GM 1927 08 Potential Supplier Assessment (PSA)

GM 1927-08 POTENTIAL SUPPLIER ASSESSMENT (PSA)
GM 1927 08 POTENTIAL SUPPLIER ASSESSMENT (PSA)
SUPPLIER NAME:
DUNS:
DATE OF TECH REVIEW:
DATE OF AUDIT:
EXPIRY DATE OF AUDIT*:

*PSA audit results are valid for up to a maximum of 1 year from "Date of Audit'.
PSA can be valid for less than a year if identified in"Expiry Date of Audit"
SMT REQUESTING AUDIT:
CREATIVITY TEAM**:
**NOTE: PSA Audit results are only valid for Creativity Team Listed.
CROSS FUNCTIONAL TEAM FOR ON SITE AUDIT
Attendance
Must Complete
SUPPLIER QUALITY AUDITOR Attended
ENGINEERING AUDITOR Attended
PURCHASING AUDITOR Attended
LEAD AUDITOR PHONE AND EMAIL:
Title 480536961.xlsx Version: 11.1

GM Confidential 1 of 12 Issued Date: April 18, 2017
Version: 12 Issued Date: March 16, 2018
SUPPLIER NAME
DUNS
ADDRESS
KEY CONTACT AT SUPPLIER
KEY CONTACT PHONE NUMBER
KEY CONTACT EMAIL
TECHNICAL REVIEW SUMMARY ON SITE AUDIT SUMMARY OVERALL

#DIV/0! COMMERCIAL #DIV/0! MAINTENANCE #DIV/0! TECH REVIEW TOTAL
CONTAINERIZATION, LOGISTICS,
#DIV/0! #DIV/0! MANUFACTURING ON-SITE AUDIT TOTAL
MATERIAL MANAGEMENT. #DIV/0!
#DIV/0! CCA #DIV/0! QUALITY #DIV/0! OVERALL SCORE
#DIV/0! #DIV/0!
TECHNOLOGY -- ENGINEERING SAFETY
#DIV/0! TOTAL #DIV/0! SERVICE
SUPPLIER MUST HAVE RATING OF 70% OR MORE ON

TECHNICAL REVIEW TO CONTINUE TO ON-SITE AUDIT #DIV/0! TOTAL
Please note that questions have different weights. This is reflected in the score.
RATING GREEN ≥ 90% / YELLOW 70-89% / RED ≤ 69%
TAKE AWAYS/ KEY FINDINGS/ GENERAL COMMENTS
CROSS FUNCTIONAL APPROVAL

SQ - CT Lead Signature: Date:
ENGINEERING - BFO Signature Date:
PURCHASING - GCM Signature: Date:
Summary and Signatures 480536961.xlsx Version: 11.1

GM CONTACTS
GM REPRESENTATIVE FOR TECH REVIEW Attendance
SUPLLIER QUALITY: SQE OR CT LEAD Attended
ENGINEERING: BFO/ DRE Attended
PURCHASING: BUYER Attended
GM SOURCABILITY REPORT INFORMATION
SMT
CREATIVITY TEAM
COMMODITY
SUPPLIER
SUPPLIER NAME:
DUNS:
SUPPLIER KEY CONTACTS
# Position Name Phone Number E-mail Address Months in Position Years at Company
1 CEO / President
2 QA MANAGER
3 PLANT MANAGER
4 PROD. CONTROL
5 PROCESS ENGR
6 PRODUCT ENGR
7 SALES
8 SERVICE / SHIPPING
9 MATERIAL MGMT
PEOPLE
1 Employee Specific: Hourly Salary/ Management Total
Number of Employees at facility?
Average employee seniority (in years)?
Employee turnover rate (percentage)? % % %
2 Union Representation? (Y/N)
3 Is local manpower available to support increased business? (y/n)
4 Number of individuals dedicated to Aftersales/ service at the facility?
5 Engineering Specific:
Number of engineers responsible to quality at this facility?
Number of engineers responsible to production at this facility?
Number of engineers responsible to R&D at this facility?
FACILITIES/ CAPACITY PLANNING
1 How many shifts does this plant normally work? Shifts
2 How many days per week does this plant normally work? Days
Facilities worldwide (number) Manufacturing R&D Centers Offices Warehouse Total
3
4 How many other manufacturing location are available for this type of product (number):
5 What is the % of Business at this plant supplies to OE and Aftersales? OE %: Aftersales %:
6 Current plant utilization percentage? (total available time - idle time) / (total available time) %
7 Estimated New plant utilization with this business (percentage)? %
8 Implementation plan available for increased production? (Y/N) If Yes, explain:
Current Tooling Capacity (%)
Capacity utilization now and next 2 years Year 2 (%)
9 (% utilization)
Year 3 (%) Current Capacity
(Embedded file is provided as a tool to calculate current capacity) Estimate Tool.xlsx
10 Will this be dedicated equipment or shared? (for example multiple OEMS using equipment)
11 Does supplier's capacity planning comprehend the maximum capacities of all tiered suppliers? (YES OR NO)
12 What is the standard lead time for product - delivery (weeks):
13 What is the standard lead time for product - PPAP (weeks):
What is this facility's current internal PPM (Parts per Million)? Note: PPM : (Defective Parts / Total parts Inspected) X 1,000,000
14 Year 1 Year 2 Year 3 Year 4 Year 5
What is this facility's current EXTERNAL PPM (Parts per Million)? Note: PPM : (Defective Parts / Total parts Inspected) X 1,000,000
Year 1 Year 2 Year 3 Year 4 Year 5
15
16 Does the supplier/facility build their own tools? (Y/N) If Yes, what percentage:
17 Does the supplier/facility refurbish tools in-house? (Y/N)
18 Does the supplier/facility have the capacity to build? (Y/N)
19 Does the supplier/facility have IATF16949 Certificate? (Y/N) If No, Date to Obtain:
20 Has the supplier ever been prosecuted / cited by Health & Safety authority? (Y/N)
21 Has there been any major recordables within the last 5 years? (Y?N)
COMMERCIAL
ITEM AUDIT QUESTION SCORING CRITERIA SCORE (R-Y-G) COMMENTS

Green: Yes NR
1 Do you agree to GM's most recent Terms & Conditions? Red: No
Has the supplier/facility been cited and or fined for failure to comply with any Green: No NR
2 state/federal regulations and or statures in the past 2 years? Red: Yes
Green: No NR
3 Is there any pending litigation between this location and GM(Legal actions)? Red: Yes
Green: No NR
4 Has the supplier/facility had a judgment against them in the past 2 years? Red: Yes
Green: No NR
5 Is the company anticipating a change in ownership in the next 3 years? Red: Yes
Green: Score is 1 or 2
What is Financial Risk Rating (FRR) of this supplier? Yellow: Score is 3 NR
6 BUYER MUST ANSWER THIS QUESTION. Red: Score is 4-7
Technical Review Deliverables 480536961.xlsx Version: 11.1

CONTAINERIZATION, LOGISTICS, MATERIAL MANAGEMENT.
Green: Yes Capable NR

1 Is supplier capable of electronic data transfer (EDI) (yes/no) Red: Not Capable
Green: Currently Exports,

Yellow: Has exported parts in past NR
2 Does the supplier/facility currently export product? Red : Has never exported
GREEN: Minimum or no premium shipments NR

3 How often does supplier have to make premium shipments? RED: Excessive premium Shipments
Green: Yes NR
4 Does supplier have a process in place to handle premium shipping requests? Red: No
Green: Yes NR
5 Is there more than one or two shifts of in-process material in the plant? Red: No
Green: Yes NR
6 Is the supplier currently sequencing product for an assembly plant? Red: No
Green: Yes NR
7 Does supplier/facility possess packaging capabilities in house? Red: No
Green: Yes NR
8 Is the supplier/facility current inventory management system electronic? Red: No
9 Specify countries where this facility/supplier is delivering orders:
How does the supplier/facility currently deliver product?

10 (i.e.: Truck, Rail, Ship, Air) List all that applies.
11 How many days of finished product inventory is on hand? Average Target

CCA
Green: Yes NR
1 For CCA, does the supplier have capability to ship direct to the dealer? Red: No
Does the facility currently have the ability to pick, pack and ship products to GM Green: Yes NR
2 CCA customers? Red: No
Green: Yes NR
3 Does the facility have the ability to produce service part labels on site? Red: No
Green: Yes NR
4 Are finished goods warehoused at this facility? Red: No
5 If finished goods are not stored at facility, where are finished goods warehoused? Explain
6 What is the suppliers current on time delivery percentage for service parts? %
What type of packaging & labeling are currently utilized?
(shrink wrap, unitized box, bulk, etc.)
7
TECHNOLOGY -- ENGINEERING
Green: Engineering located within 4 hours NR

Is the supplier's engineering resources located in the Yellow: Engineering is not in sourcing region, but there are technical resources in sourcing region.
1 same region of the sourcing region? Red: Engineering is not in sourcing region, nor is there any local technical support.
Green: Engineering located within the same country as their manufacturing facility.
Yellow: Engineering located in a different country as manufacturing facility, but has a resident engineer at NR
the manufacturing site.
Is the supplier's engineering resources located in the Red: Engineering located in a different country as manufacturing facility, and does not have a resident
2 same region as their manufacturing? engineer at the manufacturing site.
Green: Resident engineer will be provided at least 4 days per week. NR

Can supplier provide integrated resident engineer to Yellow: Resident engineer is provided as needed, but not located onsite.
3 be onsite at GM? Red: Resident engineer cannot be provided.
NR
Green: Supplier has design resources at their facility or uses an experienced outsourced resource.
Yellow: Supplier has a plan to develop and obtain CAD/CAE.
4 Does the supplier have CAD/CAE resources onsite? Red: Supplier has no plan to obtain resources.
Green: Supplier has demonstrated an understanding of Design Validation. NR

Does the supplier demonstrate their understanding of Yellow: Supplier has some Design Validation skills, but has never tested to GM standards.
5 Design Validation? Red: Supplier has no Design Validation plans in place.
Green: Supplier has UG and shows evidence of proficiency. NR

Yellow: Supplier has UG, no experience, but has training plans.
6 Does supplier have UG capability? Red: Supplier does not have UG capability.
Green: Not applicable (supplier is not design responsible) or supplier shows evidence of past usage
of design tools. NR
Yellow: Supplier uses outside design services or has plans to obtain in-house training of design
Does supplier have design evaluation tools (e.g.. tools.
7 FEA, HALT, etc.)? Red: No evidence of use and no plan to develop these tools.
Green: Supplier shows evidence of past DFMEA usage. NR

Does the supplier have prior use and knowledge Yellow: Limited experience using DFMEA and has training plan in place.
8 of DFMEA creation? Red: No experience using DFMEA.

Green: Not applicable (supplier is not design responsible) or supplier has fully documented NR
benchmarking systems in place and uses them.
Does the supplier use competitive benchmarking Yellow: Supplier proactively participates in benchmarking business-wide best practices.
9 to develop new designs? Red: Supplier does not have evidence of benchmarking.
Does the supplier have records of formal

NR
documented design reviews by the appropriate Green: Supplier has conducted and documented design reviews.
internal functions conducted at appropriate Yellow: Supplier has been a part of design reviews, but has never lead one.
10 stages of design per the design plan? Red: Supplier has no evidence of performing design reviews.
Does the supplier have evidence of regular Green: Supplier shows evidence of external design reviews. NR
design and development reviews with its Yellow: Supplier conducts reviews, but does not have supporting documentation.
11 customers? Red: Supplier does not conduct external design reviews.
NR
Does the supplier have design documents and Green: Supplier has formal documents and data process.
data reviewed and approved by authorized Yellow: Supplier shows evidence of plan to develop procedure.
12 personnel prior to being published? Red: Supplier does not have a procedure or plan in place.
Does the supplier have a master list (or Green: Supplier has evidence of revision document that is current. NR
equivalent) readily available that identifies Yellow: Supplier has a revision document, but it is not current.
13 document revision status? Red: Supplier has no evidence of revision document.
Green: Not required or supplier has a partner longer than 1 year. NR

Yellow: Supplier has a partner for less than 1 year.
14 Does the supplier have a technology partner? Red: Supplier requires a joint venture partner, but no formal partnership established.
Green: Eighteen month development schedule is not required or the supplier has prior experience
of an 18 month development cycle. NR
Is the supplier capable of supporting a 18 month Yellow: Proposal to meet an 18 month development cycle, with exceptions.
15 or less development schedule? Red: Supplier cannot meet 18 month development cycle.
Does the supplier have electronic data transfer Green: Supplier has experience transferring data to GM. NR
capability already established? (e.g.: Team Yellow: Supplier does not have experience with GM data transfer, but has capability.
16 Center, CEMENT, Supply Power, etc.) Red: Supplier is unable to transfer data electronically.
Does the supplier's electronic data transfer and Green: Supplier has the latest software or an earlier version with plans to update in order to support NR
design software compatible or exceeds customer electronic data transfer.
requirements, utilizing the latest improvements in Yellow: Supplier has a plan to obtain required software in order to support electronic data transfer.
17 design modeling technology? Red: Supplier does not have latest software and has no plan to obtain.
Green: Supplier has at least Broadband, T1 or equivalent (20 Mbps or higher)

NR
What type of internet connection does the Yellow: Supplier has DSL or ADSL (5-20 Mbps)
18 supplier utilize? Red: Supplier uses Dialup or no onsite internet connection (less than 5 Mbps)
Green: Supplier does not use hazardous materials in design process. NR

Is the supplier aware of and will abide by Yellow: Supplier has full consideration for disposal and traceability of hazardous materials.
19 GMW3059 (restrictions on hazardous materials)? Red: Supplier has no consideration of hazardous materials.
Green: Supplier has evidence of successful validation plans.

Yellow: Supplier is using an outside 3rd party that is familiar with GM validation procedures to NR
Does supplier have past knowledge and use of perform validation.
20 validation plans and forms? Red: Supplier has no prior experience with GM validation.
Does the supplier have performance testing data

(that considers and includes: life, durability, Green: Supplier has evidence of comprehensive test plan that tracks testing. NR
reliability) that is tracked for timely completion Yellow: Supplier has test plans available, but are not up to date.
21 and conformance? Red: Supplier has no evidence of testing plans being tracked to completion.
NR
Green: Supplier has evidence of lessons learned database or records.
Does supplier have documented evidence of Yellow: Supplier shows evidence of process, but no implementation.
22 lessons learned? Red: Supplier has no process in place for lessons learned.
Answer this question only is parts go thru

Painting or Heat Treating. Is supplier aware that Green: Yes supplier is aware NR
GM has an "APPROVED"" supplier list for Heat Yellow: Yes supplier is aware but needs to change to approved users
23 Treat/ Painters/ Chroming/ Resin/ Matspec? Red: Supplier is not aware

For Reference
Only:
BIQS SCORE
CATEGORY ITEM ELEMENT AUDIT QUESTION QUESTIONS TO ASK AND WHAT TO LOOK FOR SCORING CRITERIA (G-Y-R) OBSERVATION
GREEN - Internal resources available accordingly.

YELLOW - Internal manpower insufficient or NR
external resources available within 8 hours.
Is skilled manpower available to carryout 1 - Check the maintenance structure. RED - No internal manpower or external resources
MAINTENANCE 1 Maintenancemachineries maintenance? 2 - Verify that the maintenance timing are available and on time. available over 24hrs.
GREEN - Yes & OEE>80%.

Are preventive & predictive maintenance 1 - Check the maintenance procedure and verify that the all machineries are YELLOW - Yes OEE between 50 to 80%. NR
MAINTENANCE 2 Maintenanceprocesses in place for all machineries? being considering for preventive & predictive maintenance process. RED - No plan available.
GREEN - Sufficient stock available.

YELLOW - Procurement of spares as & when NR
Are adequate spare parts to maintain the 1 - Choosing a critical machine and verify that the planned spare parts are required.
MAINTENANCE 3 Maintenancemachineries available? available in the right quantity. RED - No sufficient stock available.
GREEN - Internal resources available accordingly. NR

YELLOW - Internal manpower insufficient or
external resources available within 8 hours.
Is skilled manpower available to carryout tools / 1 - Check the tool room structure. RED - No internal manpower or external resources
MAINTENANCE 4 dies / molds maintenance? 2 - Verify that the tool room timing plan is available and on time. available over 24hrs.
Green: Yes &OEE>80%

Are preventive & predictive maintenance 1 - Check the maintenance tools procedure and verify that the all tooling are Yellow: Yes and OEE between 50-80% NR
MAINTENANCE 5 Maintenanceprocesses in place for all tools? being considering for preventive & predictive maintenance process. Red No plan available.
GREEN -Spare parts available. NR

YELLOW - Procurement of spare parts as required.
Are adequate spare parts to maintain the tools 1 - Choose a critical tooling and verify that the planned spare parts are RED - No spare parts available. No procurement
MAINTENANCE 6 Maintenanceavailable? available in the right quantity. plan
GREEN - Contingency plan available & can be used. NR

YELLOW - Contingency plan not adequate, needs
Are contingency plans in place for electricity / further back up.
MAINTENANCE 7 water / compressed air supply? 1 - Check that the contingency plans are available and feasible. RED - No contingency plan available.
GREEN - Single piece flow (one piece flow). NR

1. Type of process flow (one piece flow, small batch, large batch, etc.). YELLOW - Small lot batch processing / Pull System.
2. Type of handling process (manual or automatic) and Poka Yokes adequate RED - Large batch size, push system, resulting in
MANUFACTURING 8 Which kind of process flow is followed? inter-operations. high WIP.
Visual
Manageme NR
nt and 1 - Check workplace organization and visualization at several different places GREEN - 5S pratice followed.
Standardiza (incoming/storage area, work stations, maintenance room). YELLOW - Partial implementation of 5S.
MANUFACTURING 9 tion Is the work place properly organized? 2 - 5S audit records and verify actions implemented for findings. RED - No 5S activity / cleanliness
1. Materials must be stored in the storage equipment (barcode reader, GREEN - Well organized, structured and properly
informatics systems, forklift, pallets, shelves or racks) in an orderly manner to identified.
FIFO and await transportation or consumption. YELLOW - Organized, but opportunity for NR
Material 2. Parts, packaging and storage equipment are properly identified. improvement.
Handling What best describes in process material 3. Check storage areas and condition at several places (incoming, WIP and RED - Not structured, parts area and storege
MANUFACTURING 10 Process handling? final product). equipments not properly identified.
GREEN - Proper identification & location.

YELLOW - Propoer identification & location but not NR
Are parts, tools & equipment arranged in fixed followed.
MANUFACTURING 11 location? 1 - Check the local and identification. RED - No proper identification or location.
1 - Work instructions at different workplaces (manufacturing, quality control,

material handling/logistic), check:
a)Easy availability,
b)Compare instructions to work performed by operators. Observe 3 full cycles NR
of the job in station. Verify that the major steps and key points are followed. GREEN: Easy to assess(At Operator) and being
Ensure reason is understood. followed
Standardiza c)Controls listed in Control Plan are in Standard Work Instructions (SWI) and YELLOW: Not easy to assess (at office or elsewhere
tion and Do the Standard Operation Sheets contain that sufficient time allocated for quality checks. on line) and not followed consistently
Standardize appropriate and complete information as well as 2 - Ask a few operators to explain SWI. Do operators understand it? RED: Instructings inaccessible and/or operator
MANUFACTURING 12 d Work easily accessible to the team members? doesn't know where they are and does not follow.
1 - Verify, by checking several operators, whether Standardized Work

Instructions are being followd & if they know the quality and productivity
requirements.
2 - Ask a few operators to explain SWI. Does operator understand it? NR
3 - Ask a team member to explain the documentation regarding quality, GREEN - Followed and regular audit is conducted
Standardiza workplace organization, escalation process. and tracked according to action plan.
tion and 4 - Check the latest audits performed by the team leader. YELLOW - Partially followed and audits are
Standardize Are Standard Operation Sheets being followed 5 - Implemented actions were verified. conducted infrequently.
MANUFACTURING 13 d Work by team members & audited by team leaders? 6 - Check the involvement of the management on the result. RED - Not followed and no audits conducted.
1 - Verify at different workplaces whether their operators got the training

from certified trainer.
2 - Ask operators how they were trained.
3 - Check if the Individual Job Training has all training content need to perform NR
the task.
4 - Verify few operators whether following Standardized Work Instructions &
know the quality and productivity requirements. GREEN - Documented training including follow up /
5 - Check few working stations and verify that training records are available to update.
the latest working instruction level. YELLOW - Documented training, no follow up or
6 - Verify if there's employee that go back to the operation after specific update.
MANUFACTURING 14 Training What best describes operator training? period out of operation without refresh training. RED - No formal process or process not used.
GREEN - Internal resources.

Are resources available for functional / durability 1 - Check that the supplier has internal or external resources (structural, YELLOW - External resources. NR
MANUFACTURING 15 testing? material, functional labs). RED - No internal or external resources.
GREEN - Internal resources.

1 - Check that the supplier has internal or external resources (structural, YELLOW - External resources. NR
MANUFACTURING 16 Are resources available for calibration? material, functional labs). RED - No internal or external resources.
GREEN - In-house facility.

1 - Verify the re-engineering structure. YELLOW - Supported by external agency. NR
MANUFACTURING 17 Are resources available for re-engineering? 2 - Verify that the re-engineering timing plan is available and on time. RED - No resources.
Gauge
Calibration
and GREEN: Yes, state of the art in-house NR
Measureme 1 - Verify the design tools & gauges structure. YELLOW: Supported by external facility
MANUFACTURING 18 nt Analysis Are resources available to design tools & gauges? 2 - Verify that the design tools & gauges timing plan is available and on time. RED: No resources.
On-Site Audit 480536961.xlsx Version: 11.1

For Reference
Only:
BIQS SCORE
GREEN - State of art in-house facility.

1 - Verify the fabrication tools, gauges and molds structure. YELLOW - In-house facility but insufficient NR
Are adequate resources available for tools / 2 - Verify that the fabrication tools, gauges and molds timing plan is available resources.
MANUFACTURING 19 gauges / molds fabrication? and on time. RED - Supported by external agency.
GREEN: Capable of prototype Design and

Fabrication in house NR
YELLOW: Capable of some basic design prototyping
Is Prototype fabrication capability in house or Ability to build plastic molds (as an example). Ability to build Low volume in house/ or at Central Office
MANUFACTURING 20 outsourced. tooling? At what volume do you produce parts? (for low runs 1-50) RED: All Prototype requirements are outsourced
GREEN: Capable of in house SLA/SLS

YELLOW: Outsourced SLA/SLS with capable NR
Does supplier have SLA/SLS capability? supplier
MANUFACTURING 21 Outsourced? This is 3-D Printing. Do they do it in house? (making about 1-5 parts) RED: No ability for quick turn prototypes
GREEN - Procedure and plan available & can be

used. NR
1 - Verify the human resources procedure of absenteeism and understand the YELLOW - Procedure / plan not adequate, needs
Does the facility have a robust plan to cover plan to cover it further back up.
QUALITY 22 absenteeism? 2 - Verify that the facility have a flexibility chart available and updated. RED - No procedure or plan available.
GREEN: Supplier has demonstrated Supply Chain

Protection System.
Review internal inventory management. How does the supplier track YELLOW: Supplier has supply chain protection, but NR
Formal process is identified to protect pipeline subcomponents to ensure enough is on hand. needs enhancements.
supply chain (MRP, KAN BAN, etc.) and provide Review the suppliers completed inventory. Review how they manage RED: Supplier has no supply chain protection plan
Quality 23 safety inventory. outbound shipments. in place.
Look for supplier timeline and linkage to GM program timing GREEN: Supplier has demonstrated understanding
- Look for evidence that parts used for PV will be manufactured using of Validation Process NR
production equipment/tools (lot records, labels) YELLOW: Supplier has some Process Validation
- Ask if achieving PV approval means full PPAP approval (answer is no, because Skills, but needs major enhancements
Supplier demonstrates understanding of Process PV is only 1 element of PPAP). RED: Supplier has not Process Validation tasks in
Quality 24 Validation. place.
GREEN: Supplier has a demonstrated Material

Identification/ Traceability System.
YELLOW: Supplier has a generic Material NR
Look for a Julian date, lot code, or label that identifies all material. Identification/ Traceability System, but needs
Nonconfor - Look for documentation (e.g. via SAP) that shows where material comes enhancements.
ming Supplier has Material Identification Traceability from and its characteristics. RED Supplier has no Material Identification/
Quality 25 material System supported with current data. Traceability.
GREEN: Supplier has a strong Tiered Management

System.
Supply YELLOW: Supplier does minimal Tiered NR
Chain Management.
Manageme Tier 1 Supplier has plan on how Tier 2-3-4 Look to see if the the Supplier has SQ's that manage their tiers. Check and see RED: Supplier has no evidence of Tiered
Quality 26 nt suppliers will be managed. if they audit or inspect their tiers. Look for an bidlist or list of approved tiers. Management.
GREEN: Supplier has demonstrated capability of

Change Management.
Change YELLOW: Suppleir has minimal capability of Change NR
Control and Ask supplier to explain how they manage Engineering changes with their Management enforcement.
Manageme Supplier has capability of Change Management tiered suppliers. Look for tracking system. Do they have a change process with RED: Supplier has minimal capability on Change
Quality 27 nt enforcement for entire supply chain. the tiers. Management enforcement.
1) Look for a system (or storage of documents) that demonstrates how GREEN: Supplier has LPA process, follows up with
supplier checks for standardized work in the process, parts meet compliance each action accordingly and provides evidence of NR
to specification, etc. closure appropriately.
2) Look for a rotaional schedule to ensure different people look at different YELLOW: Supplier has documentation to prove that
processes (not have a person assigned to a station all of the time). LPAs are performed but does close the loop to
Supplier utilizes formal layered audit process on 3) Look for reports of any findings, actions plans and compliance of closure to complete all actions.
Quality 28 Layer Audit their quality/manufacturing systems. ensure findings are closed out properly. RED: Supplier does not have a LPA process.
GREEN: Documented formal audits conducted by

"supplier quality" with evidence of immediate
corrective action NR
YELLOW: Documented formal audits but
Supply Supplier audits the quality/manufacturing infrequent.
Quality 29 Chain systems of their suppliers. 1) Look at Tiers RED: No evidence a process exists.
1) Look for a board or system that keeps count of how many parts are
produced in the shift and how many good vs. bad parts have been produced. GREEN: Supplier has part clearly marked, physically
2) For the parts that are determined as bad, have supplier demonstrate how segregated, and traceable. NR
parts are marked, tagged, or disposed of to ensure it is clearly visible when a YELLOW: Supplier has process established, but
failure is found. there is a chance that parts segregated can still be
3) Once parts are identified, look for a bin/bucket/place that contains all faulty reintroduced into the manufacturing process.
Non Supplier demonstrates process for Non- parts shown on 1). It is preferred to have an automatic system that opens a RED: Supplier does not keep count of First Time
Conforming Conforming Material isolation, removal from bin/bucket once a failure is found and closes once production has restarted to Quality, parts are scrapped manually, and there's
Quality 30 Material pipeline and plant floor. ensure there are no mixed parts. potential for component mixture.
GREEN: Supplier has material identified, traceable,

approved, and it is loaded in the machine/process NR
unitl read by the machine(s).
1) Look for PPAP documentation on incoming materials from suppliers. YELLOW: Supplier has material identification, but
2) Look for labels, 2D barcodes that identify the incoming material. does not have proper PPAP documentation or does
Non Incoming Material Handling System is present 3) Look for FIFO process to ensure there's no obsolesence in material. not identify it on the shop floor.
Conforming (proper tagging, material testing, 4) Look for material identification (e.g. scan) at the moment it is loaded into RED: Supplier does have material identification of
Quality 31 Material documentation). the machine/process. any kind.
1 - Where the Process Control Plan calls for SPC look at actual SPC records and
data collection.
2 - Verify that every out of control points are noted and corrective action NR
defined and followed by leadership.
3 - Ask someone noted on the action plan to explain their involvement and or GREEN - Meets all requeriments.
responsibility. YELLOW - Meets customer requirements but some
Is process capability & performance maintained 4 - Manufacturing process demonstrates the required capability or deterioration.
QUALITY 32 at levels originally approved by the customer? performance according to customer requirements. RED - Does not meet the stipulated requirements.

For Reference
Only:
BIQS SCORE
1) Look for CFT participation in PFMEA development

2) Look for regular reviews and dates of PFMEA.
3) Look for identification of action plans based on risk priority methodology. NR
4) Look for action plans to be driven to closure on-time.
5) Look for requirements defined on PFMEA to "makes a good part" rather GREEN: Supplier follows all of the items from the
Supplier demonstrates effective use of PFMEA: than listing all failure modes associated with each process. "what to look for" cell.
quantifies risk, identifies special characteristics 6) Look for alignment between AIAG rankings and supplier's PFMEA (e.g. YELLOW: Supplier follows more than half, but not
for use in Control Plan, takes action to reduce severities are aligned). all from the "what to look for" cell.
RPNs; uses AIAG/BIQS/IATF criteria to calculate 7) Look for correlation between the manufacturing process flow and the RED: Supplier follows less than half of the items
Quality 33 PFMEA RPNs PFMEA flow, it should be in the same order. from the "what to look for" cell.
GREEN: Supplier follows all of the "what to look

1) Look for correlation between the PFMEA and control plan. for" items and shows proof of compliance NR
2) Look for requirements or specifications to be measured at each step of the YELLOW: Supplier follows some elements in "what
process. to look for" but does not have proof of compliance.
3) Look for tool/method on how to check for requirement. .RED: Supplier does not follow any of the elements
Control Supplier demonstrates adherence to control 4) Look for frequency of measurement on each requirement and verify that in "what to look for" and does not have any proof
Quality 34 Plan plan. supplier provides documentation of compliance. of compiance.
1) Look for part drawing, CTS, SSTS, and DFMEA to understand severities of
failure modes from the design requirements.
2) Look for alignment of critical severities called out in DFMEA and impacted NR
processes in PFMEA (severities should be the same).
3) Look for detection alignment from PFMEA to frequency checks on control
plan. Ensure that requirements and specification being measured in the
control plan correlate with requriements from PFMEA and design record. GREEN: Supplier follows all of the "what to look
4) Look for operator work instructions to clearly state the procedure on how for" items and shows proof of compliance.
There is linkage between the design record, to perform operation according to control plan (e.g. have steps in bigger font, YELLOW: Supplier follows some elements in "what
PFMEA, Control Plan and Operator Instructions, bold, ask operators about instruction to verify if they understand the criticality to look for" but does not have proof of compliance.
e.g. special characteristics are identified by of the issue if they don't perform the operation correctly). RED: Supplier does not follow any of the elements
supplier, effective and understandable controls 5) Look for signs, visual aids on the shop floor that clearly state a critical in "what to look for" and does not have any proof
Quality 35 3,4,10 are specified for affected operators use process (e.g. inverted yellow sign reading "warning, critical process"). of compiance.
GREEN: Supplier can retrieve the latest

documentation in the manufacturing facility. NR
YELLOW: Supplier can retrieve documentation, but
they are not the latest documents. May take some
Supplier has capability of retrieving current time for supplier to retrieve the latest.
drawing revision for usage on floor inspections RED: Supplier cannot retrieve documents at the
Quality 36 and specification verification. 1) Look for supplier access design records at the manufacturing facility. manufacturing facility.
GREEN: Supplier has extensive measurement

system analysis in place
Gauge YELLOW: Supplier has system analysis in place but NR
calibration it is not consistently used
and Does supplier calibrate measurement equipement? Look for scheduled RED: Supplier has not measurement system
Measureme Supplier complies with acceptable measurement calibration. Look for evidence that measurement system is checked on analysis in place. No evidence of equipment
Quality 37 nt Analysis system analysis and calibration techniques. regularly. calibration.
GREEN: Supplier has andon system application and

adheres completely to the escalation process.
Issues are addressed immediately and solved NR
quickly.
1) Look for system application to be at each machine/step of the process. YELLOW: Supplier has andon system application,
2) Look for a defined interval of what to do if an issue happens (e.g. turn on a but does not adhere completely to the escalation
red light if issue X happens, 3-5-10 rule when parts are found faulty). process when solcing an issue.
Andon 3) Look for an escalation plan of who intervenes when an issue is found (e.g. RED: Supplier does not have an andon system
Quality 38 System ANDON system and its application. cell leader handles level 2 issues, cell supervisor handles level 3 issues, etc.) application implemented.
GREEN: Supplier performs statistical method and

data correlates with data down the pipeline. Any NR
issues found are addressed in a timely manner and
are closed out appropriately.
YELLOW: Supplier performs statistical methods,
but data does not correlate with data.
Capability Usage of statistical methods in process control RED: Supplier does not peform any statistical
Quality 39 Studies systems. 1) Look for SPC charts (e.g. Xbar, R&R, Cpk, Ppk, etc.) methods.
GREEN: Supplier follows AIAG guidelines and NR

provides proof of compliance
1) Look for latest manuals from AIAG. YELLOW: Supplier follows AIAG guidelines but does
Supplier is familiar with US AIAG manufacturing 2) Look for documentation (e.g. PFMEA, PPAP packages) that demonstrates not have documentation to show compliance.
Quality 40 standards e.g. MSA, SPC, APQP, FMEA, PPAP compliance of understanding and following AIAG guidelines. RED: Supplier does not follow AIAG guidelines.
Visual
Standards GREEN: Meeting areas are defined and charts are
and NR
displayed showing customer data
Controls YELLOW: Meeting areas defined but charts and/or
1) Look for visuals of First Time Quality (FTQ), Warranty, internal issues, etc. data not up to date.
Are team meeting areas available, and are 2) Look for defined meeting areas (preferred to have perfromance charts RED: Meeting areas are not defined and there are
Quality 41 performance charts displayed in the area clearly visible to all attendees). no charts displayed on the shop floor.
GREEN: Employee and/ or teams formed to solve

plant issues, teams are active.
YELLOW: Employee and/ or teams formed, NR
however management follow-up is missing.
Problem Are employees encouraged to get involved in Look for documentation (e.g. visual board) that shows employees' ideas of RED: Employees are not involved in problem
Quality 42 Solving problem solving. how to improve business. solving.
Look for metrics. This include number of suggestions/employee/year, percent NR

suggestions implemented by year, improvement in rate of employee GREEN: Program is evident and meets expectation.
Supplier has an effective employee suggestion suggestions submitted per year, improvement in rate of suggestions YELLOW: Program complies with minor issues.
Quality 43 program. implemented per year. RED: Program does not exist.

For Reference
Only:
BIQS SCORE
Are employees recognized for their GREEN: YES NR

Quality 44 achievements How are they recognized? RED: No
How are Voice of Customer (VOC) concerns Green: Documented Communication Process in NR
escalated through the organization to ensure Place
efficient resolution with minimal impact to your Look for visuals or postings of customer concerns (Fast response boards, Yellow: Communication but no process in place
QUALITY 45 customer? warrenty) Red: No process/ Ineffective process
Green: Supplier management review , ensure

sproperly tracking, documentation and action plan NR
in place where required
Does supplier have APQP tracking methodology 1. Supplier management team has appropriate periodically review to ensure Yellow: not track regularly or not clear in the action
to ensure all expected deliverables for vehicle proper tracking , documentation and action plan in place if any delayed Red: NOT properly tracking and no action plan for
Quality added program will be on timely require? delayed items.
Green: Supplier tracks customer metrics and NR

reviews regularly. Action plans developed where
out of target
Supplier has a process for monitoring customer Supplier should be tracking PPM, On time delivery ,IATF 16949 certification Yellow: No action plan in place for any deviaition.
satisfaction metrics related the supplier status, etc.. Red: Supplier is not tracking any customer metrics
Quality added manufacturing
Green: Supplier has process to identify require of NR

error proof device and verification plan in place
Yellow: No clear process to identify the need of
Error Where possible, supplier has process to error proof device but has some error proof list.
Proofing identified the error detection/error proofing Supplier should have a list of error proof devices (red rabbits) and verification Red: Does not understand the importance of error
Quality Verification device for its process (red rabbits) plan proofing device and control of error proof
1. Supplier should have a process to capture the previous leason learned (ie, Green: Supplier has clear process how to capture NR
8D reports, Master PFMEA read across) and utilized the leasson learned effectively.
Does the supplier utilize lessons learned to 2. Supplier can demonstrate how to utilize of lesson learned in the new Yellow: Process in place but not effective
Quality prevent repeat issue on future launches? project. Red: no process in place
1 - Check on shop floor potential safety issues e.g.: hidden corners, potential
accidents, pedestrian way, colour coding on floor, noise, temperature etc. GREEN: LUX level and controlled air pressure NR
2 - On the shop floor, appreciate the level of light, the temperature (cold/hot), maintained
the level of noise, the loads carried by operators, the level of work (hands YELLOW: Available but not controlled
SAFETY 46 Is sufficient lights & air circulation available? up...). RED: Needs Improvement
1 - Operators are involved in workstation design (ergonomic workstream) and

major player in the qualification process which always includes safety and GREEN - Work conditions suited to control NR
Is shop floor organized to provide fatigue free ergonomic aspects. ergonomic risk factors.
SAFETY 47 operating conditions? 2 - Look for result of ergonomics evaluation. RED - Need improvement in safety & ergonomics.
GREEN: Operators are provided safety equipment NR

YELLOW: Safety Equipement is not always available
1 - Check that the correct safety equipments are applied for each workplace to operator
SAFETY 48 Safety Is personal safety equipment provided? according to supplier safety standard. RED: Safety equipement is not provided.
GREEN - Employees are trained.

1 - Verify at different workplaces whether their employees got the training on safety YELLOW - Employees are trained but training is NR
& health. expired.
SAFETY 49 Safety Are employees trained on Safety / Health? 2 - Verify that the training records are available and valid. RED - Employees are not trained.
GREEN - Followed and regular audit is conducted

and tracked according to action plan. NR
YELLOW - Partial followed and audit is conducted
1 - Verify that the safety audit records are available and valid. infrequently.
SAFETY 50 Safety Are Safety Audits conducted? 2 - Verify that the audits are conducted and tracked according to action plan. RED - Not followed and no audit conducted.
Are procedures for risk assessment for high risk 1 - Verify that the procedures for risk assessment for high risk work activities GREEN - Yes NR
SAFETY 51 Safety work activities available? are available. RED - No
Are procedures available to track lost workdays & 1 - Verify that the procedures to tack lost workdays & first aid cases are GREEN - Yes NR
SAFETY 52 Safety first aid cases? available. RED - No
Are procedures available for incident & near miss 1 - Verify that the procedures for incident & near miss investigation are GREEN - Yes NR
SAFETY 53 Safety investigation? available. RED - No
Is process to assess the subcontractor Health & 1 - Check on suppliers assessment audit that the process to assess the GREEN - Yes NR
SAFETY 54 Safety Safety in place? subcontractor health & safety is in place. RED - No
GREEN: 6 years or Greater

How long has the supplier been in the business 1 - Look for evidence of current products/business. Is there standard YELLOW: 3 to 5 years NR
SERVICE 55 that they are quoting? work documentation for the products. RED: 0-2 years
GREEN: Tier 1
Does supplier/facility currently provide OEM 1- How many part numbers does the supplier provide to OEMs? YELLOW: Tier 2 NR
SERVICE 56 automotive parts? 2- How many parts a year are provided to OEMs? RED: Tier 3 or higher
GREEN: Documented Evidence Available

Does supplier track PPM level with their current 1- Look for evidence of customer returns or reject information. PR/Rs YELLOW: Difficulty providing evidence NR
SERVICE 57 customers? from other OEMs. RED: No Evidence
Feedback/ GREEN: Written and Verbal
feed Does supplier/facility have a feed back method 1- Look for evidence of BPD or other type of visual management. Look YELLOW: Verbal NR
SERVICE 58 forward from management to employee? for Fast Response and Quality Alert Bulletins(QAB) RED: None
GREEN: Documented process in place and visually

verified
Does the supplier/facility have a documented 1 - Confirm that all plant changes are processed through the plant cross YELLOW: Documented process in place and not NR
procedure in place to regulate the specification functional process change approval system. controlled in production
controls and/or changes for OEM/Service 2- Confirm if PTR is necessary. RED: Little to no evidence of a procedure to control
SERVICE 59 product? changes
1- Plant processes are validated relative to changes in Design, Man, GREEN: At Central Office with Resources dedicated
Machine, Material, Method and Environment. The plant follows a NR
at manufacturing plant
Does the supplier have a formalized program documented change control process for customers and internal YELLOW: At Central Office Only
SERVICE 60 management team/process? changes. The PFMEA is updated to reflect any change, as required RED: Not well defined/ None

For Reference
Only:
BIQS SCORE
1 - To establish a Standard to facilitate training and understanding of

documentation across the entire plant/organization. GREEN: Well documented, verification of
2 - Use the plant approved documents to capture Standardized Work. effectiveness, mentoring NR
Standardize Work Documents should include what, how & why for tasks YELLOW: no follow up, little evidence, minimal
performed. documentation
IS there a comprehensive employee training 3 - Check if standardized work is available at the workstations and RED: no written training manual, no follow up
SERVICE 61 Training program followed.
GREEN: N/A, dual written literature, on site

1 - Are there language barriers? If so are there interpreters? Who are translators NR
How Does the supplier/ facility deal with they? Is the management bilingual? Is the standard work written in YELLOW: Little literature available
SERVICE 62 Training internal/external language barriers? multiple languages? RED: Nothing available
What is the suppliers current on time delivery GREEN. Greater than 90 % NR
SERVICE 63 percentage for service parts? Review on time delivery scorecard. RED: Less than 90%
GREEN: N/A Part or Yes Evidence of Adequate NR

corrosion Protection in use
What corrosion protection do you provide for 1 - Look for corrosion protection such as Rust-Vito, VCI Bags or VCI YELLOW: Inconsistent use of corrosion protection
SERVICE 64 the parts? Paper. RED: Little to no evidence of corrosion
1 - Ask if any of the material in the bank that contain expireable GREEN: Does not ship from another location
components like adhesives or heat activated expandable material. If so YELLOW: Ships from another location with
NR
check the date codes for expiration. inspection
Are there service parts shipped from a bank 2- Are these parts inspected prior to RED: Ships from another location without
SERVICE 65 brought from another supplier? shipment? inspection
1 - Review current in-house packaging

2 - Can the supplier support CCA unitized packaging. Look for GREEN: All capabilities in House NR
Does supplier/facility possess packaging available room for expendable packaging and racks. YELLOW: A percentage of packaging by Third Party
SERVICE 66 capabilities in house? 3 - Can the supplier store material for CCA? RED: Majority or All Packaging is Third Party

PSA Purpose:
The purpose of the PSA audit is to assess a supplier's basic technical, manufacturing, quality and service capabilities.
It is very important that the PSA is performed jointly between SQ, Purchasing and Engineering.
A PSA should be conducted if DUNS Location is not on Sourcability Report or highlighted in BLUE.
PSA Audit:
1 During sourcing process, a supplier is found to be quoting a location not on Sourceablity report or BLUE on report
2 Buyer to notify SQ CT Lead that evaluation is needed.
3 SQ CT LEAD, with help of BUYER to Fill out top part of "Title"Tab & "Summary and Signatures" Tab and forward Audit to Supplier
4 Supplier to fill out TECHNICAL REVIEW DELIVERABLES Tab and return to SQ CT lead one week prior to Tech review
5 SQ CT LEAD, BUYER, and BFO to review information provided
6 If supplier passes initial Technical Review Deliverables, then a On-site Audit will be scheduled
7 SQ will schedule a joint onsite meeting.
a. A cross-functional team with a representative from Engineer and Purchasing will join SQ on site.
b. Should a representative not attend, please mark accordinging on Title page
c. Each cross functional team member will be required to sign off on PSA, regardless of attendance.
8 Pre Audit Preparation
a. Schedule a prep session with supplier. It is best to review audit questions prior arriving. This will save time day of audit
b. Ensure that the correct personel will be on hand for the day of onsite audit.
9 Conduct Audit
a. Audit typically takes a day to perform (start at 8am should finish by 3pm)
10 Post Audit
a. Type up notes and finish scoring
b. Share results with supplier
c. Have supplier create an open issues list for any red items.
11 If supplier Passed audit, get appropriate approval signature
a. Signed PSA to be posted into SCMS and used as supporting documentation for QUAD.
12 Post Results in SCMS
a. Add record. Create Record Type Audit
b. Select PSA.
c. Open record and take survey
d. Add attachment and attach signed PSA Results
e. Hit refresh to ensure status update.
Instruction Tab 480536961.xlsx Version: 11.1

Changes History
Date Version Change Summary Author Approver Approving Organization
Updated questions. Updated format to separate

Tech review Questions and Onsite Audit Questions.
Added Weighting to Questions. Expanded summary
6-Apr-17 11.0 sheet Yolanda Lewczuk Global Process/Systems Training Board Supplier Quality and Development
Added expiry date.

18-Apr-17 11.1 Added SMT/CT information with note Yolanda Lewczuk Global SQD Staff Supplier Quality and Development
Fixed wording of Scoring Criteria on Question #6 of

16-Mar-18 12.0 On-Site Audit Tab Yolanda Lewczuk Global Process/Systems Training Board Supplier Quality and Development
Replaced BIQS number with the BIQS element
18-Mar-19 13.0 name L. Natanail Global SQD Operations Development Supplier Quality and Development
18-Mar-19 13.0 Replaced TS with IATF Certification L. Natanail Global SQD Operations Development Supplier Quality and Development
Change Log 480536961.xlsx Version: 11.1


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GM 1927-08 POTENTIAL SUPPLIER ASSESSMENT (PSA)

GM 1927 08 POTENTIAL SUPPLIER ASSESSMENT (PSA)

DATE OF TECH REVIEW:

EXPIRY DATE OF AUDIT*:

SMT REQUESTING AUDIT:

CROSS FUNCTIONAL TEAM FOR ON SITE AUDIT

SUPPLIER QUALITY AUDITOR Attended

ENGINEERING AUDITOR Attended

PURCHASING AUDITOR Attended

LEAD AUDITOR PHONE AND EMAIL:

Title 480536961.xlsx Version: 11.1

KEY CONTACT AT SUPPLIER

KEY CONTACT PHONE NUMBER

KEY CONTACT EMAIL

TECHNICAL REVIEW SUMMARY ON SITE AUDIT SUMMARY OVERALL

SUPPLIER MUST HAVE RATING OF 70% OR MORE ON

RATING GREEN ≥ 90% / YELLOW 70-89% / RED ≤ 69%

TAKE AWAYS/ KEY FINDINGS/ GENERAL COMMENTS

CROSS FUNCTIONAL APPROVAL

ENGINEERING - BFO Signature Date:

PURCHASING - GCM Signature: Date:

Summary and Signatures 480536961.xlsx Version: 11.1

ITEM AUDIT QUESTION SCORING CRITERIA SCORE (R-Y-G) COMMENTS

Technical Review Deliverables 480536961.xlsx Version: 11.1

Green: Yes Capable NR

Green: Currently Exports,

GREEN: Minimum or no premium shipments NR

9 Specify countries where this facility/supplier is delivering orders:

How does the supplier/facility currently deliver product?

11 How many days of finished product inventory is on hand? Average Target

Green: Engineering located within 4 hours NR

Green: Resident engineer will be provided at least 4 days per week. NR

Green: Supplier has demonstrated an understanding of Design Validation. NR

Green: Supplier has UG and shows evidence of proficiency. NR

Green: Supplier shows evidence of past DFMEA usage. NR

Technical Review Deliverables 480536961.xlsx Version: 11.1

Does the supplier have records of formal

Green: Not required or supplier has a partner longer than 1 year. NR

Green: Supplier has at least Broadband, T1 or equivalent (20 Mbps or higher)

Green: Supplier does not use hazardous materials in design process. NR

Green: Supplier has evidence of successful validation plans.

Does the supplier have performance testing data

Answer this question only is parts go thru

Technical Review Deliverables 480536961.xlsx Version: 11.1

GREEN - Internal resources available accordingly.

GREEN - Yes & OEE>80%.

GREEN - Sufficient stock available.

GREEN - Internal resources available accordingly. NR

Green: Yes &OEE>80%

GREEN -Spare parts available. NR

GREEN - Contingency plan available & can be used. NR

GREEN - Single piece flow (one piece flow). NR

GREEN - Proper identification & location.

1 - Work instructions at different workplaces (manufacturing, quality control,

1 - Verify, by checking several operators, whether Standardized Work

1 - Verify at different workplaces whether their operators got the training

GREEN - Internal resources.

GREEN - Internal resources.