GPSC Supplier Quality

Process Control Plan Audit Summary Sheet Date: GM 1927-16

version Oct 4, 2010

Supplier Name: Supplier Phone:

Mfg. DUNS: Plant Location & Country:

Auditor: (SQE) Auditor Phone:

Auditor: E-Mail: GM Division:

Part Number (s): Part Name:

Drawing Date: EWO# - E²#: Eng. Change Level:

PPAP Status: Model Year: Program:

Creativity Team: Commodity:

Reason For Audit: Future ✘ Launch Current Partial Other Safety Related Part ? Yes No N/A

Type of Audit: Initial Follow Up Run at Rate (GP9 Attachment B) Product Validation Complete: Yes No N/A
Driver of Audit: APQP Confirmation Mgmt. Request Plant Request Run @ Rate CPIP/Warranty
Top Focus CSL-1 CSL-2 Major Disruption Shutdown/Start Up Audit
Critical Fastener (D02)
Component Check Plan D/PFMEA DD&W Other
Focus of Audit: Part / Assembly Operation / Machine Line /Cell Complete Mfg. System
Quality System - Ongoing Documentation

Technical Information Availability

NR 1. Actual Drawing NR 2. Approved Drawing NR 3. Print Complete
NR 4. Technical Regulations NR 5. DFMEA to PFMEA
0 Total Potential 0 => NR

Quality System Documentation

NR 6. Process Flow Diagram (PFD) NR 7. PFMEA Available NR 8. PFMEA Acceptable
NR 9. Evidence PFMEA Up to Date NR 10. Process Control Plan (PCP) Available NR 11. PCP Acceptable
NR 12. PCP address all print requirements NR 13. Current Controls PFMEA and PCP NR 14. RPN reduction plan
NR 15. Continuous Improvement Procedure/Process NR 16. Sample Sizes and Frequency
0 Total Potential 0 => NR

Quality System Implementation Plan

NR 17. Approved Material List NR 18. Controls in Place for Incoming Material NR 19. Parts have Traceability
NR 20. Workplace Properly Configured NR 21. Tools and Gauges Identified NR 22. Gauges Calibrated
NR 23. Tools and Gauges Certified NR 24. Gauge Repeatability and Reproducibility NR 25. Proper Operator Instructions
NR 26. Operator Instructions at Each Operation NR 27. Detailed Standardized Work Instructions NR 28. Standardized Work
NR 29. Standardized Work Followed NR 30. Operators Understand Instructions NR 31. Operators Trained
NR 32. Boundary Samples Available NR 33. Master Parts/Samples Available NR 34. Master Parts for Error Proofing
NR 35. Preventative Maintenance Plan on Tools NR 36. Tool Change part quality verification NR 37. Prev. Maint. Plan on Equipment
NR 38. Plan include adequate spare tools NR 39. SPC Data NR 40. ULC
NR 41. Reasonable Control Limits NR 42. Out of Control Limits NR 43. Product Audits for Final Product
NR 44. Capability Studies NR 45. Packaging and Material Handling NR 46. WIP for Final Product
NR 47. Parts and Components Label
0 Total Potential 0 => NR

Quality System Implementation by Management

NR 48. Tracking of Downtime NR 49. Out of Control Conditions NR 50. Action Plans Followed
NR 51. Implementation Responsibility NR 52. Communication NR 53. Support System for Operators
NR 54. Information across all shifts NR 55. Check Requirements Performed NR 56. Process Parameters
NR 57. QSB Audit
0 Total Potential 0 => NR

Pts Element Scoring

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

NR 0 Quality System Documentation GREEN 1 Element is not in place but a plan to implement is documented

NR 0 Quality System Implementation Plan GREEN 2 Element is in place but it is not being followed

NR 0 Quality System Implementation by Management GREEN 3 Element in place but not followed at each job or all the time

0 Overall GREEN 4 Element is in place and it is being followed

NR
Summary Scoring: Green ≥ 90% Yellow 70-89% Red <69%

Approved Approved, but need Documentation Not Approved Follow-Up Audit Date:
In case of deviations use GM 1927-79 Supplier Action Plan Form

Supplier Representative Name with Signature GM Representative Name with Signature

Process Control Plan Audit Worksheet Printed 12/09/2021

A. Avaliação técnica AUDIT WORKSHEET

G
PERGUNTA: Em relação à disponibilidade de
Procurar por Questões a fazer e quais evidencias devem ser procuradas Placar Y Observação
informação técnica
R
Blue Print Do you have drawings?
1 Os desenhos disponiveis estão na ultima revisão? Do you have math data? NR G
Material Spec Sheets
Blue Print
2 O cliente aprovou os desenhos? Have you checked EWO and revision date? NR G
Math Data
Completed Engineering
3 A metodologia GD&T esta sendo aplicada? Verify print has all information (if applicable, time wise) with PPAP package. NR G
Drawings
Todos os itens de segurança e regulametares Part Print/Specification Verify Component Technical Specifications and Sub-System Technical Specification
4 are available for review. NR G
foram avaliados? Package
O DFMEA foi elaborado e serve como base para a
5 DFMEA / PFMEA Verify PFMEA addresses initial DFMEA concerns (high RPNs, corrective actions, etc.) NR G
elaboração do PFMEA?
B. Documentação do Sistema da qualidade AUDIT WORKSHEET
EVIDENCE / G
PERGUNTA:
DOCUMENTATION QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
Em relação à qualidade do Sistema de Documentação
REQUIRED R

O diagrama de processo contempla todas as

etapas de fabricação? (inclui recepção, retrabalho, Is the Process Flow Diagram linked to FMEAs, Control Plan, Operator Instructions,
6 sucata de aferição / inspeção, transporte, Process Flow Diagram etc? Does it contain receiving, rework, scrap, gauging/inspection, shipping and NR G
labeling during entire production?
rotulagem e identificação de parte, a receber,
chicote, terminou boas áreas e transporte)?

7 Existe um PFMEA disponíveis? Current Updated FMEA Verify team members , dates etc. of actual PFMEA. NR G
O NPR esta aceitável de acordo com manual AIAG
PFMEA Changed Log,
( Incluir as caracteristicas de segurança, cotas Verify that ALL high RPN or Critical line items have action plans which include Error
8 Meeting Minutes or Similar Proofing. NR G
críticas e de montagem)?
History

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

Existe um Plano de Controle de Processo (PCP) Updated Process Control

10 Verify current dates, etc. of PCP document. NR G
disponível? Plan
É o Plano de Controle de Processo (PCP) PCP, Changed Log,
aceitável (números correspondem PFMEA e Fluxo Meeting Minutes or Similar
11 de Processos, incluindo SCPK / PQCs / KCCS, History (Linking all Verify that PFMEA is updated as required and matches Process Control Plan. NR G
GP-12 mais recente, se aplicável e EWO / ODM Documents),
incluído)? Blue Print

CQI 9 Assessment Control

Does the control plan address print requirements
Plan
relative to (dimensional, material, rust preventative, Review CQI 9, CQI 11, CQI 12 Assessment. Review Sediment Controls. Review
12 Print Past PRR History. NR G
heat-treat, micro-finish, contamination/sediment,
Hazardous material spec.
etc.)?
sheets
Current Controls
Are all "Current Controls" listed on the PFMEA
13 Call Out on Are Current Controls listed on the PFMEA and PCP? NR G
detailed on the Control Plan?
Print/PCP/PFMEA
PFMEA Change Log, PCP
Are process controls in place in the PCP to
14 or RPN Reduction Appropriate Control and/or Redundant Inspection as appropriate. (1927-21) NR G
address the high PFMEA Risk Priority Numbers?
Worksheet
Is there a procedure/process for Continuous PFMEA Procedure of
15 Meeting minutes, worksheets, historic PFMEA's. NR G
Improvement for Risk Reduction? Continuous Improvement
Are sample sizes and check frequency for each Is there a history of failures in spite of existing controls?
16 Control Plan Does internal data (scrap, rework, FTQ, etc) suggest sample sizes and frequency are NR G
operation reasonable? adequate?

C. Quality System Implementation Plan AUDIT WORKSHEET

EVIDENCE / G
QUESTION:
DOCUMENTATION QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
In regard to Quality System Implementation Plan
REQUIRED R
Does the organisation´s suppliers provide evidence
Review PPAP data, including interim approvals (How do you indicate that component
17 of approved material for all components needed for Supplier PPAP Packages parts/assemblies on the manufacturing floor are approved prior to release). NR G
the assembled part?

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

When parts require traceability, do controls link

19 Traceability Documents Look for Lot Controls, Dimensional Traceability to N.I.S.T. NR G
component traceability to the final part?
Process Flow Diagram
Is the workplace properly configured and matches
20 Operator Instruction at Does the Material Flow / Work Station match the Process Flow Diagram? NR G
Process Flow Diagram?
Workstation
Gage and Tool Certification Verify tools and gages are to the latest engineering change level and Preventative
21 Are all tools and gauges properly identified? Maintenance as specified. NR G
Records Ensure all GM or other customer's tags are available on the tooling.

Gage and Tool Certification Check to make sure gauges are calibrated.
22 Are all gauges calibrated? Verify tools and gages are to the latest engineering change level. NR G
Records
Gage and Tool Certification Check to make sure tools and gauges are certified.
23 Are all tools and gauges certified? Verify tools and gages are to the latest engineering change level. NR G
Records
Is gauge Repeatability and Reproducibility less Check to make sure that gauge R&R is done on a yearly basis for all gauges. If gauge
24 Gage R&R Documentation R&R is between 10 and 30 percent (MSA & PPAP Manual). NR G
than 10%?

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

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

Are Standardized Work instructions detailed to run

Verify operations are being performed as indicated in work instructions (job time,
27 the job properly to takt time, including handling of Operator Instructions handling of non-conforming material etc). NR G
non-conforming parts?
28 Is there Standardized Work? Standardized Worksheets Verify that there are Standardized Worksheets. NR G
29 Is the Standardized Work being followed? Standardized Worksheets Layered Audits. NR G
Ask operator to demonstrate use of gage and explain implication of conforming and
30 Do the operators understand the instructions? Operator Instructions non-conforming parts. NR G
Ask operator to demonstrate use of gage and explain implication of conforming and
31 Have operators been properly trained? Operator Instructions non-conforming parts. NR G
Certification Training Record or Plan.

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

2 of 3 Revised 10.02.2010PGL
Process Control Plan Audit Worksheet Printed 12/09/2021

Are Master Parts or samples available to confirm Master Parts

33 Verify Master Parts NR G
inspection? Samples
Are Master Parts available for error proofing Challenge the E.P. system.
34 Set Up Records E.P Verification Plan, Layered Audits, Test Parts for Error Proofing. NR G
devices?
Is there a Preventive Maintenance (PM) plan on PM Log
35 Review PM Log to verify PM performed according to PM procedure. NR G
tools and is it followed? PFMEA
Is there standardized work (or control plan) for part Standardized Worksheets Review Control Plan. Review tool change log.
36 Verify standardized work instructions. Verify 1st piece setup log. NR G
quality verification following a tool change? Control Plan
Is there a Preventive Maintenance (PM) plan on PM Log Verify PM plan is being followed.
37 Review PM Log to verify PM performed according to PM procedure. NR G
equipment and is it followed? PFMEA
Does the plan include adequate spare tools and is
38 PM Plan and Spare Tools Verify Spare Tools required according to PM procedure. NR G
it followed?

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

Are the Upper & Lower Control Limits (ULC)

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

Are out of control points noted with the corrective Review actual SPC records.
42 SPC Records Every point out if control requires a note outlining corrective action. NR G
action taken? Answer no if any out of control point is not explained.

Are product audits showing acceptable results for Dock and Incoming Audit Documented failed parts per shipment.
43 Dock Audits/Tracking Trends/Discrepant Parts. NR G
Final Product? Sheets, Layered Audits
Does the manufacturing process demonstrate the Review current capability records.
44 Ppk Studies Does the process demonstrate a minimum of 1.67 Ppk / 1,33 Cpk for KPC's (per NR G
required capability or performance? PPAP Manual)?

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

Are instructions for handling Work In Process

(WIP) and final product followed throughout the WIP Instructions Check to make sure all operators and material handling personnel are aware of and
46 following WIP instructions. NR G
process to shipping area; including repair/rework Final Shipping Instructions
areas?
Shipping Label
Are all parts and components labeled properly and
Part Print Does the Shipping Label match the Part Print?
47 is shipping label error proofing to prevent part Verify Control Plan and In-Process Inspection sheets. NR G
Process Control Plan
misidentification?
Inspection Sheets
D. Quality System Implementation by Management AUDIT WORKSHEET
QUESTION: EVIDENCE / G
In regard to Quality System Implementation by DOCUMENTATION QUESTIONS TO ASK AND WHAT TO LOOK FOR Score Y OBSERVATIONS
Management REQUIRED R
Is there a process for documenting and tracking Plant Informational Board Are records for Downtime, Scrap, First time Quality, Premium Freight, Plant Problem
Reports used to manage the business?
48 Downtime, Scrap, First time Quality, Premium Current Charting of Look for existing charts, data logs, action plans, or similar that validate the existence of NR G
Freight, Plant Problem Reports? Information a tracking mechanism.

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

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

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

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

Look for a daily problem log or similar.

Look at entry and action dates for some evidence of that those responsible for
53 Does the support system respond to the operator? Problem Log resolution are quickly engaged. NR G
Look for evidence that operators are part of the problem resolution process.
Ask operators if they are aware of problems and how they are resolved.

Look for shift log/notes.

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

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

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

Are plans in place to implement all elements of Perform and complete QSB Is there evidence of a QSB Audit? Has the supplier had a QSB Workshop? What is the
57 plan to implement QSB principals and elements? Is there a Master Dot Action plan for NR G
Quality System Basics (QSB)? Audit and action plans all red and yellow QSB elements and PCPA elements?

Approved Approved, but need Documentation Rejected

In case of deviations use GM 1927-79 Supplier Action Plan Form

Supplier Representative Name with Signature Follow-Up Audit Date GM Representative Name with Signature

3 of 3 Revised 10.02.2010PGL