Supplier Audit Check Sheet

SUPPLIER QUALITY SYSTEM AUDIT
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Category Audit Area Concerning regulation
Do you define the procedure for Product development

Regarding implementation
1 including the following ? -scope of parts, responsibility
1 rule of production preparation
of each department, control contents / items?
Regarding management /
Do you implement follow-up to control the schedule and
implementation by production 1 progress of production preparation items? Incl top
1.
2 preparation plan / report
management
Production (master plan)
preparation / Do you consider following items and implement
New Product corrective and preventive action to the processes and
Developmen Defect prevention on the
standards before regular production?
t stage of process design by 1
3 -Troubles in the past; -Defect items expected;
using FMEA/Matrix diagram
-Defect items unable to capture at customer;
-Defect items difficult to repair;
Product/process evaluation at
Do you prevent defects by quality improving activities of
the quality evaluation meeting 1
4 cross-function team to evaluate quality performance?
in each trial
Page 1 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you define following items related to initial production

control by standards ?
1
-controlled parts; -controlled items; -inspection method;
-initial production control period;
-a person who announce start/end of initial production
control; -finish condition;
２． Regulation for
Regulation 1 initial production control
for
initial How do you define items required special control during
production 2 initial production control? Do you set stricter inspection
control methods than the ordinal inspection?
Page 2 of 33
Supplier Attendees:
Supplier
２．
Name
Regulation
for
initial
Product
production
control
Category
Machined Components
Do you control process capability and defect rate during

Implementation of initial 1
2 initial production control?
production control
1
Do you define unexpected change (unusual) and planned
change clearly?
Definition and implementation

1 of changing management Do you define procedure(rules applied from sharing
2 information to result confirmation) at change
occurrence?
３．(*)
Do you record product quality check results to ensure
Changing 3
traceability? Incl retroactive checks
management
1 Do you define and control initial part clearly?
Definition and control method

2 for initial part
Page 3 of 33
Supplier Attendees:
Supplier
Name
３．(*)
Product
Changing
Category
Machined Components
management

Definition and control method
2 for initial part Do you control initial parts separately and make quality
2 records about them?(both internal and outsourced
process are included)
Page 4 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Procedure to make process Do you make and review process control standards,
1 control standards(QA process 1 Inspection specifications, Operation instructions for all
charts) parts.
４．
Standards Procedure to control
management standards
Do you have consistency to keep process control
1 standard, inspection specification, operation inspection
2 ・Process control standards
and parameter chart?
・Inspection specifications
・Operation instructions
Page 5 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you clarify the department in charge of promoting

1
quality education, implement education based on annual
plan?
Are records of education kept?
1 Education/ training procedure
５．(*)
Education
and training
Do you define and implement the skill evaluation of
2
operator to determine whether operator can work without
surveillance?(e.g. acceptable revel/evaluation
frequency/evaluation method)
Education for
Do you periodically monitor the skill of certificated
managers/Inspectors/ 1
2 operators and follow up to improve their skill?
Special operators
Page 6 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
1 The Unit have any ISO/ TS certification

1 Quality Systems
2 Survelliance Audit coducted and all NC's are closed
６． Do you conduct quality audit to identify issues and

Quality audit 2 Activity to keep/improve 1
properly improve them?
and process production quality
verification
1
Do you confirm consistency between actual operation
and standard?
3 Content of process review
2
Do you confirm if countermeasures are taken properly to
prevent reoccurring of quality fail?
７．
Evaluation method for new Do you define criteria to certificate new suppliers and
Supplier 1 1
suppliers implement them?
control
1
Do you define clearly what is abnormal situation and
make operators know the definition?
Handling when abnormal Page 7 of 33

1 situation occurs
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you clarify and standardize the handling rules/routes

2 for customer claims, in process failure and supplier
Handling when abnormal failure?
1 situation occurs
Do you have criteria to estimate the scope of suspected
3
lot for abnormal situation?　When abnormal situation
８．(*) occurs, do you trace suspected　lot based upon the
Handling criteria?
abnormality
in quality Do you prevent recurrence of issues by analyzing cause
1 of occurring defect based on process investigation result
Prevention of recurrence such as 5-why analysis?
2 ・Customer claims Do you reflect corrective action to improvement of

2
・In process failure process control and review of standards?
・Suppliers failure After corrective action are taken, do you conduct on-site
3 check up and evaluate the effectiveness? And horizontal
deployment.
Page 8 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you keep store material, work-in-process, finished

1
products, inventory and container at appropriate storage
prevented from dust, lust, scratch, deformation and
rainwater?
1 Location of production site
９．
5S
management
Page 9 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you control material, work-in-process and finished

2 product by designated location, volume and standard
using visual control?
1 Location of production site
９． Do you implement inspection or critical operation under

5S 3 the properly controlled environment luminance
management /temperature/humidity/vibration/noise/work table, etc.)?
1
Do you keep condition of production equipment's, jigs
and tools properly?
Production equipment's
2 management
2
Do you keep condition of inspection equipment's
properly to ensure accuracy?
Page 10 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you conduct daily/regularly check of

1 production equipment's, dies and jigs? Are
records of maintenance kept?
Maintenance of equipment's , Do you confirm regularly the function of Pokayoke,
1 jigs and tools 2 automated stop and alarm? Are records of maintenance
１０(*) kept?
Equipment/I Do you standardize frequency of polishing and
nspection 3 replacement for consumable tools(blade/electrode/rub
equipment's stone, etc.)?
management
1
Do you calibrate regularly inspection equipment's and
put the expire date on them?
Maintenance of inspection
2 equipment's Do you control deterioration (expire date) of boundary
2 samples for objective judgments such as appearance
inspection?
Page 11 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Do you use easy expression (visualizer, onomatopoeia

1 ,etc.) for operation instructions? So that operator can
easily understand process and critical points.
Do you keep operation instructions on the accessible

2
place and post important quality points and critical
１１． operation points on the place where operators can see it
Implementati easily?
Implementation of standards
on of 1
standards
3
Do you regularly monitored that each operator operates
according to the operation instructions？
Is it possible to judge OK/NG specifically by each check

4 sheet (of daily equipment check, quality control report,
etc.) you use?
Do you keep first-in first-out of finished products and
1 work-in-process (material, reserve parts） by using
identification tag or lot indication?
1 management of parts flow Page 12 of 33

Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
management of parts flow Do you control follows production history by product lot
1 2 numbers?
-production date; -production volume; -shipping date
１２． 3 Do you control identification of similar parts separately?
Products
management Do you control identification of non-confirming parts and
1
parts on hold. Do you store them separately?
Non-confirming parts
2 management
Page 13 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
１２．
Products
management
Non-confirming parts
2 management Regarding repaired non-confirming parts and parts on
2 hold to re-use, do you define responsibility to
implement? Are repair record kept?　
Do you make arrangements with customers about the

1
packing style & transportation system to prevent damage
13. during handling of finished products & perform
Handling 1 Bins/ Trolley Management accordingly.
Management
2
Do you have system to maintain Bins /Trolleys in Good
Condition.
1
Do you have Special checks/Inspection for critical
parameters of Maru A (Safety Critical) part are available .
14.
Safety Critical (Maru A, HS
Critical parts 1
etc) Parts Management
Management
Page 14 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components

14.
Safety Critical (Maru A, HS
Critical parts 1 Do you have Identification of Safety Critical (Maru A, HS
etc) Parts Management 2
Management etc) Process/Operator on Shop Floor.
3
Do you keep the repair history when repairing & using
Safety Critical (Maru A, HS etc) items
1
Does the supplier has all inspection instruments required
15. as per drawing requirements
Adequate 1 Testing Facility 2
Does the supplier has all Testing Equipments/Rigs
testing required as per drawing requirements
facility 3
Does the Supplier has trained manpower to operate
these inspection and testing instruments
16. Process 1 As per control plan

1 Conduct process audit as per process control standard
Audit 2 Closure of all the observations
Judgment 0 NO SYSTEM DEFINED Achieved Score
Page 15 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
SYSTEM DEFINED BUT POOR

Judgment 1
ADHERENCE Maximum Score
SYSTEM ADHERENCE & REVIEW AS
Judgment 2
PER DEFINED SYSTEM Audit Rating
Category Overall
Green* >=60%
Yellow 20% ~ 60%
Red <20%
*Are critical
clauses:
Page 16 of 33
Supplier Attendees:
Supplier
Name
Product
Category
Machined Components
Abnormality Handling in
1 Quality
2 Change Management
3 Education and Training
Maintenance of
4
tools/Equipments
Format No: RPL-FMT-PUR-006, REV. NO.-03, REV. DATE- 30.10.18
Page 17 of 33
EM AUDIT CUM FOLLOW UP REPORT
Judgment
Requirements Remarks/Observations Follow Up
(0~2)
Procedure for Product development including scope of APQP for Roop Polymers parts like
parts, responsibility of each department, control contents / 0 check valve plate, valve body is not
items as per APQP guidelines. available.
- Development Time plan (Master and Micro level) Development Time Plan ( Master and
- Review frequency and evidence Micro) for Roop Polymer parts is not
- Reason of delay and action 0 available.
- Evidence of review by Top management.
QA matrix is not available for Roop
- FMEA Procedure Polymer parts.
- FMEA / QA matrix.
- Past defect history and Potential defect included in 0
FMEA.
- List of Quality issues / defect faced In-house and List of quality issues is not available.
Customer end during trials. 0
- Their complete analysis in the form of PDCA.
Page 18 of 33
Judgment
(0~2)
Person responsible for Roop Parts is
Initial Supply Control Procedure including
not available.
- Initial Supply Control period (3month for new parts)
- person responsible to announce start/end of initial
supply control 0
- Control items & inspection method (check method) and
criteria for selection of control item
- Criteria for termination of initial supply control period
INitial supply control is not available
Stricter Control during Initial Supply Control period: for Roop Parts like check valve plate
- Increase sample size or frequency and valve body.
- Frequent Process Capability Study (Cpk > 1.33)
- Fast removal of problems / analysis
- Change in Inspection Method 0
- Verification of Standards, operation standards, facility
etc.(Process audit)
- Stricter visual inspection (100% inspection/ 200%
inspection)
Page 19 of 33
Judgment
(0~2)
Evidence of Process capability study / defect rate Process Capability study/ defect rate
(rejection % or ppm) monitoring and action if not meeting is not available for Roop Parts like
the target as decided for product and critical parameters as 0 check valve plate and valve body.
mentioned in Spec. Meeting or Critical parameters decided
by supplier
Procedure / WI for expected change (4M : Operator, 4M procedure is available.
machine & jig/die, material and method change) and
unexpected changes (Tool breakage, power failure, 2
machine breakdown, inspection equipment failure etc).
Rules to be defined from sharing information to the Rules are defined.
concerned person / Deptt up to the result confirmation of 2
product produced before and after the change.
Recording of product quality check with product details like Recording of product quality check
Lot no, quantity and marking on products etc. 2 with product details like lot no., is
done.
Control Method/ Procedure is not
- Definition of initial part.
- Control method/ system in procedure. 0 available for Roop Parts like valve
- Identification tag plate and valve body.
Page 20 of 33
Judgment
(0~2)
- Inspection & test record of initial parts / lots (All Inspection and test records of initail
developments lot including pilot lot). parts/lot are not available.
- Inspection / test reports of sub vendor's required in case 0
part produced by sub vendor.
Page 21 of 33
Judgment
(0~2)
- Process control std, control Plan, Inspection standard Available
and operation Instruction of all parts.
- Review system and records of updated std against a 2
change.
Coherence between all documents
like PCS/control plan, inspection
Coherence between all documents like PCS / Control plan, standard is not available.
inspection standard, operation standard and MIS -P. 0
Page 22 of 33
Judgment
(0~2)
Training procedure / WI including person responsible for Annual Training Plan is not available
Training related to Quality (QS, Process Audit, Inspection, for Staff from April'18 to Nov'18.
Using inspection & testing instruments / equipments etc),
Training need identification and effectiveness check
system.
- Training Calendar for all Operators, Supervisor and 0
Managers
- Training systems and record for New Joinee (Staff /
operator)
- Training Plan v/s Actual records
- Effectiveness check records
WI for skill evaluation is available.
WI for Skill evaluation criteria level wise, evaluation
frequency and method. 2
Cross checking of operator's skill periodically against a Poission Test is not carried out from
decided parameter and by simulating defect. 0 April'18 to Nov'18.
Evidence of retraining plan and effectiveness check.
Page 23 of 33
Judgment
(0~2)
ISO/ TS certificate 2 Available
Survelliance Audit closure report 0 Not Available.
Plan and evidence of conducting Internal Quality system Internal audit is not available from
Audit. April'18 to Nov'18.
Action taken for improvement against the Quality Issues 0
observed during audit.
Evidence of process audit based on work instructions / Process audit record is not available
PCS and actual working. 0 from April'18 to Nov'18.
Evidence of Countermeasure effectiveness check at shop Available
floor during process audit. 2
New Supplier selection procedure indicating supplier audit New supplier selection procedure is
check sheet & min qualifying criteria especially for quality. 2 available.
Evidence of audit done and supplier list
Definition of abnormal situation and Operator's awareness Available
about the abnormal situations. 2
Page 24 of 33
Judgment
(0~2)
Procedure is available.
Procedure for customer complaint handling, in-process
failures (defect/rejection/rework) and supplier failures 2
Procedure for handling suspected parts at the time of Procedure is available.

abnormal situation including criteria for estimating
suspected parts (quantity produced before abnormal 2
situation)
5 Why Analysis/Root Cause Analysis to be done for the Supplier failures are not available.
defects
Criteria for raising A-3 sheet/DAR/QPR for internal and 0
supplier issue
Standardization (Review of standards) of countermeasures Standardization is not available for
as decided in Defect Analysis Sheet 2 supplier issues.
Onsite check up of countermeasure at regular interval Available
2
Evidences of horizontal Deployment of countermeasures
Page 25 of 33
Judgment
(0~2)
Storage is good.
Storage of RM, BOP, WIP, FG and bins/trolleys to prevent
from dust, rust, scratch, deformation and rainwater (Shop 2
floor audit)
Page 26 of 33
Judgment
(0~2)
Available
Storage of RM, BOP, WIP & FG parts at designated
location with tag for visual control 2
Inspection or critical operation under properly controlled Available
environment:
- temperature
- humidity
- noise 2
- Proper layout/ arrangements on work and inspection
table
- lux level etc
Physical condition of production equipment's, jigs and tools Available
Evidence of daily/ regular check 2
Storage arrangements with identification
Physical condition of inspection equipment's properly to Available
maintain accuracy
Evidence of daily/ regular check (Validation report) 2
Proper storage arrangements
Page 27 of 33
Judgment
(0~2)
Daily and preventive maintenance of production Available
equipment's, dies and jigs 2
Machine/ tool history card and PM check sheet
Available
Regular check of Pokayoke and their record
List of Poka Yoke 2
Not Available.
Frequency of polishing and replacement for consumable
tools and change records 0
Calibration record of inspection equipments Available

Calibration status on inspection equipments (Calibration 2
date & due date)
Available
Expiry date on limit samples (for objective judgments such
as appearance inspection) 2
Page 28 of 33
Judgment
(0~2)
Visual confirmation of work done (glowing of Available
green/yellow/red light indicating completion or incompletion
of work) 2
Work Instructions to be made in Local Language Available
Display of WI's, Quality Check points & instructions

related to critical operations at easy accessible location 2
(so that operator can read and take out them easily for
reference)
Periodic records of operator observance audit to check Available
operator working as per various standard such as WI, 2
PCS, Daily check etc.
Judgment criteria should be mentioned on each check Available
sheet (e.g..- Upper/ Lower tolerance, check method and 2
criteria )
Incoming Material stored in wooden
Incoming Material / WIP / Finish Goods to be maintained box insteed of steel trolleys.
with Identification Tags and storage location at each stage. 0
Page 29 of 33
Judgment
(0~2)
Available
Production Date/ Lot/ Qty/ dispatch date to be recorded for
traceability purpose. 2
Similar parts control by different colour bin / tags/packing Available
material 2
Separate area/ red bin for storing NC part with tag Available
Reason marking on NC part 2
Page 30 of 33
Judgment
(0~2)
Available
- Rework procedure/WI
- Responsibility for Rework and area/table for rework 2
- Inspection record of rework material
- Traceability (Lot detail) of Reworked Material
Packing standard and transpiration mode 2 Available
WI to maintain Bins/Trolleys ( WIP & FG) in good condition WI is available.

Cleaning and repairing area and check points of good 2
bin/trolleys
Special check points for Maru A (Safety Critical) parts in
Inspection standards (in-process & final) as per inspection 2 Available
standard/drawing
Page 31 of 33
Judgment
(0~2)
Identification of Safety Critical (Maru A, HS etc) processes
by displaying Safety Critical (Maru A, HS etc) symbol on 2 Available
work stations, operator and machine/line
Record of Rework/Repair history of Safety Critical (Maru A,
HS etc) parts 2 Available
Available
Inspection instruments list. 2
Available
Testing equipments list and arrangements. 2
Lab person and inspectors training records and Available
experience. 2
Process audits is not available from
Plan and actual evidence of Process audit. NC list. 0 April'18 to Nov'18.
Closure evidence of observations. 0 Not Available.
eved Score 76
Page 32 of 33
Judgment
(0~2)
mum Score 110
dit Rating 69.09
Minimum in critical clauses

>=40%
< 10%
Page 33 of 33

Supplier Audit Check Sheet

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SUPPLIER QUALITY SYSTEM AUDIT

Category Audit Area Concerning regulation

Do you define the procedure for Product development

Category Audit Area Concerning regulation

Do you define following items related to initial production

Category Audit Area Concerning regulation

Do you control process capability and defect rate during

Definition and implementation

1 Do you define and control initial part clearly?

Definition and control method

Category Audit Area Concerning regulation

Category Audit Area Concerning regulation

Category Audit Area Concerning regulation

Do you clarify the department in charge of promoting

Category Audit Area Concerning regulation

1 The Unit have any ISO/ TS certification

６． Do you conduct quality audit to identify issues and

Handling when abnormal Page 7 of 33

Category Audit Area Concerning regulation

Do you clarify and standardize the handling rules/routes

2 ・Customer claims Do you reflect corrective action to improvement of

Category Audit Area Concerning regulation

Do you keep store material, work-in-process, finished

1 Location of production site

Category Audit Area Concerning regulation

Do you control material, work-in-process and finished

９． Do you implement inspection or critical operation under

Category Audit Area Concerning regulation

Do you conduct daily/regularly check of

Category Audit Area Concerning regulation

Do you use easy expression (visualizer, onomatopoeia

Do you keep operation instructions on the accessible

Is it possible to judge OK/NG specifically by each check

1 management of parts flow Page 12 of 33

Category Audit Area Concerning regulation

Do you make arrangements with customers about the

Category Audit Area Concerning regulation

16. Process 1 As per control plan

Judgment 0 NO SYSTEM DEFINED Achieved Score

Category Audit Area Concerning regulation

SYSTEM DEFINED BUT POOR

Category Audit Area Concerning regulation

Format No: RPL-FMT-PUR-006, REV. NO.-03, REV. DATE- 30.10.18

Procedure for handling suspected parts at the time of Procedure is available.

Calibration record of inspection equipments Available

Display of WI's, Quality Check points & instructions

Packing standard and transpiration mode 2 Available

WI to maintain Bins/Trolleys ( WIP & FG) in good condition WI is available.

mum Score 110

dit Rating 69.09

Minimum in critical clauses

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