Trip Report

Visit Date Supplier Name

Author Meeting Location
Located at Commodity

Visit Purpose
Quality Level Up Site Quality Assessment
Emergency Support Technical review
Mass
Production PCR Evaluation Hydraulic Cleanliness
Supplier Development Part Readiness
Supplier Process Audit HVPT
Attendees Circulation
Name Company Position Name Company Position

Background for visit / agenda:

General Comments:

Conclusion:

Future Requests:

DCN 2724 Effective date: May 2018

 Follow-up list
Rank A = Any problem that may make the product incapable of being used in Hyster-Yale Group's manufacturing Status 1: Under Investigation Audit Date December 30, 1899
process and/or will interrupt production operations. Status 2: Temporary Corrective Action in place
Rank B = Any problem that may require rework by the supplier, or Hyster-Yale Group, of the supplied product or to Supplier Name 0
the finished product before being used in the manufacturing process or before being shipped to the customer. Status 3: Permanent Corrective Action Decided
Rank C = Any problem that most likely will not impact final customer satisfaction and can be improved for future Status 4: Permanent Corrective Action in Place & Effective Meeting Location 0
shipments. HYG Attendees 0
HYG Project

Status Rank
Item # Detailed Problems Identified Corrective Action Plan Owner / Responsibility Due date 1,2,3,4 ABC
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

DCN 2724 Effective date: May 2018

 Quality System Assessment
Each requirement is to be scored based on how well it is "defined" in a procedure and how well it is "executed". Supplier Name 0
Questions identified with black background are weighted higher and considered Key requirements (2+ Points). Location 0
Definition accounts for 40% of the overall score and Execution accounts for 60% of the overall score. Supplier Auditor
Note: Low scores are defined as scores less than 3. HYG Auditor 0
> = 80% & no scores < 3 on key requirements Approved to Source. Low scores on high value questions have agreed improvement plan

70%-79% & no zero's on Key requirements = Restricted from additional sourcing until effective improvement plan is implemented Assessment Score
< 70% is recommended Not to source without an agreed improvement plan between Hyster-Yale Group Procurement / SQE and the
Supplier.
Defined Executed
Advanced Quality Planning 0% 0% Comment
1 Project schedule should cover 1. Sourcing 2. Program Definition 3.Product Design 4. Process Design 5. DV &
PV 6. Revision / CAPA.

2 A drawing review process should exist to confirm dimensional, material, functional and reliability are clearly
defined for the product.

3 Production readiness of supplied parts should be tracked as a part of overall readiness for completed
assembly production.
4 A process should be in place to identify and communicate Critical to Quality characteristics for control by
the supplier and/or receiving.

5 Control plans, DFMEA's, FMEA's should be developed to identify process / product characteristics to be
controlled.

6 A Part Approval or PPAP equivalent process should be in place to ensure compliance, of supplied parts, to
documented requirements.

7 Completed product validation should include applicable reliability, durability or regulatory requirements
i.e.... UL, EU, etc...

8 A system should be in place to identify, register and follow-up on open issues through the entire
development process.

9 Status reports should be available to show status of tooling, equipment, "runoff" approvals and Mfg.
Instruction readiness.
10 Pre-HVPT, HVPT trails and Production runs must report both acceptable and non-conforming product to
prove capacity and quality requirements can be met.
11 A process should be in place to ensure packaging requirements are understood so that quality of the
product is maintained to point of use.
Incoming Supplied Parts 0% 0%
12 Incoming product should have records proving compliance provided by the supplier or a receiving
inspection system.
13 Suspect parts must be clearly identified and segregated from approved / accepted parts.
14 Supplier should have a system to identify parts requiring inspection or containment prior to be used in
production.

15 Company should have a corrective action system to assure corrective action is effective and should prevent
recurrence.

16 A system in place to manage changes with suppliers and customers. (Process Change or Engineering
Change system).

17 Supplier quality performance should be measured against a target which supports the concept of
continuous improvement.
18 A supplier improvement program should include onsite reviews, improvement targets, incentives and
repercussions based on performance.
Training 0% 0%
19 The training program should cover all production processes.
20 The training program should ensure operators can demonstrate process competency before released to
production on their own.
21 The program should ensure training if any changes or modifications occur in the production process
through a ECN, PCR or Corrective Action.

22 Training / skill status of all operators should be easily accessible for purpose of managing operator
placement in the production process.

23 Expiration dates of certification, for special skills (welding, machining, etc..), are tracked for compliance.
Manufacturing Process 0% 0%
24 List the applicable environmental regulation(s) or requirement(s).
24a Records should prove any applicable local environmental rules & regulations are observed and in
compliance?

25 Applicable fool proof/poka yoke's, fixtures and functional checks should be in place to ensure control of
Key/CTQ characteristics.
26 Machine start up instructions should be in use and approved by management.
27 Upper and lower operating ranges should be specified for variable equipment controls such as for welding,
gas, voltage....

28 Equipment with "key" variable outputs (torque, vibration/leak/hypot test…) should have alarms to indicate
out of range conditions.

29 All production and temporary work instructions should be clear, easy to follow, easily accessible, cover
critical to quality and safety points.

30 5S rules should be applied throughout the production process. SORT - STRAIGHTEN - SHINE - STANDARDIZE
- SUSTAIN.

31 Material is presented and organized in accordance with lean manufacturing rules. Minimize travel and
support sequence of events.

32 A process exists and is in use for employees to provide feedback and to make improvements to their work
areas.

33 Lot traceability in place for key parts and processes for identification, if required, at the customer in the
event of a non-conformance.

34 Key or Critical to Quality characteristics should be identified & capable to 1.33 CPk or be checked 100% prior
to shipping.

35 Inspection equipment should be proven capable to inspect the given feature or function of the product
(10x more accurate than the drawing tolerance)

36 Company should have a calibration/verification program for inspection and process tools to assure their
accuracy. (Gages, torque, etc..)

37 First piece inspection in place to authorize shift process setup and process audits in place to ensure
compliance to requirements.

DCN 2724 Effective date: May 2018

 38 Methods should be in place to assure final product meets all intended functions and dimensions required
for fit or function.

39 Procedures should ensure repair, rework and inspection of suspect parts so only parts that meet
requirements are shipped.

40 Supplier must clearly segregate and identify completed product approved for shipment from suspect or
incomplete product.

41 Monitors equipment/tool downtime and demonstrates a preventive maintenance & improvement plan for
equipment, tooling and fixtures

42 Methods are in place to trigger replenishment of parts and material to support production and on time
delivery.

43 A system should be in place to alert production of customer non-conformances and necessary actions to
ensure control.

44 A method should be in place to register non-conformances for corrective action with the manufacturing
process.

45 Non-conformance root cause analysis should address Why Made and Why Shipped to the "5th Why".
(Systemic R/C & CAPA & consider 4 M's)
46 Part data retention is in line with part or system complexity (bracket vs. valve or display).
47 Abnormal conditions or deviations to processes should be tracked to ensure permanent corrective action in
a timely manner.
Customer (Internal and External) Satisfaction 0% 0%
48 Targets should be in alignment with the customers expectations per latest ASE. Quality (PPM), Delivery (On
time), Warranty(%).

49 An organization structure and process should be in place to register and respond to non-conformance
reports from the customer for Warranty and Quality.

50 A process should be in place to manage the receipt and response to warranty claims even if no fault is
found per the MSA.
Overall Score 0% 0%

DCN 2724 Effective date: May 2018

 Guidelines to answering questions
1 0 - No Plan 1 - 1 or 2 activities are performed 3 - 3 to 5 activities are performed 9 - All activates are performed
2 0 - No drawing Review 1 - Drawing review but no Check list 3 - Done internally with checklist 9 - Confirmed with customer
3 0 - No tracking 1 - Only order and receipt of parts is tracked 3 - Compliance to drawing is tracked 9 - Full PPAP requirements are confirmed & tracked
4 0 - No process 1 - CTQs are known but not documented 3 - CTQs documented 9 - CTQs are identified via review with customer
5 0 - No plans 1 - Have only Control Plan or router 3 - DFMEA, PFMEA, & CP are performed 9 - All documents are updated periodically, treated as live documents
6 0 - No process 1 - ISIR only on key parts 3 - Full PPAP but only on key parts 9 - Full PPAP on all parts
7 0 - No process 1 - By customer request only 3 - Tests are defined but criteria for pass / fail is not 9 - Test definition and pass / fail criteria are clear
8 0 - No system exits 1 - Basic Spreadsheet 3 - Organized process such as 7-D, 8-D, DMAIC exists 9 - Centralized of list of records is maintained for team follow-up
9 0 - No system in place 1 - Simple Tooling List 3 - List with Timeline 9 - Project Development Validation Requirements with evidence of management review
10 0 - Not measured 1 - Quality is confirmed for CTQ's only 3 - Quality is confirmed 100% to drawing 9 - Quality & Capacity are measured
11 0 - No Process 1 - Per customer request only 3 - Design is included in product development plan 9 - Design and validation is part of product development plan

12 0 - No R/I system in place 1 - Informal / Inconsistent 3 - Inspected per a plan 9 - Inspected per plan and documented with regular reviews of performance
13 0 - No system in place 1 - Segregated but not identified 3 - Identified, but with no designated location 9 - Parts are segregated/identified, with designated location
14 0 - No system exits 1 - Thru email/verbal 3 - Basic Spreadsheet 9 - Parts are identified as part of inventory receipt / management system
15 0 - No system exits 1 - Basic Spreadsheet 3 - Organized process such as 7-D, 8-D, DMAIC exists 9 - Centralized of list of records is maintained for team follow-up
16 0 - No process 1 - Informal / Inconsistent 3 - Communicate to customer only 9 - Process in place to facilitate communication from suppliers and to customers
17 0 - No tracking system 1 - Tracked 3 - Improvement actions are documented 9 - Continuous improvement toward or in alignment with the target is documented
18 0 - No program 1 - Informal / Inconsistent 3 - Includes onsite audits but accountable team not in place 9 - Formalized with accountable team in place

19 0 - No program 1 - Informal / Inconsistent 3 - Formal program exists, but does not cover all the processes 9 - Formal training exists, and covers all processes
20 0 - No Evaluation 1 - Evaluation is informal & inconsistent 3 - Formal evaluation but not specific for each process 9 - Formal evaluation exists, and specific to the process
21 0 - No system 1 - Informal & inconsistent 3 - Process exists but no closed loop to monitor completion 9 - Process in place with closed loop to monitor completion
22 0 - No tracking 1 - Records available but not easily accessible 3 - Records easily accessible, but not up to date/incomplete 9 - Records are up to date and easily accessible
23 0 - No tracking 1 - Records available but not easily accessible 3 - Records easily accessible, but not up to date/incomplete 9 - Records are up to date and easily accessible

24
24a 0 - No tracking 1 - Records available but not easily accessible 3 - Records easily accessible, but not up to date/incomplete 9 - Records are up to date and easily accessible
25 0 - No poka yoke's in place 1 - Informal & inconsistent 3 - Poka yoke in place, but not validated regularly 9 - Poka yoke in place & validated regularly
26 0 -No instructions 1-Informal & inconsistent 3-Instructions available but not approved by Mgmt/Rev Controlled 9-Instructions available & approved by Mgmt/Rev Controlled
27 0 - No operation ranges defined 1- Informal inconsistent 3- Marked at the equipment/gage 9 - Defined in a work instruction or machine setup and at equipment/gage
28 0 - No alarms 1 - visual only (passive) 3 - visual and audible (passive) 9 - Alarm is "active". Process cannot proceed w/o manual override or intervention.
29 0 - No Work Instructions 1 - Written only 3 - Also includes Pictorial & SOE 9- Also includes key / CTQ & Safety information
30 0 - Disorganized, not clean, no 5-S in place 1 - semi organized, semi clean, no 5S system 3 - 5-S system, mostly organized & clean 9 - 5-S fully implemented & followed
31 0 - No lean rules in place 1 - Evidence of some lean rules in place 3 - Formal program followed in most areas 9 - Formal program implemented plant wide
32 0 - No process 1 - In place, but not formalized 3 - In place, formalized, but not followed entirely 9 - In place, formalized, and followed thoroughly
33 0 - No lot traceability 1 - Production traceable to production week or month 3 - Production traceable to a given day or shift 9 - Production traceable to a shift & operator
34 0 - No CTQ's tracked 1 - Some CTQ's, but not capable or 100% inspected 3 - CTQ system, but not all capable or 100% inspected 9- CTQ system, and all are capable or 100% inspected
35 0 - No inspection equip/not capable 1 - Some equip available but not fully capable 3 - Most equipment available & fully capable 9 - All equip available & fully capable
36 0 - No process 1 - Process in place, but not formal 3 - Formalized, but not followed consistently 9 - Formalized, and evidence indicates 100% conformance
37 0 - No process in place 1 -Informal audit, no checklist 3 - Basic checklist utilized 9 - Process checked to be in compliance with work instructions/process setup instructions
38 0 - No inspections performed 1 - Visual only 3 Inspections include dimensional checks 9 Inspections also include functional checks which verify fit / function for the truck
39 0 - No procedure in place 1 - Visual only 3 Inspections include dimensional checks 9 Inspections also include functional checks which verify fit / function for the truck
40 0 - No system in place 1 - Segregated but not identified 3 - Identified, but with no designated location 9 - Parts are segregated/identified, with designated location
41 0 - Not monitored 1 - Tracked informally / decentralized 3 - Tracked and prioritized with P.M. plan 9 - PM plan in place with evidence of improvement actions taken
42 0 - Product is "pushed", not pulled 1 - Manual planning in place based on customer orders 3 - Manual planning covers 6 week L/T 9 - MRP + Kanban system in place
43 0 - No system 1 - System involves only phone or email 3 - System includes written notice 9 - Events are registered in Corrective Action system with status reporting
44 0 - No system exits 1 - Basic Spreadsheet 3 - Organized process such as 7-D, 8-D, DMAIC exists 9 - Centralized of list of records is maintained for team follow-up
45 0 - No system 1 - Only "why shipped" addressed 3 - "Why made" also addressed 9 - Clear 5 why established to identify system /business process failure & verification
46 0- No data collection 1- System exists but no evidence of use 3- System exists with evidence of use 9- System will support data crosscheck to suppliers lot date or serial #
47 0 - No system 1 - Temporary work instruction 3 - Instruction with training 9 - Process expiration dates and / or Qty established with evidence of closure

48 0- No targets 1- Targets exist, but not aligned with customer's expectations 3- Some targets meting customer's expectations 9- All targets meeting customer's expectations
49 0 - No system exits 1 - Basic Spreadsheet 3 - Organized process such as 7-D, 8-D, DMAIC exists 9 - Centralized of list of records is maintained for team follow-up
50 0 - No system 1 - Only pas /fail reports upon request 3 -Test criteria and data results available only by request 9 - Test criteria and results issued to customer proactively

DCN 2724 Effective date: May 2018

 Process Audit
9 Meets or Exceeds Expectations Audit Date December 30, 1899
3 Requires Minor Improvement Supplier Name 0
1 Requires Significant Improvement Supplier Location 0
0 Poor / Unacceptable Supplier Auditor
n/a Not Applicable HYG Project
Use the Process Audit Worksheet to list data required for this audit. On this audit sheet fill in the
"Score" and "Comment" section, as well as the blue cells. For additional guidelines refer to the Process
Audit User Guide sheet.
Process Score
Production Process Control Score Comment
1 Drawing: Latest Revision available
2 HCE Specs: Latest revisions available
A system to manage changes with customers. (Process Change or Engineering Change
3 system) ###
Please use Process Audit Worksheet to fill in details to this question.
All production and temporary work instructions should be updated, clear, easy to follow,
4 easily accessible, cover CTQ's ###

Production Process or CTQ Audit Conforms to Control

5 (Enter the number of steps in the blue cells in column C)
5a # of Process steps in CP or Audited
n/a
5b # of steps not following CP
6 Operator is certified at the current working station (Crosscheck training matrix)
6a Please use Process Audit Worksheet to fill in details to this question.
Key characteristics should be identified & capable to 1.33 CPk or be checked 100% prior to
7 shipping. ###
The remaining CTQ's are properly controlled and /or inspected during the process? (As
8 specified in Dwg's, PRD's, specs, etc…) ###
Confirm gages, tools, test equipment, etc… are up to date with certification (clearly labeled
9 with certification date) ###
Confirm repair / rework parts follow standard process requirements (cannot by pass
10 function testing or confirmation items)
List latest corrective actions and evaluate effectiveness: (does it address why shipped and
11 why made?)
11a Please use Process Audit Worksheet to fill in details to this question.
Hyster-Yale Group CAR's for the last 6 months
12 (Enter the number of steps in the blue cells in column C)
12a # of CAR's need to update CP
n/a
12b # of CA updated on CP
12c # of CAR's need to update FMEA
n/a
12d # of CA updated on FMEA
Monitors equipment/tool downtime and efficiency. Preventive maintenance &
13 improvement plan for equipment, tooling and fixtures is clear. ###
5S rules should be applied throughout the production process. SORT - STRAIGHTEN -
14 SHINE - STANDARDIZE - SUSTAIN ###

Incoming Supplied Parts Management (Top 4 Components)

Assure supplied parts are approved and CA are taken accordingly: (Select critical
subcomponents and visual inspect / evaluate for critical features during process audit) If
the number of CA exceeds 4 a minimum 4 CA to be filled in the Process Audit Worksheet.
15 The lowest scoring CA will be used in this Process Audit.
Note: for Low Focus parts ISIR's or Inspection data is acceptable.

15a Please use Process Audit Worksheet to fill in details to this question.
Active and up-to-date system used to identify parts requiring inspection or containment
16 prior to being released to inventory ###
Supplied part corrective action system active and up-to-date to ensure corrective action is
17 effective and will prevent recurrence. ###
A system to manage changes with suppliers. (Process Change or Engineering Change
18 system) ###
Please use Process Audit Worksheet to fill in details to this question.
9
Methods should be in place to ensure final product is labeled correctly. Confirm
19 mislabeling rejections identified in last 6 months.
19a Please use Process Audit Worksheet to fill in details to this question.

DCN 2724 Effective date: May 2018

 Guidelines to answering questions
1 0 - Not to the latest revision 9 - Drawing to the latest revision
2 0 - Not to the latest revision 9 - Drawing to the latest revision
3 0 - No process 1 - Informal/Inconsistent 3 - Communicate to customer only 9 - Process in place to facilitate communication from customers and to internal departments
4 0 - No Instructions 1 - Written only/Not up to date 3 - Also includes Pictorial & SOE 9- Also includes key / CTQ & Safety information and up to date
5 0 - Less than 50% 1 - From 50% to 75% 3 - From 75% to 99% 9 = 100%
6 0 - None certified 1 - Only one certified 3 - Two or Three certified 9 - All certified and records are up to date and easily accessible
7 0 -No CTQ's tracked 1 -Some CTQ's but not capable or 100% inspected 3 -All CTQ's checked but not all capable or 100% inspected 9-All CTQ's checked & capable or 100% inspected
8 0 - No poka yoke's in place 1 - Informal & inconsistent 3 - Poka yoke in place, but not validated regularly 9 - Poka yoke in place & validated regularly
9 0 - Less than 50% certified 1 - From 50% to 75% certified 3 - From 75% to 99% certified 9 = 100%
10 0 - No inspections performed 1 - Visual only 3 - Inspections include dimensional checks 9 - Inspections also include functional checks which verify fit / function for the truck
11 0 - None effective 1 - Only one is effective 3 - Two are effective 9 - All are effective
12a 0 - Less than 40% 1 - From 40% to 60% 3 - From 61% to 99% 9 - 100%
12c 0 - Less than 40% 1 - From 40% to 60% 3 - From 61% to 99% 9 - 100%
13 0 - Not monitored 1 - Tracked informally/decentralized 3 - Tracked and prioritized with P.M. plan 9 - PM plan in place with evidence of improvement actions taken
14 0 - Disorganized, not clean, no 5S in place 1 - Semi organized, semi clean, no 5S system 3 - 5S system, mostly organized & clean 9 - 5S fully implemented & followed
15a 0 - No approve date, not in CP & reject with out corrective action 1 - Two of the three 3 - One of three 9 - All three covered
17 0 - No system exits 1 - Thru email/verbal 3 - Basic Spreadsheet 9 - Parts are identified as part of inventory receipt/management system
18 0 - No system exits 1 - Basic Spreadsheet 3 - Organized process such as 7-D, 8-D, DMAIC exists 9 - Centralized list of records is maintained for team follow-up
19 0 - No process 1 - Process in place but not formal 3 - Formalized but not followed consistently 9 - Formalized and evidence indicates 100% conformance

DCN 2724 Effective date: May 2018

 Process Audit Worksheet
Please use this worksheet to record all information for each question contained within the Process Audit. The User Audit Date December 30, 1899
Guide also gives further guidance on what information to provide. Any supporting documentation for each Supplier Name 0
question should be converted to pdf and embedded in column E (The user guide gives detail on how this is done).
Supplier Auditor
Parts Audited
# Question Metric Result Supporting Data
3 A system to manage changes with customers
Confirm Latest Process Change Part number
Change
Change confirmed (Y/N)
Confirm Latest Engineering Change Partnumber
Change
Change confirmed (Y/N)
6 Operator is certified at the current working station Station
(Crosscheck training matrix) Operator number
Certified/Trained (Y/N)
Station
Operator number
Certified/Trained (Y/N)
Station
Operator number
Certified/Trained (Y/N)
Station
Operator number
Certified/Trained (Y/N)
11 List latest corrective actions and evaluate effectiveness: CAPA#
(Does it address why shipped and why made?) Issue
CA effective: (Y/N)
Operator Trained: (Y/N)
CAPA#
Issue
CA effective: (Y/N)
Operator Trained: (Y/N)
15 Assure supplied parts are approved and CA are taken Part #
(Select critical subcomponents and visual inspect / evaluate for critical features PA date:
during process
Note: for audit)parts ISIR's or Inspection data is acceptable.
Low Focus CP / Insp. Std OK (Y/N)
Reject #
CA Adequate (Y/N)
Part #
PA date
CP / Insp. Std OK (Y/N)
Reject #
CA Adequate (Y/N)
Part #
PA date
CP / Insp. Std OK (Y/N)
Reject #
CA Adequate (Y/N)
Part #
PA date
CP / Insp. Std OK (Y/N)
Reject #
CA Adequate (Y/N)
18 A system to manage changes with suppliers
Confirm Latest Process Change Partnumber
Change
Change confirmed (Y/N)
Confirm Latest Engineering Change Partnumber
Change
Change confirmed (Y/N)
19 Methods should be in place to ensure final product is labeled correctly. Part Number
Rejection Qty
Confirm mislabeling rejections identified in last 6 months. CA Adequate (Y/N)
Part Number
Rejection Qty
CA Adequate (Y/N)

DCN 2724 Effective date: May 2018

 Part Readiness & HVPT Assessment
Green Can meet launch date with no design revisions or major process improvements / Audit Date
Can meet capacity requirements. Supplier Name
Yellow Part not ready yet but can meet parts receipt requirements date. Supplier Auditor
Red Design or process incomplete / HYG Auditor
Cannot meet parts receipt date requirements without hand building or special rework. HYG Project
Parts Audited
Current status SOP Outlook

Advanced Quality Planning Score Comment Due date

1 Has the supplier successfully passed a Process Assessment?
2 Has supplier sent signed SQM Notice of Agreement / Acceptance?
3 Drawing review complete & CTQ list to the latest ECN level agreed to?
4 HCE-179: Confirm Linear code for Part/Serial # & Provide alphanumeric code to Mfg.
5 Have PA requirements been delivered and agreed to?
6 Has a Technical Review been completed and judged acceptable?
7 Are there any open issues (development logs) with prototype parts?
8 Gantt chart: Component Part, Tooling, Process, Requirements Testing & PA Clear.
9 Supplier has a list of new/changed components to be developed?
10 Stamping/Casting/Injection Mold: Tool Design Confirmed OK with FEA/Mold Flow Analysis
11 Has tooling been kicked off / no open P.O. issues?
12 Have applicable PFMEA's been developed? High RPN's have C/A Plan?
13 Is Control Plan confirmed to capture CTQ's and complete for process design?
14 Part packaging requirements understood and accounted for in quotes?
15 Are Supplier/HYG contacts clear ? (QE, Purchasing, PC, Eng. )
Judgment
Off Tool Preparation / Confirmation Score Comment Due date
16 Are all Hyster-Yale Group ECNs incorporated and approved in the latest part ?
17 Is production tooling complete, in place, and tagged with asset #?
18 Do all dimensions / characteristics meet requirements on all samples?
19 Are performance evaluations complete & Design approval received ?
20 Have all color, gloss & grain testing been confirmed?
21 Do all materials meet applicable Hyster-Yale Group or UL requirements?
22 Are all parts within BOM Off-Tool?
23 Has supplier reviewed packaging work sheet provided packaging plan?
Judgment
Off-Process Preparation / Confirmation Score Comment Due date
24 Does the supplier have a completed Process Flow Chart?
25 Is there a Plant / Process Layout available and is it approved?
26 Is Control plan approved and process cross check complete?
27 Is process set up to control CTQ & Delta K characteristics/features?
28 Process set up to check parts / assy function per the CP / Product Requirements?
29 Is all assembly equipment in place and complete?
30 Are all checking fixtures/gages approved ? In calibration plan?
31 Do "Fool Proofs" have master samples for equipment confirmation?
32 Are all Team Members trained & manning level confirmed?
33 Are process operation instructions complete and available for use?
34 Is there a clear part change over and/or setup procedure in place?
35 Is packaging complete and does it adequately protect the part?
36 Are all Sub-Supplier parts and delivery times confirmed?
37 Are Receiving Inspection Plans in place for sub-supplier parts?
38 Verify parts within BOM are Off-Process & ISIR Approved? _____% Non - Conforming O/P _____%
Utilize BOM Tracking sheet in DCN 2518 if supplier does not provide own format. Non - Conforming ISIR
39 Are Product Requirements validated and result approved for SOP (SQE & Des.)
40 Does supplier have PO and is routing instruction received?
41 Is there a problem follow-up list from trial runs? Check status.
42 Are capability study results acceptable for CTQ and Delta K items?
43 Is lot #/tool I.D. clear so that product can be tracked if necessary ?
44 Has sub-supplier capacity been confirmed for all key components?
45 Can the supplier meet the required capacity of _______/month?
Judgment
High Volume Production Trial Score Comment Due date
46 Are boundary samples (limit or master samples) approved?
47 Are scrap/rework parts clearly labeled and easily located?
48 Are sort / rework procedures and identification method clear?
49 Are WIP parts identified, and stored satisfactorily to prevent mixing?
50 Is part handling acceptable to prevent damage & contamination?
51 Does production line housekeeping meet expected standards?
52 Is there an acceptable level of operator traceability against product?
53 Parts validated per control plan? Special inspection required at S.O.P.?
54 Is the process flow balanced (work in progress specified)?
55 Do operators complete job cycle prior to (breaks, shift change, lunch)?

DCN 2724 Effective date: May 2018

 56 Does the supplier track downtime / productivity?
57 What is the total Supplier capacity available ________ / Hour?
Judgment

DCN 2724 Effective date: May 2018

 Cleanliness Assessment
9 Meets or Exceeds Expectations Audit Date December 30, 1899
3 Requires Minor Improvement Supplier Name 0
Supplier
1 Requires Significant Improvement Auditor
0 Poor / Unacceptable HYG Auditor 0
n/a Not Applicable Parts Audited
>= 80% & no scores < 3. Approved to Source. Low scores (3) have agreed improvement plan 0 Question(s) passed
70%-79% & no 0-1 scores: Restricted from additional sourcing until effective improvement plan is 0 Question(s) need level up
implemented
< 70% is recommended Not to source without an agreed improvement plan 0 Question(s) failed
0 of the questions were judged Not Applicable
0% Cleanliness Score
Test Method
Gravimetric Testing: Score Comment
Gravimetric test equipment and procedures should be consistent with K146 or equivalent ISO standard? ###
1
2 Is there a written procedure for gravimetric testing? ###
3 Is there a training program for gravimetric test technicians? ###
4 Are procedure steps followed correctly? ###
5 Is there a defined schedule for conducting gravimetric testing? ###
6 Does the supplier have data to justify the frequency of gravimetric testing? ###
7 Are gravimetric test results recorded? ###
Do the gravimetric test results conform to specification requirements, both drawing spec and Q702 ###
8 default?
9 Is there a reaction plan when gravimetric test results are outside specification? ###
Parts Washer Fluids: Score Comment
10 Is there a maintenance program for changing wash fluid (any alarms when filters are bypassed)? ###
11 Is there a maintenance program for changing the wash filter? ###
12 Does the supplier have information to justify the frequency of wash and filter changes? ###
13 Is component washing process defined / standardized (racking, psi, temp., time, etc…)? ###
14 Is lighting adequate for operator to review parts / process? ###
Test Stand Oil: Score Comment
15 Is there a written procedure for oil testing? ###
16 Are procedure steps followed correctly? ###
17 Is there a defined schedule for conducting oil cleanliness testing.? ###
18 Does the supplier have data to justify the frequency of oil cleanliness testing? ###
19 Are test results recorded? ###
Does the cleanliness of the test stand reservoir oil meet requirements set out in K158/drawing/Q702? ###
20
21 Is there a reaction plan when oil test results are outside specification? ###

Rust Preventative Oil: (only applies to rust preventative oil that will be exposed to truck hydraulic system) Score Comment
22 Is the cleanliness of rust preventative oil monitored? ###
Is cleanliness of rust preventative oil consistent with Hyster-Yale Group part cleanliness requirements? ###
23
Section Total 0.0
Total Possible 0
Overall Section Rating 0%
Plant Environment / Product Cleanliness:
Cleanliness of component storage: (Contamination= particle/corrosion/moisture) Score Comment
24 Containers are free from contamination. ###
25 Product is protected from contamination and damage. ###
26 Storage rack is clean and well organized. ###
27 Storage rack clearly identified for product location. ###
Cleanliness of product point of use (assembly/finish manufacturing area). Score Comment
28 Containers in staging area clean and well organized. ###
29 Product is protected from contamination to point of use. ###
30 Product is washed immediately prior to assy, or stored in sealed containers between wash and assy. ###
Is there an operator training program for process cleanliness requirements and tracking of certified ###
31 operators?
Product handling during assembly / manufacturing is free of contamination (incl. equipment, clothes, ###
32 gloves).
Assy work benches, tooling and area is clean are well maintained with defined work instructions to reflect ###
33 this.
34 Is lighting adequate for operator to review parts / process? ###
35 Lubrication fluids required for assembly purposes are clean and stored in clean condition. ###
Cleanliness of end product. (handling and storage) Score Comment
Packaging provides protection from damage and contamination during storage and shipment to Hyster- ###
36 Yale Group.
37 All 'open points' of part or assembled are protected by sealing plugs, or properly bagged. ###
38 Sealing plugs used are a good fit and not easily knocked off during shipment and storage. ###
39 Sealing plugs and bags are stored in locations free from contamination. ###
Section Total 0.0
Total Possible 0
Overall Section Rating 0%

DCN 2724 Effective date: May 2018

 Guidelines to answering questions
1 There are various ISO methods of gravimetric testing. Method used by supplier or external test agency should conform to K146 or ISO standards
2 Test procedure should be controlled, current and reflect fully the complete test procedures
3 If possible review actual test being conducted, or have actual operator describe and compare against procedures
4 The suppliers procedure should define a schedule for gravimetric tests
5 The supplier's test schedule should be consistent with the level of control they have, and based on history of recorded results
6 Confirm that supplier knows the actual or default values for the Hyster-Yale Group product and that test results comply with these requirements
7 Test results recorded and stored and available for review
8 Confirm that supplier knows the actual or default values for the Hyster-Yale Group product and that test results comply with these requirements
9 Reaction plan must cover correction of root cause of contamination, and include containment of recently manufactured components.

10 Maintenance program should be defined, and record kept of when changed

11 Maintenance program should be defined, and record kept of when changed
12 Supplier should have historical data to justify frequency of wash and filter change. Guideline is, wash cleanliness should be less than 3mg/100ml
13 Supplier should have a documented washing procedure.
14 Lighting should be adequate to assess parts and identify contamination as well as be adequate to stimulate a clean working environment.

15 Test procedure should be controlled, current and reflect fully the complete test procedures
16 If possible review actual test being conducted, or have operator describe test, and compare against procedures
17 The suppliers procedure should define a schedule for oil tests
18 The supplier's test schedule should be consistent with the level of control they have, and based on history of recorded results
19 Test results recorded, stored and available for review
20 K158 notes that test oil must be 2 ISO codes cleaner than assembly drawing requirement, or Q702 table 1a default.
21 Reaction plan must cover correction of root cause of contamination, and include containment of recently manufactured components.

22 Supplier should have means of knowing cleanliness levels of rust preventative oil
23 Rust preventative oil cleanliness levels should be in line with test oil cleanliness requirements.

24 Check bottom of containers for contamination

25 Product should be sealed or covered as required
26 Check for loose contamination in storage area that could cause part contamination
27 Parts should be always be stored in designated clean storage areas.

28 Check bottom of containers for contamination

29 Product should be sealed or covered as required
30 Product should be sealed or covered as required
31 Correct handling procedures should be used to prevent contamination
32 Preference to have stainless steel work benches, which should be routinely wiped clean by operators, with appropriate work instructions
33 Applies to any grease or oil used for assembly purposes. Lubrication containers should be sealed when not in use
34 Lighting should be adequate to assess parts and identify contamination
35 Applies to any grease or oil used for assembly purposes. Lubrication containers should be sealed when not in use

36 Verify that packaging protection is suitable

37 Every opening of every hydraulic part or assembly must be sealed
38 Sealing plugs must be good fit, preference to have threaded plugs for female thread openings
39 Sealing plugs and bags must be clean and stored in clean and sealed container

DCN 2724 Effective date: May 2018

 Technical Assessment
This document has been provided as a tool to help ensure each drawing, being quoted, has been thoroughly reviewed by the supplier and to confirm that the quoted process can meet
Design / Quality expectations. Suppliers are requested to confirm each of the below areas and record ability to satisfy the item stated as it has been quoted.
Please review carefully, fill out completely and discuss any questions or concerns with your Hyster-Yale Group contact.

9 Meets or Exceeds Expectations Corrective Action (C/A) Feasibility Audit Date

3 Requires Minor Improvement 0 C/A agreed to and easily implemented. Supplier Name
1 Significant Improvement Req'd 0 C/A not agreed or difficult to implement. Supplier Location
0 Poor / Unacceptable Supplier Auditor
n/a Not applicable HYG Auditor
# Question Review Comment Reaction plan Due date HYG
Score Outlook
Technical Information
Capacity
1 Has supplier provided a study of their capacity which confirms their ability to C
produce all Hyster-Yale Group parts in production?
2 Does the supplier have good quality performance for similar parts? C
Application
3 Is the part application in vehicle clearly understood? C
4 Has supplier produced similar products (material, structure , size)? C
5 Will a DFMEA be prepared? C
6 Are key characteristics, fit up & functional requirements understood? C
Specification
7 Are copies of all listed specifications available? C
8 Are all listed specifications understood and can they be met? C
9 Are you capable of meeting tolerance with datum scheme? C
10 Is traceability and / or labeling requirements clear and achievable? C
11 Are cosmetic requirements clear? Able to meet fit and finish spec.? C
Material
12 Are copies of all listed material specifications (including cited standards) C
available to the supplier and considered achievable?
13 Are all material specifications understood and achievable? C
14 Does supplier currently use the material specified in drawing? C
15 Are the following elements for castings or forgings clear?
15a Test bar location C
15b Hardness reading location C
15c Metallurgic examination location C
15d Surface finishing requirement C
15e Internal soundness level vs specified location C
15f Is corrosion protection clear and achievable? (HC-714 & other)? C
Coatings
16 Are paint performance standards (HCE-145) clear and achievable? C
17 Can color matching & gloss (paint / plastic) be met and confirmed with the C
correct test equipment? D65, A10, F2/11 & Gloss at 60°
18 Coating Process Control:
18a Material dry & at ambient temperature (not wet/frozen) prior to process
18b Each process step has control of CTQ's (Time, Temp, Solution, etc…)
18c Confirmed with Standard work (film build, adhesion, appearance, etc)
19 Is supplier experienced in coating process and are operators trained? C
Cleanliness
20 Are cleanliness requirements clear (K144), understood and agreed? C
21 Is there dedicated wash equipment / process available? C
22 Does supplier have cleanliness test equipment or access to test equipment? C

23 Does supplier currently manufacture parts with cleanliness requirements? C

24 Is the method to protect part from re-contamination clear? C

Functional
25 Are functional tests / confirmation methods clear and achievable? C
26 Is Supplier vs. HYG Test Plan clear for this part? C
27 Is there as clear plan to conduct validation testing (outside / inside)? C
Process Information / Planning
28 Stamping, Casting & Injection Mold Tooling - confirm supplier will use
FEA/Flow Simulation Modeling to confirm tooling design is OK prior to kicking
off new tooling or modifying existing tooling!
Manufacturing Process
29 Is the make vs. Buy plan clear for all components? C
30 Are sub-suppliers assessed and approved for this part? C
31 Will the supplier use their current sub-supply base? C
32 Will PFMEA, Control Plan and Part Approval be completed (Tier1 & 2)? C
33 Does existing equipment / facility have capability to produce the part? C
34 Does the supplier evaluate the process and product with an FMEA? C
35 Does supplier control the process with a Control Plan? C
36 Does supplier have experience to conduct SPC (Ppk, Gage R&R…)? C
37 Is there a product / operator traceability system in place? C
Inspection
38 Appropriate inspection equipment available to confirm part accuracy? C
39 Is inspection equipment available to confirm material specifications? C
40 Is the quality organization and systems in place across all shifts? C
Regulation

DCN 2724 Effective date: May 2018

42 Are UL / EUR / CARB / EPA specifications clear and achievable with quoted C
process and materials?
43 Is regulation identification marking clear and achievable? C
Packaging
Refer to Packaging
SUPPLIER Check
CONCLUSION Sheetthe concerns be resolved and supplier meet off tool / off process & drawing specifications)
: (Can

Hyster-Yale Group CONCLUSION: (Highlight C/A Feasibility Red Concerns)

DCN 2724 Effective date: May 2018

 Part #
Drawing Review Sup. Name 0
Sup. Loca. 0
Item Comment Result Comments
Seemage / Critical To Quality Views For Exact Fit & Function Understanding
1 RFQ Confirmation DCN36287 Contact Procurement for quote confirmation (High Focus Parts). Any quoted exceptions?
Seemage Obtain 3D Images of Fit & Function with mating parts. Keep images focused on exact fit &
2 function / CTQ need. Do not provide truck Design or Styling info. to suppliers. Contact Program
Manager for a Seemage Bellwether truck for Design Review if it is not available.
Title block
3 Material specification clear Type
Tolerance specified Component fit points must have tolerance (not vender spec). Title Block should not contradict
4 tolerance requirements in Notes, Listed ISO Spec. or other
Notes Section
5 Tolerancing range may be specified Tolerance in Notes Section cannot contradict title block or cited ISO / SAE Standards
6 Corrosion / paint performance Paint HCE-145 / hardware per HC-714
7 Coating, paint & plastic color Per HCE-117/127, HCE-114/128 or HCE-51/148 - other colors may apply
8 Grain requirements to be specified
9 Traceability requirements necessary HCE-179 Part # & Serial # Bar Code specified per DCN39057 TRD Requirements.
10 Flash / deburring requirements
11 Part marking requirements Label or mold in information clear (ref. K210 for vendor name or K207 for warning labels)
12 Leak free requirements specified Ensure all fluid containers, hoses, valves, etc… have clear requirements
13 Surface and thread protection Surfaces and threads are protected to product needs (paint, rust, etc.)
14 Prevention of wrong parts (PWP) Special color code, markings, etc… to prevent manufacturing part mix up required?
15 Approved Vendor Per K102 Cannot change without ECN Approval from Design
16 Labeling Reference K210 for vendor name requirements (not visible unless UL / other.)
Cleanliness (Ref. DCN 36262)
17 K144 specified Hyster-Yale Group hydraulic cleanliness standard K144; method for specifying cleanliness
18 Surface area and weight specified Of components, assemblies and fluids. Protected from re-contamination (bag, cap, etc.)
Dimensioning
19 Tolerancing should be from datum's
Datum's scheme clear Confirm there is a primary, secondary and tertiary datum (4 way - 2 way - 1 way)
20 Welding Drawing Datum's match HYG Weld Equipment & Suppliers Weld / Checking Fixtures
Assembly Drawing Datum's match vehicle attach sequence.
21 Painting boundaries specified Ensure complete / correct coverage is clear
22 Geometric dimensioning & tolerance Tooling / process capable of meeting tolerance requirement. (Ref: ES-1001,1005,1251)
ISO General Tolerance HYG is investigating switching to ISO and BTDC / Masate are already using these specifications
ISO-2768-1 - Tolerance for Linear & Angular Dimensions (Non-Welded Part)
Note: Suppliers must have and quote to the standards Tol: fine(f), medium(m), coarse(C) or Very course(VC) by length range
when specified on drawing. Review expectations with ISO-2768-2 - Geometric Tolerance for Straightness, Perpendicularity, Cylindricity, etc...
Design to ensure tolerance level (f,m,c...) was selected Tol: small(H), medium(K) or large(L). Can combine with 2768-1 as (mk) but must be noted (sec 6.1)
based on functional requirements (Tolerance Stack UP) ISO-13920 - Tolerance for Welded Constructions
Tol: small(A), medium(B), large(C) or Very Large(D) by length range. A & B would be typical for HYG
23 and not assumptions.
KEY: When Design does not specify ISO-13920 and assumes Linear Weld Tolerance per 2768-1,
Every weld dimension must be cross checked to ensure correct tolerance is specified as +/-.
30mm Example: 2768-1(m) = +/-0.2 & 13920(A) = +/-1.0.

Tolerance Stack Up Request Design Tolerance Stack Up Calculations when criteria is being challenged
24 Utilize SQE Tolerance Stack Up Calculator when above is not available
25 Key characteristics Missing, appropriate and measurable?
26 Parts list / BOM clear Need matrix to show or # called out
27 Fit and finish criteria Reference HCE-151 for zone cross check to part use
28 Torque specified Confirm torque requirements are clear (Loctite?) Ref. ES-1107 / HC-712
CASTING
Casting: Appearance
29 Surface finish (smoothness) Refer to SQM CQCD
30 Paint /coat HCE-145 & 148
31 No-draft zone
32 No-grinding area (grinding direction)
Identification
(Casting
33 Letterlettering)
size, type, location & part no.
34 Lettering raised or recessed Consider needs of mating parts
35 Foundry symbol Mold in information clear
36 Heat code / lot traceability
Specific dimension requirements for casting
37 Flatness where applicable
38 Datum's from machined surfaces When possible & Ensure dimensions are clear and process is capable
39 Casting datum matches process Supplier check method & fixtures match HYG Welding or Assembly Datum Scheme
40 Specifying std. Tolerance for Casting surface & welding equipment
41 Fillets, corners , drafts, radius Pre-machine surface stock >/= 3mm to ensure complete machining
42 Draft Angle + Tolerance for Weld Surfaces Is Max Draft Angle + Max Tolerance suitable for weld gap & can specified process control
43 Parting line requirements Review for high stress areas and ensure dimensions are clear & tooling is capable
Material
44 Material specification Must clearly specify both Chemical and Mechanical properties (Ref: HC-27 as example)
45 Electroplated Parts HC-404/HC-411 Confirm hardness of individual parts. If >/=34 HRC then negotiate for alternate coating.
46 Baking
Test bartimes in 411 are CTQ
location >/=34 HRDChigh
To consider or 12.9 Hardware
stress = No
area, and electroplating
casting techniques& HC-412 should be specified
47 Hardness reading location Ensure accessibility
48 Metallographic examination location Away from gates & risers
Soundness level vs specified location
49 Soundness level Refer to ASTM E186 / E280, CQCD and HC-49 (example)
Testing method According to material type, casting techniques (proposed gates, riser location, centerline, etc) &
50 part Fit/Function to determine if critical area needs to be specified.
Plastics
Roto molding
51 Process tolerance is 0.5% of dimension Confirm any tolerance requirements on dimensions, notes or title block
52 Flatness tolerance is 1% of dimension
53 Tank Designed for Flushing (K144) Verify tank can gravity drain without components or ledges that prevent flushing
Injection Molding
54 Sink concerns Rib wall thickness is </= to 1/2 of wall
55 Plastic stress / whitening concerns Are attach points supported (gussets) not stand alone

DCN 2724 Effective date: May 2018

56 Gate Location
Material
57 Material specification
58 % Regrind allowed specified
Attaching
59 Fit to mating parts
60 Insert retention specified
RUBBER
Material
61 Material specification
62 Shore
63 Environment / application
WELDING
Weld quality
64 HC-704 , arc-welding quality
65 Specified on drawing
Drawing weld Symbols
66 Weld symbols per ISO 2553
67 Specified on drawing
Weld classes
68 Class A, B & C welds specified
Oil containers
69 Oil tight welds specified on drawing
70 Hydraulic containers
MACHINING
Roughness
71
72 SAE Port Machining
73 Surface porosity
ELECTRICAL
Wire Exposure at connectors (flexibility /
74 protection)
HC-715 Wire Harness Construction
75
76 HCE-112 electrical cable (GXL)
77 HCE-130 electrical cable (TXL)
78 Water / dust ingression
79 Pin out and labeling of circuit
80 Reference information:
81 ESD Protection (Electrostatic Discharge)
82 EMC (Electromagnetic Compatibility)
ENGINE
Warrantable Durability
83
84 HYG Unique Part Design
85 UL Traceability
Fluid Fill & Fluid Drain
86
PERFORMANCE TESTING
Product Requirements Clear on Drawing or PRD.
Development test requirements and
87 Operating conditions (e.g. Load, Number of in what conditions?
cycles, pressure range, Temperature range)
noted on Assembly drawing.
88 Emission critical parts or containers
Functional Verification test
89 Production functional test
90 To confirm product quality
91 Functional noise
92 Max decibel, vibration, frequency, etc…
UL REQUIREMENTS
93 Material specification
94 UL material rating specified
95 UL identification marking
DCN 2724
Avoid A & B Zone where possible and define +/- tolerance for gate cutting
Commercial name specified, clear understanding of UL requirements
25% = general rule but does not apply to all (Ex. Nylon, PET, PBT,etc.. can undergo hydrolysis)
Clips clear thickness of mating parts no looseness or rattle potential
Pull / push force or torque requirement
Durometer requirement
Chemical resistance, temperature resistance, etc. Risk in area of use
Refer to HC-704
Specify weld nut torque and weld stud push out force
Refer to ES-1203
All welds identified for type, length & width
Refer to HC-704 for definition of weld classes
Class a welds should be required
Specified as leak free with pressure test (ex: 30KPa pressure)
Requirement to specific surface (e.g. seal bore, spot face, lead in chamfer to plug threads…)
Reference ES-1251
Reference ES-1403 for HYG Summary of Specs (SAE J1926/1 / ISO 11926-1)
Per casting control document or as specified on drawing
CBDC, WPDC, Masate = 25min / 75 Max & BTDC = 25 min / 50 max
Wire Harness Construction Requirements: UL Cert, Label, Continuity, Splicing, Circuit, connector
& Terminal ID, Coverings, Twisted Pair, Components, Shielding & Assy Order.
HC-708 Splicing (715 supersedes) HCE-56 Electrical Tape
HCE-95 Conduit HCE-82 Heat Shrink Tubing
Review HCE-112 for temperature critical (-60 to 270f) cable
Low voltage cable (60 volts or less) must meet SAE J1128 and UL 558/583 requirements
Consider impact and need for specification (ref IEC 60034-5) IP grade
Clear on drawing and able to cross check to schematic
ES 1353 Electrical Design Guide, ES 1352 symbology, ES 1351 glossary, ES 1356 drawing
Example: 8Kv at contact. Consider protection requirements in Mfg. Process & Packaging.
Input & output filtering specified to prevent electrical (CAN) noise. Ref EN12895
Crosscheck PRD Durability Requirements to MSA T&C so team understands Test Expectations vs.
Actual Warranty Period
Cross check fit & clearances to mating parts against OEM original part design
Confirm UL required components have UL certified source, components, labels, etc…
Confirm what "Full" and "Drained" equal against plant expectations.
Example: Oil Full = within top half of hatched area on dipstick window
Functional part drawings must answer the question - what's it supposed to do, for how long and
Performance requirements, test procedures, P.R.D., or suppliers spec. Is listed on dwg.
Specified as leak free with pressure test (ex: 30KPa pressure)
Leak spec. To be validated to meet des. Requirements - 10CC decay = no leak?
Include details of test / performance requirements to confirm
Function of part or assembly under operating extremes/loaded condition
Electric motors, axles, pumps, etc. Definition and confirmation method
Each component to identify the specified material requirement
Each material specified with the required UL rate (i.e. UL 94 V-0)
Specify location of UL marking on part or container/packaging
Note: UL designation may be required if conducting current or When in a high heat area (under
hood) REF. UL 585.
Effective date: May 2018
 User Guide
Sheet Item What to write
General Printing Use Scaling "Fit all Columns on One Page" for correct printing to A4 or A3
Headers Headers on most sheets will be partially filled in by the data entered on sheet "Trip Report"

Trip Report Header Information about date, supplier, etc

Visit purpose Put an x at all applicable visit purposes
Attendees Attendees at supplier
Circulation All relevant Hyster-Yale Group employees that need to be copied
Background visit /agenda Describe the reason for visiting (in more detail than visit purpose) and list the agenda in bullet points
General comments General information about the company, cooperation, location, etc etc
Conclusion Ensure to make a conclusion on all items listed in the agenda, with the judgement and decision reached on each point clearly described
Future requests List any visits that should be planned or special actions that need to be taken, or special assistance required

Action list When to create an action Based on experience or audit result create an action when without an action quality is not ensured at a supplier
Item # Give each action a number or subnumber for easy reference
Detailed problem description Describe the issue that requires action and the consequence of no action taken
Owner List relevant problem owners (either at supplier or at Hyster-Yale Group)
Corrective Action Plan Describe a SMART action to resolve the problem
Due date Provide a clear and realistic due date that has been agreed with the supplier, or list as ongoing
Status Status of Corrective action plan (refer to guide above)
Rank Severity of problem (refer to guide above)

Quality System Defined Score how well a certain item is defined or described at a supplier (documented) score each item 9,3,1,0 or n/a based on the guide on top of the sheet.
Assessment
Executed Score how well a certain item is executed or implemented at a supplier (are they actually following the defined processes). Score each item 9,3,1,0 or
n/a based on the guide on top of the sheet.
Comment List any comments relating to each score

Readiness & HVPT Status Score each item based on it's status refer to colour guide above and to the right for each item
Comment List any comments relating to each score
Current status Scored automatically by sheet based on entered scores. Add a comment below on due dates, and outlook based on actions to be taken
SOP Outlook Fill in, based on experience and actions to be taken whether the supplier will be ready for SOP.

Cleanliness Assessment Score Score each item 9,3,1,0 or n/a based on the guide on top of the sheet.
Comment List any comments relating to each score
Final result Scored automatically by sheet based on entered scores.

Technical Assessment Score Score each item 9,3,1,0 or n/a based on the guide on top of the sheet.
Comment List any comments relating to each score
Reaction plan In case of non-conforming scores (must score 9 on applicable items) define a SMART reaction plan. Also list this in the action list
Due date Provide a clear and realistic due date that has been agreed with the supplier.
Hyster-Yale Group Outlook Judge, based on experience whether the reaction plan is acceptable (Green or Red)

Drawing review Result Together with the supplier go through each relevant drawing and judge the completeness, clarity and correctness of the drawing to ensure the
requirements are fully understood with the supplier. If this is not the case, raise this with Engineering at Hyster-Yale Group.

Packaging Packaging type Describe method of transport

Have the supplier fill this Quality Protection With Packaging Design Describe how the packaging adequatly protects the load
in
Container Data Describe physical dimensions of packaging
Ensure pictures are Method of Securing Load Describe how the load is secured
included
Test Method Used for Packaging Describe how the packaging is tested to meet expectation
Confirmation
Internal Packaging: Describe how components inside the main packaging is packed
Pallet Describe pallet dimensions
Unit Load Data Describe unit dimensions
Method For Confirming Package Describe how the packaging is tested to meet expectation
Durability
Hyster-Yale Group Comments / Feedback Hyster-Yale Group provides feedback on proposed packaging

Effective date: May 2018

 Process Audit Requirements Guide
Sheet Question / Item What is required
General Supplier Name Add the name of your Company
Supplier Location Add the location of your company were the affected part is Manufactured
Part number audited Select HYG part you have had your most recent rejection with to use for this process audit.
Auditor Name of person completing Process Audit
Date Date the Process Audit is being conducted
Production Process Control 1 Select HYG part you have had your most recent rejection with to use for this process audit. Record the revision level of the drawing you have selected

2 If the drawing lists HYG HC and/or HCE specifications record the specification number and revision level of each that you have been issued.
3 Do you have a Process Change or Engineering Change system? If yes please provide document number & copy
Please list the most recent process change you requested from HYG. Process Change is detailed in sub-section 5 of the Supplier Quality Manual.
List the Part number, HYG Process change number, Detail of change and if it has been implemented.
Please list the most recent drawing change (change to Fit, form or function) issued by HYG
List the Part number, Engineering Change Number (ECN), Detail of change and if it has been implemented.

Incoming Supplied Parts Management
4 Please submit an example of your production work instructions for this part clearly showing that they are revision controlled, identify CTQ's (Critical to
Quality Features) etc.
Checklist questions YES NO
5 Does your production process for this part clearly control all CTQ's (Critical to Quality Features). Please provide examples of how these are controlled,
Poke Yoke, inspection etc. and if a control plan is available please provide a copy. Please also log the number of process steps in your control plan and 1 Was Containment Action taken quickly (within 2 days) to protect the Customer?
the number steps in your control plan that are not being followed.
Did Containment Action check, sort, or rework all local inventory, WIP, finished goods , stock in transit?
6 Are all operators involved in processing this part trained and certified. Please attach a copy of your training matrix showing the status of these 2
operators. Please also record for 4 operators the workstation within the process they work at, their operator number, and confirmation they are 3 Does Containment Action include an interim fix on the direct cause?
trained.
4 Have the interim containment measures been verified to work?
7&8 Are all CTQ's (Critical to Quality Features) identified and documented? Please provide evidence to show how your have identified CTQ's and how you are Does Containment Action give high confidence that the customer will not see the issue, while a long term
measuring and controlling them.
9 Are all the gauges, tools and test equipment used to manufacture this part certified / calibrated, have a unique reference number and logged on
5 action is being developed?
calibration database? Please provide documentation for 3 examples. 6 Has the Containment Action been tested to ensure no additional issues are created?
10 How do you manage reworked parts? Please provide detail for your process to manage rework parts and ensure all CTQ's (Critical to Quality Features),
torques etc. are verified as per certified Production Processes.
Checklist questions YES NO
11 Please review your 2 most recent corrective actions taken for HYG parts and confirm they address why made and why shipped. In each case something Did the Supplier use a formal root cause analysis tool to identity the issue? (Samples of tools above in
must have changed in your process. If you believe the action taken is not effective please state what systemic action you are taking to improve the
corrective action process to ensure robust and effective corrective actions are taken. Please see questions opposite for Containment, Root Cause and 1 red)
Permanent Action as a guideline that you should ask and answer yes to all to ensure you have taken correct steps and actions. 2 Did the root cause identify why the issue happened?
3 Did the root cause identify why the issue was not detected and the parts shipped?
12 Review the CAR's (Corrective Action Report) / ICAM's (Interactive Corrective Action Management) raised by HYG in the last 6 months and record the
quantity that required updates to the Control Plan, the quantity fully implemented, the quantity still outstanding / requiring update and the quantity 4 Has the root cause identified a systemic failure?
that have been updated on the FMEA (Failure Mode & Effect Analysis). 5 Did the investigation reveal a single root cause or were there multiple reasons?
13 Please provide detail of how you monitor equipment / tooling downtime and how this drives improvement. e.g. do you have a Total Preventative
Maintenance (TPM) schedule. Checklist questions YES NO
14 Do you have a 5S program in your production process? If yes please provide details e.g. Audit schedule, audit results and actions, have standards been 1 Does the permanent corrective action eliminate the root cause?
developed. Examples of these 5S steps should be attached. 2 Does the permanent corrective action prevent a recurrence of the issue?
3 Does the permanent corrective action eliminate the root cause?
15 Select 4 part numbers you supply HYG and provide Part Approval (PA) information. These 4 parts should be either a part that is used in an HYG assembly
or an individual part you supply HYG. For these parts also provide the current Control Plan (CP) or inspection criteria Initial Sample Inspection Report 4 Can the permanent corrective action be implemented within an acceptable time frame?
(ISIR) as applicable. Also please record if you have rejected any of these 4 part numbers in the last 12 months and if the suppliers corrective action has Has the solution generated new procedures or changed current procedures? If Yes, have these been fully
been adequate.
5 documented, communicated and uploaded into the ICAM?
16 Please provide detail of how you identify parts at your goods receiving that require inspection or rework activity to be conduct prior to being released to 6 Is training required? If yes, have plans been generated?
a stores location. This may be driven by your parts system or a manual process. Please provide examples of how HYG parts have been identified. 7 If a serial number break or date code break is generated has this been captured?

17 Please provide details of how you manage corrective actions with your suppliers. This system should have problem description, root cause, corrective
action at a minimum and also have timelines for each stage. Please also provide detail of how you follow-up on outstanding issues.
18 Do you have a system in place to manage changes with your suppliers? If yes please provide details of how you manage this and a copy of the document
/ clause of your procedure that manages this. Also please log details of the most recent Process change & Engineering change that has been requested
by a supplier and processed by you. If you do not have a recent change for an HYG part please use any part as an example.

Finished Goods Measurement 19 How do you ensure that the product shipped to HYG has been labelled correctly to ensure HYG receive the ordered part and packaged correctly to
ensure the product is preserved during shipping and storage? Have you gained approval for you packaging from HYG? Please log any rejections you have
received from HYG on labelling / packaging of HYG product in the last 6 months.

Follow-up list What requires an action If during the Process Audit you score a question with 0, 1 or 3 then a follow-up action is required
Supplier Name Add the name of your Company
Date Visited Date the Process Audit is being conducted
Item Number Give each action a number or sub number for easy reference
Detailed Problems Identified Describe the issue that requires action and the consequence of no action taken
Assigned to List the action owners (either at supplier or at HYG)
Corrective Action Plan Describe a SMART action to resolve the problem
Agreed Target Implementation Date Provide a clear and realistic due date or list as ongoing
Status Status of Corrective action plan (refer to 'definition of status' guide at top of follow-up list)
Rank Severity of problem (refer to 'Definition of Ranking' guide at top of follow-up list)

Worksheet What is required Please use this worksheet to record all information for each question contained within the Process Audit.
Supporting documentation Any supporting documentation for each question should be converted to pdf and embedded in column T. To embed this documentation into
the worksheet click 'insert', then 'object' and the object box will open. Click 'create from file', 'Browse' and locate the document you wish to
upload. Click on 'Display as icon' and then OK. Ensure you adjust the row height and column width to contain the documents.