SUPPLIER PROCESS AUDIT CHECK LIST

Format No:IMG/F/SD/03
AUDIT CHECK LIST FOR SYSTEM AUDIT REV.NO:04
Date: 15.06.2016

SUPPLIER :
DATE :
Auditee : Max.Possible Actual
Overall System Score Scored
Score value in %
Auditor : Rating
Score
# CHECK POINTS
0 1 2 Remarks
1.0 Organisation ( Management Responsibility )
Authority & responsibility
1.1 defined and documented at all
functions

Availability of qualified persons

1.2
in shiftwise (Metallurgist/Quality)

Is operator aware of
performance requirements of
1.3
the heat treated part / machined
part

Are child labour utilized for

1.4 any functions(score must be
zero or 2 only)

Total scored value 0x 1x 2x

2.0 Handling Customer Complaints

Procedure for customer
2.1 complaints and recording
complaints

Analysis and permanent action

2.2
for customer complaints

Effectiveness/Monitoring of
2.3
customer complaints

Total scored value 0x 1x 2x

3.0 Process Control

Are parts visually examined for
3.1 material defect like
rust,Crack,dent etc prior to next
operation

3.2 Availability of process flow chart

Check availability of control plan

3.3 in part wise with proper
identification of part no.

3.4 Availability of work instructions

3.5 Availabilty of Generators

If power failure the

furnace,machinaries and other
3.6
operation is carried out through
Generator power

Check whether RM/ finished

part (before despatch to
3.7
customer) properties is checked
periodically.

Check whether Molton metal /

Sand properties and other
3.8
relevant properties before
production and recorded

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 SUPPLIER PROCESS AUDIT CHECK LIST
Score
# CHECK POINTS
0 1 2 Remarks

Check whether color coding

3.9 system followed for gas lines
and displayed

Availability of in-process
3.1 inspection records as per control
plan

Verify and record process

3.11
parameter as per control plan

SPC control for special

3.12
characteristics

Process capability monitoring

3.13 and improvement - customer
related

Final inspection test plan and

3.14 records (Visual, Dimensional,
Metallurgical)

Check parts are loaded

separately or mixed .If its mixed
3.15
check whether HT is doing part
wise Inspection.

Verify part parameter meet the

3.16 requirement as per control plan
(select random)
Is inhouse rejection monitored
3.17
and analysed
Is action plan available for
3.18
rejection
Check whether Heat treater is
doing periodical location wise
3.19
analysis to monitor the
consistency.

Check the availabilty of poka-

yoke system to indicate
3.2 abnormality in the
process(Temp, time, CP%, Oil
level, fan condition,etc)

Check whether the supplier is

3.21 having adequate Spares for
process equipments

Every heat /Batch Metallurgical

analysis- Micro,Macro.inclusion
3.22
and other relevant document
availability

Total scored value 0x 1x 2x

4.0 Document Control
Check the availablity of latest
4.1
drawing

Check for availability of latest

4.2 TDC/VOS/ Customer
requirement

Check for the availability of

4.3
FMEA for Part wise

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 SUPPLIER PROCESS AUDIT CHECK LIST
Score
# CHECK POINTS
0 1 2 Remarks

Check whether the product

parameters are checked as per
4.4
TDC/SIS/AOI requirement and
duly recorded

Check whether defectwise

rejections are plotted on shift
4.5
basis and actions taken to
correct the same

Check whether non

4.6 conformance reports are raised
and actions taken

Retension period is defined for

4.7 the reference / Limit
sample/relevant records

Total scored value 0x 1x 2x

5.0 Inspection test facilities

Availability of Hardness tester
5.1
with Proper work instruction

Availability of micro vikers

5.2 hardness tester with work
instruction

5.3 Availability of microscope

Availability of standard blocks

5.4 for hardness tester with
traceability report

Availability of microstructure
5.5
standards / Limit samples

Availability of reference books

5.6
and standards

Check whether the supplier is

having adequate Spare parts for
5.7
testing equipments /
Instruments

Availability of Plating thickness

5.8 Gauge(Magno gauge) with
master

Is layout inspection carried out

5.9
as per plan

Is agreement of inspection
5.1
available and approved?

0x 1x 2x
Total scored value
6.0 Control of nonconforming product
Non conforming product / parts
6.1 are kept in ear marked bin /
area

Rework & re-inspection system

6.2
available

Do you have deviation handling

6.3
& approval system

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 SUPPLIER PROCESS AUDIT CHECK LIST
Score
# CHECK POINTS
0 1 2 Remarks

Availability of temporary /
6.4 permanent countermeasure with
target incase of deviation

Total scored value 0x 1x 2x

7.0 Gauges And Instruments Control

Availability of calibration
7.1 frequency and procedure for
calibration

The calibration agencies are

7.2 NABL accredation or not -
Evidence

Availability of equipments /
7.3 Process control indicators /
instruments list(Master list)

Availability of calibration plan

and records -
7.4
Equipments/Process control
indicators/instruments

Availability of calibration records

7.5
for "Masters"

Is colour code / calibration due

7.6 label available in gauge /
instrument
Total scored value 0x 1x 2x
8.0 Maintenance
Procedure for preventive and
8.1
breakdown maintenance

Preventive maintenance - plan

8.2
and records

Check Periodic monitoring

condition of furnace assessories
8.3
Like Fan, oil level, lining,
carburising fluid,agitation, etc)

Is machine breakdown
monitored -Hours/Occurrence
8.4
(Availability of critical spares
/inventory/monitoring)

What action taken to prevent

8.5
the breakdown
Total scored value 0x 1x 2x

9.0 Identification,Traceability,Inspection & Test Status

Check whether parts are kept in

Dedicated area Like Receipt
9.1
.Accepted , Under progress
samples in Rust proof condition

Is there a system to identify

subsequent operation (from
9.2
receipt to final inspection with
tag system)

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 SUPPLIER PROCESS AUDIT CHECK LIST
Score
# CHECK POINTS
0 1 2 Remarks

Do you have traceability system -

9.3 Raw material to process(RM
color coding)

Material Mix-up possibilities.If

9.4 any similar dia with different
material stored.

Total scored value 0x 1x 2x

10.0 Training
Are operators / inspectors
10.1 trained in related work(Skill
matrix review)

Are certified operators available

10.2
in critical operations

0x 1x 2x
Total scored value

11.0 Safety

Review the safety measures

11.1 implemented in the shop
(Display / instruction)

Whether identified the

hazardous areas for accident
11.2
and maintaining the records for
monitoring.

Details of actions taken to avoid

11.3 Accidents ( If any ) - Prevention
type / Detection type .

Whether the work area is

11.4 ensured under safety working
environment

Total scored value 0x 1x 2x

12.0 Supplier / Sub-Contract

Whether supplier / Sub-

12.1 contractors are developed in a
systematic way?

Availability of supplier / Sub-

12.2 contractors Audit Plan and
evaluation records.

Is there a periodical review for

the Non-performing supplier /
12.3
Subcontractors (Mention
Frequency)

Total scored value 0x 1x 2x

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 SUPPLIER PROCESS AUDIT CHECK LIST
Score
# CHECK POINTS
0 1 2 Remarks
13.0 Management Review Meeting

Is there a periodical
13.1 Management review on the
following(Mention Frequency)

13.2 a) Quality Target

b) Followup customer quality

13.3
issues and feedback

13.4 c) Line quality issue

d) Continuous Improvement
13.5
(KAIZEN)

E) Value Engineering
Improvements to help in cast
13.6 benefit for customer(IMG)
Please specify name of the
component

Total scored value 0x 1x 2x

14.0 Environment

Is there any contamination of

14.1
land at supplier premises?

Is there any nature deplition at

14.2 supplier premises? ( Water / Air/
Electricity / Fuel etc.)

Disposal of waste in a
14.3
systematic way?

15.0 Statutory requirements

Is there a valid factory licence

from the Inspector of Factories?
15.1 (LPG-Heat Treatment,
Acid,Chemicals - Surface
Treatment)

Is there a valid Approval from

15.2
Pollution Control Board?

Total scored value 0x 1x 2x

Guidelines for Score Guidelines for score - Each category

No written procedure available / No evidence of practice / Procedure available but
No system in place 0
adherence is poor
Procedure available but adherence not satisfactory / No procedure available but
System in place but adherence is not
1 evidence of work practice found good which can be converted into procedure /
satisfactory
Procedure available but not adequate
Procedure available and adherence is good. Evidence of complete activities
System in place and adherence is good 2 available and improvement action evidence through review minutes. PDCA
improvement is seen
If SCORE > 90% - Excellent
if SCORE 80-90 % - Good
Less than 80% - Needs improvement

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