Self assessment
Supplier Audit Checklist
Materion on-site
Page 1
Auditor's Name Date of audit:
Department: Date of report:
Advanced Materials Group
Supplier Code:
<Please input Supplier Name>
DUNS:
Phone:
Fax:
Products Produced at Supplier
Audit Subject / Product Distribution list:
Main Customers for Supplier
Assessment System Audit:
Certification done by:
Certification valid until:
Certification rating:
Certification score: 0%
Participants
<Please input Supplier Name> Materion AMG (If on-site audit)
Name Organization / Function Name Organization / Function
Result:
Overall Degree of Conformity: 0 [%]
Calculated Rating:
Remarks to the rating (Auditor/Supplier):
Signatures
Supplier Lead Auditor Co-Auditor(s)
COR-QF-0004 Rev 8
Supplier Audit Checklist - grading
Page 2
0
Supplier: <Please input Supplier Name> Date of audit:
Auditor's Name:0 Supplier Code:
Result:
Overall Degree of Conformity: 0 [%]
Calculated Rating:
Individual assessment of the questions
Points Assessment
10 Full compliance with requirements
8 Predominant compliance with requirements minor nonconformities
6 Partial compliance with requirements more severe nonconformities
4 Unsatisfactory compliance with requirements major nonconformities
0 No compliance with requirements
Grade Overall degree of conformity level (%) Grading of the process
A 90-100 Full compliance
B 80 to less than 90 Predominant compliance
C 60 to less than 80 Partial compliance
D less than 60 No compliance
COR-QF-0004 Rev 8
Supplier Audit Checklist - Cha
Page 3
0
Supplier: <Please input Supplier Name> Date of audit:
Auditor's Name: Supplier Code:
Overall conformity
Evaluated Processes
0 10 20 30 40 50 60 70 80 90 100
Management Element 1,2 Mgt 1 0 Mgt 1
Management Element 3,4 Mgt 2 0 Mgt 2
Quality Management System Element 5 QMS 0 QMS
Process Element 6 PRC 0 PRC
Customer Service / Satisfaction Element 7 CS 0 CS
Overall Degree of Conformity Overall 0
Overall
COR-QF-0004 Rev 8
Supplier Audit Checklist - Formulas
Page 4
0
Supplier: <Please input Supplier Name> Date of audit:
Auditor's Name: Supplier Code:
A. Management
1 2 3 4 5 6 1 2 3 4 5
Administrative Policies 0 0 0 0 0 0 Supplier Performance 0 0 0 0 0 Mgt 1 0
1 2 3 4 5 6 1 2 3 4 5 6
Non-Conforming Material 0 0 0 0 0 0 Engineering Changes 0 0 0 0 0 0 Mgt 2 0
B. PRODUCTION
1 2 3 4 5 6 7 8 9
Quality System 0 0 0 0 0 0 0 0 0 QMS 0
Process Audit (Evaluation of the overall process)
6.1 Personnel/Qualification 6.2 Production material/Equipment 6.3 Transport/Parts Handling 6.4 Fault Analysis/Corrections/CIP
1 2 3 4 5 1 2 3 4 5 6 7 1 2 3 4 5 1 2 3 4 5 6
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Process 0
7 Customer service/ Satisfaction 1 2 3 4 5
0 0 0 0 0 CS 0
Mgt1 + Mgt 2 + QMS + Process + CS
Overall degree of conformity = 0
No. of evaluated elements
COR-QF-0004 Rev 8
Supplier Audit Checklist - Management
Supplier: <Please input Supplier Name>
Date:
Findings
A. Management
Rating
1. Administrative Policies
1.1. Does the Supplier have a NDA signed with AMG? Is the NDA still in compliance? 0
<The intent of this question is to understand if a signed NDA is in place>
1.2. Does the Supplier have an Environmental Management Policy? Is the Supplier ISO14001 compliant? 0
<we encourage all suppliers to maintain policies and procedures that positively affect the environment.
If a supplier does not have a program, encourage the supplier to adopt practices and reach full
1.3. certification.>
If the Supplier is not ISO14001 compliant, is there a plan in place to be compliant? 0
<If no plan is in place, score 0. If there is no plan but evidence of compliance or procedures in place,
1.4. score 6> Supplier have a written ethics policy, labor policy and require sub-suppliers to have such
Does the 0
policies?
<The purpose of this question is to ensure that the essence of the EICC is passed from AMG to our
suppliers. As a partner in the community and general society, AMG strives to ensure our suppliers
comply with labor laws, ethics and to have plans in place to pass on these requirements to their
suppliers. The spirit of the EICC is based on this.>
1.5. Does the Supplier have a Risk Management Policy and has this policy been submitted to AMG? 0
<The purpose of the Risk Mgt Policy is to ensure that if the supplier suffers a major event that the supply
of material to AMG is not affected. If no plans are in place, score 0. If some parts of a plan are in place
or evidence can be found, score from a 4 up to 6.>
1.6. Has the Supplier reviewed the AMG Supplier Quality Manual and completed the Self Assessment Survey
within the last 3 years? 0
<With any policy or procedure implemented, if it is not periodically reviewed, changes may not be known
to the organization. AMG requires our suppliers to periodically review the AMG Supplier Manual to
ensure that their organizations still comply with the general expectations noted.>
2. Supplier Performance
2.1. Has the Supplier completed the Self Assessment Survey and received a score of >70%? If <70%, has the
Supplier implemented action plans to raise score to >70%? 0
<This ties into question 1.6. Suppliers are to have reviewed the manual and then completed a self
assessment to those requirements documented in the survey. If a score is <70%, the supplier shall have
plans to raise the score. Base the score for this question on the responsiveness of the supplier.>
2.2. Are there any open SCAR's for this Supplier? What is the average length of time to closure for SCAR's?
Does the Supplier monitor their performance to SCAR closure time? 0
<This question is to ensure that the supplier is responsive to issues affecting AMG.>
2.3. Does the Supplier respond to all SCAR's in an 8D format? 0
<If a supplier does not utilize a 8D for responsiveness, then score a 0. Suppliers are to use this format.
Any format the supplier uses within an 8D format is acceptable.
2.4. Does the Supplier maintain a Delivery Performance >80%? If no, what plans has the supplier
implemented to raise the delivery to >80%? How have these action plans been communicated to AMG? 0
<This question is to ensure that the supplier is responsive to issues affecting AMG.>
2.5. Does the Supplier Maintain the Corrective Action System? How are Corrective Actions monitored? 0
COR-QF-0004 Rev 8 Management P. 5 of 12
Supplier Audit Checklist - Management
Supplier: <Please input Supplier Name>
Date:
<This question is to ensure that the supplier has an effective system in place to monitor and respond to
internal and external issues. An effective CAR system is evidence of an organization that can properly
document & define root cause and the related corrective actions to resolve those issues. If no CAR is in
place, score 0. If a CA system is in place but lacks evidence of proper management, score 4. An
electronic system is preferred rather than a paper system.>
3. Non-Conforming Material
3.1. Does the Supplier have a Non-Conforming Material (NCM) Process? 0
<A Non-conforming system is an essential ingredient in the control of material within an organization. In
process non-conforming material shall be controlled to ensure it does not escape to AMG. Material that
is delivered to AMG shall have a process for being returned and analyzed for Root Cause and Corrective
Action.>
3.2. Does the NCM Process result in formal Corrective Actions? 0
<Question works to understand if the NCM process creates Corrective Actions so that the issues are
resolved and do not come back.>
3.3. Does the NCM Process adequately segregate nonconforming material from material available for
production purposes? 0
3.4. Does the NCM Process segregate nonconforming material that is found in process? What evidence 0
supports this?shall be a physical separation. Material does not need to be in a locked cabinet or locked
<Segregation
cage but does need to be removed from in-process material and be properly designated via work order
paperwork or labeling that the material is segregated,>
3.5. Are all shop-floor personnel appropriately trained in the NCM Process? What evidence supports this? 0
<Operators should be able to answer "What do you do with material that is defective, does not meet
specification, etc" to assess this.>
3.6. Is Management aware of the NCM Process? How is Non-Conforming Material tracked within the 0
Organization?
<Supervisors/Managers should be able to answer "What do you do with material that is defective, does
not meet specification, etc" to assess this. One of the key findings needs to be a system to track and
manage this process. Is there a metric of Poor Quality? Do these issues result in a CAR?>
4. Engineering Changes
<All of the questions in 4 pertain to the Suppliers Change Management process. Changes to a supplier's
process (methods, equipment or location), product (specs, formulations, raw materials), packaging, or
inspection and test methods are strickly prohibited unless formally approved by authorized AMG
personnel. Supplier shall notify AMG in wriiting of any intended significant changes with enough
advance notice to enable AMG to evaluate, validate, and approve the proposed change. Suppliers are to
have a process in place internally to manage their process changes. If no change system exits, score a
0.>
4.1. Does the Supplier know of the AMG Supplier Request for Change Procedure? What evidence supports 0
this?
<If the supplier has reviewed the AMG Supplier Quality Manual they should be aware of this procedure.
The Signoff on the front page of the Manual is the evidence of this.>
4.2. Has the Supplier submitted to AMG any Supplier Request for Change Forms? If so, were these
submitted prior to the change occurring within the Supplier organization? 0
4.3. Does the Supplier have an Engineering Change Notification and Approval Process? Does the process
specify that the Customer is to be notified prior to changes? How are ECR/ECN's approved? 0
4.4. How is In-Process material segregated if a ECR/ECN'S is initiated? 0
4.5. Does the Supplier utilize an electronic ECR/ECN'S approval process? 0
COR-QF-0004 Rev 8 Management P. 6 of 12
Supplier Audit Checklist - Management
Supplier: <Please input Supplier Name>
Date:
4.6. Are all shop-floor personnel, engineering resources and management personnel appropriately trained in
the ECR/ECN'S Process? What evidence supports this? 0
COR-QF-0004 Rev 8 Management P. 7 of 12
Supplier Audit Checklist - Production
Supplier: <Please input Supplier Name>
Date:
Findings/Deviations
B. Production
Rating
5. Quality System
5.1. Does the Supplier have a Sub-Supplier Management process in place? Does the Supplier issue SCAR's
to sub-suppliers and does it require its sub-suppliers to respond in an 8D format? 0
<AMG requires its suppliers to manage their suppliers. The requirements AMG has in place for its
suppliers shall flow down to their suppliers. The supplier shall have in place a system to accomplish
this - through a Supplier Quality Manual, Memo's, Purchase Order Terms & Conditions, etc are all
acceptable means. The supplier shall measure and monitor their suppliers. If no system exists, score a
0.>
5.2. Does the Supplier have a Product Traceability program in place? What evidence supports this? 0
<Product traceability is critical to ensure that the correct material is delivered to AMG. The supplier
shall have a means of ensuring in-process material that meets specifications is delivered and not
improperly handled or shipped. Evidence would be a bar coding system, work order paperwork, MRP
system, RFID chips, travelers, etc.>
5.3. Does the Supplier have a quality performance and corrective action system introduced when there are
deviations from the requirements; for Finished Product, for In-Process Product, and for Supplier
Product? Does the Supplier utilize an Internal Audit program? Are IA's scheduled and planned for the 0
full calendar year?
<This question works to understand what internal processes are in place to ensure that the supplier is
reviewing their processes and seeking to make Continuous Improvement. Does the supplier complete
Internal Audits? If the supplier is ISO certified, this question should be scored a 8 or 10. A lack of a
system is a 0.>
5.4. Does the Supplier have target agreements for continuous improvement of products and processes?
Have these actions been implemented? 0
<This question is to understand Improvement in the company. Most leading companies utilize Lean Six
Sigma to drive improvement. Encourage the supplier to adopt these methodologies. AMG training is
available to all suppliers. If no system is in place for improvement, score 0.>
5.5. Does the Supplier utilize elements of Lean Six Sigma? Does the Supplier have a Lean Six Sigma
program in place? Does the Supplier train employees in Lean Six Sigma tools? 0
<This question is to understand Improvement in the company. Most leading companies utilize Lean Six
Sigma to drive improvement. Encourage the supplier to adopt these methodologies. AMG training is
available to all suppliers. If no system is in place for improvement, score 0.>
5.6. Is the Supplier ISO9001 certified or compliant? If certified, has the certificate been sent to AMG? If the
Supplier is not compliant, is there a plan to become compliant? 0
<If the supplier is not ISO certified and no plans to become certified, score 0, If the supplier is not
certified but does have a plan, score 4. If the supplier is certified, score a 10.>
5.7. Does the Supplier maintain a Document Control System? Are documents managed electronically? 0
<If the supplier is ISO certified, score a minimum of 8. If not ISO, are documents controlled? Is there a
system in place to manage approvals and changes? Are there procedures in place for the operators?
Review score based on the level of the system.>
5.8. Does the Supplier maintain a Management Review process following ISO9001 guidelines? What is the
frequency of Management Reviews? Is the Quality System assessed annually? Does the Management 0
Review result in Corrective Actions?
<If the supplier is not ISO certified and no plans to become certified, score 0, If the supplier is not
certified but does have a plan, score 4. If the supplier is certified, score a 6 minimum. If ISO certified,
review the mgt reviews to ensure proper compliance. Management Reviews for NON ISO can be
monthly meetings, weekly meetings, daily meetings.>
COR-QF-0004 Rev 8 Production P. 8 of 12
Supplier Audit Checklist - Production
Supplier: <Please input Supplier Name>
Date:
5.9. Evaluate the training and experience levels of the Quality staff and Engineering Staff. Do personnel
have Bachelors in their respective fields? What other certifications / skills are present. 0
<This question works to understand the competence of the staff in the Quality and Engineering areas.
These individuals are critical in resolving issues with product delivered to AMG.>
COR-QF-0004 Rev 8 Production P. 9 of 12
Supplier Audit Checklist - Production
Supplier: <Please input Supplier Name>
Date:
6. Process
6.1. Personnel / Qualification
<Questions 6.1, 6.2, and 6.3 are provided to gauge the competence of the workforce, ensure that the
operators can act autonomously within the workplace - making decisions for themselves on how well
the process is operating and can they freely stop production if an issue arises. Ask the operators
questions.>
6.1.1. Are the employees given responsibility and authority for monitoring the product / process quality? 0
6.1.2. Are the employees given responsibility and authority for production equipment and environment? 0
6.1.3. Are the employees suitable to perform the required tasks and are their qualifications maintained? 0
6.1.4. Is there a personnel plan that includes adequate staffing of critical operations and training of 0
replacements?
<This question seeks to understand how valuable the human resources are in the company. Are plans
in place to ensure that critical operations are properly staffed and replacements to those positions
receive the necessary training to operate those positions. >
6.1.5. Are instruments to increase employee motivation effectively implemented? 0
<This question is subjective. What evidence is available that promotes the company as a means to
encourage and motivate? Why type of rewards & recognition programs exist?>
6.2. Production Material / Equipment
<All the questions in section 6.2 are designed to understand the production process and how well the
process (es) are being maintained. Review to see if evidence of Preventative Maintenance are in place, a
Calibration system, etc. When reviewing these items, if one or two items are out of order, score
minimum of 6. If there is no system in place or a system that is not being maintained, score maximum of
4.>
6.2.1. Are the product-specific quality requirements fulfilled with the production equipment / tools? 0
6.2.2. Can the quality requirements be monitored effectively during production with the implemented
inspection, measuring and test equipment? 0
6.2.3. Are the work and inspection stations appropriate to the needs? 0
6.2.4. Are the relevant details in the production and inspection documents complete and maintained? 0
6.2.5. Does the Supplier maintain a Calibration System? Are past due calibrations monitored? What is the
reaction plan if items go out of calibration while in use? What evidence supports that the Calibration 0
System?
6.2.6. Does the Supplier maintain a Preventative Maintenance System? Are past due PM's monitored? What is
the reaction plan if items go out of PM while in use? 0
6.2.7. Does the Supplier utilize a Corrective Action System for resolving Calibration, PM or Product Quality
Issues? Are the required corrective actions carried out on schedule and checked for effectiveness? 0
COR-QF-0004 Rev 8 Production P. 10 of 12
Supplier Audit Checklist - Production
Supplier: <Please input Supplier Name>
Date:
6.3. Transport / Parts Handling / Storage
<All the questions in 6.3 seek to understand the working area cleanliness and how well the operators
take care of their respective work areas.>
6.3.1. Are the quantities / production lot sizes matched to the requirements and are they purposefully
forwarded to the next work station? 0
6.3.2. Are products / components appropriately stored and are the transport means / packaging equipment
tuned to the special properties of the product / components? 0
6.3.3. Are rejects, rework and adjustments parts, as well as internal residues strictly separated and identified? 0
6.3.4. Is the material and parts flow secured against mix ups exchanges by mistake and traceability 0
guaranteed?
6.3.5. Are tools, equipment and inspection, measuring and test equipment stored correctly? 0
6.4. Fault Analysis / Correction / CIP
<All the questions in 6.4 seek to understand if the supplier has elements of Continuous Improvement in
place. If no evidence supports the question, score 0. Some evidence but lack of a cohesive program,
score max of 4 for the question.>
6.4.1. Are quality and process data recorded completely and accessible for review? 0
6.4.2. Are the quality and process data statistically analyzed and are improvement programs derived from this? 0
6.4.3. Are the causes of product and process nonconformities analyzed and the corrective actions checked for
their effectiveness? 0
6.4.4. Are processes and products regularly audited? 0
6.4.5. Does the Supplier have a Process Map, FMEA and Control Plan for the process? 0
6.4.6. Are product and processes subject to continuous improvement? What evidence supports this? 0
7. Customer Service / Satisfaction
7.1. Are customer requirements fulfilled at delivery? 0
<It is critical for the supplier to measure their On Time Delivery performance to AMG. It is also critical
that shipments are made in full at time of delivery, Evidence of this would be for the supplier to show
OTD metrics.>
7.2. Is customer service guaranteed? 0
<Subjective answer>
7.3. Are complaints quickly reacted to and the supply of parts secured? Does the Supplier utilize 8D format
in response to all customer complaints? How are SCAR's tracked for closure? 0
<SCAR's are critical, proper resolution and timely resolution will protect AMG moving forward. If the
supplier does not have system to monitor and provide timely resolution to SCAR's, score 0. A system in
place to track SCAR's but one that does not ensure timely response, score max 4.>
COR-QF-0004 Rev 8 Production P. 11 of 12
Supplier Audit Checklist - Production
Supplier: <Please input Supplier Name>
Date:
7.4. What Root Cause analysis tools are utilized to close complaints?
0
<When responding to SCAR's, the 8D format shall be utilized. For root cause, techniques such as
Fishbone, 5Why, FMEA, Is Is/Not shall be utilized when necessary. AMG provides 8D training. If no 8D
system is in place, max score is a 4.>
7.5. Overall summary of Customer Service per AMG Auditor? 0
<This is a subjective area for the auditor.>
COR-QF-0004 Rev 8 Production P. 12 of 12
