Product Satisfaction Survey Template by wpq15990


More Info
									    Rev. 10/10/06 L.A. Schank

     Survey Completion Instructions:
 1 This survey is proprietary to Tricon Ind. Inc. and is based upon compliance ISO9001:2000
 2 Suppliers are requested to complete the "Yellow" highlighted items on the "General Info" Sheet
   first. (Highlighting will be removed upon data entry.)
 3 Specific instructions are available on each page, as appropriate.
 4 Completed survey is to be e-mailed to: ""
 5 Suppliers not meeting the minimum required score are to complete the "Corr. Actions" sheet,
   defining the actions plans being implemented to attain the minimum standard.
 6 Suppliers are expected to update and return ongoing copies of the survey for follow up of the
   corrective actions. (On a reasonable basis.)
 7 Suppliers are asked to report any / all difficulties with this electronic survey form to
 8 Complete the "Assessment Sheet" by entering a score between 0 - 5 for each item.
 9 Suppliers completing the "Small Supplier Eligible" Survey are requested to not enter any values in
   the item score labeled as "N/A". The survey provided has already has this selection made for
10 Suppliers score values can be viewed on the "Score Sheet".
11 The bottom of the Score Sheet reflects suppliers systems compliance and any need(s) for
12 Successful score attainment will be reflected in suppliers being noted as approved for quoting /
   P.O. placement within the Tricon Purchasing system.
13 Survey are valid unless rescinded by Supplier changes and /or supplier performance

    Suppliers are reminded that it is their responsibility to regularly visit the WEB site at
    "", "EMD", "Supplier Info", and verify that they have downloaded the latest
    Tricon requirements / documents.                                                          A
    "Last Change Date" is provided for your convenience.

                                              Tricon Proprietary
0d1a90a7-0a22-448f-b570-f8436ed89683.xls    Form 4.6-6 rev 3/11/04
                          Tricon Industries Inc.                                                             Supplier Survey
                         General Information
                                                                                                                        (Survey Date)
              Supplier Name:
             City, State, ZIP:
               Survey Date:
            Quality Manager:
            Qual. Mgr. e-mail:
         Manufacturing Manager:
            Mfg. Mgr. e-mail:
                 Phone #:
                  Fax #:
                DUNS # :
         Number of Employees:
        No. of working days/week:
            Mfg. Area. Sq. ft.:
               No. of Shifts:
          % of capacity utilized:
              Hours / Shifts:
         No. of years in business:
 Do you have "Shut-Down" Period(s):

      Principle Business Function:

      Laboratory Accreditation:                  Attach current Certification & Scope, as applicable.

           A2LA                   GM GP-10               ISO/ IEC 17025            ISO Guide 25

          NVLAP                NONE              If "None is Checked - Does Supplier use an outside accredited lab?

      Principle Products:                                                                   Metal Products:
                                             Plastic Products / Resins
          Metals (coil, strip, etc.)         (Colorants, etc.)                                    Screw Machine              Die Castings

          Rubber Products                    Nonmetallic Products                                                            Fasteners
          Electrical Components              Electronic Components
                                                                                                  Cold Headed                Forging
          Plated coatings                    Metal Stampings
                                                                                                  Bearings                   Springs
          Molded Parts                       Packaging

          Stampings                          Precious Metals

                    Assemblies:        Define:


      What type of CAD system do you use?

            Catia          Autocad               Unigraphics       Pro-E            Other     Define:

      Specify Electronic Data interchange Capabilities:

      Do any of your customers account for greater than 20% of your sales?

      What % of your sales are with Tricon Industries?                                      %

       ISO 9000:2000 Registered?                                          If YES, please attach current certification - Do Not Complete Assessment

       TS 16949:2002 Registered?                                          If YES, please attach current certification - Do Not Complete Assessment

    Form Completed by (Name/Title):

0d1a90a7-0a22-448f-b570-f8436ed89683.xls                                               Tricon Proprietary
                                                                                     Form 4.6-6 rev 4-14-06                                          Page 2 of 17
              Tricon Ind. Inc.                              Supplier Survey
                                                                                Tricon Assessor:
                                                                                                       (Note if Self Assessment)

                                  Requirement                                 Comment                  Look for:            Score
       4.0    Quality Management System
       4.1    General Requirements
              Does the organization:
              a) identify the processes needed for the quality
              management system and their application
              throughout the organization?
              b) determine the sequence and interaction of these
              processes?                                                                            Tier 1 Quality
              c) determine criteria & methods needed to ensure                                         manual.
              that both the operation & control of these processes                                  Management
              are effective                                                                        Review Records
              d) ensure the availability of resources & information
              necessary to support the operation & monitoring of
              these processes
              e) monitor, measure & analyze these processes
              f) implement actions necessary to achieve planned
              results & continual improvement of these processes
       4.2    Documentation Requirements                                                                                 2566
              Does the quality management system
              documentation include?
              a) quality policy and quality objectives?
              b) quality manual?
              c) documented procedures required by the Int'l                                        Quality Policy,
              standard?                                                                            Quality Objectives
              d) documents needed by the organization to ensure
              the effective planning, operation and control of its
              e) records required by the Int'l standard?
              Has the organization established and is maintaining
              a quality manual that includes:
              a) the scope of the quality management system
              including details of & justification for any exclusions
              (see1.2)                                                                              Quality Manual             0
              b) the documented procedures established for the
              QMS or reference them &
              c ) a description of the interaction between the
              processes of the QMS

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                                                              Form 4.6-6 rev 3/11/04                                               Page 3 of 17
      4.2.3   Control of documents
              Are documents required by the quality system
              Does a procedure exist that defines the controls
              a) to approve documents for adequacy prior to issue
              b) to review & update as necessary and re-approve                           Documented
              documents                                                               Procedure; master
              c) to ensure that changes & the current revision                           lists, approval
              status of documents are identified                                      authority & records,
              d) to ensure that relevant versions of applicable                       storage & disposal,
              documents are available at points of use                                 review & approval
              e) to ensure that documents remain legible & readily                          of revised
              identifiable                                                                 documents
              f) to ensure that documents of external origin are
              identified & their distribution controlled &
              g) to prevent the unintended use of obsolete
              documents & to apply suitable identification to them
              if they are retained for any purpose
      4.2.4   Control of records
              Are records established and maintained to provide
              evidence of conformity to requirements, and of the
              effective operation of the QMS? Records shall
              remain legible, readily identifiable and retrievable. A                    Documented
              documented procedure shall be established to                                Procedure
              define the controls needed for the identification,
              storage, protection, retrieval, retention time and
              disposition of records.
       5.0    Management Responsibility
       5.1    Management commitment
              Does top management provide evidence of it's
              commitment to the development & implementation                             Cust. Specs;
              of the quality management system & continually                            Quality manual,
              improving its effectiveness by:                                           Business Plan
              a) communicating to the organization the                                   Management
              importance of meeting customer as well as statutory                      Review Meeting
              & regulatory requirements?                                                Minutes, Action
              b) establishing the quality policy?                                      Plans with Follow
              c) ensuring that quality objectives are established?                            Up
              d) conducting management reviews?
              e) ensuring the availability of resources?
       5.2    Customer Focus
              Does top management ensure that customer
              requirements are determined and are met with the
              aim of enhancing customer satisfaction (see 7.2.1 &                                            0
              8.2.1).                                                                 Reports, Awards &
       5.3    Quality Policy

              Does top management ensure that the quality policy:
                                                                                          Quality Policy
              a) is appropriate to the purpose of the organization?                      statement with
              b) includes a commitment to comply with the                             objective approved
              requirements and continually improve the                                by CEO; objective
              effectiveness of the QMS?                                                liked to business
              c) provides a framework for establishing & reviewing                       plan, interview
              quality objectives?                                                      personnel, review
                                                                                             of QMS
              d) is communicated & understood within the org.? &
              e) is reviewed for continuing suitability?

0d1a90a7-0a22-448f-b570-f8436ed89683.xls                       Tricon Proprietary
                                                             Form 4.6-6 rev 3/11/04                              Page 4 of 17
       5.4    Planning
      5.4.1   Quality Objectives

              Does top management ensure that quality objectives
                                                                                       Business Plan,
              including those needed to meet requirements for
                                                                                       Quality Manual,
              product (see7.1) are established at relevant
                                                                                         correlation        0
              functions & levels within the org? The quality
                                                                                      between above &
              objectives shall be measurable & consistent with the
                                                                                      Manage. Reports
              quality policy.

      5.4.2   Quality Management System Planning
              Does top management ensure that:
              a) the planning of the QMS is carried out in order to
              meet the requirements given in 4.1 as well as the                         Internal Audit
              quality objectives? &                                                    Procedure, audit     0
              b) the integrity of the QMS is maintained when
              changes to the QMS are planned and implemented?
       5.5    Responsibility, Authority & Communication
      5.5.1   Responsibility & Authority
                                                                                       Job Description.,
              Does top management ensure that responsibilities &                                            0
              authorities are defined & communicated within the                          Procedures
      5.5.2   Management Representative
              Did top management appoint a member of
              management who, irrespective of other
              responsibilities shall have responsibility & authority                  Org Chart; Who is
              that includes:                                                             the person/
              a) ensuring that processes needed for the QMS are                          Evidence of
              established, implemented & maintained?                                   Activities Done,
              b) reporting to top management on the performance                         Management
              of the QMS & any need for improvement? &                                 Review minutes
              c) ensuring the promotion of awareness of customer
              requirements throughout the org?
      5.5.3   Internal Communication

                                                                                      Cust. Satisfaction.
              Does top management ensure that appropriated
                                                                                      Common., Memos,
              communication processes are established within the
                                                                                       Bulletin Boards,     0
              org & that communication takes place regarding the
                                                                                      State of Business
              effectiveness of the QMS?

       5.6    Management Review
      5.6.1   General

              Does top management review the organization QMS
              at planned intervals to ensure it's continuing
                                                                                       Reviews; action
              suitability, adequacy & effectiveness? This review
                                                                                      plans w/follow up,    0
              shall include assessing opportunities for
              improvement & the need for changes to the QMS
                                                                                      Improve. Projects
              including the quality policy & quality objectives

      5.6.2   Review Input
              Does the input to management review include
              information on:
              a) results of audits?
              b) customer feedback?
                                                                                       reports for MR.,
              c) process performance & product conformity?
                                                                                         MR. meeting        0
              d) status of preventive & corrective actions?
                                                                                      agenda & minutes,
              e) follow-up actions from previous management
                                                                                        Action Plans &
                                                                                          Follow up
              f) changes that could affect the QMS? &
              g) recommendations for improvement?

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                                                             Form 4.6-6 rev 3/11/04                             Page 5 of 17
      5.6.3   Review Output
              Does the output from the management review
              include any decisions & actions related to:                               Management
              a) improvement of the effectiveness of the QMS and                     Reviews; examples
              it's processes?                                                           of product &      0
              b) improvement of product related to customer                              continuous
              requirements? &                                                          improvements
              c) resource needs?
       6.0    Resource Management
       6.1    Provision of Resources
              Does the org determine & provide the resources
                                                                                     Documentation job
              a) to implement & maintain the QMS & continually
                                                                                        descriptions.,    0
              improve its effectiveness? &
                                                                                      training records,
              b) to enhance customer satisfaction by meeting
                                                                                        quality plans
              customer requirements?
       6.2    Human Resources
      6.2.1   General
              Are the personnel performing work affecting product
                                                                                         Training &
              quality competent on the basis of appropriate                                               0
                                                                                     Personnel Records
              education, training skills & experience?
      6.2.2   Competence Awareness & Training
              Does the organization:
              a) determine the necessary competence for
              personnel performing work affecting product quality?
              b) provide training or take other actions to satisfy
                                                                                     Job Descriptions,
              these needs?
                                                                                        Training &
              c) evaluate the effectiveness of the actions taken?
                                                                                        Personnel         0
              d) ensure that its personnel are aware of the
                                                                                     Records, Training
              relevance & importance of their activities & how they
              contribute to the achievement of the quality
              objectives? &
              e) maintain appropriate records of education, training
              skills & experience? (see 4.2.4)
       6.3    Infrastructure
              Does the org determine, provide & maintain the
              infrastructure needed to achieve conformity to
              product requirements? Infrastructure includes as
                                                                                        Plant Tour-
                                                                                         buildings,       0
              a) buildings, workspace & associated utilities
              b) process equipment (both hardware & software) &
              c) supporting services (such as transport or
       6.4    Work Environment

                                                                                     Quality Manual to
              Does the org determine & manage the work                                  ISO spec
              environment needed to achieve conformity to
              product requirements?

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                                                            Form 4.6-6 rev 3/11/04                            Page 6 of 17
       7.0    Product Realization
       7.1    Planning of Product Realization
              Does the org plan & develop the processes needed
              for product realization? Planning of product
              realization shall be consistent with the requirements
              of the other processes of the QMS (see 4.1) In
              planning product realization the org shall determine
                                                                                         Quality Plan,
              the following as appropriate:
                                                                                       Design Record,
                                                                                       Control Plan, Op
              a) quality objectives & requirements for the product?
              b) the need to establish processes, documents &
                                                                                      Product Approvals.
              provide resources specific to the product?                                                      0
                                                                                       Records, Design
              c) required verification, validation, monitoring,
                                                                                       Validation, Gantt
              inspection & test activities specific to the product &
                                                                                        charts, Action
              the criteria for product acceptance?
                                                                                        Plans Meeting
              d) records needed to provide evidence that the
              realization processes & resulting product meet
              requirements? (see 4.2.4)

              The output of this planning shall be in a form suitable
              for the organizations methods of operations
       7.2    Customer-Related Processes
              Determination of Requirements Related to the
              Does the org determine:
              a) requirements specified by the customer including
              the requirements for delivery & post-delivery
              activities?                                                               Quality Plan,
              b) requirements not stated by the customer but                          Capacity Planning,
              necessary for specified or intended use, where                          Laws Regulations,       0
              known?                                                                    Mat'l Handling
              c) statutory & regulatory requirements related to the                      procedures
              product? &
              d) any additional requirements determined by the

              Review of Requirements Related to the Product
              Does the org review the requirements related to the
              product? This review shall be conducted prior to the
              organizations commitment to supply a product to the                     Contract Review;
              customer & shall ensure that:                                           prod. spec review,
              a) product requirements are defined?                                        resolution of
              b) contract or order requirements differing from those                      differences,
              previously expressed are resolved? &                                      feasibility & risk    0
              c) the org has the ability to meet the defined                             analysis, Cust.
              requirements?                                                                 Terms &
                                                                                       conditions, quote
              Records of the results of the review & actions arising
              from the review shall be maintained (see 4.2.4)
      7.2.3   Customer Communication
              Does the org determine & implement effective
              arrangements for communicating with customers in
              relation to:                                                              Customer Base;
              a) product information?                                                  common language
              b) enquiry's, contracts or order handling including                       at interface level,   0
              amendments? &                                                                 elect. Data
                                                                                      transfer, e-mail, fax
              c) customer feedback, including customer

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                                                             Form 4.6-6 rev 3/11/04                               Page 7 of 17
       7.3    Design & Development
      7.3.1   Design & Development Planning
              The org shall plan & control the design &
              development of product. During the design &
              development planning the org shall determine:
              a) the design & development stages
              b) the review, verification & validation that are                         Procedure; Org
              appropriate to each design & development stage &                             Chart-job
              c) the responsibilities & authorities for design &                      description, Design
              development                                                                 & Develop.
              The org shall manage the interfaces between                             Template, Product
              different groups involved in design & development to                      Design Review
              ensure communication & clear assignment of
              responsibility. Planning output shall be updated, as
              appropriated as the design & development
      7.3.2   Design & Development Inputs
              Inputs relating to product requirements shall be
              determined & records maintained (see 4.2.4). These
              inputs shall include:
              a) functional & performance requirements
                                                                                      Customer Specs,
              b) applicable statutory & regulatory requirements
                                                                                        Statutory &
              c) where applicable, information derived from
                                                                                        Regulatory          0
              previous similar designs &
              d) other requirements essential for design &
                                                                                      Feasibility Study
              These inputs shall be reviewed for accuracy.
              Requirements shall be complete, unambiguous &
              not in conflict with each other.
      7.3.3   Design & Development Outputs
              The outputs of design & development shall be
              provided in a form that enables verification against
              the design & development input & shall be approved
              prior to release. Design & development outputs
              shall:                                                                   Design Testing,
              a) meet the input requirements for design &                             Drawings, APQP
              development                                                             Documents, Error-     0
              b) provide appropriate information for purchasing,                       Proofing, Design
              production & for service provision                                            FMEA
              c) contain or reference product acceptance criteria &
              d) specify the characteristics of the product that are
              essential for its safe & proper use
      7.3.4   Design & Development Review
              At suitable stages, systematic reviews of design &
              development shall be performed in accordance with
              planned arrangements (see 7.3.1)
              a) to evaluate the ability of the results of design &
              development to meet requirements &
                                                                                       Design Reviews,
              b) to identify any problems & propose necessary
                                                                                      Production Design     0
                                                                                       Status Reviews
              Participants in such reviews shall include
              representatives of functions concerned with the
              design & development stages being reviewed.
              Records of the results of the reviews and any
              necessary actions shall be maintained (see 4.2.4)

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                                                             Form 4.6-6 rev 3/11/04                             Page 8 of 17
      7.3.5   Design & Development Verification
              Are the organizations Verification performed in
              accordance with planned arrangements (see 7.3.1)
              to ensure that the design & development outputs
                                                                                      Design Verification
              have met the design & development input                                                       0
              requirements? Records of the results of the
              verification & any necessary actions shall be
      7.3.6   Design & Development Validation

              Are the organization's Design & development
              changes performed in accordance with planned
              arrangements (see 7.3.1) to ensure that the resulting
              product is capable of meeting the requirements for                      Design Verification
              the specified application or intended use where                         Reports, Corrective   0
              known? Wherever practicable, validation shall be                             Actions
              completed prior to the delivery or implementation of
              the product. Records of the results of validation &
              any necessary actions shall be maintained.

      7.3.7   Control of Design & Development Changes

              Are the organizations Design & development
              changes identified & records maintained? The
              changes shall be reviewed verified & validated as
              appropriated & approved before implementation.                            Test Validation
              The review of changes shall include evaluation of                       Reports, Corrective   0
              the effect of the changes on constituent parts &                             Actions
              product already delivered. Records of the results of
              the review of changes & any necessary actions shall
              be maintained.

       7.4    Purchasing
      7.4.1   Purchasing Process
              Does the org ensure that purchased product
              conforms to specified purchase requirements? The
              type & extent of control applied to the supplier & the
              purchased product shall be dependent upon the                              Procedure,
              effect of the purchased product on subsequent                           Approved Supplier
              product realization or the final product.                                 List, Supplier
              The org shall evaluate & select suppliers based on                         Certification      0
              their ability to supply product in accordance with the                  Tracking, Supplier
              organization requirements. Criteria for selection,                        Performance
              evaluation & re-evaluation shall be established.                        Tracking/Reports
              Records of the results of evaluations & any
              necessary actions arising from the evaluation shall
              be maintained.
      7.4.2   Purchasing Information
              Does the organizations Purchasing information
              describe the product to be purchased including
              where appropriate:
                                                                                       purchase orders,
              a) requirements for approval of product, procedures,
                                                                                      terms & conditions,
              processes & equipment?
                                                                                             quality        0
              b) requirements for qualification of personnel ?
                                                                                        requirements &
              c) QMS requirements?
                                                                                         goals, contract
              The org shall ensure the adequacy of specified
              purchase requirements prior to their communication
              to the supplier

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                                                             Form 4.6-6 rev 3/11/04                             Page 9 of 17
      7.4.3   Verification of Purchased Product
              Does the organization establish & implement the
              inspection or other activities necessary for ensuring                        Procedure,
              that purchased product meets specified purchase                               receiving
              requirements?                                                           inspection, source
              Where the org or its customer intends to perform                                              0
              verification at the supplier's premises, the org shall                   process audit at
              state the intended verification arrangements &                             supplier's site
              method of product release in the purchasing
       7.5    Production and service provision
      7.5.1   Control of production and service provision
              Does the organization plan and carry out production
              and service provision under controlled conditions?
              Controlled conditions shall include, as applicable
              a) the availability of information that describes the                     Procedures,
              characteristics of the product,                                            Drawings,
              b) the availability of work instructions, as necessary,
                                                                                      Work Instructions,    0
              c) the use of suitable equipment,
                                                                                        Gage & Test
              d) the availability and use of monitoring and
                                                                                       Equip. Control
              measurement devices,
              e) the implementation of monitoring and
              measurement, and
              f) the implementation of release, delivery and post-
              delivery activities.
              Validation of processes for production and
              service provision
              Does the organization validate all processes for
              production and service provisions where the
              resulting output cannot be verified by subsequent
              monitoring or measurement? This includes and
              processes where deficiencies become apparent only
              after the product is in use or the service has been
              Does validation demonstrate the ability of these
              processes to achieve planned results?
              Has the organization established arrangements for
              these processes including, as applicable:
              a) defined criteria for review and approval of the
              b) approval of equipment and qualification of
              c) use of specific methods and procedures?
              d) requirements for records? (see 4.2.4), and
              3) revalidation?
      7.5.3   Identification and traceability
              Where appropriate, has the organization identified
              the product by suitable means throughout the
              product realization?
              Has the organization identified the product status
                                                                                        Procedure, Lot
              with respect to monitoring and measurement                                                    0
                                                                                      traceability system
              Where traceability is a requirements, does the
              organization control and record the unique
              identification of product (see 4.2.4)?

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                                                             Form 4.6-6 rev 3/11/04                         Page 10 of 17
      7.5.4   Customer Property

              Does the organization exercise care with customer
              property while it is under the organization's control or
              being used by the organization? Does the                                 Storage Procedure'
              organization identify, verify, protect and safeguard                         Receiving
              customer property provided for use or incorporation                      Inspection, Material
              into the product? If any customer property is lost,                            control
              damaged or otherwise found to be unsuitable for
              use, is this reported to the customer and records
              maintained? (see 4.2.4)
      7.5.5   Preservation of product
              Does the organization preserve the conformity of
              product during internal processing and delivery to                          Procedure:
              the intended destination? Does the preservation                              PFMEA,
              include identification, handling, packaging, storage                     Packaging reviews,
              and protection? Does preservation also apply to the                          plant tour
              constituent parts of a product?
       7.6    Control of monitoring and measuring devices
              Does the organization determine the monitoring and
              measurement to be undertaken and the monitoring
              and measuring device needed to provide evidence
              of conformity of product to determined
              requirements? See 7.2.1)
              Has the organization established processes to
              ensure that monitoring and measurement can be
              carried out and are carried out in a manner that is
              consistent with the monitoring and measurement
              Where necessary to insure valid results, does the
              measuring equipment:

              a) be calibrated or verified at specified intervals, or
              prior to use, against measurement standards
              traceable to international or national measurement                           Procedure,
              standards, where no such standards exist, the basis                       Documentation,
              used for calibration or verification is recorded?                            Calibration
              b) be adjusted or re-adjusted as necessary?                                Instructions &       0
              c) be identified to enable the calibration status to be                       Records,
              determined?                                                              Calibration Control
              d) be safeguarded from adjustments that would                                  System
              invalidate the measurement result?
              e) be protected from damage and deterioration
              during handling, maintenance and storage?
              In addition, does the organization assess and record
              the validity of the previous measuring results when
              the equipment is found not to conform to
              requirements? Does the organization take
              appropriate action on the equipment and any
              product affected? Are records of the results of
              calibration and verification maintained? (see 4.2.4)
              When used in the monitoring and measurement of
              specified requirements, the ability of computer
              software to satisfy the intended application is
              confirmed? Is this undertaken prior to initial use and
              reconfirmed as necessary?

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                                                              Form 4.6-6 rev 3/11/04                          Page 11 of 17
        8     Measurement, Analysis & Improvement
       8.1    General
              Does the org plan & implement the monitoring,
              measurement, analysis & improvement processes
                                                                                      through set-up ,in-
              a) to demonstrate conformity of the product?
                                                                                         process & final
              b) to ensure conformity of the QMS?                                                           0
                                                                                           audits, SPC;
              c) to continually improve the effectiveness of the
                                                                                       Internal Audits by
                                                                                         trained internal
              This shall include determination of applicable
              methods, including statistical techniques & the extent
              of their use
       8.2    Monitoring & Measurement
      8.2.1   Customer Satisfaction

              As one of the measurements of the performance of
              the QMS, doe the org monitor information relating to
                                                                                         Performance        0
              customer perception as to whether the org has met
              customer requirements? The methods for obtaining
              & using this information shall be determined.
      8.2.2   Internal Audit
              Does the org conduct internal audits at planned
              intervals to determine whether the QMS:

              a) conforms to the planned arrangements (see 7.1)
              to the requirements of this International Standard &
              to the QMS requirements established by the org &
              b) is effectively implemented & maintained
              An audit program shall be planned taking into
              consideration the status & importance of the
              processes and areas to be audited as well as the
              results of previous audits. The audit criteria, scope,
              frequency & methods shall be defined. Selection of                      Procedure; audits
              auditors & conduct of audits shall ensure objectivity                   & their corrective    0
              & impartiality of the audit process. Auditors shall not                      actions
              audit their own work.
              The responsibilities & requirements for planning &
              conducting audits & for reporting results &
              maintaining records shall be defined in a
              documented procedure.
              The management responsible for the area being
              audited shall ensure that actions are taken without
              undue delay to eliminate detected nonconformity's &
              their causes. Follow-up activities shall include the
              verification of the actions taken & the reporting of
              verification results.
      8.2.3   Monitoring & Measurement of Processes

              Does the org apply suitable methods for monitoring                          Do records of
              & where applicable measurement of the QMS                                review of the QMS
              processes? These methods shall demonstrate the                             exist annotating
              ability of the processes to achieve planned results.                    the systems review    0
              When planned results are not achieved, correction &                        and corrective
              corrective action shall be taken as appropriated to                          actions, as
              ensure conformity of the product.                                           appropriate?

0d1a90a7-0a22-448f-b570-f8436ed89683.xls                       Tricon Proprietary
                                                             Form 4.6-6 rev 3/11/04                         Page 12 of 17
      8.2.4   Monitoring &monitor & measureProduct
              Does the org Measurement of the characteristics
              of the product to verify that product requirements
              have been met? This shall be carried out at
              appropriated stages of the product realization
              process in accordance with the planned
              arrangements (see 7.1)
              Evidence of conformity with the acceptance criteria                    Control Plans, In-
              shall be maintained. Records shall indicate the                          Process Final       0
              person (s) authorizing release of product.                             inspections, SPC
              Product release & service delivery shall not proceed
              until the planned arrangements (see 7.1) have been
              satisfactorily completed, unless otherwise approved
              by relevant authority & where applicable by the
       8.3    Control of Nonconforming Product
              Does the org ensure that product which does not
              conform to product requirements is identified &
              controlled to prevent its unintended use or delivery?
              The controls & related responsibilities & authorities
              for dealing with nonconforming product shall be
              defined in a documented procedure
              The org shall deal with nonconforming product by
              one or more of the following ways:
              a) by taking action to eliminate the detected
              nonconformity                                                              Procedure;
              b) by authorizing its use, release or acceptance                       corrective actions,
              under concession by a relevant authority & where                            customer
              applicable by the customer                                             notifications, MRB
              c) by taking action to preclude its original intended                   documentation,
              use or application                                                      sorting records
              Records of the nature of nonconformity's & any
              subsequent actions taken, including concessions
              obtained shall be maintained
              When nonconforming product is corrected it shall be
              subject to re-verification to demonstrate conformity
              to the requirements.
              When nonconforming is detected after delivery or
              use has started the org shall take action appropriate
              to the effects or potential effects of the
       8.4    nonconformity.
              Analysis of Data
              Does the org determine, collect & analyze
              appropriate data to demonstrate the suitability &
              effectiveness of the QMS & to evaluate where
              continual improvement of the effectiveness of the
              QMS can be made? This shall include data
              generated as a result of monitoring & measurement
              & from other relevant sources.                                         Customer Report
              The analysis of data shall provide information                          Cards, Supplier      0
              relating to                                                                Ratings
              a) customer satisfaction (see 8.2.1)
              b) conformity to product requirements (see 7.2.1)

              c) characteristics & trends of processes & products
              including opportunities for preventive action &
              d) suppliers

0d1a90a7-0a22-448f-b570-f8436ed89683.xls                      Tricon Proprietary
                                                            Form 4.6-6 rev 3/11/04                         Page 13 of 17
       8.5    Improvement
      8.5.1   Continual Improvement
              Does the org continually improve the effectiveness of
              the QMS through the use of the quality policy, quality                   Procedure, Org
              objectives, audit results, analysis of data, corrective                  Chart- manage
              & preventive actions & management review.                                  review, data
                                                                                        analysis, audit

      8.5.2   Corrective Action
              The org shall take action to eliminate the cause of
              nonconformity's in order to prevent recurrence. Are
              corrective actions appropriate to the effects of the
              nonconformity's encountered?
              A documented procedure shall be established to
              define requirements for                                                    Procedure,
              a) reviewing nonconformity's (including customer                        corrective actions
              complaints)                                                                                  0
                                                                                         (external &
              b) determining the causes of nonconformity's                                 internal)
              c) evaluating the need for action to ensure that
              nonconformity's do not recur
              d) determining & implementing action needed
              e) records of the results taken (see 4.2.4) &
              f) reviewing corrective action taken

      8.5.3   Preventive Action

              Does the org determine action to eliminate the
              causes of potential nonconformity's in order to
              prevent their occurrence? Are preventive actions
              appropriate to the effects of the potential problems?
              A documented procedure shall be established to
              define requirements for
              a) determining potential nonconformity's & their                                             0
                                                                                      PFMEA's, control
              b) evaluating the need for action to prevent
              occurrence of nonconformity's
              c) determining & implementing action needed
              d) records of results of action taken
              e) reviewing preventive action taken

0d1a90a7-0a22-448f-b570-f8436ed89683.xls                       Tricon Proprietary
                                                             Form 4.6-6 rev 3/11/04                        Page 14 of 17
          Tricon Industries Inc.                       Supplier Survey
          Scoring                                                 Tricon Authorized -
                                                                  Small Supplier Eligible

            4.0   Quality Management System
           ERR                                                               0

            4.2   Documentation Requirements
           4.2.1 4.2.2 4.2.3 4.2.4
           ERR ERR ERR ERR                                                   0

            5.0    Management Responsibility
            5.1    5.2  5.3
           ERR    ERR ERR                                                    0

            5.4   Planning
           5.4.1 5.4.2
           ERR ERR                                                           0

            5.5   Responsibility, Authority & Communication
           5.5.1 5.5.2 5.5.3
           ERR ERR ERR                                                       0

            5.6   Management Review
           5.6.1 5.6.2 5.6.3
           ERR ERR ERR                                                       0

            6.0   Resource management
           ERR                                                               0

            6.2   Human Resources
           6.2.1 6.2.2 6.3  6.4
           ERR ERR ERR ERR                                                   0

            7.0   Product Realization
           ERR                                                               0

            7.2    Customer Related Processes
           7.2.1 7.2.2 7.2.3
           ERR ERR ERR                                                       0

                                           Tricon Proprietary
0d1a90a7-0a22-448f-b570-f8436ed89683.xls Form 4.6-6 rev 3/11/04                             Page 15 of 17
            7.3 Design & Development
           7.3.1 7.3.2 7.3.3 7.3.4 7.3.5 7.3.6 7.3.7
           ERR ERR ERR ERR ERR ERR ERR                                              0

            7.4    Purchasing
           7.4.1 7.4.2 7.4.3
           ERR ERR ERR                                                              0

            7.5   Production and service provision
           7.5.1 7.5.2 7.5.3 7.5.4 7.5.5 7.6
           ERR ERR ERR ERR ERR ERR                                                  0

            8.0   Measurement, Analysis & Improvement
           ERR                                                                      0

            8.2   Monitoring & Measurement
           8.2.1 8.2.2 8.2.3 8.2.4 8.3   8.4
           ERR ERR ERR ERR ERR ERR                                                  0

            8.5   Improvement
           8.5.1 8.5.2 8.5.3
           ERR ERR ERR                                                              0

            4.0   Quality Management System                       Corrective Actions Required
            4.2   Documentation Requirements                      Corrective Actions Required
            5.0   Management Responsibility                       Corrective Actions Required
            5.4   Planning                                        Corrective Actions Required
            5.6   Management Review                               Corrective Actions Required
            6.0   Resource management                             Corrective Actions Required
            6.2   Human Resources                                 Corrective Actions Required
            7.0   Product Realization                             Corrective Actions Required
            7.2   Customer Related Processes                      Corrective Actions Required
            7.3   Design & Development                            Corrective Actions Required
            7.4   Purchasing                                      Corrective Actions Required
            7.5   Production and service provision                Corrective Actions Required
            8.0   Measurement, Analysis & Improvement             Corrective Actions Required
            8.2   Monitoring & Measurement                        Corrective Actions Required
            8.5   Improvement                                     Corrective Actions Required

          System is Unapproved - Corrective Actions Required

          See Section(s) above for area(s) requiring attention and re-evaluation.

                                           Tricon Proprietary
0d1a90a7-0a22-448f-b570-f8436ed89683.xls Form 4.6-6 rev 3/11/04                            Page 16 of 17
           Tricon Industries Inc. Supplier Survey
           Corrective Action Details

Contact Name:                                              Survey Date:

  Requirement                                  Corrective Action Taken /
                               Concern                                     ECD:       Date Complete
   Number:                                              Planned

    Updated by:                                          Date of update:

0d1a90a7-0a22-448f-b570-f8436ed89683.xls     Tricon Proprietary
                                           Form 4.6-6 rev 3/11/04                 7/11/2011 Page 17 of 17

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