Author:Swapon Kumar shill Date:05-10-2021

Title:Suppiler Quality system assessment

Revision: Page No 1 of 5

General information

Supplier Name:

Adress of facility audited(Location)

Vendor audit assessment

Product name/Raw material/Parts :

Nature of Audit

1. Routine

2.Survey

3.Report deficiency

Details of deficiency report:

Audit Item 2

1
Person from Auditee 2
3
Area or activities to be included

1 Quality Management

2 Continuous Improvement

3 Facility & Housekeeping

4 Training & awareness

5 Design & development support

6 Quality Planning
7 Customer Documentation
8 Incoming Inspection
9 Inprocess-Final inspection
10 Warehouse

11 Material Release

12 Control of inspection, measuring,test equipment , Laboratory (QC & QA) & certification

13 Packaging,storage & shipping

Audited on:
Reported on:
Copies to:

3
Draft Checked by Approved by Walton Hi-Tech industries ltd
Location Chandra kaliakoir

Swapon Kumar Shill Depart name Quality management

Section IQC
Sub section Chemical IQC
 Author:Swapon Kumar shill Date:05-10-2021
Title:Suppiler Quality system assessment
Revision: Page No 2 of 5

Instructions for completing sections 1 to

Using the following Rating system, answer each question by writing or typing in the number that describes your response.Supplier can performed self-audit & give the rating itself evaluate the following rating system.
3= procedure or system is thoroughly documented & consistently adhere to
2=Procedure or system exist though may be inadequate and/or is not consistently followed
1= procedure or system exist but is rarely followed/or is not accurate
0= No procedure or system exist at time
N/A=Not applicable

1.Quality Management Rating System Score

1.1 Audit Question: Is the quality system documented, controlled and maintained to clearly describe 0 1 2 3 N/A
current practice?
1.2 Audit Evidence: Quality manual and all procedures show revision control (sign-offs & dates),
history of changes 0 1 2 3 N/A
Audit Question: Do quality reports,trend charts and data analysis identify areas of opportunity and
1.3 0 1 2 3 N/A
are used by management on a routine basis?
Audit Evidence: Product quality yield data, problems and corresponding improvement actions, status
1.4 of preventive/ corrective/audit results 0 1 2 3 N/A

1.5 Audit Question: Are quality-performance targets clearly defined, included in the business plan and 0 1 2 3 N/A
monitored for improvements?
1.6 Audit Evidence: Strategic and tactical objectives, goals, action plans, etc. 0 1 2 3 N/A
Audit Question: Does executive management participate in periodic quality system reviews that
1.7 address quality related feedback from customers and internal quality 0 1 2 3 N/A
metrics?
Audit Evidence: Analysis of field failures, inspection yields, resource needs, internal audit results,
1.8 corrective action status, etc. 0 1 2 3 N/A

Total Score 0
Section 1 comments:

2.Continuous Improvement Rating System Score

Audit Question: Are preventive actions taken based on the analysis of significant business trends, 0 1 2 3 N/A
design reviews, customer satisfaction surveys or other meaningful inputs?
2.1
Audit Evidence: Management review meetings, goal setting, performance measurement, internal 0 1 2 3 N/A
2.2 audits, action plans, customer surveys
Audit Question: Is there a formal approach used to actively pursue cost containment and other 0 1 2 3 N/A
2.3 continualimprovement activities throughout the organization?
Audit Evidence: Employee involvement/recognition program, Lean, Six Sigma, kaizen, SPC, 5-S, cost
0 1 2 3 N/A
2.4 reduction programme.
Audit Question: Is a corrective action system in place that provides root cause analysis and takes 0 1 2 3 N/A
timely and effective action to prevent recurrence?
2.5
Audit Evidence: Corrective actions, trend charts, meeting minutes, non-conformance frequency & 0 1 2 3 N/A
2.6 cost analysis

Audit Question: Does the corrective action system cover customer, internal and supplier issues? 0 1 2 3 N/A
2.7

Audit Evidence: Management review meetings and corrective actions 0 1 2 3 N/A

2.8
Total Score 0
Section 2 comments:

3.Facility & House Keeping Rating System Score

Audit Question:Are there procedures for health and hygiene? 0 1 2 3 N/A

3.1

Audit Evidence: Review the procedure for health & hygine 0 1 2 3 N/A
3.2

Audit Question:Are rest/change/wash facilities separated from production areas? 0 1 2 3 N/A

3.3
Audit Evidence: Practical evidence by auditee 0 1 2 3 N/A
3.4
3.5 Audit Question:Are material Safety Data Sheets maintained? 0 1 2 3 N/A

3.6 Audit Evidence: Review the stored condition 0 1 2 3 N/A

Audit Question:Do you have sufficient area for stores ? 0 1 2 3 N/A

3.7
Audit Evidence: Review the raw material store,pacaking & finished goods store 0 1 2 3 N/A
3.8
Total Score
0
Section 3 comments:

4.Training & awareness Rating System Score

Audit Question:Is there a written training program? 0 1 2 3 N/A

4.1
Audit Evidence: If Yes verify the procedure. 0 1 2 3 N/A
4.2
Audit Question:Have training and development plans been implemented for all employees who have 0 1 2 3 N/A
4.3 an impact on quality?
Audit Evidence: Is there evidence that the people being trained are made aware of the defects that 0 1 2 3 N/A
4.4 may occur from improper performance of their job function?
Audit Question:Are training records maintained on each employee that includes the training 0 1 2 3 N/A
4.5 course/subject, completion date and trainer name?
Audit Evidence:Is there evidence that the quality policy and mission statement is known and 0 1 2 3 N/A
4.6 understood by all employees?
4.7 Audit Question:Are there completed written training records for all employees? 0 1 2 3 N/A

4.8 Audit Evidence: If Yes verify the procedure. 0 1 2 3 N/A

Total Score 0
Section 4 comments:

Draft Checked by Approved by Walton Hi-Tech industries ltd

Location Chandra kaliakoir
Depart name Quality management
Swapon Kumar Shill
Section IQC
Sub section Chemical IQC
 Author:Swapon Kumar shill Date:05-10-2021
Title:Suppiler Quality system assessment
Revision: Page No 3 of 5

5.Design & development support Rating System Score

Audit Question: Are Critical-to-Quality (CTQ) characteristics are identified, understood and records 0 1 2 3 N/A
5.1 retained?
Audit Evidence: Process capability studies, process plan, manufacturing verification tests 0 1 2 3 N/A
5.2
Audit Question: Are product specifications and drawings generated,controlled and maintained for 0 1 2 3 N/A
5.3 new or changed product designs?
Audit Evidence: Product characteristics, application requirements and other information for safe and 0 1 2 3 N/A
5.4 proper use and disposal
Audit Question: Is design validation is an integral part of the design process and occurs prior to
production 0 1 2 3 N/A
5.5 release?
Audit Evidence: Design results, manufacturability, productivity and cost studies, confirmation that
product fulfils its specified requirements or intended use or 0 1 2 3 N/A
5.6 applications
Audit Question: Are human and technical resources are adequate to meet the requirements for
design collaboration, tooling design and electronic drawing and data 0 1 2 3 N/A
exchange?
5.7
Audit Evidence: Qualification of technical staff. Equipment/software capabilities, CAD 0 1 2 3 N/A
5.8
Total Score 0
Section 5 comments:

6.Quality planning Rating System Score

6.1 Audit Question: Are production samples inspected and provided to customers upon request? 0 1 2 3 N/A

6.2 Audit Evidence: Completed PPAP or similar forms, inspection reports, availability of qualified 0 1 2 3 N/A
resources
Audit Question: Are customer production requirements and quality specifications are reviewed to
6.3 ensure they can be met on a consistent 0 1 2 3 N/A
basis?

Audit Evidence: Procedures, design/process review, capacity plans, resource plans, product test,
6.4 storage, packaging and shipment 0 1 2 3 N/A
requirements

6.5 Audit Question: Are reliability test plans developed and routinely followed? 0 1 2 3 N/A

6.6 Audit Evidence: Reliability test plans, test reports 0 1 2 3 N/A

Audit Question: Is product reliability test data is available upon request and historical test
6.7 performance data shows a highly stable process and product design? 0 1 2 3 N/A

6.8Audit Evidence: Reliability test summary reports/charts 0 1 2 3 N/A

Total Score 0
Section 6 comments:

7.Customer Documentation Rating System Score

7.1 Audit Question: Are new and revised customer specifications reviewed and implemented in a timely 0 1 2 3 N/A
manner?

7.2 Audit Evidence: Technical review of methods to be used, capability studies on similar parts, 0 1 2 3 N/A
documented review procedure

7.3 Audit Question: Are current process control documents in place and used for production start-up and 0 1 2 3 N/A
continuing production?

7.4 Audit Evidence: Specifications, engineering drawings, change notices, work instructions and 0 1 2 3 N/A
specifications as applicable
Audit Question: Does customer notification/approval occur for changes to control plans,
7.5 manufacturing site, product transfers, raw material or product obsolescence? 0 1 2 3 N/A

7.6 Audit Evidence: Customer notification procedure on major changes 0 1 2 3 N/A

7.7 Audit Question: Is there a record control system is in place for the identification, storage, protection? 0 1 2 3 N/A

7.8 Audit Evidence: Document control procedure 0 1 2 3 N/A

Total Score
0
Section 7 comments:

8.Incoming Inspection Rating System Score

8.1 Audit Question:Are incoming materials inspected to all requirements of a purchase order, general 0 1 2 3 N/A
specifications, and/or applicable drawings?

8.2 Audit Evidence: Is there evidence that test reports, certificates of conformance or chemical and physical 0 1 2 3 N/A

8.3 Audit Question:Are there inspection procedures for incoming materials? 0 1 2 3 N/A

8.4 Audit Evidence: Is there evidence (records) that the material has passed inspection and tests as 0 1 2 3 N/A
defined by the acceptance criteria?

8.5 Audit Question: Are statistically valid sampling plans with AQL’s based upon customer requirements 0 1 2 3 N/A
utilized?

8.6 Audit Evidence:Is there evidence that first article inspections are performed on new parts/materials 0 1 2 3 N/A
or when materials, processes or suppliers are changed?

8.7 Audit Question:Are there procedures and practices to insure that incoming materials as well as 0 1 2 3 N/A
rejected materials are kept segregated and secured from accepted material?

8.8Audit Evidence: Is there evidence that correction action requests are being routinely issued to supplie 0 1 2 3 N/A
Total Score 0
Section 8 comments:

Draft Checked by Approved by Walton Hi-Tech industries ltd

Location Chandra kaliakoir
Depart name Quality management
Swapon Kumar Shill
Section IQC
Sub section Chemical IQC
 Author:Swapon Kumar shill Date:05-10-2021
Title:Suppiler Quality system assessment
Revision: Page No 4 of 5

9.In-process & final inspection Rating System Score

Audit Question: Is in-process and/or final inspection being performed on each lot to insure
9.1 compliance to all requirements of the customer purchase order, general specifications, and/or 0 1 2 3 N/A
applicable drawings?

9.2 Audit Evidence: Is there evidence of adequate identification, including inspection and test status 0 1 2 3 N/A
throughout the process?

Audit Question: Is inspection and test data maintained on file and traceable to each lot? If yes, for
9.3 how long? 0 1 2 3 N/A

9.4 Audit Evidence: Do retained quality records demonstrate conformance to product requirements? 0 1 2 3 N/A

9.5 Audit Question: Is there a procedure for the identification, segregation and disposition of discrepant 0 1 2 3 N/A
parts and assemblies?

9.6 Audit Evidence: To show repaired or reworked parts are being fully re-inspected to all applicable 0 1 2 3 N/A
requirements.

9.7 Audit Question: Where inspection and testing is being performed, are there written procedures with 0 1 2 3 N/A
statistically valid AQL based sampling plans being utilized?

9.8 Audit Evidence:If yes, proven document are attached. 0 1 2 3 N/A

Total Score 0
Section 9 comments:

10.Warehouse Rating System Score

Audit Question: Are storage facilities/equipment/ rented or personnel contracted? 0 1 2 3 N/A

10.1
Audit Evidence: If Yes, please provide details with attached file. 0 1 2 3 N/A
10.2 3

Audit Question: Are receipt and release procedures documented? 0 1 2 3 N/A

10.3

Audit Evidence: If Yes, please provide details . 0 1 2 3 N/A

10.4 3
Audit Question: Is the supply chain documented?How is material status controlled? (i.e. Physical,
system or labelling).How is rejected material controlled? (i.e. Physical, system or labelling).Is there an 0 1 2 3 N/A
identified sampling area?
10.5
Audit Evidence:If yes, proven document are attached. 0 1 2 3 N/A
10.6 3
Audit Question:Is a First-In-First-Out or First-Expiry-First-Out system in use? (Identify).Are shelf
life/expiration dates used?Is Temperature (T°), controlled and documented?Is Relative humidity (RH 0 1 2 3 N/A
%), controlled and documented?
10.7
Audit Evidence: If yes, proven document are attached. 0 1 2 3 N/A 3
10.8
Total Score 12
Section 10 comments:

11.Material or components Release Rating System Score

Audit Question: Is the decision to release/reject product made by a person or function independent
11.1 from production?Is the final status recorded? 0 1 2 3 N/A

11.2 Audit Evidence: If yes provide feasible documents 0 1 2 3 N/A

3
11.3 Audit Question: Are certificates issued for each batch?Are certificates signed by QA/QC? 0 1 2 3 N/A

11.4 Audit Evidence: If not, who signs certificates? 0 1 2 3 N/A

3
11.5 Audit Question: Is shelf life or retest dates or expiry date provided on the C of A OR 0 1 2 3 N/A
C of C.
11.6 Audit Evidence: If yes, provide attached file 0 1 2 3 N/A 3
11.7 Audit Question: Is there a documented recall procedure? 0 1 2 3 N/A

11.8 Audit Evidence: Document control procedure 0 1 2 3 N/A

3
Total Score
12
Section 11 comments:

12.Control of inspection, measuring,test equipment , Laboratory (QC & QA) & certification Rating System Score

Audit Question:Is an equipment use log in place?Are all instruments qualified (IQ, OQ, PQ)?Are all
12.1 instruments calibrated?Are all measurement equipment clearly labeled with the last date of 0 1 2 3 N/A
calibration and when due for recalibration?Do you perform PT or ILC,MSA?

12.2 Audit Evidence:If yes, proven document are attached. 0 1 2 3 N/A

3

Audit Question:Are there documented procedures for:1.Sampling 2.Sample handling 3.Sample

12.3 labelling 4.Re-testing / Re-sampling 5.Specification generation 6.Control and review of analytical 0 1 2 3 N/A
methods 7.Investigation of rejected material 8.Handling out of specification results

12.4 Audit Evidence:If yes, proven document are attached. 0 1 2 3 N/A

3

12.5 Audit Question: Are manual calculations checked by a second person?Are data transcriptions 0 1 2 3 N/A
checked by a second person?Is all raw-data retained?Are analytical methods validated?

12.6 Audit Evidence:If yes, proven document are attached. 0 1 2 3 N/A

3

Audit Question:Is there a procedure that describes calibration intervals and maintenance
12.7 requirements for all measurement equipment that is used to measure part or product conformance? 0 1 2 3 N/A
Are calibration records maintained for all measurement equipment? Who performs the calibrations?

12.8 Audit Evidence:If yes, proven document are attached. 0 1 2 3 N/A

3
Total Score
Section 12 comments:

Draft Checked by Approved by Walton Hi-Tech industries ltd

Location Chandra kaliakoir
Depart name Quality management
Swapon Kumar Shill
Section IQC
Sub section Chemical IQC
 Author:Swapon Kumar shill Date:05-10-2021
Title:Suppiler Quality system assessment
Revision: Page No 5 of 5

13.Packaging,storage & shipping Score

13.1 Audit Question: Is there a procedure that describes proper handling, packaging, storage, preservation, and 0 1 2 3
shipping methods?

13.2 Audit Evidence: If yes provide feasible documents 0 1 2 3

13.3 Audit Question: Are labeling, certifications, and packaged finished product inspected and verified to insure 0 1 2 3
compliance with customer requirements prior to shipment?

13.4 Audit Evidence: If yes provide feasible documents 0 1 2 3

Audit Question: Are finished goods effectively segregated with a manufacturing lot number or a date coding
13.5 system that includes the part number and revision level? 0 1 2 3

13.6 Audit Evidence: If yes provide feasible documents 0 1 2 3

13.7 Audit Question: Is a list of approved hauliers in use?Is temperature controlled transports used? 0 1 2 3

13.8Audit Evidence:If yes, proven document are attached. 0 1 2 3

Total Score 0
Section 13 comments:

Supplier Quality System Audit Scorecard

Instructions for use:
1. Transfer the rating scores from the individual questions within each section to the corresponding areas within the table below.
2.Calculate the Total Section Score by adding together the ratings of each applicable question score per section.
3.Calculate the Supplier Overall Audit Rating by dividing the sum of the Total Section Scores by the sum of the Maximum Possible Scores.

Individual Question Scores Average score per

Survey Section Total section score Max. Possible score section
0.2 0.4 0.6 0.8
1 Quality Management 3 3 3 3 12 12 3
2 Continuous Improvement 3 3 3 3 12 12 3
3 Facility & Housekeeping 3 3 3 3 12 12 3
4 Training & awareness 3 3 3 3 12 12 3
5 Design & development support 3 3 3 3 12 12 3
6 Quality Planning 3 3 3 3 12 12 3
7 Customer Documentation 3 2 3 3 11 12 2.75
8 Incoming Inspection 3 0 3 3 9 12 2.25
9 Inprocess-Final inspection 3 3 3 3 12 12 3
10 Warehouse 3 0 3 3 9 12 2.25
11 Material Release 3 3 3 3 12 12 3
12 Control of inspection, measuring,test equipment , Laboratory (QC & QA) & certification 3 3 3 3 12 12 3
13 Packaging,storage & shipping 3 3 3 3
12 12 3
Total 149 156

SUPPLIER OVERALL AUDIT RATING% 95.51

Audit Rating Recommendations:

≥ 95 %= Outstanding quality system and performance.
≥ 80 % = Meets requirements with above average to superior quality system and performance.
≥ 65 % = Requires improvements in meeting quality system standards and performance.
< 65 % = Requires significant improvement in meeting quality system standards and performance.
≤ 45 % = No quality system in place.

Draft Checked by Approved by Walton Hi-Tech industries ltd

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Depart name
Swapon Kumar Shill
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