Part & Process Audit: Summary: General Supplier Information

D030_4_2_EN
Issue G
Part & Process Audit: Summary

Supplier:
Supplier contact name:
Plant / Location:
Position:
Address:
Phone:
Email Address:
Supplier code:
Fax:
Audit Date:
Initial audit (new supplier):
Report number:
Initial audit (existing supplier):
Auditor Name:
Re-audit:
GENERAL SUPPLIER INFORMATION:

Quality System Certification:
Valid until:
Environmental System Certification ISO 14001:
YES
NO
Valid until:
Special Process Assessment :
YES
NO
Valid until:
MMOG/LE/EVALOG :
YES
NO
Valid until:
Does the supplier have product liability insurance:
YES
NO
SUPPLIERS QUALITY PERFORMANACE (rolling 6 months)

Total Demerit Score:
PPM:
Performance Status:
Audited product(s) / product group(s):
Suppliers participants:
TRW participants:
Fulfillment level
Classification
Overall Audit Result:
NR
NR
Development Result:
NR
NR
Serial Production Result:
NR
NR
Please find further details within the Assessment Matrix.
Summary / remarks:
Engineering assistance required:
YES
NO
Purchasing assistance required:
YES
NO
Supplier corrective action plan required by:
YES
NO
Next audit date:

Date:
Immediate containment actions required in case of critical concerns:

Critical concerns
Containment actions
Supplier Signature / Name / Date
Who
When
TRW Signature / Name / Date
Distribution:
Evaluation & Assessment Matrix

Result %
90 - 100
Classification
A
Description of the classification

Quality-capable
80 - <90
B
Conditionally quality-capable
<80
C
Not quality-capable
Rating can be downgraded according VDA 6.3 downgrading rules. Please find further details within the Assessment Matrix.
Date: 15 February 2013

Revision: G
Doc No: D_030_4_02
Page 1 of 6
266859677.xlsx; Cover sheet
Process Owner/Department:
R. Donaldson / Supplier Development
Approved by:
L. VanDongen / Global Director, SDE
Part & Process Audit: Questionnaire

Questions involving special product
or process risk are identified by
asterisk (*).
In such cases, devia tions from
requirements must be classified
more severely.
P2
2.1
Supplier:
Location:
Question
Audit Date:
Report #:
Requirements
Look For
Status
30-Dec-99
0
Observations
Generally
No.
Project management
Is the project organiza tion (project management)
T he project management is in a position to mee t the customer
established and are tasks & authorities specified for requirements. A process for establishing the project
the team leader and team members?
m anagement exists. The authority of the project leaders and
team members is sp ecified, together with links to the
organization. All the expertise required for implementation is
established. The suppliers are engaged in the project
m anagement throughout.
- evidence of resources (specialists) for specific

technologies
- specification of tasks, expertise and responsibilities of
the project leader / project team
- project network for international projects (organization)
- project organiza tion chart
- make-up of the project team
- customer requirements
NR
enter reason for NR (not rated)

2.2
Are the resources required for the project

development planned and availa ble and are all
changes displayed?
R esource planning takes account of the customer requirements, - evidence of resources for specific technologies
ba sed on the contract covering the project. Resource p lanning (specialists)
(a cross-fun ctional, interdisciplinary team) for project
- evidence of resource planning (take account of other
m anagement is esta blished and implemented. The necessary
projects for other customers)
project budget is planned and released. The technical
- plannin g takes account of the customer project (short
pe rsonnel, with the relevan t qu alifications, are provided at the
paths)
rig ht time by the specialist departments. T he work-load on
pe rsonnel must be taken into account in the planning. Ch anges
in the project must be notified at an early stage and agreed with
the customer before they are implemented. If changes occur in
the project (timings; extent of development, etc.) a check is
m ade on resource planning and changes are made if necessary.
T his applies to changes caused b y the customer, to in-house
changes and change s by suppliers. R esource planning also
takes account of su ppliers. In particular the critical path is taken
into account when planning resources.
NR

2.3
Is there a project plan and has this been agreed with T he project plan meets the customer specific requirements. All
the customer?
in-house and custom er milestones are fully included in the
project plan and are regularly adjusted to take account of
changes. A specified distribution system is in place to ensure
that changes in the project plan are communicated internally.
C hanges to the project plan not initiated by the customer are
discussed and agreed with the customer. The project takes
account of critical delivery items. The critical path is generated
from the project plan. The QM plan must be part of the project.
2.4
Is change management in the project ensured by

the project organization?
- Project plan with milestones

- Specific customer req uirements regarding technologies
and/or product groups
- customer project p lan
- customer timing requirements
NR
- customer milestones
- customer targets (metrics within the individual
milestones)
- Milestone assessmen ts (reviews)
- QM plan
C hange management within the project meets the customer

-Timing plans
specific requirements. Manufacturing feasibility checks on
- Process descriptions Change management
changes are carried out and documented. Changes are
- Change request fo rms
highlighted at the right time and agreed with the customer. All
- Change record
changes are documented using a defined process. Changes not - Assessments of changes
initiated by the customer are discussed and agreed w ith the
- Change app rova ls
customer. Where changes have an influence on product quality
the risks must be assessed with the customer. Suppliers are
actively involved in change management (for critical aspects).
T imings for changes to stop are defined and complied with. Any
de viations from this rule are agreed in writing between customer
an d supplier. T he period for changes before SOP does not
jeopardize product quality. The implementation of changes must
be a ssessed jointly, depending on the time rem aining before
SOP.
NR

2.5
Are the responsible personnel w ithin the

Persons responsible for change management and their
organization and in the customer company involved representatives, in the organization, in the custom er
in the change co ntrol system?
organization and at the suppliers are defined. There is a
regulation covering dealing with changes (distribution, time
pe rmitted for processing and escalation paths. customer
requirements for handling changes are complied with or
specifically controlled a nd documented.
2.6
Is there a QM plan for the project? Is this

implemented and monitored regularly for
compliance?
T here is a d efined regulation co vering persons responsible for

changes.
- Timing plans
- Process descriptions
- Change m anagement
- Specified responsibilities
- Change request fo rms
- Change record
- Assessments of changes
NR
- Change app rova ls

A QM plan must be integrated in the project plan, covering all

- Project plan
activities relevant to QM planning . T he QM plan is drawn up in - customer milestones
accordance with the customer requirements/contract and
- customer requirements regarding QM planning
contains both internal and external product securitization
- customer specifications
criteria. The persons responsible for drawing up and
- Critical delivery item s are taken into account in the QM
m aintaining the QM plan are defined and in place. The QM plan plan
takes account of the tim ings in the overall project. It also
- Planned (status) reviews are carried out jointly,
contains critical delivery items. The QM plan takes account of all depending on the technology/product groups
product and process specification s for verification and
validation. Regular checks are made to ensure that the QM plan
is implemented and achievement of the targets is monitored.
NR

2.7
Is there an established escalation process and is

this implemented effectively?
T here must be an escalation m odel for deviations within the

- Time periods for escalation are agreed, depending on
project which threaten the overall timing plan (risk
the risk
m anagement). An escalation process for th e project is
- Contact personnel/ those making decisions in the
de scribed & established. It takes account of specific customer escalation process are defined
requirements. The crite ria for escalation are specified and
- Escalation criteria and paths of communication are
resp onsibilities & authorities are regulated. T he effectiveness of defined
the function (escalation) is demonstrated by appropriate
- Reports of milestone assessments including actions
do cumentation. If special risks have been identified for
technologies, suppliers and supply countries, this must also be
taken into account in escalation management.
NR
3.1
3.2
Product
Planning of the product & process development

Are the product and process-specific requirements
laid down?
All requirements regarding the product to be developed a re

known. The organization has implemented a process for
identifying the customer ge neral QM req uirements and also
de velopment and process req uirements. Enquiry a nd contract
do cuments are checked to make sure they are complete. If the
requirements cannot be achieved, the customer must be
informed. Deviations may be "released" / agreed by the
customer (in the event of a contract). Customer require ments
regarding the choice of sub-sup pliers and/or materials to be
used must be docum ented. Special characteristics must be
identified on the basis of in-house requiremen ts, customer
requirements, legal requirements, produ ction technology and
characteristics arising from the application/use of the product.
T here are interface agreements for su ppliers (set suppliers)
specified by the customer.
Product/process development
- Requirem ents specifications (product; process)
- Customer requirements
- Legal requirements
- Purchasing conditions
- QM-specific requirements
- Quality agreements
- Documentation requirements
- Logistics requirements (JIT, JIS, on consignment)
- Timing plans; technical delivery con ditions
- Access to portals (customer / supplier)
- Information platform in Internet
- Definition of responsibilities for sub-suppliers / service
providers jointly with the customer (e.g., qualification,
sample submissions, approvals, tests,...) within the
framework of a performance in te rface
- Test regulations
- Product / process characteristics
- Order documents with parts lists, timings
- Legislation/regulations (country-specific)
- Environmental aspects; re cycling requirements
- Evidence of capability
Product development
- specifications, drawings,
- special characteristics
- experience w ith previous products
Process development
- suitability of facilities & tools
- test/inspection facilities
- layout of work places and test / inspection stations
- handlin g, pa cking,
storage
Has manu facturing feasibility been assessed in a
T he procedure for assessing manufacturing feasibility must be Product/process
development
identification
cross-functional manner, based on the requirements contro lled. Contract and enquiry documentation must be
-- customer
requirements
which have been determined for product & process? checked for manufacturing feasibility. A process m ust be
- timings; time frames
implemented which ensures that all requirements relating to the - Definition of responsibilities for subsuppliers
product are determined, including any not explicitly stated by the - regulations, standards, legislation requirements
customer (e.g., legal regulatio ns) Experience (lessons learne d) - environmental compatibility
an d fo rward loo king expectations must be included in the
- customer regulations
study. The release process before a quotation is issued to a
- product liability requirements
customer must be controlled. All areas involved/with
- capacities
resp onsibility must confirm the feasibility of the customer
- availability of incom ing materials
requirements (Buying, Development, Production Planning,
- qualified development personn el
Production, QM Planning, Logistics, ...). Consideration capacity - manufacturing facilities, production locations
required for making samples, prototypes, etc. must be taken into - buildings, space
account in the quotation phase. The requireme nts set out in
- facilities, tools, production, test and inspection
"P7" : "Customer support / custom er satisfaction / service are equipm ent; auxiliary tools, laboratory facilities, transport
taken into account.
facilities, containers, stores
- CAM, CAQ
Process
P3
NR NR
NR NR

3.3
Are there plans for the product and process

development?
At a level below the project plan, specific plans are drawn up for
the de velopment of the product and process. These plans
contain details of timing dates a nd periods for certain
de velopment and pla nning activities, milestones, production
tests, etc. The m ilestones are aligned with the customer
m ilestones. Metrics (RGA) are laid down for the individual
m ilestones and the critical p ath is identified. The in te rnal
de velopment plans are aligned with th e relevant project timing
plan, particularly with regard to metrics for the individua l
m ilestones. It is ensured that developm ent plans are always upto-date. QM planning must be integrated in the development
plans, including test/inspection planning, the planning of test
an d inspection facilities and risk analyses. In the developme nt
ph ase, suitable methods must be used to secure the product
de velopment so that whe n th e product goes into serial
production it fulfils the installation conditions (function, reliability,
safety, security). Product & process FMEAs are part of the QM
planning. Experience in technology for serial productio n is
de monstrated. External processes and services are an integral
pa rt of the project p lanning.
- customer requirements
- customer timings (milestones, premises)
- serial production date, dates for sample submissions
- dates for developmen t p hase samples, produ ction
tests, tools, lead times
- methods (QFD, D OE; FMEA; statistical test
planning, ...)
- QM planning (reliability tests, function tests, test plan)
- capacity studies
- prototypes / pre-production
- setting and mon itoring targets for maturity levels
- regular status checks on the progress of the
development (reviews)
- Information / reporting to project managem ent
- project plans for investment items, facilities (structures
and equipment, production machinery, etc., ..)
- procedure if the custom er changes dates and
quantities
- Logistics planning covering dates, for supply approval,
prototypes & pre production and start of full production
- tool timing plans provision of production, test and
inspection facilities, softw are, packing
- security concept for changes (launch problem s, etc.)
NR NR

3.4
Have the necessary resources been taken into

A procedure for determining resource s must be controlled. This - Production locations, tools, production, test &
account for the product and process development? includes determining the availability of qualified personnel,
inspection facilities
bu dgets, infrastructure, test equipmen t, laboratory facilities,
- Test/inspection/laboratory equipment (internal &
m achines, plant, etc. (loading on machines and plant).
external)
Personnel qualification requirements and the facilities to be
- CAD, C AM, C AE equipment
m ade available must be determined and documented before
- Availability of ma te rials
starting any development. Capacities for building prototypes,
- Availability of qualified personnel for the various tasks
samples, 0-productio n, production tests and serial production
- Comm unication facilities (e.g ., remote data
m ust be planned. Regular demand analyses must be carried out transmission)
du ring the development regarding possible bottlenecks &
- Resources for problem solving processes in the
ad ditional dem and. Resource planning must be adapte d
development phases
regularly to changes in the project. Outside processes and
- F low of information
services must b e ta ken into account.
NR NR

3.5
Is QM planning arranged for sourcing bought-in

products and services?
A process must be implemented to plan and check essential

- Make-or-buy decision
supplier activities. T his also includes the strategy for awarding - An alysis of the supply market
the contra cts, the extent of the contracts and the target date for - Activity plan for suppliers
the contra cts. Potential suppliers are known, including those
- Description of supplier management
already appointed. The latest dates for awarding the contracts - Compo nent classification
ha ve been agreed across the various departm ents. Suppliers of - Risk assessment for bought-in parts / suppliers
plant, machinery, tools, services and procedures are integrated - Definition (if relevant) jointly with the custome r of
in the process development. It must be possible to trace the
responsibility for sub-suppliers (supply chain) and
aw ards of contracts to suppliers via appropriate documentation. service providers (e.g., covering qualification, sam ple
T iming dates for awarding contracts, reviews and acceptance
submissions, releases, checks, etc.,..) within the
checks are included in the process development plan.
framework of a performance in te rface agreement with
the sub-supplier. Particular attention to be given to
suppliers specified by the customer
- Suppliers of services (development, laboratory,
mainten ance, etc.)
NR NR
Product
Realization of product & process development

Have the Product F MEA / Process FMEA been
drawn up? Are they up-dated as the project
progresses and are corrective actions laid down?
4.2
Are the stipulations arising from the plans for

product and process development put into effect?
In the development phase it must be ensured by means of

- Customer requirements, special characteristics,
F MEAs that the product and process meet the customer
important parameters
requirements in terms of functio n, reliability, etc.
- F unctions, installation d imensions, materials
C hanges to the product and process must be evaluated afresh. - Environmental aspects
If appropriate, a new analysis should be carried out in
- Customer requirements for assessm ents
ag reement with the FMEA team and the project manager. On ce - Legal requirements
actions have been completed, and up-dated FMEA is required in - Experience from previous projects
regard to the probability of occurrence and the probability o f
- Experience from similar products already in serial
de te ction, with the focus on the verification / validation of the
production
Product in the project. T he FMEA must be part of the
- Product-specific actions from the Process FMEA
de velopment plan. T he start phase, the interface to the Process - Process-specific actions from the Product FMEA
F MEA, up-dating loops, etc. must be clear from the Product
(Design FMEA)
F MEA. T he execution of F MEAs must be controlled. Interfaces - Transport (internal / external) and its effect on product
to customer and suppliers are d efined. Any evaluation
characteristics
requirements set by the customer are documented a nd applied. - Tracking actions
Personnel from production planning and the future production
- Documentation of FMEA meetings
location are members of the FMEA team. When drawing up the - Change record
Product F MEA the proposed productio n location must be
- Lessons learned
involved. Special characteristics (SCs) are identified, highlighted
in the FMEA and secured by appropriate actions.
Process
P4
4.1
NR NR
T he effective ness of the actions must be demonstrated.

Interfaces between Product and Process FMEAs are controlled.
T here is a control loop for up-dating F MEAs (frequency and
reasons)

In the development of new products and processes, quality
planning takes account of installation requirements fo r the
product from the ve ry earliest stages. The methods set out in
the de velopment planning for product development are used so
that, after accumulated experience has been implemented and
the product has gone into serial pro duction, it will meet the
specified installation conditions in terms of function, reliability
an d safety/security. T he QM planning must include a test plan
for the parts, sub-assemblies and materials, including the
m anufacturing processe s from the prototype and pre-production
ph ases. There is a QM plan (to DIN EN ISO 9000) for the
prototype and preproduction phases. There are records of
knowledge gained from the prototype phase and pre-production
ph ase, to be taken into account in the serial production phase.
T he planning of test, checking and inspection equipm ent is part
of the QM planning. Re quirements covering this equipment
ha ve been laid dow n and implemented.
- Project sequence planning

- Trial plan ning
- Methods (QFD, DOE; FMEA; statistical trial
planning, ...)
- F itment trials and system tests, more secure
installation of in dividual components
- Use in the entire supply chain
- Poka Yoke principles
- Life / endurance tests
- Environment simulation test, ...
- Environmental compatibility investigations, inc.
disposal
- Test/inspection plan
- Process description to permit QM planning
NR NR

4.3
Are the personnel resources in place and qualified? T here must be a process covering general personnel planning. - Customer requirements
T he personnel resources must be planned and availa ble at the - Requirem ents profile for the relevant locations
specified timing dates. Personnel must be qualified for the
- Determin e the n eed for training
relevant tasks. This also applies to the service personnel
- Proof of training
em ployed in the product development process. Appropriate
- Knowledge in the various departments
certification must be available. Determining resources is
- Project management
associated with the availab ility of qualified personnel. D uring
- DOE, QF D
product development a regular analysis must be carried out of - F MEA,
po ssible bottlenecks and ad ditional dem and. Outside processes - Statistical trial planning
an d services must be taken into account. There is capacity to
- Statistical process control(SPC)
achieve the prototype build, sample build, 0-production,
- Suitability of test processes
production test and serial produ ction.
- CAD/C AM, C AE
- Six Sigma
- Knowledge of foreign lang uages
4.4
Is the infrastructure in place and appropriate?
NR NR

T here must be a process to determine resources. This refers to
the availability of test equipment, lab oratory facilities, machinery
an d plant and the loads on m achinery and plant. An
infra stru cture (i.e., a system of facilities, process equipment and
supporting services such as transport or communication) must
be d etermined and provided. T he capacities required must be
taken into account in the calculations for the quotation. T hey
m ust be available, or be planned to be available at the specified
times. The facilities required for this must be set up in the
project. Regular analyses of demand are carried out in the
course of the product development, covering possible
bo ttlenecks and additional demand. There must be
transp arency regarding the stages involved in determining the
po ssible existence of bottlenecks (take account of variant
structures !).
N ote :
C apacities must be available at an appropriate tim e b efore the
customer production lau nch.
- Prototype builds
- Planning of trials
- Test facilities/ test laboratory / test equipm ent
- Inspection facilities / equipment
- Buildings, space
- F actory structure plan
- Planning plant & machinery
- Customer requirements / quantities
- Quantities per facility / mach ine (max. quantity
achieved in the process o peration)
- Production cycle tim es
- Availability of incoming materia ls
- Dow n times
- Logistics capacity calculation
- Transport paths
- Transport facilities, containers & stores
- Availability of ma te rials
- Capacity before production launch (system loading)
NR NR

4.5
Based on the requ irements, are the necessary

evidence and releases available for the various
phases?
R eleases / evidence of suitability must b e produced for all parts, - Specifications; drawings, customer specifications
sub-assemblies and bought-in items, in accordance with the
- F MEAs
de velopment timing plans. R egular status reports are issue d fo r - Product trials (e.g., fitment check,
the project, based on the project plan and the customer
functional test, life/endurance test, environment
m ilestones. Rules covering assessments/metrics must be
simulation)
de fined.
- Test/inspection reports
- Pre-production p arts
PPAP (product and production process approval process) must - Trial sam ples
ha ve been carried out. PPAP is the final verification of the
- Comm issioning
product, p roduction and transport planning process and, if
- Packing
po sitive, results in release for serial production. Reference parts - Logistics concep t (e.g., suitability of the packaging
an d products from sample submissions must be retained in
checked by trial shipments)
accordance with the customer requirements.
- Tools, mach ines, settings, te st and inspection facilities
- Proof of capability of significant product/ process
Verification and validation for product and process are ensured. characteristics
- Production tests
- Capacity studies
- Certification covering bo ught-in items/ suppliers
- Legal releases
- Development releases from the customer
- Results of sample submissions
- Tooling acceptance checks
NR NR

4.6
Are the production s control plans used for the

various phases and are production, test and
inspection documents derived from them ?
T he production control plan must contain the parts, subThe production co ntrol plan must contain details of :
assemblies, assemblies and materials, including the
- the sequence of the proce ss stages
m anufacturing processe s which are associated with the produ ct. - stipulation and identification of special characteristics
T he production control plan must be drawn up for the following - establishment of the test / inspection sequence plan,
ph ases :
the frequency of tests & inspection / cycle
- Gauges and test/inspectio n e quipment to be used
Prototype ph ase (if required by the customer)
- Documentation of test / inspe ction results
- Provision of facilities and equ ipment
Pre-produ ctio n ph ase
- Timely, forward-lookin g provision of measurem ent
technology
Serial pro duction phase
- Checks at useful stages during the production of the
product
- Clarification of acceptance check criteria
T he question is not applicable for product development !
- Reaction plan
- Rew ork
NA
NR
4.6 not applicable for product development
NA
NR
4.7 not applicable for product development

4.7
Has a pre-production run been carried o ut u nder

serial production conditions to obtain production
approval / release?
A pre-production/ production test must be carried out in order to - Customer requirements

assess all production factors and influences at the appropriate - Specify minimum quantities
time and make any necessary corrections. It should be possible - Process capability study
to prevent bottlenecks and quality problems in serial production. - Measurement equipment capability
T he planning of a pre-produ ction run and the agreements for
- Production maturity of the production facilities and
executing a pre-production run are set out in P4.9 and P6.1.1. equipm ent (measurement reports)
C ritical product features are taken into accou nt. Proof that the
- Handling, packaging, identification, storage
ag reed quantities can be achieved has been provided. Peak
- Personnel qualification
de mands and agreed flexibility are taken into account.
- Work/inspection instructions
- Layout of work-places and inspectio n stations
N ote : Depending on the phase at which the audit is carrie d out, - Initial sample checks
certain production tests may still be in th e planning stage !
- Planning the initial sample submission sequence and
its contents
T he question is not relevant for product development !
- Production tests in accordance with the customers
timing plan
- Detect errors in parts lists and scheduling

4.8
Are the planning activities associated with so urcing T he organization must monitor regularly the progress at th e
- Special characte ristics, legal requirements (e.g.,
outside products a nd services implemented
suppliers' premises with the execution of the project.
materials requiring declaration)
effectively?
Appropriate milestones and check-lists are included in the
- Reports of meetings to reach agreement, workshops,
project management of suppliers. Tracking activities at the
simultaneous engineering teams.
suppliers' premises are carried out, deviations are detected and - Performance interface agreements
suitable actions are introduced.
Items to be considered include :
- Releases
Process d evelopment must define and verify the status of the
- Identification of tools
products and processes to be used in the various ph ases.
- Layout/quantity of tools
- Au dit re ports
- Visit reports
- Certification documents,
- Supplier's project reports
- Milestone assessmen ts
- Demon strations of capability
- Tolerance studies
- Load tests
- Reference samples
- QM plan
NR NR

4.9
Is the transfer of the project to production controlled T here must be a controlled process fo r the structured transfer of - Specify responsibilities
in order to secure the product launch?
resp onsibility between the developm ent te am and production.
- Customer requirements
T he customer requirements are taken into account. An internal - Transfer report/check list
production process release check must have been carried out in - Acceptance check report
full before the first shipment of production items. A productio n
- Specify additional, individual checks which are not
test has been carried out at the production location in
carried out on the fullyassembled product
accordance with the customer requirements. Actions arising
- Specify test/inspection frequencies, quantities,
from the production test have been comp leted on time.
parameters, duration
- Specify a procedure for the immediate execution of
Proof is available of machine capability studies to cover all
failure ana lysis and introduction of corrective actions
special characteristics. Tools, test, measurement and inspection - Definition of failu re rates
eq uipment are availa ble in sufficient quantities.
- Specify the identification of parts from the launch
phase
A procedure to secure the launch must be described and
installed in order to secure the launch phase and a robust
production process.
A check on launch se curity must be carried out for all new and
m odified parts which need to be submitte d fo r initial sample
ap prova l/release.
NR NR
Generally
P5
5.1
Supplier management
Are only approved/released and quality-capable
supplie rs selected?
Before suppliers are specified , an a ssessment of the QM

system (certification / auditing) must be obtained. Evidence
m ust be provided of the timely planning for selecting and
Additional VW Formel Q Capability Requirements
assessing new suppliers, based on selection criteria meeting
that exceed VDA 6.3 R equirements. T hese
the customer project plan. F or serial p roduction it must be
requirements are additions to questions of VDA 6.3 en sured that only suitable suppliers are used. If there are
and must be considered du ring evaluation :
de viations from the organization's own selection criteria, the
Outsourced processes (e.g. external suppliers, other further procedure must be decided on. Experience from
owned manufacturin g sites etc.) and extended
evaluations of quality performa nce assessments must be take n
external work benches are also to be considered.
into account for existing suppliers. Risks in the supply chain
m ust be determined and assessed and must be reduced by
ap propriate action (strategy for em ergencies). Process audits or
comparable methods must be planned and executed in all
ph ases for the suppliers selected (depending on the risk
classification of the product).
It must be ensured that the suppliers have sufficient capacities
this also applies to changes in quantities.
- supplier m eetings/regular support

- existence of defined and documented selectio n criteria
for selecting suppliers
- Evidence of support programs for suppliers not
meeting th e selection criteria
- evaluation of the quality capability of the QM system
e.g., audit results / suppliers' certificates
- Quality capability assessments (self-assessment,
audits) by other custom ers / OEMs
- Assessment of quality perform ance on a
crossfunctional basis (quality/costs/service)
- Releases (audits) for those suppliers who influence
special characteristics.
This also applies to :
- developmen t suppliers and prototype suppliers
- suppliers of non-material
- products such as software suppliers of plant,
machines, tools
- service partners / external laboratories
- extended work-benches (in-house or outside
compan ies)
NR
Dat e: 15 F ebruary 2013

Revision: G
Doc No: D_030_4_02
P age 2 of 6
266859677. xl sx ; Questi onnaire
P rocess O wner/ Depart ment :

R. Donaldson / S upplier Developm ent
Approved by:
L. VanDongen / Global Direct or, S DE
ad d to
C AR
5.2
Are the customer requirements taken into account in Suppliers in the supply cha in must be controlled and monitored - transmission of requirements (tolerances, timing
the supply chain?
in term s of their engagements and performance (depending on tracks, process acceptance checks, rele ases,
the risk classification of the product). Interfaces are recognized complaints, ) while ensuring change management
an d secured. The forwarding of customer requirements must be - Contract documents can contain reference
contro lled and traceable .
information , such as requirements from the product or
requirements are additions to questions of VDA 6.3 C hange management must also be take n into account.
compon ent specification, from QM agreements and
other relevant regulatory documents
A product safety responsible representative (PSB)
- evidence of other regula r com munication
for each individual step in the supply chain must be
nominated.
5.3
Have target agreements for delivery performance

Target agreements must be agreed and implemented with
been agreed with suppliers and put into operation ? suppliers to cover delivery performance, to ensure the
continuous improvement of products and processes (quality
contro l circle). In the event of discrepancies actions must be
ag reed and their implementation monitored, including timing
da te s.
5.4
Are the necessary app rova ls/releases available for

the out-sourced products and services?
5.5
Is the quality of the out-sourced products and

services ensured?
NR

- Workshops (inter-disciplinary working groups)
- specify mea surable targets for quality, price & service
such as :
reducing the degree of inspection while simultaneously
increasing process reliability
reducing scrap (internal / external)
reducing work in progress
NR
increasing custome r sa tisfaction
reducing ppm rates within the framework of a zerodefect strategy (on a yearly basis as a minimum)
eliminating sp ecial transport
An approval / release must be issued for all out-sourced

- customer information (specifications, standards, test
products and services before they are used in serial production. and inspection regulations)
- Ap provals/releases for build samples, trials,
In the case of modules (unless otherwise agreed ) the supplier - PPAP reports in line with AIAG, resp. PPF report
ha s full responsibility monitoring the quality of all the individual according VDA vol. 2
requirements are additions to questions of VDA 6.3 components.
- Evidence of capability for special characteristics
Evidence must therefore be provided of comprehensive change - compliance with EU safety data sheets and "list of
Docum entation of Materials and Masses (weights). m anagement, from the customer to the sub-supplier.
declarab le materials in vehicle s contents of parts &
materials" (IMDS/ REACH)
- Assessments of reliability
- Requalification checks & reports
NR
T he cap abilities and perform ance of a supplier m ust be checked - QM agreements, inc. escalation m echanisms
at defined intervals and the results must be log ged and
- Reports of quality meetings
evaluated in a report (supplier listing). In the event of negative
- Ag reement and tracking of improvement programs
resu lts, qualification programs must be laid down. Evidence
- Evaluation of main failure areas / problem suppliers
m ust be provided that the actions have been implemented.
- ppm assessments, 8D reports
- Ad equate test/inspection facilities (internal & external
To monitor the quality of the out-sourced goods and services,
laboratory & test / checking eq uipment; tests to ISO/IEC
regular checks are carried out, docum ented and evaluated.
17025) for raw materials an d finished parts
- Gauges/jigs provided by others
F or safety-relevant parts, specific agreements mu st be made
- Drawings, ordering regulations, specifications
w ith the supplier regarding the handling of processes and tests / - Alignment of test / inspection procedures, processes
inspection, as well as a rchiving the results.
and frequencies
- Capability certification
R equalification checks are carried out to the customer
- Requalification checks/reports
requirements.
- Test certificates (also for parts made in-house or on
extended wo rk bench basis)
Test, inspection and measurement equipment must be stored in
an o rderly mann er and associated w ork stations must be laid
ou t ap propriately (to prevent dam age, contamination n oise and
to ensure good lighting conditions, tidiness, order and, if
relevant, air conditioning).
NR

5.6
Are incoming goods stored appropriately?
5.7
Are personnel qualified for the various tasks and are A description must be provided of what responsibilities, tasks
Knowledge must be available regarding :
responsibilities defined?
an d authority the employees have in their relevant task areas. - Product / specifications/ special customer requirements
- Specialized knowledg e of product characteristics and
A job description must be available for functions.
production op erations for parts of modules
- Standards / legisla tion
requirements are additions to questions of VDA 6.3 T raining needs must be determined for each employee in terms - Packing
of the task and qualification must be p rovided accordingly.
- Assessment methods (audits, statistics, )
Audits of the Supply C hain must be conducted by
- Quality techniques (8D method, cause & effect
NR
VD A 6.3 qualified Auditors (see VDA 6.3:
Knowledge is available of previous complaints regarding
diagrams, )
Requirements for Process Auditors of Supply
relevant out-sourcing requirements.
- Complaints & corrective actio ns
Chains)
- F oreign languages
- Maintaining qualifications
Incoming materials and goods containers must be placed in

stores in accordance with their release status so that they
cannot be damaged or mixed up. "Suspect" and quarantined
products must be stored securely to prevent access to them.
- Packing
- Stores administration system
- Batch-related usage
- Cleanliness and tidiness
- Climatic con ditions
F IFO and batch traceability are ensured when the materials and - Protection against damage, dirt, corrosion
go ods are processed further.
- Identification (traceability, inspection status, work
sequence, usage status)
Material stock figures in the stores administration system agree - Mixing/false identification are prevented
w ith the quantities actually in stock.
- Quarantine stores; quarantine areas
- F IFO (first in/ first out)
NR
six
ten
five
two
four
one
nine
three
eight
Process steps
Process analysis / Production

What goes into the process ? (Process input)
Has the project been tra nsferred from development A process is defined for transferring responsibility between
to serial production?
de velopment and production and is controlled. A complete
production process and product a pproval / re lease with all the
do cumentation required must take place before the first
production shipme nt T he PPF (PPAP) is the final verification of
the product, p roduction and transport planning process and a
po sitive result lead to approval/release for serial production.
C onditions for serial production release are agree d with the
customer. Reference parts from sample submissions m ust be
retained in accordance w ith the customer instructions. T he
process for securing the launch of production is described and
installed, in order to shorten the ramp-up phase and ensure a
robust p roduction process. A process to secure the launch mu st
be carried out for all new parts and modified products requiring
initial sample submission and ap prova l. A production test has
be en carried out to the customer requirements and assessed
po sitively. Actions arising from the production test have been
completed on time . Production facilities/new parts have been
sampled with positive results A process for the further
de velopment of the product and process FMEAs is defined an d
contro lled. Evidence of feasibility investigations has been
provided for a ll special characteristics. Tools, test, inspection
an d measurement facilities are available in su fficient quantities.
R esponsibility for serial p roduction has been transferred from
the project team to the production pla nt.
seven
P6
6.1
6.1.1
Please enter process step s on the Assessment Matrix

sheet!
- Project status reports

- Transfer reports
- Milestone reports
- specified actions w ith implementation timing plan
- Ap proved /release suppliers
- Process F MEA and actions
- Product FMEA and actions
- Transfer report
- Production approval/release report
- IMDS material data sheet
- Customer app rova l/re lease (product release; process
release)
- Special releases with time restrictions (if relevant)
- PPAP (PPF) report
NR NR NR NR NR NR NR NR NR NR

6.1.2
Are the necessary qua ntities / production batch

sizes of incoming materials available at the right
time and at the right place (stores; work-station)?
T he right product (incoming material, part, component,...) mu st - Sufficiently appropriate transport facilities
be p rovided to the agreed quality, in the right quantity and the
- Defined storage points
rig ht p acking, with the right documentation, at the agreed tim e - Minimum / no intermediate stores
an d at the a greed place. Parts / components must be available - KANBAN Just in time
at defined store locations/work stations.
- Stores administration
T his pro cess must be controlled (KAN BAN, Just in time, FIFO). - Change status
Order quantities/batch sizes must be taken into account in order - Only OK items to be forwarded
to ensure th at p arts/m aterials are available to meet demand at - Quantities to be logged and assessed
the relevant work place and m ust be aligned w ith upstream
- Information flow
processes.
- Return of parts not required (residual quantities)
T he return of unwanted parts (residual quantities) after the order - Stock levels
ha s been completed must be controlled, including a count of the - Production quantities ta ilored to the customer
pa rts involved.
requirements
- Minimum stocks aligned with the production
requirement (value flow analysis)
6.1.3
Are incoming materials stored appropriately and are C ustomer-specific packing regulations mu st be taken into
- Stock levels
transport facilities / packing arrangemen ts suitable account / implemented throughout (including in production
- Storage conditions
for the special chara cteristics of the incoming
processes). During manufacture and internal transport and also - Ap proved special and standard tran sport containers
materials?
w hen being transported to and from service companies, suitable are available
transp ort units must be used to protect the products from
- Customer-spe cific packing regulatio ns
da mage and contamination. Stores areas, w ork stations and
- Internal transport containers
containers must be appropriate for the tidiness and cleanliness - Protection against damage
required for the parts / products. Cleaning cycles are defined
- Positioning of pa rts at the w ork station
an d monitored. The supply of parts / materials at the work
- Tidiness, cleanliness, no over filling (storage points;
station / on the assembly line must provide for safe handling.
containers)
Specified storage times and u se-by dates for special m ate rials / - Monitoring of storage time s
pa rts m ust be monitored by appropriate methods (max. and
- Environmental / climatic effects
m in. storage times; specified intermediate storage times).
C ritical operating and auxiliary materials for plant and machinery
w ith a direct effect on the product/product quality must be
m onitored accordingly. Parts, incoming materials, critical
op erating and auxiliary materials must be protected against
en vironmental / climatic in fluences.

6.1.4
Are the necessary identifications / records /

approvals available and allocated appropriately to
the incoming materials?
R eleased incoming materials must be clearly identifie d and

reco gnizable. T he release status must be clear from the
identification. The release identification on bundles, batches,
load containers and parts m ust be specified. Customer spe cific
regulations for the release of products m ust be taken into
account. It must be ensured that only released materials / parts
requirements are additions to questions of VDA 6.3 are forwarded to production/the next pro cess and used.
T raceability of releases must be ensu red. The traceability o f the
Labeling according to Customer Regulations
un its produced must be ensured within a reasonable framework
(material card VDA 4902), p lausibility (Bar Cod e
(e.g., docum entation covering the use of batches).
content)
D epending on the product risk, traceability must be guaranteed
acro ss the entire process chain, from sub-supplier to the
customer identification and traceability requirements must be
taken into account. Special requirements for the identification of
spare pars must be taken into account. Legal requirements a nd
the product liability act must be observed. Characteristics
subject to special docume ntary and archiving requirements
m ust be recorded accordingly.
- Customer specifications and regulations for

identification and traceability (legal requiremen ts;
product liability act)
- Process for the release of products / materials
- Identification of released parts / materials (adhesive or
tie-on labe ls, tracking dockets, )
- records of releases
- Traceability system / concept
- Documentation of special releases (quantity; duration;
type of identification, ..)
- Special characte ristics
- Production control plan
- VDA da ta sheets
Are changes to the prod uct or p rocess in the course T he progress of a change from the initial change request
of serial production tracked and documented?
through to implementation must be clearly described and
resp onsibilities must be controlled. A process regulating the
change release must be implemented.
C hanges must be agree d, a pproved and released with the
customer. If necessary a new PPF (PPAP) must be produced .
T his refers bo th to product and process changes.
D ocumentation of change levels must be fully traceable
throughout. This requires the implementation of a suitable
system which contro ls the defined process sequence.
T his applies equally in the supply chain. Th e effects of changes
m ust be analyzed, docum ented and assessed, before the
associated changes are implemented (risk analysis, production
contro l plan, ).
C onformance with the customer requirements must be checked
be fo re the change is released a nd implemented. It must be
en sured that, at all times, the correct design level of the
incoming ma te rials is used and the correct design level of the
finished product is manufactured and shipped to the customer.
C haracteristics subject to special documentary and archiving
requirements must be tracked and documented accordingly.
It is ensured that only current / valid documents are present at
w ork stations.
- Change rele ase by the organization and the customer

(feasibility; interface to components, effect on costs and
timing,)
- F orward changes to process development, production
areas, stores or to sub-suppliers
- Track the level of implementation of the change
(overview w ith status)
- Documented change record (part life history)
- Up-date docum ents involved (drawings; instructions,
)
- Up-date the FMEAs (product and process)
- Verification and validation of chan ges, including
docume ntation
- Controlled introduction of changes and modified
products/parts
- Produce a security stock in advance of major changes NR NR NR NR NR NR NR NR NR NR
which require production to stop for their implementation
- Throughput times for changes (custom er
regulatio ns, ...)
- Change levels of test/inspection equipment, gauges,
tools and draw ings

6.1.5
Are all the relevant details listed in the production

and test/inspection documents, based on the
production control plan?
6.2.2
Are production o perations checked / approved and

are setting data logged?
T he production and test/inspection documents (production

contro l plan, work pla n, m anufacturing instructions) must be
available at the work place / insp ection station. Checking /
inspection characteristics, facilities, methods, frequencies
(cycles) and re-qualifications must be described and defined in
these documents. Process parameters influencing product
characteristics and / or quality must be fully sta te d. Tolerances
m ust be stated for process parameters and checking/inspection
characteristics. T he control limits in process control charts must
be specified, recognizable and traceable.
N on-compliances and actions taken regarding process
requirements and inspection characteristics must be
do cumented.
D ata regarding machines/tools/auxiliary aids (tool and machine
nu mbers) for critical products and p rocesses must be stated in
the w ork plan, production control plan/inspection instructions.
C onditions governing rework are specified and secured within
the process (parts identification; fresh checks/inspection, ).
T he quality checking/inspection concept complies with the
customer requirements / agreements mad e with the custome r.
ten
six
five
two
four
nine
three
one
- Production control plans

- Process parameters (pressures, temperatures, times,
speeds, ....)
- Data regarding machines / tools / auxiliary aids (tool
and machine numbers)
- Inspection regulations (special characteristics,
attributive characteristics, inspectio n equipment,
methods, inspection frequencies)
- Regulations regarding location / refere nce points
- Control limits in process control charts
- Machine and process capability certification
- Operating instructions, handling instructions
- Work instructions
- Checking/insp ection instructions
- Records and documentation covering
checks/inspection and actions / corrections made in th e
process
- Information on current problems
- Maintenance instructions
eight
Process work content / Process sequence (Are all production processes controlled?)
seven

6.2
6.2.1
6.2.3
"Approval/release for serial production " is the contract related

initial and repeat rele ase for the start of production. The
ap prova l / release is required for product and process and must
be issued in writing by authorized personnel, based on
acceptance criteria. At this point problem areas detected in
previous serial production must be eliminated. T he approval /
release checks must be carried out to cle ar checking /
inspection instructions to ensure repeatability.
If production is to recommence after p arts ha ve been taken for
test / inspection , the products must remain quarantined until
these parts have been approved/released. R ework must be
included in the appro val/release processes. To ensure the
constant quality of parts produced, fresh evidence must be
produced of a secure production process after any break in
production (e.g., nighttime shutdo wn in the case of a 2nd shift
op eration, a change of tool, material, batch or product).
C orrective actio ns are also regarded as a break in production. A
repeat release must always be carried out for the product a nd
also for the process. Special processes (gluing, welding,
soldering, ...) are controlled and require appropriate
do cumentation in ad dition to the release. R esponsibilities for the
repeat release are specified . T he repeat release for production
m ust be documented and the quantity required for release must
be d efined.
If it is not possible to carry o ut the release process immediately
after a break or problem in prod uction, access must be assured
to all parts produced until the repea t release has been carried
ou t. Setting plans (setting data, programs, etc), product specific
setting-up plans and setting aids/reference parts must be
available at the work place / at the station. F or comparison
rposes,
inspection
limit samples
ust be available
at the
Can the customer specific product requirements be pu
It must
be shown
thatand
the processes
aremimplemen
te d to the
relevant work
place.
satisfied with the production facilitie s used?
customer
requirements
with the existing production facilities and
N on-compliances
and actions
taken
arethe
documented.
that
the resulting products
comply
with
customer
specifications.
T he production facilities, machines and equipment must be able
requirements are additions to questions of VDA 6.3 to m aintain the specified tolerances for the relevant
characteristics. Process capability m ust be determined for
Controls for Process Influen cing Parameters must significant product / process characteristics and co ntinually
be protected from unauthorized access.
de monstrated. For short-term process capability (mach ine
capability studies) and provisio nal process capability, a figure of
C mk / PpK >= 1,67 must be achieved. For long-term process
capability (Cpk) the minimum requirement is Cpk >= 1,33. N ote
m ust be taken of customer regula tions, requirements for proof
of capability of significant characteristics.
In the case of significant characteristics where no capability
level can be demonstrated, 100% inspection is required.
C leanliness requirements for production are d efined and
implemented by reference to the product risk.
- Release for prod uction

- Changed product / process
- Shutdown of facilities / break in process; repeat release
for production
- Repair, tool change
- Change of ma te rial (e.g., a different batch)
- Changed production parameters
- F irst-off parts checks with documentation
- Up-dated parameters
- Special processes requiring tidiness and cleanliness at
the work place
- Packing level, release level and change level for tools
and inspection equipment
- Setting plans, setting aids, comparison aids
- F lexible tool change-over devices
- Limit samples
- Machine capability studies

- Evidence of machine/process capability for specia l
characteristics/ processde te rmining parameters
- Compu lsory control of important parameters
- Ishikawa cause & effect analysis
- Warning of deviations from limit requirements /
parameters (e.g., a lamp, horn or automatic shutdown)
- F eed and removal systems
- Poka Yoke solutions
- Inspection process capability
- Measurement equipment capability
- Measurement reports
- Inspection reports (e.g., measu rement reports)
- Results of product audits
- Replacement tools
- Reproducibility of fixtures an d fittings, ...
- Maintenance/overhaul level of tools/plant/machines
(including planned m aintenance)
- Planning for emergencies
T here is sufficient production capacity, taking into account levels

of scrap and rework.

6.2.4
6.2.5
6.2.6
Are significant cha racteristics controlled in

production?
Significant product characteristics and process parameters are

identified in the production control plan and are m onitored
systematically (SPC). Control limits are defined an d e ffective
contro l action is taken in the event of deviations. Records are
m aintained of noncompliances an d corrective actions. Nonrequirements are additions to questions of VDA 6.3 compliances affecting the characteristics of the product must be
ap prove d by the customer.
Technical documentation for D /TLD parts available
acc. to valid change level, identified as D/TLD and Production processes are controlled and capable. Quality
specific D/TLD features outlined.
reco rds are specified for significant ch aracteristics (type and
Comment: If the sup plier uses a different
du ration of archiving) and are agreed with the customer. In the
identification for his documents and records, he is
case of characteristics subject to special documentary and
required to utilize a correlation matrix for the
arch iving requirements, customer specific requirements must be
obligatory identification symbols (e.g. overview
ob served.
matrix with identity symbols for each individual
customer and their internal identity symbols); the
document shall be kept as a controlled document.
Are
scrap, rework
andCatalogue
setting parts
kept separate
N on-released parts, defective parts and/or parts with defective
Full completion
of the
of Requirements
and
identified?
characteristics must be separated and documented. They must
o Audit
Plan.
o For D /TLD acc. F ormel Q C apability or equivalent. be securely removed from production operations. Containers for
scrap and rework must be appropriately id entified. Quarantine
o For D /TLD at least 15 years archiving.
stores and quarantine areas must be clearly recognizable
Defining and monitoring of the Improvement
(unauthorized access must be prevented).
Program.
Including Sub-Suppliers.
Formal written confirmation of legal conformity parts, T he storage and retention of setting parts, reference parts and
assemblies etc. Da ta o n IMD S complete and up-to tools must be displayed and identifiable.
date.
Volkswagen Specifications, especially VW 91101,
Material List see IMDS. (ww w.mdsystems.com)
Is
the flowlist
offor
materials
andparts
partsof
secured
against
An appropriate and optim um flow of parts and materials must
Tracking
all D/TLD
the
mixing
/ w rong items?
en sure that mixing / confusion between similar items cannot
VOLKSWAGEN
Group.
occur. Poka Yoke or other methods may be used for this. The
Conducting a D/T LD-Self Audit at least every 12
months. VW Formel Q Capability Requirements
Additional
use or fitment of an incorrect part or material must be
that
VDA
6.3 last
R equirements.
T hesein BeOn. immediately detectable and must not proceed further in the
Inputexceed
the date
of the
D/TLD Self Audit
requirements
additions
to questions
Specification s,are
Sampling
Documents
for of VDA 6.3 value creation process. Suitable checks/actions must be carried
and
must be Group.
considered du ring evaluation :
ou t to gua rantee early detection and filtering out of items
Volkswagen
Identification
according
to Products
C ustomerwith
Standa
rds (e.g. w rongly installed items. Associated subjects and actions must
Compliance of
labeling of
National
material
identity card
acc. to requirements.
VDA 49 02), plausibility
be included and examined in the Process F MEA and, if
and International
conformity
(e.g.
(barcode
contents).
ap propriate, in the Product F MEA.
CCC, ECE,
DOTM)
- Product FMEA / Process F MEA

- Quality records, statistical assessm ents
- SPC assessmen ts; quality control charts
- Proof of capability (Cpk, C mk, production capability
checks, )
- Proof of suitability of inspection processes
- Test/inspection results
- Results of product audits
- Independent of operators (Poka Yoke)

- Identification of scrap, rework and setting parts
- Identification of containers for scrap, rework and setting
parts
- Defined scrap/rework stations in production
- Quarantine stores & areas
- Identification of internal residual quantities, including
storage
- Records of rew ork and scrap (sorted by characteristic)
- Product / Process FMEA

- Poka Yoke actions
- Interrogation and checks in production equipment
- Parts identification
- Identification of work, inspection and usage status
- Batch identification, traceability of use or production of
batches
- Use-by dates for various materials
- Remove invalid identifications
- Work papers with master data for parts/production.
- Design level of incoming materials and finished
T here must be a clearly controlled process for handling residual products
qu antities, parts which have been separated out (for example, - Material flow ana lyses (value flows)
stacked up because of a machine problem), re-used parts from
product audits, checking parts, etc.
C ontainers and parts must be adequately, appropriately and
securely identified. The process and/or inspection status must
be clearly visible.
T he use -by date and longest storage time for materials must be
ob served.
Internal residual quantities must be logged by qu antity and
suitably identified and stored.
ten
six
five
two
four
one
nine
three
eight
Process support/ Personnel resources
seven

6.3
Are operators given respon sibility and authority to

monitor the quality of product and process?
A description must be provided of what responsibilities, tasks

- Job descriptions and task descriptions
an d authority the operators have in their individual areas of
- Participation in improvement programs
op eration : who is responsible for process releases and checks - Operator self-checks
on first-off parts and who can distribute these. Checks carried
- Process release (setter release / ch ecks on first-off and
ou t by the operators themselves must be de scribed : when, how last-off parts
m any, how often , w ith what, where, documen ta tion. A
- Process control (interpretation of control charts)
de scription must be provided of who maintains the quality
- Au th ority to quarantine produ cts
contro l charts and who has w hat authority in the event of non- Cleanliness & tidiness
compliances (authority to q uarantine parts, stop the line, etc...). - Carry out or authorize repairs & maintenance
- Provide/store parts
T he qualityconsciousness of operators must be encourag ed
- Carry out/authorize setting u p and alignment of
an d maintained regularly by suitable means. All operators are
inspection and measurem ent equipment
train ed in the consequences of carrying out work wrongly, as
- Product training
pa rts of product training (what tasks/functions does the product - Quality inform ation (specified and actual figures)
pe rform and wh at h appens if these cannot be guaranteed
- Z ero-defect programs
be cause of incorrect assembly, etc.). A process must be
- Improvement proposals
implemented to determine to what extent personnel are aware - Voluntary special action (training, quality circles)
of the significance and importance of their tasks. Employees
- Contribution to improvements in quality
regularly receive information on current quality levels achieved - Self-assessmen t
by the cu stomers. Operators are engaged in the continuous
- Information flow, implementatio n in the organization
improvement process. F eedback s provided on suggestions for - Workshops
improvements.
- Product liability training
Are the operators able to ca rry out their allotted

tasks and are their qualifications kept up-to-date?
T here must be a job description for each workstation, including

a requirements profile. Training needs must be determined
individually for each operator b ased on the task and an
ap propriate personnel development plan drawn up. A record
m ust be kept of who is qualified for what tasks and activities.
T his documentation m ust be taken into account when planning
the use of personnel. Employees are trained in the processes
an d know of production errors which can potentially occur. All
em ployees are trained in the consequences of carrying out work
incorrectly (e.g., product training, what happens if the product is
w rongly assembled; using checking / inspection equipment, ).
T raining in health & safety at work and w ork related environment
aspects is p rovided regularly. Instruction must be given to
em ployees regarding the handling and dealing w ith
"components/products requiring special documentary
evidence". Training, instructions and qualification evidence must
be d ocumented. Th ere must be evidence of suitability to meet
requirements regard ing activities (e.g., forklift driver license;
w elding certificate, soldering certificate, eye test, hearing test,
etc.). Induction plans must be available for new employees,
replacement and temporary personnel. Induction phases must
be d emonstrated.
T raining/instruction is given and documented in the event of
changes to the product/process.
6.3.1
6.3.2
- Induction, training, qualification certification

- Knowledge of the product and defects which can occur
- Training in h ealth & safety at work and environment
aspects
- Training in the h andling and dealing with
"components / products requiring special documentary
evidence"
- Certificates of suitability e.g., welder's certificate, eye
test, driving license for forklifts)
- Training planning to cover changes in process and
technologies
- Product training - motivation
- Product liability training
- Quality inform ation (specified and actual results)
- Z ero-defect programs
- Improvement proposals
- Voluntary special actions (training; quality circles)
- Low sickness rates
- Contribution to quality improveme nts
- Self-assessmen t
- Information flow; organizational implementation
- Workshops

Is there a personnel employment plan?
6.3.3
When planning the employment of personnel the qualifications - Shift plan (based on orders)
of the em ployees must be take n into account (qualifications
- Qualification certification (Qualifications matrix)
m atrix). Absentee levels (sickness, holidays, training) are
- Information flow; organizational implementation
included in the employment planning. In the case of
- Documented rules regarding deputies
replacement personnel and personnel transferred on loan, it is
important to ensure that they have the necessary qualifications.
R ules regarding dep uties are documented and are derived from
the qu alifications matrix for the relevant production o perations.
How are the maintenance and overhaul of

production facilities / tools controlled?
6.4.1
ten
six
five
two
one
nine
four
eight
three
Material resources
seven

6.4
Plant, equipment, machines and tools required for the problem- - planned/periodic maintenance activities
free operation of key processes are identified and appropriate
- availability of spares / replacement parts for production
preventive maintenance intervals are allo cated to them.
equipm ent covering key processes
R esources to carry out essential maintenance work are
- comply with specified maintenance intervals
available. Essential maintenance work is system atically planned - Planned and actual amount of work are the same
an d carried out. Preventive m aintenance of machines, plant and - Documentation of maintenan ce work completed
tools is ca rried out, documented and controlled (m aintenance
- Qualifications of em ployees involved
systems). Availability is assured for spares for production
- Arch iving of work certificates
facilities, particularly for key processe s re flecting the critical
- Regular plausibility checks on planned mainte nance
pa th .
intervals
- Scheduling and availability of spares
C lean working surroundings and work places are integral to an - Contracts to exte rnal companies to carry out
overall care for the facilities (T PM = Total Productive
mainten ance work
Maintenance , resp. GAB = Ganzheitliche Anlagen Betreuung). - Availability / use of associated technical documentation
A process has been effectively implemented to analyze an d
- F acilities in the areas entrusted with maintenance work
op timize dow ntimes, machine loadings and the life of tools.
- Preventive tool exchange program for units subject to
Tools are covered by a tool managem ent system containing the greater wear
following po ints :
- Quality of execution of maintenance work
- ide ntification of usage status (OK / NOK / under repair)
- Logging, assessing & development of maintenance
- tool tracking card with all the changes made to the tool
targets
- tool op erating times
- Machinery to place items in or remove them from
- protectio n from damage
racking (for transport and storage, ....)
- ownership details fo r the tool

Revision: G
Doc No: D_030_4_02
P age 3 of 6

Approved by:
Can the quality requirements be monitored

effectively with the test, inspection and
measurement facilities em ployed?
6.4.2
T he test, inspection and measurement facilities employed are

suitable for the purpose and for handling in production. They are - Checks to demonstrate reliability, function and
included in the produ ction control plan. Systematic and random corrosion resistance
causes of measurem ent e rrors are eliminated. Em ployees are - Measurement accuracy / cap ability of inspection
train ed in the use of measurement equipment (exclusion of
equipm ent
m easurement erro rs). Capability studies are carried out on the - Proof of the capability of insp ection processes
requirements are additions to questions of VDA 6.3 m easurement device s and measurement systems employed.
- Data logging and suitability of data for assessment
T he accuracy of th is equipmen t is appropriate for the purpose
- Evidence of the calibration of inspection equipment
Suitability of Inspection Processes consideration an d fo r the ch aracteristics to be checked. Certification is
- Alignment of inspection equipment and measurement
of measuring accuracy in the inspection processes available covering the calibration of the inspection equipment
processes with the customer
(VW10119) / VD A Volume 5.
(in spection plates). A process for the p eriodic monito ring of
m easurement and inspection equipment is installed and
implemented (responsibility for collection and return is defined).
T his pro cess also takes into account the calibration of process
integrated measurement technology w ith an influence on the
product characteristics. T here is an identification system for
m easurement and inspection equipment. Administration of this
eq uipment is based on the identification. Measurement and
inspection equipment accessories having an influence on
m easurement accuracy and the measure ment result are
m onitored in the same way.

Are the work-stations and test / inspection areas
suitable for requirements?
C onditions for the workplaces and their surround ings (inc.

rework areas) are appropriate for the products and the w ork
carried out, in order to prevent / eliminate contam ination,
da mage, mixing-up of parts and misinterpretations.
Are tools, equipment and test / inspection facilities

stored correctly?
Even tools, equipment and test/inspection devices not in use

- Stored free from damage
an d/or not yet released must be stored and managed in an
ap propriate manner. All tools, equipm ent and test/inspection
- Defined storage location
de vices are identified with their current status and change level - Issues are administered
(released; under maintenance; maintenance required;
- Environmental influences
qu arantined).
- Status identification
- Identification showing customer property,
Storage is provided where the equipment is protected against
products/tools/devices provided on loan
da mage and environmental effects, and cleanliness and tidiness - Defined release status and change level
are ensured. The issue and use of this equipment is co ntrolled, - Machinery to place items in or remove them from
specified and documented.
racking (for transport and storage, ....
6.4.3
- Ergonom ic workplace layout

- Lighting
- Air conditioning
- Clean room s
In add ition, the workpla ce layout is adapted ergonomically to the - Workplace organization
w ork to be carried out.
- Surrounding s / handling parts at the workplace
- Health & safety at work (national legislation)
- Storage of parts at the workp lace
- Production system
6.4.4
Are target requirements set for product and

process?
Process a nd product metrics are defined and logged in order to

contro l and monitor the organization's processes. A regular
comparison is made between specified and actual results.
Target requirements are agreed a nd achievable; they are
gu aranteed to be up-to-date.
Process specific targets are laid down, monitored an d
communicated (quantities produced; quality metrics such as
failure rates, audit results, through-tim es and process
effectiveness figures (C pk).
N on-conformances a re analyzed and subjected to suitable
action leading to improvements to the product and process.
Essen tial special action m ust be specified and implemented as
ne cessary.
T he potential for improvement must be determined continuously
from previous experience regarding quality, costs and service.
Monitoring the metrics is ensured through regular management
reviews and reported in asso ciated committees.
- Presence & absence of personnel

- Availability of plant and machines
- Peak production figures under full production
conditions and cycle times
- Scrap levels within the planned / estimated framework.
- Quantities produced
- Numbe r of parts produced per time unit
- Rew ork; scrap
- Run-outs
- Quality metrics (e.g., failure rates, audit results)
- Through flo w times
- Non-conformances (failure costs)
- Process metrics (process capability)
- Cost improvements
- Criteria for establishing metrics
- Reduction of waste (e.g., scrap and rework, energy
and process materials)
- Improved process security (e .g ., proce ss sequence
analysis)
- Improved tool change -ove r tim es, increased ma chine
availability
- Reduce through flow times
- Reduce stock levels
6.5.2
Are quality and process data logged in such a way

that they can be assessed?
- Original data charts

- Cumulative reject cha rts
- Control charts
- Data logging
- significant characteristics
- Writing device for process para meters (tempera ture,
time, pressure, ...)
- Production data logging (e.g., plant downtimes, pow er
failures, program error message s)
- Parameter chan ges
- Process capability data
- F ailure types & frequencies
- F ailure costs (non-confo rmance)
- Process parameters
- Scrap / rework
- Quarantine announcements / sorting actions
- Cycle times; through flow times
T ypes and frequencies of failures are logged and assessed and - Reliability / failure patterns
actions are derived. T he effectiveness of the actions introduced
is verified. Failu res resulting in a change to the pro cess or
- SPC
product are also documented in the relevant F MEA with the
- Pareto analyses
associated actions. Failure costs are logged against those
- Cause & effect diagrams
causing them (amount of scra p; rework items & consequences) - F MEA
an d actions are allocated.
six
ten
five
two
four
nine
three
one
6.5.1
eight
Process effectiveness (integrate effectiveness, efficiency, elimination of waste)
seven

6.5

F ull quality data and process data must be available to
de monstrate compliance with requirements and targe ts. The
da ta m ust be capable of assessment. Special events must be
logged (in a log book). Events and problems must be allo cated
to the areas responsible, w here the associated improvements
requirements are additions to questions of VDA 6.3 are generated and implemented. Quality control charts and
m onitoring charts are in use a nd are maintained in accordance
Process Capability review for Measurable
w ith requirements. Process data and parameters (SPC) are
characteristics (VW 10131).
m onitored and used for the control of processes. In the event of
a problem or nonconformance, corrections are made
au to matically an d/o r an associated report is issued. Essential
actions (action plan) for process problems are know n and are
intro duced and documented by the responsible personnel. Nonconformance with approved / released processes w ith an effect
on the characteristics of the product must be approved by the
customer. Proce ss capabilities are checked regularly.

6.5.3
In the case of deviations from product and process

requirements, are the causes analyzed and the
corrective actions checked for effectiven ess?
If deviations from product and process requirements occur,

- Ad ditional dimensional material, functional and
immediate con ta inment actions must be taken to comply with
endurance ch ecks and tests
the requirements, until the causes of failure are eliminated and - Cause & effects dia gram
evidence has been provided of the effectiveness o f the
- Taguchi, Shainin
corrective actions. Methods used for the analysis of causes are - F MEA / failure analysis
de fined and in use. C orrective actions are de rived, their
- Process capability analysis
implementation is monitored and effectiveness is verified. In
- Quality control circles
this, production control plans and F MEAs are taken into account - 8D method
an d are exten ded and up-dated if required. F unctioning quality - An alytical assessment methods
contro l circles are implemented in produ ction within the
- Information flow to the customer
organization. The status of the actions is transparent and
- 3 x 5 Why method
communicated .
- Problem downtime logging
6.5.4
Are processes and products audited regularly?
Audit plans (process audits, product audits) must be available

for the product and its production processes.
- Specifications
- Significant chara cteristics
- F unction
R easons for an audit are :
- Process parameters / capability
requirements are additions to questions of VDA 6.3 - New projects, processes and / or products
- Identification, packing
- To provide evidence of compliance with quality requirements
- Specified process and procedural operations
Compliance of labeling of Products with National
- To indicate the potential for imp rovem ents
- Controlling actions and timings
and International conformity requirements. (e.g.
- Au dit plans (for all areas; for product and process
CCC, ECE, DOTM).
D eviatio n reports must be issued to those responsible and
audits) inc. identification of planned and event-relate d
improvement actions must be tracked. If quality requireme nts
audits
are not met (internal / external) additional audits referring to the - F requency of produ ct audits
specific event(s) m ust be carried out.
- Requirem ents for product audits
- Au dit re sults; audit reports
Product audits are carried out and documented in production
- Au ditor qualifications
after production operations have been co mpleted. The y are
- Au dit re sults in the management review
carried out periodically and examine the finished product.
- Developing metrics before and after implementing
Accou nt is also taken of customer requirements and relevant
actions
functions, including ease an d security of fitment.
The capacity of checking and inspection devices, current
D eficiencies in engineering and production are displayed,
inspection instructions, specified traceability
assessed from the customer standpoint and appropriate actions docume ntation and responsib ilities must be clearly
are introduced.
controlled.
6.6.2
Are quantities / production batch sizes aligned with

requirements and are they forwarded to the next
process stage in a targe ted manner?
Accou nt m ust be taken of all requirem ents included in the

customer supplier assessment.
Process specific targets (from the customer requ irements, if
ap propriate) must be laid down, including quantities produced,
qu ality metrics such as failure rates, audit results, failure costs,
through flow times and process metrics (Cpk).
Significant characteristics specific to the customer ("D " type
characteristics) must be identified . C ustomer requirements must
be a udited in-house (shipping audit, ...)
A process is implemented, regulating the use of products
supplied by the customer. This refers to products (se tting parts),
tools, inspection equipment and packaging. Test / checking /
inspection instructions mu st be available (also covering
en durance testing. Procedures must be agreed with th e
customer and documented accordingly. A process must be
de scribed and imp lemented, explaining how the areas of stores,
scheduling, parts provision, shipping and the customer are
informed in the event of a block on shipping.
ten
six
five
two
four
nine
three
one
- Quality agreements with custom ers

- Customer sp ecific requiremen ts (p rocess
requirements spec.)
- Customer requirements for identifica tion of special,
significant characteristics
- Shipping audits
- Endurance tests/long-term trials (to determine failure
reactions)
- Inspection regulations
- Storage / processing sche dules / providing parts /
shipping
- F unction tests
- Suitability of checking and measure ment equipment
- Aligned checking procedures (measurement points,
fixing concept, equipm ent, ...)
- Up-to-date specifications
- Target agreem ents to achieve zero-defect objective
- Shipping audits
- Implement customer demands for production tests
under peak production condition s
eight
What should the process produce ? (Process result / output)

Are the customer requirements met in terms of
product and process?
seven

6.6
6.6.1

Parts / components must be forwarded to defined storage /
- Ad equate, appropriate means of transport
ho lding points using suitable means of transport. In this,
- Defined storage points
attention must be paid to the order quantity / batch size so that - KANBAN
on ly the required quantity of parts / materials is moved to the
- Just in time
ne xt work station (the pull principle). Logging and assessing
- Stores management
qu antities (number of OK parts, parts to be reworked and scrap - Change status
requirements are additions to questions of VDA 6.3 pa rts) must be controlled and traceable. Parts identification
- Logging / assessing quantities / volumes
m ust be specified (OK parts, rework parts and scrap). The
- Stock levels
Outsourced Process Steps (additional Product risks identification must also indicate the current change status.
- Production quantities ta ilored to the customers needs
within the Transport chain e.g. caused by Parts
- ESD protection for electronic parts
Handling, Transport Routes, etc.)
It must be ensured that NOK parts cannot be forwarded or
First-In, First Out.
processed further.
C ustomer requirements for the identification of reworked parts
m ust be implem ented and documented (quantity / volume,
identification, life history and usa ge).

6.6.3
Are products / components stored in an appropriate Parts must be protected from dama ge by suitable storage and
manner and are transport facilities / packing
pa cking. C ustomer specific packing instructions must be
arrangem ents suitable for the special ch aracteristics available in shipping / goo ds outwards department and
of the products / components?
ob served / implemen ted throughout (also in the various
production operations). T he positioning of parts must ensure
secure storage at the workplace, including handling. Storage
po ints / containers must meet essential requirements for
requirements are additions to questions of VDA 6.3 cleanliness & tidiness. T his includes the parts at the wo rkplace
itself (no over-filling). Specified storage times must be
Label position (card folder, holder). Removal of out m onitored (specified maximum, minimum and intermediate
of date Labels.
storag e times). Parts must be protected against enviro nmental
an d climatic influences during storage and processing.
6.6.4
Are the necessary reco rds / rele ases carried out and R eleases for the shipment of products to the customer or the
- Customer specifications
stored appropriately?
ne xt process must be identifiable and documented. Special
- Significant chara cteristics and customer identification
releases and release s under deviation must be traceable by
requirements
ap propriate identifica tion and documentation. T he
- Process descriptions
do cumentation must cover the period and/or quantity of parts
- Documentation matrix for storage times for various
involved. These details must also be included in the parts lifedocume nts and records
history, including the identification method. Traceability of
- customer archiving requirements
releases, including documentation, must be generally
- Arch iving requirements / regula tions (EDI, paper, fire
gu aranteed. Traceability of the parts produced must be ensured protection, legibility, ...)
to a reaso nable degree. The customer requirements must be
taken into account in determining archiving regulations and
pe riods.
- Quantities in store
- Protection from damage
- Positioning of pa rts
- Cleanliness, tidiness, over-filling (storage points &
containers)
- Monitor storage periods
- Environmental and climatic influences
- Customer specific packing instructions (inc. packing
supplied by the customer)
- Information on available stock levels
- Substitute packaging
7.1
Generally
P7
Customer support / Customer satisfaction / Service

Are the customer requirements satisfied reg arding
QM system, product (on delivery) and process?
requirements are additions to questions of VDA 6.3
QM-System C ertification ISO TS 16949 alternatively
VD A 6.1.
Agreement to target Z ero Failures according to
Formel Q Capability Implementation of
requirements of Formel Q-New Parts Integral (QPN)
incl. approval of the 2 Day-Production Run.
Data transfer (e.g. VD A Data Transfer Standard
4927) according to EDI Implementation Guidelines
Volkswagen AG.
Certificates supporting conformity w ith National and
international regulations (e.g. CCC, ECE, DOT,
etc.). Withdrawal of Certificates / Releases must be
immediately reported to VOLKSWAGEN Group
plants and the responsible people at Purchase and
Quality Assurance D epartments of VOLKSWAGEN
Group and involved companies.
Take account of all re quirements, particularly those included in - Quality agreements with the custom er
the supplier assessment system used by the customer. Take
- Completed shipping audits / product audits
account of the certification of the QM system in accordance with - F unction checks
the customer requirements. If appropriate, include evidence of - Endurance tests (to determine failure reactions)
significant characteristics when carrying out audits.
- Storage, scheduling, providing parts, shipping
- ppm figures, targets to achieve zero-defects
C ustomer requirements for the supply of spares before, during - Incorrect deliveries
an d afte r se rial production must b e implemented and observed, - Up-to-date specifications
including the acceptance and recycling of returned parts. The
- Requalification concept (frequency, extent, ...)
supply of spares must be considered in addition to serial
- Suitability of checking and measure ment equipment
production, including variants and changes, in terms of the
- Aligned test / inspection procedures, reliability tests,
reso urces required.
COP
- Au dit plan to cover "D" characteristics
Packing must meet the customer requirements regarding
- Specify and track improvement programs
suitability, fixing, cushioning and identification.
- Involve sub -suppliers
- Supplies of spares
Product requalification are carried out to the customer
- Part shipments to provide spares / first fill before start
requirements.
of full production
- Duty to supply after end of full pro duction
It must be ensured that the product conforms with legal
- Supply of spares to old levels following changes (tool
regulations.
management, ability to manufacture)
- Supply concept for small quantities of spares following
changes / end of serial production
- Compliance with customer specific packing and
identification regulations
NR

7.2
Is customer suppo rt ensured?

It must be ensured that competent contact personnel are
- Reports of visits to custo mers and, if relevant,
available for the various areas in the customer organization.
generating actions from these
C ommunication in a language which the customer understands - Knowledge of the product application
is essential.
- Knowledge of problems with the product and
requirements are additions to questions of VDA 6.3 C ustomer support is also a measurement of active creative
complaints regarding the product or transport
cooperation. The supplier has the obligation to examine his
- Implement new requirements
Maintaining the supplier database (LDB-B2B):
products at all stages of the creation and implementation stages - Ad vise of improvement actions
among others Contact data, Performance Range / an d to improve them in agreement with the customer. A
- Ad vise of changes to product and process / change of
DUNS No. / KRIAS No.
procedure is agreed with the customer for ensuring the security production location (inc. those of suppliers)
Access approval for the VOLKSWAGEN Group
of new product / process launches.
- Initial & repeat sample submissions (trials / se rial
Communication Platform B2B.
production )
Initial / F ollow-up sampling for each individual
- Information on non compliance with requirements
location w ith DU NS No. of the producin g
(including packing and transport)
manufacturing site.
- Customer support in other countries
- Quality of logistics data from th e supplier (e.g.,
statements of account covering container stocks)
- Access to customer portals (by agreem ent with the
specific customer)
- Ensure problem-free launches
NR

7.3
Is the supply of parts ensured?
C oncepts are in place, including security for emergencies to

en sure supplies. These concepts must always be kept up-toda te in the serial production delivery phase. In this,
consideration must be given to in-house processes and also the
suppliers' processes. Procedures m ust be in place which
gu arantee that the organization informs the customer
immediately when supply bottlenecks are detected. Th e
information must include the expected duration and extent of
the bo ttlenecks and the actions which have been taken.
T he actions must be taken at the right time and in accordance
w ith the customer requirements.
- Contingency plans (e.g., for alternative production,

suppliers, transport)
- Capacity and rea ction time for sorting actions
- Possible changes to equipmen t, special production
facilities, tools, product specifications and sources of
supply
- Use of exte rnal capacity
- Comm unication regarding supply bottlenecks
- Regulations covering authority to take decisions /
escalation stages when introducing special actions
- Spares for assembly lines
NR

7.4
If there are deviations from quality requireme nts, are Inde pendent detection and analysis of deviations from quality
- An alysis facilities (labora to ry, inspection and test
failure analyses carried out and corrective actions
requirements, with the rapid introduction of corrective actions
equipm ent, personnel)
implemented effectively?
including evidence of effectivene ss are requirements demanded - PARET O analysis of failure characteristics (internal /
of the qua lity control circle.
external)
- Involvement of all areas affected (internal / external)
T imings agreed with the customer following complaints or
- Use of problem solvin g methods
rejects must be maintained. Non-conforman ces must be
- Resolve deviations detected in sa mple submissions
communicated .
- Revise specifications
- Checks on effectiveness
D eviatio ns and the associated corrective actions must be
- Product observation and improvement
placed in order of priority and integrated in existing risk analyses - F low of information, as far as the customer, if
(e.g., FMEAs).
deviations occur
- Knowledge data base, "lessons learned"
Introduce special actions to ensure the sup ply of products
correct to specification (e.g., 100% inspection).
NR

7.5
Is there a process which ensures that analysis of

defective parts is carried out?
T he process for analyzing defective parts from the field is

- Checking specification for analyzing field failures, with
implemented and described throughout the organization.
classifications based on standard checks and checks
C ustomer specific requirements are agreed. Test / inspection
involving debit charges
planning must be carried out for sta ndard checking and checks - NT F guidelines
involving de bit charges. Initiation criteria must be agreed with
- Test / checking equipment and specialist personnel for
the customer for the "NT F" (no troub le found) process. The
analyzing failures in defective parts
characteristics to be checked and the specifica tion for the
- Metrics for analyzing defective parts (e.g., by average
checks must be documented and agreed with the customer.
detection time)
C apable checking equipment and the associated resources
- 8D reports
m ust be planned.
- Quality reports (including Pareto diagrams, Pa ynter
C ommunication must be maintained with the contact personnel charts)
involved in an alyzing field failure returns. Personnel responsible
for the findings, the NTF process, the reporting system and for
contro lling the failure elimination process must be clearly
de fined.
Metrics for the field failures a nalysis process must be tracked in
order to measure effectiveness. T he standard reporting system
for reporting on analyses (8D) and quality reports must be
ag reed with the customer. The effectiveness of the failed parts
an alysis is ensured by a continuous improvement process.
NR

7.6
Are personnel qualified for the various tasks and are A description must be provided, setting out the responsibilities,
responsibilities defined?
tasks and authority of personnel in their re spective task are as.
A job description, including requirements profile, must be
provided for e ach function. Training needs must be determined
requirements are additions to questions of VDA 6.3 for each p erson, depending on the task a nd appropriate
pe rsonnel developm ent planning must b e drawn up and
External Qualification of at least one Senior
implemented.
Management member for the basics of Product
Safety and Product Liability law.
Nominated Product Safety Responsible Associate to
be entered into the Su pplier Database (LD B-B2B).
Self Audits must be conducted by VDA 6.3 qualified
Auditors (See VDA 6.3: Requirements for Internal
Auditors).
Evidence of knowledge of :
- Product / specifications / special customer
requirements
- Standards / legisla tion
- Processing / usage
- Assessment methods (e.g., audits, statistics)
- Quality techniques (e.g., Pareto, 8D method, Ishikawa
cause and effect d iagrams)
Knowledge of foreign languages in the following areas :
- Customer support
- Product checking
- Storage / transport
- Logistics
- F ailure analysis
NR
10
8
6
4
0
NR

Revision: G
Doc No: D_030_4_02
P age 4 of 6

Approved by:
Full Compliance / Performing Well

Predominant Compliance (> 3/4, no risk): Minor non-conformities - Requires Action Plan
Partial Compliance: Significant non-conformities - Requires action plan and containment
Unsatisfactory Compliance: Major non-conformances - Requires action plan and containment
No Compliance: Requires Action Plan and containment.
Not rated / Not relevant
Part & Process Audit: Results

Generic calculation
Supplier:
Location:
Audit date:
30-Dec-99
Report No.:
0
Process responsibility
A Development
Fulfillment
level [%]
P2 Project Management
2.1 2.2* 2.3 2.4 2.5* 2.6 2.7*
NR NR NR NR NR NR NR
FPM
Target-oriented
Communication
Risk identification
Generic
approach
PR
NR
NR
TO
NR
CO
NR
RI
NR
P2
PRPM
.2.1
.2.5*
TOPM
.2.3
.2.6
COPM .2.2* .2.3
.2.7*
RIPM
.2.1
.2.2* .2.4
NR
NR
NR
NR
NR
NR
PRPP
Pd
.3.3
Pc
.3.3
TOPP
Product
.3.1 .3.4
Process
.3.1 .3.4
.2.5* .2.6
.2.7*
NR
Pd
Pc
COPP .3.2* .3.2*
NR
NR
NR
NR
NR
NR
RIPP
Product
.3.1 .3.5
Process
.3.1 3.5.
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PRPR
Product
.4.3 4.9.
Process
.4.3 .4.9
TOPR
Product
.4.2 .4.3
.4.4
4.7.
4.8.
Process
.4.2 .4.3
.4.4
.4.7
.4.8
Product
COPR 4.6. 4.8.
4.9.
Process
.4.6 .4.8
NR
NR
NR
NR
NR
NR
NA
NR
NR
NR
NR
NR
NR
NR
NR
PRSM
.5.7
TOSM
.5.3
COSM .5.2
.4.9
RIPR
Product
Process
.4.1 .4.5* .4.1 .4.5*
NR
NR
NR
RISM
NR
NR
NR
NR
NR
.5.1* .5.4* .5.5*
NR
NR
NR
NR
NR
NR
P3 Planning product & process development

Product
3.1 3.2* 3.3
NR
NR
Process
3.4
NR
3.5
NR
3.1
NR
FPdP
NR
FPdR
NR
NR
3.2*
3.3
NR
3.4
NR
P3
3.5
NR
NR
FPcP
NR
FPP
NR
FPP = (FPdP + FPcP) / 2
NR
NR
NR
NR
FPcR
NR
FPR
NR
FPR = (FPdR + FPcR ) / 2
NR
NR
NR
NR
NR
NR
NR
NR
NR
P4 Realization product & process development

Product
4.1 4.2 4.3 4.4 4.5* 4.6 4.7 4.8 4.9
NR NR NR NR NR NA NA NR NR
Process
4.1
NR
4.2
4.3
NR
4.4
NR
4.5*
NR
NR
4.6
4.7
NR
4.8
NR
NR
P4
4.9
NR
NR
NR
NR
NR
NA
NR
NR
NR
NR
NR
B Serial production
P5
5.1* 5.2 5.3 5.4* 5.5* 5.6 5.7

NR NR NR NR NR NR NR
P5 Supplier management
FSM
NR
NR
NR
NR
NR
NR
NR
NR
P6 Process analyses production

E1 Process
input
E2 Process
work content
6.1.1* 6.1.2 6.1.3 6.1.4 6.1.5
Process step 1:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
Generic
approach
G1
NR
NR
NR
NR
NR
NR
NR
NR
NR
6.3.2*6.4.3
P6
.6.2.2 6.5.1 6.5.2 6.6.1*
CO
RI
PR1
Process step 1:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS1
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PR2
Process step 2:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS2
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PR3
Process step 3:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS3
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS4
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS5
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PR6
Process step 6:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS6
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PR7
Process step 7:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS7
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PR8
Process step 8:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS8
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS9
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
FPS10
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
PR
TO
CO
RI
Fulfillment of process element or sub-e NO
downgrade to B
NR
NR
NR
NR
Fulfillment of process element or sub-e NO
downgrade to C
ten
NR
6.1.1*6.3.1
G3
TO
NR
* no separate questions (generated from questions E1 - E6)
G4
P6
G2
PR
NR
nine
NR
Process step 10:

NR
E7 Transport
and part handling*
6.1.2 6.1.3 6.1.4 6.2.5 6.2.6 6.4.4 6.6.2 6.6.3
NR
eight
NR
Process step 9:
NR
Fulfillment level
Process step
FPS1 - FPSn
NR
seven
NR
Process step 8:
NR
6.6.1* 6.6.2 6.6.3 6.6.4
NR
six
Process step 7:
NR
E6 Process
result / output
6.5.1 6.5.2 6.5.3* 6.5.4*
NR
five
NR
Process step 6:
NR
6.4.1 6.4.2* 6.4.3 6.4.4
NR
four
NR
Process step 5:
NR
E5 Process
effectiveness
E4 Material resources
6.3.1 6.3.2* 6.3.3
NR
three
NR
Process step 4:
NR
NR
two
Process step 3:
NR
E3 Process
support
6.2.1* 6.2.2 6.2.3* 6.2.4* 6.2.5 6.2.6
one
NR
Process step 2:
NR
NR
NR
NR
PR4
Process step 4:
NR
NR
NR
PR5
Process step 5:
NR
NR
NR
NR
NR
NR
NR
NR
PR9
Process step 9:
NR
NR
NR
PR10
Process step 10:
NR
NR
NR
PRCS
.7.5
.7.6
NR
NR
NR
NR
TO1
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
TO2
NR
TO3
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
Process step 3:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
CO6
Process step 6:
NR
NR
NR
NR
NR
NR
CO7
Process step 7:
NR
NR
NR
NR
NR
NR
CO8
Process step 8:
TO8
NR
CO3
NR
NR
TO7
NR
NR
NR
TO6
NR
Process step 2:
NR
NR
TO5
NR
Process step 1:
NR
CO2
NR
TO4
NR
6.1.1*.6.1.2 6.1.4 6.1.5 6.3.3 6.5.1 6.5.2 6.6.2 6.6.3 6.6.4

CO1
NR
NR
NR
CO4
Process step 4:
NR
NR
CO5
Process step 5:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
Process step 9:
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
RI2
NR
RI3
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
RI4
NR
RI5
RI6
RI7
NR
RI8
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
TOCS
.7.3* .7.4
COCS .7.2
.7.3* .7.4
.7.5
RICS
.7.1*
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
TO10
NR
NR
NR
NR
NR
CO9
NR
NR
NR
TO9
NR
NR
6.2.1*.6.2.2 6.2.3*6.2.4*6.3.2*6.4.2*6.5.3*6.5.4*6.6.1*
RI1
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
NR
CO10 Process step 10:

NR
NR
NR
NR
NR
RI9
NR
RI10
Evaluation sub elements (E1 - E7) of process analyze (Average value level over all process steps FPS1 - FPSn)
6.1.1* 6.1.2 6.1.3 6.1.4 6.1.5
NR
NR
NR
FE1
NR
NR
6.2.1* 6.2.2 6.2.3* 6.2.4* 6.2.5 6.2.6
NR
NR
NR
NR
NR
FE2
NR
NR
6.3.1 6.3.2* 6.3.3
NR
NR
FE3
NR
NR
NR
NR
NR
NR
FE4
NR
7.1*
P7 Customer support / Customer satisfaction / service
6.4.1 6.4.2* 6.4.3 6.4.4
7.2
7.3*
NR
NR
7.4
7.5
NR
NR
6.5.1 6.5.2 6.5.3* 6.5.4*
NR
NR
NR
FE5
NR
NR
NR
6.6.1* 6.6.2 6.6.3 6.6.4
NR
NR
FE6
NR
NR
NR
6.1.2 6.1.3 6.1.4 6.2.5 6.2.6 6.4.4 6.6.2 6.6.3
FPT
NR
NR
NR
NR
NR
NR
NR
NR
FE7
NR
NR
NR
P7
7.6
NR
FCS
NR
P7
Audit results
Classification:
Development
FD = (FPM+FPP+FPR) / 3
Classification:
FD [%]
NR
NR
Overall fulfillment level:
FP [%]
NR
NR
Degradation according downgrading rules:
FT [%]
FT = (FPM+ FPP+ FPR+FSM+ FPT+FCS) / 6
NR
Fulfillment level [%]

generic baseline:
NR
Reason(s) for degradation to level "B":
Serial production
FP = (FSM+FPT+FCS) / 3
If applicable -Please see listed reason(s) for degradation.
NR
Note:
At least 2/3 of all questions per rated element must be assessed.
Fulfillment of at least one generic baseline element < 70 %
downgrade to B
question rated with 0
NO
downgrade to B
*-question rated with 0
NO
downgrade to C
At least one "*"-question rated with 0 points
*-question rated with 4
NO
downgrade to B
At least one "*"-question rated with 4 points
Input "NR" = Question not rated (Reason must be stated within questionnaire!)
Target
Target
80
90
80
Min. requirement per

assessment element
level
achieved
[%]
Assessment elements /
Process steps
Fulfillment of generic baseline element NO

Fulfillment of at least one process element or
sub-element < 70 %
Reason(s) for degradation to level "C":
Fulfillment of at least one process element or sub-element < 80 %
At least one question rated with 0 points
To ensure the comparability and mutual acceptance of the audit result by other parties, the entire list of questions should be covered in full.
90
Min. requirement per

assessment element
60
70
80
90
level
achieved
100
60
70
80
90
100
[%]
Assessment
P6 sub-elements
Last audit results:
Project management
P2
NR
Process input
FE1
NR
P2
FE1
Planning Product / Process
P3
NR
Process sequence
FE2
NR
P3
FE2
Realization Product / Process
P4
NR
Personnel resources
FE3
NR
P4
FE3
Supplier management
P5
NR
Material resources
FE4
NR
P5
FE4
Process analysis
P6
NR
Process effectiveness level
FE5
NR
P6
FE5
Customer satisfaction
P7
NR
Process result
FE6
NR
P7
FE6
one
PS1
NR
Transport and part-handling
FE7
NR
PS1
FE7
two
PS2
NR
PS2
three
PS3
NR
PS3
PR
four
PS4
NR
Process responsibility
PR
NR
PS4
TO
five
PS5
NR
Target orientation
TO
NR
PS5
CO
six
PS6
NR
Communication
CO
NR
PS6
RI
seven
PS7
NR
Risk orientation
RI
NR
PS7
FT
eight
PS8
NR
Overall result
FT
NR
PS8
nine
PS9
NR
PS9
ten
PS10
NR
PS10
Generic baseline
Current audit
Previous audit
Previous results to be entered manual
Date: 15 February 2013 Process Owner/Department:

Revision: G
Doc No: D_030_4_02
Approved by:
Page 5 of 6
266859677.xlsx; Assessment matrix
NR
NR
NR
Part & Process Audit: Corrective Action Report

Supplier/ Location:
Issued by:
Supplier Code:
Status:
No.
Audit
Ref
No.
P2
Date
started
Concern / Problem
3.1
3.2
*
3.3
3.4
3.5
P4
4.1
4.2
4.3
4.4
4.5
*
4.6
4.7
4.8
4.9
P5
5.1
*
5.2
5.3
5.4
*
5.5
*
5.6
5.7
P6
6.1
6.1.1
*
6.1.2
6.1.3
6.1.4
6.1.5
6.2
6.2.1
*
6.2.2
6.2.3
*
6.2.4
*
6.2.5
6.2.6
6.3
6.3.1
6.3.2
*
6.3.3
6.4
6.4.1
6.4.2
*
6.4.3
6.4.4
6.5
6.5.1
6.5.2
6.5.3
*
6.5.4
*
6.6
6.6.1
*
6.6.2
6.6.3
6.6.4
P7
7.1
*
7.2
7.3
*
7.4
7.5
7.6
Date: 15 February 2013
Revision: G
Doc No: D_030_4_02
Page 6 of 6
Review dates:
Questions involving special product

or process risk are identified by
asterisk (*).
In cases of deviations immediate
actions are required to ensure
product quality.
Scheduled
Action
Due
date
Actual
Name
Status
open
overdue
closed
Responsibility Effectiveness
open
overdue
closed
Completion
date
Project management
2.1
2.2
*
2.3
2.4
2.5
*
2.6
2.7
*
P3
Date
30-Dec-99
(min)
Parts & Process audit
Points
Audited product(s) /
product group(s):
NR
NR
NR
NR
NR
NR
NR
Planning of the product & process development
NR
NR
NR
NR
NR
Realization of product & process development
NR
NR
NR
NR
NR
NR
NR
NR
NR
Supplier management
NR
NR
NR
NR
NR
NR
NR
Process analysis / Production
What goes into the process? (Process input)
NR
NR
NR
NR
NR
Process work content / Process sequence (Are all production processes controlled?)
NR
NR
NR
NR
NR
NR
Process support / Personnel resources
NR
NR
NR
Material resources
NR
NR
NR
NR
Process effectiveness (integrate effectiveness, efficiency and elimination of waste)
NR
NR
NR
NR
What should the process produce ? (Process result / output)
NR
NR
NR
NR
Customer support / Customer satisfaction / Service
NR
NR
NR
NR
NR
NR
266859677.xlsx; Corrective action report
Process Owner/Department:
Approved by:

Part & Process Audit: Summary: General Supplier Information

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D030_4_2_EN

Part & Process Audit: Summary

Supplier contact name:

Initial audit (new supplier):

Initial audit (existing supplier):

GENERAL SUPPLIER INFORMATION:

Environmental System Certification ISO 14001:

Special Process Assessment :

Does the supplier have product liability insurance:

SUPPLIERS QUALITY PERFORMANACE (rolling 6 months)

Audited product(s) / product group(s):

Overall Audit Result:

Serial Production Result:

Please find further details within the Assessment Matrix.

Engineering assistance required:

Purchasing assistance required:

Supplier corrective action plan required by:

Next audit date:

Immediate containment actions required in case of critical concerns:

Supplier Signature / Name / Date

TRW Signature / Name / Date

Evaluation & Assessment Matrix

Description of the classification

Date: 15 February 2013

266859677.xlsx; Cover sheet

Part & Process Audit: Questionnaire

- evidence of resources (specialists) for specific

enter reason for NR (not rated)

Are the resources required for the project

enter reason for NR (not rated)

Is change management in the project ensured by

- Project plan with milestones

C hange management within the project meets the customer

enter reason for NR (not rated)

enter reason for NR (not rated)

Are the responsible personnel w ithin the

Is there a QM plan for the project? Is this

T here is a d efined regulation co vering persons responsible for

- Change app rova ls

A QM plan must be integrated in the project plan, covering all

enter reason for NR (not rated)

Is there an established escalation process and is

T here must be an escalation m odel for deviations within the

Planning of the product & process development

All requirements regarding the product to be developed a re

enter reason for NR (not rated)

enter reason for NR (not rated)

enter reason for NR (not rated)

Are there plans for the product and process

enter reason for NR (not rated)

Have the necessary resources been taken into

enter reason for NR (not rated)

Is QM planning arranged for sourcing bought-in

A process must be implemented to plan and check essential

Realization of product & process development

Are the stipulations arising from the plans for

In the development phase it must be ensured by means of

enter reason for NR (not rated)

T he effective ness of the actions must be demonstrated.

enter reason for NR (not rated)

- Project sequence planning

enter reason for NR (not rated)

Is the infrastructure in place and appropriate?