROOM CAPABILITY
(DEV & MAINTENANCE)
INCLUDING DESIGN.
SUPPLIER SYSTEM AUDIT CHECKLIST Doc No. AHPL/SQA/CL/04/E
Rev. Date: 25.06.20/06
Weightage What to Look for Mark Max. Wghtd. Observations Corrective Action Resp. Target date Status
(A) Obtained Wghtd. Score
(B) Score (A) x (B)
1 * Availability of procedure 6 8 6 - Planning procedure available. Doc. Ref.no: QP/PRD/01
* Production planning is done based on customer firm and tentative - Prodcution planning team available and planned based on
schedule. customer pull
* Monthly schedule is converted to weekly, daily - Daily production report available and followed. Doc.no:
* Schedule is compared with capacity F/PPC_01 to 06
* Daily gap analysis is done, actions are planned and reviewed - Loss analysis done but not evident.
* Daily/weekly/monthly report is generated and circulated to key - Daily gap analysis not done.
persons - Review frequency is high
* Plan v/s actual is reviewed in MRM
1 * Availability of procedure for both breakdown and preventive 2 8 2 - Procedure available for breakdown and preventive
maintenance maintenance. Doc.no: QP/MNT/01
* Breakdown is recorded and root cause analysis is done using tools - Breakdowns history not recorded in log book. Doc.no:
like why-why analysis etc. F/MNT/13 and root cause analysis incomplete 8D all steps not
* Trend is monitored and compared with YOY, reducing trend is followed.
expected - YOY trends are not monitored.
* Effectiveness of actions are monitored - PM effectiveness was inadequate.
* Learnings from breakdown is recorded and incorporated in PM check - Breakdown Improvement plan not observed.
sheet, MP sheet (New machine order sheet) - PM check sheet are reviewed and revised based on breakdown
* PM plan, Check sheet, Plan v/s Actual record. learnings and addressed in MP sheet
* Effectiveness of PM- breakdown should reduce - Preventive maintenance annual plan available and followed.
* Monitoring of MTTR, MTBF, and actions Doc.no: F/MNT/04
- MTTR and MTBF monitored. Doc.no: F/MNT/09A and
F/MNT/09
1 * Tool/Die maintenance schedule, check sheet. 6 8 6 - Procedure available for tooling maintenance. QP/MNT/04
* Effectiveness - Tool life monitored through History card. Doc.no: F/PRD/11
* Monitoring of life/history card - Tool related issues monitored and taken care during new
* Compilation of TGR/TGW product development and addressed in TGW.
* Use of past learnings in manufacturing of new/duplicate tool/die - PTDB learning not deplyed on upcoming tools.
-TGR/TGW not evident for new tools
1 * Visualized flow of material in shop floor, starting from Store to 6 8 6 - Job card system available and followed from Mixing to product
dispatch finishing
* FIFO is ensured - FIFO system followed and ensured in the process.
* Identification of each container/part available - Batch no. identification available in each part and container
* Separate area for non-confirming products also idenfitied
* Handling of material ensures no damage - Separate NC area identified and followed
- Required product handling equipments are provided in
shopfloor and following.
-Self life traceability not adequate.
1 * Each process/operation has defined work instruction/SOP 6 8 6 - Work instructions are available but displayed on above the
* WI/SOP available in local language, easy to understand to the actual operator head hence operator not able read the WI easily also
user ergonomically its trouble to operator.
* WI/SOP should be self explanatory - Work instructions are available in local language
* WI/SOP are periodically reviewed based on internal/external - Work instructions are available in pictorial form and operator
complaints and are updated and issued to actual work place. can understand easily
- Work instructions are reviewed as per annual plan also revised
based on internal and external issues.
2 * Availability of tool room 8 16 16 - Tooling function is available - Tool room facility is available
* Availability of capable machines, in good condition - Adequate facility available in tool room and maintained in good
* Availability of Skilled manpower condition
- Tool inspection and monitoring followed by internal team
- All persons are skilled and evaluated as per equipment
 SUPPLIER SYSTEM AUDIT CHECKLIST Doc No. AHPL/SQA/CL/04/E
Rev. Date: 25.06.20/06

SUPPLIER'S NAME : Masu Brake Pads Pvt Ltd.

SUPPLIER'S REPRESENTATIVE : Mrs. Sasireka
AUDITOR :- Sagar Bhosale
DATE:- 17.09.21/18.09.21
SN Evaluation Clause Weightage What to Look for Mark Max. Wghtd. Observations Corrective Action Resp. Target date Status
(A) Obtained Wghtd. Score
(B) Score (A) x (B)

C QUALITY

17 DRAWINGS, INSPECTION
STANDARDS, CONTROL
PLAN,PFMEA,ONE POINT
LESSON
1 * Availability of customer approved latest drawing for all parts
* Availability of PPAP documents with latest revision
* All Past Trouble Characteristics(internal & External) must be
identified in FMEA/PQCS/OPS/INSP.STD. , Past Trouble & Commeasure
compiled data must be available
* Availability of Q-gate at final inspection incorporating inspection
methods as per inspection agreement with customer, check points for
all past complaints
6 8 6 - Approved drawings are maintained in common access folder
- PPAP documents are maintained customer wise / part no. wise
and followed as per AIAG 4th edition
- Internal and external issues are updated in FMEA, control plan,
work instruction and respective documents
- Quality plan prepared based on customer drawing and
agreement - Final inspection followed based on quality plan
- Internal audit check lists and inspection reports are revised
based on customer complaint counter measures.
-Summarized PTDB not monitored for up coming products.

18 RECEIVING 2 * Availability of Procedure for incoming inspection
INSPECTION * List of BOP & Inspection plan available, sampling plan adequate,
records of inspection available
*Procedure for handling non-confirming products is effectively
followed, records maintained (8D, countermeasure reports)
* Lot control & traceability of the parts available
* Periodic revalidation of BOP is done
4 16 8 - Procedure available for incoming inspection. Doc.no:
QP/QCD/03
- Inspection plan available. Doc.no: F/QA-Inspection-02 and
inspection followed as per sampling plan. Doc.no: F/QA-
Inspection-01
- Procedure available and followed for non conforming products
handling. Doc.no: QP/SYS/10
- NC area identified separately with tag
- 8D followed for non confirmities but analysis was incomplete.
- Quality issues also more from supplier side.

19 RAW MATERIAL 2 * Master list of raw material & control plan available 8 16 16 - List of raw materials available.
* Each lot comes with test report / PDIR on time in good packing - Lots received with supplier test report
* Periodic cross verification from external lab (NABL certified) - Testing followed as per quality plan
* Colour coding of raw material identification is defined and followed - RM code identification is defined for all raw materials

20 MEASURING EQUIPMENTS' 2 *Procedure for Measuring Equipment's control 8 16 16

AND INSTRUMENTS' * Mater list of measuring instruments - Procedure available for measuring instrument
FACILITY * Adequate, capable, working and maintained properly. controlQP/QCD/04
* Control no. marking to be done on each equipment/instrument by - Master List of Monitoring & Measuring Equipment available.
etching or labeling for identification. Doc.no: F/QCD/03
* Standard Room Required for Environment Control wrt Temp., - All instruments and equipments are calibrated in external
Humidity, Floor Strength, Vibration, Leveling to ensure the accuracy of outsourced lab
Inspection Equipment's. - Calibration status available in all instruments and equipments
* Check sheet required for daily control of Environment control with ID
conditions. - Master list of calibration plan available. F/QCD/03
* Calibration plan for each instrument should be available & - Calibration done NABL certified lab and contract copy
calibration sticker should be available on each equipment/instrument. maintained
* Contract Copy must be available with NABL certified lab .

21 CALIBRATION 2 * Calibration plan for all instruments as per master list 8 16 16 -Master list of calibration plan available. F/QCD/03
* Calibration period & identification is evident with compliance - Callibration done by NABL certified lab and report available for
through certified labs along with proper documentation all equipments with relevant data

22 DRAWING CONTROL &
CHANGE POINT CONTROL
2 * Procedure for change point control 4 16 8 - Proedure available for change management system and
* Change point summary sheet should be available with Master List of followed- QP/NPD/07
drawing & Customer stds. along with Rev.No. F/NPD/15 & F/NPD/16 (ECR & ECN)
* Record required for IPP Flow & Approval from Supplier to Customer - Change point control summary not evident
or Sub Supplier to Supplier Communication given to supplier. Doc.no: QP/QCD/08
- IPP flow not evident.

SUPPLIER'S NAME : Masu Brake Pads Pvt Ltd.
SUPPLIER'S REPRESENTATIVE : Mrs. Sasireka
AUDITOR :- Sagar Bhosale
DATE:- 17.09.21/18.09.21
SN Evaluation Clause
23 PROCESS MONITORING &
CONTROL
24 STATISTICAL
TECHNIQUES.&
GAUGING
25 IDENTIFICATION AND
TRACEABILITY.
26 PROCESS MISTAKE
PROOFING
27 NON CONFIRMING PART
HANDLING
28 REFERENCE SAMPLES
D STORAGE, HANDLING
29 STOCK/ INVENTORY
CONTROL
SUPPLIER SYSTEM AUDIT CHECKLIST Doc No. AHPL/SQA/CL/04/E
Rev. Date: 25.06.20/06
Weightage What to Look for Mark Max. Wghtd. Observations Corrective Action Resp. Target date Status
(A) Obtained Wghtd. Score
(B) Score (A) x (B)
1 * Process Control Parameters must be identified in PQCS with control 8 8 8 - Process control parameters are identified in control plan with
item/check method/Check Freq./Resp. & Check All Parts PQCS for control ite, measurement method and frequency.
tolerance as per Drawing/Customer std.(As applicable) - Revision history maintained
* Revision history should be visible in OPS, PQCS, WI - Inprocess inspection report followed on daily basis. Doc.no:
* Inspection/Daily verification data available for Operation Std F/QA-IP/01
points(M/c & Part)
1 *Availability of Procedure 8 8 8 - Procedure available for SPC monitoring through F/QCD/20
* Process capability is done for critical characteristics identified in - Process capability study followed for critical parameters as
control plan at development & serial production mentioned in control plan
* Review mechanism is in place for action on variation and - Control chart implemented in process to identify the variation
improvement noticed and improvements are taken as per work instruction run rule.
Doc.no: WI/QCD/06
2 * Procedure is available for identification & traceability from R/m to 8 16 16 - Procedure available for identification & traceability. Doc.no.
dispatch @customer end QP/SYS/05
* Complete system is in place to identify and trace each part - MRN no. available in each raw material for traceability and job
* Records are retained as per retention period specified by customer card followed from Mixing to finishing to ensure the traceability
of the lot
- Record retention followed as per Doc.no: F/MR/03
1 * Awareness on process mistake proofing requirements evident 6 8 6 - Poka yoke monitoring system available and followed as per
* Mistake proofing is implemented at review periodically check list. Doc no. F/QA/IP/12
* OPL's are available for verification of mistake proofing - Monthly poka yoke verification followed
- Check list available for mistake proof verification.
- Mistake proofing not conducted against customer complaint &
no linkage with PTDB.
2 * Procedure for handling non-confirming products is available 4 16 8 - Procedure available and followed for non conforming products
* Identification of NC parts at each stage evident with records of handling. Doc.no: QP/SYS/01
disposition in place.Also,Separete Area should be identified for - NC area identified separately with tag
rejection store (Customer Returned,Inhouse,BOP) with Responsible - Lock & Key available for red boxes
personal display & in lock and key condition - Daily defect monitoring system available and followed
* Daily stage wise monitoring record sheet required for defect analysis - Countermeasures are taken.
& Countermeasures for NC parts is evident. - Analysis of non conforming parts are incomplete.
- Reoccurence of the internal issues.
- Actions effectiveness not observed against analysis.
1 * Procedure available for Limit samples Control 8 8 8 - Procedure available for limit samples controlling
* Self/Customer Approved limit Sample should be available for all - Reviewed and updated on monthly basis.
stage along with validation tag.
Limit / master samples are updated based on internal / external
complaints.
2 * Procedure for control inventory 6 16 12 - Procedure available for inventory management. Doc.no:
* Address system and stock level indications clear and FIFO system QP/MGT/04
available as per Inventory norms. - FIFO system is available as per inventory norms.
- No check at store end for lot traceability of masu vs lot
traceability of masu supplier.
 SUPPLIER SYSTEM AUDIT CHECKLIST Doc No. AHPL/SQA/CL/04/E
Rev. Date: 25.06.20/06

SUPPLIER'S NAME : Masu Brake Pads Pvt Ltd.

SUPPLIER'S REPRESENTATIVE : Mrs. Sasireka
AUDITOR :- Sagar Bhosale
DATE:- 17.09.21/18.09.21
SN Evaluation Clause Weightage What to Look for Mark Max. Wghtd. Observations Corrective Action Resp. Target date Status
(A) Obtained Wghtd. Score
(B) Score (A) x (B)

30 STORAGE OF MATERIAL ,
HANDLING AND SAFETY
1 * Safety and Material Handling instructions are available but 6 8 6 - Material Handling Equipments is available for all process and
appropriate handling equipment's are available covered in work instructions
* Storage Parts should not be in direct contact for atmosphere to - Product safety followed as per customer specified requirment.
avoid the Moisture/Dust/Humidity/Temperature, Storage Condition Doc.no: QP/MKT/05
DO's & DON'Ts must be visualize in Storage area as instruction - Storage do's & don’t are not evident.
* Compliance to safety and handling instruction as per customer
requirements evident

E GENERAL
31 PACKING & DISPATCH 1 * Full compliance as per packing and dispatch details evident ,
OK/NG/Under Inspection understanding training is there to packaging
person
* Display Work Instruction board for following
- To prevent from Environmental Effect e.g.(Water, Heat, Air, Dust,
Foreign Particles etc.
- Do's & Don't Examples.
- Responsibility to ensure this requirement on daily basis
* Environment friendly and reusable packing used
6 8 6 -Packing procedure available. Doc.no: QP/PACK 01
-Packing condition verified during Dock audit
- Work instruction available and covered the points of product
and packing area free from water, heat, oil and foreign materials
- Do's Don’ts are not evident.
- Responsibility is defined and followed on daily basis.
- Pacakging is not a part of PFMEA.

32 HOUSE KEEPING. 2 * Awareness at all levels
* Zone Wise Team is visualize for daily control of 3S condition & Daily
3S conditions is verified by each responsible in his area
* 5S/3S Board is displayed on all shop floor with compliance
* 3S/5S Audit is conducted as per audit plan observations and actions
are reviewed by top management
8 16 16 - 5S Manual available and organization chart available.
F/HRD/32A
- Zone wise team members are identified
- 5S check list followed zone wise . Doc.no: F/M5S/003B
- 5S awareness display boards available in shop floor
- Monthly audit plan available and followed. F/M5S/004
- 5S review done once in a 6 months that is very high.

33 QUALITY PERFORMANCE
2 * Quality agreement with the customer 2 16 4 - Quality targets are defined during PPAP and monitored
* Customer score card - Customer score cards are monitored and achieved the target
* Quality performance indicator defined for - Customer related KPI's are monitored and reviewed on
1. Customer complaints/Customer Rejection monthly basis.
2. In-house rejection - Customer/Inhouse defects analysis is very poor.
3. Supplier Rejection - Reoccurene of defects.
* Basis of defining targets every year - Supplier rejection analysis also very poor.
* Action plan for quality improvement -Quality improvement plan not prepared with gap analysis.
* Review of gaps and action plan in MRM - Reviewed during MRM but once in a six months

34 DELIVERY PERFROMANCE
2 * Delivery target agreement with the customer
* Customer score card
* Internal target and action plan against gaps
* Review of gaps and action plan in MRM
8 16 16 - Delivery targets are defined and monitored
- Customer score cards are monitored and achieved the target
- Delivery KPI's are monitored and reviewed on monthly basis.
- Gaps are reviewed and action plan followed
- Reviewed during MRM

35 COMPANY WIDE 1 *Policy/Procedure to drive improvement (ex. Kaizen policy, TPM) 8 8 8 - HR procedure available . Doc.no: QP/HRD/01
IMPROVEMENT ACTIVITIES * involvement of each individual in the improvement activity - Kaizen monitoring followed as per F/HRD/24 and ensured
inveovement as 100%

Rev.05 13.10.2017 Rating criteria re-defined, "what to look for" added

Rev.04 23.06.2017 Coloumns for action plan added
Rev 03. 10.05.2017 Sheet modified to add formula.
Rev 02. 30.04.2017 Rating criteria revised, Formatting of the cells done
Rev 01. 01.04.2016 Rating criteria added
Rev No. Rev Date Rev Details
Supplier System Audit Score Supplier Name:- Masu Brake Pads Pvt LtdDate:- 17.09.21/18.09.21
Max. Total % Score for Actual Actual score
Sec. No. Description Score Score Qualification Score obtained % Grand Score Supplier Audit Score
(Min.) Obtained
MANAGEMENT
A MANAGEMENT 120 100% 65% 94 78%
100%

B MANUFACTURING 56 100% 75% 42 75%

C QUALITY 152 100% 75% 124 82% 50%

79% GENERAL MANUFACTURING
D STORAGE, HANDLING 24 100% 65% 18 75%

E GENERAL 64 100% 60% 50 78% 0%

Total 416 100% 70% 328 79%

Rating B

STORAGE, HANDLING QUALITY

Criteria for Qualification
1. Overall Rating >70%, 'B' Rating
2. Qualify in each category (i.e Marks obtained should be more than min qualifying marks)
3.Marks obtained shall be >4,if not achieved then action plan is mandetory against clause

Audit Scoring Criteria

Sr. No. Scoring Criteria Score Risk Rating Score in %
1 No System in place 0 High A > 85 %

2 System in place but no awareness (No High B 70 - 85%

2
Deployment of System) 70

3 Available, Displayed / Identified with Moderate C 55- 70%

4
awareness (No Records Maintained)
Available, Awareness, Documents &
4 Records Maintained But No 6 Low D <55%
Effectiveness

5 Effectively Implemented in organization No Risk

8
& Corrective Action Taken

Prepared By Reviewed By
 Audit date : 17.09.21 / 18.09.21
Audit Observations Sheet
Company : Masu Brake Pads Pvt Ltd
Auditor
MR. Sagar Bhosale Auditee : Mr. Trehgoon Kohli, Mr. Selva and Mrs.Sasireka

Review date

Evidence
Review

Status
Sr. No. Ref.No. Clause Observations Gaps / Cause Action Plan Resp. TGT Date

Gaps in Department KPIs will be analyzed and

1 2 KPI defined department wise but in quality there is hug gap in concern analysis &
resolution that is not reflecting in MRM.
Only Trends Analysed in MRMs and reviewed in depth and suitable preventive
Resolutions available with the concerned HODs actions will lbe identified during MRMs and
MR 25.09.21 YES 26.09.2021 Completed 1'!A1
Monthly KPI review

APQP review frequency defined in QMS

procedure and projects will be reviewed &
2 3 Specific APQP review frequency not defined & followed & gap analysis not done. APQP review frequency decided based on
individual projects
completed as per the plan. QP/NPD/01
APQP project summary will be maintained to
Engg. 27.09.21 YES 27.09.2021 Completed 2'!A1
verify the gaps if any

Closure time defined in contingency plan as

3 6 4M Change closure time line not defined short term and long term. Not covered in 4M
matrix
Closure time defined in 4M matrix and will be
reviewed on monthly basis. Doc.no: F/PRD/06B
MR 23.09.21 YES 26.09.2021 Completed 3'!A1
Management
4 7 Dock audit plan vs adherence not observed. There is no separate plan maintained for dock Separate plan prepared for Dock audit and Dock
audit. Followed during product audit audit check list revised as per customer input
QA 08.10.21 YES 09.10.21 Completed 4'!A1
NC summary will be maintained with
5 7 No action plan observed against NCs reported in audits. Actions planned in respective NC report. There effectiveness monitoring sheet. Doc.no:
is no summary of NC F/SYS/15
QA 27.09.21 YES 28.09.2021 Completed 5'!A1
Supplier improvement plan prepared for
6 8 No Improvements are identified during supplier audit
Supplier Audit done as per checklist for
verifying the adequacy of process
supplier wise with target and monitored on
monthly basis. IQC 25.09.21 YES 26.09.2021 Completed 6'!A1
Doc.no: F/PUR/06 B
Cause validation and Root cause analysis will be
Followed 8D analysis for customer complaint but analysis incomplete all steps not strengthened through proper training.
7 10 followed Doc.No: F/ SYS/27 Lack of knowledge on analysis CAPA format revised to improve the analysis QA 22.10.21 YES 23.10.21 Completed
part

Loss analysis done but not evident.

8 12 - Daily gap analysis not done.
- Review frequency is high
Daily Gap Analysis not documented and
summarised on monthly basis
Additional format added to analyze losses & for
clarity. Format no: F/PRD/13A
PPC 27.09.21 YES 28.09.2021 Completed 8'!A1
PM checklist will be corrected interms of what
9 12 PM effectiveness was inadequate. PM check list is not elaborate
to check and how to check. PM Effectiveness will
be monitored on monthly basis for critical Maintenance 25.09.21 YES 26.09.2021 Completed 9'!A1
machines

Manufacturing Break downs are updated in the History Cards /

Log Books and analysed every month.
10 12 Breakdown Improvement plan not observed.
No linkage between History Card and PM
Check list
Improvements will be monitored based the
reduction in occurences. Doc.no: F/MNT/16B Maintenance 25.09.21 YES 26.09.2021 Completed 10'!A1
- Maintenance improvement plan prepared and
summarized for the year

TGR & TGW maintaining with APQP.

11 13 TGR and TGW for tool issues Not utilised for Equipment Selection &
Improvements
TGR & TGW monitoring will be done through
Doc.no: F/DMNT/01 Tooling Maint 27.09.21 YES 27.09.2021 Completed 11'!A1
Failures captured during APQP. Past trouble data monitoring sheet
12 17 Summarized PTDB not monitored for up coming products. There is no separate format to monitor the (Doc.no.F/SYS/54) prepared and will be utilised Engg. 23.09.21 YES 25.09.2021 Completed 12'!A1
Past Trouble data for New Product Developments

Cause validation and Root cause analysis will be

13 18 Receiving inspection - 8D followed for non confirmities but analysis was incomplete. Lack of knowledge on analysis strengthened through proper training QA 22.10.21 YES 23.10.21 Completed

QMS Procedure available for IPP Flow. Since not

14 22
Quality
IPP flow not evident.
Due to non requirement of Present
Customeres evidence could not be produced demanded by any of the current. Will be
followed internally for upcoming new products
Engg. On regular basis YES 27.09.2021 Completed 14'!A1

Mistake proofs are implemented and updated Mistake proofing done for Customer Complaints
15 26
Mistake proofing not conducted against customer complaint & no linkage with
PTDB.
in respective process check list.
There is no separate format to monitor the
and not documented in the Past trouble data
monitoring sheet. Will be documented in QA 23.09.21 YES 25.09.2021 Completed 15'!A1
Past Trouble data for customer complaint (Doc.no.F/SYS/54))

In additon MRN no., Quality origin enabled in

Storage, Supplier Inputs like Part no & Batch No not SAP to monitor the supplier inspection lot no.
16 29 Handling No check at store end for lot traceability of masu vs lot traceability of masu supplier. considered during material inward to improve the lot Stores 30.10.21 YES 03.11.2021 Completed
traceability.

Cause validation and Root cause analysis will be

17 33 Customer/Inhouse defects analysis is very poor. Lack of knowledge on analysis strengthened through proper training QA 22.10.21 YES 23.10.21 Completed

Cause validation and Root cause analysis will be

18 33 Supplier rejection analysis also very poor. Lack of knowledge on analysis strengthened through proper training QA 22.10.21 YES 23.10.21 Completed
General

Quality improvements are implemented

19 33 Quality improvement plan not prepared with gap analysis. through kaizen and poka yoke implementation. Quality improvement plan / way forward will be
But there is no annual plan for quality prepared for Suppliers , Inhouse and Customers.
MR 24.09.21 YES 28.09.21 Completed 19'!A1
improvement

20 - Awareness on complaint among operators No Quality alert in occurrence area.

Quality alert will be displayed and complaint
related refreshment training to be given MR 01.10.21 YES Completed 20'!A1

21 - Site audit Awareness on reworkable defects

There is no visual displays in shop floor.
Mentioned in control plan only.
Reworkable defects classified and will be
displayed in visual inspection area QA 01.10.21 YES Completed 21'!A1

22 -
Since generating the lab report from Lab inspector signature on testing register for
traceability
Inspector name available in SAP but not
mentioned Lab Observations Note Book
Stamping seal to be made and maintained in
register Lab QA 18.10.21 YES 20.10.21 Completed 22'!A1
 Audit Observation - Action plan sheet
No check at store end for lot traceability of masu vs lot traceability of masu supplier.
Observations:-
Supplier Inputs like Part no & Batch No not considered
Gaps / Cause
In additon MRN no., Quality origin enabled in SAP to monitor the supplier inspection lot no. during material inward to
Action Plan:- improve the lot traceability.
Before Improvement After Improvement

MASU lot no. (MRN No.) MASU lot no. (MRN No.)

No linkage to supplier lot

Supplier's inspection lot
no. Quality origin in SAP

Prepared By:- Ashutosh Singh Approved By:- Sasireka. J