Supplier Process Audit Questionnaire

ABB Supplier Process AuditGeneral Instructions

9AKK102952, Revision C page 1/8 Printed 04/21/2023 @ 13:18:43

How to fill it in?

How to fill in the Score cells in the Process Audit worksheet?

For each question choose between 5 scores from the in-cell drop-down menu that appears when you select the cell:

10 The supplier fully meets requirements.

8 Most required elements of the requirement are present.

5 The supplier partially meets the requirements.

2 There is some evidence of requirements present.

0 There is no evidence to support the requirements.

Leave the cell blank if the question is not applicable - the 'N/A' cell will be changed automatically.

Please use the comment cell to provide information supporting the rating selected.

Please fill in the Process Audit worksheet first.

The Summary score will be calculated automatically, but you have to fill in manually Conclusion and Comments.

ABB Supplier Process AuditQuestionnaire


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Pre-Production 53% N/A Comments and Supporting Documents

(Please provide information supporting the rating)

1 8

2 8

3 Are open engineering issues addressed with an appropriate action plan? 5

4 0

5 Does the Supplier have a well defined process flow chart? x

6 x

7 x

8 x

9 x

10 x

11 Have bottlenecks been identified and addressed? x

12 x

Pre-Production relates to activities that occur prior to the creation of the product or service being sourced at the Supplier.

Does the supplier have all latest LPI drawings and specs? Were they internally approved and distributed?Should include disposal of obsolete documents

Does the Quality File include all specific LPI required documents?Refer to Supplier Requirements for list of documents, I.e. Design Review docs

How does the supplier incorporate learning from field experiences into their engineering activity?Improved product design, improved processes...

Has a Process Failure Mode Effects Analysis been performed? Are the corrective actions documented, implemented and effective?Applicable if LPI has requested a Process FMEA. Check that FMEA indices are reviewed and updated on a regular basis

Has the supplier approved internally its process before submitted Control Plan to LPI?Has Control Plan been submitted and accepted by LPI?Check that last revision has been incorporated.Are there any major differences between the Control Plan and the actual process and product/process controls?

Has process capacity study been completed? Is there adequate capacity to produce the LPI deliverable?

Does the supplier have adequate containment plans for first production runs; if not in-house, is there an external containment plan in place?Containment plans are necessary to ensure that initial production runs meet all requirements



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Sub-Supplier Management ### N/A

13 x

14 x

15 x

16 x

17 x

18 x

19 x

20 x

21 x

22 x

23 x

24 x

Comments and Supporting Documents (Please provide information supporting the

rating)Does the Supplier have a effective sub-supplier approval process?Check the sub-supplier corrective action requests...

Does the supplier maintain a list of approved sub-suppliers for all components, materials and services? How does the supplier express LPI requirements in their Purchase Orders?Such as: material specifications, important dimensions and tolerances, restricted substances, … Should include LPI approved suppliers if required.Have all purchased components, materials and services from sub-suppliers been approved by the supplier through a formal process?Check Initial Samples reports for each component and material

In case of subcontracting, did the supplier audit the sub-supplier process, and does the sub-supplier deliver a Conformance Report to the supplier?

Does the supplier perform an Incoming Inspection? Is it according to the Control Plan?Non-conformances effectively handled in corrective action system?

Are incoming lots isolated until they have been approved? Check that sampling rules and decision criteria are clear

How does the supplier handle special lots?Such as: Initial Samples, Prototypes, Trial Orders, …

Is there a formal process for the self-certification status? Are there random checks in place for self-certified components and materials?

How does the supplier document the receipt of materials and services?Receipts are in local business system and includes quantity, lot numbers, receipt date, …information that supports part traceability

Is there a sub-supplier performance-Quality, Delivery, monitoring process defined and used for improvement?Also check the criteria and responsiveness of sub-suppliers in case of customer complaints, Sub-supplier corrective action requests.Are customer supplied products controlled?Applicable in case LPI provides products to be assembled in the final product



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Production/Service Execution ### N/A

25 x

26 x

27 x

28 x

29 x

30 x

31 x

32 x

33 x

34 x


rating)Is there a formal start-up procedure?First part should be approved. In case of a long stoppage in operations, start-up procedure should be applied

Are operating and inspection instructions clearly posted at point of operations, and are they known by operators?Check that they are in conformance with Product/Process Control Plan. Do they adequately detail how to perform the operations and what to inspect?

Are all special characteristics checked by a mistake proofing or process control methods like Statistical Process Control?Applicable in case the component has special characteristics.If not controlled by mistake proofing, are containment plans and corrective actions in place? Is this documented in the Control Plan?

Are customer approved master samples available at required workstations?Applicable if LPI has requested it.Are accredited labs used to perform testing? Applicable when testing is requested by LPI. Check that labs used by the supplier are linked with international calibration standardsIs there a formal approval procedure before the lot is transferred to the next stage?

Does the packaging used in production comply with safety requirements? Does it protect efficiently components and materials?

Is a disposal system in place for rejected material/components? Check that bins are marked with a color code for easy identification

How does the supplier monitor process effectiveness and implement changes for improvement?Use of SPC, process capability studies, kaizen events, feedback to engineering,...

Does the Supplier have a documented Maintenance Plan, including Preventive Maintenance?Does it include all machinery, tools and auxiliary equipment? Are number of spare parts stocks are on line with Plan? Are tooling waiting for maintenance clearly marked as such?



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35 x

36 x

Logistics ### N/A

37 x

38 x

39 x

40 x

41 Does the supplier respect the validity dates for perishable items? x

42 x

43 Are finished goods properly identified according to LPI requirements? x

44 x

45 x

Is there an estimation of the tool life available? Is it in line with LPI production plan?Does the estimation match the minimum guaranteed production volume on LPI purchase order?

Is proper tooling available for production? Is it in good condition?Has the tooling been validated for this use prior to production?


rating)Is the supplier able to receive and understand LPI order releases and delivery dates?Check EDI or web connections - Ask the supplier to review last release

Does the supplier have a systematic incoming/WIP/finished goods inventory check? Does it include incoming/WIP/finished goods inventory check? Are the results accurate enough?

Does the supplier work on a FIFO system?Check how they monitor dates and control sequence of usage.

Are safety/consignment stocks levels monitored?Is the frequency appropriate for LPI needs? Are inventory checks performed by the supplier?

Are packaging and shipping instructions clearly posted at point of operations, and are they known by operators?Check that they are in conformance with Product/Process Control Plan. Do they adequately detail how to perform the operations and what to inspect? Check for customer complaints/warranty claims from errors in packaging and shipment.

Is the quantity/weight indicated on bill of lading accurate?Check the process with the operator

How have transportation suppliers been identified. Are transport/warehousing companies regularly inspected? How do they monitor the performance of these suppliers? Corrective actions?



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46 x

General ### N/A

(Please provide information supporting the rating)

47 x

48 x

49 x

50 x

51 Are personnel trained and certified for their assigned function? x

52 x

53 x

54 Does the supplier handle non-conformances according to procedures? x

55 Are immediate/corrective actions taken and are they efficient? x

56 x

How does the supplier measure its lead-time and On-Time Delivery to customers?If not in conformance with LPI needs, review the corrective actions?

Comments and Supporting Documents

(These items cross departmental boundaries and should be evaluated throughout the audit. It is expected that these items will be sampled at various times during the

audit and the final score will reflect the overall status.)

Has the supplier implemented corrective actions requested from the last Quality Management System audit?

Have corrective actions from last environmental management system audit been implemented?

Are quality and financial results of the company communicated to personnel on a regular basis?

Are safety regulations applied in work areas?Look at worker's behavior to check if the policy is understood and applied. Are there electrical cabinets left open? Do they wear ear/eye/feet protection? Are machines equipped with guards? Is appropriate handling equipment available?

Is there an effective identification/traceability system in place? Check that for the particular item, you can trace it from source to delivery to LPI. This should include any 'special' lots as well.

Is the status clear for all work within the operations?This applies to work performed, office, factory, site; parts, components, products; are quarantined items segregated?

Does the supplier use a Problem Solving Method, such as 8D, PDCA, …?Review a sample of Supplier's corrective actions, How do they handle customer complaints? Check effectiveness of problem solving with quality monitoring and check control plan has been updated.



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57 x

58 x

59 Are work areas clearly identified, clean and organized, well lighted? x

Total Score ###

Does the supplier have a formal modification process?Check the last modification for the considered item.

Has an adequate gauge control program been implemented?Calibrations traceable to internationally recognized standards, Gage R&R studies performed, all gages in calibration, checking fixtures available; operators trained.

ABB Supplier Process AuditSummary


Supplier Supplier name, Location, and date of Audit

Areas for Improvement Action Plan Resp. Date

Comments

Revision Control

Conclusions(to be filled in by ABB)

Pre-Production

Sub-Supplier Management

Production/Service ExecutionLogistics

General

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Score by Section

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Total Score

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Enter date and summary of revision