Global Supplier Quality System Assessment

SELF ASSESSMENT Date: Supplier Information Supplier Name: Division/Plant: Supplier Address: Public/Private (PB/PT) Ownership: Audit Number: Audit Score: Score Percentage: Report Date: ISO/TS16949:2002 Reg. Date: Diversity Status: ISO/9001:2000 Reg. Date: If not ISO/TS16949:2002 (or ISO-9001:2000), Registeration Planned Date: Buyer: Commodity: QS-9000 Reg. Date: ISO/14001 Reg. Date: Name Phone Number E-Mail Address 0 / 0.00% 135 ON-SITE ASSESSMENT

Supplier Contacts
President / GM Quality Engineering Manufacturing Acct. Manager / Sales

Documents to Submit with Self-Assessment: (If required by Yazaki SQD) 1) ISO Certificate (s) 2) Facility Organizational Chart 3) Evidence Manual consisting of the following: I. Sample Process Flow Diagram, Sample Process Control Plan, Sample Approved PSW Cover Sheet by a Customer. II. Sample Process Work Instructions, Sample Training Record/Training Plan, Sample Preventative Maintenance Schedule III. Documents showing Internal/External PPMs, Documents Showing Delivery Tracking to Customers, and a copy of any previous Customer Assessment findings. For Yazaki Use Only a) Supplier Self-Assessment Review only Date Planned: b) Documentation/Data Review required only Date Planned: c) On-Site Assessment is required Date Planned: Corrective Action Follow-up (if necessary) Corrective Action Plan Due Date (30 calendar days from report date): Corrective Action Plan Received Date: O.K. to Source YES Final Assessment Results (After Supplier completes actions, if any) Accepted / Rejected: Recorded By: Date: Date Assessment Record broadcasted to the Commodity Team: Date Assessment Record placed (electronically) in the "Shared Drive": Date Full Sourcing granted: NO Full Sourcing Limited Sourcing Approved By: Approved By: Approved by:

Corrective Action Closed Date:

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

MANUFACTURING SITE INFORMATION
A) Other Manufacturing Locations Worldwide?

B) Current Supplier to Yazaki Worldwide (Y.C., Y.N.A., Y.E.L.)? Program(s) & Location(s).

C) Major Customers + Percentage of Business?

D) Product Mix (% of Sales)

E) Total Facility Area (sq. ft.) (Is there additional area for expansion)?

F) Number of Personnel?

G) Years in Business.

H) Union Affiliation (if so Contract Expiration Date).

I) What percentage of the business is automotive?

J) Quality/Customer Recognition Awards?

K) What is your expected sales growth per your 5yr Plan?

L) YTD Internal/External PPM's?

M) First Run Capability (FRC) or Scrap Ratio? How are In-Process Rejects are Handled?

N) What are the suppliers' Quality Continuous Improvement activities and who directs them?

O) Percentage of On-Time Delivery to External Customers?

P) What are the suppliers' Cost Reduction activities?

Q) What is the supplier product cost content in percent for direct labor, indirect labor, material overhead & administration and profit?

R) What are your performance measures? (growth, profit margin, volume, quality, equipment uptime)

S) Size of Engineering/Quality Department: Number of Engineers: Number of Designers: Number of Test/Analysis Technician/General Q.A:

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

MANUFACTURING SITE INFORMATION Cont'd
T) Does the supplier have prototyping capabilities for? Fabrications/Machining Rapid Prototyping Inspection (CMM, Electron Microscope, Spectrograph etc.). Electrical Test U) Can the necessary data/information be communicated in a customer specific language and format (CAD, Catia, EDI, etc.)?

V) Does the supplier have a technical library?

W) In-House Tool Shop (Tool Design/Tool Manufacture/Tool Repair)?

X) List the Top-3 Suppliers

Y) Production Schedule (1st Shift%, 2nd Shift%, 3rd Shift%, Weekends & Holidays

Z) Production Capacity Being Utilized.

AA) General Vacation Shut-Down(s) (if so, Schedules)

Please provide a list of the major equipments (presses, etc), include tonnage, and age. Attach a separate sheet if necessary.

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

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Global Supplier Quality System Assessment

Overall Summary/Conclusion.

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

SQD recommendations for Corrective Action: (list against question numbers)

Yazaki Audit Team:

Name Title (Include Region) Signature

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

Assessment Point System (Self Assessment / On-Site Assessment)

3 pt. = 2 pt. = Fully complies with element/procedure Minor N/C. Complies with element/procedure with minor exceptions Minor exceptions are where planning and/or execution of the element/procedure: needs improvement does not lead to the failure of the quality system does not reduce the ability to assure controlled processes does not result in the probable shipment of non-conforming product 1 pt. = Major N/C. Does not comply with element/procedure due to major exceptions. Major exceptions are where planning and/or execution of the element/procedure: requires substantial improvement could lead to probable shipment of non-conforming product No established element/procedure/non existent. Not Applicable Non Conformance / Non Compliance Safety and Regulatory

0 pt. = N/A = N/C = S/R =

On-Site Assessment Acceptance Criteria

To receive Acceptance, the supplier must score 85% or greater with no major non-compliance. To receive Conditional Acceptance, the Supplier must score above 75% with fewer than 5 major non-compliances. The SQE may request Corrective Actions or additional supporting documents. The Supplier shall submit their Corrective Action Plan within 30 calendar days from the Supplier Assessment report date to the SQE for review. If the Corrective Action Plan is not submitted within this period, the Supplier is notified and given an additional 15 calendar days to respond. There shall be SQE approved Corrective Action Plan within this 45-day maximum period, or the status will be changed to rejected. Supplier Rejection occurs when the Supplier scores below 75%; or, has 5 or more major noncompliances; or receives a score of "0" for any question; (see note) or, by the judgment of the SQE and concurred by the SQD Management. As rejected, the SQE may request a Corrective Action Plan from the Supplier. Note: For French OEMs if part(s) to be supplied are S/R designated , ANY Non Conformance must be scored at zero, which generates Reject status of the assessment.

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Global Supplier Quality System Assessment

Quality Management System 1) Evidence: Are the processes needed for the deployment of the Q.M.S. and their application across the organization clearly identified and provided by the Top Management including the sequence and inter-action of these processes? Evidence: Are suitable methods/criteria laid down to ensure effective control and operation of the processes, and is there adequate resources and data available to support effective operation, analysis and measurement? Evidence: 4) Evidence: Can it be shown that actions are implemented to achieve planned results, and continually improve the processes? If quality objectives are not achieved, are factors analyzed? Are implementation items reviewed? Revised if necessary? Evidence: 6) Evidence: Management Responsibility Is there an effective document control system? Are retention periods in accordance with customer/regulatory requirements? How are the obsolete documents managed? Are there any outsourced processes which affect product conformity, and if so, are they identified within the Q.M.S.? Is control assured, and responsibility taken by the organization? Is there an established, documented Q.M.S. which is maintained, continually reviewed and improved upon for its effectiveness?

2)

3)

5)

7) Evidence: 8) Evidence:

Is there an internal system established for self-audits? Are the results of these audits reviewed by Top Management and addressed with corrective actions when necessary? Are internal auditors competent/qualified to audit the system requirements and is there evidence available which assures this?

Does Top Management ensure that responsibilities and authority are defined and communicated within the organization?

9) Evidence: 10) Evidence: 11) Evidence:

Is the Quality function a separate and distinct part of the supplier organization? Are there clearly defined and documented procedures for positions that directly affect the quality of the product? Is there a Quality System Flow Chart?

Is there an effective system to track and report on time delivery performance both to internal and external customers?

Is there an effective system for Management to review quality concerns and corrective actions, both internal & external? Do these include utilization of statistical methods (e.g SPC/Pareto charts?)

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

Resource Management Is there a documented training and development program for employees that include a needs assessment, identification of training needs and requires training records to be maintained (Design, Engineering, Manufacturing, Quality & Laboratory)? Does this include contract/agency personnel? Evidence: 13) Evidence: 14) Evidence: 15) Evidence: Are actions to maintain and improve 5S (Seiri or sorting out, Seiton or straighten up, Seiketsu or neatness, Seiso or cleaning up, Shitsuke or discipline) thoroughly implemented? (e.g. regular audits using check sheets) Evidence: 17) Evidence: Product Realisation Have the processes needed for Product Realisation been planned and developed, and are they consistent with the requirements of other processes of the Q.M.S. (APQP)? Can it be demonstrated that these activities involve cross-functional teams (multi-disciplinary approach)? Is there an effective system to implement all customer engineering standards/specifications; are adequate records maintained and are they easily retrievable? Evidence: 19) Evidence: 20) Evidence: 21) Evidence: 22) Evidence: Are Control Plans, Failure Mode & Effects Analysis (FMEA), and Process Flow Diagrams used for Product Realisation (APQP)? Do they follow AIAG format? Are PPAPs submitted in accordance with AIAG/Customer guidelines,and does current production represent the latest submission? Evidence: Are Error Proofing techniques utilized & implemented throughout the organization? Are they implemented for past non-conformities? Are they checked for functionality? Is there a suitable Production Control system? Is there a daily plan covering all product/all shifts,and is output against plan monitored? Is customer confidentiality assured for customer contracted products/projects? Is there a formal design review process and if necessary are Customers included? Is visual control using indicators/examples implemented? Can conditions of normal and abnormal be recognized at a glance? Is there consideration for safety in the work environment,? Are risks to the safety of personnel and product adequately addressed in order to be kept to a minimum? Is the organization registered to ISO-14001? If not, how does it meet environmental regulations/customer requirements (e.g. lead free, no heavy metal, etc.)? Does the supplier have contingency plans to reasonably protect the customer's supply of product in the event of an emergency?

12)

16)

18)

23)

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

24) Evidence: 25) Evidence:

Does the supplier have an effective system to ensure that no product is shipped prior to PPAP approval and the customer authorization is received prior to shipping non-conforming materials?

Is there an effective system regarding First Piece/Last Piece inspection? How is it utilized?

26) Evidence: 27) Evidence:

Are Operation Standards (Visual Aids, Checklists, Work Instructions etc.) and Inspection Standards established and posted in prominent locations? Are they approved by the appropriate management? If applicable, are they approved by the customer?

Is there an effective system for lot traceability and is lot traceability maintained? Is date stamping utilized? Is color/coding system utilized?

28)

Are raw materials/sub-components and finished products handled to prevent damage and deterioration, and stored based on FIFO? Is this verified through periodic warehouse audits? Are dock audits (an audit at despatch prior to shipment, which checks for correct type of packaging, pallet size, labels, quantities, shipment paperwork, correct customer ref/address, and a visual inspection for correct parts, no obvious damage etc) utilized? Evidence:

29) Evidence: 30) Evidence:

Is all machinery/equipment checked/serviceable prior to startup,and are machine setting parameters defined,available and followed?

Is there an effective system to control design changes and verify/validate that these changes meet customer requirements? Is it prior to commitment to supply to the customer?

31) Evidence:

Is there an effective system to implement change like process change, 4M change, etc? Is quality of the change confirmed? Are there formal documents to track changes? How is it communicated throughout the organization? Is there a formal customer notification procedure, and how is it utilized?

32) Evidence: 33) Evidence:

Does the supplier have a Preventative Maintenance program that includes scheduled frequency and maintenance conducted at prescribed intervals? Has a system for Predictive Maintenance been established for process equipment and tooling?Is there an adequate inventory for perishable tooling? Are essential spares kept/available for key process equipment and tooling?

Are customer owned tools/equipment permanently marked to visibly show ownership? Are they maintained/stored to prevent damage?

Sub-supplier Development 34) Evidence: Is there an adequate program in place for sub-supplier development with the goal of conformance to ISO/TS16949:2002,(or as a minimum ISO-9001:2000)? Can the supplier document the use of supplier development activities? Evidence: Can it be demonstrated that sub-suppliers are evaluated and selected based on their ability to meet quality system requirements? Is an approved sub-supplier list being utilized?

35)

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

Global Supplier Quality System Assessment Supplier Quality Development

Global Supplier Quality System Assessment

Measurement, Analysis and Improvement Is there an effective system in place for the control and monitoring of inspection, measuring and testing equipment, (IMTE)? Is the equipment identified with a unique number? Is the scope of the laboratory/calibration system clearly defined and is it suitable with regard to which equipment must be controlled/calibrated, and is this appropriate to the production and inspection needs? Is there a Calibration Master List? Does this include employee owned equipment?" Evidence: Is IMTE stored and maintained in a manner to prevent damage, deterioration and loss of calibration? Is there a procedure that requires customer notification in the event that products are accepted with IMTE which is out of calibration? Evidence: 38) Evidence: Are external laboratories used for inspection, test or calibration services? If so, is there a defined scope which includes the capability to provide such services? Is evidence available that such laboratories are: accepted by the customer or accredited to ISO/IEC 17025, or the National equivalent (A2LA, NVLP)? Does the supplier have a Laboratory Scope for their internal lab? Evidence: Are basic statistical concepts (variation, control, stability, process capability and over adjustment) understood and used throughout the organization? Do records include the interpretation of control charts and documented actions taken to out of control conditions? Are appropriate containment actions taken for non- capable processes? How long are the records maintained? Evidence: 41) Evidence: Is there a clear process to take action to remedy abnormal conditions? Are there clear steps to document occurrence, corrective action, and quality checks? Is there a system to follow up? Are these indicated with flow charts for each operators as well as supervisory personnel? Is there a clear and documented process for re-start of the production, after corrective actions are applied? Evidence: Are there formal and documented procedures to review, implement and validate corrective actions? Are detailed records maintained with respect to non-conformities, including concessions obtained? Are all corrective actions kept in a log and is timing for closure tracked? Is customer prescribed format used (8D/5-Why)? Evidence: Is there a system to ensure that actions for the past non-conformities have been taken continually? Is the system defined and respected? Evidence: 45) Evidence: 46) Evidence: Are corrective actions and controls also applied to similar products/processes to eliminate the cause of nonconformity? Are nonconforming products that are found in inspection and/or manufacturing processes analyzed? Are actions taken to prevent recurrence? Are concrete definitions of abnormal conditions in process clearly defined and documented? Is there documented and formal procedure with respect to Gage Repeatability and Reproducibility (Gage R&R studies)? Are these records up to date?

36)

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44)

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Global Supplier Quality System Assessment

47) Evidence:

Is there an effective system for disposition of non-conforming products? Is there a designated quarantine area (Hold Cage)?

I:/Core Purchasing/TS16949/SQD/Form YAOP-SQ-S11-023F Rev. 1.5

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Global Supplier Quality System Assessment Supplier Quality Development