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SCMH 4.4.4 Sub Tier Supplier Control Assessment Process Overview 8DEC2021
SCMH 4.4.4 Sub Tier Supplier Control Assessment Process Overview 8DEC2021
Supplier Flow
Supplier down of the
“appropriate”
Requirements
The Customer is the highest or final Sub-tier Tier 2
manufacturing/processing organization in Control Feedback
Point Sub-Tier
the chain and is the end-user’s contact.
→The Supplier is the customer’s direct contact organization Sub-tier
Feedback
Tier x
– Establish a method
– Communicate
expectations to your
suppliers
– Verify that suppliers
are working to your
expectation
Based on:
Supplier Criticality,
Product complexity
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Sub-tier Assessment Process -8 Key Elements
The reasons for escapes were analyzed and the following are the
main topics where the problems were found;
A. Supplier’s Sub-tier Approval and Surveillance Process
B. Contract Review Process
C. Production Planning & First Article Inspection
D. On-going Product and Process Verification
E. Monitoring Sub-tier Performance
F. Change Management
G. Manufacturing Process Control
H. Corrective Action
These topics now make up the Sub-tier Assessment Process and are also
covered in Supplier Quality Management Basics.
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
Sub-tier Assessment Matrix
Assessment criteria defined for each of the 8 elements
Expectations are categorized as:
• Significantly below Threshold
• Below Threshold
• Threshold
• Above Threshold
• Significantly Above
Threshold
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
A. Supplier’s Sub-tier Approval and Surveillance
Process
Quality System Requirements extended to the Sub-tiers as part of
the approval process. Threshold
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
B. Contract Review Process
Product quality is dependent on understanding and execution of the contractual requirements
Clarity of terms and conditions, product definition, processing specs and quality requirements.
Contract Review Process
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
C. Production Planning & First Article Inspections
Supplier includes sub-tiers in the production planning process
Suppliers review sub-tier production plans and approve FAI
Process Plan and FAI Process
2 5
3 4
1 Create/Update Create/Update full
Validate Sub-tier Initial Production
Inputs/Triggers Production or partial FAI
Production Plan Run
Planning (as required)
7 6
FAI FAI
Monitoring Approval
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
D. On-going Product and Process Verification
Supplier verifies on-going product conformance through sub-tier
process control and in-process inspection data
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
E. Monitoring Sub-tier Performance
Supplier monitors sub-tier performance to drive improvement
The level of monitoring may vary depending on risk.
Performance Monitoring Process
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
F. Change Management
Supplier ensures sub-tiers have a defined process for managing
changes effectively
Includes all product, process and system changes
Requires communication to all affected parties
Ensures customer notification and approval
2
1 3 4
Provide notification
Proposed Product or Implement the Validation and
and/or obtain
Process Change Change Documenation
approval
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
G. Manufacturing Process Control (MPC)
Supplier ensures product and process variation is minimized through flow-down of
MPC requirements to sub-tiers
Development and use of control plans
Application of statistical methods to manage/reduce process variation
Process for ensuring sub-tier MPC
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H. Corrective Action (C/A)
Supplier ensures sub-tiers have an effective C/A process to eliminate and prevent
reoccurrence of nonconformities
Supplier/Sub-tier Corrective Action Process
1
Within suppliers’
3 4
process, determination 2
Submit RCCA to Validation of
is made that the sub- Sub-tier RCCA Process
Originator Effectiveness
tier supplier is
responsible
5
Yes
Feedback to Sub-tier
Effective?
Performance
Monitoring
No
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
Sub-tier Supplier Control Assessment
SCMH 4.4.3 Sub-tier Supplier Control Assessment Matrix and Checklist
Templates and guidance for performing a Supplier Management assessment
Assessment Matrix Templates Assessment Checklist Templates
B
e Above Threshold Significantly Abov e Thre shold
Key Element l Significantly Below Thre shold Below Threshold Threshold The Level 3 plus the following added for The Level 3 and 4 plus the following added
o Level 4 >>> for Level 5 >>>
w
Approval process for suppliers is adhoc. A sub-tier approval process is in place but quality The supplier's sub-tier approval process includes Sub-tiers producing aerospace products or Evidence the supplier assessment process is
Only Customer directed/approved suppliers are system requirements are not clearly defined or clearly defined quality requirements that are processes are certified to aerospace industry continually reviewed and improved.
on the approved supplier list. No method of roll- documented. Evidence of supplier verification is effective in assessing their sub-tier suppliers' standards (i.e., Nadcap or OEM / 9100, 9120,
down of requirements to sub-tiers. inadequate and/or does not include: quality management system. 9110 Quality Management System)
* a verification of the flow-down or At a minimum the process typically includes:
implementation of customer specific quality * A flowdown document that incorporates
system requirements at sub-tiers, customer unique quality system requirements.
A. Supplier’s Sub-tier * a minimum set of requirements for non-certified * Specific requirements for sub-tiers with non-
Approval and Surveillance quality systems, or certified quality systems.
* re-evaluation of sub-tier's Quality systems. * Requirements for customer directed/approved
Process
sub-tiers .
On-site audits are performed at sub-tier suppliers
as determined by risk.
Results, approvals, denials and required actions
from sub-tier evaluations/audits are retained.
Verification of product and/or processes are Results of inspections and supplier process The receiving or source inspection processes The supplier has a designated quality Supplier has an automated process in place to
inconsistent. Verification documents (e.g. verifications are documented. Inspection account for key and special characteristics. A representative (DQR) or delegated supplier analyze product / process verification data.
The supplier has no process for sub-tiers to Process changes or changes associated with There is a change management process in place There is a cross-functional team consisting of The effectiveness of the change management
provide notification of changes in engineering or frozen processes are not managed through any that defines the level and types of changes with Engineering, Manufacturing Engineering, Quality system is evaluated during Management Reviews
manufacturing processes. documented change management process. associated requirements. This process includes and Production in place to review all flowed-down and actions taken as required.
However, engineering changes are formally appropriate notifications and approvals of sub- or rolled-up proposed changes. The team
managed. Sub-tiers provide notice of change tiers' changes. There is a change tracking and ensures engineering, quality and manufacturing
only when impacting form, fit or function. monitoring system in place to ensure that documents are updated as required.
changes are timely and effectively implemented.
F. Change Management Partial (i.e. delta) first article inspections are
performed as required per AS9102 and/or
customer requirements.
G. Manufacturing Process
Control
There is no use of, or flowdown requirement for,
sub-tiers to utilize statistical process control tools
and techniques.
Flowdown requirements / utilization of statistical
process control tool and techniques are not
consistently applied. Control plans are
inadequate or incomplete (i.e. do not include
inspection requirements, specifications /
tolerances and control methods).
Utilization of Statistical Process Control tools and
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)
Sub-tier Supplier Control Assessment
SCMH 4.4.3 Sub-tier Supplier Control Assessment Matrix and Checklist
Using the tools to do an assessment
Establish expectations for sub-tiers
Assess sub-tier’s Supplier Management Processes
Document the assessment results
Assessment Checklist
(Example) Sub-Tier Assessment Matrix
Pluses or minuses from the threshold Level Three
B
e Above Threshold Significantly Abov e Thre shold
Key Element l Significantly Below Thre shold Below Threshold Threshold The Level 3 plus the following added for The Level 3 and 4 plus the following added
o Level 4 >>> for Level 5 >>>
w
Approval process for suppliers is adhoc. A sub-tier approval process is in place but quality The supplier's sub-tier approval process includes Sub-tiers producing aerospace products or Evidence the supplier assessment process is
Only Customer directed/approved suppliers are system requirements are not clearly defined or clearly defined quality requirements that are processes are certified to aerospace industry continually reviewed and improved.
on the approved supplier list. No method of roll- documented. Evidence of supplier verification is effective in assessing their sub-tier suppliers' standards (i.e., Nadcap or OEM / 9100, 9120,
down of requirements to sub-tiers. inadequate and/or does not include: quality management system. 9110 Quality Management System)
* a verification of the flow-down or At a minimum the process typically includes:
implementation of customer specific quality * A flowdown document that incorporates
system requirements at sub-tiers, customer unique quality system requirements.
A. Supplier’s Sub-tier * a minimum set of requirements for non-certified * Specific requirements for sub-tiers with non-
Approval and Surveillance quality systems, or certified quality systems.
* re-evaluation of sub-tier's Quality systems. * Requirements for customer directed/approved
Process
sub-tiers .
On-site audits are performed at sub-tier suppliers
as determined by risk.
Results, approvals, denials and required actions
from sub-tier evaluations/audits are retained.
Verification of product and/or processes are Results of inspections and supplier process The receiving or source inspection processes The supplier has a designated quality Supplier has an automated process in place to
inconsistent. Verification documents (e.g. verifications are documented. Inspection account for key and special characteristics. A representative (DQR) or delegated supplier analyze product / process verification data.
The supplier has no process for sub-tiers to Process changes or changes associated with There is a change management process in place There is a cross-functional team consisting of The effectiveness of the change management
provide notification of changes in engineering or frozen processes are not managed through any that defines the level and types of changes with Engineering, Manufacturing Engineering, Quality system is evaluated during Management Reviews
manufacturing processes. documented change management process. associated requirements. This process includes and Production in place to review all flowed-down and actions taken as required.
However, engineering changes are formally appropriate notifications and approvals of sub- or rolled-up proposed changes. The team
managed. Sub-tiers provide notice of change tiers' changes. There is a change tracking and ensures engineering, quality and manufacturing
only when impacting form, fit or function. monitoring system in place to ensure that documents are updated as required.
changes are timely and effectively implemented.
F. Change Management Partial (i.e. delta) first article inspections are
performed as required per AS9102 and/or
customer requirements.
There is no use of, or flowdown requirement for, Flowdown requirements / utilization of statistical Utilization of Statistical Process Control tools and Sub-tier suppliers self-identify key process / Sub-tier suppliers implement automated Statistical
sub-tiers to utilize statistical process control tools process control tool and techniques are not techniques (e.g. control charts, capability studies, product characteristics and utilize Statistical Process Control tools and techniques and have
and techniques. consistently applied. Control plans are etc.) are consistently flowed down to and applied Process Control tools and techniques. achieved the benefits of effective process control
inadequate or incomplete (i.e. do not include by sub-tier suppliers. Planning for the control of (e.g. reduced variation reflected through high CPK,
inspection requirements, specifications / product includes consideration for key, critical predictive maintenance programs, lean process
tolerances and control methods). and "Pass Through" / Hidden Characteristics. design, Six Sigma, etc.)
Control plans are consistently utilized in the sub
G. Manufacturing Process tier supplier base. Production records should
Subtier suppliers are not required to provide Corrective action responses are required from The supplier has a corrective action process that There is evidence that sub tier non- Nonconformance data collection is automated,
corrective action for nonconformance issues. sub-tier suppliers but are not assessed to ensure extends to their sub-tiers. The process ensures conformances/escapes have been reduced. Sub collected and analyzed at a pre-determined /
effectiveness and/or adequacy to correct and implementation and effectiveness of corrective tiers are using investigative tools such as, 5- specified frequency to drive continuous
prevent a recurrence. Supplier does not validate actions to eliminate the cause(s) of Whys, Cause and Effect, Failure Modes and improvement.
corrective actions. nonconformities. Corrective actions directly Effects Analysis, fault tree, etc. to determine Root
address the root cause and recurrences are cause(s). A strong use of error proofing is
infrequent. Supplier communicates corrective evident. Establishment of a Corrective Action
H. Corrective Action (RCCA) action(s) to customer as required. Review Board which requires sub-tier
participation for escapes and/or repeat
nonconformities to drive correction of
nonconformities caused at their level.
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© 2021 IAQG The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)