MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT

Supplier Name Vendor Attendees

Part Name

Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
1. Procedure for product development from receipt of order to SOP at customer
end (preferably as per APQP guidelines) to be available and the team should
understand it
2. APQP matrix for deciding development activities based on categorisation of
Regarding Do you define the procedure for Product parts (for new and modifications)
implementation rule development including the following ? - scope 3. Team feasibility study (especially for skilled manpower & training requirements
1 1
(procedure) of production of parts, responsibility of each department, if not capable)
preparation control contents / items? 4. Defined roles and Responsibilities.
5. Procedure to be controlled with latest revision no

Regarding management / 1. Timing plan approved by top management

implementation by 2. Customer events (sample approval, trial dates, SOP at customer end) and
production preparation vendor's events (sample submission, pilot lot submission, SOP) to be mentioned
plan / report (master plan) in timing plan
Do you implement follow-up to control the 3. Activities to match with procedure and APQP matrix
2 1 schedule and progress of production 4. Review frequency of project leader and top management
preparation items? Incl top management 5. Evidence of review by project leader and top management in the timing plan
6.MOM or record of reviews (for evidence)
1. Production 7. Micro timing plan matching with Macro plan (wrt timing) Shubham
preparation / New 8. Capturing delays in plan v/s actual in timing plans
Product Sharma ,
Development
Do you consider following items and implement 1. Procedure for FMEA with CFT approach Prem Kumar
corrective and preventive action to the 2. List of problems reported in past at customer end and in-house (lessons learnt
processes and standards before regular from past experience/kakotora sheet)
production? 3. List of problems expected
-Troubles in the past; 4. List of problems which can't be captured at customer end (warranty related
Defect prevention on the -Defect items expected; problems)
-Defect items unable to capture at customer; 5. List of problems difficult to repair
stage of process design
3 1 -Defect items difficult to repair; 6. Rating of FMEA as per AIAG guidelines and having back up data for rating.
by using FMEA/Matrix
Allocation of severity, occurrence & detection as per AIAG manual
diagram
7. Cut off criteria for taking action as per latest AIAG manual (actions to be taken
for top 3 RPN processes)
8. Review of FMEA as per decided criteria and at decided frequency

Product/process Do you prevent defects by quality improving 1. Complete analysis of problems reported during development
evaluation at the quality activities of cross-function team to evaluate 2. Summary in PDCA sheet
4 evaluation meeting in 1 quality performance?
each trial
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
Do you define following items related to initial 1. Procedure and checklist for handover from development to production
production control by standards ? 2. Initial Production Control procedure having following:
-controlled parts; - Scope (for new parts and modifications)
-controlled items; - Special controls (increased inspection, increased sample size etc. at all stages -
-inspection method; incoming, in-process & final)
-initial production control period; - Initial production control start date (from SOP at vendor's end) and end date
-a person who announce start/end of initial (after completion of period after SOP at customer end)
production control; - Initial production control period
-finish condition; - Minimum quantity to be produced during IPC period
- Persons responsible for start/end
- Finish conditions (including following):
1 - Targets of customer complaints, rejection at customer end, in- house rejection,
supplier parts rejection, process capability, defect rate, effectiveness of
countermeasures taken for problems reported during development and
effectiveness of countermeasures taken
for problems reported during initial production control.
- Meeting above targets for 3 continuous months and results should have
improving trend
- Action to be taken in case targets are not met(to be extended)
3. Communication of initial production control information to other departments (by
mail/meetings/display boards)
4. Procedure to be controlled

２． Regulation (procedure) for

Regulation for 1 Initial Production Control
Shubham
Initial Production
Control
1. Evidence of implementation of special controls as defined in the IPC procedure:
- Increased sample size and/or inspection frequency (special control plan for IPC)
Sharma , Prem
- Frequent Process Capability Study (Cpk > 1.33) Kumar
- Change in Inspection Method (checking dimns instead of gauging)
- Process audit for verification of Standards, operation standards, facility etc.
- Stricter visual inspection (100% inspection/ 200% inspection)
How do you define items requiring special 2. Sticker targets for IPC and evidence of monthly monitoring them
control during Initial Production Control? Do you 3. Analysis of quality problems reported during IPC and their summary in PDCA
2
set stricter inspection methods than the ordinary sheet
inspection? 4. Special colour tags on the packing/bin/trolley on the parts produced during initial
production control period

1. Identification of parameters for which process capability study and defect rate is
to be done
2. Set target for Cpk
3. Process capability study reports
Implementation of Initial Do you control process capability and defect rate 4. Training record of persons responsible for process capability
2 1
Production Control during Initial Production Control? 5. Defect rate monitoring record (for critical non-measureable defects)
6. Action plan to improve Cpk and reduce defect rate in case of not meeting target
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
4M change procedure defining following:
- Definition of changes (Detail as per Annexure) Prem kumar
- Categorisation of changes into planned/unplanned changes Prem kumar
- Actions to be taken at change point Prem kumar
- Display of definition of changes in shop floor Prem kumar
Do you define unexpected change - Visual control of changes (4M change indication)
Prem kumar
1 (unusual/unplanned) and expected change - Awareness of change management among the shop floor personnel
Prem kumar
(usual/planned) clearly? - Record of changes (4M change record)
- Check record of parts produced after change
- Retroactive check record in case of unplanned (unexpected) changes KrishanPal
Vijay
Vijay
Definition and
1 implementation of 1. Actions to be taken in case of changes (as defined in the procedure) KrishanPal,Vijay
Change Management 2. Awareness of operators about 4M changes and the actions to be
required by them Prem
３． Do you define procedure(rules applied from 3. Evidence of implementation of actions Vijay
Change 2 sharing information to result confirmation) at 4. Display of changes in 4M change management board
change occurrence?
Prem
Management

Do you record product quality check results to 1. Check record of parts produced after change Vijay
ensure traceability? Incl retroactive checks 2. Retroactive check record in case of unplanned (unexpected) changes Vijay
3

1 Do you define and control Initial Part (First 1. Definition of initial part (pilot lot)
Part/Lot) clearly? 2. Initial part control Shankar Lal
Definition and Control
2 method for Initial Part Do you control Initial Parts separately and make 1. Separate tags to identify initial parts (pilot lot parts) Shankar Lal
(First Part/Lot) quality records about them?(both internal and 2. Inspection report of initial parts (pilot lots)
2 Ashok Gawle
outsourced process are included)
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
1. Availability of control plans for all the parts being manufactured by the vendor Prem
2. Procedure for preparation and control of documents defining following:
- department in charge of making;
- a person in charge of making;
- a person in charge of authorizing;
- making period;
Do you make and review Process Control - timing to submit to customer;
Procedure to make Standards (Control Plans), Inspection - revision rule;
Process Control Standards, Operation Instructions/Standards - retention period;
1 1 3. Master list of documents (control plans, operation standard, inspection
Standards (QA process for all products which are shipped to SMC /
standards) with latest revision nos
charts) MSIL / Tier 1 Shubham & Jafar
4. Master copies of the controlled documents
?
４． 5. Availability of documents (control plans, operation standard, inspection
Standards standards) for all parts under supply
Management 6. System for review and control revisions of controlled documents

Prem
Procedure to control Do you have consistency to keep Process 1. All Product and process parameters to be defined in the control plans Prem
standards Control Standard, Inspection Standard, 2. Reference of WI or other standards, sample size, checking frequency,
・Process Control operation Instruction and parameter chart? checking method, boundary samples & Poka Yoke to be defined in the control
Standards plans Prem
2 1 3. Consistency among documents (process control standards/control plans,
・Inspection Standards
・Operation operation standards, inspection standards
instructions and customer inspection standards)

Prem
Do you clarify the department in charge of 1. Procedure of training
promoting quality education (training), 2. Training need identification
implement education (training) based on annual 3. Training plan & plan v/s actual status
plan? 4. Training contents to match with TNI Shubham & Jafar
1 Are records of education (training) kept? 5. Training plan for new operators and record
6. Evidence of trainings given (attendance sheets)
7. Evidence of checking effectiveness of trainings
8. Employee history cards for trainings (for regular employees)
Education/ Training
1
procedure
Do you define and implement the skill 1. Skill evaluation criteria for operators and evaluation record
evaluation of operator to determine whether 2. Minimum skill level required for a operation
５． operator can work without surveillance?(e.g.
Education and
2 acceptable level/evaluation frequency/evaluation Shubham & Jafar
Training method)

Education for Do you periodically monitor the skill of 1. Skill evaluation frequency (min 2 times in a year)
managers/Inspectors/ certificated operators and follow up to improve 2. Plan for periodic monitoring of skill evaluation of operators
Special operators their skill? 3. Plan for re-training of operators in case skill is found less than last check
2 1
4. Evidence of periodic monitoring of skill evaluation of operators Shubham & Jafar
5. Poison test for checking skill of inspectors
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
1. Internal audit, process audit and product audit procedure defining audit method,
audit frequency & check sheet to be used for audit 2.Plan for internal audit,
3. Plan for product audit for all the parts under production
4. Plan for process audit covering all manufacturing processes and all working
shifts
5. Evidence of conducting audits as per plan (check sheet records)
Activity to keep/improve Do you conduct quality audit to identify issues 6. Evidence of communicating NC's to CFT and top management Shubham & Jafar,Prem
1 1
production quality and properly improve them? 7. Evidence of improvement in case of issues identified (NC's reported)
8. NC summary report (for internal audits)

６．
Quality audit
and process
verification
Do you confirm consistency between actual 1. Evidence of conducting audit as per control plan during process audit.
operation and standard? 2. Evidence of checking actual working of operator as per operation standard
1 during process audit Prem

2 Content of process review

Do you confirm if countermeasures are taken Evidence of checking effectiveness of countermeasures during process audit Prem
properly to prevent reoccurring of
2 quality fail?

７． Evaluation method for new Do you define criteria to certify new suppliers 1. Procedure for selection of new suppliers
Supplier control suppliers and implement them? 2. Minimum score required for selecting supplier (overall and in quality) (min score
1 1 in quality to be more than min overall score)

Do you define clearly what is abnormal situation 1. Definition of abnormal situations (Detail as per Annexure)
and make operators know the definition? 2. Display of abnormal situations in shop floor Prem, Kishan Pal
1
3. Awareness of abnormal situations among the shop floor personnel

Do you clarify and standardize the handling 1. Procedure for handling customer complaints, in-process failure and supplier
rules/routes for customer claims, in process defects
2 failure and supplier failure? 2. Criteria for raising QPCR's Ashok Gawle
Handling when abnormal 3. Customer complaint register
1
situation occurs 4. QPCR control registers (for in-house and supplier defects)

Do you have criteria to estimate the scope of 1. Criteria to estimate suspected quantity produced during abnormal situations and
suspected lot for abnormal situation? When system to trace suspected lot produced based upon the criteria
abnormal situation occurs, do you trace 2. Check record of parts produced during abnormal situations for traceability
Prem, Kishan Pal
８．
3 suspected lot based upon the criteria?
Handling
abnormality in
quality
Prevention of recurrence Do you prevent recurrence of issues by 1. Analysis sheet for analysing customer complaints, in-house defects and supplier Ashok Gawle
・Customer claims analysing cause of occurring defect based on defects
・In process failure 1 process investigation result such as 5-why 2. Quality of analysis
・Suppliers failure analysis?

Do you take corrective actions for improvement Countermeasures detail & evidence of standardisation (revision/updation of
2
2
of process control and review the standards? PFMEA, Control Plan, WI/OS Inspection standard, check sheets etc.) Prem, Kishan Pal

After corrective action are taken, do you conduct 1. Evidence of onsite verification of countermeasures
on-site check up and evaluate the effectiveness? 2. Horizontal deployment of countermeasures Prem, Kishan Pal
3 And horizontal deployment.
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Supplier Name Vendor Attendees

Part Name

Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)

1. Storage of material (RM,BOP, WIP & FG) and

Do you keep store material, work-in- process, finished products, inventory bins/trolleys in covered area to prevent it from dust, rust,
Shankar Lal ,
1 and container at appropriate storage prevented from dust, rust, scratch, rainwater etc.
deformation and rainwater? Shubash
2. Storage of material & bins/trolleys to prevent it from
scratch, deformation etc.

1. Locations for storage of material (RM & BOP), WIP and

FG products
1 Location of production site 2
Do you control material, work-in-process and finished product by designated 2. Max volume (max height up to which material can be Shankar Lal ,
location, volume and standard using visual control? stored, max not of boxes, bins, bags which can be stored Shubash
one above other)
3. Max quantity which can be kept in a bin/box/trolley

1. Min lux level at critical operation and inspection station as

Do you implement inspection or critical operation under the properly per IS
９． Shankar Lal ,
5S management
3 controlled environment (luminance/temperature/humidity/vibratio n/noise/ 2. Working condition of critical operation and inspection
work table, etc.)? Shubash
station (noise level, vibration, humidity etc.)
3. Work table for critical operation and inspection

1. Checking of machines for any leakage (water, oil etc.)

Krishanpal/Subhash
2. Checking of machines/equipments for loose wiring,
Shankar Lal
temporary connections
1 Do you keep condition of production equipments, jigs and tools properly? Shankar Lal
3. Condition of dies, tools, jigs (no damage, temporary repair
KrishanPal/Shankar
etc.)
Lal
4. Proper storage of tools/dies
Production equipments
2
management

1. Condition of inspection equipments (no damage,

Ashok Gawle ,
2 Do you keep condition of inspection equipments properly to ensure accuracy? temporary binding etc.)
Vijay
2. Storage of inspection equipments safely (in boxes etc.)
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
1. Daily check record of machines/dies and understanding of operator of the Krishanpal
check points
Maintenance of 2. Check on check by supervisor Krishanpal
Do you conduct daily/regular check of production equipments, dies and jigs? 3. Preventive maintenance record of machines/dies (preventive maintenance
1 equipments , jigs and 1 Shankar Lal
Are records of maintenance kept? plan, preventive maintenance check sheets, history cards)
tools
4. M/c/die breakdown record and analysis
Shankar Lal
Do you confirm regularly the function of Pokayoke, automated stop and 1. List of Poka Yokes Shankar Lal
alarm? Are records of maintenance kept? 2. Evidence of regular checking of Poka Yoke KrishanPal
2 3. Maintenance record of Poka Yoke Shankar Lal

1. Resharpening and replacement frequency of consumable tools (tool life) Shankar Lal
2. Monitoring of resharpening and replacement of tools as per decided frequency
１０． Consumable Tools (examples): KrishanPal
Equipment/Insp - press: trimming & blanking die, punches, springs
ection equipment's Do you standardize frequency of polishing and replacement for consumable - Molding: springs, deflashing cutter, ejector pin and other consumable, etching
3
management tools(blade/electrode/rub stone, etc.)? frequency
- Heat Treatment: thermocouple (1 year as per CQI9 std) , quenching oil cooling
curve checking

Do you calibrate regularly inspection equipments and put the expiry date on
1. Calibration plan of all measuring instruments
them?
Maintenance of inspection 2. Calibration certificates
2 1 Ashok Gawle
equipments 3. In case of in-house calibration, standard being used for calibration and its
implementation
Do you control deterioration (expiry date) of boundary samples for objective
judgments such as appearance inspection? 1. Availability of limit samples as per control plan
2 2. Expiry date on limit samples Ashok Gawle
3. Visual display of OK & NG parts at work station and at final inspection

Do you use easy expression (visualizer, onomatopoeia (alarm) ,etc.) for Shankar Lal
operation instructions? So that operator can easily understand process and
1 critical points. Visualizer or alarm at critical operations for confirmation of completion of work

１１． Do you keep operation instructions on the accessible place and post Display of Work Instruction and critical process and quality parameters for easy Shankar Lal , Kishan
Implementation important quality points and critical operation points on the place where assess ability to operator. In local language so that operator can read and Pal
of standards 2 operators can see it easily? understand it

Do you regularly monitored that each operator operates according to the 1. Operator wise operator monitoring plan for all production areas
operation instructions？ 2. Check record of operator monitoring as per check sheet covering all the
Implementation of
1 activities to be done by operator during working time Shankar Lal , Kishan
standards 3
3. Training plan for operators for weak areas Pal

Is it possible to judge OK/NG specifically by each check sheet (of daily Judgment criteria should be mentioned on check record sheet of product and
equipment check, quality control report, etc.) you use? process checks (e.g..- Upper/ Lower tolerance) Shankar Lal , Kishan
4
Pal
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)
Do you keep first-in first-out of finished 1. FIFO System
products and work-in-process (material, reserve parts） by using 2. Evidence of implementation of FIFO in store, WIP parts storage and FG parts
1 identification tag or lot indication? storage Shankar Lal , Vijay

Do you control following production history by product lot numbers? Identification tags on WIP and FG products for traceability with production lot and
1 Management of parts flow
-production date; -production volume; - date
2 Shankar Lal,Vijay
shipping date

3 Do you control identification of similar parts separately? System to avoid mix up of similar parts (use of different colour tags, different
colour bins/boxes, different colour packings) Ashok Gawle,Prem
１２．
Products Do you control identification of non- confirming parts and parts on hold. Do 1. Identification of NG parts with identification tag or marking describing the Ashok Gawle
you store them separately? defect detail Prem
management
2. Colour of bins to be used for keeping NG parts to be defined (red).
3. Rejection bins to be kept near work station
1
4. System for handling NG parts
5. Disposal of NG parts (scrap/rework) to be done by QA
Non-confirming parts 6. Evidence of analysis of NG parts
2
management
Regarding repaired non-confirming parts and parts on hold for re-use, do you
define responsibility to implement? Are repair record kept? 1. Procedure/WI for rework of parts
2. Display of name of the persons authorized to rework and their skill level in the Shankar Lal , Kishan
2
rework station Pal
3. Rework record with detail of person who has done rework and approved

Do you make arrangements with customers about the packing style & 1. Packing standards approved by customer to prevent damage during handling & Shankar Lal
transportation system to prevent damage during handling of finished transportation
1 products & perform accordingly. 2. Display of packing standards at packing area Prem
13.
Handling 1 Bins/ Trolley Management
Management Do you have system to maintain Bins 1. Condition of bins/trolleys being used in WIP and FG material
/Trolleys in Good Condition. 2. WI for checking & cleaning bins/trolleys
Shankar Lal
2 3. Display of bin check points
4. WI for repairing bins/trolleys

Does the supplier has all inspection instruments required as per drawing Availability of inspection instruments as per drg/control plan/inspection standards Ashok Gawle,Prem
requirements
1

Does the supplier has all Testing Equipments/Rigs required as per drawing Availability of Test equipments as per drg/control plan/inspection standards Ashok Gawle
15. Adequate requirements
1 Testing Facility 2
testing facility
Does the Supplier has trained manpower to operate these inspection and Availability of trained manpower to operate the inspection instruments and test Ashok Gawle, Vijay
testing instruments equipments
3

16. Process Conduct process audit as per process control standard Audit by auditor Shubham
1
Audit 1 As per PCS
Closure of all the observations Closure of observations of previous audit Shubham
2
 MARUTI VENDOR QUALITY SYSTEM AUDIT CUM FOLLOW UP REPORT
Category (Main Audit Area Concerning Regulation (Check Point) Requirements (Redefined) Responsibilities
Clause) (Sub Clause)

Do you have adequate orgnisation structure and defined roles/

1 Management Bandwidth & Organization Structure 1 responsibilities for key areas such as Plant Head, Quality, Production and
Maintenance?

How frequently Top management visits the shop floor?

2 Review Mechanism 2 How frequently Top Management monitors key performances (Performance
17. Scale and at customer end, in-house quality, productivity, maintenance, safety etc.)?
Top Top
Management Management
Plant Sales Turnover for the auditee plant.
bandwidth 3 Plant Sales Turnover* 3
Group Turnover

4 PAT/Sales* 4 PAT/Sales

5 D/E Ratios* 5 D/E ratio

6 ROCE* 6 ROCE

Is shop floor temperature, noise level, air quality (fumes) ok?

Is layout and escape route on shop floor Ok ?
1 Working Conditions 1 Is Rest Area/Toilets Available?
Is area/machine sufficient enough to allow easy movement of machines and
tools.

Are Safety Standards made (as per process requirement) and taught to all
2 operators?
Are PPEs available as per the standards or not?
Top
18. Safety Machine Safety system (Door sensors etc. ) available or not?
3
Is Safety in material movement and tools ensured or not?
Management
2 Human and Machine Safety
Are safety standards followed on shop floor as per the procedure?
Are usage of PPES adhered and monitored (by supervisor/senior) on shop
floor ?
4
Accident reporting mechanism defined ?
Countermeasures against accidents taken and periodic verification being
done ?

3 Fire Safety* 5 Audit Conducted by reputed 3rd party on MSIL defined check sheet?

1 Consent to Operate 1 Consent to operate (Valid as on date) available or not?

Are all operators enrolled for ESI and PF?

Management reviews the status of PF contributions /ESI payment?
2 ESI & PF 2
If ESI& PF managed by Contractor, then does management reviews and
19. Legal
checks the ESI enrolment/ payments?
Compliance and Sandeep Sharma
Environment
Are different type of wastes identified on shop floor and standards/
Procedures made?
3 Hazardous Waste Management 3 Is Segregation done at source for different type of wastes?
Storage and disposal being done as per consent and periodic confirmation at
disposal stage?