JDS-G223 Supplier Quality System Questionnaire

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					                       JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                                 Audit Date(s):

Supplier Number:                                                                  Supplier Representative(s):
Supplier Address:


                                                                                    Supplier Phone Number:
Supplier E-Mail:                                                                       Supplier Fax Number:
JD Audit Lead:                                                                         Audit Team Members:
Principle Products (John Deere Commodity Codes):




                                              Date of Last John Deere Assessment or Survey (if any):
Process(es) / Product(s) Audited:



Note: Secure copy of certification(s) if not provided in advance
Quality System Certification, Registrar, and Date of Certificate Expiration (ISO, QS, ISO/TS, etc.):


Environmental System Certification, Registrar & Date of Expiration (ISO 14001):


Health & Safety System Certification, Registrar & Date of Expiration (ISO 18001):



Supplier Contact(s):                                                     Position:                              Phone:




                                                                  GENERAL SUPPLIER RATING CRITERIA
           Rating             Score **    Ability to meet requirement in question:
     Does Not Comply             0        Requirement is not met. There is no evidence of implementation or documentation (major non-conformance).
                                 1        Requirement is partially met but there are major inconsistencies in implementation or documentation (major
     Does Not Comply
                                          nonconformance).
                                 2        Requirement is met but there are minor inconsistencies in implementation or documentation, or is in the early
          Complies
                                          phases and only preliminary evidence of implementation effectiveness exists (minor nonconformance).
          Complies               3        Requirement is met and effectively implemented and fully documented.
                                 4        Requirement is "world class" in terms of scope and implementation or it shows major signs of significant
          Complies
                                          improvement over the last 12 months which is meaningful to the Customer.

** A supplier must have a score of 2 or greater on each of the questions to be acceptable.

Score each question using a 0 to 4 point scale, where 4 is the best possible score.
I.     Quality
      #                                       Question                                                          Notes                             Score
             Supplier has procedures in place designed to ensure that the
      Q1     requirements set out in John Deere’s Supplier Code of Conduct are met?
             Y/N

             There are no products containing substances in excess of the amounts
      Q2     set forth on John Deere’s Restricted Materials List and/or other
             substances restricted by applicable laws? Y/N

Audit Status:
Answers for the above two questios, Q1 and Q2, must be yes for the audit to continue. Supplier is responsible
to insure all tiers of the supply base comply to these requirements.                                                              TERMINATE AUDIT

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                    JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                            Audit Date(s):
  A.      Management Review
   #                                       Question                                                        Notes                Score
   1      Does the supplier's Management, with executive responsibility, review all
          quality system elements at defined intervals to ensure its continuing
          suitability and effectiveness?

   2      Are the following metrics posted and are improvement goals established?

             Internal quality reject Part Per Million (PPM)
             External quality reject PPM
             On-time delivery

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                         NOT SCORED

  B.      Quality Planning                                                                                                   Score
   #                                       Question                                                        Notes                Score
   3      Is a structured process used to identify Key Characteristics and control
          methods? Please list methods and tools.

   4      Are mistake proofing techniques, including facilities, equipment, tooling,
          and problem resolution, used where appropriate in particular on Key
          Control Characteristics?

   5      Compare control plan items against part print and determine control plan
          adequacy.
   6      Are control plans reviewed and updated as appropriate when any of the
          following occurs:
            Product or process changes?
            Processes are found to be unstable or non-capable?
            Inspection method, frequency, etc, is revised?
   7      Are supplier initiated design or process changes documented, reviewed,
          and approved by authorized internal personnel before implementation?

   8      Has written customer approval or waiver been obtained and documented
          prior to a design or process change being implemented into production?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                         NOT SCORED

   C.      Document Control
   #                                       Question                                                        Notes                Score
   9      Has the supplier established a process to ensure that invalid and / or
          obsolete documents are promptly removed from all points of use or
          otherwise assured against unintended use?
   10     Is there timely review, distribution, and implementation of customer
          engineering standards and specifications and changes? Verify revision
          levels of drawings or models in use at the supplier?


   11     Are appropriate process parameters, including operator training,
          monitored for special processes (heat treat, welding, plating, etc) where
          conformance to specification cannot be verified in subsequent
          operations?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                         NOT SCORED

   D.     Product Identification and Traceability
   #                                       Question                                                        Notes                Score
   12     Is required product identification (including material certification and heat
          number, if applicable) maintained through all stages of production,
          assembly, and delivery?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                         NOT SCORED




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                    JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                           Audit Date(s):
  E.      Process Control
   #                                       Question                                                       Notes                Score
   13     Have documented process monitoring and other operator instructions
          been prepared for all employees?
             Are they accessible at the workstation?
             Is there evidence of use?
   14     Do process monitoring and other operator instructions include or
          reference:
             Operation name and number?
             Part name and part number?
             Current engineering level / date or decision number?
             Required tools, gages and other equipment?
             Customer designated Key Control Characteristics?
             Supplier designated Key Control Characteristics?
             Statistical Process Control (SPC) requirements as appropriate?
             Relevant engineering and manufacturing standards?
             Inspection and test instructions, including frequency?
             Reaction plan as appropriate?
             Revision date and approvals of Work Instructions?
             Visual aids as appropriate?
             Tool change intervals and set-up instructions?
             Material certification, such as: chemical and mechanical properties,
             hardness, plating, heat number, and / or source mill?
   15     Does the reaction plan for internal out-of-control conditions include as
          appropriate:
            Containment and 100 percent inspection?
            Specific corrective action timing?
            Responsibility assignment?
            Documented customer approval?
   16     Do operators clearly understand their responsibilities when loss of
          process control or out of specification conditions exist?

   17     Is production equipment and working environment suitable for
          manufacturing of specified characteristics?
             Are production machines and equipment appropriate for the product
             being produced?
             Is there documented evidence of process capability?
             Are production machines and equipment clean and adequately
             maintained?
   18     Is there evidence of a preventive maintenance program?


   19     Does supplier retain and use appropriate data on key control
          characteristics for continuous process improvement?
   20     Does supplier maintain or exceed the process capability requirements of
          JDS-G223 on key control characteristics?
             Are monitoring and improvement plans in place for those processes
             that do not meet the process capability requirements?


   21     Does supplier verify that characteristics are to specification after a setup
          has been completed?

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED




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                    JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                           Audit Date(s):
   F.     Inspection and Testing
   #                                       Question                                                       Notes                Score
   22     Does the supplier ensure that incoming product is not used or processed
          until it has been inspected or otherwise verified as conforming to specified
          requirements in accordance with the quality plan and/or documented
          procedures?

   23     Does the supplier inspect and test in-process product as required by the
          Control Plan and / or the documented procedures?
   24     Does the supplier carry out final inspection and testing in accordance with
          the Control Plan and/or documented procedures?

   25     Does the supplier assure that no product is released until all activities
          specified in the documented procedures have been satisfactorily
          completed and that the associated data and documentation is available
          and authorized?
   26     Does the supplier conduct scheduled audits of the final product in
          accordance with the Control Plan to verify conformance to all specified
          requirements including packaging?

   27     Does the supplier maintain records which provide evidence that the
          product has been inspected and / or tested and approved prior to
          release?
   28     Does the supplier inspect, test, and verify that products do not contain
          substances in excess of the amounts set forth on John Deere’s Restricted
          Materials List (e.g., asbestos or lead in paint) and/or other substances
          restricted by applicable laws?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED

   G.     Inspection, Measuring, and Test Equipment
   #                                       Question                                                       Notes                Score
   29     Does the measurement system provide appropriate discrimination of the
          total product tolerance being measured?
   30     Has the supplier identified all inspection measuring and test equipment
          that can affect product quality?
             Are appropriate measurement systems used for required
             characteristics (roundness, lobbing, surface finish, etc.)?
   31     Is each piece of inspection equipment calibrated:
             At prescribed intervals?
             On certified master equipment (traceable to standards)?
             In a controlled environment?
   32     Does the procedure for calibration of inspection measuring and test
          equipment include the following:
             Unique identification?
             Part name and part number?
             Location?
             Frequency of checks?
             Check method?
             Acceptance criteria?
             Corrective actions when inspection equipment is found out of
             Review process for product inspected with "out of calibration"
   33     Has the supplier identified inspection measuring and test equipment with
          a suitable indicator or approved identification record to show the
          calibration status?

   34     Does the supplier maintain calibration records for inspection measuring
          and test equipment?
   35     Has the supplier performed Gage Repeatability and Reproducibility
          studies on key control characteristics and do they meet the established
          criteria in JDS-G223?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED




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                    JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                         Audit Date(s):
   H.     Inspection and Test Status
   #                                        Question                                                    Notes                Score
   36     Is the inspection and test status of product identified such that the
          conformance status is recognizable and understood?

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                      NOT SCORED

   I.     Control of Nonconforming Product
   #                                        Question                                                    Notes                Score
   37     Does the control of nonconforming or suspect material provide for
          material identification / segregation / evaluation and notification of all
          appropriate functions?

   38     Does the supplier clearly identify nonconforming and suspect product and
          the quarantine areas?
   39     Is the responsibility for review, and authority for the disposition of
          nonconforming product, defined?

   40     Are repaired and/or reworked products re-inspected and / or tested
          according to the Control Plan and/or documented procedures?
   41     Does the supplier quantify and analyze nonconforming product, establish
          a prioritized reduction plan, and track progress to the plan?

   42     Does the supplier obtain customer authorization prior to shipment,
          whenever the product or process is different from the current Production
          Part Approval Process (PPAP) approval?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                      NOT SCORED

   J.     Corrective and Preventive Action
   #                                        Question                                                    Notes                Score
   43     Does the supplier use a disciplined problem solving method to address
          internal and external non-conformances?

   44     Do procedures for corrective action include effective handling of customer
          complaints and reports of non-conformances? Do these procedures:

             Verify corrective action from past Corrective Action Requests?
             Consider implementation of corrective action on similar products /
             processes?
             Consider impact of corrective action on other products / processes?

   45     Do procedures for corrective action include mistake proofing or other
          preventive action to avoid root cause re-occurrence and verification to
          ensure effectiveness?

   46     Are returned parts analyzed and are records of this analysis kept and
          made available upon request?

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                      NOT SCORED

   K.     Storage, Packaging, and Preservation
   #                                        Question                                                    Notes                Score
   47     Have methods to prevent damage or deterioration been provided for the
          handling of production material and are they being followed?

   48     Are methods to prevent damage or deterioration been provided for the
          shipment of production and service material and are they being followed?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                      NOT SCORED




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                     JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                             Audit Date(s):
   L.     Quality Audits
   #                                        Question                                                        Notes                Score
   49     Does the supplier have a documented program to perform internal audits
          of the quality system?
   50     Are personnel conducting the audit trained and independent of the
          function being audited?
   51     Are the audit results recorded and brought to the attention of the
          responsible personnel?
   52     Are corrective actions, for any deficiencies identified in an audit, carried
          out on a timely basis?
   53     Is there a documented procedure for auditing of the supplier's supply
          chain? Is there evidence that it is being followed?
             Dimensional Specifications
             Mechanical Properties
             Hardness
             Plating
             Traceability of heat number to the mill shipment
             Evidence of auditing traceable to the mill

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                          NOT SCORED

   M.     Training
   #                                        Question                                                        Notes                Score
   54     Is a documented training plan established that identifies operator basic
          training needs?
   55     Have operator's basic training needs been fulfilled for the job being
          performed?

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                          NOT SCORED

   N.     Statistical Techniques
   #                                        Question                                                        Notes                Score
   56     Does the supplier use the appropriate statistical tools required to
          establish, control, and verify product quality?
   57     What appropriate statistical tools are being used during: (Reference JDS-
          G223 Suggested Quality Tools)
             Quality planning?
             Quality control?
             Quality improvement?

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                          NOT SCORED

   O.     Regulatory Conformity
   #                                        Question                                                        Notes                Score
   58     Does the supplier own the patent or copyright that allows it to lawfully
          manufacture the product, or utilize the manufacturing process, the
          Company desires to purchase?

   59     Does the supplier have documentation to substantiate that it owns the
          requisite Intellectual Property rights, or that it is properly licensed to use
          the requisite Intellectual Property Rights?
   60     Are the Intellectual Property rights effective and legally enforceable in the
          country where the supplier will produce the product or utilize the
          manufacturing process?
   61     Does the supplier have documentation to substantiate that its Intellectual
          Property Rights are effective in the country where it will produce the
          product or utilize the manufacturing process?
   62     If the supplier possesses the requisite Intellectual Property Rights, is the
          duration of such rights sufficient to cover the term of the proposed supply
          agreement?
   63     Is the supplier aware of any 3rd party Intellectual Property Rights which
          could interfere with the proposed supply agreement? If yes, identify the
          3rd party and the Intellectual Property Rights involved:

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                    JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                           Audit Date(s):

Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED

Category Score:
Category Compliance:        (Complies = No questions scored less than 2)                                                NOT SCORED

II. Supplier Code of Conduct
    P.   Child Labor
   #                                       Question                                                       Notes                Score
   64     Does the supplier have a system to ensure compliance with the minimum
          working age prevailing standard? (Minimum working age for John Deere
          suppliers is 14 years.) If answer is “no”, notify Manager, Supply
          Chain Value Assurance at 90smcompliance@johndeere.com.



Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED

   Q.     Compensation and Working Hours
   #                                       Question                                                       Notes                Score
   65     Does the facility have an accurate system to measure hours worked to
          ensure conformance with applicable wage and hour labor laws?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED

   R.     Discrimination
   #                                       Question                                                       Notes                Score
   66     Does the supplier have a process to ensure compliance with applicable
          laws concerning discrimination in hiring and employment practices?



Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                        NOT SCORED

   S.     Environment, Health, and Safety
   #                                       Question                                                       Notes                Score
   67     Is the supplier currently, or at any time during the past calendar year,
          subject to any enforcement action by any governmental authority for non-
          compliance with environmental, safety, or labor requirements at any
          facility at which products supplied to John Deere are manufactured?

   68     Can the supplier demonstrate legal compliance with government
          environmental, health and safety legislation (through government
          certificate or registration, third-party audit, etc.)?

   69     Has the supplier obtained and maintained all environmental permits and
          registrations that apply to their facilities, operations, and products,
          including reporting obligations in accordance with applicable laws and
          regulations?
   70     Are wastes that are stored, treated, or disposed of on-site managed in
          properly designed facilities that will prevent future environmental impacts?


   71     Does the supplier have a program to identify and assess potential
          emergency situations such as weather, fire, or chemical spills and
          implement emergency plans and procedures?

   72     Does the supplier have a program to identify, evaluate and control
          workplace exposures to chemical, biological and physical agents (e.g.
          chemical fumes, noise, dust, mold) at or below levels established as safe
          by applicable laws and regulations?




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                    JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                          Audit Date(s):
   73     Does the supplier have a program to identify, evaluate and control safety
          hazards (e.g. electrical, mechanical, hydraulic, and pneumatic) of
          workplace equipment and machinery and conditions (e.g. slips, trips, fall
          hazards, physically demanding work) to prevent injury to workers?


   74     Does the supplier have a program to provide and require the use of
          personal protective equipment when safety hazards and workplace
          exposures cannot be controlled by other means?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                             NOT SCORED

   T.     Confidential Information
   #                                       Question                                                       Notes                     Score
   75     Does the supplier have a program to ensure compliance with applicable
          laws concerning proprietary, confidential, and personal information?


Average Section Score:
Section Compliance: (Complies = No questions scored less than 2)                                                             NOT SCORED

Category Score:
Category Compliance:          (Complies = No questions scored less than 2)                                                   NOT SCORED



                                                           Audit Summary
                   Category                               Section                     Average Score      Compliance
                    Quality            Management Review                                                 NOT SCORED
                                       Quality Planning                                                  NOT SCORED
                                       Document Control                                                  NOT SCORED
                                       Product Identification and Traceability                           NOT SCORED
                                       Process Control                                                   NOT SCORED
                                       Inspection and Testing                                            NOT SCORED
                                       Inspection, Measuring & Test Equipment                            NOT SCORED
                                       Inspection and Test Status                                        NOT SCORED
                                       Control of Nonconforming Product                                  NOT SCORED
                                       Corrective and Preventive Action                                  NOT SCORED
                                       Storage, Packaging, and Preservation                              NOT SCORED
                                       Quality Audits                                                    NOT SCORED
                                       Training                                                          NOT SCORED
                                       Statistical Techniques                                            NOT SCORED
                                       Regulatory Conformity                                             NOT SCORED
                                       Category Score                                                    NOT SCORED
               Supplier Code of        Child Labor                                                       NOT SCORED
                 Conduct ***           Compensation and Working Hours                                    NOT SCORED
                                       Discrimination                                                    NOT SCORED
                                       Environment, Health, and Safety                                   NOT SCORED
                                       Confidential Information                                          NOT SCORED
                                       Category Score                                                    NOT SCORED
          Overall Audit Score                                                                            NOT SCORED
          Sum of Question Scores                                                           0.0
          Final Audit Score (%)                                                                          NOT SCORED


          *** Scores of 0 or 1 on any Supplier Code of Conduct question results in failure of the audit. No business
          shall be conducted with the supplier until the situation is rectified.

          *** Scores of 0 or 1 on any Supplier Code of Conduct question must be reported by the Lead Assessor to
          the Manager, Supply Chain Value Assurance at 90smcompliance@johndeere.com .




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                         JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE
Supplier Name:                                                                            Audit Date(s):
 #                                                                                  Strengths
     1




 #                                                           Major Non-conformances                        NCCA Number
     1




 #                                                           Minor Non-conformances                        NCCA Number
     1




                                                                     Opportunities for Improvement
     1




                                                                     Restrictions and Conclusions
     1




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     JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE

                                                     INSTRUCTIONS
Select the category that you would like to review.
      1.       Audit Purpose
      2.       Pre-Audit Survey
      3.       Audit Planning
      4.       Conducting the Audit
      5.       Audit Scoring Definitions
      6.       Audit Scoring
      7.       Scoring Scale
      8.       Completing the Audit
      9.       Storing the Audit

      1.       Audit Purpose
    BACK
               This JDS-G223 Supplier Quality System Audit is designed to get information from an existing or a
               This Supplier Quality System Audit Process has the following objectives:
                     A.      Evaluate new and existing Supplier’s ability to effectively execute quality processes
                             required by the John Deere Supplier Quality Manual (JDS-G223) and compliance to the
                             Supplier Code of Conduct.
                     B.      Facilitate an understanding of the JDS-G223 and Supplier Code of Conduct requirements
                             by using them as audit standards.
                     C.      Facilitate improvement in a Supplier's quality system by driving corrective action in areas of
                             nonconformance.
                     D.      Provide Supplier Code of Conduct notification of noncompliance.
                     E.      Provide input regarding Supplier's performance to the Enterprise.
                     F.      Audit results will be used to objectively evaluate Suppliers and assist in facilitating Supplier
                             Selection and Development. Audit results will also be used to improve the Enterprise
                             supply base.

      2.       Pre-Audit Survey
    BACK
                     A.       Deere supply management organizations should use some form of Pre-Audit Survey to
                              screen potential suppliers. While the specific content of the Pre-Audit Survey may vary by
                              unit and product, the survey should be comprised of questions pulled from the Supplier
                              Profile Survey Questionnaire. Questions pulled for the Pre-Audit Survey are to retain the
                              original question number.
                     B.       A Pre-Audit Survey should be conducted prior to a supplier site visit. This is done by
                              sending the survey questionnaire to the supplier for a self-assessment. The survey results
                              are then reviewed for adequacy prior to planning a site visit or audit.
                     C.       The Supplier Profile Survey and JDS-G223 Supplier Quality System Audit Questionnaire
                              were developed as tools to assist in providing a consistent view of supplier capabilities.
                              They do not cover product-specific questions such as design, manufacturing, quality, or
                              performance characteristics. Product / process specific topics must be addressed as
                              needed by technically competent auditors.
                     D.       When an on-site quality system audit is conducted, the JDS-G223 Supplier Quality System
                              Audit Questionnaire should be used.
                     E.       Use the Process(es) / Product(s) Audited area on the Audit Questionnaire header to
                              indicate which products or processes were specifically covered during the audit.
 3.    Audit Planning
BACK
       One of the objectives of the Quality System Audit is to improve Supplier performance. Since limited audit
            A.       Whenever possible, the audit should focus on the production of Deere parts that represent
                     both a significant portion of the purchased material and a family of significance. However,
                     major quality issues with the Supplier should take priority to volume. This will increase the
                     probability that Supplier improvement activities resulting from the audit are focused in
                     areas of greatest benefit to the Enterprise. For example, one of the audit outcomes may
                     be to identify Key Characteristics. If this is undertaken, it should be on part families that
                     are significant in terms of issues and/or volume.

            B.       Corrective action requests, reject, and deviation history should be reviewed prior to the
                     audit so that verification of Supplier corrective action can be established. Assessment of
                     Supplier corrective action processes using specific examples is preferred to a general
                     review of the Supplier's corrective action process.
            C.       The Supplier's quality procedures should be reviewed prior to a Supplier site visit.

 4.    Conducting the Audit
BACK
            A.       Evidence is required to justify assessment observations and findings, antidotal information
                     is not sufficient.
            B.       During the audit, notes should be made in the auditor's note areas to support both positive
                     and negative findings. This information will be made available to Enterprise personnel in
                     the Supplier Evaluation Tracking respository on JDSN.
            C.       Nonconformances should be discussed during the audit as they are identified. Address
                     containment if there are issues concerning the production of nonconforming material.
 5.    Audit Scoring Definitions
BACK
       Major Nonconformance
            A.    The absence or total breakdown of a system to meet a JDS-G223 requirement. A number
                  of nonconformities against one requirement which, when combined, can represent a total
                  breakdown of the system and thus be considered a major nonconformity.

            B.       Any nonconformance that would result in the probable shipment of a nonconforming
                     product. A condition that may result in a failure or that materially reduces the usability of
                     the products or services for their intended purpose.
            C.       A nonconformance that judgment and experience indicates is likely either to result in the
                     failure of the quality system or to materially reduce its ability to assure controlled processes
                     and products.
            D.       Major nonconformances should have the findings documented in the "Major
                     Nonconformances" section of the audit as well as in the audit report.
                     Nonconformances should be documented in the Nonconforming Corrective Action
                     (NCCA) System.

       Minor Nonconformance
       A JDS-G223 nonconformance that judgment and experience indicates is not likely to:
             A.       result in the failure of the quality system, or
             B.       reduce its ability to assure controlled processes, or
             C.       result in the probable shipment of nonconforming product.
       It may be either:
             D.       a failure in some part of the supplier's documented quality system relative to JDS-G223, or
             E.       one or more observed lapses in following a requirement of the company's quality system.
             F.       Minor nonconformances should have the findings documented in the "Minor
                      Nonconformance" section of the audit as well as in the audit report.
                      Nonconformances should be documented in the Nonconforming Corrective Action
                      (NCCA) System.

       Opportunity for Improvement
       An observed situation which is NOT a major or minor nonconformity, but where results achieved are not
 6.      Audit Scoring
BACK
         The audit is scored as follows:
              A.        Every question must be scored using a 0 to 4 point scale, where 4 is the best possible
                        score. Whole numbers are to be used. See Scoring Scale.
              B.        The section scores are rounded to tenths, and determined by calculating an average of the
                        questions scored from that section.
              C.        The category ratings are rounded to tenths, and are determined by calculating an average
                        of all the questions scored in that category. To be acceptable, a supplier MUST receive
                        two or above on each queston. If one or more of the question ratings fall below two, the
                        final category rating will be DOES NOT COMPLY.
              D.        The overall numeric rating is an average for each of the sections covered in the audit and
                        an overall ranking of COMPLIES or DOES NOT COMPLY. The overall rating is an
                        average rating based on the section ratings. To be acceptable, a supplier MUST receive
                        two or above on each question. If any question is scored less than two, the overall rating
                        will be DOES NOT COMPLY.
              E.        The final audit score is expressed as a percentage. It is calculated by summing all section
                        scores and dividing by 3.08. There are 77 questions with a maximum score of (77)*(4) =
                        308 points. When you divide the total score by 3.08, you have a result in percent. For
                        example, if the total audit score was 280 points, the calculated average score expressed
                        in percent is (280)/(3.08) = 91%.
              F.        Minimum acceptable assessment criteria is a final score of 65% and all questions scored 2
                        or greater.
              G.        The scores allow effective evaluation of the Supplier and also identifies the Supplier’s
                        strengths and weaknesses.

             Quality Category: Determination of compliance with requirements of JDS-G223 Supplier Quality
              H.                                         Manual:
                      Compliance to the requirements identified in the John Deere Supplier Quality Manual is
                      evaluated for each audit question and for the overall audit. A rating of “Complies” or “Does
                      Not Comply” will result.
              I.      Any major nonconformance on any question will result in a Section ranking of DOES NOT
                      COMPLY and an overall audit ranking of DOES NOT COMPLY.
              J.      Any major nonconformance (score of 0 or 1) or minor nonconformance (score of 2) on
                      any question will require the issuance of a Corrective Action Request to the Supplier.


       Code of Conduct Category: Determination of compliance with requirements of the Supplier Code of Conduct:
              K.     Scores of 0 or 1 on any Supplier Code of Conduct question results in failure of the audit.
                     No business shall be conducted with the supplier until the situation is rectified.

               L.      Scores of 0 or 1 on any Supplier Code of Conduct question must be reported by the Lead
                       Assessor to the Manager, Supply Chain Value Assurance at
                       90smcompliance@johndeere.com .
 7.    Scoring Scale
BACK
       Mark the score for each question in the questionnaire as follows:
         SCORE                                   ABILITY TO MEET REQUIREMENT
             0      Requirement is not met. There is no evidence of implementation or documentation (major
                    non-conformance).
             1      Requirement is partially met but there are major inconsistencies in implementation or
                    documentation (major nonconformance).
             2      Requirement is met but there are minor inconsistencies in implementation or
                    documentation, or is in the early phases and only preliminary evidence of implementation
                    effectiveness exists (minor nonconformance).
             3      Requirement is met and effectively implemented and fully documented.
             4      Requirement is "world class" in terms of scope and implementation or it shows major signs
                    of significant improvement over the last 12 months which is meaningful to the Customer.


 8.    Completing the Audit
BACK
            A.      The audit report and / or scoring should be completed and shared with the Supplier before
                    departure if possible. At a minimum, the Supplier should be advised of any
                    nonconformances. Containment should be addressed if there are issues concerning the
                    production of nonconforming material.
            B.      During the audit, provide the supplier feedback during a closing meeting. Follow-up with
                    the final written report within two weeks.
            C.      Complete comment areas on the audit form to summarize:
                       Supplier strengths
                       Supplier major and minor nonconformances
                       Supplier opportunities for improvement
                       Restrictions and Conclusions
            D.      Open a Nonconformance Corrective Action (NCCA) request for the supplier on each major
                    and minor nonconformity. Provide the NCCA number in the final report.
            E.      Use the Restrictions and Conclusions section of the Supplier Audit to indicate which
                    products were specifically approved, rejected, or not covered during the audit, and provide
                    a brief summary supporting the supplier rating.

 9.    Storing the Audit (Deere Internal Use)
BACK
            A.      After completing the audit, please send the file to your quality system coordinator to file in
                    Supplier Evaluation Tracking system located in JD Supply Network. The list of John Deere
                    employees that can file your audit are listed and can be viewed at the following link:
                    http://www.90.deere.com/suppmgmt/business_processes/strategic_sourcing_process/tools
                    /supplier_evaluation_tracking/supplier_evaluation_tracking_index.htm and selecting
                    Authorized Users for Data Uploading.

            B.      After completing the survey, please upload the file to the Supplier Evaluation Tracking
                    system located in JD Supply Network. If you do not have access to the SET system,
                    please contact your manager to gain access.
            C.      All completed surveys and assessments can be viewed by John Deere employees in
                    Supplier Evaluation Tracking at this link:
                    http://www.90.deere.com/suppmgmt/business_processes/strategic_sourcing_process/tools
                    /supplier_evaluation_tracking/supplier_evaluation_tracking_index.htm and selecting Web
                    Application.
      JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE

                                            RATING AREAS
#      CATEGORIES
I.     QUALITY
II.    SUPPLIER CODE OF CONDUCT

#      CATEGORIES
       #    Sections
 I.    QUALITY
         A. Management Review
         B. Quality Planning
        C. Document Control
        D. Product Identification and Traceability
         E. Process Control
         F. Inspection and Testing
        G. Inspection, Measuring, and Test Equipment
        H. Inspection and Test Status
         I. Control of Nonconforming Product
         J. Corrective and Preventive Action
         K. Storage, Packaging, and Preservation
         L. Quality Audits
        M. Training
        N. Statistical Techniques
        O. Regulatory Conformity
II.    SUPPLIER CODE OF CONDUCT
         P. Child Labor
        Q. Compensation and Working Hours
        R. Discrimination
         S. Environment, Health, and Safety
         T. Confidential Information
                                                           Change History



      JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE

                                                      CHANGE HISTORY
   Date       Division      Who Made Changes                                         Reason for Change
1-Nov-05         Ag        Marilyn Dumolien               New Version Supplier Quality Manual, 1-Nov-2005
25-Feb-06        Ag        Marilyn Dumolien               Revised Compliance Criteria to Question Level
 4-Apr-06        Ag        Marilyn Dumolien               Revised Question #14 to include Material Certification
 7-Apr-06        Ag        Marilyn Dumolien               Unprotected Document Due to AutoFit not working in Notes Field;
                                                          Added auto wrap in certain cells.
17-Jul-08        Ag        Marilyn Dumolien               Revised notification for Supplier Code of Conduct Findings from
                                                          http://www.90.deere.com/compliance/hotline/anonymousemail.html to
                                                          90smcompliance@johndeere.com
9-Jan-09     Enterprise    Dwight DeDoncker               Removed two questions that were scored. One was redundant, the
                                                          other was converted to a y/n question. Also add another y/n question.
                                                          Both y/n questions were inserted at the start of the question list. And
                                                          both questions require a yes answer for the audit to proceed. The
                                                          removal of one one the questions allowed for a section named "General
                                                          Information" to be removed for the "Supplier Code of Conduct" area. I
                                                          then renumbered the scoring questions and relabeled the Category
                                                          sections.
9-Feb-09     Enterprise    Dwight DeDoncker               Went to review VBA macros since opening the Excel file suugested
                                                          there were some. Only noticed an empty Module 1 file, so I deleted it.
                                                          Now when opening the Excel file,, the user will not be prompted to
                                                          enable macros.
9-Feb-09     Enterprise    Dwight DeDoncker               Deleted then re-created "Rating Areas" worksheet to reflect changes
                                                          made to "Audit Questionnaire" on 9-Jan-2009.
 6-Mar-09    Enterprise    K'uang Ku                      Changed formatting so each section stays generally on one page
14-May-09    Enterprise    Mony Chhoun-Johnson            Updated printing format for 'Instructions' and 'Rating Areas'




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    5713f3b5-1844-426d-857e-7024b6ba9e98.xls; Change History; 17-Jul-08                                    Print Date: 9/3/2011

				
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