THE GLOBAL SUPPLIER QUALITY ASSURANCE SYSTEM

ELECTROLUX MAJOR APPLIANCES THE GLOBAL SUPPLIER QUALITY ASSURANCE SYSTEM SUPPLIER PROCESS AUDIT QUESTIONNAIRE EL 29002A OEM Edition 2007 Revision A ...
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ELECTROLUX MAJOR APPLIANCES

THE GLOBAL SUPPLIER QUALITY ASSURANCE SYSTEM

SUPPLIER PROCESS AUDIT QUESTIONNAIRE EL 29002A OEM Edition 2007 Revision A

GSQA EL29002A OEM - 2007

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Preface The purpose of this document is to communicate to current and potential suppliers the Supplier Management System Process Audit Requirements and the actual Assessment process used. Purchased materials/components constitute a major proportion of the products manufactured, and, consequently, the quality of these materials/components is of utmost importance for the overall quality of our products. We shall have the assurance that suppliers have effective operating Management Systems, and especially with Processes under control and Capable of manufacturing materials and components which consistently conform to all requirements. AB Electrolux shall therefore be careful in selecting suppliers, using only those that can demonstrate the full commitment and ability to comply with the requirements of this document and to support this through the quality of products and services provided. The requirements of EL 29002A are based on ISO 9001:2000 but concentrate specifically on those processes used to guarantee the good quality of our product only.

AB Electrolux shall use this auditing process to evaluate the effectiveness of Suppliers’ process capabilities throughout all product divisions globally. Signed Francois Van Caeyzeele Senior Vice President Purchasing AB Electrolux

Dated Sture Ögren Senior Vice President Quality AB Electrolux

Hans Stråberg President & CEO AB Electrolux

STATEMENT OF CONFIDENTIALITY AB Electrolux gives its assurance that any information provided by suppliers will be treated as totally confidential. AB Electrolux and its advisors, who are bound by a confidentiality agreement, will have sole access to this information.

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CONTENTS 1.0 Reference Documents 2.0 Introduction 3.0 Process Audit --- Methodology 4.0 Process Audit - Overall Scoring and Rating Sheet 5.0 Process Audit - Question Answering and Scoring 6.0 Process Audit - Overall Rating Rationale 7.0

Process Audit - Section Questionnaire

8.0

Summary of Process Audit Weaknesses

9.0

Customer Specific Requirement Summary sheet

10.0

Addendum --- Process Audit procedure

1.0

REFERENCE DOCUMENTS

ISO9001:2000, ISO/TS16949, QS-9000 or equivalent - Quality Systems ISO9000:2005 - Quality Management Systems --- Fundamentals and Vocabulary The Global SQA is defined through the following documents: EL29000 EL29001 EL29002A EL29002A EL29002P EL29003 EL29005 EL29005A EL29006 EL3000

GSQA Policy and Definitions Supplier Profile Questionnaire Supplier Process Audit Questionnaire OEM Supplier Process Audit Questionnaire Preliminary Supplier Process Audit Questionnaire Supplier Pre-Production Quality Assurance Supplier/Commodity Quality Statusing Process Supplier/Commodity Purchasing Status Incl. On Hold Process - Supplier Self Certification Requirements - Supplier Requirements relating to Ongoing Supply and Evaluation

These documents are supported by: The Integrated Product Development Process The Purchasing Process Procedures and Tools

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2.0 2.1

INTRODUCTION Aims

The Aims of the Process Audit are as follows: -

To increase the suppliers understanding of the process and the customer expectations. To improve performance on the basis of studying the variation and statistical inputs to and outputs from each process area. To apply statistical techniques to both parts and process. To maintain a proper management methodology within the whole organization that will have a substantial impact upon the quality costs as well. 2.2

Audit Procedure

The audit procedure is covered in section 10.0. This document also contains sheets such as the Summary of Process Audit weaknesses and Specific Requirement supplement which can be used to document the needs for requesting Corrective action from the supplier at the Post audit meetings. 2.3

Question Derivation

This document contains information derived from the following publications: ISO 9001:2005 ISO 9001:2000 ISO 14001:2004 QS 9000/94 TS 16949/02 EL 29002

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3.0

PROCESS AUDIT - METHODOLOGY

MEASURE THE SUPPLIERS PERFORMANCE…..?

DO PROCESS CONTROL SYSTEM SURVEY

INVOLVE PARTS IN DIRECT RELATION TO SCR & LINE (REJECT)

THEREFORE: 1

CREATE YEARLY PLANS FOR AUDITS and

2

ENSURE FEEDBACK FROM THIS APPROACH BECOMES THE ESTABLISHED BEHAVIOUR

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4.0 PROCESS AUDIT - OVERALL SCORING AND RATING SHEET MANAGEMENT SYSTEM ASSESSMENT - PROCESS AUDIT OVERALL SCORING – RATING SHEET / CHECK LIST GUIDE Company name

ISO level

Commodity

Purpose of Assessment

Lead auditor

Auditors

SCORES Sect.

Assessment area Max

1.0

Strategy and Planning

22

2.0

Design Control

28

3.0

Purchasing

12

4.0

Control of Production

32

5.0

Monitoring and Measurement

22

Applicable

Actual

%

6.1 Identification and Traceability 6.0

6.2 Materials Management

12

6.3 Personnel and Training 7.0

Maintenance

10

8.0

Calibration

14

9.0

Document Control and Records Management

12

10.0

Corrective Action and Improvement

20 184

RATING CAR =

A corrective action plan is required within 30 days (Electrolux will survey to evaluate the CAR implementation within 6 months)

The quality system has been assessed on a sample basis. In every section, part of the questions content involves also elements that are in strict connection with other significant items and organization process area. Date

Signature

Electrolux Supplier

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5.0

PROCESS AUDIT - QUESTION ANSWERING AND SCORING

PROCESS AUDIT - QUESTION ANSWERING AND SCORING

CAR

Rationale

Question response

Points

NO

0

Required/High Risk, but not included in Management System

Yes

YES BUT

1

In the Management System but execution requires improvement

Yes

YES

2

In the Management System with execution well executed

No

NA

/

Not applicable for this item

CAR =

/

corrective action required

Assessor Observations in the questionnaire become the Non Conformities in the Summary of Process Audit Weaknesses sheet if the question is scored less than 2 and requires a CAR. Assessor Comments can be put against questions scored 2 but which are not regarded as CARs against the supplier. These go into the Comment column and could be CARs against Electrolux, where full specifications were not supplied, or requirements were not made clear before start up. There is an Excel version of the questionnaire in this document, which auditors are recommended to use as the scoring and rating are automatically dealt with. In the Excel version of the questionnaire there are two different Summaries of Process Audit sheets to cater for the above.

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Scoring Rules: 1. All questions must be scored. Exceptions:

Where the question is totally non-applicable to the organization being assessed. For example if the supplier provided ‘one-off’ assemblies, SPC would not normally be expected to be undertaken. This would be scored N/A. If the supplier was a small manufacturing company of parts who could not afford to implement SPC but the technique was applicable then this would be scored 0. The decision/justification to deem questions N/A must be made during the preparation phase of the audit and agreed with the team prior to the audit and recorded on the justification sheet and as a comment against the question in the report. Suppliers are required to meet the requirements of EL29002A and 29003 unless a waiver had been provided by Electrolux, (for example if the supplier was not required to adopt predictive maintenance methods). In the case where Electrolux had not specified the need to meet a specific requirement this question may be scored as N/A. The decision/justification to deem questions N/A must be made during the preparation phase of the audit and agreed with the team prior to the audit and recorded on the justification sheet and as a comment against the question in the report. It is anticipated that these should be few and far between as all requirements in are to be met as a minimum. It is important that the audit team assess and score every question that has not been deemed to be N/A. If the audit cannot be completed, then another visit is to be performed and the total score assessed. Notes: The reason for the above is that if questions are marked N/A where the question is actually applicable, but the supplier is considered not to require a sophisticated quality management system, then it will not be possible to compare one supplier’s score to another. 2. Documentation vs. implementation Where a question asks for information relating to procedures then, in general, this question would be scored as to whether the instruction existed and its adequacy (e.g. 3.0 c “Do procedures/work instructions/control plans specify requirements for inspection, testing, gauging and recording results?” If the instruction was inadequate (“inspect surface” or similar) or did not exist then this would be scored 1 or 0 as appropriate. If the instruction was adequate, but was not implemented or followed, then it would be scored under 3.0 f “Do employees perform operations in accordance with work instructions and other relevant requirements?”

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3.

Additional clarification on scoring rules Score 0 would apply where a requirement exists, but it is not included in the management system; or is not implemented; or there is a major failure of the system; or there is a high risk to the customer. Score 1 would apply where it is in the management system but execution requires improvement, or the requirement is not consistently applied. Score 2 where requirements are fully met and well executed.

4. Individual non-conformities are not to be written/scored against multiple questions Non-conformities are to be written against one question only (otherwise duplicates will appear on the report when it is summarised). If the non-conformity applies to two questions, the audit team must decide which one is the most applicable, and score against that question 1 or 0. The other questions that are relevant, but not scored against will be scored as 2 unless other findings are applicable. A cross reference to the non-conformity may be made in the comments section. 5. ‘Comments’ Are only to be raised where no evidence of failure or risk has been established. A Comment raised against a question would still score 2.

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6.0

PROCESS AUDIT - OVERALL RATING RATIONALE

PROCESS AUDIT - OVERALL RATING RATIONALE The result of the audit will be calculated as a percentage of the maximum applicable scoring. The supplier classification shall be assessed as: RATING

A

B

STATUS

CRITERIA

EXPLANATION

Acceptable

>= 80% on all sections with the exception of (minimum >= 85% for section 3.0)

A supplier, which conforms to audit requirements. The supplier displays excellence in discipline and execution of the process management system.

Unacceptable

< 80% on all sections

If no immediate major improvement planned and then applied

with the exception of

GSQA EL29002A OEM - 2007

< 85% on section 3.0

A process management system, which reflects major non-conformance to assessment requirements. The supplier is not considered suitable for new/additional business unless major improvement is achieved within a suitable timeframe.

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7.0

PROCESS AUDIT - SECTION QUESTIONNAIRE

SECT. 1.0

STRATEGY AND PLANNING SCORE 0 TO 2 QUESTION

a.

Have Annual Quality Targets been agreed and submitted to Electrolux or other customers?

b.

Have the trends in meeting the above objectives been analysed and action taken where the targets are not being achieved?

c.

Is there a system to establish quality costs that monitors internal failures, external failures, prevention, and appraisal?

d.

Have specific improvement projects been identified?

e.

Are there appropriate measurables for improvement projects?

f.

Have Quality Plans been prepared defining controls for new product introduction and changes to existing products resulting in approved control plans?

g.

Is there an effective process for ensuring Electrolux specifications and changes to them are reviewed and communicated to the functions concerned?

h.

Does an effective process exist for communicating changes to products and processes where these can potentially affect the form, fit or function of the product?

i.

Is Process Risk Assessment/F.M.E.A. prepared and utilized (after definition of process flow) with input from all relevant departments?

j.

Is there evidence that corrective actions resulting from Process Risk Assessment/F.M.E.A are implemented and that such Risk Assessment are updated and reissued at product or process change?

k.

Have Electrolux or other customers preliminary process capability requirements been met?

2

1

0

SECTION MAX SCORE

22

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

NA

ASSESSOR/AUDITOR OBSERVATIONS

COMMENTS

TOT.

1.0 Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 2.0

DESIGN CONTROL SCORE 0 TO 2 QUESTION

a)

Have procedures been established and maintained to control and verify the design of the product in order to insure that the specified requirements are met?

b)

Are there up-to-date project plans for each design / development activity?

c)

Do these plans describe or reference those qualified personnel that are responsible for implementation and updating of plans as design evolves?

d)

Do procedures exist for cross functional design reviews?

e)

Do procedures define how applicable statutory, regulatory and contract review requirements are included in design input?

2

1

0

NA

ASSESSOR/AUDITOR OBSERVATIONS

COMMENTS

Is documentation available that assures that the final design: f)

Meets input requirements?

g)

Identifies acceptance criteria?

h)

Meets regulatory and statutory requirements?

i)

Identifies crucial safety and functional characteristics?

j)

Are there procedures and records defining design review frequency and content with approval by authorized personnel?

k)

Is there a system in place to ensure that design verification shall be performed at appropriate stages and that the design output meets the design input?

l)

Do procedures define design validation methods and responsibilities?

m)

Are records of design validation maintained?

n)

Are all design changes properly identified, documented, reviewed and approved by authorized personnel prior to realisation?

SECTION MAX SCORE

28

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

2.0

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 3.0

PURCHASING. SCORE 0 TO 2 QUESTIONS

2

a)

Are suppliers regularly assessed and selected for quality system and performance capability?

b)

Is there an effective system for ongoing monitoring of supplier performance capability?

c)

Are procedures established ensuring corrective action on Supplier Classification and Performance?

d)

Are purchasing specifications issued by organization to sub suppliers adequately defined?

e)

Is there an effective system for approval/ validation of parts and where necessary, processes both internal and external prior to commencement of production at the supplier’s facility?

f)

Is there a system for management of engineering changes provided to and received from suppliers?

1

0

12

SECTION APPLICABLE SCORE

….

3.0

OBSERVATIONS

COMMENTS

the

SECTION MAX SCORE

SECTION ACHIEVED SCORE

NA

ASSESSOR/AUDITOR

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 4.0

CONTROL OF PRODUCTION SCORE 0 TO 2 QUESTION

2

a)

Are procedures and work instructions defining manufacturing operations in use that communicate requirements to all people involved in this process?

b)

Do procedures/work instructions/control plans specify requirements for the operation, inspection, testing, gauging and recording results, including processes with special characteristics?

c)

Are process flow charts available and do they reflect actual process layouts and controls?

d)

Are necessary workstations?

e)

Do employees perform operations in accordance with work instructions and other relevant requirements?

f)

Are special processes identified and subjected to planned complementary activities to ensure that products shall meet product specifications?

g)

Are appropriate controls and criteria specified, implemented and recorded for production start-up as well as product, tooling and process changes?

h)

Are the required resources for normal and special processes available where needed, and are they appropriate for the type of work being accomplished?

i)

Is the work environment clean and well organized?

j)

Are statistical methods implemented as required by control plans?

k)

Where statistical methods are employed, is the process capability index CPK>1.33 on all significant/relevant parameters?

l)

Are control charts maintained and reviewed with highest priority given to special characteristics?

m)

Are special causes of variation investigated and appropriate action taken?

n)

Have the Electrolux ongoing process performance requirements been met?

o)

Are there written procedures for handling, storage, packaging, delivery, and preservation of product?

p)

Does the organization control packaging processes properly to ensure product conformance to specifications?

instructions

available

at

1

0

32

SECTION APPLICABLE SCORE

….

4.0

OBSERVATIONS

COMMENTS

the

SECTION MAX SCORE

SECTION ACHIEVED SCORE

NA

ASSESSOR/AUDITOR

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 5.0

MONITORING AND MEASUREMENT QUESTIONS

SCORE 0 TO 2

2

1

0

NA

ASSESSOR/AUDITOR OBSERVATIONS COMMENTS

a) Have quality plans and/or procedures for verification of incoming product been implemented to ensure conformance to specified requirements? b)

If incoming product is released for urgent production purposes, are products identified and recorded in order to permit immediate recall and replacement due to nonconformance to specified requirements?

c)

Are written procedures in use to control in process inspection and testing (including special process parameters) and are they in accordance with specified requirements?

d)

Are written procedures in use to control final inspection and test operations and do they conform to specified requirements?

e)

Is there evidence that product conforms to specified requirements and do these documents contain proper authorizations?

f)

Has the organization planned and implemented arrangements to ensure that the product continues to meet requirements over its intended lifecycle (e.g. sampling, product audits, reliability evaluations, endurance testing, as applicable)?

g)

Is all product audit information continually reviewed for corrective action and continuous improvement?

h)

Is the identification of inspection and test results, including special processes, maintained throughout to ensure that only conforming goods are released for use?

i)

Are there records that all product has passed the inspections and tests as defined by the acceptance criteria and is the authority identified who is responsible for the release of the product?

j)

Are product On Hold and recall/rework procedures and instructions used in the event that the supplier’s process parameters are found to be outside of specified requirements?

k)

Does the organization have a process to ensure that Electrolux authorization is received in the event that non-conforming material is shipped?

SECTION MAX SCORE

22

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

5.0

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 6.1

IDENTIFICATION AND TRACEABILITY QUESTION

a)

SCORE 0 TO 2

2

1

0

NA

ASSESSOR/AUDITOR OBSERVATIONS COMMENTS

Has a formal system been established to identify product and its constituent components at all stages from receipt through to dispatch?

b) Is a traceability system applied to all the relevant process parameters, raw material, components and parts?

SECT. 6.2

MATERIALS MANAGEMENT QUESTION

a)

Are all homogeneous batches of components kept separate throughout the organization?

b)

Are appropriate systems in place to ensure that product and associated materials are properly stored at all production stages including the use of ‘First-in, First-out’ (FIFO) systems where appropriate?

SECT. 6.3

SCORE 0 TO 2

2

1

0

ASSESSOR/AUDITOR OBSERVATIONS COMMENTS

PERSONNEL AND TRAINING QUESTION

a)

Has a system been established to identify training needs and conduct training of all personnel performing activities affecting quality?

b)

Are personnel performing specific assigned tasks qualified on the basic of appropriate education, training and/or experience?

SCORE 0 TO 2

2

1

0

SECTION MAX SCORE

12

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

6.0

NA

NA

ASSESSOR/AUDITOR OBSERVATIONS COMMENTS

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 7.0

MAINTENANCE

QUESTION a)

Is there a planned maintenance system including a maintenance schedule, defined maintenance criteria, assigned responsibilities and records?

b)

Is maintenance conducted at the prescribed frequencies for all equipment?

c)

Are maintenance records evaluated for process capability improvement?

d)

Are replacement parts identified and available for key manufacturing equipment?

e)

Is there a planned maintenance system that includes Predictive maintenance methods such as TTF and TTR?

SCORE 0 TO 2

2

1

0

SECTION MAX SCORE

10

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

7.0

NA

ASSESSOR/AUDITOR OBSERVATIONS COMMENTS

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 8.0

CALIBRATION QUESTIONS

a)

Has inspection, measuring, and test equipment (including software when appropriate) been provided that is capable of the required accuracy and precision?

b)

Is Measurement System Analysis (MSA) conducted for all gages, measuring, and test equipment, noted on the control plan?

c)

Are appropriate criteria used for acceptance of measuring equipment?

d)

Do systems ensure that calibration is traceable to National/International Standards?

e)

Is the inspection, measuring, and test equipment (including software when appropriate) calibrated at prescribed intervals, in the correct environmental conditions?

f)

Are inspection, measurement, and test equipment properly handled, preserved, and stored to maintain calibration and fitness for use?

g)

Are appropriate actions, including Electrolux notification, taken on both product and process when inspection, measurement, or test equipment is found to be out of calibration?

SCORE 0 TO 2

2

1

0

SECTION MAX SCORE

14

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

8.0

NA

ASSESSOR/AUDITOR COMMENTS

OBSERVATIONS

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 9.0

DOCUMENTATION CONTROL AND RECORD MANAGEMENT QUESTIONS

a)

Does the system for document control Include review, approval, issue dating and distribution of documents and procedures? (this must include control of relevant computer software, masters, and Electrolux furnished drawings)?

b)

Has an effective system been implemented to handle engineering and process changes to ensure that they have been properly approved and implemented?

c)

Are obsolete documents immediately withdrawn from all points of use?

d)

Has the organization established and maintained procedures for identification, collection, indexing, filing, storage, maintenance, and disposition of all records affecting product and system quality?

e)

Are retention times for records established and recorded?

f)

Is a system applied to ensure that records are easily available when applicable (per year, product, test type, etc. for review by Electrolux upon request?

SCORE 0 TO 2

2

1

0

SECTION MAX SCORE

12

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

9.0

NA

ASSESSOR/AUDITOR COMMENTS

OBSERVATIONS

TOT.

Section assessment result = (achieved score/ applicable score) *100 = ……….%

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SECT. 10.0CORRECTIVE ACTION AND IMPROVEMENT QUESTIONS a)

Have procedures been established, and documents maintained for investigating the cause of non-conformance and the corrective action needed to prevent recurrence?

b)

Are the causes of non-conformances investigated and the results documented?

c)

Is analysis and corrective action implemented and recorded when problems are identified on statistical charts or in capability studies?

d)

Are appropriate corrective actions developed to eliminate the causes of the non-conformance?

e)

Does the organization use a disciplined problem solving methods?

f)

Are the customer complaints and reports of non-conformances handled effectively?

g)

Is the effectiveness of corrective action verified?

h)

Are Electrolux or other customers returned parts analysed and are corrective actions initiated as appropriate?

i)

Are non-conformance reports, e.g. product quality, deviation, audit results, quality records, etc. used to develop preventive actions?

j)

Are the relevant information on actions taken including changes to procedures submitted for management review?

SCORE 0 TO 2

2

1

0

SECTION MAX SCORE

20

SECTION APPLICABLE SCORE

….

SECTION ACHIEVED SCORE

NA

ASSESSOR/AUDITOR OBSERVATIONS COMMENTS

TOT.

10.0 Section assessment result = (achieved score/ applicable score) *100 = ……….%

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8.0

SUMMARY OF PROCESS AUDIT WEAKNESSES SUMMARY OF PROCESS AUDIT WEAKNESS POINTS:

Section/Pos .

Description

Non Conformity Observation

Non Conformity Comment

Corrective action plan required within 30 days

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9.0

CUSTOMER - SPECIFIC REQUIREMENT SUPPLEMENT CUSTOMER - SPECIFIC REQUIREMENT SUPPLEMENT:

Any additional supplier quality system requirements as regards eventual intrinsic specific points (…ex. Quality problems): to be verified onsite Points arisen

Assessor Notes/Comments

Corrective actions required - latest date-ending: …………………………...

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10.0

ADDENDUM PROCESS AUDIT PROCESS

A. CRITERIA FOR PROCESS AUDIT The Process Audit process is based on need rather than routine and can be initiated by either the customer or the supplier. The supplier to be audited is generally selected based on multiple strategic considerations. Only one supplier Process Audit is required per supplier per commodity and location. That audit if successful then becomes available to all other operating units within Electrolux if they also choose to use that supplier/commodity combination The following are conditions that necessitate a Process Audit: A potential supplier to any has locations producing for us. Please note the EL29002P is a similar but simpler questionnaire specifically developed for this specific purpose. An existing supplier that either has had a significant organisational change or relocation of manufacturing. A supplier request to re-assess the Management System in order to upgrade its rating or to change a previously audited category. A supplier with a history of manufacturing and supplying poor quality materials/components and/or services. A supplier that has not been audited in the last three years. An Acceptable Process Audit is valid for two years. After this period, the Process Audit should be considered expired, and a new Process Audit shall be required. An Unacceptable Process Audit requires an immediate Corrective Action Plan. If corrective action is such that a reProcess Audit is still unacceptable, then an alternative supplier shall be sought. Experience has shown that a properly conducted Process Audit cannot be completed within just one day by just one person. Any such assessments will be treated as a Supplier Visit only and will not be allowed to go forward as an officially recognised Process Audit that other operating units can access and make use of.

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B. PROCESS AUDIT PLANNING AND PREPARATION The following steps are normally followed when the need for a Process Audit has been established: The supplier shall be provided with a copy of the current Process Audit Questionnaire. The supplier should perform an internal Process Audit using the Questionnaire. This is known as a Self-Process Audit. Any issues that require clarification prior to the Process Audit, should be emphasised in this document. The supplier shall return a completed copy of the Self-Process Audit, along with any relevant Process audit documentation for review prior to the Process Audit (i.e. - quality manual, work instructions, applicable records, organisational charts, Process Flow diagrams etc.). 1. PLANNING The supplier shall be contacted to discuss the purpose for the Process Audit, the methods/procedure to be used and confirm suitable timing for the Process Audit. A team for the Process Audit shall be established. The team shall normally be multi-functional, and consist of a trained lead assessor and additional support as required based on auditor proficiency and the depth to which the Process Audit requires. The team members shall be selected based on knowledge of the suppliers’ product(s), process(s) or service(s) rendered and required local language. 2. NOTIFICATION The Process Audit team shall decide on a date to conduct the Supplier Process Audit and set a tentative Process Audit agenda. A letter of formal notification of intent date shall be made to the supplier. Written confirmation of acceptance of the Process Audit dates should be sent to the lead assessor by the supplier. 3. PREPARATION At this stage, the supplier information already received, shall be reviewed by the Process Audit Team in preparation for the Process Audit. The supplier shall prepare for the Process Audit by planning to: - Have an area free from interruptions where copies of Process audit documentation (e.g. Quality Control Manual, organisational charts, quality control policies, procedures, etc.) can be reviewed by the Process Audit team. - Have available, for the duration of the Process Audit the supplier's quality representative and other appropriate personnel as required. - Have the Chief Executive Officer for the manufacturing operation available for the pre-Process Audit and postProcess Audit meetings. 4. PRE-PROCESS AUDIT MEETING/VISIT/DISCUSSION The lead assessor shall schedule a pre-Process Audit visit with the supplier's senior manager with authority to make commitments in the name of the supplier. The purpose of the pre-Process Audit is to establish the foundation of the Process Audit, confirm the Process Audit criteria and scope, clarify any uncertainties, and confirm willingness on the part of both parties to proceed with the Process Audit. If, for whatever reason, the meeting cannot take place, then the same results may be obtained through other available means of communication. Tentative dates, for the remainder of the Process Audit activity shall be established at this time, subject to confirmation when availability of necessary assessors and supplier representatives have been established. Process Audits may include all shifts or special days, based on the extent of the suppliers operations. All attempts shall be made at this time to eliminate any surprises during the Process Audit activity. It is understood and appreciated that the supplier may have proprietary areas in the facility. Assessors shall be willing to sign a non-disclosure agreement over proprietary information. Should the pre-Process Audit meeting/visit/discussion reveal that the system described by the supplier is not adequate to meet requirements, further activity may be postponed until such concerns are resolved to the satisfaction of the assessor and where applicable, the supplier. (Company specific) questions should be addressed during the pre-Process Audit visit/discussion.

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C ON-SITE PROCESS AUDIT ACTIVITY The Process Audit process usually consists of the following steps: 1. PRE-PROCESS AUDIT CONFERENCE On the day scheduled for the Process Audit activity, the Process Audit team shall conduct a pre-Process Audit conference. This is a brief introductory meeting with the supplier’s management team to introduce the team, and review requirements and expectations. This meeting is intended to establish the tentative time tables and resource requirements for the activity, and work out any concerns or conflicts that may have arisen during the planning stage. 2. PROCESS AUDIT ACTIVITY The Process Audit team may is divide up into interview groups, to interview and observe elements of the supplier's process audit. This activity shall consist of a detailed review of documented policies, manuals and procedures with the supplier's representatives, assessing all operations (i.e. development, engineering, manufacturing, testing, inspection, storing, etc.) to stated procedures. During the actual Process Audit, a planned sequence of events is utilised in order to insure that all quality assurance activities are reviewed, analysed and evaluated in accordance with the Process Audit plan. The basis for all decisions on the Process Audit shall be through the provision of objective evidence that demonstrates compliance with quality assurance system requirements. When a non-conformance or system deficiency is identified as a result of a Process Audit, further investigation shall be conducted by the supplier in an effort to identify the cause and effect and to determine the extent of the corrective action required. Any deficiencies shall be reviewed with the supplier staff for acknowledgement. In cases of extreme deficiencies, investigation may be required to occur immediately during the course of the Process Audit activity. Specific attention shall be given to corrective action on system deficiencies identified during previous Process Audits, when relevant. Data gathered by the Process Audit team shall be discussed and organised periodically during the Process Audit, after which, the Process Audit team shall meet to discuss various aspects and problems encountered, adjust Process Audit plans as needed, and revise the Process Audit schedule accordingly. Any adjustments to the Process Audit plans or schedule shall be discussed with the supplier’s management.

3. POST PROCESS AUDIT CONFERENCE The Process Audit team shall meet with the supplier at the end of the Process Audit activity and present the results. Should corrective action activity be required, time frames for response shall be established and agreed upon. The findings of the Process Audit team shall be provided to supplier management at the end of this activity. Supplier management should sign-off on findings.

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D. POST PROCESS AUDIT ACTIVITY There are several stages of activity that shall follow up the Process Audit of a supplier. These include: 1. PROCESS AUDIT REPORT A formal written report shall be issued to the supplier by the Process Audit team, and shall serve as the permanent record of the Process Audit activity. This report shall include the results of the Process Audit and the requested corrective actions necessary to correct or improve deficiencies. The report should ideally should be left with the supplier or at the latest be submitted to the supplier within two weeks of the Process Audit activity. 2. SUPPLIER MANAGEMENT REVIEW AND CORRECTIVE ACTION Suppliers should respond to this report with a written corrective action plan within 30 days of receiving the report. A Process Audit activity is not considered complete until, the supplier has not only identified the most effective practical solutions to his process audit deficiencies, but also identified the methods for implementing these solutions. The supplier is responsible initiating corrective action necessary to correct all findings. This includes containment, determination of the root cause, remedial corrective action and long term action to prevent recurrence. The supplier should determine the extent to which the problem has affected past performance and what would be required to correct these problems. Corrective actions whose success is dependent on revolutionary changes in the supplier's resources or on the anticipation of drastic changes in the behaviour or the capabilities of individuals shall not be acceptable. It is the supplier’s responsibility to respond, in writing, with all corrective action(s) to the lead assessor within the agreed time frames. The initial corrective action plan/report is due within 30 days of receipt of the final report. As required, follow-up reports are required quarterly. All reports shall be submitted to the lead assessor responsible for the Process Audit activity.

PDCA ELECTROLUX.doc

A preferred format for such a plan/report is attached here although Electrolux does not mandate its use. The form has some information in it to serve as an example to users as to what to do. It is very simple to remove this information and replace it with the relevant information. 3. FOLLOW UP The lead assessor shall evaluate the adequacy of the response from the supplier upon receipt of the corrective action report, assuring that corrective action is identified and scheduled for each finding. Additional follow-up information shall be provided by the supplier, assuring that corrective action is accomplished as scheduled and that interim measures were in effect to minimise problems until corrective action was accomplished. 4. FOLLOW-UP PROCESS AUDIT A Follow-up Process Audit may be conducted to verify the effectiveness and adequacy of the corrective actions that can not be verified via phone conversation or written documentation. The follow-up Process Audit may not require a full Process Audit team be present and is possible to be conducted in one day by concentrating purely on the CAR topics. A degree of caution has to be applied when rescoring the sections after a Follow-up Process Audit. It should be scored in such a way that previous sections which had failed should now score a maximum of 90% only. Otherwise there is a danger that a Follow-up Audit could generate a 100% score as only the corrective action items have been reviewed. 5. SURVEILLANCE Periodic surveillance visits may be scheduled as required to assure that the supplier's Process audit has not degraded. Typically, suppliers that have not received certification under the guidelines of ISO 9001 by a qualified registrar shall require a new Process Audit every two years. 6. RE-PROCESS AUDIT A Re-Process Audit may be necessitated by any decrease in any of the measures of the supplier quality performance.

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