Globe Motors Supplier Systems Audit
I. Audit Plan
Supplier Audit Representative
Page 1 of 21
Phone
Audit Number
Audit Purpose
Opening Meeting
Audit Dates
Closing Meeting
Follow up Dates
Lead Auditor
Planning Checklist (for discussion with Supplier) Initial contact Facility needs Audit Type Doc. review Attire Travel plans Agenda confirmed Safety issues
Audit Team
Initial
Surveillance
Follow Up
Audit Scope (list elements to be audited)
II. Audit Disposition
Report Date Purchasing Copy To Quality Assurance Copy To Supplier Copy To Initial Disposition Final Disposition
___ Elements audited, with ___ Nonconformities and ___ Observations ___ Nonconformities require corrective action. Supplier: Please submit your corrective action plan to the Lead Auditor.
III. Audit Information and Results
0 GENERAL INFORMATION
Plant Address Division or Plant Name
DUNS Number Parent Company Name Relationship to Plant Quality System Registrar (or planned registrar) Parent Company Address
Not Registered AS9100 ISO 9000 If Not Registered, planned registration date:
Sales Contact Quality Contact Operations Contact Production Control Contact Product Engineering Contact Phone Phone Phone Phone Phone
TS 16949
Fax Fax Fax Fax Fax Email Email Email Email Email
Process Engineering Contact
Phone
Fax
Email
Form SA-2
Rev. 4
Globe Motors Supplier Systems Audit
Executive Management Contact Manufacturing Square Footage Direct Labor Union Affiliation Years in Operation Current Capacity Utilization Phone Direct Employees Direct Turnover Contract Expiration Fax
Page 2 of 21
Email Indirect Employees Indirect Turnover Average Seniority
Other Union Affiliations (Engineering, Skilled Trades, etc.) Shifts/Day Days/Week Days/Year % Automotive
Planned Utilization (after Globe) Industries Served
Products Manufactured
% Mil/Aero Typical Materials Used Customer Breakdown Customer Name
% of Volume
ppm
Customer Name
% of Volume
ppm
Manufacturing Capabilities (Number and type of cells, lines, presses, etc.)
Tooling Capabilities (Number and type of tool room equipment. Manufacture and/or maintenance of tooling?) % of manufacture and/or maintenance performed in house: Laboratory Capabilities (Number and type of measurement and test equipment. Metallurgical testing? In-house calibration?)
Laboratory Status (A2LA Accreditation)
ISO 14000 Registration
Accredited Not Accredited If not registered, planned accreditation date:
Registered Not Registered If not registered, planned registration date:
Note: If you have a current registration to AS, TS, or ISO you may skip sections 1 through 19. Globe Motors SQA reserves options to audit your Quality Management System and Process. 1 FACILITIES
1.01
Is plant layout suitable for the proposed processes?
1.02
Is maintenance of the premises adequate?
Form SA-2
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Globe Motors Supplier Systems Audit
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1.03
Is general housekeeping acceptable?
1.04
Is production equipment adequately maintained?
1.05
Is maintenance controlled by a systematic preventive maintenance system?
1.06
Are the environmental conditions in the calibration labs and work areas adequate for the proposed processes?
1.07
Does typical program development timing fall within the timing needs of the proposed program?
1.08
Does the supplier use program management techniques sufficient to manage the proposed product throughout the life of the program?
1.09
Does the supplier have an equipment procurement system adequate to ensure purchase of appropriate equipment?
1.10
Does the supplier measure machine capability to ensure robustness of equipment?
Form SA-2
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Globe Motors Supplier Systems Audit
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1.11 2
Does the supplier measure and track first-time yield for the purposes for continuous improvement? MANAGEMENT RESPONSIBILITY
2.01
Does the supplier have a documented quality policy?
2.02
Is the quality policy known by all personnel?
2.03
Does management review the quality system for effectiveness?
2.04
Is there an appointed person responsible for the implementation and maintenance of the quality system?
2.05
Does the supplier have an organizational chart or identify key responsibilities?
2.06
Do quality personnel have the authority to halt production?
2.07
Are QA resources adequate to assure material compliance to specifications?
Form SA-2
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Globe Motors Supplier Systems Audit
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2.08
Does the system and processes focus on defect prevention in all areas?
2.09
Have training needs been identified for each job function?
2.10
Do operators have the opportunity to provide inputs on quality matters?
2.11 3
Are Control Plans and Failure Modes & Effects Analysis (FMEAs) conducted and updated? QUALITY SYSTEM
3.01
Does the supplier have a quality manual?
3.02
Is the manual available to all personnel?
3.03
Does the manual provide guidelines for continuous improvement?
3.04
Is the supplier quality system adequately documented?
Form SA-2
Rev. 4
Globe Motors Supplier Systems Audit
4 CONTRACT REVIEW AND APQP
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4.01
Is there a procedure for reviewing customer orders? Does the procedure allow for adequate review of all specification characteristics, and compare them to known capabilites?
4.02
4.03
Does the procedure assure that facility manufacturing capacities are not oversold?
4.04
Does the supplier plan for sustained 15% surge capacity?
4.05
Do methods used to attain 15% surge capacity meet Globe needs (extra shift, overtime, etc.)?
4.06
Are reviews noted in some manner?
4.07
Are discrepancies in contract requirements resolved before acceptance of the contract?
Form SA-2
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Globe Motors Supplier Systems Audit
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4.08
Does the supplier provide APQP status reports to current customers in a manner consistent with Globe requirements?
4.09 5
Does the supplier provide PPAP to current customers in a manner consistent with Globe requirements? DOCUMENT AND DATA CONTROL
5.01
Is there a system to control all quality related documents that affect quality?
5.02
Are documents affecting quality reviewed and approved prior to release?
5.03
Is there an effective revision control procedure for quality related documents?
5.04
Are pertinent documents available at the workplace?
5.05 6
Is there a system for promptly removing obsolete documents from the work place? PURCHASING
6.01
Is there a system for selecting and qualifying suppliers?
Form SA-2
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Globe Motors Supplier Systems Audit
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6.02
Are records kept on supplier evaluations and approvals?
6.03
Is supplier selection based on capability and performance?
6.04
Is an approved supplier list maintained?
6.05
Does the supplier use subcontractors for secondary processing?
6.06
Do purchase orders or contracts clearly define the product or service being ordered?
6.07
Are purchased products verified before release for production?
6.08 7
Does the supplier use a system to judge the ongoing performance of existing suppliers? PRODUCT IDENTIFICATION AND TRACEABILITY Are there procedures to ensure that products are adequately identified and traceable from receipt through all stages of production and delivery?
7.01
Form SA-2
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Globe Motors Supplier Systems Audit
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7.02
Are raw materials identified?
7.03
Does the supplier inspect or otherwise verify purchased parts/components prior to use?
7.04 8
Are records maintained for traceability or recall? PROCESS CONTROL
8.01
Are documented work instructions used for all processes that affect quality?
8.02
Is the frequency and type of monitoring defined and controlled?
8.03
Are most process controls aimed at nonconformance prevention as opposed to detection?
8.04
Is the process verified by inspection or testing?
8.05
Are records maintained to demonstrate compliance with specified requirements?
Form SA-2
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Globe Motors Supplier Systems Audit
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8.06
Are qualified personnel assigned to special processes (those which require skilled operators)?
8.07
Are workmanship standards available in the form of controlled written standards, visual exhibits and/or samples?
8.08
Is inspection and test equipment sufficient to verify in-process material conformance? Is there a system in place to assure control plan updates are performed and approved in the event of changes to process controls? Process Step Incoming Material Do Control Plans and/or inspection instructions exist, and are they in use for the following areas? In-Process Material Finished Goods Rework Material Document Number Evidence of Use?
Yes Yes Yes Yes No No No No
8.09
8.10
8.11 9
Is there evidence that Control Plans followed as documented? INSPECTION AND TESTING
9.01
Are there procedures that define receiving, in-process and final inspection requirements?
9.02
Are qualified personnel assigned to verification activities?
Form SA-2
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Globe Motors Supplier Systems Audit
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9.03
Are inspections and tests conducted with calibrated equipment?
9.04
Are sample size and inspection types identified?
9.05 10
Are inspection results recorded and maintained? INSPECTION, MEASURING AND TEST EQUIPMENT
10.01
Is there a procedure outlining calibration of inspection, measuring and test equipment?
10.02
Is all equipment used for inspection, measuring, and testing uniquely identified?
10.03
Is employee owned equipment used for inspection purposes?
10.04
Is inspection, measuring and test equipment calibrated at set intervals? Is inspection, measuring and test equipment verified against equipment of known valid relationships to nationally recognized standards?
10.05
Form SA-2
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Globe Motors Supplier Systems Audit
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10.06
Is the calibration status of inspection, measuring and test equipment readily apparent?
10.07
Are calibration records maintained (Certificates, documented internal records, etc.)?
10.08 11
Are re-inspections of product carried out when equipment is found to be out of calibration? INSPECTION AND TEST STATUS
11.01
Is there a means to identify the inspection or test status of purchased product?
11.02
Is there a means of identifying a product's inspection status during all stages of manufacturing?
11.03
Is the inspection status of product readily apparent?
11.04 12
Is the inspection status identified by markings, location or documents? CONTROL OF NON-CONFORMING PRODUCT
12.01
Is there a documented procedure for the control of nonconforming products?
Form SA-2
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Globe Motors Supplier Systems Audit
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12.02
Do procedures call for identification, documentation, segregation, evaluation, and disposition?
12.03
Who is responsible for the disposition of non-conforming material?
12.04
Are instances of non-conforming product documented (raw, inprocess, finished)?
12.05
Is reworked or repaired product re-inspected?
12.06
Are records of re-inspections maintained?
12.07 13
Is customer authorization received prior to shipping material that differs from customer requirements? CORRECTIVE AND PREVENTIVE ACTION
13.01
Is there a procedure for initiating corrective action?
13.02
Are corrective actions initiated for internally discovered nonconformances?
Form SA-2
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Globe Motors Supplier Systems Audit
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13.03
Are corrective actions initiated for customer complaints?
13.04
Are customer complaints and reports of nonconformance handled effectively?
13.05
Is the effectiveness of corrective actions verified?
13.06
Is there a disciplined problem solving method?
13.07
Does the supplier use the 8D problem solving report?
13.08
Is the supplier familiar with thirdparty controlled shipping (CS-II)?
13.09
Is or has the supplier ever been subjected to CS-II? Are methods used to verify corrective action adequate for meeting Globe’s requirements (i.e., experimentation, validation testing, time-based containment results).
13.09
Form SA-2
Rev. 4
Globe Motors Supplier Systems Audit
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HANDLING, STORAGE, PACKAGING, PRESERVATION AND DELIVERY
14.01
Is there a procedure for handling, storage, packaging, preservation and delivery of product?
14.02
Do the methods prevent damage and deterioration?
14.03
Is the condition of stored materials evaluated periodically?
14.04
Is product protected from damage or deterioration after inspection and testing?
14.05
Is first-in and first-out practice (FIFO) documented and enforced?
14.06
Are current shipping methods employed by the supplier similar to those anticipated for the proposed product?
14.07
Is typical finished goods inventory level similar to those anticipated for the proposed product?
14.08
Is the current materials management system adequate to support the proposed product?
Form SA-2
Rev. 4
Globe Motors Supplier Systems Audit
15 QUALITY RECORDS
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15.01
Are quality records, which need to be generated and maintained, identified?
15.02
Are retention times and disposal identified?
15.03
Are appropriate inspection and test records maintained which confirm conformance to specified requirements?
15.04
Are quality records legible and readily retrievable?
15.05
Are quality records maintained in such a way to prevent deterioration, damage and loss?
15.06 16
Are these records available to the customer for evaluation upon request? INTERNAL QUALITY AUDITS
16.01
Are internal audits planned and conducted on the quality system?
16.02
Are audits performed by personnel independent of those who have direct responsibility for the function?
Form SA-2
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Globe Motors Supplier Systems Audit
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16.03
Are audit results documented?
16.04
Are audit results brought to the attention of personnel having responsibility for the function?
16.05 17
Are actions taken to correct nonconformances discovered during the audit? TRAINING
17.01
Are personnel qualified on the basis of appropriate education, training and/or experience for specific tasks?
17.02
Are training requirements identified for persons whose jobs may affect quality?
17.03
Are training records documented and maintained?
17.04
Are employees cross-trained to ensure coverage in the event of emergencies?
17.05
Does the supplier use a large number of temporary employees compared to other businesses in the region?
Form SA-2
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Globe Motors Supplier Systems Audit
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17.06
Are there language barriers between support functions, management and direct labor?
17.06 18
Is training effectiveness periodically evaluated? Statistical Techniques
18.01
Are statistical techniques utilized as a means for process capability and continuous improvement?
18.02
Are there documented procedures to implement and control the application of statistical techniques?
18.03
Is advanced quality planning used to determine appropriate statistical techniques?
18.04
Are advanced statistical techniques and/or philosophies utilized (DOE, Six Sigma, Shainin, etc.)?
18.05 19
Are certified statistical “experts,” available within the organization (Black Belt, Master Black Belt, Journeyman, etc.)? ENGINEERING CAPABILITIES
19.1
Is the engineering staff adequate to address tooling and product design needs for the proposed product?
Form SA-2
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Globe Motors Supplier Systems Audit
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19.02
Is the engineering staff sufficiently large to handle foreseen tasks for product and tooling design?
19.03
Is the experience level of the engineering staff adequate for the type of product proposed?
19.04
Is the engineering staff experienced in handling products of similar complexity to the proposed product?
19.05
Are engineering systems and engineering software sufficient for the tasks related to the proposed product?
19.06
Does the engineering staff use, or is it familiar with the use of GD&T?
19.07
Does the supplier use DFMEA as a tool for product development?
19.08
Does the supplier use adequate tools for engineering problem solving, such as FEA, DOE, trade-off studies, modeling?
19.09
Does the supplier anticipate the implementation of breakthrough technology in this or future programs?
Form SA-2
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Globe Motors Supplier Systems Audit
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19.10
Are typical prototype activities adequate for the proposed product?
19.11
Does the supplier have capabilities for use of rapid prototyping methods?
19.12
Does the supplier have test capabilities sufficient for the proposed product?
Form SA-2
Rev. 4
Globe Motors Supplier Systems Audit
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IV. Findings Summary
NC/OB No. Element No. Nonconformity or Observation Description
C/A Required Yes No
V. Corrective Action Summary
NC/OB No. Corrective Action Description Verified By
Closed Yes No
Form SA-2
Rev. 4