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Form - SCM 1316 Rev. A 20-May-08
Supplier Audit/Assessment Worksheet
Supplier Date
Address/Facility Auditor
Team
Supplier Number Commodity
Reason for Audit
Potential supplier audit
Annual audit
Other
Visit Summary and Recommendations
Summary
Recommendations
Signature
Form 1316 18 April 08
NOTE: ALL INFORMATION ON THIS SUMMARY PAGE IS EITHER AUTOMATICALLY DRAWN FROM THE SOUTHCO ASSESSMENT OR AUTOMATICALLY CALCULATED.
Date: 00-Jan-1900 Site Overall Rating: RED
Supplier Name: 0 % Green Elements 0%
Supplier Number: 0 # Green Elements 0
Auditor: 0
Total # Elements 137
Status Sections Status Sections Status Sections
0 1. Business and Mgmt Structure 0 4. Manufacturing & Operations Cont'd 0 5. Quality Cont'd
A.1 0 D.1 0 D.1 0
A.2 0 D.2 0 D.2 0
A.3 0 D.3 0 D.3 0
B.1 0 D.4 0 D.4 0
B.2 0 D.5 0 E.1 0
B.3 0 D.6 0 F.1 0
C.1 0 D.7 0 F.2 0
D.1 0 D.8 0 F.3 0
D.2 0 D.9 0 F.4 0
D.3 0 D.10 0 F.5 0
E.1 0 E.1 0 F.6 0
E.2 0 E.2 0 F.7 0
E.3 0 E.3 0 F.8 0
F.1 0 E.4 0 F.9 0
F.1 0 F.10 0
0 3. Product Design F.2 0 G.1 0
A.1 0 F.3 0 G.2 0
A.2 0 F.4 0 H.1 0
A.3 0 F.5 0 H.2 0
B.1 0 F.6 0 H.3 0
C.1 0 F.7 0 H.4 0
C.2 0 F.8 0 I.1 0
C.3 0 F.9 0
D.1 0 F.10 0 0 6. Project Management
E.1 0 A.1 0
E.2 0 0 5. Quality A.2 0
E.3 0 A.1 0 B.1 0
E.4 0 A.2 0 B.2 0
F.1 0 A.3 0 B.3 0
F.2 0 A.4 0 B.4 0
F.3 0 A.5 0 B.5 0
F.4 0 A.6 0 B.6 0
A.7 0
0 4. Manufacturing & Operartions A.8 0 0 7. Cost Reduction
A.1 0 A.9 0 A.1 0
A.2 0 A.10 0 A.2 0
B.1 0 A.11 0 A.3 0
B.2 0 A.12 0 A.4 0
B.3 0 A.13 0 B.1 0
B.4 0 A.14 0 B.2 0
B.5 0 A.15 0 B.3 0
C.1 0 A.16 0 B.4 0
C.2 0 A.17 0 B.5 0
C.3 0 B.1 0 C.1 0
C.4 0 B.2 0 C.2 0
C.5 0 B.3 0
C.6 0 C.1 0
C.7 0 C.2 0
C.8 0 C.3 0
C.4 0
C.5 0
C.6 0
C.7 0
# Green 0 # Green 0 # Green 0
# Red 45 # Red 51 # Red 41
Form 1316 - SCM Rev. A 20-May-08
Latest
Concern and Corrective Action Report CCAR
(CCAR) Update :
Part No :
Initiator :
Person Initial Target Latest Target (Closing)
Ref. No Problem Corrective Action and Recommendations Responsible Date Date 25% 50% 75% 100% Additional Remarks or Links
Form 1316 - SCM Rev. A 20-May-08
1. Business Structure Checklist
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
A. Diversified Across Industries
What percent of the supplier business will Southco represent ? Is it
1
<25%
2 Does the Supplier service more than one industry ?
3 is 80% of turnover from more than 20% of customers?
B. Longevity and Profitability
Has the supplier been in business for more than five years, ? (Are
1
they an established business?)
2 Does the supplier demonstrate financial stability ?
3 Is there a strategic plan for investment approved by management ?
C. Southco as Strategic Customer
Will Southco be a strategic customer for the supplier ? (How does
1
supplier demonstrate this?)
D. Org Structure and Base Data
1 Is there a defined organizational structure in place?
2 Is there a succession plan in place and reviewed regularly ?
Is Southco protected should key managers/leaders quit / leave the
3
business ?
E. Commitment to Quality
Is there a defined management review process and records
1 available?
2 Is management driving Customer Quality improvement ?
3 Is there a process in place to drive continuous improvement?
F. Commitment to Customers
Are customer key metrics recognized and communicated by
1 management?
Summary 0
Form 1316 - SCM Rev. A 20-May-08
2. Financial Health
NOTE: This section should be presented to Finance for assessment.
Area / Element Values Background Info Status
Z-Score = ( Desired value > 2.6 ) Private companies with score lower
than 2.6 are supposed to be at risk for bankruptcy !!
Section 1: Data Required to Calculate Z Score Input Values Here
Directions: After obtaining the following elements of the supplier's
financial statement, enter in the figures in the column entitled "input value
here".
Working Capital (current assets minus current liabilities)
Total Assets
Retained Earnings
EBIT
Net Worth (Stockholders Equity)
Total Liabilities
Section 2: Equation (Coefficients x Variables)
Directions: Completing Section 1 will result in the calculation of the Z
Score; the formatted function does not require additional input. Go to
Section 3.
X1 #DIV/0!
Form 1316 - SCM Rev. A 20-May-08
3. Product Design
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
A. Technical Knowledge of Design Engineers
1 Do they understand Reliability vs Durability?
2 Is the aim more sub-assemblies rather than individual parts in a
major system ?
3 Is the supplier familiar with special requirements such as salt spray
test and ROHS etc
B. Similar Product Design Experience
1 Has the supplier demonstratable experience in product design in
parts similar to Southco requirement ?
C. Engineering Development and Project Tools
1 Can the supplier demonstrate that a proven NPD process is
followed?
2 Does supplier use advanced design tools such as Finite Element
Analysis (FEA) tools/mold flow analysis ?
3 Does the supplier use Design for Six Sigma (DFSS), or similar
tools, to design new products ?
D. Understanding of Technology
1
Does the supplier demonstrate knowledge of latest technology?
E. Adequate Technical Support Resources
1 Does supplier have CAD facilities to support complex design and
enough licenses?
2 Is the supplier capable of making prototypes ?
3 Is the supplier capable of managing prototype suppliers ?
4 Are projects resourced with a cross functional team ?
F. Change Management
1 Is there a process to manage design changes ?
2 Are drawings issue controlled ?
3 Are design reviews held with recorded actions/minutes?
4 Is the "First Time Right" for designs measured?
Summary 0
Form 1316 - SCM Rev. A 20-May-08
4. Manufacturing & Operations
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
A. Capacity Planning
1 Is there adequate capacity to meet current and future demands?
2 Is excess capacity available ? Is there a capacity planning
process, according to business forecasts ?
B. Equipment Capability
1 Are all relevant equipment and processes validated for
production?
2 Is the equipment capable of meeting specification requirements?
3 Are the production lines efficient? Is the uptime (%) of key
equipment on the line greater than 80%?
4 Is the production line mapped out to avoid excess movement and
handling?
5 Does a preventive maintenance plan exist and is it followed ? How
effective it is to achieve good equipment up-time ?
C. Manufacturing Support Capability
1 Is the production area adequately staffed?
2 Are good housekeeping practices followed? Is the workplace clean
and organized?
3 Are there examples of cycle time reduction to produce parts
faster?
4 Does the supplier strive to eliminate complexity in the processes?
5 Does the supplier design their own tooling / fixtures?
6 Does the supplier have an Engineering department?
7 Does a formalized training plan exist, documented with training
materials available?
8 Do the operators have clear work instructions to perform their job
function?
D. Non-Conforming Material
1 Does the process control plan contain a reaction plan, which has
containment and corrective actions for non-conformances?
2 When a part is identified as being out of specification or outside of
control limits, is this condition properly managed within the
organization (Action Plans, Assigned Responsibility, Progress
Monitoring, and Containment)?
3 Do problems, including out of spec./ beyond control limit
conditions, quickly get communicated to people that can help?
4 Does information, including out of spec./ beyond control limit
conditions, get passed across shifts?
5 Are controls in place to isolate incoming material until it has been
approved and is it clearly and appropriately labeled ?
6 Are all non-conforming materials (in-process and finished) properly
quarantined and/or scrapped?
7 Is the suspect / scrap data recorded and is the the data is acted
upon ?
8 Is it likely that suspect / scrap parts will be re-introduced into the
normal process flow?
9 Are suspect / scrap containers available at each operation?
10 Are the containers properly sized and identified for visual control
(color coded, etc.)?
E. Part Traceability
1 Are parts clearly labeled and identified (part number, lot number,
mfg. date, qty., employee number, etc.)?
Form 1316 - SCM Rev. A 20-May-08
4. Manufacturing & Operations
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
2 Does labeling distinguish between different stages of production
(in-process; finished product, packaging, shipping, etc.)?
3 Can parts produced since the last good quality check be traced
back to the producing shift and operation to prevent problem re-
occurrence?
4 Can parts produced on different shifts / days be identified ? Is
FIFO practice utilized in the facility?
F. Delivery / Scheduling
1 Is the supplier Electronic Data Interface (EDI) capable?
2 Is long range forecasting and EDI schedules driven to
manufacturing to meet ship dates and capacity ?
3 Is the supplier capable of delivering on-time? Is there evidence to
show this (On-time Delivery Percentage)?
4 Does the supplier monitor adherence to established lead-time
requirements?
5 Is there a plan for on-going lead-time reduction?
6 Are delivery problems communicated to the customer in a timely
manner?
7 Does the supplier have systems implemented to support 100% on-
time shipments to meet customer requirements?
8 If 100% on-time shipments are not maintained, does the supplier
implement corrective action to improve delivery performance?
9 Is on-time delivery to customer request date monitored?
10 Does the supplier maintain records of premium freight?
Summary 0
Form 1316 - SCM Rev. A 20-May-08
5. Quality Systems Analysis
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
A. Quality Business Systems
Is 3rd party certification held against ISO9001:2000 or
1 TS16949:2002?
Is there a plan for TS16949:2002 certification if not already held?
2
Is a standard set for housekeeping (5S) and is the plant clean/tidy?
3
Is there a demonstratable process/ownership for sub contractors?
4
Are deviations raised and acknowledgement gained from
5 Suppliers/customers?
Are there SQE's are involved in the sub contractor management
6 process ?
Is there a calibration system in place? (Can traceability be
7 demonstrated?)
Is there a plan to attain any further certification ? Such as ISO
8 17025/ISO 14001:2004 etc.
9 Are training plans in place correlating to competency matrices?
Are risk assessments/health and safety audits carried out and
10 actions recorded?
11 Are Hazmat/COSHH regulations are followed?
12 Are notice boards in place and maintained?
Capacity planning is undertaken and management informed of
13 issues?
Does the supplier demonstrate compliance with the European
Union directives including Restrictions of Hazardous Substances
(RoHS Directive, 2002/95/EC) and Waste of Electrical and
Electronics Equipment (WEEE)?
14
If the supplier can not demonstrate compliance with the EU
directives, can they ensure that these environmentally hazardous
materials will not contaminate any material, product, or service
provided to Southco?
15
Does the supplier provide a certificate of conformance when
requested that states material, product, or services provided are
compliant to the EU directives?
16
17 Emergency plans exist for tool relocation/repair?
B. MSA ( Measurement Systems Analysis)
Are gauges, test and measurement equipment calibrated and
1 maintained ?
2 Is Gauge R&R carried out as part of product launch?
Is Gauge R&R carried out other than at product launch? (state
3 period and show evidence)
C. Capability
Is SPC in use and 1.33 cpk (long term vs 1.66 cpk short term) a
1 minimum?
Is SPC recorded at the manufacturing stage/by operator? (record
2 frequency of data capture)
Is the control chart data reviewed and actions can be contributed to
3 the data generation?
4 How often is the data reviewed ?
5 Is Poke yoke used consistently?
6 Can SPC data be shown in Minitab or other SPC software ?
7 Are operators/technicians familiar with SPC ?
D. Corrective Actions
Does a defined corrective action process exist and is it followed?
1
2 Can problem identification and containment be demonstrated?
3 Is "Root cause" analysis prevalent ?
4 Is time to closure measured and challenged?
E. Product/Process Changes
1 Is a process defined and followed to manage product changes?
F. APQP
Are APQP principles followed for new product introduction/product
1 changes ?
2 Are AIAG/VDA manuals held onsite for reference?
Is there a stage gate process in place to support PPAP delivery?
3
4 Are design reviews supported at customer?
Form 1316 - SCM Rev. A 20-May-08
5. Quality Systems Analysis
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
Are packaging specifications detailed and included in PPAP
5 submission?
Are run at rates planned and will process capacities be derived?
6
7 Are live FMEA's maintained on all products?
8 Does the supplier have in house test capability?
Are Conformity of Production practices employed? (Annual
9 recertification, engineering test etc)
Is there evidence that controls have been revised after quality
10 issues/8D's have been raised?
G. Internal Audits
Is there an internal audit process to ensure that all processes are
1 followed ?
2 Are auditors identified and trained?
H. Quality Performance
1 Are internal quality/delivery metrics recorded/actioned ?
2 Are external quality/delivery metrics measured/monitored?
Are there quality targets set and improvement plan in place to meet
3 annual quality targets ?
Is goods inwards inspection carried out and does a process exist to
4 capture actions?
I. Warranty Analysis
1 A warranty returns process including analysis exists?
Summary 0
Form 1316 - SCM Rev. A 20-May-08
6. Project Management
NOTE: Supplier Quality Manager or Supplier Quality Engineer should complete this section.
Response Score
Area / Element Comments / Evidence YES or N/A = 1
NO = 0
A. Project Timelines
Is there evidence that committed due dates have been met on
1
previous projects ? (% on time, late ahead of time)
Is project timing monitored/measured by senior management?
2
(How?)
B. Project Management Structure/Staffing
1 Are detailed project plans developed in MS project format?
Are adequate resources assigned to projects including a dedicated
2
project manager? (cross functional team)
Are critical paths identified within projects? (can critical paths be
3 demonstrated on timing plans?)
4 Are cost targets set and monitored/actioned through projects ?
Are risk assessments undertaken and associated mitigating
5
actions reviewed?
Are the 2nd tier suppliers plans captured in overall project plan? (Is
6
there an internal owner for sub contractors?)
Summary 0
Form 1316 - SCM Rev. A 20-May-08
7. Cost Reduction
NOTE: Sourcing Manager / Buyer or Supplier Quality Manager should complete this section.
Response Score
Area / Element Comments / Evidence YES = 1
NO or N/A = 0
A. Cost Reduction Performance
1 Does a plan exist for on-going yearly cost reductions?
2 Is there evidence that cost reduction goals are being met?
3 Are cost reduction savings shared with customers?
4 Is the management team committed to achieving cost reduction
goals?
B. Process for Delivering Cost Reductions
1 Does a process exist for identifying projects for cost reduction
programs?
2 Are Value Engineering/Value Analysis techniques used to identify
projects for cost reductions?
3 Are there examples of cost effective approaches to achieve break-
even points?
4 Does the supplier use Six Sigma or similar processes?
5 Are there examples of material changes that were implemented to
improve quality and reduce costs?
C. Understanding & Use of TCO Models
1 Does a Total Cost of Ownership (TCO) model exist for parts
produced by the supplier?
2 Is the TCO methodology understood and have all the cost drivers
been identified?
Summary 0
Form 1316 - SCM Rev. A 20-May-08
