01 Supplier Pre-Qualification Assessment

Audit No.
/Year:
Supplier Pre-Qualification Assessment

Audit Date:
Company:
Address:
Process(es):
Products:
Total no. of employees:
Employees in Quality dept.:
Main customer(s):
Quality Certifications:
Assessment reason:
ISO 9001 certif. number

ISO/TS 16949 certif. number
ISO 14001 certif. number
Expiration:
Expiration:
Expiration:
Certif. no:
Certif. no:
Certif. no:
Other certification available
Expiration:
Certif. no:
Initial Audit for New Supplier

Follow up
Other:
Name
Title
Name
Title
KSS Auditor(s):
Supplier
Participants:
Assessment Summary:
This audit
Previous audit
503
Total Potential Score
Total Actual Score

Number of Improvement Items:
0.00%
Overall Audit Score

Corrective Action Due Date:
Assessment Passed?
Yes
No
(see comments below)
Corrective Action Required ?
Yes
No
Total Pages:
Improvement
Areas:
Best Practice
Areas:
*
**
Yes - signed
Contractual Partner
Simple/medium complexity parts
KSS Quality First Manual acknowledgment:

Partnership:
Complexity of product:
Supplier Management Acknowledgement
Supplier Engineering Manager:

Supplier Manufacturing Manager:
Supplier Quality Manager:
Supplier General Manager
Report no. 1038929 Rev. 01
KSS Auditors

Scoring Summary
Potential Score
Total Score
Actual Score
Overall
1.0 Management
27
0.00%
2.0 Waste Reduction
29
0.00%
3.0 Internal Auditing
29
0.00%
4.0 Customer PPAP
29
0.00%
20
0.00%
Criteria
5.0
Corrective / Preventive
Action
6.0 Engineering / Testing
41
0.00%
7.0 Program Management
21
0.00%
8.0 Procurement & Supplier Management
22
0.00%
9.0 Tooling / Machine
59
0.00%
10.0 Receiving Inspection
46
0.00%
11.0 Process Control / Traceability
108
0.00%
12.0 Measurement & Calibration
39
0.00%
13.0 Employee Orientation / Training
24
0.00%
14.0 Document Control / Records Management
0.00%
Total Score (%)
503
0.00%
**
**
Supplier Pre-Qualification Assessment scoring summary

1
100%
80%
60%
40%
20%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%

1.0 - Management
Deployment / Execution
Criteria
Weight
1.0
Score
(0 or 1)
Result
Management Review
1.1
Formal Management Review process exists, is conducted semi-annually (at a minimum), and covers
all elements of the Quality Systems Manual applicable to the facility.
1.2
Key Measureables are defined, measured, tracked and action plans in place as needed.
1.3
Supplier PPM and on time delivery is tracked and a reporting system in place.
1.4
Customer PPM and on time delivery is tracked, and action plan in place as needed.
1.5
English Speaking ability of key person and key function.
Housekeeping & Working Condition

1.6
Housekeeping (offices, plant, labs warehouse, outside building, yard trailers).
1.7
Working conditions (Such as safety, health and environment, enough light for visual checks, noise
inspection in quiet areas)
27
Actual Score
Instructions: Assign score of 1 or 0 in Light Blue colored column.

Score should be assessed based on 100% implementation of all aspects of each question.
0%

2.0 - Waste Reduction
Criteria
2.0
Weight
Score
(0 or 1)
Result
Waste Reduction
2.1 Scrap Analysis and Reduction process.
2.2
Formal, real time review, analysis champion and corrective action process for scrap - trends
positive. Pareto analysis for scrap with detailed and timely action plans for top pareto issues.
2.3
Downtime analysis and reduction process, Planned and Unplanned maintenance activities
documented?
2.4
Formal, real time review, analysis champion and corrective action process for downtime -trends
positive. Pareto analysis for downtime with detailed and timely action plans for top pareto issues.
2.5 Downtime and Scrap issues are fed back to PM process.
2.6 Cost of Quality (COQ) Process. Pareto analysis of each element.
2.7 Detailed and timely action plans for top COQ pareto issues for each element.
29
Actual Score
0%

3.0 - Internal Auditing
Criteria
3.0
3.1
Weight
Score
(0 or 1)
Result
Internal Auditing
12 month Internal Quality System Audit schedule covering all clauses of TS 16949:2002 or ISO
9001:2000 as applies.
3.4 All processes and products subjected to regular internal audits. (Layered Audits)
3.5 Housekeeping / 5S process included in internal audits of all areas / facilities.
3.6 Records of audits maintained including objective evidence.
3.7 Findings reviewed with responsible department managers.
3.2 Audits conducted by qualified auditors. Auditors do not check their own work.
3.3
3.8
Management practices layered audits to insure continued compliance to the common business
systems and process controls at their facility.
Corrective actions in place in a timely manner with management sign off approval. Corrective
actions address issue/concern.
3.9 Follow-up / reassessment of action plan completion / effectiveness and verification

29
Actual Score
0%

4.0 - Customer PPAP
Criteria
4.0
4.1
Weight
Score
(0 or 1)
Result
Customer PPAP process

All information contained in PPAP meets AIAG standards (current revision / released / approved
documents, print ballooned, product picture) and customer specific requirements.
4.2 Material composition submitted into IMDS database
4.3 All issues are resolved prior to submission of any PPAP to the Customer
4.4 PPAP Review Checklist and Sign-off Process (prior to customer submission)
4.5 PPAP approval required prior to first shipment (any saleable vehicle builds)
4.6
PV build design level. Component sources / revision levels / lot numbers required - subsequent
changes re-PPAP'ed and PV'ed
4.7 Control of Appearance Approval Report (AAR) for PPAP.

4.8
Run at Rate process. Run at rate performed and documented. Run at rate includes all serial stations
and tools.
4.9
Run at Rates achieve the quoted capacities and quality requirements. Action plans in place as
required.
29
Actual Score
0%

5.0 - Corrective / Preventive Action
Criteria
5.0
Weight
Score
(0 or 1)
Result
Corrective & Preventive Action
5.1
All customer concerns are tracked, addressed and verified for internal and external closure.
Responses submitted on time and accepted the first time.
5.2
Process/product issues systematically analyzed with team approach for structured problem solving,
utilizing 5-Why, 8D or other required problem solving formats.
5.3
Repeat concerns are evaluated for management action and problem solving process improvement.
CAR kept on file and verified for internal and external closure.
5.4
Corrective actions for concerns are addressed across similar products, processes and implemented
as applicable
5.5
Both formal and informal customer and supplier concerns are addressed. In process concerns are
tracked and verified for closure.
5.6
Formal continuous improvement program in place with project log and action item register with
target and completion dates identified.
20
Actual Score
0%

6.0 - Engineering / Testing
Criteria
6.0
Weight
Score
(0 or 1)
Result
DFMEA Management
6.1 DFMEA's are cross functionally reviewed and approved prior to release
6.2 DFMEA's are released into document control initially and following all revisions
6.3 All "hard" or "control level" revisions to products require DFMEA update and release to the new level
Test plan development and approval process (internal and customer); is manufacturing feasibility
6.5 assessed on the basis of the requirements established for the product and process, on a crossfunctional level?
6.6 Build level and component suppliers / lot numbers are documented for DV and PV builds
6.7 PV build must be 100% production components (PPAP'ed) and off production processes and tools.
6.4
DFMEA RPN reduction actions are documented and completed where applicable - DFMEA is updated
to reflect completion of all RPN reduction actions.
DV / PV Reporting System
6.8
Delta DV /PV all changes after initial full DV / PV. Team agrees on modified plan if full DV / PV is not
necessary
6.9
Corrective and preventive action system for testing, including issue resolution and formal closure - for
all DV / PV / Cert tests. Corrective actions completed within time requirements
6.11 Post launch Design Change validation, approval and implementation process
6.12 All effected areas notified of change
6.13 Date of first production run with the change recorded.
6.10 All component design changes implemented via KSS SREA or approved by other customer.
Engineering Change Notice System
41
Actual Score
0%

7.0 - Program Management
Criteria
7.0
7.1
Weight
Score
(0 or 1)
Result
Customer Side Program Management

Product launch process in place with established phases for completion and check sheets for
tracking.
7.2 Metrics tracked (% pass on original date, % red programs, attendance) Actions taken
7.3 Evidence books complete with retention controlled.
7.4 Lessons learned recorded and records retained.
7.5 Detailed program timing plans exist, are updated regularly and distributed to all involved persons
7.6 Regular Program Team Meetings held to track and update development / launch timing plans
7.7 Program delay / risk escalation and recovery process
Supplier Side Program Management
7.8
Supplier product launch process reviewed and tracked for timing; are the necessary resources
planned and available for the development of the project and are changes highlighted?
7.9 Action items registers with follow-up for quality and timing issues.
21
Actual Score
0%

8.0 - Procurement & Supplier Management
Criteria
8.0
Weight
Score
(0 or 1)
Result
Supplier Selection Process
8.1 All suppliers must pass initial on-site Quality Systems survey before sourcing.
8.2 All suppliers are ISO 9001:2000 or TS 16949:2002 certified or have customer waiver.
8.3 Supplier Directory (Supplier status: Approved / Business Hold / Desource, quarterly updates)
8.5 Dimensional verification of supplier data for CC / SC's
8.6 Follow-up system for rejected or interim approved PPAP's
8.7 PPAP Date Determination & Communication Process
8.8 Supplier Run @ Rate process (risk determination, witnessed / self certify status)
8.9 Supplier Run @ Rate status tracking, follow-up and resolution process
Supplier PPAP process

8.4
Supplier PPAP process (review checklist, all PPAP elements addressed, no marked prints, 100%
compliance or approved SREA, no statements of conformance without raw data).
Supplier Performance Tracking

8.10 Supplier ratings distribution to supply base.
22
Actual Score
0%

9.0 - Tooling / Machine
Criteria
9.0
Weight
Score
(0 or 1)
Result
Preventive Maintenance / Tooling
9.1 Tooling Preventive Maintenance (PM) schedule available, Tooling work orders show PM is current.
9.2 Tool tracking system with tool number, location, usage, capability and rev.
9.4 Tooling reactive maintenance tracked for feedback for predictive maintenance.
9.5 Tooling design / construction standards.
9.6 Tool build / approval tracking.
9.7 Customer owned tools have clear identification.
Equipment PM (Preventive Maintenance) schedule available. Equipment work orders show

equipment PM is current.
9.9 Equipment tracking system available with equipment number, location, usage, capability and rev.
9.13 Equipment systematically requalified after maintenance / breakdowns
9.14 Maintenance / breakdowns documented and tied to lot traceability records.
9.15 Part related equipment marked with part number / engineering level.
9.16 Maintenance trouble log exist and posted at the machinery.
9.17 Machine control characteristics tracked / controlled at each machine.
9.18 Documented set-up / changeover Work Instructions exist.
9.19 Unreleased or unapproved equipment / tools identified and appropriately stored.
9.3
9.8
9.10
Tooling spare parts and perishable tools inventory list available and maintained including spare part
location and reorder points.
Equipment spare parts inventory list available and maintained including spare part location and
reorder points.
9.11 Equipment reactive maintenance tracked for feedback for predictive maintenance.
9.12
Supplier change / tool move planning, validation & customer approval (supplier and KSS and tooling
audit initiated changes).
59
Total Score
0%

10.0 - Receiving Inspection
Criteria
10.0
Weight
Score
(0 or 1)
Result
Receiving Inspection
10.1 Receiving Inspection process (all direct material for PV and production are in scope)
10.2 Verification of current PPAP Approval for supplier and revision being received
10.3 Revision level inspected to is revision level ordered
10.4 CC / SC's checked at a minimum
10.5 Is all incoming raw material has the supplier self-inspection certifications?
10.6 For heat treated parts each box is verified for correct hardness. Dock-to-stock not allowed.
10.7 Plant component issue feedback to Receiving Inspection criteria
10.9 Inspection Results Recorded, not just Pass / Fail or Accept / Reject
10.10 All rejected material is identified and moved to a quarantine area
10.8
10.11
Control Plan & Inspection Records Sheet available. Are incoming goods inspected systematically
according to their specification and according to the control plan ?
If any Dock-to-Stock Program defined, the part must be PPAP approved at current revision, no
Open NCR's, acceptable history, QA Mgr. approval, component criticality considered
Material Review Board (MRB) Process (corrective action responsibility determination, material
10.12 disposition). MRB Process includes QNs/NCRs dispositioned within 48 hours with follow-up and
closure tracking.
10.13
All supplier concerns are tracked, addressed, Corrective Action Report(s) kept on file and verified
for closure.
10.14 Supplier delivery issue resolution process (corrective action, follow-up and closure)
46
Actual Score
0%

11.0 - Process Control / Traceability
Criteria
Weight
11.0
Score
(0 or 1)
Result
Core Documents
11.1 APQP documents cross linked by operation sequence and operation number.
11.2 PFMEA is updated for all process and design changes.
11.3 PFMEA being updated to include findings from internal quality as well as customer complaints.
11.4 PFMEA and Control Plan understood to be living documents & updated timely & appropriately.
11.5 PFMEA includes all processes from receiving to shipping.
11.6 RPN's reduction actions are noted and RPN's reduced accordingly.
11.7 PFMEA's are cross functionally reviewed and approved prior to release.
11.8 Control Plans are complete and followed at all times.
Control plans reviewed and updated as appropriate when any of the following occurs: product or
11.10 process changes, processes are found to be unstable or non-capable, inspection method, frequency
is revised.
11.11 Process exists for the application of Statistical Methods, reaction plans and improvement
11.12 CP and PFMEA contain all CC/SC shown on the drawing and spec.
11.13 SPC used on all CC/SC's or equivalent where possible.
11.14 Action take when Ppk<1.67, Cpk<1.33?
11.15 Review process for capability indices and improvement program tracking
11.9
Control Plans include Prototype, Pre-Launch and Production control requirements, as required by
the customer.
Mistake Proofing Process

11.16 Poke Yoke line control sample verification process (each shift at a minimum)
11.17
Are procedures clear, used correctly & test parts available to check and verify functioning of errorproofing?
11.18
Is error-proofing adequate and implemented/ working according to the PFMEA and process control
plan?
11.20 First pieces verification is required after shift start-up, order changes, maintenance.
11.21 Is there an effective First Piece Sample measurement process?
First Piece / Last Piece Inspection and Launch Containment

11.19
11.22
First Piece / Last Piece Inspection check sheet used with actual data recorded and sign off approval
to begin production.
Launch Containment process. For new program launch an Early Production Containment is in place
and being followed.

11.0 - Process Control / Traceability
Criteria
Weight
Score
(0 or 1)
Result
Management of Nonconformances at the Line

11.23
Clear identification and segregation of non-conforming and suspect material as well as control to
prevent misuse.
11.24
Scrap / Rejected Material is identified at all times. Use of the rework or scrap containers understood
and documented for the operators.
11.25 Supervisor or Quality (not operators) control keys, remove defects from process and clear faults.
11.26 Scrap is removed from line every shift at a minimum.
11.27 Rejected Material is identified and moved to quarantine area immediately.
11.30 Operators are responsible for the quality of their work.
11.31 Operators have the authority to shut down lines in the event of nonconforming parts.
11.32 Work In Process minimized. If operations are not bottlenecks, one piece flow being utilized.
Backward Traceability: Lot Traceability System provides traceability from finished product lot
11.33 number / serial number to all process quality data, component / sub-assembly lot numbers and
component raw material lot numbers. Verify system by auditing a random component lot.
Forward Traceability: Lot Traceability System provides traceability from component lot number to all
11.34 sub-assembly and finished assembly lot / serial numbers produced, shipped and where / when
shipped. Verify system by auditing a random component lot.
11.35
First in First Out system used for shipping and for dispersing materials to production. Items used out
of sequence must have documentation to show reason used out of sequence.
11.36
Shelf life tracking includes checking shelf life expiration dates prior to production and also checking
shelf life of inventory on an established schedule.
11.28
Procedures for rework clear and followed. Customer Approval Required. Reverification of parts
through production process when rework is needed.
Operator Control
11.29
Detailed operator Instructions and Visual Aids exist, are visible and followed by all operators.
Operators instructions reflect PFMEA and control plan.
Lot Traceability / Shelf Life Tracking
108
Total Score
0%

12.0 Measurement & Calibration
Criteria
12.0
Weight
Score
(0 or 1)
Result
Measurement & Calibration
12.1
Supplier has Metrology capability in house.
12.2
Supplier has the required equipment (CMM, Optical Comparator, Micro vu, etc) to properly check the
features on the parts we wish to source to them?
12.3
Supplier has required expertise in house. (understand GD&T, ability to program and operate CMM,
etc.)
12.4
Calibration control system exists for all gages (including manual gages)
12.5
All measuring devices have an unique identifying number and an inventory log is maintained.
12.6
Calibration frequencies are established and measuring devices reviewed are current.
12.7
Gages / Test Equipment / Standards are calibrated and the calibration data recorded.
12.8
Calibration instructions are controlled and in use.
12.9
Gage R and R studies are performed for the measuring devices, with acceptible results.
Outsourced calibrations are performed by accredited laboratories. Calibrations requested to be

performed by the accredited laboratories fall within the scope of the outside labs certification.
39
Total Score
12.10 Master rejects and boundary samples included in calibration system.
12.11
0%

13.0 - Employee Orientation / Training
Criteria
13.0
Weight
Score
(0 or 1)
Result
Employee Orientation and Training
13.1 Job descriptions for all positions.
13.2 Required skill levels identified.
13.3 Comprehensive training program for employees by job classification.
13.4 Training of production operators prior to performing production operations.
13.5 Temporary employees trained the same as permanent employees.
13.6 Effectiveness of training is periodically reviewed and includes all employees / job functions
13.7 Skills matrix available for operators.
13.8
On line operator has required skills to perform job based on skill matrix and can demonstrate job
knowledge.
24
Total Score
0%

14.0 - Document Control / Records Management
Criteria
Weight
Score
(0 or 1)
Result
14.0 Document Control / Records Management Process

14.1 Document Control / Records Management process followed
14.2 Change Communication / Review / Signoff process
14.3 Distribution Process for revised documents.
14.4 Obsolete Documentation Removal Process.
14.5 Engineering change implementation, customer approval process followed
Total Score
0%

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Audit No.

Supplier Pre-Qualification Assessment

Employees in Quality dept.:

ISO 9001 certif. number

Other certification available

Initial Audit for New Supplier

Total Potential Score

Total Actual Score

Overall Audit Score

(see comments below)

Corrective Action Required ?

KSS Quality First Manual acknowledgment:

Supplier Management Acknowledgement

Supplier Engineering Manager:

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment

2.0 Waste Reduction

3.0 Internal Auditing

4.0 Customer PPAP

6.0 Engineering / Testing

7.0 Program Management

8.0 Procurement & Supplier Management

9.0 Tooling / Machine

10.0 Receiving Inspection

11.0 Process Control / Traceability

12.0 Measurement & Calibration

13.0 Employee Orientation / Training

14.0 Document Control / Records Management

Total Score (%)

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment scoring summary

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment

English Speaking ability of key person and key function.

Housekeeping & Working Condition

Housekeeping (offices, plant, labs warehouse, outside building, yard trailers).

Total Potential Score

Instructions: Assign score of 1 or 0 in Light Blue colored column.

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment

2.1 Scrap Analysis and Reduction process.

2.5 Downtime and Scrap issues are fed back to PM process.

2.6 Cost of Quality (COQ) Process. Pareto analysis of each element.

Total Potential Score

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment

3.5 Housekeeping / 5S process included in internal audits of all areas / facilities.

3.6 Records of audits maintained including objective evidence.

3.7 Findings reviewed with responsible department managers.

3.9 Follow-up / reassessment of action plan completion / effectiveness and verification

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment

Customer PPAP process

4.2 Material composition submitted into IMDS database

4.7 Control of Appearance Approval Report (AAR) for PPAP.

Total Potential Score

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment

Corrective & Preventive Action

Total Potential Score

Report no. 1038929 Rev. 01

Supplier Pre-Qualification Assessment