TOT Risk Register working copy .xls
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7/21/2019 TOT Risk Register working copy .xls
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Working copy
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RISK REGISTER
1 Quoting Medium Medium 7/1/13 Sales Manager Medium LowQuoting realistic process times and delivery dates. Follow up RFQ customers with vendors
Unclear or Ambiguous Requirements are resolved.
Review the Ris Register!
2 "rder #ntry
$opy and paste incorrect in%ormation
Medium Medium 7/1/13 Sales Manager Medium Low
Failure to utili&e note section o% Syteline %or all to see
Review all part num'ers put in %rom engineering
(nclear or )m'iguous Re*uirements are resolved.$hec +ill o% Material and mae sure it matches *uote.
)ccepting *uote prices a%ter *uote e,piration dateRevalidate e,isting Quote.
-ata entry error $hec order a%ter completion %or accuracy
ecessaey in%ormation is availa'le technical data0speci%ications and standards0 and drawings.
oor e,ternalcommunication0Less e%%ective
*uoting process0"verlooing a
customerre*uirement
ull0 print and read all applica'le customerspeci%ications
$ustomer Re*uirements are understood and $an 'emet %or product acceptance0 %or delivery e,pections0and %or post2delivery e,pectations.
-etermine any am'iguous re*uirements0 orre*uirement implied 'ut not stated and sign the$ustomer Speci%ication Review %orm.
Related Standards have 'een reviewed and can 'emet Statutory 2 Re'gulatory 2 Quality 2 othernecessary and applica'le standards
-etermine the time%rame that *uotes will remain on the
ta'le.
Failure to Check Visual Compliance Screening andprinting confirmation
Mae sure that pricing is consistent %rom one *uote to
the ne,t
All salesmen must use price list that is on the sales
drive and maintained by management
Methods of commnication !ith the cstomerare defined re"ated to prodct information#in$iries# feed%ack# concerns and comp"aints
otential ris o% inporting or e,porting to companies orparties on watch lists.
ot reviewing or discussing ris associated with the
part or processes
oor internalcommunication0ossi'le rewor0$ustomer claims
Review $ustomer re*uirements or 45 and noteSyteline. #nsure that internal 'o, is checed in notessection.
Reviewing all customer speci%ications and maing
sure that it matches the e*uipment that was *uoted.
Sales department implemented the new customer specreview %orm that has to 'e signed 'e%ore processing the
purchase order/
)ll Salesmen will review the +ill o% Material o% everyassem'ly num'er put in %rom engineering.
Riskite
m#
Risk
area
RiskDescrip
tion
RiskIm
pact
Likel
ihoo
d
Cons
eque
nces
DateRaised
Risk
Owne
r
Contin
genc
y
Actio
n
Curren
t
RiskR
atin
g
Desired
Risk
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RISK REGISTER
Riskitem
#
Riskarea
RiskDescrip
tion
RiskImpa
ct
Likelih
ood
Cons
eque
nces
DateRaised
RiskOwne
r
Co
ntin
genc
y
Actio
n
Cu
rren
t
RiskRa
ting
De
sired
Risk
& $ontract Review
4ncomplete review o% re*uirements
Medium Medium 7/1/13 Sales Manager
(se supplemental contract review %orm.
Medium Low
Salespersons lac o% participation
Manager or department representative at each meeting
'
Medium Medium 7/1/13 Medium Low
Failure to identi%y and react to trends.
egative perception and interaction with customers.
( #ngineering
Releasing a drawing/speci%ication with error6s
Medium Medium 7/1/13
Multiple levels o% review0 approval and release
Medium Low
$heclist o% other associated areas o% concern on #
4nconsistence %rom drawing to +"MReview +ill o% Materials prior to release.
Repeated lie issues with drawings or speci%icationser%orm departmental e2$))8s to %i, issues
Missedre*uirements0oor internal
communication0Returned product0-elivery -elay0Reputation0Failure to %ollow
companyprocedures
Salesperson %or order should participate in the review.+e %samilsar with how to complete S$R %orm.
ot reviewing or discussing ris associated with thepart or processes involved.
Review the Ris Register. $hange the %orm %or 4nitialreview o% order and the Supplemental $ontract Review%or to add this responsi'ility %or each review.
articipation o% supplemental contract review i% theorder or scope o% the order changes.
)ll orders will have a second review i% the order getsrevised in any %orm
Feasi'ility has 'een determined 2 capa'ility0e*uipment0 %loor space0 ade*uate resources andsilled personnel.
-ocuments should 'e %illed out at the time o% thereview.
$ustomer Service0 erceptionand Feed'ac
Lac o% documented review %or root cause andcorrective actions
Lac o% $ustomer$on%idence0 Fewernew "pportunities0
$ompany
Reputation
(pperManagement
#nsure regularly scheduled customer %eed'acmeetings are held.
$orrective )ction System in lace to 4n%orm (pperManagement and determine $orrective action.
$ustomer perceives a lac o% importance in meetingtheir re*uirements
Salesperson interaction throughout the 9o'0 and
customer service a%terwards
$all to see i% customer is happy with their latest receipto% product.
Manu%acture toincorrect revision.
4n correctionrevision sent to
supplier0 incorrect+ill o% Materials
-irector o%#ngineering
Failure to cover all associated documents and worsin process0 when a revision is made.
Failure to stay a'reast o% industry standards0regulatory and statutory re*uirements and productspeci%ications.
)'ility to 'e alerted o% changes to industrystandards/speci%ications
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RISK REGISTER
Risk
item
#
Riskare
a
Risk
Descrip
tion
Risk
Imp
act
Likeliho
od
Con
seque
nces
Date
Raised
Risk
Owne
r
Conti
ngen
cy
Actio
nCurre
nt
RiskRat
ing
Desir
ed
Risk
) urchasing :igh Medium 7/1/13
5o 'e reviewed %or completeness prior to issue
Medium Low
Follow up o% urchase "rder
Su'contracting %or "utside processes
)vaila'ility o% Raw materials or long lead times.
* lanning
(se o% a ;eneric Router
Medium Low 7/1/13 Medium Low
Failure to include accurate and detailed in%ormation
4nconsistence %rom drawing to 45
roduction or 4nspection $ontrol lan is incomplete.
4nspections as re*uired 'y process
+ Receiving
$ondition o% the container/pacaging/sta'ili&ation
Medium Low 7/1/13
er%orm visual inspection 'e%ore signing
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RISK REGISTER
Riskitem
#
Riskare
a
RiskDes
crip
tion
RiskImp
act
Likeliho
od
Con
sequ
ences
DateRai
sed
Risk
Owne
r
Contin
genc
y
Actio
nCurre
nt
RiskR
ating
Desire
d
RiskR
)ll accompanying paperwor$hec %or completeness and certi%ications as re*uired
9 4nspection
itness Reports in writing
ot writing $R8s as needed.
-on8t leave the site until a copy is made availa'le
)4 %lange dimensions
ot reviewing previous %indings
ull history o% $R8s on that product @
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RISK REGISTER
Riskitem
#
Riskarea
RiskDescrip
tion
RiskImpa
ct
Likelih
ood
Consequ
ences
DateRaised
RiskOwne
r
Co
ntin
genc
y
Actio
n
Cu
rren
t
RiskRa
ting
De
sired
RiskR
1, ro9ect Management Medium Medium A7/A1/13 Sales Manager
Monitor and control change as it happens
Medium Low
Sending out MR+8s with wrong in%o
ot 'eing %amiliar with the product 5raining
Monitor and control change as it happens
(ne,pected delays or crisis that arise
11 rocessing
>rong parts/wrong *uantity/parts le%t out
Medium Medium 7/1/13
rocess one order at a time
Medium Low
Failed -# testingReport issues as soon as they are reali&ed.
Fail to meet customer re*uirementsSecondary inspections
:aving >rong 5race num'ers documentedFinal 4nspection
$ustomer Returns with not RM)
ot enclosing all pertinent and re*uired paperwor
12 :andling and acaging
ot meeting customer pacaging re*uirements
Medium Low 7/1/13
5rain in good pacaging practices
Low Low
$hance o% handling or causing damage to product
Follow indoor spee restrictions.
ot having anything in writing %rom customerBsaying it is oB
:ave regular meetings to communicate how things aregoing on each pro9ect.
o procedures or control method on what is re*uiredon MR+8s
-elays in material0 manu%acturing0 testing0 long leadtimes and due date changes.
:ave regular meetings to communicate how things aregoing on each pro9ect.
ot reviewing or discussing ris associated with thepart or processes
$ommunicate with customer 'oth good and 'ad. :avea plan o% action when communicating the 'ad. 4% not0as %or their assistance.
4ssues duringrocessing0
assem'ly/ testing /coating /and
painting . $ompanyLia'ility -elayed
delivery
Manu%acturing0Q)/Q$0
;alling0 poor assem'ly0 neglected proper inspection0painting and coating issues.
Follow instructions as laid out in tech manual orassem'ly drawing
$hec with Service and Sales to see i% customermentioned returning an item.
-amaged arts0Rewor0 Scrap
>arehouseManager
(se good material handling practices0 strong palletsand clean protection.
Working cop
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RISK REGISTER
Riskitem
#
Riskarea
RiskDescrip
tion
RiskImpa
ct
Likelihoo
d
Cons
eque
nces
DateRaised
RiskOwne
r
Contin
genc
y
Action
Curren
t
RiskRa
ting
Desired
Risk
+loc parts on pallet
(tili&e su'2see pallets as re*uired.
1& Manfactring
+ad/'roen tooling/ programs/ set2up/measurement
Medium Medium 7/1/13
Rewor o% parts$all %or %irst article Medium Low
Scrapped arts-o not waste machine time on a 'ad part.
ot signing operations 'e%ore moving to ne,t step
Machines going downCeep a Bcritical parts inventoryB and complete M$S
5alentMultiple layers o% talent/cross training
>ormanship issues
1' Shipping Low Low A7/A1/13
-ou'le chec each item against the pic list
Low Low
ot enclosing all paperwor
4nvoiced not shipped5each to protect the company ? customer property
$hance o% missing customer shipping re*uirements
ulling wrong parts-ou'le chec each item against the pic list
arts in wrong locastion;ood inventory practices
#,pired Stoc ersonnel training on pulling inventory
-amage tomaterial / part
)dditionalMaterial0
Rescheduling0Rewor0 Scrap0Returns %romcustomers04ncomplete
documentation andrecords
Manu%acturingManager
Spend time up %ront to set up properly0 dou'le chec%or correct tooling0 measure wor as you go.
4ncorrect or poor place placement o% la'eling orstamping o% parts/product
)de*uate 9o' training on protecting the company andcustomer property.
5ae pride in your wor0 sills0 and reputation amongst
peers.
ot veri%ying right part num'er0 right address0 rightmethod o% shipment
Sending to wrongcustomer %acility0
Longer staging wait%or instructions0
$ustomer claims0-elay or penalty o%
payment
>arehouseManager
Sending wrongparts/*uantities0 >arehouse
Working copy
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RISK REGISTER
Riskite
m#
Risk
area
RiskDescrip
tion
RiskIm
pact
Likeli
hood
Cons
eque
nces
DateRaised
Risk
Owne
r
Contin
genc
y
Actio
n
Curren
t
RiskR
atin
g
Desired
RiskR
4ncorrect la'eling#,terminate on seasonal insects and spiders
Spiders
4ncorrect cycle count
1)
4FR)S5R($5(R#
(ne,pected 'readown o% manu%acturing e*uipment
Low Low 7/1/13
Maintain e%%ective maintenance program
Low Low
Loss o% machine programs
aint 'ooth going down(tili&e =nd paint 'ooth
etwor going down:ave a copy o% $$ programs stored locally
)ir $ompressor doing down(tili&e 'ac up air compressor
Security
:ave 'ac up e*uipment
Loss o% data 6server 'readown
Store data as 'ac up in a outside location.
1* >"RC #
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RISK REGISTER
Risk
item
#
Riskar
ea
Risk
Descrip
tion
Risk
Impa
ct
Likeliho
od
Con
seque
nces
DateRa
ised
Risk
O
wne
r
Cont
inge
ncy
Action C
urre
nt
RiskRa
ting
Desir
ed
Risk
1+
RetirementLow Low 7/1/13 Low Low
-rug (seRandom -rug 5esting
otice ;iven-ecreased Management o% #mployee :ours
19 S/PP45 3.0I
Late delivery
Medium Medium 7/1/13
Follow urchase order to identi%y potential delay
Medium Low
Missing $erti%ication3a""6 Inform 7endor 6 Then !ait for corrected docs
5otal re9ectionsReview delivery per%ormance ? noti%y
Material Returns
Failure to review Ris RegisterReview the Ris Register
2,
83/MET0TI
4ncomplete
>rong trace @8s provided
4nade*uate certi%ication documents %or data pacs
cross train in Q) or 'ring in additional persons to train
Sending out MR+8s with wrong in%oReview0 Review prior to sending
%ailure to print and review all re*uired speci%ications
)ssign responsi'ility
processing
Manager
Shortages0 otmeeting customer
ship date
Materials andQ)/Q$
ManagersReview total re9ections ? initiate corrective actionwhere re*uired
Main Supplier cannot or does not have the material
on hand as needed.
$ontact =nd and 3rd suppliers to see i% they have the
material needed on hand.
5rainning on how and importance o% accuracy indocumenting the num'ers
$all the
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RISK REGISTER
Risk
item
#
Riskarea
Risk
Descrip
tion
Risk
Impa
ct
Likelih
ood
Con
sequ
ences
Date
Raised
Risk
Owne
r
Con
tinge
ncy
Actio
n
Current
RiskR
atin
g
Desired
Risk
21
(n2opened emailsSchedule time to review email.
ETER04 3MM/I30TI
Missed calls or unreturned calls.Schedule time to review messages le%t on phones.
;oing to customers8 in%ormation sites)ssign Responsi'ility and Schedule
22 ITER04 3MM/I30TI
(n2opened emails Schedule time %or emails
2&S0:ET5 Emp"oyee;s taking short cts In