Rev: 10

Rev: Date December 8, 2011

Level 3 Supplier Process Audit Form

Document#: COP5 – F06

Revision: 1
Date of Emission: 16/11/2016
Page: 1/ 9
Dept. SQC

Responsible A.M. Manager / HOS HOD Director

Supplier Process Audit (SPA) Level 3
KMM
Vendor Name
Audit Date
Audit Team Responsible Quality Manager Plant Manager Director President
Evaluator(s)
Supplier
Part Number
Part Name

Summary of audit
Point
Conversion by
Item Process Readiness Evaluation Contents
10 points
Allotted Score

Process Control In-process Parts/Materials, equipment, manufacturing 36 0.0

fixtures, performance, & QA Machine
Actual condition evaluation table (by 10 Points) Process
Control
1

1 Product
Product Control Receiving inspection, Final Inspection, non-conforming 47 0.0
Subcontractor parts, part inspection, off-line testing, inspection
Control Control
fixtures/tools, & documentation.
0

Man In-Process Manpower & Spirit and Mindset 8 0.0

Logistics Man

Process Ability Evaluation

Category Total Items Judgment Items

Passed Cpk ≥ 1.67

Machining, Assembly Need Countermeasure 1.67 > Cpk ≥ 1.33 Logistics Packaging 4 0.0

N.G Cpk < 1.33

Passed Cpk ≥ 1.67

Press, Forge, Injection Need Countermeasure 1.67 > Cpk ≥ 1.33
Molding etc.
N.G Cpk < 1.33
Within central 64%
Passed range of LSL~USL
10<N≤30 Subcontractor Tier 2, Tier 3, Tier 4 controls. 5 0.0
Need Countermeasure Within LSL~USL
(Module, Sequence Part) Control
N.G Out of LSL~USL

Total Judgment

Category Actual Condition Evaluation Process Ability Evaluation Total Judgment

Judgment

Factor of Judgment
Category Passed N.G
Actual Condition Evaluation 85 and over 84 and below
Total 100 0.0 0.0
Process Ability Evaluation (CPk) Passed N.G

Rev: 01 COP5 - F06

Rev Date: 16/11/2016
"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 2/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Are the In-process materials in an

1 appropriate area? Mixing concerns? Check actual area. Note observations. 1 0
Process Control - Smooth flow?
In-process
parts/materials
Are there any material handling Check for method of part transport. Note
0.5
concerns (part damage)? observations.

Contamination from foreign material? Check raw and in process material 0.5

Do any of the parts have a shelf life?

Check method 0.5
If so, how is it controlled?

How is lot control managed in this Best = Label affixed to container. Tag on
0.5
area? parts.

Is there a preventative maintenance

2 Preventative Maintenance Plan 0.5 0
Process Control - plan in place?
In-Process
Equipment After preventative maintenance, are
Review a previous work order 1
quality levels/conditions recorded?

After machine maintenance, how is

First off sample, Full part layout 0.5
part quality re-verified?

Are machine setting conditions

Machine set-up sheets 0.5
checked at each run?

Are machines clean and orderly? Visual inspection 0.5

Are all error proofing/sensors

Test a NG (No Good) sample at each station 1
working properly?

How often is the error proofing

Check calibration frequency 0.5
calibrated?

If more than (1) piece of equipment,

Part data confirmation (Line 1/2) 0.5
are part quality results the same?

Are machine/equipment critical

SPC, run charts 1
characteristics monitored?

How is the material mated to the

In-process check sheet 1
machine (type, color, grade etc)?

Are first off samples approved by QC

First off sample 0.5
before a production run?

Are critical part quality controls

In-process check sheet, check Control Plan
recorded by the equipment (i.e.. 1
controls
Torque)?
Are the error proofing test samples
outside the spec, but near the Check actual NG sample condition 1
upper/lower limits?

Are the error proofing masters clearly

Check masters 0.5
identified?

Does a process stop if an automatic

process is not finished? How many
attempts are made before a machine Confirm process logic 1
says NG? What is the procedure for
restarting the line?

Rev: 01
Rev Date: 16/11/2016 COP5 - F06
"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 3/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Can the parts be repeatedly set

without possibility of mis-nesting?
Are the parts nested on the jig without
looseness? Checks datum points?
Process Control - 3 Can the part be assembled upside Set the actual parts on the jig. 1 0
In-process down, right/left or other model
Manufacturing mixing? Does the jig damage the part
Fixture in any manner?

If more than (1) jig, are part quality

Part data confirmation (Line 1/2) 1
results the same?

Are the parts held firmly to the datum

Check datum locations 1
points?

Are datum locations adequate for a

Check datum locations 1
good manufacturing conditions?

Do they have spare parts for the

Check parts inventory status 0.5
equipment?

Are the jigs identified as to what

Check jigs 0.5
model they are for?

If different fixtures are used for part

Fixtures should be bar or color coded in
variations, how are changeovers 1
some way
confirmed?

Does cycle time target equal actual

4 Check actual cycle time (stop watch) 0.5 0
Process Control - results (each manufacturing process)?
In-Process
Performance
Does the scrap rate target equal actual
Check actual scrap rate tracking 0.5
results?

Are statistical process controls being

used? ( Xbar, R, Run charts - for Check Control Plan and actual tracking 1
critical control points)

Are the parts within KMM's Check actual CPK on critical points (data
1
capability standard (Cpk 1.33)? sheet points)

Do they have a quality improvement Check system and recent improvement

1
system? activity

Are internal rejections tracked for

Review internal tracking system 0.5
trends?

Do they have an internal

Review system 0.5
countermeasure system?

Is management aware of quality Check for management awareness

1
performance? (signatures etc)

Rev: 01
Rev Date: 16/11/2016 COP5 - F06
"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 4/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Is the QA machine checking all

5 features as specified on the Control Confirm Control Plan 1 0
Process Control - Plan?
Q.A. Machine
How is the operator notified of a
Light, Horn, Alarm 1
defect (NG part)?

Does the line stop when a NG part is

Run a NG part through machine 0.5
detected?

Who is authorized to re-start the line?

Review the policy/Management Signature 0.5
Management?

Are NG parts quarantined in a hold

Non-conforming In-process area 1
area?

Is the part labeled signifying that it

Part label application timing 1
passed QA Machine testing?

Do they have non-conforming tags

Check tag location for ease of access 0.5
close to the QA machine?

Is there a contingency plan if the Q.A.

machine is not functioning (out for Check policy. (What is backup plan) 0.5
service)?

Is there qualified personnel to do Ask who does the machine maintenance.

1
Q.A. machine maintenance? Verify training

Are there error proofing masters for

Check for masters 0.5
the QA machine?

How are repair parts controlled?

Confirm with QA machine 1
Flow?

Is the specific part failure identified?

Confirm identification method 0.5
(to focus the repair)

How are part variations handled in the Master parts should be used to confirm
1
machine at changeover? components

Material Cert. Sheets, (Dwg VS actual

Product Control 6 Is the correct part Raw Material being Material Code #) (on file, approved, 0.5 0
- used?
tracking)
Receiving
Inspection Is the material color correct? (If
Judge with Kia Master Plaque 0.5
applicable)

Is there lot control for critical all raw

Lot #/Heat #/Date 1
materials/component parts?

As per the Control Plan, are quality Receiving Inspection Data Sheet (Review
1
checks being done? Recorded? example)

Are non-conforming materials placed Review non-conforming material area.

1
in a quarantine area? Check floor for unidentified parts.

Check actual flow on floor (ex. Push/Pull

Are parts/materials being used on a
system). Check actual dates on 1
FIFO basis?
parts/materials.

Audit one or two examples. Check plan vs.

Are all measuring tools calibrated? 0.5
actual dates on tool tags.

How does supplier confirm they have Compare to P.O., E/O status list. Confirm
the correct part #'s and E/O #'s? For that the change management policy is being 0.5
KMM Supply parts, others? followed

Rev: 01
Rev Date: 16/11/2016 COP5 - F06
"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 5/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Is the Inspection area clean and well

Product Control 7 lit? Inspect area 0.5 0
- Final
Inspection Does the associate know what to
Ask the associate/Check Op. standard 0.5
inspect for?

Are limit samples posted? Check actual board 0.5

Are defective parts put in a non-

Check non-conforming parts area 1
conforming area? Are they tagged?

Are the parts identified as passed final

Check actual system 1
inspection area (stamped with code)?

Is the Inspector qualified to

understand an acceptable quality Ask the Inspector what they are checking for 0.5
level?

Does the final inspection check the

Confirm actual situation 1
critical control points?

Is the repair area away from the M/P

Product Control 8 line (if off-line repair)? Check repair area location 0.5 0
-
Non-conforming
Parts Can repair parts be mixed with M/P
Confirm flow & repair location 1
ok parts?

Are parts labeled as being repaired,

Check labeling policy 0.5
once the repair is complete?

Are the parts re-routed back through

Confirm flow 1
the M/P line for re-inspection?

Are daily rework items recorded?

Confirm tracking mechanism 1
(Plan vs. Actual)

If rework actual above target, is Check gaps (target vs. actual) and corrective
1
feedback system in place? action

Do non-conforming tags clearly

Review part identification system 0.5
identify part status?

How does the supplier prevent part

mixing? Other variations/model Review part identification system 1
types parts etc.

How is repair handled? Who does it?

Confirm method. Review non-conforming
How is part marked? Are parts 1
part flow
identified with defect to be repaired?

Are non-conforming material releases

Review actual non-conforming label 0.5
signed by QA management?

Are rejects or scrap reviewed before Confirm scrap and rejects before product is
1
product is released for shipment? released

Rev: 01
Rev Date: 16/11/2016 COP5 - 06
"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 6/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Is the part within KMM specifications

9 Measure a sample of parts 1 0
Product Control (as per data sheet)
-
Part Inspection
Is the part at the correct KMM EO
Confirm design change level part 0.5
level?

Is there a design change tracking

Confirm system/process 0.5
control method?

Is there a method to confirm visual

Check Control Plan visual inspections 0.5
inspection was completed?

Are parts within limit boundaries? Check part to limit samples 1

Are quality checks built into the

Check inspection flow, redundancy 0.5
process (assoc. double checks)

Is the part color within acceptable

limits? Is lot to lot color variation Kia Master Plaque 1
controlled?

Is the gloss within acceptable limits? Must meet Kia approved master sample 0.5

Does the supplier use Go/No Go

Check approved part to master gauge 1
gauges properly?

Check component and Raw Material

Is the lot control system effective? 1
traceability

Do the production parts meet the

Confirm parts with master sample 0.5
feeling/Illumi master sample?

Are inspection criteria identified and

Confirm posting 1
posted?

Are all KMM Specification tests done Confirm test report is complete and signed
1
and passed all requirements? by Management.

Are test samples segregated away

10 Check test part holding area? 0.5 0
from M/P line flow?
Product Control
-
Off-line Testing
Is the testing completed and recorded
Check Control Plan 1
as per control plan ?

Are all results recorded and on-file?

Confirm past testing results 1
How long are they retained?

Are the results signed by QA

Confirm past testing results 0.5
management?

Are test samples put back into If put back into production, verify part would
1
production or scrapped? still be good.

Rev: 01
Rev Date: 16/11/2016 COP5 - F06
"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 7/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Is the fixture certified with supporting

11 Fixture certification report 1 0
Product data?
Control -
Inspection
Fixtures/Tools
Is the fixture at the correct D/C level? Fixture cert. Report and identification. 1

Is the fixture functionally friendly? Install parts in the fixture 0.5

Can the part be misset on the fixture? Install parts in the fixture 1

Does the fixture simulate the in

Confirm datum structure 1
vehicle condition?

Can the associate find a defect part

Install parts in the fixture. Record results. 1
with the designed datum structure?

Is the fixture being used at intervals

Check actual data recording timeline 0.5
specified by the control plan ?

Are all measuring tools calibrated? Check plan & actual dates on tool tags 0.5

Does the supplier use certified

Check part with gauge 0.5
gauges?

Are qualified operators using gauges /

Check training records 1
fixtures?

Is the control plan accurate and

12 Confirm control plan content 1 0
Product include all critical quality checks?
Control -
Documentation Do the Work Instructions reflect the Compare Work Instruction content; confirm
1
actual processes? approval sign offs

Are all documents at the latest EO Confirm Kia Dwg EO level to

0.5
level? documentation

Is the change management system Review the change management control

0.5
being used correctly? system (flow chart etc)

Is there a system to control work

Confirm system and line side temporary vs.
instruction updates? Quality 1
permanent document
documents?

Is there an actual changeover

Confirm procedure with proper signatures 1
procedure?

Do the operators understand their job

13 Ask them their job responsibility 1 0
function/critical control points?
Man -
In-Process Has each associate achieved their
Manpower
targeted level of training? Does the
Review training Matrix (Plan vs. Actual) 1
training matrix explain who has been
trained for which processes?

Are they following approved Observe the operator activity. Confirm sign-
1
Operation Standard procedures? offs

How do operators become certified on

Review company training procedure 1
a process?

Do the operators understand how part

Ask them if they understand their job. 1
defects impact the vehicle?

Check full production manning

All appropriate manpower in place? 0.5
requirements.

Are the mass production operators in Confirm new model team not running the
0.5
place?(For new model activity only) line

Rev: 01
COP5 - F06
Rev Date: 16/11/2016 "Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Rev. 10
Rev Date: 12/08/11
Level 3 Supplier Process Audit Form
Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 8/ 9
Dept. SQC

Evaluation Sheet
Evaluation Item Allotme
Classification Check Items Evaluation Criteria Result Total Checklist
(Comments) nt

Do operators understand their

14 Confirm with operator 0.5 0
influence on quality
Man -
Spirit/Mindset
Is there a pleasant work station Daylight lighting / Tranquility garden /
0.5
environment? skylights / ergo tools

Do operators enjoy their work? Confirm with operator 0.5

Are operators empowered to make

Confirm with operator 0.5
improvements?

How does the operator guarantee that Computer tags printed depending on model
15 0.5 0
the box is labeled correctly? variation
Logistics -
Packaging
How are the outgoing change points
Confirm Procedure 1
controlled?

How does the shipping associate

guarantee shipping of correct Barcode Scan system 0.5
product?

How does the associate know how to

Confirm Control Plan 0.5
pack the parts?

Sample board available for Part

Check Sample Boards 0.5
Distinction? Mixing concerns?

What does associate do with partials Designated associate to identify and re-
1
at the end of a run? introduce partials

The material received are being used Check material (incoming) to the control
16 0.5 0
per control plan plan
Sub-Contractor -
Tier 2
FIFO utilized during the receipt of Check material storage in warehouse & line
1
parts side

Check inspection agreement for Tier Check for management of critical control
0.5
2, 3, (critical items) items

Process Audit at Sub Suppliers (tier 2, Verified evidence of completion (check

0.5
3,) notes)

Does the supplier subscribe to KMM What communication has been sent to
0.5
Zero Defects Philosophy supplier?

Continuous Improvement w/ sub Evidence of continuous improvement by sub

1
supplier supplier

Verify completion of required testing at sub

PV Testing Completion 1
supplier

Rev: 01
COP5 - F06
Rev Date: 16/11/2016 "Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."
 Document#: COP5 – F06
Revision: 1
Date of Emission: 16/11/2016
Page: 9/ 9
Dept. SQC

Prepared Checked Approved

KMM

Supplier process audit problem improvement

plan /action report (A) Prepared Checked Approved

Supplier

Responsible Responsible
S/No. Problems Detailed improvement activity Action date Status
manager person

"Uncontrolled version when printed--Reference Only. The controlled version of this document is electronically maintained."