Ashok Leyland SEA FORMAT

Supplier Evaluation Audit
Supplier: Req. ref.
Address: Audit Date:
City/State Audited By :
S.Srinivasan,Sr.Manager,CQE, Hosur 1
Country
Report No. Supplier Contacted:
Audit Type
Quality ### 69 50
Cost ### 69 50
Logistics ### 69 50
Development ### 69 50
Management 60 69 50
Commodity ### 69 50
Quality
100
50
Management Cost
Development Logistics
Audit Score Column J Acceptable Score Column L

Min. Score to Qualify
Quality
Section Cost Logistics Development Management Overall
Quality Commodity
Assurance Specific
Audit
#DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 60.00 #DIV/0!
Score
Min.score
50 50 50 50 50 50 70
to Qualify
General (mention company's background, strength & significant points if any):
Threshold Score: >=70 - Approved / Restricted Approval; 50~69 - To be Re-assessed; <50 - Rejected Approval Status
Prepared by S.Srinivasan
Approved by N. Gopinath Approved

Div. Manager - CQE
Supplier Quality Assurance
CC: R Purushothaman
Rev.: 4 / 21 Jun 2009

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Supplier Name:
Audit Date: 5 Full Compliance/Performing Well
Audit Type Partial Compliance/Marginal

3
Acceptance with Action Plan
1 No Compliance/Major Issues
1. Quality Audit Worksheet ACTION PLAN

Applicable RYG
No. Process Look For Observations Action Responsibility Due Date Date Completed
score Status
1.0 Does the supplier have a clearly defined quality Defined & documented roles and responsibilities. Clear and 5 NA
management structure? consistent customer interfaces. Quality manager's role not
compromised.
Clear roles and responsibilities. No conflicts with other
functions, Quality manager identified and responsible Quality structure defined, but partially effective, internal 3
directly to senior management accountabilities not tied to customer requirements.
Limited structure to quality organization, lacks consistent 1

approach.
2.0 Does the supplier assure Quality through process Understands critical features / processes; Control plans in 5 NA
capability & control? place; Current SPC / capability studies / data in evidence.
Aiming to establish supplier's philosophy and practice on

managing product quality - zero defect, proactive, Basic understanding of critical features; Process capability 3
continual improvement etc. proven as part of product introduction (APQP); No ongoing
monitoring / SPC in place.
Relies on inspection / buffer inventory to overcome incapable 1

processes; Little improvement activity; No metrics for
internal or delivered quality.
3.0 Does evidence of supplier's current quality Current verifiable documentation showing quality levels to 5 ### NA
performance to existing customers meet the AL customer base meets / exceeds AL business requirements;
expectations? World Class
Supplier should have readily available data showing Current performance levels shows supplier capable of 3 ###
what they are capable of meeting AL requirements; May fall short in some areas or be
inconsistent
Little available evidence of current quality levels; What there 1 ###

is shows performance falls significantly short of
requirements..
4.0 Are there adequate work instructions for every Clear unambiguous work instructions for every task / 5 NA
operation / process? operation. Extensive use of visual aids. Documents
controlled and up to date.
Must have appropriate level of instructions for every
operation skills / training may reduce need for Work instruction available for every critical job / operation. 3
instructions, but puts greater emphasis on skills / training Some supporting information may be located away for the
monitoring /documentation work area.
Little or no work instructions. May be lacking detail or out of 1

date.
5.0 What processes are in place for identifying & Dedicated fully implemented process, proactive approach to 5 NA
implementing corrective action? root cause resolution, Structured Problem Solving type(8D)
process.
Assess supplier's processes for consistent and proactive
approach to identify potential problems and their Process in place to support, short term problem resolution, 3
resolution - not just reacting to customer complaints. but limited long term cause resolution, same problems
reoccur.
Limited corrective action identification & implementation, 1

typically react when customer request formal action.
6.0 How does the supplier manage process changes? Fully integrated process change procedures & management 5 NA
mechanism. Full traceability of past changes with Production
Looking for a consistent managed process with risk Part Approval Process (PPAP) warrants available for process
identification and controls. Also notification t customers changes.
where required.
Limited experience of process change, draft process in 3
place, but require third party support.
No capability or process to support process change, can not 1
produce evidence of past changes.
7.0 Does the supplier have a NPD (New Product Clearly defined process for introduction of new products, 5 NA
Development) Process to manage introduction of including customer approval where required. Evidence of
new work / jobs? Quality? effective use. (APQP & PPAP or equiv)
NPD/ Product realization process mandatory - look for Meets customer requirements only - no formal process of 3
evidence of consistent use on more than one example. their own. Reactive.
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Supplier Name:

3
7.0 Does the supplier have a NPD (New Product
Development) Process to manage introduction of
new work / jobs? Quality? 1 No Compliance/Major Issues
NPD/ Product realization process mandatory - look for

1. Quality evidence of consistent use on more than one example. Audit Worksheet ACTION PLAN
No consistent process. No evidence. 1
8.0 How are Tier-II suppliers selected & managed? Defined objective process aimed at meeting business 5 NA
requirements. Regular performance reviews & metrics.
Looking for consistent objective process for selecting
and managing suppliers - not just price. QCLDM type Basic process for selection. Reactive management only. 3
approach and documented. Evidence of an overall strategy.
No process for selection. No evidence of management / 1

metrics.
9.0 What is the process for communicating customer Fully disciplined process with traceability to ensure correct 5 NA
specifications to Tier-II suppliers? specifications and versions are with the right suppliers.
How do they keep their suppliers up to date with both

internal and customer standards / specifications for every Process in place, but records indicate some problems in 3
order? communicating specification to suppliers.
No systemic process, lack record keeping and process to 1
update suppliers.
10.0 Is test and inspection equipment adequate to Inspection equipment chosen and used as part of a 5 NA
support the control plan? structured control plan. Calibration process in place
traceable to recognized standards.
Should reflect what's needed - not what's available. New
products should include control plan and Gauge Equipment exist for some of the products, not all features 3
Reproducibility & Repeatability studies. checked, traceability not always available, no documented
control plan / R&R validation.
Some inspection equipment, not fully utilized. No routine 1

calibration.
11.0 Is there a robust and effective tooling management Tooling management system well structured, managed and 5 NA
system? evidence of effectiveness demonstrated. capability, storage
and maintenance.
Recognition of how tooling performance changes over
time. Proactive monitoring and maintenance, Good Areas where tooling is managed, but needs discipline and 3
storage facilities and records. Amortization tracking traceability of effectiveness.
system?
Limited tooling management although sporadic, may result in 1

quality and/or delivery issues.
12.0 Is there an effective process and product auditing Process and product auditing in place, well structured, 5 NA
plan? effective and part of management reviews. Effective closure
of any findings.
Good internal audit plan with speedy closure of any non-
conformance. Good records - should treat audits as Sporadic product and process auditing in place, needs 3
important. Be suspicious if audits show no or few non- proactive scheduling & management review. Less than 100%
conformances closure of findings.
Limited auditing, typically performed as a result of an internal 1

or customer problem, needs to be documented.
13.0 How does the supplier manage design changes Fully integrated design change approval and implementation 5 NA
(customer or supplier initiated)? process. Full traceability of past changes with Production
Part Approval Process (PPAP) warrants available for
Change notification and PPAP process or equivalent - customer design changes.
communication and controls critical.
Limited experience of process change, draft process in 3
place, but require third party support.
No capability or process to support process change, can not 1

produce evidence of past changes.
14.0 Is the supplier able to support on site re-work or Established and documented process for on site 5 NA
sorting of non-conforming product at AL receiving containment activities that could cover all potential AL
facilities? receiving facilities
If re-work or sorting were needed could supplier respond Limited capability. Coverage either not 100% of all facilities 3
adequately (either directly or via 3rd party service)? or response time longer than ideal (greater than 24 hours).
Supplier unable to demonstrate capability. 1
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15.0 Can the supplier provide traceability of product Full traceability of individually serial numbered parts to raw 5 NA
where required? materials, component parts and each step of manufacturing
process.
In the event of a quality problem how accurately could
the supplier identify and isolate other parts that may be Some traceability by batch or date code. 3
impacted?
No traceability 1
16.0 Does the supplier have and apply a record retention Documented, in place and shown to be compliant for all key 5 NA
policy? records.
Policy in place but not found to be 100% applied or some key 3
Shows if supplier recognizes importance of keeping
documents not covered.
records of important documents & data
No policy. 1
17.0 Does the supplier have a process in place to Documented with metrics and goals defined. Metrics up to 5 NA
continually improve quality? date and confirming meeting or exceeding goals.
Some proactive improvement activity. May not be fully 3
Requirement of ISO 9000(2000) and TS 16949. May be
embedded or not achieving desired goals.
achieved by high level initiative such as Lean or 6
Sigma, or more specific goals and metrics
No proactive improvement initiatives or goals. 1
18.0 Does the supplier use Visual Management - Clear visual communication to all employees of the business 5 NA
Performance goals / metrics? goals and metrics. Data up to date. Employees
knowledgeable.
Some performance metrics evident. May be out of date or 3
Every business should be showing all their employees
employees not aware of either goals or current status.
what their goals are and how they are performing both at
a business and department level. Often see charts that
are out of date - not good. No visual metrics evident. Business goals / metrics not 1
documented or shared with workforce.
19.0 Does the supplier have a Total Preventative TPM in place; Overall Equipment Effectiveness metrics in 5 ### NA
Maintenance (TPM) program? place and current; Capital investment plan linked to OEE and
capability metrics.
Another reflection of proactive improvement focused
culture as opposed to reactive Maintenance responsibilities clear and planned; Breakdowns 3 ###
measured & trends analyzed; Equipment clean and in good
order.
Maintenance reactive; responsibilities not clear; Evidence of 1 ###

poorly maintained or unserviceable plant and equipment in
the work areas.
20.0 Are housekeeping and cleanliness (office and Clean & well organized work areas; Evidence of 5S or similar 5 ### NA
factory) satisfactory? improvement activities in place.
Generally clean and tidy work areas; No ongoing 3 ###
improvement initiatives.
Dirty , untidy work areas; No established storage locations 1 ###
for tools / equipment / materials.
21.0 Is all material identified and status clear? Identification and status of all materials clear and consistent. 5 NA
Clear segregation of non-conforming items. Procedures
Basic discipline. Nothing in the production area that is being followed 100%
not labeled or identified. Part number, job reference and
status (good , scrap or awaiting inspection) All material identified. Status may not be clear and / or poor 3
segregation of individual orders / non-conforming product.
Little / no identification of material. No documented 1

procedures or procedures not being followed.
22.0 Are Training / Skills requirements documented and Documented skills / training requirements for every job. 5 NA
monitored? Training records / skills matrices for every employee.
Training plans all up to date duly with customer specific reqt.
Another to show the supplier understands what skills & as applicable.
training are required for each task and is developing a
multi-skilled flexible workforce. Established job descriptions showing skill / experience 3
required. Evidence of employees meeting job requirements.
No documented job descriptions. No training records or 1

plans.
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23.0 Does the supplier have adequate provisions for Health and Safety Policy in place. Understood and followed 5 NA
employee Health and Safety? by employees. Metric in place and continual improvement
evident.
If you would not feel safe working there we shouldn't be
putting business there Basic minimal legislative health and safety requirements met. 3
No metrics or internal improvement in place.
Questionable practices; Hazards evident. 1
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Supplier Name: 0
Audit Date: 1-Dec-10 5 Full Compliance/Performing Well
0
3
2. Cost Audit Worksheet ACTION PLAN

Applicable RYG
No. Process Look For Observations Action Responsibility Due Date Date Completed
score Status
1.0 Does supplier have a dedicated function / team to Function/Team fully effective, goals are traceable to 5 NA
support cost improvement activities? supplier's targets & detailed projects used in Management
reviews.Reviewed once in a month.
Assess effectiveness of supplier's management of cost
improvement programs which should be traceable to Some resources available, not dedicated support; evidence 3
internal and customer goals / objectives. of some projects, needs discipline.
Support of cost improvement programs is not an effective 1
business process. Evidence of results is minimal.
2.0 Does supplier support Open Book costing ? Fully supportive of open book costing. Provide evidence of 5 ### NA
Assess willingness to provide elements of cost at part participation with customers.
number detail level to identify cost drivers and
Detail is available and willing to be shared with customers 3 ###
opportunities for improvement.
upon request.
No open book costing approach used with customers or Tier 1 ###
2 suppliers.
3.0 What is the supplier's current status of product Documented and managed process for developing 5 ### NA
costing? (Request for Quotation {RFQ} activities) quotations.
Review supplier's documented process for developing

quotations Quotations are completed with limited knowledge of 3 ###
documented process being followed.
Limited or no evidence of metrics demonstrating 1 ###
management of quotation process.
4.0 Does the supplier take responsibility for cost of poor Supplier accepts full responsibility, customer costs are fully 5 ### NA
quality performance at customer receiving facilities? reimbursed.
Supplier proactively addresses customer quality issues

at receiving facility and accepts financial responsibility for Slow to accept responsibility, reactive in nature. 3 ###
poor quality results at customer locations.
Results are limited, no formal process for managing. 1 ###
5.0 Does supplier have warranty recovery agreements Agreements are signed and active for components provided, 5 NA
with customers for components provided? funds recovered per agreements where appropriate.
Consider supplier participation in expenses related to

resolution of field failures and customer-defined Limited agreements and partial recovery of customer cost for 3
corrective action. supplier-induced warranty problems.
No agreements in-place, supplier has not participated in 1
recovery program as expected.
6.0 Does the supplier take responsibility for cost of poor Supplier accepts full responsibility, customer costs are fully 5 NA
delivery performance at customer receiving reimbursed.
facilities?
Supplier proactively addresses delivery performance Slow to accept responsibility, reactive in nature 3
issues at receiving facility and accepts financial
responsibility for poor delivery at customer locations. Results are limited, no formal process for managing. 1
7.0 What cost improvement projects has the supplier Supplier has cost improvement projects equal to or greater 5 NA
identified to meet performance targets? than 200% of their annual performance target.
Supplier shall recognize the results originally identified in

cost reduction projects are not always realized. Supplier Supplier has cost improvement projects equal to or greater 3
should establish a sufficient amount of projects to assure than 150% of their annual performance target.
achievement of goals.
Supplier has cost improvement projects less than 150% of 1
their annual performance target.
8.0 Does the supplier receive any public subsidies or Minimal public funds are utilized to support production 5 NA
financial support? activities. Funds limited to training and development of
personnel and/or research & development.
Assess the long-term price implications of reliance on
public sources of funds. Public subsidies are utilized in specialized capital 3
expenditures or long-term asset acquisitions, but not in day-
to-day operations.
Significant public funds are utilized to support production 1
activities. Known date of support termination.
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9.0 Does the supplier utilize a flexible work force Full plan in-place, flexible sources identified with evidence of 5 NA
strategy to manage cost in response to demand utilization during past demand fluctuations.
fluctuations?
How effective is the supplier's program to control short No documented plan in-place, but have utilized sources in 3
term response to demand fluctuations (temporary the past as a reactive response to demand fluctuations.
sources of employees, contract services, manufacturing
operations, etc.).
Does not have a documented plan in place to manage cost 1
drivers during demand fluctuations.
10.0 Are there any opportunities to further leverage Tier 2 Leverage projects in place and active with Tier 2 suppliers. 5 NA
suppliers to improve cost and quality?
Evaluate the potential for including Tier 2 suppliers in Opportunities identified, require project definition and 3
cost and/or quality improvement projects. management.
Opportunities not investigated. 1
11.0 What is the supplier's approach to continuous cost Supplier demonstrates effective cost improvement programs 5 NA
improvement and optimization of the total value with detailed project management. Projects include
chain? application of lean manufacturing tools throughout value
chain.
Evaluate supplier's approach for both internal and
external implementation of lean manufacturing concepts. Implemented lean manufacturing concepts integrating 3
internal operations and customer requirements. Do not
include Tier 2 suppliers.
Supplier demonstrates limited application of lean 1
manufacturing concepts.
12.0 How does the supplier effectively manage Supplier utilizes forward contracts for the purchase of 5 NA
commodity hedging & price fluctuations and their material inputs.
effect on material costs?
Assess the impact of material cost changes (e.g., Supplier mitigates risk by purchasing in long-term contracts. 3
surcharges, metal market, etc.) on supplier's cost of
operations. Supplier utilizes limited life contracts (e.g., fixed quantity 1
Purchase Orders) for the purchase of material. Material
costs are subject to market fluctuations.
13.0 Does supplier have a repeatable make/buy sub- Defined process in-place with evidence of periodic review 5 NA
contract review of material, components & services? where all sourcing plans include make/buy studies.
Review evidence of the frequency of supplier's strategic

sourcing plans, including make/buy studies. (direct and Defined process in-place with evidence of periodic review, 3
indirect) but not all material, components & services included.
Sourcing plans do not include make/buy studies. 1
14.0 Are sourcing guidelines for tooling and fixtures Full demonstration of cost and value contribution of tooling 5 NA
followed and are tooling costs competitively and fixture sources.
managed?
Demonstration of documented sourcing guidelines for Partial demonstration of cost and value contribution of 3
perishable and durable tooling / fixtures. Clear rationale tooling and fixture sources.
for sourcing decisions.
Unable to demonstrate cost and value contribution of tooling 1
and fixture sources.
15.0 What investment plans are in-place to optimize Investment plans to achieve best in class product & process 5 NA
operations to meet customer requirements? development to fulfill customer requirements.
Demonstrated vision and understanding of market /

Investment plans support customer capacity forecast, not 3
customer requirements with investment plans to fulfill
best in class.
requirements.
Investment plans typically limited to equipment replacement, 1
lacks vision for future.
16.0 Does the supplier activity pursue globally Supplier has a well documented global sourcing strategy 5 NA
competitive sources? with components sources worldwide.
Limited ability to develop global sources. Supplier does 3
Does the supplier have developed resources available to
have some components sourced globally.
take advantage of global sourcing opportunities?
Limited evidence supplier has performed any global sourcing 1
studies.
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17.0 How does the supplier effectively manage currency Supplier utilizes forward contracts for the purchase of non- 5 NA
risk and its effect on material costs? domestic material.
Assess the impact of foreign currency fluctuations on

supplier's cost of operations. Supplier mitigates currency risk by purchasing in domestic 3
currency.
Supplier does not utilize forward contracts for the purchase 1

of non-domestic material.
Rev.: 4 / 21 Jun 2009

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3. Logistics Audit Worksheet ACTION PLAN

Applicable RYG Date
No. Process Look For Observations Action Responsibility Due Date
score Status Completed
1.0 What is the supplier's level of Electronic Data EDI operating for all routine data communications used in 5 NA
Interchange (EDI) capability? maintaining the supplier/customer business relationship
(Purchasing/Engineering/Logistics/Finance/Quality…).
Examine the depth to which the supplier utilizes EDI Operating with Tier II suppliers.
through the entire supply chain.
EDI operating for functions of material scheduling, shipping 3

and receiving (Purchase Orders , Releasing , Advance
Shipping Notices, Bar coding, etc.).
EDI operating for functions of material scheduling, shipping 1
and receiving, but full benefit not being obtained. EDI is
operated between customer only.
2.0 Does the supplier distribute its customer logistic Customers' logistic documentation available for multiple 5 ### NA
documentation throughout their organization? required users & updated as needed.
Customers' logistic documentation is available and up-dated 3 ###
Assess customer documentation requirements & metrics
in one location.
by which supplier performance is measured
Some Customers' logistic documentation is available, but not 1 ###
current.
3.0 How does supplier manage rough material (steel, Automatic calculation of raw material requirements with 5 ### NA
forgings, castings, and/or components) used to automatic triggering of procurement orders.
manufacture product for customers?
Assess supplier processes to order/receive/track material Monthly review of raw material requirements with 3 ###
throughout manufacturing operations. procurement orders issued.
Quarterly review of raw material requirement and order of 1 ###
raw material.
4.0 How are bottlenecks managed to satisfy customer Strategic buffer in place with automatic review, evidence of 5 ### NA
requirements? projects to reduce bottlenecks.
Assess supplier's processes for identification and Strategic buffer in place with manual review, limited evidence 3 ###
reduction of bottlenecks including internal & Tier 2 of projects to reduce bottlenecks.
suppliers.
Some strategic buffer in place based on know-how, past 1 ###
experience.
5.0 What is the supplier's calculated delivery Delivery performance is 95% or greater, calculated by both 5 NA
performance to customer requirements? supplier and customers.
Review documentation of supplier's internal measure's) Delivery performance is at least 90%, but less than 95%, 3
of delivery performance. Reconcile supplier's delivery calculated by both supplier and customers.
performance with customer metrics.
Delivery performance is less than 90%, calculated by both 1
supplier and customers.
6.0 What is the impact of engineering changes on the Changes are made with no interruption of material flow and 5 NA
supplier's material management processes? no additional cost to customers.
Changes are made with some interruptions of material flow 3
Determine the supplier's ability to implement engineering and /or some additional costs to customers.
changes with material management transparency to
customers. Changes result in unexpected scrap or excess rework cost to 1
supplier and/or customers.
7.0 Does the supplier have a process that identifies and Process defined including reviews, management sign-off 5 NA
manages logistic impact of New Product and clear ownership of action items proactively managed.
Development (NPD) programs?
Assess the supplier processes to manage internal & Tier Process established, but without defined reviews. Progress 3
2 suppliers to ensure successful implementation of new on action items may be reactive.
products (logistic check list , process map, control plans,
etc.). Poor process definition. May jeopardize procurement of 1
production material.
8.0 How does supplier manage delivery performance of Supply chain management in-place with Tier 2 Suppliers with 5 NA
Tier 2 suppliers? 95% or greater performance.
Assess supplier's ability to properly manage delivery

performance of Tier 2 suppliers. Consider effectiveness Supply chain management in-place with Tier 2 Supplier's 3
of supplier's processes such as Material Requirements with 90% to less than 95% performance.
Planning, Order processing, etc.
Supply chain management in-place with Tier 2 Supplier's with 1
less than 90% performance.
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3. Logistics Audit Worksheet ACTION PLAN

9.0 What is the supplier process for managing the Supplier works closely with customers to deliver agreed 5 NA
customer Rolling Demand Requirements? quantities during the firm order period.
Assess supplier's ability to adapt to market demand

fluctuations. Supplier has a lead time reduction program both internally & 3
externally to achieve reduced firm order periods.
Supplier has a lead time reduction program internally no 1

evidence of linkage to customer requirements.
10.0 Does supplier have ongoing projects to maximize Supplier is able to produce goals & plan to improve lead 5 NA
value added and reduce wastes associated with time, throughput and inventory turns.
logistics?
Supplier has plan without specific goals to improve lead 3
Assess supplier processes for evidence that
improvement programs such as Lean , 6 Sigma , 5S time, throughput and inventory turns.
and / or KanBan or equivalent are being utilized Supplier has limited level of improvement, must develop 1
overall plan & objectives with performance metrics.
11.0 Does the supplier have scheduled shut-down Supplier manages customer demand for continuous 5 NA
periods? shipments, with supporting evidence.
Evaluate the supplier's ability to fulfill customer demand Supplier manages customer demand for continuous 3
during shut-down periods with no effect on customer shipment by negotiating changes to customer requirements.
inventory levels nor delivery performance.
Supplier modifies customer delivery by requiring customers 1

to accept and maintain additional inventory.
12.0 Does the supplier have a process to protect Documented processes are in-place, linked to and updated 5 NA
components to customer specifications? with changes to customer requirements.
Assess supplier's processes for packaging product to Some, but not all, instructions are available, linked & updated 3
maintain cleanliness and prevent corrosion defects. with changes to customer requirements.
Some, but not all, instructions are available, no linkage 1
apparent to customer requirements.
13.0 Does the supplier have a process in-place to Defined processes are in-place linked to & updated with 5 NA
package & deliver components to customer changes to customer requirements.
specifications?
Assess supplier's processes for identifying packaging Some, but not all, instructions are available, linked & updated 3
material, returnable containers, and prevention of with changes to customer requirements.
shipping damages per customer requirements
Some, but not all, instructions are available, no linkage 1
apparent to customer requirements.
14.0 How does the supplier manage their manufacturing Supplier schedules and manages spare part requirements 5 NA
operations to support customer spare parts using production processes and mythologies. Delivery
business? performance equivalent to production parts performance.
Assess supplier's processes and management to

delivery customer service parts requirements. Supplier schedules and manages spare part requirements 3
using production processes and mythologies. Delivery
performance is far below production parts performance.
Supplier manages spare parts requirements outside the 1

production flow, delivery performance for spare parts is far
below production parts performance.
15.0 Does the supplier participate in a customer charge- Supplier understands charge-back process with active 5 NA
back process for unacceptable delivery agreement in place with customers.
performance?
Supplier agrees on the principle to the charge back process. 3
Assess supplier's understanding of the use of charge-
Supplier willing to negotiate agreement.
backs to drive accountability & continuous improvement.
Supplier understand charge-back principles, but further 1
discussions are required.
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4. Development Audit Worksheet ACTION PLAN

Applicable RYG
score Status
1.0 Is there a communication system in place to support Full time, knowledgeable and dedicated supplier personnel at 5 NA
Concurrent Product Development Initiatives? supplier facility.
Evaluate the resources available to support customer

CPD activities. Need based dedicated supplier personnel at supplier facility 3
Multiple contacts at supplier facility. 1
2.0 Does the supplier have design capabilities to Full product and process design capabilities with customer 5 ### NA
support CPD? functional requirements fulfilled.
Assess the supplier's design capabilities. This

assessment should be evaluated relative to the specific Can provide some design input to CPD activities based on 3 ###
category for which the supplier is being evaluated. past experience and/or current capabilities.
Produce product to customer part number print and 1 ###

requirements/specifications. Limited design capability.
3.0 What is the supplier's product design capability? Fully compatible with Pro/E, evidence of communication and 5 ### NA
design activities with customers.
Evaluate the supplier's design system capabilities in
Some design applications, 3D CAD/CAM capability, not 3 ###
support of customer requirements.
compatible with Pro/E.
No 3D CAD/CAM modeling capability. 1 ###
4.0 What are the supplier's capabilities with Geometric All necessary personnel trained in GD&T, utilizing throughout 5 ### NA
Dimensional & Tolerance (GD&T)? facility and Tier 2 suppliers.
Evaluate the supplier's ability to use and interpret GD&T. Some employees trained in GD&T, not fully utilizing. 3 ###
Not currently using GD&T, training required to implement 1 ###

GD&T.
5.0 Does the supplier benchmark and utilize latest Supplier has developed and currently using technology their 5 NA
technology? not utilized by competition.
Evaluate supplier's use of benchmarking studies. Using latest technology for their products; benchmarked with 3
Indicate which companies and processes were similar companies.
benchmarked in comments below.
Behind industry standards and competitors' technology. No 1
benchmarking data available.
6.0 What percent of sales does the supplier utilize for Greater than 4 % of sales is used for Research & 5 NA
research and development? Development.
Assess supplier's investment in research and 1 - 4 % of sales is used for Research & Development. 3
development for new product and/or process
developments.
Less than 1% of sales is used for Research & Development. 1
7.0 What percentage of supplier Production Part PPAP documentation provided more than 95% on time. 5 NA
Approval Process (PPAP) information is submitted
on time and complete?
Assess the timeliness and completeness of supplier's PPAP documentation provided 90% - 95% on time. 3
PPAP submissions to their customers. On-time is
defined as receiving customer approval prior to first
production shipment.
PPAP documentation provided less than 90% on time. 1
8.0 Is there a documented product validation process in Tier 2 suppliers utilize PPAP's, which are submitted and 5 NA
place for Tier 2 suppliers? approved prior to production shipments.
Assess supplier's processes for validating product and

services from Tier 2 suppliers.
Rev.: 4 / 21 Jun 2009
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8.0 Is there a documented product validation process in NA

place for Tier 2 suppliers?
Assess supplier's processes for validating product and
services from Tier 2 suppliers. Product and process validation performed on some products 3
provided by Tier 2 suppliers.
No formal product or process validation provided prior to 1

production.
9.0 What is the quality of suppliers' prototype material? Evidence provided for 100% conformance to prototype 5 NA
drawings and specifications, material 100% inspected for
Evaluate the quality (conformance to drawing and dimensional and material properties.
specifications) of prototype parts. Supplier should be
Documentation provided, Less than 100% conforming 3
able to provide documentation for product shipped to
prototype material, material audited for conformance.
customers.
Limited documentation available, less than 90% conforming 1
prototype material.
10.0 What is the process to manage Tier 2 supplier quality Formal documented process for Tier 2 supplier management 5 NA
during product development? with evidence of conformance.
Assess the process utilized to monitor Tier 2 product

quality through all phases of product development. Informal process with select suppliers, evidence of 3
conformance for products included in process.
No formal process established, limited evidence of testing 1

prior to shipping product to customers.
11.0 What is the stability of suppliers' prototype costs? Prototype material provided at bulk order price. 5 NA
Evaluate supplier's approach to prototype pricing in

terms of investing in the future.
Prototype material less than or equal to 2 times the 3
production price.
Prototype material provided at a cost greater than twice the 1

production price.
12.0 What is the supplier's delivery performance for 100% on-time delivery, as measured against customer 5 NA
prototype material? requirements.
Evaluate supplier's delivery performance on prototype

parts to customers. 80% - 99% on-time delivery as measured against customer 3
requirements.
Less than 80% on-time delivery of prototype material to 1
customer requirements.
13.0 Does the supplier utilize Project Management? Project Management software used for defining, planning, 5 NA
scheduling, and controlling design and production projects.
Assess evidence of project management organization,
gantt charts, timelines, accountability, milestones, etc. to
customer requirements. Some Project Management knowledge used to plan/manage 3
product design and production process development
projects.
Limited Project Management skills. 1
14.0 Does the supplier use process optimization tools Lean Assessment performed and improvement projects 5 NA
such as Lean Manufacturing Assessment and completed. Benefits documented.
Utilization?
Assess supplier's deployment of lean assessment; are Lean Assessment performed with improvement projects 3
lean tools being applied to production intent processes. identified, but not completed.
Lean Assessment not completed, limited understanding of 1

Lean tools.
15.0 How are engineering changes managed within the Changes are made with no interruption of material flow and 5 NA
supplier's organization? no additional cost to customers.
Assess effectiveness of supplier's documented

Changes are made with some interruption of material flow 3
processes to manage engineering changes, either
and no additional cost to customers.
customer or internal.
Changes result in unexpected scrap and/or excessive rework 1
costs.
Rev.: 4 / 21 Jun 2009

Page12 of 68
ALCQE025
Supplier Name: 0
0
3

16.0 Has the supplier received and understood all All appropriate documentation received and reviewed 5 NA
applicable customer requirements and throughout supplier organization. Information passed along
documentation for product development? to Tier 2 suppliers
Assess supplier's understanding of customer-specific All appropriate documentation received and reviewed 3
documentation and requirements. (PPAP/APQP throughout supplier organization. Information not shared
manuals, engineering specifications, GD&T manual, etc.) with Tier 2 suppliers.
Some documentation received and reviewed by some parts 1
of supplier organization.
17.0 For suppliers with full design (proprietary or Supplier willing to provide full dimensional drawings. 5 NA
designed products) capability, is the supplier willing
to supply full dimensional drawings to customers?
Assess supplier's willingness to share fully dimensioned

drawings of proprietary or supplier designed product. Supplier willing to provide partial dimensional drawings as 3
required.
Supplier willing to provide only basic drawings, limited 1

dimensions.
18.0 Does the supplier participate with customers to Supplier fully supports customer's aftermarket parts and 5 NA
provide aftermarket parts? branding strategy as applicable for all material.
Assess the aftermarket parts strategy of the supplier.

Supplier supports customer's strategy on limited amount of 3
material.
Supplier does not support customer's aftermarket parts and 1

branding strategy.
19.0 Can the supplier adapt to differences between Currently shipping to multiple facilities for at least one 5 NA
multiple receiving facilities for a given customer? customer. Material tracked and local contact established for
each customer receiving location.
Evaluate the supplier's ability to accommodate more than
one customer receiving facility. Not currently shipping to more than one customer facility. 3
Communication system in place for supplier to ship product
to multiple customer locations.
Not currently shipping to multiple facilities for any 1
customers. Limited communication structure to support
multiple customer locations.
20.0 Does the supplier identify key (or critical) Key characteristics identified with customers. 5 NA
characteristics during product development? Characteristics are identified on shop floor drawings and
process capabilities tracked.
Evaluate evidence of key characteristics being identified
during product development and used in process control Key characteristics identified only by supplier. 3
techniques. Characteristics are identified on shop floor drawings and
process capabilities tracked.
Key characteristics are not formally identified prior to 1

production. Reactive approach.
Rev.: 4 / 21 Jun 2009

Page13 of 68
ALCQE025
ACTION PLAN
Date
Completed
Rev.: 4 / 21 Jun 2009

Page14 of 68
ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009

Page15 of 68
ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009

Page16 of 68
ALCQE025
Supplier Name: 0
Audit Date: 12/1/2010 5 Full Compliance/Performing Well
0
3
5. Management Audit Worksheet ACTION PLAN

Applicable RYG Date
1.0 Has the supplier maintained Quality Certification Quality Certification Status (TS16949) Maintained 5 NA
registration?
Review registrar's latest certificate to insure components Quality Certification Status (ISO-9000) Maintained 3
and services provided to AL are covered in scope.
Review latest audit for issues pertaining to AL.
No Quality Certification Status 1
2.0 Has the supplier continued Code of Conduct training Code of Conduct is Fully Encoded; training programs and 5 ### NA
and compliance? compliance fully evident with documentation
Assess that the code of conduct is evident in key

departments (purchasing, sales, accounting, Code of Conduct Embedded; training programs and 3 ###
engineering, operations, etc.). compliance not fully evident
Code of Conduct Committed; lack of training programs and 1 ###

evidence of non-conformance
3.0 Does the supplier maintain a balanced customer Mixed Customer Base; AL (<40%); Customer Growth Plans in 5 ### NA
base? Place
Mixed Customer Base; AL (40%-70%); Limited Plans to 3 ###
Determine diversity of customer sales as compared to
Expand Customer Base
potential business with AL
Heavily Dependent on AL (>70%); No Plans to Grow 1 ###
Customer Base.
4.0 Does the supplier demonstrate an encoded Vision, Vision, Mission, Strategy Fully Encoded; Significant 5 ### NA
Mission, and Business Strategy Supporting their Evidence of Corporate Improvement to Achieve Goals.
Critical Success Factors (CSF's)?
Determine the depth at which the supplier's vision,

mission, and strategy are demonstrated by the total Vision, Mission, Strategy Fully Embedded; Evidence of 3 ###
organization. Corporate Gains; Line of Sight to Remainder of Goals.
Vision, Mission, Strategy in Place; Some Evidence of 1 ###

Progress.
5.0 Does the supplier maintain an active environmental ISO 14001 or Equivalent Accredited 5 NA
awareness and management program?
Assess that key environmental issues are managed

throughout the organization with detailed documentation. ISO 14001 or Equivalent Accreditation Plans; Evidence of 3
Progress.
ISO 14001 or Equivalent Accreditation Sidelined; Little or No 1

Plan
6.0 What is the supplier's formal methodology for Supplier Performance Management (QCLDM) or Equivalent 5 3 Currently Procurement evaluates suppliers for their delivery, Initiate all Tier 2 Procurement 15-Apr-2014
evaluating and monitoring performance of its Encoded; Formal Development Programs. quality, quantity performance on the ordered critical ferro suppliers are at least Management
suppliers? alloys and fuels every 3 months taking in account the data certified with ISO 9001
captured at the time of delivery of the material. For those
Assess effectiveness of Tier II supplier performance Supplier Performance Management (QCLDM) or Equivalent 3 Suppliers who don't have ISO 9001 certification,
management. Embedded; Informal Development Programs. development of the same is considered for TS Certification.
Supplier Performance Management (QCLDM) or Equivalent 1

Committed; Little or No Development Programs.
7.0 Does the supplier have a formal succession planning Existing Succession Planning Programs for All Levels of the 5 NA
program in encoded? Work Force.
Assess supplier's programs for key personnel

development and replacement. Existing Succession Planning Programs Only for All 3
Management and Workmen
Rev.: 4 / 21 Jun 2009 Page17 of 68

ALCQE025
Supplier Name: 0
0
3
7.0 Does the supplier have a formal succession planning NA
program in encoded?
Assess supplier's programs for key personnel
development and replacement.

Existing Succession Planning Programs Only for Senior 1
Management.
8.0 Does the supplier have an acceptable level of Low Risk 5 NA

geographic & political risk?
Assess the business risk Country Specific Business Risk Medium Risk 3
and current political situations.
Growing Risk 1
9.0 Does the supplier maintain language competency? Language Competent; No Communication Issues; Good 5 NA
Understanding.
Are the appropriate contacts fluent in the language of
their customers worldwide. Language Competent; Occasional Communication Issues; 3
Language Competent; Frequent Communication Issues; 1
10.0 Does the supplier conduct formal training programs Formal training program requirements throughout the 5 NA
throughout the organization? organization; evidence of >90% accomplishment
Evaluate training programs and records for all levels of

the organization. Formal training program requirements throughout the 3
organization; evidence of >70% accomplishment
Formal training program requirements published; evidence 1

of <50% accomplishment.
11.0 Is the supplier ownership structure conducive to Publically Traded Corporation. 5 NA

meeting customer business requirements?
What is the degree of capital resources available to meet Closely Held Multiple Owners. 3
customer requirements (capacity, technology, etc).
Sole Proprietorship. 1
12.0 Is the supplier management structure in line with Lean Management Structure; Each Level Exhibits 5 NA
meeting customer business requirements? Accountability and Responsibility.
Assess the middle management strength and efficiency

throughout the organization to achieve customer Multi-tiered Middle Management Structure; Each Level 3
requirements. Exhibits Accountability and Responsibility.
Weak Middle Management Structure; Little Accountability or 1
Responsibility
13.0 Does the supplier have a process in place to validate Actively meeting agreement / policy conditions; yearly 5 NA
its non-disclosure agreements with customers? reviews conducted; no instances of non--conformance
Evaluate supplier's procedures to protect customer

proprietary information. Meeting agreement / policy conditions; yearly reviews 3
conducted; improvement plans in place
Agreement / policy conditions not being met; improvement 1
plans not progressing.
its brand management agreements with customers? reviews conducted; no instances of non-conformance.
Evaluate supplier procedures to ensure compliance with

customer agreements. Meeting agreement / policy conditions; yearly reviews 3
conducted; improvement plans in place.

plans not progressing
its warranty agreements with customers? reviews conducted; no instances of non-conformance
Evaluate supplier process to identify and manage costs

associated with customer warranty claims. Meeting agreement / policy conditions; yearly reviews 3
conducted; improvement plans in place
Rev.: 4 / 21 Jun 2009 Page18 of 68

ALCQE025
Supplier Name: 0
0
3
15.0 Does the supplier have a process in place to validate NA

its warranty agreements with customers? 1 No Compliance/Major Issues
Evaluate supplier process to identify and manage costs

associated with customer warranty claims.
plans not progressing.
16.0 Does the supplier have control over his land and Sole owner of land and buildings 5 NA
buildings?
Partner in the ownership of the land and buildings; long term 3
Assess potential risk associated with third party
agreement in force.
ownership.
Lease of land and buildings; short or medium term lease in 1

force.
17.0 Does the supplier have sufficient short, medium, and Short / medium / long term production capacity in place with 5 NA
long term capacity available or planned? documentation demonstrating it.
Assess supplier process for managing customer demand

for components and services throughout business Short / medium term production in place; long term 3
cycles. production plans implemented and on schedule.
Short / medium term production in place; long term 1

production plans not in implementation phase.
18.0 Does the supplier conduct yearly audits on all key Key business processes identified; yearly audits with 5 NA
business processes? positive results; corrective action plans implemented.
Evaluate internal audit reports for compliance to process

and procedures (purchasing, sales, engineering, Key business processes identified; yearly audits with 3
operations, etc). generally positive results; corrective action plans underway.
Key business processes identified; sporadic audits; no clear 1

corrective action plans implemented.
19.0 Does the supplier maintain an active safety program Excellent: Training Materials & Log; Injury & Illness Log; 5 NA
(Hazardous Materials)? Industry Comparison; Prevention & Enforcement Activities
Assess manufacturing and purchasing departments for

hazardous material handling process and procedures. Good: Same as Above 3
Needs Improvement: Same as Above 1
20.0 Does the supplier maintain an active safety program Excellent: Training Materials & Log; Injury & Illness Log; 5 NA
(Forklift Operations)? Industry Comparison; Prevention & Enforcement Activities
Evaluate training procedures and records for forklift
operators
Good: Same as Above 3
21.0 Does the supplier have customer / market knowledge Voice of the customer is known and translated into critical 5 NA
driving its improvement methodology? customer requirements regarding product or service.
Assess the supplier's voice of the customer (VOC) and

Voice of the customer is known and is considered in the 3
critical customer requirements (CCR) documentation.
improvement methodology.
Voice of the customer and critical customer requirements 1
little used in the improvement methodology.
22.0 Does the supplier have full-time improvement Fulltime improvement employees in place throughout the 5 NA
leaders for its problem solving methodologies? organization, leading projects, and producing gains
Fulltime improvement employees located in some 3
Identify the fulltime positions and formal roles of all
departments, leading projects, and demonstrating some
employees across the organization.
gains
Employees assigned improvement project responsibilities on 1

a part time basis along with their current jobs
23.0 Does the supplier have quantifiable measures for There are clear project benefits directly traced to the bottom 5 NA
project results? line.
Assess the measures used for project accomplishments.
Rev.: 4 / 21 Jun 2009 Page19 of 68

ALCQE025
Supplier Name: 0
0
3
23.0 Does the supplier have quantifiable measures for NA

project results?
Projects have results understood to be beneficial to the 3
Assess the measures used for project accomplishments.
bottom line, but not confirmed after project completion.
Projects have little quantifiable measures and unclear 1

relationships to the bottom line.
24.0 Does the supplier have its projects linked to its Improvement projects have a direct connection to the 5 NA
business strategy? company's business strategy.
Improvement projects have some relationship to the 3
Determine the degree the supplier's improvement
company's business strategy.
projects linked to its business strategy.
Improvement projects have little recognizable relationship to 1
the overall strategy.
25.0 Does the supplier support its customers' aftermarket Supplier fully supports its customers' aftermarket and 5 NA
business? branding strategy.
Supplier supports its customers' aftermarket and branding 3
Assess the supplier's business strategy for the strategy to a large extent.
aftermarket business
Supplier supports the customers' aftermarket and branding 1
strategy to low degree.
26.0 Does the supplier reviews actively Regulatory Excellent: 5 NA
compliance requirements & Safety programs a) An applicable regulatory & safety requirements are
compliance identified and followed
b) Involvement of top management as above
c) Carry out mock audit for compliance /site visits
d) Holding, regular, routine safety performance reviews
e) Active involvement in incident reviews and CAPA
f) Appropriate resource is committed to regulatory /safety
compliance
g) Training Materials & Log; Injury & illness Log; Industry
Comparison; Prevention & Enforcement Activities.
h) Laws as applicable to Child labour prevention
Good: Same as Above 3
Rev.: 4 / 21 Jun 2009 Page20 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0 5 Full Compliance/Performing Well
0
3
6. Steel Mill - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
Is there a control on sources, inspection and storage 5 NA
conditions?
Partial controls 3
1.0 Scrap yard
No evidence for all of the above. 1
Is there a control on sources, inspection and storage 5 ### NA

conditions? How deviations are controlled (example,
verifiation Radioactive level in CI/MS scrap)?
No control on deviations 3 ###

2.0 Raw Materials
No evidence for all of the above. 1 ###
Check for capacity, Slag control, tap to tap time, Furnace 5 ### NA
lining type, O2 lancing type, Scrap mix, Tap Chemistry &
Temperature control while tapping and records adequacy. Is
Is there eccentric bottom tapping in Steel Melting Facilities and controls are available but partial 3 ###
3.0 there a documented procedure for controlling all the these
Shop (SMS) parameters
Check for Lining type, Pre-heating time, Pre-heating temp, 5 ### NA

Core plug life, Core plug type, Argon/ N2 flow rate, Load cell
for LM wt, Capacity, Slide gate control type, Nozzle powder
type. Is there a documented procedure?
Facilities and controls are available but partial 3 ###
4.0 Ladle
Check for Treatment time, Alloy additions, Lifting temp, 5 NA

Chemistry –online, Control of deviations, Jominy control
chemistry, Lifting chemistry, Flow rate of argon/N2,
5.0 Ladle refining furnace Facilities and controls are available but partial 3
Check for Total Treatment Time, Vacuum pressure and hold 5 NA

time, Flow rate of argon
Facilities and controls are available but partial 3

6.0 Vacuum Degassing
Rev.: 4 / 21 Jun 2009

Page21 of 68
ALCQE025
Supplier Name: 0
0
3
NA
6.0 Vacuum Degassing

Check for Lining, Slag control, Preheating time, Preheating 5 NA

temp, Shroud from tundish to mould. Is there a documented
procedure
Facilities and systems are available but partial 3

7.0 Tundish
Check for Cast sizes basis (RR), Shroud from ladle to 5 NA

tundish, Shroud gas from ladle to tundish, Cast radius, No of
strands, Auto mould level controller, Casting powder type
and makes, Casting speed and range, Sequence casting,
Super heat specn, Control o
8.0 CCM
Initial and last billet scrap length, Inspection methodology 5 NA

(Dimensions, visual), Inspection stds, Control of deviations,
Approval of heat code generation, Billet no identification and
heat no identification. Documented procedure & records.
9.0 Billet inspection

Check for Billet reheating furnace temperature control, 5 NA

Control of atmosphere, De-scaler, Sizes rolled, Inspection
inline, Identification of heat nos.
10.0 Rolling mill Facilities and controls are available but partial 3
Check for Spectrometer calibration stds and frequency of 5 NA

Jominy tester calibration and frequency, HRC machine
calibration and frequency, Muffle f/c calibration and
frequency, Microstructure, Grain size & Inclusion rating
11.0 Laboratory
Check for designated Scrap area, Inspection for mixup 5 NA

Nondestructive inspection methods. Check for
documentation of processes and records. No. of customer
complaints for material mix up in the last 2 Years etc.,
12.0 Condition of dispatch area ( mixup control )
Rev.: 4 / 21 Jun 2009
Page22 of 68
ALCQE025
Supplier Name: 0
0
3
NA

12.0 Condition of dispatch area ( mixup control ) Facilities and controls are available but partial 3
Rev.: 4 / 21 Jun 2009

Page23 of 68
ALCQE025
Supplier Name: 0
0
3
7. Sheet Metal - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
Is there a control on sources, inspection and storage 5 ### NA
conditions? How deviations are controlled?
1.0 Raw Materials No control on deviations 3 ###
a) Tool is verified ready for use 5 ### NA

c) Tool set up instructions maintained
d) Die (s) have protection sensors
e) Operators protection sensors are working
f) Tool History maintenance
g) PM plan and tool revalidation process
2.0 Machine /tooling set up Preparation
Preparation and controls are available but partial 3 ###
a) Material properly stored & palletized 5 ### NA

b) Material is duly identified as appropriate for the
component
Instructions and controls are available but partial 3 ###
3.0 Material Preparation
a) Machine setting are adjusted per work instructions 5 NA

b) Die set up is verified
c) Set up instructions are established / followed
d) First part inspection & approval
e) Parts are inspected per control plan
f) Availability of limit samples as necessary
4.0 Production
a) Instruction should include 5 NA

>Proper cleaning process
>Proper equipment settings
>Standard /instructions for cleaning
effectiveness
>standard /instructions for deburring
effectiveness
5.0 In-house parts cleaning / deburring b) Inspection as per control plan
a) Availability of SOP for all special process as 5 NA

per ALS276.02 (Co2 weld), ALS276.02 (Brazing), IS819 (spot
weld), IS1261 (seam weld)
b) Operator qualification and retraining
c) Process validation for critical as pets as per drg & report
availability
d) Limit sample display
Special process (Welding / Brazing / Spot welding,
6.0
etc.,)
Rev.: 4 / 21 Jun 2009

Page24 of 68
ALCQE025
Supplier Name: 0
0
3
NA
7. Sheet Metal - Commodity

Special process (Welding / Brazing / Spot welding, Audit Worksheet ACTION PLAN
6.0
etc.,) Facilities and systems are available but partial 3
a) Carry out surface protection using In-house facility and/or 5 NA

AL Approved source.
b) Salt spray requirement as per AL standard.
C) Inspection of part as per control plan
d) Proper controls are in place upon return of parts
7.0 Surface Protection (outsourced)
a) Availability of work instructions for packing to prevent 5 NA

transit damages
b) Part number identification as per customer reqt.
8.0 Packing & Identification Controls are available but partial 3
Rev.: 4 / 21 Jun 2009

Page25 of 68
ALCQE025
Supplier Name: 0
5 Full Compliance/Performing Well
Audit Date: 0
0
3
8. casting - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
5 ###
Received with Supplier TCs and inhouse/outsourced raw
material validation thro wet analysis or Spectro.
3 ###
Raw Material (metal i.e. Pig Iron, MS Scrap, Alloys Raw Material TCs from supplier but no in-house / outsourced
1
like FeSi, FeCr, FeMgSi : only cmposition inspection) raw material validation.
1 ###
Neither Raw material TCs from suppler nor any in-house /
outsourced raw material validation
5 ###
Received with Supplier TCs and in-house/outsourced raw
Raw Material (Sand : Only AFS no. inspection and
2 visual inspection for lumps & foreign particles, also Raw Material TCs from supplier but no in-house / outsourced 3 ###
for Bentonite, Coal dust, NASio2 etc) raw material validation.
Neither Raw material TCs from suppler nor any in-house / 1 ###
Is written raw material inspection plan available and 5 ###
validation carried out as per the same.
Raw material Validation (metal i.e. Pig Iron, MS Raw material validation records available but there is no 3 ###
3 Scrap, Alloys like FeSi, FeCr, FeMgSi : only controlled raw material inspection plan available.
composition inspection)
Neither the raw material inspection plan nor the raw material 1 ###
inspection records available.
Is written raw material inspection plan available and 5

validation carried out as per the same.
Raw Material ( Sand: AFS number, Bentonite :clay Raw material validation records available but there is no 3
4 content, Coal Dust: C & S content; NaSiO2: Sp. controlled raw material inspection plan available.
Gravity etc)
Neither the raw material inspection plan nor the raw material 1
inspection records available.
Raw material storage with composition / utility /supplier wise 5
with traceability symbol availability.
5 Raw Material Storage (metal) Raw material storage with traceability only . 3
Raw material storage with any king of traceability. 1
Raw material storage with utility wise with traceability 5

symbol availability and stored under shed to protect from
atmosphere..
Raw material traceability available but no storage under shed 3

6 Raw Material Storage (sand) or vice versa.
Neither raw material traceability available not stored under 1

shed.
Raw material properly weighed wrt written weighing log 5

sheet of the melting grade wise.
7 Raw material Movement to Furnace/ sand mill Raw material weighed properly for melting but no written 3
plan available for melting grade wise.
Neither raw material weighing system not the written 1
weighing scale melting grade wise available.
Rev.: 4 / 21 Jun 2009 Page26 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Induction Furnace (either high frequency or medium 5
frequency)
Induction Furnace with Copula 3

8 Furnace availability
Melting only on Copula. 1
Electric Controlled over Voltage / current/ time control with 5

temperature monitoring.
9 Control Over Furnace Automatic controlled time and temperature monitoring. 3
Manual time & pyrometer temperature control. 1
Periodic change of Furnace lining with written frequency / 5

procedure & material and records also available.
10 Maintenance of Furnace Periodic change of lining with partial records but no written 3
procedure/ frequency & material sheet.
Periodic change of lining with no records 1

Display of Spectro results & pick up chart on the Gemba 5
itself or pick up charge slip issued by Supervisor with
records.
11 Melt Coin Composition Inspection Melt Coin inspection over spectro but no Gemba display and 3
pick up slips issued by Supervisor. Records not available.
Melt inspection only on CE meter without any records. 1
Melt Log sheet available with chemistry from spectro, 5

temperature, time etc for each melting grade and also
standard melt log sheet for each grade available & displayed.
12 Melt Log Sheet

Melt log sheet without full information but having standard 3
melt log sheet grade wise.
No melt log sheet but having standard melt log sheet or vice 1
versa.
Availability of Spectro, Wet analysis,CE meter, Hardness 5
tester, UTM, Image analyser / metallurgical mocroscope etc.
13 Laboratory facilities (metal)

Avaibility of above stated facilities without Spectro, Image 3
analyzer.
Unavailability of Spectro / CE meter / Wet analysis / image 1
analyser / metallurgical microscope.
Availability of moisture/ permeability/GCS /Compacitbility 5
tester with Active/dead/toatl clay content tester, Scatter
tester, ash content tester etc.
14 Laboratory facilities (sand) Avaibility of moisture/ permeability/GCS /Compacitbility 3

tester only with partail above said facilities.
Unavaibility of moisture/ permeability/GCS /Compacitbility 1

tester (any one of them)
Are lab testing procedure and records avialble. 5
Lab testing procedure avialble witout records and vice versa. 3
15 Lab testing procedure & records
No Lab testing records and Procedure. 1
Rev.: 4 / 21 Jun 2009 Page27 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Are Written calibration plan / procedure/ facilities (eg: 5
Spectrocalibration master samples available with records).
16 Lab facilities Calibration Lab facility calibration records available with above stated 3
plan and vice versa.
Neither plan nor any calibartion records avialble. 1
Avialability in working condition of weighing syetm on laddle 5
/ pretreatment laddle / Alarm sytem in pouring line/ pyrometer
thermocouple / Overhead Conveyor system etc.
CASTING FACILITY
Avialbility of pretreatment laddle/ pyrometer thermocouple / 3

17 Pouring Facilities (SG Iron) Overhead Conveyor system with manual time control for
pouring.
Unavialbility of pretreatment laddle / Overhead Conveyor 1
system / pyrometer thermocouple with manual time control
for pouring. (any one of them)
Avialability in working condition of weighing syetm on laddle 5

/ pretreatment laddle / Alarm sytem in pouring line/ Overhead
Conveyor system etc.
Avialbility of Overhead converyor laddle/ pyrometer 3

18 Pouring Facility (GI Iron) thermocouple.
Unavialbility of Overhead converyor laddle/ pyrometer 1

thermocouple and pouring with hand shank laddle.
Availability of partition in laddle / Fine innoculation (1%) 5

weighed quanity control (upto 3% of melt weight incase no
steel scrap coverage),full covering with suffiecient steel
scrap and tapping temperature control while pouring in other
parted portion o
Availability of partition in laddle / Fine innoculation (1%) 3

19 Pretreatment Laddle control Incase SG Iron. weighed quanity control (upto 3% of melt weight incase no
steel scrap coverage),full covering with suffiecient steel
scrap and tapping temperature control while pouring in other
parted portion o
Unavailability of the above said facilities & procedure. 1
Time of total pouring cycle , Temperature control upto last 5

mould poured, pipe / laddle innoculation, and first and last
mould identification with inspection records.
Temperature control upto last mould poured, pipe / laddle 3

20 Pouring Practice & Time/temperature control innoculation, and first and last mould identification without
inspection records.
Unavialbility of Temperature control upto last mould poured, 1
and first and last mould identification.
Control atmosphere cooling with time control wrt component 5

poured.
Open atmosphere with time control either manual or 3
21 Solidification automatic wrt component poured.
To time control and solidification time standard wrt 1
component poured.
Rev.: 4 / 21 Jun 2009 Page28 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Automatic control over sand ingredients addition with sand 5
cooler avialbility as per written procedure avialble and
records
Manula control over sand ingredients addition with sand 3

22 Sand Plant cooler avialbility as per written procedure avialble and
records
Manula control over sand ingredients addition with sand 1
cooler avialbility wihtout written procedure avialble and
records
Miosture/Permeability/GCS/ Compactibility inspection every 1 5

hrs once and Active/dead/total clay, ash content test etc
every day or alternative hrs. inspection as per written
standard and records.
23 Sand preparation inspection Miosture/Permeability/GCS/ Compactibility inspection every 1 3

hrs once and Active/dead/total clay, ash content test etc
every weekinspection as per written standard and records.
Miosture/Permeability/GCS/ Compactibility inspection not in 1

every 1 hrs once
High Pressure molding machine or ARPA molding machine 5
avialbility with Pressue indicator / air drier / air accumulator
in line / compressor

24 Moulding Line
avialbility with air drier / air accumulator in line / compressor

avialbility with compressor only.
CO2 core and shell core with Proper Pressure control / time 5
control / hardness control and Almen gas pressure control,
time control temperature control/ hardness control with
written procedure & records respectively.
CO2 core and shell core with Proper Pressure control / time 3
25 Core Line control / hardness control and Almen gas pressure control,
time control temperature control/ hardness control with no
written procedure & records.
CO2 core and shell core process without any of the above 1
said facilities.
Pattern by Cad-Cam method inhouse . 5
26 Pattern shop Pattern by cad -cam Method outsourced. 3

Pattern by conventional machine & tooling. 1
Pattern inspection for crack, dent, traceability etc with written 5
records and pattern history card.
27 Pattern Inspection Pattern inspection for crack, dent, traceability etc without 3
written records and pattern history card.
No pattern inspection other than visual. 1
Well Equipped fettling shop with time controlled shot 5
blasting and well maintained pedestal / bench/ pencil/ loose
grinders with master samples avialbility for refernce.

28 Fettling : Inhouse
grinders without master samples avialbility for refernce.
Rev.: 4 / 21 Jun 2009 Page29 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Shot blasting without time control and improper avialbility of 1
grinding facility i.e. pencil grinders etc
grinders with master samples avialbility for refernce and also
visit plan for regular audit and incoming inspection paln
avialble & recorded

29 Fettling : Outsourced blasting and well maintained pedestal / bench/ pencil/ loose
grinders without master samples avialbility for refernce and
with audit plan & inspection but no records.

grinding facility i.e. pencil grinders and also no
subcontractor audit plan / incoming inspection and records.
Well equipped facilities with surface table, more than 2 nos 5

height gauges/ pistol calipers / BP/ cube / L block/ screw
jaws etc.
30 Marking facility Facilities with surface table, height gauges/ BP/ cube / L 3
block/ screw jaws etc.
Facilities ie.. Only. height gauges/ BP/ cube / L block 1
Rev.: 4 / 21 Jun 2009 Page30 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Received with Casting Sources Test Certificates and ###
inhouse/outsourced raw material validation thro wet analysis 5
or Spectro.
Casted - Raw Material (To be purchased from AL Raw Material TCs from Casting Sources no inhouse / ###
31 3
approved Casting Sources.) outsourced raw material validation.
###
Neither Raw material TCs from Casting / casting Sources nor
1
any inhouse / outsourced raw material validation
Castings identified with colour codes / punching / tags and 5 ###

stored in Safe place - FIFO followed
32 Raw Material Storage Castings identified with codes / punching / tags and stored 3 ###
in Safe place - FIFO not followed
Niether raw material traceability nor FIFO followed. 1 ###
Inspection and clearance by supervisior/Foreman based on 5

CP / WI and Recording system followed
CP / WI and Recording system not followed
33 First off inspection before start of production.
Inspection and clearance not done by supervisior/Foreman 1

and Recording system not followed
100% process followed as per Process sheet / control plan / 5

WI
Process Sheet / Control Plan / WI effectively Process followed as per Process sheet / control plan / WI, 3
34 Few Deviations found
Followed
All process followed not as per Process sheet / control plan / 1
WI
Fixture Validation system followed and periodically wear 5
parts replaced.(records available)
Fixture Validation system followed(records available). But 3
periodically wear parts not replaced.
35 Fixture Validation
Fixture Validation system not followed and periodically wear 1

parts not replaced.(records not available)
Materials are stored in specially designed Bins / trolleys to 5

avoid damages and Traceability with colour code / tags.
Materials damages are possible with this Bins / trolleys and 3

36 WIP Material - Storage & Identification Traceability with colour code / tags.
No Material Storage system and damages are possible with 1

this Bins / trolleys and Traceability not Available.
Setters,Production and Inspection people skill levels are very 5

good for the component Processed
Setters,Production and Inspection people skill levels are 3

37 Work Force Skill level satisfactory for the component Processed

needs improvement for the component under production.
Tools replaced / Grinded / corners changed / Setted as per 5

CP /Process sheet - Adherance Records available.
38 Tool Maintainance / setting

Rev.: 4 / 21 Jun 2009 Page31 of 68
ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

38 Tool Maintainance / setting Tools replaced / Grinded / corners changed / Setted when 3
ever required - Records available.
No traceability over Tools. 1
Machine Maintanence as per Preventive maintanance 5

Schedules - Adherance Records Maintained
39 Machine Maintainance & setting Machine Maintanence when ever required - Records 3
available.
No records / traceability over Machine Maitanance 1
PFD > PFMEA >Control Plan route followed / Approved PPAP 5

available
40 Process Finalisation not available
PFD > PFMEA >Control Plan route not followed and 1
Approved PPAP not available
Required Machining Process 100% inhouce 5
CASTING- MACHINING FACILITY
Required Machining Process Partially inhouce 3

41 Machining Facilities (In house)
Required Machining Process 100% Out sourced, 1
Out sourced process effectively monitored by source (Audit 5

and Inspection records available).
Out sourced process not monitored effectively by source 3
42 Machining Facilities (Out Sourced) (Audit and Inspection records not available).
Process not monitored effectively by supplier (Audit and 1

Inspection records not available).
Critical Process Capability Cpk>1.68 5

43 Machining Capabilities
Critical Process Capability Cp<1.33 1
Avialbility of CMM, Profile Projector, 2D- Digital Height, 5

Hardness tester, surface finish tester and Conventional
Geometrical test equipements .
44 Laboratory failities Avialbility of 2D- Digital Height and Conventional 3

Avialbility of Conventional Geometrical test equipements and 1
Instruments .
Written calibration plan, procedure for the facilities available 5
and Adhearence record available.
45 Lab testing procedure & Calibration but Adhearence records not available.
No Written calibration plan, procedure for the facilities 1
available and records not available.
Inspection Equipments Calibration System followed as per 5
Schedules and record avaialble
Inspection Equipments Calibration System followed not as 3
46 Inspection facilities and Calibration per Schedules
Rev.: 4 / 21 Jun 2009 Page32 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3
46 Inspection facilities and Calibration

Neither Schedules are followed nor any calibartion records 1
availble.
Process Recorded and Periodic checks by supplier, 5
Components Verified at incoming inspections-Record
Available
Process Recorded and Periodic checks not done by supplier, 3

47 Heat treatment (Out sourced) Components Verified at incoming inspections-Record
Available
Process not Recorded and Periodic checks not done by 1
supplier, Components not Verified at incoming inspections-
Record Available
Process followed as per SOP and Controls are very good, 5
(Use H/T process check sheet )
Process followed as per SOP and Controls are Satisfactory, 3
48 Heat treatment (In House) (Use H/T process check sheet )
Process not followed as per SOP and Controls are not 1
Satisfactory, (Use H/T process check sheet )
Process Recorded and Periodic checks by supplier, 5
Available
Surface Protection- Painting/ Plating/powder coating Components Verified at incoming inspections-Record
49
(Out sourced) Available
Record Available
Process followed as per SOP and Controls are very good, 5
(Use surface protection process check sheet )
Surface Protection- Painting/ Plating/powder coating

50 Process followed as per SOP and Controls are Satisfactory, 3
(In house)
Satisfactory, (Use surface protection process check sheet )
Inspection as per Sampling plan covering hardness,Finish, 5
dimension. records maintained.
Inspection as per Sampling plan only dimension checks done 3
51 Final Inspection - Records available.
No Inspection and Records available. 1
Rust prevention applied and Packing fully Protects from 5

damages and Water entry( Rust)
Rust prevention applied and Packing not Protects from 3
52 Preservation and packing damages and Water entry( Rust)
Rust prevention not applied and Packing not Protects from 1
Part no , Batch and Supplier code identification available in 5
each components.
Part no, Batch and Supplier code identification available only 3
53 Tracebility on packing.
Part no, Batch and Supplier code identification not available. 1
Rev.: 4 / 21 Jun 2009 Page33 of 68

ALCQE025
ACTION PLAN
Date
Completed
Rev.: 4 / 21 Jun 2009 Page34 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page35 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page36 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page37 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page38 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page39 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page40 of 68

ALCQE025
ACTION PLAN
Rev.: 4 / 21 Jun 2009 Page41 of 68

ALCQE025
Supplier Name: 0
0
3
9. Forging - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
### NA
5
Raw Material (To be purchased from AL approved ###

Raw Material TCs from supplier but no in-house / outsourced
1 Steel Millis I.e. Vizag, TATA Steels, Musco, Kalyani 3
raw material validation.
Steels etc.)
###
1
Raw material storage material /supplier wise with color code/ 5 ### NA
punching / tags in the racks. Standard color code system to
be displayed at Gemba.
2 Raw Material Storage Raw material storage with color code/ punching / tags but 3 ###
standard color code display not available at Gemba.
Neither raw material color code/ tags / punching traceability 1 ###
available.
Cutting with Shearing machine/ power hacksaw having 5 ### NA
weight or length inspection at particular frequency with
records based upon the written procedure per component
wise.
Cutting with Shearing machine/ power hacksaw with weight 3 ###

3 Raw material Sheering into Billets
or length inspection but neither written procedure
component wise nor the weighing / length records available.
Cutting with Shearing machine/ power hacksaw without 1 ###

weight or length inspection.
Rod for cutting itself or each billet to be marked with 5 NA
standard color code and stored in same color coded or
tagged pallet.
Rod for Cutting itself or billet not marked by color code but 3
4 Billet Storage & Identification stored in standard color coded or tagged pallet.
Neither tracebaility provided to cutted billet / rod / pallet. 1
Inspection by supervisior based upon standard weight or 5 NA

length as per procedure and cleared for mass cutting after
records.
First Cutted Billet inspection before mass billet Inspection by supervisior based upon standard weight or 3
5
cutting. length as per procedure and cleared for mass cutting without
records
First sheared piece not inspected by Supervisior before 1
realising for mass production.
Advanced Die Design Software such as catia, ideas etc. 5 NA
using and manufacturing inhouse with skill Manpower /
facility
Advanced Die Design Software such as catia, ideas etc. 3
6 Die Preparation inhouse but manufacturing outsourced with skill Manpower /
facility
Conventional Designing inhouse or outsourced and 1

manufacturing on conventional machine inhouse /
outsourced.
Die inspection for crack, dent, dimensions , traceability etc 5 NA

with written records and Die history card.
Die inspection for crack, dent, traceability etc without written 3

7 Die Inspection records and without Die history card.
Rev.: 4 / 21 Jun 2009

Page42 of 68
ALCQE025
Supplier Name: 0
0
3
NA
7 Die Inspection
No Die inspection other than visual. 1
Die Storage with traceability on racks. NA
Die storage with tracebaility but not on racks.

8 Die Storage
No traceability over Die.
Inhouse with EDM and followed by POP sample dimensional / 5 NA

traceability inspection with records.
Outsourced with EDM but followed by POP sample 3

9 Die Resinking dimensional / traceability inspection with records.
Resinking done outsourced / Inhouse with EDM or 1
conventional machines and not followed by dimensional /
traceability inspection without records.
Induction Heating Furnace with temperature control 5 NA

(automated with sensors or manual)
10 Furnace Oil Fired Frunace with temperature control (automated or 3

manual)
Any furnace without temperature control. 1

Inbuilt Automatic control (PLC operated) and displayed on 5 NA
Gemba.
11 Temperature control over furnace Manual Temperature control with thermocouple pyrometer. 3
No temperature control avialble, only thro visual billet 1

heating color is the method.
Written plan & procedure to calibrate furnace for uniform 5 NA
heat distribution and records maintained.
Calibration of furnace with records availability but no written 3
12 Furnace Calibration plan & procedure avialble.
Calibration of furnace with out records / written procedure. 1
And also no calibration of furnace.
Periodic change of Furnace lining and solenoid value for fuel NA
supply control with written freuency / procedure & material
and records also available.
13 Maintenance of Furnace
Periodic change of lining and solenoid value control for fuel
supply with partail records but no written procedure/
frequency & material sheet.
Perodic change of lining with no records
Avialbility of Spectro, Wet analysis, Hardness tester, UTM, 5 NA
Image analyser / metallurgical mocroscope, double disc
polishing machine etc.
14 Laboratory failities Avaibility of above stated facilities without Spectro, Image 3

analyzer.
FORGING FACILITY

Are lab testing procedure and records avialble. 5 NA
Are Written calibration plan / procedure/ facilities (eg: 5 NA

16 Lab facilities Calibration Lab facility calibration records available with above stated 3
plan and vice versa.
Rev.: 4 / 21 Jun 2009

Page43 of 68
ALCQE025
Supplier Name: 0
FORGING FACILITY
0
3
NA 1 No Compliance/Major Issues
16 Lab facilities Calibration

Inbuilt Automatic control (PLC operated) and displayed on 5 NA
Gemba.
Manual Temperature control with thermocouple pyrometer. 3
17 Temperature control over furnace
No temperature control avialble, only thro visual billet 1

heating color is the method.
Inbetween roller 5 NA
By heating on anvil and followed by brushing 3

18 Descaling
Descaling in the forging stage itselt by one blow inbetween 1
dies.
Press Forging and hammer forging with hydraulic pressure 5 NA
/flow control and Votage control respectively.
Press Forging and hammer forging with out hydraulic 3

19 Forging
pressure control and Votage control respectively and also
Screw press forging.
Open die Forging Etc. 1
Spray mehtod of Foring Die Lubrication I,e. Die Coat 11 or 34 5 NA
20 Forging Die Lubrication. By application with cotton waste and other manual method. 3
No lubrication 1
With Guages made component wise or thro Conventional HR 5 NA

resistant VC etc with records maintenance.
With Guages made component wise or thro Conventional HR 3
21 Hot Die Inspection resistant VC etc without records maintenance.
No Hot inspection. 1
With Suitable instruments as per drawing of component and 5 NA

records available.
22 First off Inspection With Suitable instruments as per drawing of component and 3
records not available.
No first off Inspection. 1
Thro Chute from foring stage to Trimming stage. 5 NA
Manually thro toggle from forging stage to trimming stage 3

23 Handling After Forging with any improssion of toggle handling on component.
To be first kept into pallet and then from pallet it is taken to 1

trimming.
Trimming press with pressure / flow rate control 5 NA
Trimming press without pressure / flow rate control. 3

24 Trimming
No control 1
Well Equipped fettling shop with time controlled shot 5 NA

grinders with master samples avialbility for refernce.
Rev.: 4 / 21 Jun 2009

Page44 of 68
ALCQE025
Supplier Name: 0
0
3
NA

25 Fettling : Inhouse blasting and well maintained pedestal / bench/ pencil/ loose
grinders without master samples avialbility for refernce.

grinding facility i.e. pencil grinders etc
Well Equipped fettling shop with time controlled shot 5 NA
grinders with master samples avialbility for refernce and also
visit plan for regular audit and incoming inspection paln
avialble & recorded

26 Fettling : Outsourced blasting and well maintained pedestal / bench/ pencil/ loose
grinders without master samples avialbility for refernce and
with audit plan & inspection but no records.

grinding facility i.e. pencil grinders and also no
subcontractor audit plan / incoming inspection and records.
Continous Type furnace / Roller Hearth furnace / Batch type 5 NA

with solenoid control for fuel flow with soaking time and
temperature control and records maintained
27 Normalising Furnace Continous Type furnace / Roller Hearth furnace / Batch type 3
with solenoid control for fuel flow with soaking time and
temperature control and records not maintained
Furnace with out solenoid control for fuel flow or without 1

time and temperature control
Inspection as per Drawing/standard for hardness / structure / 5 NA
dimension and records maintained.
28 Inspection Inspection as per Drawing/standard for hardness / structure / 3

dimension and records not maintained.
No Inspection. 1
Well equipped facilities with surface table, more than 2 nos 5 NA

height gauges/ pistol calipers / BP/ cube / L block/ screw
jaws etc.
29 Marking facility Facilities with surface table, height gauges/ BP/ cube / L 3
block/ screw jaws etc.
Facilities ie.. Only. height gauges/ BP/ cube / L block 1
Rev.: 4 / 21 Jun 2009

Page45 of 68
ALCQE025
Supplier Name: 0
0
3

Received with Forging Sources Test Certificates and NA
or Spectro.
Forged - Raw Material (To be purchased from AL Raw Material TCs from Forging Sources no inhouse /
30 3
approved Forging Sources.) outsourced raw material validation.
Neither Raw material TCs from Forging / casting Sources nor

1
any inhouse / outsourced raw material validation
Forgings identified with colour codes / punching / tags and 5 NA

Forgings identified with codes / punching / tags and stored 3
31 Raw Material Storage in Safe place - FIFO not followed
Niether raw material traceability nor FIFO followed. 1
Inspection and clearance by supervisior/Foreman based on 5 NA

CP / WI and Recording system not followed
32 First off inspection before start of production.
Inspection and clearance not done by supervisior/Foreman 1

100% process followed as per Process sheet / control plan / 5 NA

WI
33 Few Deviations found
Followed
WI
Fixture Validation system followed and periodically wear 5 NA
34 Fixture Validation periodically wear parts not replaced.
Materials are stored in specially designed Bins / trolleys to 5 NA

Setters,Production and Inspection people skill levels are very 5 NA



Tools replaced / Grinded / corners changed / Setted as per 5 NA

37 Tool Maintainance / setting Tools replaced / Grinded / corners changed / Setted when 3
ever required - Records available.
Machine Maintanence as per Preventive maintanance 5 NA

38 Machine Maintainance & setting

Rev.: 4 / 21 Jun 2009
Page46 of 68
ALCQE025
Supplier Name: 0
0
3
NA
Machine Maintanence when ever required - Records 3
38 Machine Maintainance & setting available.
PFD > PFMEA >Control Plan route followed / Approved PPAP 5 NA

available
39 Process Finalisation not available
Required Machining Process 100% inhouce 5 NA

FORGING-MACHINING FACILITY
Out sourced process effectively monitored by source (Audit 5 NA


Critical Process Capability Cpk>1.68 5 NA

Avialbility of CMM, Profile Projector, 2D- Digital Height, 5 NA


Instruments .
Written calibration plan, procedure for the facilities available 5 NA


Inspection Equipments Calibration System followed as per 5 NA
Inspection Equipments Calibration System followed not as 3
45 Inspection facilities and Calibration per Schedules
availble.
Process Recorded and Periodic checks by supplier, 5 NA
Available
46 Heat treatment (Out sourced) Components Verified at incoming inspections-Record
Available
Record Available
Rev.: 4 / 21 Jun 2009

Page47 of 68
ALCQE025
Supplier Name: 0
0
3

Process followed as per SOP and Controls are very good, 5 NA
Available
Surface Protection- Painting/ Plating/powder coating Components Verified at incoming inspections-Record
48
(Out sourced) Available
Record Available
Surface Protection- Painting/ Plating/powder coating (Use surface protection process check sheet )
49
(In house)
Inspection as per Sampling plan covering hardness,Finish, 5 NA

Rust prevention applied and Packing fully Protects from 5 NA

Part no , Batch and Supplier code identification available in 5 NA
each components.
Rev.: 4 / 21 Jun 2009

Page48 of 68
ALCQE025
Supplier Name: 0
0
3
10. Prop. - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
### NA
5
material validation
###
1.0 Raw Material Inspection 3
###
1
Raw material properly identified with tags/ color coding with 5 ### NA
rack no for easy identification.
2.0 Raw Material Storage Raw material properly identified with tags/ color coding 3 ###
without rack no for easy identification.
Raw material stored without any traceability 1 ###
All the critical / mounting parameters are monitored by SPC 5 ### NA

study
All actual values are measured using instruments and no 3 ###

3.0 Production Process
SPC study
No SPC study for critical parameters and inspection using 1 ###

gauges
Schedule available for auditing all the sub contracted 5 NA
sources and adherence to schedule is 100%
Schedule available for auditing all the sub contracted 3

4.0 Control on Sub Contacted and BOF components sources and adherence to schedule is less than 100%
No schedule available for sub contracted sources 1
All facilities are available in house and carried out as per 5 NA

requirement
Few facilities available in-house and others are outsourced 3

5.0 Performance Testing
No in-house facility for performance testing 1
All facilities are available in house 5 NA
Few facilities available in-house and others are outsourced 3

6.0 Type Testing
No in-house facility 1
Rev.: 4 / 21 Jun 2009

Page49 of 68
ALCQE025
Supplier Name: 0
0
3
10. Prop. - Commodity Audit Worksheet ACTION PLAN

Packing standard which will take care of zero transit 5 NA
damages
Packing which will result in few transit damages 3

7.0 Packing
Packing which will result in frequent issue at AL due to 1

transit damages
Rev.: 4 / 21 Jun 2009

Page50 of 68
ALCQE025
Supplier Name: 0
0
3
11. Harness - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
### NA
Received with Supplier TCs and in-house/ 3rd party
5
validation
###
Raw Material (To be purchased as per the IS Raw Material TCs from supplier but no in-house / outsourced
1 3
specified in the drg or from AL approved Suppliers) raw material validation.
###
1
All raw materials were inspected as per the inspection plan 5 ### NA
and system / evidence for recording the concerns, feed back
to suppliers, and CAPA.
2 Receipt of raw materials from suppliers All raw materials were inspected as per the inspection plan 3 ###
and no evidence for feed back and corrective action
Inspected for limited parameters and no evidence for feed 1 ###
back and corrective action.
Raw material storage material /supplier wise with color code/ 5 ### NA
punching / tags in the racks. Standard color code system to
be displayed at Gemba.
Raw Material Storage - UV resistant storage for wires Raw material storage with color code/ punching / tags but 3 ###
3
and covered sheds for terminals and connectors. standard color code display not available at Gemba.
Neither raw material color code/ tags / punching traceability 1 ###

available.
Cutting , Striping and crimping done with automated 5 NA
computerized facility as per the Specification. Written
procedure and Records with automated pass Tags available.
Wires and cables cut in to lengths with striping and Cutting , Striping and crimping done with automated facility 3
4 as per the Specification. Written procedure and Records
crimping
available.
Manual Cutting , Striping and crimping with General Engg 1

length measurements using scale/ measuring Tape. Limited
record for cutting.
Traceability of parts sub assembled and WIS for assembly 5 NA
procedure and records for passing.
Child parts prepared and sub assembled as per WIS 3

4 Parts fitting - Sub Assy
procedure and no records for passing. Batch assy followed.
Generic WIS and No traceability provided to sub assy. 1

Operator Dominant.
Automated crimping machines with chain terminals and 5 NA
visual display. In process Crimp load check facility available
for periodic inspection..
Automated crimping machines with chain terminals and 3
Crimping of terminals and visual display. No facility for Crimp load check
5
Mid Joints
Terminal crimping by manual and no facility for load check. 1
Rev.: 4 / 21 Jun 2009 Page51 of 68

ALCQE025
Supplier Name: 0
0
3

Automated facility for connector assy as per the color code 5 NA
and the circuit crimping machines with chain terminals and
visual display. In process Crimp load check facility available
for periodic inspection..
Automated crimping machines with chain terminals and 3
6 Connector assy visual display. No facility for Crimp load check
Terminal crimping by manual and no facility for load check. 1
Conveyorised lay board with visual print of circuit for assy. 5 NA

station wise fitment of subassy for mistake proofing. Length
control by stopper.
7 Main assy Lay board for assy. fitment of subassy by Team of peoples. 3
Length control by stoppers.
No Lay board for assy. Fitment all subassy by group of 1
operators.
PLC controlled inspection facility with checker board for 5 NA
each part nos. Automated tag out put on passing.
Traceability of mfg date, person, Shift and suppliers.
8 Process inspection NC/ Electrical controlled inspection facility - common for all 3
parts. With out automated traceability stickers.
Inspection by continuity check and manual stickers. 1
Written procedure for UV resistant packing, traceability from 5 NA

dispatch to delivery, control system for the right part
dispatch.
Standard packing, traceability of parts packed for dispatch. 3
9 Packing / logistic inspection
No control system for the right part dispatch.
General packing, manual control on parts packed and 1

dispatched.
Written plan & procedure to calibrate equipments and 5 NA
records maintained.
Calibration of equipments with records availability but no 3
10 Calibration of equipments written plan & procedure available.
Brake down maintenance of equipments with out records / 1
written procedure. And also no evidence for calibration.
TPM in place MTBF calculated. 5 NA
Preventive maintenance as per plan followed. 3

11 Maintenance of machineries
Brake down maintenance. 1
High voltage tester, Resistance measurements. Fuse tester 5 NA

available in-houe and evidence for periodic test wrt plan is
available
12 Laboratory facilities High voltage test, Resistance measurement. Fuse test - TC 3

received from supplier periodically.
No plan for test and TC also not received from supplier. 1
Written calibration plan / procedure/ facilities and evidence 5 NA

for testing available
13 Lab facilities Calibration

Rev.: 4 / 21 Jun 2009 Page52 of 68
ALCQE025
Supplier Name: 0
0
3
NA
13 Lab facilities Calibration Written calibration plan / procedure/ facilities available and 3
evidence for testing not available
Neither plan nor any calibration records available. 1

records available.
14 First off Inspection With Suitable instruments as per drawing of component and 3
No first off Inspection. 1
Inspection as per Drawing/standard for hardness / structure / 5 NA

dimension and records maintained.
15 Inspection Inspection as per Drawing/standard for hardness / structure / 3

dimension and records not maintained.
No Inspection. 1
Rev.: 4 / 21 Jun 2009 Page53 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3
12. Bar Machining - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
Received with Bar Supplier/ Mill Test Certificates and ### NA

or Spectro.
###
Bar M/c - Raw Material (To be purchased from AL Raw Material TCs from Bar Supplier/ Mills, no inhouse /
1 3
approved Bar Suppliers / Mills.) outsourced raw material validation.
###
Neither Raw material TCs from Bar Supplier/ Mills nor any
1
inhouse / outsourced raw material validation
Bars identified with colour codes / punching / tags and 5 ### NA

Bar identified with codes / punching / tags and stored in Safe 3 ###
2 Raw Material Storage place - FIFO not followed
Niether raw material traceability nor FIFO followed. 1 ###
Inspection and clearance by supervisior/Foreman based on 5 ### NA

Inspection and clearance by supervisior/Foreman based on 3 ###

3 First off inspection before start of production. CP / WI and Recording system not followed
Inspection and clearance not done by supervisior/Foreman 1 ###

100% process followed as per Process sheet / control plan / 5 NA
WI
4
Followed Few Deviations found

WI
Fixture Validation system followed and periodically wear 5 NA

5 Fixture Validation periodically wear parts not replaced.

Materials are stored in specially designed Bins / trolleys to 5 NA



Rev.: 4 / 21 Jun 2009 Page54 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Applicable RYG Date
Setters,Production and Inspection people skill levels are very 5 NA


Tools replaced / Grinded / corners changed / Setted as per 5 NA

Tools replaced / Grinded / corners changed / Setted when 3

8 Tool Maintainance / setting ever required - Records available.
Machine Maintanence as per Preventive maintanance 5 NA

9 Machine Maintainance & setting Machine Maintanence when ever required - Records 3
available.
PFD > PFMEA >Control Plan route followed / Approved PPAP 5 NA

available

10 Process Finalisation
not available

Required Machining Process 100% inhouce 5 NA

Out sourced process effectively monitored by source (Audit 5 NA


Critical Process Capability Cpk>1.68 5 NA

Rev.: 4 / 21 Jun 2009 Page55 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3
NA

Applicable RYG Date
Avialbility of CMM, Profile Projector, 2D- Digital Height, 5 NA


Instruments .
Written calibration plan, procedure for the facilities available 5 NA



Inspection Equipments Calibration System followed as per 5 NA
16 Inspection facilities and Calibration Inspection Equipments Calibration System followed not as 3
per Schedules

availble.
Available
17 Heat treatment (Out sourced)
Available
Record Available



Available
Surface Protection- Painting/ Plating/powder coating Process Recorded and Periodic checks not done by supplier, 3
19
(Out sourced) Components Verified at incoming inspections-Record
Available

Record Available
Rev.: 4 / 21 Jun 2009 Page56 of 68

Surface Protection- Painting/ Plating/powder coating
20 ALCQE025
(In house)
Supplier Name: 0
Audit Date: 0
0
3

NA
Applicable RYG Date
Surface Protection- Painting/ Plating/powder coating (Use surface protection process check sheet )
20
(In house)


Rust prevention applied and Packing fully Protects from 5 NA

Part no , Batch and Supplier code identification available in 5 NA
each components.

Rev.: 4 / 21 Jun 2009 Page57 of 68

ALCQE025
Supplier Name: 0
0
3
13. Non Metallic_Moulded - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
Received with Supplier TCs and in-house/outsourced raw ### NA

5
material testing.
Raw Material (Polymer & Chemicals) (To be ###

1 purchased from Reputed Manufactures like 3
Ellocorm,Dow corning,nocal,lanxess )
###
1
Raw material storage material /supplier wise with color code. 5 ### NA
Standard color code system to be displayed at the storage
area.
2 Raw Material (Polymer& Chemical) Storage Raw material storage with color code , standard color code 3 ###
not displayed.
Raw material color code traceability not available. 1 ###
Mixing based on the written procedure as per the SAE 5 ### NA

requirement standards
Mixing with out any evidence of written procedure , but 3 ###

3 Raw Material mixing
meeting the SAE standard requirements
Mixing with out any evidence of written procedure & SAE 1 ###
standard requirements
Storage as per the written procedure ( considering Period & 5 NA
temperature )
Storage as per the written procedure ( without considering 3

4 Storing of raw material Period & temperature )
Storage without evidence of written procedure 1
5 NA
material testing.
3
5 Raw Material (Metal parts) Raw Material TCs from supplier but no in-house / outsourced
Neither Raw material TCs from suppler nor any in-house / 1

Surface preparation with 7 or 10 tank process & evidence of 5 NA
work instruction
Surface preparation with 7 or 10 tank process & without 3

6 Surface Preparation evidence of work instruction
Manual surface treatment, no evidence of work instruction 1
Rev.: 4 / 21 Jun 2009

Page58 of 68
ALCQE025
Supplier Name: 0
0
3
13. Non Metallic_Moulded - Commodity Audit Worksheet ACTION PLAN

Application of proper bonding agent ( proper mixing ratio) by 5 NA
dipping / spray method , with evidence of work instructions
Application of proper bonding agent, with out evidence of 3

7 Bonding treatment work instructions
Manual application & no evidence of work instruction 1
Proper set up of mould ( Temp control, vacuum pressure 5 NA

control with digital display) with evidence of work
instruction, control plan, daily maintenance chart, first of
inspection check list)
Proper set up of mould ( Temp control, vacuum pressure 3

8 Moulding control with analog display) with out evidence of work
instruction, control plan, daily maintenance chart, first of
inspection check list)
No evidence of mould set up, work instruction, control plan 1
Written calibration plan / procedure with in-house facilities 5 NA

(eg: Master gauges available with records).
9 Instrument calibration Written calibration plan / procedure with external lab (eg: 3
Traceability certificate available)

records available.
10 Inspection With Suitable instruments as per drawing of component and 3

No off Inspection & No records 1
Availability of Oven, Mooney Viscometer, Oscillating Disc 5 NA

rheo,Dispersion analysier,Ozone test chamber, Tensile
tester,IRHD hardness tester, Cold tester
11 Laboratory facilities Availability of Oven, Oscillating Disc rheo,Tensile tester,IRHD 3

hardness tester.
Availability of Oven,Oscilating disc rheo,Tensile tester. 1
Proper packing with written packing standard. 5 NA
Proper packing without packing standard 3

12 Packing
Packing without any evidence of written procedure 1
Rev.: 4 / 21 Jun 2009

Page59 of 68
ALCQE025
Supplier Name: 0
0
3
14. Non Metallic Extrusion - Commodity Audit Worksheet ACTION PLAN

Applicable RYG Date
### NA
5
material testing.
###
Raw Material (To be purchased from Reputed Raw Material TCs from supplier but no in-house / outsourced
1 3
Manufatures like EMS & Deggussa,vestinide ) raw material validation.
###
1
Raw material storage material /supplier wise with color code. 5 ### NA
Standard color code system to be displayed at the storage
area.
2 Raw Material Storage Raw material storage with color code , standard color code 3 ###
not displayed.
Raw material color code traceability not available. 1 ###
Calibrated extruder with written work instruction , control ### NA

plan indicating RM temp,Moisture removal temp,temp
range,intial retaining time,temp at all 4 zones,Chiller zone
temp & extrusion rpm.
###
3 Extrusion
Calibrated extruder with written work instruction, control
plan.
Extruder not calibrated & No evidence of work instruction , ###

control plan.
5 NA
material testing & Dimensional report
3
4 End fitting (Metal parts) Raw Material TCs from supplier but no in-house / outsourced
raw material validation but dimensional report evident
Neither Raw material TCs from suppler nor any in-house / 1

outsourced raw material validation & no dimensional report
In house surface preparation with 7 or 10 tank process & 5 NA
surface treatment like zinc plating with green passivation &
evidence of work instruction
Out sourced surface preparation with 7 or 10 tank process & 3

5 Surface treatment of End fittings
surface treatment like zinc plating with green passivation &
evidence of inspection report
Manual surface treatment, no evidence of work instruction, 1
inspection report
Written work instruction / procedure with identification (eg: NA
Master samples, layout inspection available with records).
Written work instruction / procedure with identification (eg:

6 Assembly of hoses with eng fittings Master samples, layout inspection not available
No written work instruction / procedure available.
Written calibration plan / procedure with in-house facilities 5 NA

(eg: Master gauges available with records).
Rev.: 4 / 21 Jun 2009 Page60 of 68

7ALCQE025
Instrument calibration
Supplier Name: 0
0
3
NA
14. Non Metallic Extrusion - Commodity Audit Worksheet ACTION PLAN

Written calibration plan / procedure with external lab (eg: 3
7 Instrument calibration Traceability certificate available)

records available.( Dimensional & testing parameters)
8 Inspection With Suitable instruments as per drawing of component and 3

No off Inspection & No records 1
Availability of MFI analysier,Ozone test chamber, Tensile 5 NA

tester,IRHD hardness tester, Millipore test appratus,UV
chamber
9 Laboratory facilities Availability of MFI analysier,Tensile tester,IRHD hardness 3

tester, Millipore test apparatus,
Non availability of MFI analysier,Millipore test apparatus. 1
Proper packing with written packing standard. 5 NA
Proper packing without packing standard 3

10 Packing
Packing without any evidence of written procedure 1
Rev.: 4 / 21 Jun 2009 Page61 of 68

ALCQE025
Supplier Name: 0
0
3
15. Bearings Audit Worksheet ACTION PLAN

Applicable RYG Date
5 ### NA
Received with Supplier TCs and inhouse/outsourced raw
material validation.
3 ###
Raw Material TCs from supplier but no inhouse / outsourced
1 Raw Material
1 ###
Neither Raw material TCs from suppler nor any inhouse /
In house HT facility, Tempering & Quenching, PLC 5 ### NA

controlled,SPC trend.
2 Heat Treatment In house HT facility, Tempering & Quenching, PLC 3 ###

controlled,SPC trend.
Adequate grinding machines like Double disc face 5 ### NA

grinding,Cylindrical grinding with auto loading,track
grinding,Super finish grinding,SPC trend,PM trend
Adequate grinding machines like Double disc face 3 ###

3 Grinding
grinding,Cylindrical grinding with auto loading,track
grinding,Super finish grinding,No evidence of SPC trend,PM
trend
10 tank process automatic washing 5 NA
7 tank process with automatic washing 3

4 Washing
Mannual or No washing process 1
Automatic assembly with out manual contact. 5 NA
Semi automatic assembly 3

5 Assembly
Mannual Assembly 1
Vibration testing,Noise testing,Grease leakage testing 5 NA

Endurance testing,
Noise testing,Vibrartion testing 3
6 Testing Facility
Roundness tester,Waviness tester,Contact angle 5 NA

measurement,Millipore,Crack detection
7 Standards Room
Rev.: 4 / 21 Jun 2009 Page62 of 68

ALCQE025
Supplier Name: 0
0
3
NA
15. Bearings Audit Worksheet ACTION PLAN

Roundness tester,Waviness tester,Contact angle 3
7 Standards Room measurement, No Millipore,Crack detection
Bearing No & batch no 5 NA
7 Traceablity & Identification Bearing No & No batch no. 3
Individual comparator,Dail gauges, width fixture, calibrartion 5 NA

plan & schedule.evidence of calibration,SOP for inspection of
parts. Visual display of limit samples & SPC trend
8 Stage / Final Inspection Method Individual comparator,Dail gauges, width fixture, calibrartion 3
plan & schedule.evidence of calibration,SOP for inspection of
parts.
As per Al Standard ( like dust free , individual vinyl cover & 5 NA

box)
As per Al Standard ( descrpency like dust,qty,individual vinyl 3

9 Packing
cover)
Rev.: 4 / 21 Jun 2009 Page63 of 68

ALCQE025
Supplier Name: 0
0
3
16. Trims Audit Worksheet ACTION PLAN

Applicable RYG Date
5 ### NA
Received with Supplier TCs and
inhouse/outsourced raw material validation.
3 ###
Raw Material TCs from supplier but no inhouse /
1 Raw Material (PP,Nylon,ABS,etc ) outsourced raw material validation.
1 ###
Neither Raw material TCs from suppler nor any
inhouse / outsourced raw material validation
Raw material storage material /supplier wise with 5 ### NA

color code/ tags in the racks. Standrad color code
system to be displayed at Gemba & FIFO
2 Raw Material Storage Raw material storage with color code/ tages but 3 ###
standard color code display not available at Gemba
& No FIFO.
Niether raw material color code/ tags traceability 1 ###

avialable, FIFO followed.
a) Mould is verified ready for use 5 ### NA
c) Set up instructions maintained
d) Right selction of machine( Tonage)
e) Operators protection sensors effective
f) Tool History maintenance
g) PM plan and Mould revalidation process
The above points to be refered in control
3 Machine & Mould Setting plan,SOP.
Above parameters are available but 3 ###

partially.Control Plan partially updated , SOP not
adequate.
Proper setting up of machine,for 5 NA

temperature,pressure ,cooling time & hold time.
Evidence of SOP,Visual dsplay,Colour as per
master,SPC trend ( e.g Cooling time to avoid
shrinkage)
4 Injection Moulding Proper setting up of machine,for 3
temperature,pressure ,cooling time & hold time.
No Evidence of SOP,Visual dsplay,SPC trend.
First off inspection as per the inspection check 5 NA

sheet. Visual display stage wise & also limit
samples, Skilled operator.
Process Inspection Control method
First off inspection as per the inspection check 3
5 ( Defects like short mould,flow line,black
sheet. No Visual display stage wise & also No limit
mark) Flash trimming,
samples.
Rev.: 4 / 21 Jun 2009 Page64 of 68

ALCQE025
Supplier Name: 0
0
NA 3
Process Inspection Control method
5 ( Defects like short mould,flow line,black
mark) Flash trimming,
16. Trims Audit Worksheet ACTION PLAN
Colour Value ( Delta value) & performance testing. 5 NA
Performance testing & No colour value testing 3

6 Testing Facility
Part No & Name ( Lh, RH), supp code,date, month , 5 NA

year.Material spec,
7 Traceablity & Identification Part No & Name ( Lh, RH), supp code,date, month , 3
year.No Material spec,
Part profile to answer Jig / Fixture. CMM inspection 5 NA

& Visual inspection.
8 Final Inspection Method Part profile to answer Jig / Fixture. No CMM 3

inspection & Visual inspection.
As per Al Standard ( like qty,storage 5 NA

position,individual vinyl cover)
9 Packing As per Al Standard ( descrpency like qty,storage 3

position,individual vinyl cover)
FIFO Model wise & Proper Racks, no mix up with 5 NA
other parts.
10 Finished Goods storage FIFO, No proper racks, Mix up with other parts 3
Rev.: 4 / 21 Jun 2009 Page65 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3
17. AL Extrusion Audit Worksheet ACTION PLAN

Applicable RYG Date
Process Look For Observations Action Responsibility Due Date
Received with Supplier TCs and inhouse/outsourced raw 5 ### NA

Raw Material {Virgin aluminium / recycling
aluminium & alloying elements viz., copper (2series), Raw Material TCs from supplier but no in-house / outsourced 3 ###
1 Manganese (3series), Silicon (4series), Magnesium raw material validation.
(5series), Magnesium & silicon (6series), Zinc
(7series) : only cmposition inspection) 1 ###
Raw material storage with composition / utility /supplier wise 5 NA

with traceability symbol availability with closed shelter
2 Storage of Raw material Raw material storage with traceability only and FIFO 3
maintained and however open yard
Raw material storage without any of traceability. 1
Raw material properly weighed wrt written weighing log 5 ### NA

sheet of the melting grade wise.
Raw material weighed properly for melting but no written 3 ###

3 Raw material Movement to Furnace
plan available for melting grade wise.
Neither raw material weighing system not the written 1 ###
weighing scale melting grade wise available.
Electric Controlled over Voltage / current/ time control with 5 NA

temperature monitoring.
4 Control Over Furnace (Melting) Automatic controlled time and temperature monitoring. 3
Manual time & pyrometer temperature control. 1

Melt Log sheet available with chemistry from spectro, 5 NA
temperature, time etc for each melting grade and also
standard melt log sheet for each grade available & displayed.
5 Melt Log Sheet

Melt log sheet without full information but having standard 3
melt log sheet grade wise.
No melt log sheet but having standard melt log sheet or vice 1
versa.
Avialability in working condition of weighing syetm on laddle 5 NA
/ pretreatment laddle / Alarm sytem in pouring line/ Overhead
Conveyor system etc.
6 Pouring/Billet casting Facility Avialbility of Overhead converyor laddle/ pyrometer 3

thermocouple.
Unavialbility of Overhead converyor laddle/ pyrometer 1
thermocouple and pouring with hand shank laddle.
Availability of Spectro, Wet analysis,CE meter, Hardness 5 NA

tester, UTM, Image analyser / metallurgical mocroscope etc.
7 Laboratory facilities Avaibility of above stated facilities without Spectro, Image 3

analyzer.
Are lab testing procedure and records avialble. 5 NA

Rev.: 4 / 21 Jun 2009 Page66 of 68

ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Are Written calibration plan / procedure/ facilities (eg: 5 NA
Lab facility calibration records available with above stated 3
9 Lab facilities Calibration plan and vice versa.
Automated Extrusion press with billet pre-heating facility 5 NA

under controlled temp. (800°~925°F)
10 Aluminium Extrusion Semi automated with separate billet heating facility 3
Mechanical extrusion press and no contol over billet heating 1
Automated leadtable with puller and guiding runout table for 5 NA

better handling
Semi auotomated lead table with puller and guiding runout 3
11 Handling of extruded part from Die table
Manual process & no control over handling of extruded parts 1
Automated material transfer (walking beams) to coolling 5 NA

table and process thro' air/water
Semi automated transfer (belt) cooling process thro' 3

12 Extruded parts cooling
water/air.
Manual transfer cooling & no control over process 1
Automated straightening process with PLC stretcher / length 5 NA

cutting
13 Straightening & cutting to length Semi automated straightening by stretcher / cutting m/c. 3
Manaul stratening/cutting & no control over process 1

Electric normalizing furnace with air circulation provision 5 NA
Oil fired normalizing furnace with air circulation provision 3

14 Heat treatment / Normalizing
No contor over normalizing process 1
a) Carry out surface protection using In-house facility and/or 5 NA

AL Approved source.
b) Salt spray requirement as per AL standard.
C) Inspection of part as per control plan
d) Proper controls are in place upon return of parts
15 Surface coating (outsourced)

dimension. Profile, coating thick records maintained.
16 In process/ Final Inspection Inspection carried out but partial records available. 3
No Inspection / Records available. 1
Fully equipped inhouse Dies/ tool room facility with 5 NA

preventive maintenance system in place
17 Dies/ Tool Room facility Tool room facility with preventive maintenance system in 3
place but partial
Tool room facility outsourced & no preventive maintenance 1
system
Rev.: 4 / 21 Jun 2009 Page67 of 68
ALCQE025
Supplier Name: 0
Audit Date: 0
0
3

Part no , Batch and Supplier code/ISI Markings available in 5 NA
each components.
Part no, Batch and Supplier code identification/ISI markings 3
18 Tracebility & identification
available only on packing.
Availability of work instructions for packing to prevent transit 5 NA

damages
19 Packing & Handling Controls are available but partial 3

Followed customer specific requirement such as ISI 5 NA
approved /BIS markings etc.
20 Customer Specific Reqt. No ISI/BIS markings & willing provide upon confirmed 3
business reqts.
No plan to obtain ISI/BIS markings 1
Rev.: 4 / 21 Jun 2009 Page68 of 68

ALCQE025

Ashok Leyland SEA FORMAT

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Supplier Evaluation Audit

Supplier: Req. ref.

Address: Audit Date:

Report No. Supplier Contacted:

Audit Score Column J Acceptable Score Column L

General (mention company's background, strength & significant points if any):

Approved by N. Gopinath Approved

Rev.: 4 / 21 Jun 2009

Audit Date: 5 Full Compliance/Performing Well

Audit Type Partial Compliance/Marginal

1. Quality Audit Worksheet ACTION PLAN

Limited structure to quality organization, lacks consistent 1

Aiming to establish supplier's philosophy and practice on

Relies on inspection / buffer inventory to overcome incapable 1

Little available evidence of current quality levels; What there 1 ###

Little or no work instructions. May be lacking detail or out of 1

Limited corrective action identification & implementation, 1

Rev.: 4 / 21 Jun 2009

Audit Date: 5 Full Compliance/Performing Well

Audit Type Partial Compliance/Marginal

NPD/ Product realization process mandatory - look for

No process for selection. No evidence of management / 1

How do they keep their suppliers up to date with both

Some inspection equipment, not fully utilized. No routine 1

Limited tooling management although sporadic, may result in 1

Limited auditing, typically performed as a result of an internal 1

No capability or process to support process change, can not 1

Supplier unable to demonstrate capability. 1

Rev.: 4 / 21 Jun 2009

Audit Date: 5 Full Compliance/Performing Well

Audit Type Partial Compliance/Marginal

1. Quality Audit Worksheet ACTION PLAN

Maintenance reactive; responsibilities not clear; Evidence of 1 ###

Little / no identification of material. No documented 1

No documented job descriptions. No training records or 1

Rev.: 4 / 21 Jun 2009

Audit Date: 5 Full Compliance/Performing Well

Audit Type Partial Compliance/Marginal

1. Quality Audit Worksheet ACTION PLAN

Rev.: 4 / 21 Jun 2009

Audit Date: 1-Dec-10 5 Full Compliance/Performing Well

2. Cost Audit Worksheet ACTION PLAN

Review supplier's documented process for developing

Supplier proactively addresses customer quality issues

Results are limited, no formal process for managing. 1 ###

Consider supplier participation in expenses related to

Supplier shall recognize the results originally identified in

Rev.: 4 / 21 Jun 2009

Audit Date: 1-Dec-10 5 Full Compliance/Performing Well

2. Cost Audit Worksheet ACTION PLAN

Review evidence of the frequency of supplier's strategic

Sourcing plans do not include make/buy studies. 1

Demonstrated vision and understanding of market /

Rev.: 4 / 21 Jun 2009

Audit Date: 1-Dec-10 5 Full Compliance/Performing Well

2. Cost Audit Worksheet ACTION PLAN

Assess the impact of foreign currency fluctuations on

Supplier does not utilize forward contracts for the purchase 1

Rev.: 4 / 21 Jun 2009

3. Logistics Audit Worksheet ACTION PLAN

EDI operating for functions of material scheduling, shipping 3

Assess supplier's ability to properly manage delivery

Rev.: 4 / 21 Jun 2009