TATA MOTORS - PURCHASING & SUPPLY CHAIN

Control Plan Audit Summary Report

Date:

Supplier Name: Electrica Engineers (I). Pvt.Ltd. Supplier Phone: 7722034578

Supplier Code: E64030 Plant Location Pune

Auditor: (SQE) Nilesh Mukherjee Auditor Phone: 9771420087

Auditor: E-Mail: n.mukherjee@tatamotors.com TML Division: Jamshedpur Plant

Part Number (s): 2816 5441 0123N Part Name: Large Roof lamp with LED

Drawing Date: 11/23/2018 ECN NO Eng. Change Level: c

PPAP Status: Done Model Year: Prima & Signa Program:

Commodity: Electrical

Reason For Audit: Safety Related Part ? ✘ Yes No N/A

Future ✘ Launch Current Partial Other
Type of Audit: Product Validation Complete:
✘ Initial Follow Up ✘ Yes No N/A

Focus of Audit:
✘ Part / Assembly ✘ Operation / Machine ✘ Line /Cell ✘ Complete Mfg. System
✘ Quality System - Ongoing Documentation

Technical Information Availability

4 1. Actual Drawing 4 2. Approved Drawing 4 3. Drawing Complete
4 4. Technical Regulations 3 5. DFMEA to PFMEA
19 Total Potential 20 => 95.0%

Quality System Documentation

4 6. Process Flow Diagram (PFD) 4 7. PFMEA Available 3 8. PFMEA Acceptable
4 9. Evidence PFMEA Up to Date 4 10. Process Control Plan (PCP) Available 4 11. PCP Acceptable
3 12. PCP address all print requirements 4 13. Current Controls PFMEA and PCP 3 14. RPN reduction plan
4 15. Continuous Improvement Procedure/Process 4 16. Sample Sizes and Frequency
41 Total Potential 44 => 93.2%

Quality System Implementation Plan

3 17. Approved Material List 4 18. Controls in Place for Incoming Material 4 19. Parts have Traceability
4 20. Workplace Properly Configured 4 21. Tools and Gauges Identified 4 22. Gauges Calibrated
4 23. Tools and Gauges Certified 4 24. Gauge Repeatability and Reproducibility 4 25. Proper Operator Instructions
4 26. Operator Instructions at Each Operation 4 27. Detailed Standardized Work Instructions 4 28. Standardized Work
4 29. Standardized Work Followed 4 30. Operators Understand Instructions 3 31. Operators Trained
4 32. Boundary Samples Available 3 33. Master Parts/Samples Available 4 34. Master Parts for Error Proofing
4 35. Preventative Maintenance Plan on Tools 3 36. Tool Change part quality verification 4 37. Prev. Maint. Plan on Equipment
4 38. Plan include adequate spare tools 4 39. SPC Data 4 40. Upper / Lower Control Limits
4 41. Reasonable Control Limits 4 42. Out of Control Limits 3 43. Product Audits for Final Product
4 44. Capability Studies 4 45. Packaging and Material Handling 4 46. WIP for Final Product
4 47. Parts and Components Label
119 Total Potential 124 => 96.0%

Quality System Implementation by Management

3 48. Tracking of Downtime 4 49. Out of Control Conditions 4 50. Action Plans Followed
4 51. Implementation Responsibility 4 52. Communication 4 53. Support System for Operators
4 54. Information across all shifts 4 55. Check Requirements Performed 4 56. Process Parameters
4 57. WCSQ Audit 3 58. SA 8000 Basic Principles
42 Total Potential 44 => 95.5%

Pts Element Scoring

95% 19 Technical Information Availability GREEN 0 Element is not in place and no evidence of plans to implement

93% 41 Quality System Documentation GREEN 1 Element is not in place but a plan to implement is documented

96% 119 Quality System Implementation Plan GREEN 2 Element is in place but it is not being followed

95% 42 Quality System Implementation by Management GREEN 3 Element in place but not followed at each job or all the time

95% 221 Overall GREEN 4 Element is in place and it is being followed

NR
Summary Scoring: Green ≥ 85% Yellow 60-84% Red <60%

Approved Approved, but need Documentation Not Approved Follow-Up Audit Date:

Supplier Representative Name with Signature TML Representative Name with Signature

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 A. Technical Information Availability AUDIT WORKBOOK
QUESTION: EVIDENCE/ DOCUMENTATION G
In regard to Technical Information Availability REQUIRED
QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
R
Are actual drawings available at production facility with Drgs Do you have drawings?
1 4 G Soft copies available
the latest change level? Material Spec Sheets Do you have math data?

Does the supplier have the final customer approved Drgs

2 Have you checked Revision Number and revision date? 4 G Yes available
drawing? Material Spec Sheets

Is the drawing complete (Tolerances, GD&T, Correct Completed Engineering

3 Verify drawing has all information (if applicable, time wise) with PPAP package. 4 G Available
Datum's, Key Process Characteristics, etc.)? Drawings

Are all technical regulations/Component Technical

Part Drawing /Specification Verify Component Technical Specifications and Sub-System Technical Specification are
4 Specifications /Sub System Technical Specification 4 G Yes available
Package available for review.
available?

If supplier is design responsible, has DFMEA been used Verify PFMEA addresses initial DFMEA concerns (high RPNs, corrective actions, etc.) Verify that
5 DFMEA / PFMEA all customer (end user) severity level 8 and above items map to PFMEA correctly. (If DFMEA is 3 Y Yes, DFMEA done
to develop the PFMEA? available)

B. Quality System Documentation AUDIT WORKBOOK

G
QUESTION: EVIDENCE / DOCUMENTATION QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
In regard to Quality System Documentation REQUIRED
R

Is a Process Flow Diagram available and complete

(include receiving, rework, scrap, gauging/inspection, Is the Process Flow Diagram linked to FMEAs, Control Plan, Operator Instructions, etc? Does it Yes Available. And Process Flow Diagram is
6 Process Flow Diagram contain receiving, rework, scrap, gauging/inspection, shipping and labeling during entire 4 G
shipping, labeling and Part ID at receiving, finished production? accordingly linked to Control Plan.
good and shipping areas)?

7 Is there a PFMEA available? Current Updated FMEA Verify team members , dates etc. of actual PFMEA. 4 G Yes available

Is the PFMEA acceptable (RPNs, numbers match

Process flow and include Key Product PFMEA Changed Log, Meeting Verify that ALL high RPN or Critical line items have action plans which include Error Proofing.
8 3 Y Yes
Characteristics/Process Quality Characteristics/Key Minutes or Similar History All customer severity level 8 and above must be reviewed regardless of RPN.
Control Characteristics )?

Do RPN numbers reflect latest AIAG edition ? (4th edition March 2006)
Evidence of current issues are related back to P.M. Check Sheet.
9 Is there any evidence that it is kept up to date? PFMEA Changed Log, Meeting Review P.M. Log for TYPE of Interval.
4 G updated as per requirement
Minutes or Similar History Is it TIME or QUANTITY based (P.M.)?
Verify that PFMEA is updated as required & matches Control Plan (Review PRR's).
Verify any current failure mode is present on the PFMEA.

10 Is there a Process Control Plan (PCP) available? Updated Process Control Plan Verify current dates, etc. of PCP document. 4 G Available

Is the Process Control Plan (PCP) acceptable (numbers

match PFMEA and Process Flow, including Key Product Verify that PFMEA is updated as required and matches Process Control Plan. All processes
11 Characteristics/Process Quality Characteristics/Key Control Plan , Changed Log, with customer severity level 8 and above from PFMEA must be noted in PCP and error proofing 4 G Control Plan updated.
MOM controls in the manufacturing process must be verified.
Control Characteristics, EPC if applicable and latest
revision included)?

Does the control plan address released drawing CQI 9 Assessment Control Plan
requirements relative to (dimensional, material, rust Drawing Review CQI 9, CQI 11, CQI 12 Assessment. Review Sediment Controls. Review Past PRR Current Control plan addressed all the
12 3 Y
preventative, heat-treat, micro-finish, Hazardous material spec. History. drawing requirements.
contamination/sediment, etc.)? sheets

Current Controls
Are all "Current Controls" listed on the PFMEA detailed
13 Call Out on Are Current Controls listed on the PFMEA and PCP? 4 G Yes
on the Control Plan?
Drawing/PCP/PFMEA

Are process controls in place in the PCP to address the PFMEA Change Log, PCP or Appropriate Control and/or Redundant Inspection as appropriate. All processes with
14 customer severity level of 8 and above from PFMEA must be noted in PCP and controls in 3 Y Process Control not effective for High RPN
high PFMEA Risk Priority Numbers? RPN Reduction Worksheet the manufacturing process must be verified regardless of RPN.

15 Is there a procedure/process for Continuous PFMEA Procedure of Meeting minutes, worksheets, historic PFMEA's. 4 G Yes
Improvement for Risk Reduction? Continuous Improvement
Is there a history of failures in spite of existing controls?
16 Are sample sizes and check frequency for each Control Plan Does internal data (scrap, rework, FTQ, etc) suggest sample sizes and frequency are 4 G We have addressed failures in current
operation reasonable? adequate? control.
C. Quality System Implementation Plan AUDIT WORKBOOK
G
QUESTION: EVIDENCE / DOCUMENTATION QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
In regard to Quality System Implementation Plan REQUIRED
R

Does the organisation´s suppliers provide evidence of

Review PPAP data, including interim approvals (How do you indicate that component
17 approved material for all components needed for the Supplier PPAP Packages parts/assemblies on the manufacturing floor are approved prior to release). 3 Y Supplier PPAP available
assembled part?

Are controls in place to ensure only approved incoming Certification/Test Records Review Incoming Inspection Sheets (if available).
18 Review Hold or Reject area for Incoming Inspection area (component parts/assemblies on the 4 G Incoming inspection sheets verified.
material released for production? Cumulative Control Data manufacturing floor are approved prior to release)

When parts require traceability, do controls link

19 Traceability Documents Look for Lot Controls, Dimensional Traceability 4 G Tracebalitiy available upto customer.
component traceability to the final part?
Process Flow Diagram
20 Is the workplace properly configured and matches Operator Instruction at Does the Material Flow / Work Station match the Process Flow Diagram? 4 G Workplace matches Process Flow Diagram.
Process Flow Diagram?
Workstation

Gauge and Tool Certification Verify tools and gages are to the latest engineering change level and Preventative
21 Are all tools and gauges properly identified? Maintenance as specified. 4 G Yes
Records Ensure all TML or other customer's tags are available on the tooling.

22 Are all gauges calibrated? Gauge and Tool Certification Check to make sure gauges are calibrated.
4 G Yes
Records Verify tools and gages are to the latest engineering change level.

23 Are all tools and gauges certified? Gauge and Tool Certification Check to make sure tools and gauges are certified.
4 G Yes
Records Verify tools and gages are to the latest engineering change level.

24 Is gauge Repeatability and Reproducibility less than Gauge R&R Documentation Check to make sure that gauge R&R is done on a yearly basis for all gauges. If gauge R&R is
4 G yes completed as per plan
10%? between 10 and 30 percent (MSA & PPAP Manual).

25 Do all gauges have proper operator instructions? Gauge Instructions Ensure that Gauge Instructions are attached to the gauge. 4 G All the gauges has proper instruction.

Are proper operator instructions available for each Verify operator instructions are firmly attached and visible to operator during gauging process. Yes available work instruction for each
26 Operator Instructions 4 G
operation? Verify instructions are to the latest engineering change level. operation

Are Standardized Work instructions detailed to run the

Verify operations are being performed as indicated in work instructions (job time, handling of
27 job properly to takt time, including handling of non- Operator Instructions non-conforming material etc). 4 G Operations are performed according to WI.
conforming parts?

28 Is there Standardized Work? Standardized Worksheets Verify that there are Standardized Worksheets. 4 G Available

29 Is the Standardized Work being followed? Standardized Worksheets Layered Audits. 4 G Layered Audit System available.

Ask operator to demonstrate use of gage and explain implication of conforming and non-
30 Do the operators understand the instructions? Operator Instructions conforming parts. 4 G Yes
Ask operator to demonstrate use of gage and explain implication of conforming and non- Skill matrix dispalyed at Workstation & 6
31 Have operators been properly trained? Operator Instructions conforming parts. 3 Y
Certification Training Record or Plan. month periodic review.

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 Are boundary samples (BS) available to operators and Verify operations are being performed as indicated in work instructions (job time, handling of
32 Operator Instructions non-conforming material etc). 4 G Boundary sample validity to be revised.
in use? Verify that supplier has actual boundary samples for review.

Are Master Parts or samples available to confirm Master Parts

33 Verify Master Parts 3 Y Master samples availiable on line
inspection? Samples

34 Are Master Parts available for error proofing devices? Set Up Records Challenge the E.P. system.
4 G Master samples availiable with error
E.P Verification Plan, Layered Audits, Test Parts for Error Proofing. proofing devices.

35 Is there a Preventive Maintenance (PM) plan on tools PM Log Review PM Log to verify PM performed according to PM procedure. 4 G PM plan availiable and maintain 100%
and is it followed? PFMEA

36 Is there standardized work (or control plan) for part Standardized Worksheets Review Control Plan. Review tool change log.
3 Y Same procedure followed for quality
quality verification following a tool change? Control Plan Verify standardized work instructions. Verify 1st piece setup log. verification following tool change.

37 Is there a Preventive Maintenance (PM) plan on PM Log Verify PM plan is being followed.
4 G PM plan is being followed.
equipment and is it followed? PFMEA Review PM Log to verify PM performed according to PM procedure.

38 Does the plan include adequate spare tools and is it PM Plan and Spare Tools Verify Spare Tools required according to PM procedure. 4 G Spare part list availiable with minimum
followed? stock level

Look at actual SPC records and data collection. Are all data boxes filled in?
Are control limits calculated?
39 Where the Process Control Plan calls for SPC are the Process Control Plan Are there trends/patterns present that would indicate a need to recalculate limits?
4 G SPC Data Properly Recorded
data properly recorded? SPC Records Are the limits actually control limits or are they spec limits?
Do the control limits exceed the specified tolerances?
Do the limits indicate the process to be incapable and yet the process is allowed to run?

40 Are the Upper & Lower Control Limits (ULC) current? X-Bar and R Charts How old are the ULC? 4 G Within limits

Look at actual SPC records. Are all data boxes filled in?
Are control limits calculated?
Run Charts Are there trends present that would indicate a need to recalculate limits that have been
Does the data make sense and are reasonable control
41 Process Control Plan ignored? 4 G Reasonable control limits.
limits shown? Are the limits actually control limits or are they spec limits?
SPC Records Do the control limits exceed the specified tolerances?
Do the limits indicate the process to be incapable and yet the process is allowed to run?

Are out of control points noted with the corrective Review actual SPC records. SPC record review and no observed out of
42 SPC Records Every point out if control requires a note outlining corrective action. 4 G
action taken? Answer no if any out of control point is not explained. control points.
Are product audits showing acceptable results for Final Dock and Incoming Audit Documented failed parts per shipment.
43 3 Y Done,As per plan
Product? Sheets, Layered Audits Dock Audits/Tracking Trends/Discrepant Parts.

Review current capability records.

44 Does the manufacturing process demonstrate the Ppk Studies Does the process demonstrate a minimum of 1.67 Ppk / 1,33 Cpk for KPC's (per PPAP 4 G Available
required capability or performance? Manual)?

Does packaging and material handling protect parts Does WIP protection at supplier have adequate protection to protect parts from damage until
packed and on carrier?
45 from damage? Dock and Incoming Audit Is there evidence that damage observed at assembly center, etc, is present at supplier? 4 G Child Parts storage at incoming level found
Especially, have adequate protection to protect Sheets Are there any PRRs related to Package and Handling? satisfactory.
metallic parts from rust? For Material handling for the entire process, are parts protected from damage?

Are instructions for handling Work In Process (WIP) and

46 final product followed throughout the process to WIP Instructions Check to make sure all operators and material handling personnel are aware of and following
4 G availiable
Final Shipping Instructions WIP instructions.
shipping area; including repair/rework areas?

Shipping Label
Are all parts and components labeled properly and is
Part Drawing Does the Shipping Label match the Part Drawing ?
47 shipping label error proofing to prevent part 4 G Shipping label available
Process Control Plan Verify Control Plan and In-Process Inspection sheets.
misidentification?
Inspection Sheets

D. Quality System Implementation by Management AUDIT WORKBOOK

QUESTION: G
In regard to Quality System Implementation by EVIDENCE / DOCUMENTATION QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
Management REQUIRED R

Is there a process for documenting and tracking Plant Informational Board Are records for Downtime, Scrap, First time Quality, Premium Freight, Plant Problem Reports
used to manage the business?
48 Downtime, Scrap, First time Quality, Premium Freight, Current Charting of Look for existing charts, data logs, action plans, or similar that validate the existence of a 3 Y Cutomer Complaints to be displayed.
Plant Problem Reports? Information tracking mechanism.

Regularly review SPC data, check to see that there is a system to manage out of control
49 Does leadership ensure that Out of Control Conditions SPC Records conditions that includes action plans with assigned responsibility. 4 G SPC records in placed.
& nonconformities are managed? Action Plans Ask someone noted on the action plan to explain their involvement and or responsibility.

SPC Records Document effectively and timely, check to see that there is a system to manage out of control
50 Are Action Plans (AP) for all nonconformities followed? conditions that includes action plans with assigned responsibility. 4 G yes
Action Plans Ask someone noted on the action plan to explain their involvement and or responsibility.

Is responsibility for implementation assigned and do SPC Records From SPC review, check to see that there is a system to manage out of control conditions that
51 includes action plans with assigned responsibility. 4 G Yes Properly Assigned
people understand their responsibility? Action Plans Ask someone noted on the action plan to explain their involvement and or responsibility.

Are problems quickly communicated to people who Does an escalation process exist to quickly communicate to the appropriate level within the
52 Problem Log 4 G daily meeting with CFT team
can help? organization and ensure that support and action plans are followed.

Look for a daily problem log or similar.

Look at entry and action dates for some evidence of that those responsible for resolution are Support System Responds to
53 Does the support system respond to the operator? Problem Log quickly engaged. 4 G operator.Problems record by operator in
Look for evidence that operators are part of the problem resolution process. daily production report
Ask operators if they are aware of problems and how they are resolved.

Look for shift log/notes.

If more than one shift, does information part passes Audit records to assure that reported problems and their resolutions are also reported back to
54 Shift Log 4 G Single shift production.
across shifts? the originator.
Look for evidence of a closed loop on shift problems.

Are all checks to be done under the PCP requirements Is there evidence that all concerns are tracked back to the PFMEA to confirm that the failure
performed? PFMEA mode has been included? Latest failure Modes to be included in
55 Look for PFMEA change log cross referenced to PRR log, customer complaint log, voice of the 4 G
Are results properly documented? Process Control Plan process review, warranty data, etc. PFMEA.
Are suitable actions taken in case of deviations? Is there evidence that controls have been added, or controls/RPNs revised based on concerns.

Are major process parameters identified with

DOE or other
56 reasonable evidence [example:DOE (Design of experimental date Determine which process parameters satisfy the product specifications with reasonable
4 G Done during develpoment stage.& Yearly
Experiment) or Full Factoral method etc. ] and evidence. These parameters should be included in the PFMEA and PCP. This evidence is Process qualification plan also available
Process Control Plan recommended as a DOE (Design of Experiment) or Full Factoral method and should be
controlled with the PCP? validated with enough sample size. The defined critical process parameters should be
controlled and password protected in the PLC (Programmable Logic Controller). Supervisor’s
approval would be required to change the parameters.

Are plans in place to implement all elements of World Perform and complete WCSQ Is there evidence of a WCSQ Audit? Has the supplier had a WCSQ Workshop? What is the plan WCSQ inititated, Quick response tracking
57 to implement WCSQ principals and elements? Is there a Master Dot Action plan for all red and 3 Y
Class Supplier Quality(WCSQ) System? Audit and action plans yellow WCSQ elements and PCPA elements? board implemented & monitored.

Does the work environment demonstrate compliance Review manufacturing Verify there are no hazardous work conditions, no health & safety issues, workers appear to be Good in safety adherance.
58 of legal age, and no forced or abusive labor practices. Refer to SA8000 Basic Principles for 3 Y
to the Principles? work environment more information. But 5s to be properly maintained.

Approved ✘ Approved, but need Documentation Rejected

TML Representative Name with

Supplier Representative Name with Signature Follow-Up Audit Date
Signature

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