Supplier Quality Assurance Program Audit Report

Type of Audit:- Existing Supplier :- Buyer Name :-

Supplier Name : Date : Supplier Location :- Supplier

Audit
Location
Date :-:-

Previous Auidt Score : Previous Audit Date :- Previous audit date :-

Number of items being made for Kinetic Communications Ltd :- Proprietor's / Plant Head's Name:-

Capacity utilized for Kinetic Communications Ltd :- Overall Turnover :- Rs. ... Lakhs / Crores

Certification Details:- Manpower / No. of workers or Staff :-

Current Audit Score 0.00 % Major Customers :-

# NOTE : Refer the attached Annexure for audit rating.

Section :- 1 - Quality Management

Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.

Has the organization established and documented a Quality

Management System in accordance with ISO 9001:200? If not, does
a road map exist for acquiring the same?
Requirements/Explanations:
1.1 If the supplier is ISO 9001 certified, has he prepared a Quality
Management System keeping in mind the requirements of ISO 9001?
The following points, for example, are to be considered:
Existing certificate, validity of the certificate, road map for ISO 9001,
targets mentioned in the road map

Describe the quality system used in the plant :

Requirements/Explanations:
The quality system used by the supplier right from RM inwarding to
finished goods dispatch
1.2 The following points, for example, are to be considered:
In process inspection by production, inprocess inspection by QA, Final
inspection by QA, Process / Product audits, Statistical Quality Control,
Effective use of Poka Yoke, inprocess quality such that no need to
inspection before packing

How is plant Quality level determined? Is there any quantifying

measure?
Describe the quality system used in the plant :
Requirements/Explanations:
1.3 Does the supplier calculate the level of quality in the plant? This can be
done by internal audits, or additional quality programmes like Quality
circle, CIP, CFT, 7 tools, etc.
The following points, for example, are to be considered:
Quality cost indicators, quality indices, quality objectives, and so on.

Does the organization's top management ensure that the

responsibilities and authorities are defined, documented,
implemented and communicated within the organization?
1.4
The following points, for example, are to be considered:
Responsibilities & authorities as defined on job descriptions,
responsibilty matrices, procedures, and accountability
Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.
Is a quality plan prepared?
Requirements/Explanations:
The quality plan must contain components, subassemblies, assemblies,
parts and materials, including the production process from pilot
production phase, which belong to the product. The quality plan is a
living document and must be raised/updated for new/amended products.
a) Prototype phase
b) Pilot production phase/Interface to process development
It must give details, amongst others, about:
1.5 1) establishing and marking of significant and critical characteristics.
2) Raising of an inspection and test plan
3) Timely, and planned provision of required equipment (tools,
measuring instruments, etc)
4) Inspections at appropriate points during the production (First Piece
Last Piece, etc)
5) Clarification of acceptance criteria
6) Are milestones recorded as they happen

Is the top management involved in quality & continuous

improvement? How?
Requirements/Explanations:
Effectiveness of the quality system can be measured by:
a) Communicating to the organisation the importance of meeting
1.6 customer as well as statutory and regulatory requirements.
b) Establishing Quality policy , and ensuring that all objectives are
established.
c) Conducting Management reviews and ensuring availability of
resources
d) Conducting Operational reviews & ensuring availability of resources

Are the personnel working at all stages qualified, and are their
training needs identified and are they trained for the same?
Requirements/Explanations:
The personnel working at any stage on the shop floor need to be
1.7 qualified and trained for the job that they are doing.
The following points, for example, are to be considered:
Personnel qualification records, and their updation at regular intervals,
Training matrix, identification of available or required skills for personnel,
proper allotment to jobs as per available skills

Total Score Section 1 0

 Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.
Section :- 2 - Quality Planning
Status
Target Action Verification
Sr.No Check Point Rating Auditor Observation Action Plan Resp.
Date by Auditor

Are all Customer Requirements available?

Requirements/Explanations:
All customer requirements for the product must be known and included in
2.1 the quality system documentation.
The following points, for example, are to be considered:
Latest Revision Drawings or standards, important product/process
characteristics etc

Is there a system of Planned Preventive Maintenance of machines?

Requirements/Explanations:
All customer requirements for the product must be known and included in
2.2 the quality system documentation.
The following points, for example, are to be considered:
Latest Revision Drawings or standards, important product/process
characteristics.

Is there a system of Planned Preventive Maintenance of Tools and

Dies?
Requirements/Explanations:
The planned maintenance will help reduce the down time of the
2.3 machines, and thereby increasing the productivity, without hampering the
customer's demand.
The following points, for example, are to be considered:
The Planned preventive maintenance records and plans are to be
reviewed.
Is there a system of Planned Preventive Maintenance of Fixtures and
Jigs?
Requirements/Explanations:
The planned maintenance will help reduce the down time of the
machines, and thereby increasing the productivity, without hampering the
2.4
customer's demand.
The following points, for example, are to be considered:
The Planned preventive maintenance records and plans are to be
reviewed. In case of excess absenteeism, is there a back-up plan?

Are the design changes which are communicated by the customer

incorporated in documents & implemented in practice? Are old
documents identified?
Requirements/Explanations:
The old documents such as drawings, technical specifications need to ne
2.5 of the latest revision, so that the Finished parts are not rejected at the
customer's end after supplies.
The following points, for example, are to be considered:
Identification of old drawings or Technical specs, changing of old
drawings in control plans, work instructions, process / operation
drawings, and mainly PPAP.

Total Score Section 2 0

q
Status
Target Action Verification
Sr.No Check Point Rating Auditor Observation Action Plan Resp.
Date by Auditor
Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.

Are only approved quality capable suppliers used?

Requirements/Explanations:
Prior to determining the suppliers, an evaluation of the quality system at
the supplier's end must be available. During serial application, it must be
ensured that only suitable suppliers are used. Experiences from quality
performance assessments must be considered.
The following points, for example, are to be considered:
Supplier discussions/regular support, evaluation of the quality capability
(e.g. audit results/certificates), assessment of the quality performance
(quality/costs/service).

Is there a documented procedure for the control of purchased

materials? Does the organization inspect the purchased parts?
Requirements/Explanations:
3.2 Does the organization have a planned and documented procedure for
the control of purchased materials, and is the same followed? Does the
purchased part confirm to the specified purchase requirement? Is there
an incoming inspection plan?

Is there a control on "non-confirming" material at inward stage such

that it does not mix with the confirming material ?
Requirements/Explanations:
There should be a control on the material supplied by sub-suppliers, and
3.3 the internal rejection should be clearly separated from the accepted or
OK material.
The following points, for example, are to be considered:
Non-confirming material clearly identified, Quarantine area availability,
tagging on the bins containing rejected parts

Is the environment in the Inwarding and dispatch area, Inspection

area conducive to Quality?
Requirements/Explanations:
Are the personnel working in all the above mentioned areas properly
skilled, or trained? Are the required resources available?
3.4
The following points, for example, are to be considered:
The following points are to be considered :
a) 5 S in the work area, b) Proper storage area / facility,c) Proper and
correct handling,d) Gauges, Tools, Fixtures,e) Proper machines,f) Proper
lighting and ventilation facilities

Total Score Section 3 0

 Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.
Section :- 4 - Control During Process
Target Action Verification Status
Sr.No Check Point Rating Auditor Observation Action Plan Resp.
Date by Auditor

Does the organization monitor and measure the characteristics of

the product at appropriate stages of the product?
Requirements/Explanations:
4.1 there should be a control of the quality department on the product during
different stages of manufacturing.
The following points, for example, are to be considered:
Control Plan, Inspection Instructions,Records

Does the organization ensure the regular calibration of the tools &
gauges, inspection instruments, and machines used for regular
production?
Requirements/Explanations:
4.2 There should be control on the calibration of all the tools, gauges,
inspection instruments and machines.
The following points, for example, are to be considered:
List of inspection instruments used along with their shelf life tracking (if
applicable), Calibration plan and records

Are work instructions displayed on the work stations and known to

4.3 all concerned people during the production of that particular part,
along with the latest revision part drawing and control plan?

Is there a contingency plan in case of stock loss, quality crisis, or

equipment break-down, etc?
Requirements/Explanations:
There should exist a contingency plan for the above mentioned potential
4.4 causes of failure.
The following points, for example, are to be considered:
Is there a separate maintenance department or personnel available, is
the maintenance activity outsourced, is a back-up plan available in case
of machine breakdown

4.5 Is First In First Out (FIFO) concept followed?

4.6 Are stock levels of Input material matched to production needs?

Is "First piece Last piece Inspection" carried out during the

process? Who is responsible?
Requirements/Explanations:
The first and last piece inspection is a good tool to prevent rejection and
4.7
mixing of non-confirming parts.
The following points, for example, are to be considered:
The records of first and last piece inspection, the format of first and last
piece inspection for adequacy of information

Are Statistical Process Control techniques used?

The following points, for example, are to be considered:
4.8 S/C or C/C symbols are marked on all relevant documents , Cpk is being
calculated for critical machines or processes, operators are trained on
SPC / SQC
 Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.

Is the performance of the production lines measured relative to

quality? Are there quality improvement targets?
Requirements/Explanations:
There should be a control on the internal processes of the organization
4.9
with respect to quality so that the internal rejection can be minimized.
The following points, for example, are to be considered:
Are internal audits carried out, do CFTs function together, are there
records of internal audits both process and product

Is the environment on the shop floor conducive to quality? Are the

required resources available or planned?
The following points, for example, are to be considered:
4.10 a) Suitability of machine & equipments ,b) Building & infrastructure,c)
Lighting & ventilation,d) 5 S on shop floor and workstation,e) Proper
storage,f) Proper handling,g) Gauges, Tools, fixtures and equipments,h)
Safety rules related to work displayed and followed by concerned people

Total Score Section 4 0

Section :- 5 - Control of finished product
Target Action Verification Status
Sr.No Check Point Rating Auditor Observation Action Plan Resp.
Date by Auditor
Is there a process of evaluation of the finished product?
Requirements/Explanations:
There should be documented and implemented plan for inspection of the
finished product.
5.1 The following points, for example, are to be considered:
Checking, verification, approval of finished goods,Is there a checklist for
final inspection?,Does there exist a control plan for final inspection,
packing and dispatch?

Are dimensional, material test and surface treatment reports

submitted to the customer along with the material supplied?
5.2 Requirements/Explanations:
As per ISO 9001, the material supplied to the customer should have with
it the Dimensional, Material test and Surface treatment reports

Is the environment in the final inspection area conducive to quality?

The following points, for example, are to be considered:
5.3 a) Suitability of testing equipments ,b) Infrastructure,c) Lighting &
ventilation,d) 5 S on workstation,f) Proper handling of parts and
instruments

Total Score Section 5 0

 Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.
Section :- 6 - Customer Interaction
Target Action Verification Status
Sr.No Check Point Rating Auditor Observation Action Plan Resp.
Date by Auditor
Are non-conformances informed to the customers and their
approvals obtained before the material is dispatched?The following
6.1 points, for example, are to be considered:
Any Deviation request ,Email communication to customer, Minutes of
meeting with customer.

Are the people responsible for manufacturing fully aware of the

customer's requirements and complaints?
Requirements/Explanations:
6.2
It needs to be checked whether there is transparency in the organization
so that the customer complaints are communicated right till the roots of
the organization?

Does there exist a system of the following;

The following points, for example, are to be considered:
a) Periodically obtaining customer's feedback.
6.3 b) Identifying non-conformities and taking corrective and preventive
actions or 8-D reports / Kaizen Sheets.
c) Suggesting improvements in the existing parts and ensuring their
effectiveness

What is the reaction time for solving customer complaints and

securing supply of parts?
Requirements/Explanations:
Process has to define for handling the customer copmplaint and need
6.4 systematic approch to solving / Handling complaint.
The following points, for example, are to be considered:
Customer complaint register , action plan, effectiveness of actions
complaint closing time , confirmatation form customer.

Total Score Section 6 0

Section :- 7 - Identification & Traceability
Sr.No Audit Observation / Self assestment Target Action Verification Status
Check Point Rating Action Plan Resp.
sheet. Date by Auditor
7.1
Are documented procedure available for identification & Traceability-
a)Procedure/WI- has to define for identification & traceability
b)How to maintain identification & traceability record for finish good & for
child part (raw material)

Total Score Section7 4

Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.

Section :- 8 - Minimum Automotive Quality Management System Requirements for Sub-Tier Suppliers (MAQMSR)
Sr.No
Audit Observation / Self assestment Target
Check Point Rating Action Plan Resp. Action Verification by Auditor
sheet. Date
8.1 Government, Safety, Environmental Regulations-a)Supplier comply
the Govt., Safety & Environmental regulations applicable for the supply
of products? If yes, verify the records.
b)MPCB, Weight & Measure License, Crane/ Compressor Testing etc

8.2 Risk management -

a)Identification of emergency situation?
B)Is any contingency plan in identified emergency? & considered all key
m/c, natural disaster

Total Score Section 8 0

Auditor Comments :-

1) Good process control

2) Proactive approch required inspte of the reactive approch.
3) Operator inspection time to be review for critical process.

Audit Score Calculation Sheet Auditee :-

Total
Section Section Details Existing Score Percentage
Score
1 Quality Management 35 0
0.00
2 Quality Planning 25 0
0.00
3 Control on Sub-Suppliers 20 0
0.00
4 Control During process 50 0 0.00
Auditor :- MDT Auditing team-1 Engg from- IQC or SMTPQC or THR PQC + 1 Officer from Purchase
5 Control of finished product 15 0 dept
0.00
6 Customer Interaction 20 0 0.00
7 Identification & Traceability 5 4 80.00
8 MAQMSR 10 0 0.00
9 Total 180 0 0.00

Audit Score 0 %

Priority and action in Improvement Action Plan for Zones:

Improvement actions to be taken on Topmost Priority, in order to enhance the rating and convert them into the yellow zone
Less than 60% - Supplier Rated "C" -Not suitable for business

Improvement actions to be taken in order to enhance the rating and convert them into the green zone
Less than 80% upto 60%- Supplier Rated "B" Suitable for business, improvements needed

This is a good practice. Sustainance Plan to be submitted

More than 80% - Supplier Rated "A"-Benchmark / Elite supplier
Sr.No Audit Observation / Self assestment
Check Point Rating Action Plan Resp. Target Date Date & reverification results
sheet.
Note: Action plan should be submitted as per Target date mentioned in report & if not mentioned action should be closed within working 15 Day's after Audit