Csi 3 Part Format Specification Sample - Excel by wfz52395

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									                                               CONTROLLED SHIPPING - LEVEL 2
                                                      ASSESSMENT
  Supplier Name:                                                                                                   Date:
  Supplier DUNS Number:
  Plant Location Country:                                                                                          Auditor (SQE):
  Part Commodity:
  Part name:                                                                                                       Audit Status:      Initial   Follow Up
  Part number:
  Drawing Date:                                                                                                    Audit Results:     Pass      Fail
  PRR Number:
  Problem description:                                                                                             Model Year:

                                               CONTROLLED SHIPPING LEVEL I                                                            Comments
  A. CONTROLLED SHIPPING LEVEL I BASICS
  1. Has the supplier established a separate and independent containment activity area at               Yes   No
  their location?
  2. Has the supplier initiated the sort activities immediately upon receipt of notification letter?
  3. Did the supplier track breakpoints of nonconforming material? (Did supplier purged
  pipeline of suspect material? i.e. at customer’s facility, in transit and at all storage locations.
  See GP-5 section 4.4.4)
  4. Are individual parts, material, and containers marked, as agreed upon by customer, to
  identify parts certified for production?
  5. Does the supplier conduct a daily management meeting at the sort location to review the
  results and ensure that corrective actions taken are effective, or plan required changes? Are
  they documented?
  B. CONTROLLED SHIPPING GUIDELINES FOR LEVEL I
  6. Is Containment area highly visible and properly lighted, equipped, etc.?
  7. Does the Containment area have a well defined efficient material flow including clearly
  identified areas for incoming and outgoing parts/material?
  8. Are repairs done separate from the containment area?
  9. Do Information boards (See 5.6) prominently display nonconformances, measures, action
  plan and status, and results of the containment activity?
  10. Is problem solving formal, systemic, data driven and documented?
  11. Do Containment operators have available to them, proper job instructions, quality
                                                       equipment, etc.?
  standards, approved boundary samples, tools, and WORLDWIDEPURCHASING
                                                    WORLDWIDE PURCHASING
  12. Are the operators properly trained?           WORLDWIDE PURCHASING
  13. Is preventive maintenance employed if required?
  C. CONTROLLED SHIPPING LEVEL I PRODUCTION SUPPLIER RESPONSIBILITIES
  14. Has thesupplier provided people to perform the inspection activity?
  15. Has the supplier Provided proper layout and instruction documents to perform
  Controlled Shipping?
  16. Has the supplier provided proper space and tooling to perform inspection activities?
                                                       data?
  17. Are permanent corrective actions supported byWORLDWIDE PURCHASING
  18. Does the supplier communicate results of sort activities to the customer in a format and
                                                      WORLDWIDE PURCHASING
  with a frequency agreed to by the GM representative?
  19. Does the supplier communicate the action plan, inspection statuses, and results of
  problem resolution activities to the customer in a format and with a frequency agreed to by
  the GM representative? The required format for the inspection status is the 'ECS Incident
  Chart'.
  D. INFORMATION BOARDS LEVEL I
  20. Are the quality standards such as approved boundary samples, technical specifications,
  drawings, etc. displayed?
  21. Are nonconformance descriptions and resolution action plans displayed?
  22. Is the Process Control Plan highlighted and displayed to show where in the process the
  nonconformance occurred?
  23. Are Trend charts and SPC charts, if applicable (I-Chart) displayed?
  E. TRACKING LEVEL I
  24. Has Problem Resolution and containment progress been tracked using an agreed upon
  report format? Is information sent as directed to the GM representative?
  F. QUALITY DOCUMENTS AND TECHNICAL INFORMATION         WORLDWIDE PURCHASING
  25. Are actual drawings available at production facility the latest change level ?
  26. Is a Process Flow Diagram available?
  27. Is there a PFMEA available, and is it acceptable (RPNs, numbers match Process Flow
  Diagram and include KPC/PQC/KCCs); any evidence that is a living, updated document?
  28. Is there a Process Control Plan (PCP) available, and is it acceptable (numbers match
  PFMEA & Process Flow, includes KPC/PQC/KCC's, GP-12 if applicable, and latest EWO
  included) ?
  29. Are proper operator instructions available at the operation where the error occurred?
  - Sufficient to run the job properly, including handling non-conforming parts ?
  - Are approved boundary samples available to operators and in use?
  30. Is operator certification available at the operation where the error occurred?
  31. Is the non conformance listed in the PRR described and posted at the operation where
  the error occurred?




REV 3                                                                             1 of 18                                  67918a6f-bd63-4b3b-838e-a2e362ead5b7.xls
                                       ENHANCED CONTROLLED SHIPPING LEVEL II
  G. ENHANCED CONTROLLED SHIPPING LEVEL II BASICS
  32. Has supplier established a separate and independent containment activity area at their
  location? (Includes level I)
  33. Has the supplier initiated the sort activities immediately upon receipt of notification letter?
  34. Does the supplier track breakpoints of nonconforming material? (Has supplier purged
  pipeline of suspect material? i.e. at customer’s facility, in transit and at all storage locations.
  See GP-5 section 4.4.4)
  35. Are individual parts, material, and containers marked, as agreed upon by customer, to
  identify parts certified for production?
  36. Does supplier conduct a daily management meeting at the sort location to review the
  results and ensure that corrective actions taken are effective, or plan required changes? Are
  they documented?

  H. ENHANCED CONTROLLED SHIPPING LEVEL II GUIDELINES
  37. Is Containment area highly visible and properly lighted, equipped, etc.?
  38. Does the Containment area have a well defined efficient material flow including clearly
  identified areas for incoming and outgoing parts/material?
  39. Are repairs done separate from the containment area?
  40. Do Information boards (See 5.6) prominently display nonconformances, measures,
  action plan and status, and results of the containment activity?
  41. Is problem solving formal, systemic, data driven and documented?
  42. Do Containment operators have available to them, proper job instructions, quality
                                                     WORLDWIDE PURCHASING
                                                     WORLDWIDE PURCHASING
  standards, approved boundary samples, tools, and equipment, etc.?
  43. Are operators properly trained? Is there evidence of training? PURCHASING
                                                     WORLDWIDE
  44. Is preventive maintenance employed if required?

  I. ENHANCED CONTROLLED SHIPPING LEVEL II PRODUCTION SUPPLIER RESPONSIBILITIES
  45. Has the supplier contracted a third party to perform the inspection activity? (Required).
  46. Has the supplier Provided proper layout and instruction documents to perform
  Controlled Shipping?
  47. Has the supplier provided proper space and tooling to perform inspection activities?
  48. Are the permanent corrective actions supported by data?
                                                      WORLDWIDE PURCHASING
  49. Does supplier communicate results of sort activities to the customer in a format and
                                                      WORLDWIDE PURCHASING
  with a frequency agreed to by the GM representative?
  50. Does the supplier communicate the action plan, inspection status, and results of
  problem resolution activities to the customer in a format and with a frequency agreed to by
  the GM representative? The required format for the inspection status is the 'ECS Incident
  Chart'.

  J. ENHANCED CONTROLLED SHIPPING LEVEL II INFORMATION BOARDS
  51. Are quality standards such as approved boundary samples, technical specifications,
  drawings, etc. displayed?
  52. Are nonconformance descriptions and resolution action plans displayed?
  53. Is the Process Control Plan highlighted and displayed to show where in the process the
  nonconformance occurred?
  54. Are Trend charts, SPC charts, and I-Chart displayed?

  K. ENHANCED CONTROLLED SHIPPING LEVEL II TRACKING
  55. Has the Problem Resolution and Containment progress been tracked using an agreed
  upon report format? Is information sent as directed to the GM representative?

  L. PROBLEM REPORTING AND RESOLUTION
  56. Are there procedures outlining the required daily accessing of GQTS?
  57. Did supplier respond to the PR/R within one business day?
  58. Has the supplier issued a final response within 15 calendar days?
  59. Does the final response include the following:
           Containment actions taken
           Methods used to evaluate the success of containment actions taken
           Root cause of the problem, including methods used to identify the root cause
           Corrective and preventive action implemented including the rationale used in
           evaluating any alternatives.
           Contact information of those assigned responsibility for actions taken
           How the success of proposed actions will be evaluated
           How the solution is to be institutionalized with respect to other similar processes and
           products (QS-9000 clause 4.14.2.2)
           Dates when revised process FMEA and PCP will be available for customer review
           Evidence of Error Proofing Techniques
  60. If an adequate response could not be completed within 15 calendar days, did the
  supplier notify the GM issuing location of the situation?

  M. EXIT CRITERIA FOR ECS II                          WORLDWIDE PURCHASING
  61. Does exit criteria include clear and measurable elements?
  62. Are exit criteria specific and relevant to the nonconformance issues to be addressed?
  63. Does exit criteria remain constant for each nonconformance?
  64. Does documentation and data show the root cause was identified and verified?
                                                       WORLDWIDE PURCHASING
  65. List date root cause was identified.
  66. List date root cause was validated.
  67. List date corrective action was implemented.
  68. Does documentation and data indicate that corrective action was implemented and
  69. Are copies of all documentation revised as required (control plan, FMEAs, process flow
  diagram, operator’s instructions, etc.)?


REV 3                                                                            2 of 18                67918a6f-bd63-4b3b-838e-a2e362ead5b7.xls
  69. Are copies of all documentation revised as required (control plan, FMEAs, process flow
  diagram, operator’s instructions, etc.)?
  70. Does documentation and data indicate that every effort was taken to implement and
  verify error proofing?
  71. Does CS I data show implemented Corrective Action has eliminated defects?
  72. Does CS II data show implemented Corrective Action has eliminated defects?



                                                                        Date for Re-Audit:
  NOTE: ALL QUESTIONS MUST BE ANSWERED "YES" FOR AN APPROVED AUDIT


  Comments/Concerns:




                                                     WORLDWIDE PURCHASING
  Auditor has a full understanding of all questions and audit requirements. Auditor has reviewed all required documentation according to the checklist
  guidelines.

           Auditor Signature:

                Date of Audit:




REV 3                                                                         3 of 18                                 67918a6f-bd63-4b3b-838e-a2e362ead5b7.xls
          A - G. Controlled Shipping

          QUESTION:                                                          Before you go,
          Has supplier established a separate and
1 & 32    independent containment activity area from regular           Identify GM contact approving.
          production area?
          Has supplier initiated the sort activities immediately
2 & 33                                                               Confirm all information is current.
          upon receipt of notification letter?

          Does supplier track breakpoints of nonconforming
                                                                     Get name, title, and phone
          material? (Has supplier purged pipeline of suspect
3 & 34                                                               number of supplier responsible
          material? i.e. at customer’s facility, in transit and at
                                                                     person.
          all storage locations. See GP-5 section 4.4.4)

          Are individual parts, material, and containers
4 & 35    marked, as agreed upon by customer, to identify                            N/A
          parts certified for production?


          Does supplier conduct a daily management meeting
          at the sort location to review the results and ensure
5 & 36                                                                               N/A
          that corrective actions taken are effective, or plan
          required changes? Are they documented?

          B - H. Controlled Shipping Guidelines
          QUESTION:                                                          Before you go,

          Is Containment area highly visible and properly
6 & 37                                                                               N/A
          lighted, equipped, etc.?
          Does the Containment area have a well defined
7 & 38    efficient material flow including clearly identified                       N/A
          areas for incoming and outgoing parts/material?
          Are repairs done separate from the containment
8 & 39                                                                               N/A
          area?

          Do Information boards (See 5.6) prominently display
9 & 40    nonconformances, measures, action plan and                                 N/A
          status, and results of the containment activity?

          Is problem solving formal, systemic, data driven and
10 & 41                                                                              N/A
          documented?
          Do Containment operators have available to them,
11 & 42   proper job instructions, quality standards, boundary                       N/A
          samples, tools, and equipment, etc.?

12 & 43   Are operators properly trained?                                            N/A
13 & 44   Is preventive maintenance employed if required?             N/A


          C - I Controlled Shipping Production Supplier Responsibilities

          QUESTION:                                              Before you go,

          Has supplier contracted a third party to perform the
  45                                                                  N/A
          inspection activity?



          Has the supplier provided people to perform the
  14                                                                  N/A
          inspection activity?



          Has supplier provided proper layout and instruction
15 & 46                                                               N/A
          documents to perform Controlled Shipping?


          Has supplier provided proper space and tooling to
16 & 47                                                               N/A
          perform inspection activities?
          Are the permanent corrective actions supported by
17 & 48                                                               N/A
          data?

          Does supplier communicate results of sort activities
18 & 49   to the customer in a format and with a frequency
          agreed to by the GM representative?



          Does supplier communicate the action plan,
          inspection status and results of problem resolution
          activities to the customer in a format and with a
19 & 50                                                               N/A
          frequency agreed to by the GM representative? The
          recommended format for the inspection status is the
          incident chart (See GM 1746-10, I-chart).


          D - J. Information Boards

          QUESTION:                                              Before you go,

          Are quality standards such as boundary samples,
20 & 51
          technical specifications, drawings, etc. displayed?

          Are nonconformance descriptions and resolution
21 & 52
          action plans displayed?
          Is Process Control Plan highlighted and displayed to
22 & 53   show where in the process the nonconformance
          occurred?
          Are Trend charts and SPC charts, if applicable (I-
23 & 54
          Chart) displayed?

          E - K. Tracking

          QUESTION:                                                         Before you go,

          Has Problem Resolution and containment progress
          been tracked using an agreed upon report format?
24 & 55
          Is information sent as directed to the GM
          representative?

          F. Quality Documents and Technical Information

          QUESTION:                                                         Before you go,

                                                                     Check PPAP level in GQTS,
          Are actual drawings available at production facility
  25                                                                 Check EDIS for Current Drawing
          the latest change level ?
                                                                     level



  26      Is a Process Flow Diagram available?                                     N/A



          Is there a PFMEA available, and is it acceptable
          (RPNs, numbers match Process Flow Diagram and              In GQTS, review PRR record and
  27
          include KPC/PQC/KCCs); any evidence that is a              catalog failure modes.
          living, updated document?


          Is there a Process Control Plan (PCP) available, and
          is it acceptable (numbers match PFMEA & Process
  28                                                           Check PPAP/EWO level in GQTS
          Flow, includes KPC/PQC/KCC's, GP-12 if
          applicable, and latest EWO included) ?


          Are proper operator instructions available at the
          operation where the problem occurred?
          - Sufficient to run the job properly, including handling
  29                                                                               N/A
          non-conforming parts ?
          - Are boundary samples available to operators and
          in use?


          Is operator certification available at the operation
  30                                                                               N/A
          where the problem occurred?
                                                           Interrogate GQTS and print PRR
     Is the non conformance listed in the PRR described
                                                              for problem resulting in CS.
31   and posted at the operation where the problem
                                                            Include PRR history for addition
     occurred?
                                                                     failure modes.


     L. Problem Reporting and Resolution

     QUESTION:                                                    Before you go,


     Is there evidence the supplier accesses the GQTS
56                                                                       N/A
     daily?



57   Did supplier respond to PR/R within one day?                        N/A


     Has the supplier issued a final response within 15
58                                                                       N/A
     calendar days?

     Does the final response include the following:
     Containment actions taken
     Methods used to evaluate the success of containment actions taken
     Root cause of the problem, including methods used to identify the root cause
     Corrective and preventive action implemented including the rationale used in evaluating
59   any alternatives
     Contact information of those assigned responsibility for actions taken
     How the success of proposed actions will be evaluated
     How the solution is to be institutionalized with respect to other similar processes and
     products (QS 9000 clause 4.14 2.2)
     Dates when revised process FMEA and PCP will be available for customer review

     If an adequate response could not be completed
60   within 15 calendar days, did the supplier notify GM                 N/A
     issuing location of the supplier?

     M. Exit Criteria for E CS II

     QUESTION:                                                    Before you go,
     Does exit criteria include clear and measurable
61                                                                       N/A
     elements?
     Are exit criteria specific and relevant to the
62                                                                       N/A
     nonconformance issues to be addressed?

     Does exit criteria remain constant for each
63                                                                       N/A
     nonconformance?
     Does documentation and data show the root cause
64                                                         N/A
     was identified and verified?

65   List date Root Cause was identified.


66   List date root Cause was verified.


67   List date corrective action was implemented.


     M. Exit Criteria for E CS II (Con't)

     Does documentation and data indicate that
68                                                         N/A
     corrective action was implemented and validated?

     Are copies of all documentation revised as required
69   (control plan, FMEAs, process flow diagram,           N/A
     operator’s instructions, etc.)?


     Does documentation indicate that every effort was
70                                                         N/A
     taken to implement and verify error proofing?


     Does CSI data implemented Corrective Action
71
     eliminated defects?
     Does CSII data implemented Corrective Action
72
     eliminated defects?
   Evidence/ Doc.
       Req'd

    Written approval

    Visually confirm
    agreement and
     conformance.

     Lot traceability
    identification for
      breakpoints.


 Visually confirm written
     agreement and
      conformance.


    Visually confirm
 agreement and written
     conformance.



   Evidence/ Doc.
       Req'd
    Visually confirm
    agreement and
     conformance.
    Visually confirm
    agreement and
     conformance.
Confirm written evidence
   and conformance.

    Visually confirm
    agreement and
     conformance.


    See PRR section

    Visually confirm
    agreement and
     conformance.

     Training charts
               Visually confirm
               agreement and
                conformance.
sibilities
              Evidence/ Doc.
                  Req'd
               Visually confirm
               agreement and
                conformance.



                    Visual




                    Visual



                    Visual

               See PRR or other
             documented evidence


               Written evidence




               Written evidence




              Evidence/ Doc.
                  Req'd
   Evidence/ Doc.
       Req'd




   Evidence/ Doc.
       Req'd

       Blue Print
     PPAP Package




 Process Flow Diagram




       PFMEA
 Change Log or Similar




 Process Control Plan
        PFMEA
GP-12 Plan (if applicable)




  Operator Instructions




 Training Matrix posted
5 Phase or other problem
    tracking worksheet
   posted at operations
where errors were made
  and PRR documented




   Evidence/ Doc.
       Req'd




 View GQTS Response



 View GQTS Response




 View GQTS Response




 View GQTS Response




   Evidence/ Doc.
       Req'd
 CS II at the production
   source document
 CS II at the production
  source document.

 CS II at the production
  source document.
Refer to CSI data

Refer to CSII data
                                    Questions to Ask.

Is there a sign stating 'CS II'. When did the GM contact approve? Does the current
area represent what was approved?

Are the dates on the notification letter and on the first day of inspection results the
same?


How were the breakpoints established? How was conformance verified once
established? How was the customer notified of the purge and what has been the
feedback from the customer?

How were the identifications established and are they unique to these parts? What is
the identification mark and where on the part is it located? How does the supplier
confirm that the system is working? Do the CS II instructions state who will remove
CS II labels from dunnage returning from customer?
What written evidence exists that the meetings are conducted daily, (e.g.. minutes)
Who is in charge of the meetings? Who is in attendance at the meetings? How often
does management review the information? How are the meetings conducted to insure
open communication and action planning? What arrangements have been made for
daily meetings when the CS II location is offsite from the manufacturing location?



                                    Questions to Ask.

Is lighting appropriate for the inspection being conducted? Inspection for paint defects
requires specific lighting conditions, inspection of small components may require
lighted magnifying glass, etc.
Areas should be marked, e.g.. 'IN' 'OUT', or 'TO BE INSPECTED' 'INSPECTED', etc.
How is non-conforming material handled? How has the supplier tested the material
flow to insure that material cannot get miss-located?
Is there written direction to inspectors that rework is not to be done in area? ( e.g..
Work instructions, quality alert, etc.)
Are physical samples on the board, minimum photos. If measurement(s) are required,
is there a GM approved document indicating the specification and tolerance on the
board? If a gage, caliper, etc., is used, is there evidence of calibration? Are the
inspection results displayed?
What problem solving process does the supplier use? Is there evidence that it is
included in the suppliers procedures? Is it used through out the plant? E.g.. 8D, 5
Phase, 5 Y, etc.

Are all the documents located at the CS II area?

What is the training process? How are the inspectors certified? Who does the
training? Is there a training matrix or equivalent document that is signed by the
operators indicating they have been trained?
How is the maintenance recorded? Who confirms that the maintenance has been
completed?




                                   Questions to Ask.



What is the name of the third party? Dates and Data



Is there sufficient time to complete inspection of all required elements and still make
scheduled shipments?



Do the inspection instructions include material flow into, through and out of the
containment area?


Is there adequate space in the CS I and CS II area or is it congested?

When were the corrective actions implemented? Does the data trend change after
this date?


Is this information detailed on the "CS I and CS II at the Production Source"
document? Does the data reflect the actual findings?




Who at the supplier sends the information to GM? Is the action plan and problem
solving results included in the information to GM as well as the inspection results? Is
the information sent to the GM SQE adequate? Call and ask.




                                   Questions to Ask.


Who is responsible for board maintenance? Is the board up-to-date?


Is it on the Info Board? Are there actual samples or accurate photogtaphs?
Is it on the Info Board?

Is it on the Info Board? How many days has the plant been in containment? Is it
posted?



                                   Questions to Ask.


Who is the GM representative? Who at the supplier is tracking the progress? How
often is the progress updated and where is it documented?




                                   Questions to Ask.


How does the supplier know the latest revision level of the drawing? Do they confirm
the level with GQTS, GM rep?




Do the "severity" "occurance" and "detection" numbers reflect the powertrain
requirements? Do the RPNs reflect the actual PRR incidence levels?




Assure the Process Control Plan includes a control for RECENT failure mode.
Compare EWO levels to assure



Verify checksheets (from data and shift or defect) are properly filled out.
Verify operations are being performed as indicated in work instructions (job time,
handling of non-conforming mat'l, etc)
Verify that vendor has actual boundary samples for review.
Verify that the operator instructions at time and date of error were not the cause of the
error.


Verify posting within department with operator names that are certified for the
operation. Was the operator on duty at the time and date of the error properly trained?
Is there at least a quality alert posted at the point of occurance?




                                    Questions to Ask.


Is checking of GQTS daily written into the supplier's operation procedures? Who does
it? Who is t he back when the primary person is not available? Is checking of the
GQTS included in their job description? Ask the person to log on.


Did the supplier up date GQTS to reflect response including the date?



Did the supplier up date GQTS to reflect response including the date?




Did the supplier up date GQTS to reflect response including the date?




Did the supplier up date GQTS to reflect response including the date?




                                    Questions to Ask.

Is exit criteria available? Is there evidence the customer agreed to the exit criteria?


Does the exit criteria correspond with non-conformance(s) described in PRR?


Does the exit criteria correspond with non-conformance(s) described in PRR?
Can the problem be turned on and off?


Needed for Exit criteria and validation to containment data


Needed for Exit criteria and validation to containment data


Needed for Exit criteria and validation to containment data




Is there sufficient data to statistically verify the corrective action?



Are all documents updated?


Was error proofing incorporated for every possible cause of the non-con-formance(s)?
Was each error proofing initiative validated? What evidence/documentation is
available to show error proofing was considered and evaluated for each non-
conformance?

If data does show elimination of defects, root cause may be identified. If data does not
trend downward investigation required.
If data does show elimination of defects, root cause may be identified. If data does not
trend downward investigation required.



                                                                          REV. 3 09/05/02

								
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