WD STA 09 Supplier Quality Manual 010713

Supplier Quality Manual

Roots Industries India Limited Kathirnaicken palayam road,

Thoppampatti

Coimbatore – 641017

TamilNadu, India. Website www.rootsindia.com


Roots Industries India Limited WD/STA/09 Rev.C dated 01.07.2013 Page 1 of 30

REVISION SUMMARY

Revision No.

Change Description

Issue date

Remarks

-

• New release

12.01.2007

A

• Environmental Policy added

• Company name updated.

• New Supplier acceptance

criteria added.

• EMS requirements in

packaging and transportation

are added.

• Supplier Delivery Rating

details modified

16.08.2010

B

• List of formats is added.

• “Thickness of the polythene

bag is changed from “less than

20” Microns to “less than 40”

Microns”

• Target time for Containment

action of NC parts added

• Implementation procedure for

“Change Request from

Suppliers” is modified.

01.12.2012

C

• Quality Policy – Rev D is

updated.

01.07.2013



CONTENTS

• Foreword 03

• Vision & Mission 04

• Quality Policy 05

• Environmental policy 06

1. Introduction 07

2. Supplier selection and approval process 08

3. New Part /Process development 09

4. Quality System requirements 11

5. Control on Roots supplied Documents/Tools/Equipments 13

6. Order placing (Purchasing / Sub contracting) 14

7. Packaging and Transportation 15

8. Incoming inspection controls in Roots 16

9. Handling of Non conforming (NC) items 18

10. Supplier performance monitoring (Quality & Delivery) 20

11. Implementation of Engineering Changes 21

12. Concessions/ Deviations / Change request 22

13. Tier-II Supplier management 23

14. Supplier Audits 24

15. Records & retention period 25

16. List of Documents / Formats 26

17. Terms and Definitions 27



FOREWORD

Dear Suppliers,

The need of improved product quality is more clearly recognized and accepted

through out the world now, than at any time in History. Worldwide competition provides customers with a vast array of quality levels with competitive prices from which to choose. ROOTS has always maintained a leadership position on Quality and recognizes the needs to improve product reliability and durability to higher levels with competitive price to meet market demands.

As a part of Continuous enhancement of Quality, we are extremely happy to publish this Supplier Quality Manual, which is to improve our products and to scale up our

customer satisfaction levels by introducing prevention oriented supplier development program. This manual is expected to provide a good foundation for robust business processes that are necessary for meeting competitive market challenges. We do hope that this manual will not only help our suppliers to understand our performance expectations, but also help us to leverage the supplier strengths in our march forward in the quality journey. Please feel free to contact us for any clarifications in this manual. We sincerely hope that suppliers will extend unstinted support for our endeavor to become a world-class organization and be our partners for success.

“Think like the Customer and act like the Owner” and “Simplicity is the key to

efficiency” are the mantras, which drive ROOTS to step into continuous success in the competitive market. We wish you long and fruitful association with ROOTS With kind regards

K.Ramasamy

Chairman

ROOTS GROUP



ROOTS VISION

To become a World Leader in any field that we

undertake.

ROOTS MISSION

To be valued as a company that understands Quality

and integrates it at every level to provide world-class products and to offer outstanding values to our

Customers.



Environmental Policy

With due concern towards maintaining and improving the Quality of

Life, Roots is committed for sustainable development by minimizing pollution and conserving resources.

This will be achieved through continual improvement in Environmental Awareness of all employees & associates, Compliance to legal & other

Requirements and objective towards Environmental Protection.

K.Ramasamy

Chairman

ROOTS GROUP

Rev. Status: A

Date : 18/03/2009



1. INTRODUCTION 1.1 The purpose of this manual is

a. To communicate to all Suppliers regarding ROOTS expectations and the minimum

requirements for assuring continuous quality supplies.

b. To specify the procedures and the documents that Supplier has to follow inturn to

ensure Quality, Delivery, Cost and other requirements of ROOTS.

1.2 The manual is developed with a focus on

a. Defect Prevention rather than Defect Detection

b. Effectiveness & Efficiency in Roots supply chain

c. Promoting Continual Improvements in Supplier sites

d. Developing the suppliers towards Self-certification

e. To maximize the profit of our suppliers by improving their efficiency and reducing

wastages



2. SUPPLIER SELECTION AND APPROVAL PROCESS

2.1 Objective: To explain the procedure for inducting a new supplier into ROOTS and adding

new business to the existing sources of supply.

2.2 Procedure

The Suppliers are identified based on the requirements through Direct interactions / Customer

recommendations / Websites / Trade journals / Advertisements.

“Supplier Evaluation Form” is forwarded to the Identified Suppliers and the suppliers are

requested to submit the same duly filled. The Filled Supplier evaluation forms, received from

the Suppliers, are scrutinized based on the Technical, Commercial and regulatory

requirements.

Then, request for submission of quotations are sent to the scrutinized suppliers. Based on the

receipt of quotation and competitiveness, Suppliers are selected for evaluation.

2.2.1 General Evaluation Criteria:

a. Commitment towards the business with ROOTS and improvement policies

b. Production and support facilities

c. Inspection and testing facilities

d. Quality system and Continuous improvement initiatives

e. New product development capabilities

f. Financial strength

g. Meeting of safety and other Environmental norms

h. Organization structure

i. Performance with existing customers

j. QMS certification and its adherence level

ROOTS team will conduct an on-site assessment/audit i.e. of basically intended to verify

supplier technical capabilities, capacity and operating system for adequacy and adherence of

the selected supplier.

Decision on the supplier for development of part / process can be Approval or Conditional

approval.

In case of conditional approval due to non-conformities during the assessment/audit, the

supplier shall submit a time bound action plan for correcting the non-conformities. ROOTS may

reject the business proposal if the non–conformities observed are not closed within the agreed

time.

Supplier Approval Criteria:

QMS ISO 9001 – Third Party certification

Roots Audit score –82% minimum

Once the Supplier is approved by STA, Supplier code is given and Part / Process is approved

as outlined in “NEW PART / PROCESS DEVELOPMENT”.



3. NEW PART/PROCESS DEVELOPMENT

3.1 Objective: To explain the system / steps to be followed by suppliers during the

development and approval of new parts/process.

3.2 Procedure

Supplier may form CFT (Cross Functional Team) for new part development and nominate

representative for interactions with ROOTS. The CFT shall include members from

Engineering, Manufacturing, Quality, Purchasing, Subcontractor and customer as required.

Supplier shall follow the APQP guidelines for New Part Development as per the latest edition

of APQP reference manual or as guided by ROOTS.

The steps followed by ROOTS during the development of new part / process.

Supplier shall

1. Interact with ROOTS after studying the Part Development drawing with the following

information:

a. Production feasibility of the part

b. Cost break up details for the part

c. Suggestions for improving Quality, Cost & Delivery (QCD)

d. New investment requirement, if any

2. Develop mutually agreed Time-bound project plan with Milestone for part/process

development after getting approval from ROOTS (The supplier may get and use Roots

specified formats).

3. Prepare Process Flow Diagram, Process FMEA, Control Plan and list of Process/Product

Special characteristics etc (Refer “Guidelines of PPAP requirements – WD/STA/05” issued by Roots)

4. The Suppliers with proprietary design shall review completeness of Design FMEA with

ROOTS team along with the above requirements (Refer “Guidelines of PPAP requirements

– WD/STA/05” issued by Roots). The Supplier shall forward the proposal drawing and get approval from ROOTS.

5. Prepare & submit the samples along with Inspection report, Material test report and Performance test report as applicable.

6. Identify the Pass through characteristics along with the ROOTS CFT team and the suitable controlling methods shall be deployed in their process.

7. On receipt of confirmation from ROOTS, the Supplier shall develop a detailed plan for

procuring the tools, gauges, test rigs, etc. required for mass production based on the volume requirement indicated by ROOTS.

8. Develop Tools and facilities.

9. Conduct Process trials and validation.

10. Based on the Process trial & validation results take corrective actions and update the control plan and other Engineering documents as applicable.



11. After getting concurrence from ROOTS – STA, conduct PTR (Refer Guidelines of PPAP requirements – WD/STA/05” issued by Roots).

12. Compile PPAP documents as per the agreed submission level and submit to Roots – STA.

13. ROOTS – STA will give the formal approval by signing off Part Submission Warrant (PSW)

after verification of all the requirements.



4. QUALITY SYSTEM REQUIREMENTS

4.1 Objective: To give the requirements / expectation of ROOTS on Statutory,

Environmental and Quality System requirements to be implemented by the suppliers.

4.2 Requirements / Expectations

a. Supplier shall comply with Government, Safety and Environmental regulations

applicable to the supplier process.

b. The supplier shall comply with Quality Management System ISO 9001 latest revision

and be certified by 3rd party certification body. However, ultimate goal is to implement

ISO/TS 16949 requirements.

c. Supplier shall immediately notify ROOTS if Quality certification is suspended or placed

on probation.

d. The Non-ISO Supplier shall determine the action plan to obtain 3rd party certification

and shall forward the same to ROOTS.

e. Supplier shall follow APQP guidelines for New Part/Process Development as per the

latest edition of APQP reference manual or as guided by ROOTS.

f. Supplier shall follow PPAP guidelines for New Part/Process Approval and

Implementation of Engineering changes as per “Guidelines of PPAP requirements –

WD/STA/05” issued by ROOTS.

g. The supplier shall identify the key indicators such as OEE (Overall Equipment

Effectiveness), FTT (First Time Through), PPM (Parts Per Million) etc.

h. The supplier shall use Problem solving techniques like G8D, Why Why Analysis, Cause

and Effect diagram etc for Non conformance analysis and corrective actions. The

supplier shall use ROOTS recommended formats for the same.

i. The supplier shall use appropriate Statistical tools in the manufacturing process to

ensure product conformity.

j. The supplier shall determine and manage the Work Environment to achieve

Productivity and conformity to Product requirements.

4.3 General Guidelines for Supplier Quality System

a. Supplier shall have Process flow diagram, FMEA, Control plan/Process sheet / Standard

Operating Procedure (SOP), Job instruction for operators, List of Checking aids,

Calibration of Instruments and its records, Setup and patrol inspection records,

Operator training and Motivation, Tool approval report, Tool history card with

maintenance details, Machine history card with list of Critical spare parts, Process

Validation records etc.

b. Supplier shall display Production related information such as Process Flow Diagram,

Control plan / Process sheet / Standard Operating Procedure (SOP), Job instruction for

operators and Reference samples at workstation.

c. The supplier shall implement Error Proofing system (Poka yoke) wherever required.

d. The supplier shall have Employees skills assessment and Training programs based on

their skills. The supplier shall monitor the effectiveness of Training and give retraining

as appropriate.



e. Supplier shall ensure Good House Keeping by implementing 5S Practices.

f. Supplier shall develop guidelines for Kaizen and Continuous improvements in Quality,

Cost and Delivery and shall monitor the targets for its achievements.

g. The supplier shall identify a separate area for placing of Non Conformance (NC) items.

h. Green card for Accepted items, Yellow card for NC/Doubtful items and Red card for

Rejected items or Routing card system are to be followed in all areas of the process for

effective Identification & Traceability.

i. ROOTS recommends implementation of the Management techniques/ Tools like Quality

circle, Lean Manufacturing, Cellular manufacturing, TPM, Kanban, JIT (Just in Time),

BPR (Business Process re-engineering), SMED (Single Minute Exchange of Dies) etc for

mutual benefits.

j. Supplier shall ensure MSDS (Material Safety Data Sheet) requirements as applicable

and Employee Safety and other general factory safety requirements.



5. CONTROL ON ROOTS SUPPLIED DOCUMENTS/TOOLS/EQUIPMENTS

5.1 Objective: To specify the procedure for control / maintenance of ROOTS supplied

Documents / Tools / Equipments.

5.2 Procedure

a. The Tools, Equipments, Drawings and Documents issued by ROOTS shall always

remain as the property of ROOTS.

b. Supplier shall scrap/return the old Engineering Documents to ROOTS after receiving

the latest Documents.

c. Master list of all items supplied by ROOTS shall be maintained. Ex: Press tools, PDC

dies, Plastic moulds, Machine tools, Inspection Equipments / Instruments.

d. The Tools/Equipments received from ROOTS shall be maintained with proper

Identification and Traceability.

e. The supplier shall not reproduce or disclose any information related to the items

manufactured by them to 3rd parties. Confidential information such as the patents,

Design, Drawings and all other information relating to the manufacture of the items

shall be maintained.

f. The Supplier shall take responsibility of maintenance and calibration of the tools and

the gauges provided by ROOTS.

g. The Supplier shall define and practice preventive maintenance schedule in co-

ordination with Roots to achieve the intended tool life and part quality requirements.

h. The Supplier shall maintain history card for all Dies and Press tools and shall submit a

copy of the same upon request.

i. Further in the unlikely event of termination of the agreement for some reason or other,

the supplier shall return all Tools, Equipments, Drawings and all other related

documents to ROOTS.

Customer owned Tools supplied by ROOTS

In addition to the above general requirements, Customer owned Tools / Equipments supplied

by ROOTS shall be ensured for the customer specific requirements such as Identification,

maintenance, etc



6. ORDER PLACING (PURCHASING / SUB CONTRACTING)

6.1 Objective: To enable the supplier to have effective production planning to meet ROOTS

supply requirements.

6.2 Procedure:

a. ROOTS shall release the Purchase order / Job order for the regular procurement once

the Supplier’s part/process is approved by ROOTS - STA. The Purchase order / Job

order contains Order number, Part number, Part description, Required quantity,

Delivery date and other particulars as applicable.

b. Based on the monthly production schedule the concerned buyer department

(Materials/Subcontract) releases the monthly or weekly or daily schedule for the

concerned Suppliers as applicable.

c. Amendments if any to Purchase orders / Job Orders or schedules are communicated

to the Suppliers through Telephone/Mobile/e-mail/Fax/post/courier/ in person.

6.3 Supplier responsibilities:

a. Adequate communication facilities like Telephone, Mobile phones, Fax, and Computer

with Internet connection shall be made available. The facilities shall be upgraded as

and when required to meet the changing world.

b. Suppliers shall look at schedules released by ROOTS - Buyers for production planning

and shall ensure meeting of 100% delivery schedule.

c. The Supplier shall ensure the material received from ROOTS for quantity as well as

the damages and maintain suitable records.

d. The incoming materials received from ROOTS and Work In Progress (WIP) should

have proper identification.

e. In case of concern / likely to fail in meeting the confirmed scheduled quantity

requirements, supplier shall give prior notification to ROOTS-Buyers to avoid

stoppage in ROOTS production line.



7. PACKAGING & TRANSPORTATION

7.1 Objective: To ensure safety of the components and timely delivery of scheduled

quantity to ROOTS.

7.2 Procedure:

1. The supplier as per Delivery schedule shall ensure adequate inventory of finished goods.

2. Material shall be delivered to ROOTS through Direct transportation / ROOTS vehicles as

agreed.

3. Vehicles covered by Tarpaulin are only to be used to prevent from rain. Vehicle Emission

Certificate is mandatory for Vehicles

4. The supplier shall deliver products in a suitable packaging approved by ROOTS in order

to prevent Damages and Quality problems.

5. ROOTS recommends to use only reusable / returnable – plastic crates / pallets / trolleys

/ PP boxes (collapsible) for packaging.

6. Polythene bags of thickness less than 40 microns and usage of Stapler pins are not

permitted for ROOTS parts Packaging.

7. Samples of the containers shall be submitted to ROOTS for approval. On approval of

samples, adequate containers shall be procured based on:

a. Lead time to supply.

b. Stock levels at ROOTS.

c. Lead time to receive empty containers.

d. Expected increase in volumes.

8. Containers shall be always maintained in clean and good condition. The supplier shall

replace the containers damaged during circulation immediately.

9. Labeling / Packaging slips / Tags attached with the delivered parts shall contain the

following information

a. Supplier name, Location and Supplier code.

b. ROOTS Part number and Part description.

c. Number of containers / Bags/ Cases.

d. Quantity despatched and Gross weight.

e. Expiry dates applicable to shelf life items such as but not limited to rubber items,

chemicals and paints.

10. As required by ROOTS Two bin system, KANBAN, Just In Time (JIT) are to be adhered

by the supplier

11. Protection to the components (if any) before packing shall be as per the agreed norms

with ROOTS.



8. INCOMING INSPECTION CONTROLS IN ROOTS

8.1 Objective: To ensure effective controls at Incoming Inspection area of Roots.

8.2 Procedure

The Parts supplied by the supplier will be subjected to Inward Inspection and Acceptance is

given if the supplied lot meets all requirements as specified by ROOTS. If the lot does not

meet the requirements, the procedure “HANDLING OF NONCONFORMING (NC) ITEMS” is

followed

8.3 Supplier responsibilities:

The following reports shall be submitted along with the supplies as per the agreed norms:

S.No Reports Norms

1 Pre-Despatch Inspection Report (PDIR) With every lot / as agreed

2 Material & Performance Test Reports With every lot / as agreed

3 Process Capability Reports Cpk value in PDI Report of

every lot or as agreed

4 Endurance test reports as per Drawing / Roots

Engineering Standard (RES)

As agreed during part

approval process (PPAP).

8.3.1 Pre-Despatch Inspection report (PDIR)

1. The supplier shall perform Pre-Despatch Inspection for all dispatches and submit the

report in the prescribed format as per agreement of inspection during Part Approval

Process (PPAP).

2. The supplier shall carry out 100% inspection for all appearance items for visual

defects and ROOTS specified sampling plan is to be used during Pre-Despatch

Inspection.

3. Master Sample / Limit samples approved by ROOTS shall be used during the

verification of all visual checks and those samples shall be replaced as per validity

date.

4. Pre-Despatch Inspection report shall contain certified inspectors Name & Sign.

8.3.2 Material / Performance / Endurance Test reports

1. The supplier shall perform all tests and submit the reports with every lot / as agreed

during Part Approval Process (PPAP).

2. If the supplier does not have the facility, the tests can be carried at the ROOTS

specified sources / NABL approved laboratories.



8.3.3 Process Capability Reports

Supplier shall maintain process capability reports for Special characteristics (SC/CC/HIC –

Refer “TERMS AND DEFINITIONS”) as specified in ROOTS Control Plan. ROOTS will verify

Process capability reports / Control charts whenever required.

Please refer “Guidelines of PPAP requirements – WD/STA/05” for Acceptance norms for

Process capability index (Cpk) and Process Performance index (Ppk) of the parameters.



9 HANDLING OF NONCONFORMING (NC) ITEMS

9.1 Objective: To give guidance on Handling of Nonconforming (NC) Items

9.2 Procedure:

9.2.1 Non-Conformance in Supplier process

9.2.1.1 Purchase Suppliers

The supplier shall carry out In-process NC analysis and implement necessary Corrective and

Preventive actions. The supplier shall use the problem solving techniques like G8D, Cause &

Effect Diagram, Why-Why analysis etc. The internal rejection trend should show positive results, which will be verified during the audit by ROOTS.

The supplier shall get approval from ROOTS before implementation of any engineering

change as a part of Corrective/Preventive action as per “IMPLEMENTATION OF ENGINEERING

CHANGES”.

9.2.1.2 Subcontract Suppliers

With all above activities specified for Purchase Suppliers, the supplier shall return the

materials along with NC analysis report periodically as specified by ROOTS.

9.2.2 NC at ROOTS Inward

1. If ROOTS determines the received part is non-conforming, the suppliers are

communicated through Telephone/ Mobile/ e-mail/ Fax/ post/ courier/ in person.

2. The supplier shall reply for non-conformance within 24 hours through E-Mail/ Fax/

courier/ in person.

3. After mutual agreement on non-conformance, parts will be moved to NC area, the

Supplier shall take the responsibility to collect back the material at their cost within 24

hours.

4. As an immediate measure the supplier shall indicate the following within 24 hours

(Coimbatore Suppliers) and within 48 Hours (Out of Coimbatore suppliers) after receipt

of the information:

a. Containment action for the parts at ROOTS, at the supplier site and in transit.

b. Short term / Temporary countermeasure with time line.

c. Method of segregation or sorting.

d. Identification after segregation or sorting.

5. The supplier shall submit Permanent Corrective & Preventive action report within 15

days after receiving the Quality Problem Report (QPR). The supplier shall use the

problem solving techniques like G8D, Cause & Effect Diagram, Why-Why analysis for

root cause analysis and Corrective action.

6. The effectiveness of the implemented Corrective & Preventive actions shall be monitored

and updated to ROOTS.



9.2.3 Line Rejection in ROOTS

1. If there is any major line rejection noticed in Roots production line due to supplier parts,

the suppliers are communicated through Telephone/Mobile/e-mail/ Fax/post/courier/ in

person.

2. The supplier shall attend the problem immediately so as the production of ROOTS is not

suffered (within 12 hours by Coimbatore suppliers and 24 hours by Outside Coimbatore

Suppliers after the receipt of the information).

3. After mutual agreement on non-conformance, parts will be moved to NC area. The

Supplier shall segregate the available stock in all stages of ROOTS and take the

responsibility to collect back the defective material at their cost immediately.

4. As an immediate measure the supplier shall indicate the following:

a. Containment action for the parts at ROOTS, at the supplier site and in transit.

b. Short term / Temporary countermeasure with time line.

c. Method of segregation or sorting.

d. Identification after segregation or sorting.

5. The supplier shall submit Permanent Corrective & Preventive action report within 15

days after receiving the Quality Problem Report (QPR). The supplier shall use the

problem solving techniques like G8D, Cause & Effect Diagram, Why-Why analysis for

root cause analysis and Corrective action.

6. The effectiveness of the implemented Corrective & Preventive actions shall be

monitored and updated to ROOTS.

7. The loss occurred to ROOTS due to supply of defective parts and Value of Rejected /

Rework parts will be deducted from the supplier payment.

9.2.4 NC due to Customer Complaints / Warranty failure

1. The suppliers are communicated through Telephone/Mobile/e-mail/Fax/post/courier/ in

person.

2. The supplier shall analysis the Quality issues and shall submit Permanent Corrective &

Preventive action report within 15 days after receiving the Quality Problem Report

(QPR). The supplier shall use the problem solving techniques like G8D, Cause & Effect

Diagram, Why-Why analysis for root cause analysis and Corrective action.

3. The effectiveness of the implemented Corrective & Preventive actions shall be monitored

and updated to ROOTS.

4. The loss occurred to ROOTS due to supply of defective parts and Value of Rejected /

Rework parts will be deducted from the supplier payment.



10. SUPPLIER PERFORMANCE MONITORING (QUALITY & DELIVERY)

10.1 Objective: To specify how Quality & Delivery performance of the supplier is monitored in ROOTS.

10.2 Procedure:

The Performance of the supplier is monitored through their Quality and Delivery

performance. The Supplier rating is done every month and is communicated to the

respective supplier through “Supplier Performance Report”.

The rating is done as stated below

10.2.1 QUALITY RATING (QR)

Rejected or Rework Quantity

Supplier Rejection or Rework PPM = --------------------------------- X 10, 00,000

Supplied Quantity

Quality PPM Target will be mutually agreed for every New Financial year and shall be

specified & monitored through “Supplier Performance Report”.

10.2.2 RESPONSE TIME

Response time for Quality issues is also monitored through “Supplier Performance Report”

against the set target.

10.2.2 DELIVERY RATING (DR)

Delivery rating is based on Failure of delivery commitment.

The “Supplier Performance Report” is sent to suppliers with an objective to improve their

performance both in Quality and Delivery. Suppliers shall submit Corrective action for

deviations in Quality and Delivery performance.



11. IMPLEMENTATION OF ENGINEERING CHANGES

11.1 Objective: To specify the procedure for implementation of Engineering change to

running parts including Product and Process changes.

11.2 Procedure:

Supplier shall

1. Discuss with ROOTS with the following information after studying the change details

given by ROOTS.

a. Manufacturability of change

b. Effect on Capacity

c. Tool development / modification lead-time.

d. Tool modification / new tool development charges with break up

e. Associated cost effect with the detailed break up

f. Investment details for addition of facility, if any.

2. Proceed with the change only after receiving the Purchase order or Job order for revised

Part number or clear information on implementation from ROOTS authorized person.

3. Submit an action plan for sample development. Ensure regular supplies are not affected

during sample development / approval period.

4. Follow the procedure as per “NEW PART / PROCESS DEVELOPMENT” process for getting

change approval.

5. Finalize implementation date jointly with ROOTS, once the part approval is obtained.

Ensure sufficient stock levels are built up for smooth change over. In case of request for

immediate change over, discuss with ROOTS on disposal action/ exhausting of the old

components before proceeding with change over.

NOTE: No tools can be scrapped / modified without written consent of ROOTS



12. CONCESSIONS/DEVIATIONS/ CHANGE REQUEST

12.1 Objective: To specify the procedure for handling Concessions, Deviations and Change requests raised by suppliers.

12.2 Procedure:

12.2.1 Concession

If any concession agreed in product quality between the supplier and ROOTS, then the

supply should be made along with concession approval given by Roots.

12.2.2 Deviation

Supplier shall

a. Address to ROOTS regarding the potential concerns likely to affect supplies

b. In case of any suspected non-conformance already despatched, inform ROOTS with

clear description of the non-conformance and despatch details.

ROOTS will take further action based on the criticality of the deviation.

12.2.3 Change request / ideas for improving the existing supplies

The supplier shall submit “Change request” for improving the existing supplies through

” Change Request” form to ROOTS – MTL / SUB.

Preliminary review will be done by MTL/ SUB and STA team. If it is found feasible in the

Preliminary review, Change request will be forwarded to ROOTS - Engineering Team and

feedback will be given to the suppliers by MTL/SUB. Once, the change is accepted by ROOTS

engineering team, the change shall be implemented as outlined in “NEW PART / PROCESS

DEVELOPMENT”.



13. TIER-II SUPPLIER MANAGEMENT

13.1 Objective: To provide minimum requirements / guidelines for managing Tier-II

suppliers.

13.2 Procedure

The supplier has to comply the following requirements on Tier-II supplier management.

13.2.1 Supplier Responsibilities

a. The supplier shall maintain master list of Tier-II suppliers with clear details of the

operations carried out.

b. A copy of the Master list of suppliers shall be submitted to ROOTS along with PPAP for

all ROOTS parts.

c. Procurement of Raw materials by the Tier-II suppliers only from mutually agreed

sources.

d. Special processes like Plating, Powder coating, Painting, Heat treatment etc shall be

processed only with the mutually approved sources.

e. Information shall be given and the approval to be obtained before any change of Tier-

II supplier and change in process as per PPAP guidelines.

f. Performance of all Tier-II suppliers shall be monitored to ensure continual

improvement.

g. The data on production capacity for the parts supplied by Tier-II suppliers shall be

maintained.

h. Supplier best practices shall be deployed to Tier-II suppliers on periodic basis.

i. QMS certifications like ISO 9001:2000 for Tier- II is to be encouraged.



14. SUPPLIER AUDITS

14.1 Objective: To verify the compliance of the Supplier Process / Quality System for

ROOTS requirements, corrective actions for past failures and to enable / support towards

continual improvement.

14.2 Procedure

a. ROOTS will conduct as per Audit check list to ensure Supplier Process / Quality

System requirements meets ROOTS requirements.

b. The audit frequency may be once a year or more depending on how the supplier

meets the performance targets. Supplier audits are scheduled based on the Supplier

rating, Line rejection and Customer complaints.

c. Roots customer may carry out audit at the supplier site. This audit may be scheduled

or Issue based.

d. In case of any major Quality / Delivery problem reported on the supplies, ROOTS may

decide to carry out detailed audit on process on immediate basis.

e. ROOTS will communicate the non-conformities / findings, areas of concerns that

require improvement after the audit.

f. Supplier shall forward the time bound action plan for closure of non-conformities and

notify ROOTS on the progress made.

g. The corrective actions taken by the Supplier are monitored for its effectiveness.

h. The supplier will be block listed from the active list if improvements are not noticed as

applicable.



15. RECORDS & RETENTION PERIOD

15.1 Objective: To provide minimum requirements / guidelines for retention of the

documents and records.

15.2 Procedure

Supplier shall have procedures for Documents and Data control and shall implement the

same effectively. This includes documents of external origin, such as standards and

customer drawings, to the extent needed.

The records shall be legible, readily retrievable and stored properly.

The minimum retention period for various types of records have been specified in the below

Table. The records shall be made available to ROOTS for verification on request.

S.No Type of Record Example Minimum

Retention Period

1

Engineering

Documents

Drawings, Control Plans,

Engineering Standards, Material

Specification etc

For the life of the

Product + 1

Calendar year.

2 Product / Process

approval records

PPAP Documents, Tool Approval

report & Master Samples.

For the life of the

Product + 1

Calendar year.

3

Other records

related to Product

/ Process

Corrective and Preventive action

reports, Set up & Patrol Inspection

records, Calibration Records, Tool /

Machine maintenance & History

card, Periodic Validation test

reports, etc

Two Calendar

Years.

4

Purchase / Job

order transaction

Records.

Purchase/Job orders, Tool /

Equipment transaction slip and

other related documents.

Two Calendar

Years.

Note: Specific requirement on the records based on our customer requirements will be

informed during Production Part Approval Process (PPAP), which shall be maintained.



16. List of Documents/Formats to be collected from ROOTS.

16.1 Documents

1. Guidelines of PPAP requirements - WD/STA/05.

2. Supplier Part Approval requirements – After Market & Industrial Automotive

Applications – WD/STA/06.

3. Guidelines for Supplier FMEA - WD/STA/08.

16.2 Formats

1. APQP Timing Plan for Supplier Parts-MR/184

2. Change Request from Suppliers –MR/679

3. Process Flow Diagram-MR/680

4. Control Plan-MR/681

5. Process FMEA-MR/ 682

6. Initial sample evaluation report-MR/683

7. Part Submission Warrant-MR/684

8. Process Capability study report (Ppk & Cpk)-MR/173

9. 8D report-MR/617



17. Terms and Definitions

17.1 Abbreviations

APQP Advance Product Quality Planning

BPR Business Process Re-Engineering

CC Critical Characteristics

CFT Cross Functional Team

DFA Design for Assembly

DFM Design for Manufacturability

DOE Design of Experiments

FMEA Failure Mode Effect Analysis

FTT First Time Through

HIC High Impact Characteristics

ISO International Organisation for Standardisation

JIT Just in Time

MFE Manufacturing Engineering Department

MSA Measurement System Analysis

MTL Materials Department

OEE Overall Equipment Effectiveness

PPAP Production Part Approval Process

PPM Parts Per Million

QLA Quality Assurance Department

QPR Quality Problem Report

SC Significant Characteristics

SMED Single Minute Exchange of Dies

SPC Statistical Process Control

STA Supplier Technical Assistance Department

SUB Subcontract Department

TPM Total Productive Maintenance

TS Technical Specification

WIP Work In Progress

17.2 Definitions

Advance Product Quality Planning (APQP)

Advanced Product Quality Planning is a structured method of defining and establishing the

steps necessary to assure that a product satisfies the customer requirements. APQP reference

manual has been authored by Ford, Daimler Chrysler and General Motors and available

through Automotive Industry Action Group (AIAG).

Corrective action

The actions to eliminate the cause of a detected nonconformity or other undesirable situation.

Critical Characteristics (CC)

Critical Characteristic (CC) is defined as the Product Parameters, feature and Requirements

that affect compliance with Government Regulation or safe vehicle / Product function (such as:

Sound Pressure level, emissions, Noise, Radio frequency interference, etc…) and require

special actions or controls which is to be addressed in the control Plan. The Critical

characteristics (CC) are denoted by the symbol << >>.



Customer approved suppliers

The Suppliers who are recommended by the customer to procure the items/ services.

Error proofing

A manufacturing system that prevents the manufacture of nonconforming products.

First Time Through (FTT)

The percentage of produced products that directly pass all the requirements/specifications

without any rework or rejections.

Global 8 Discipline (G8D)

A problem-solving tool used to analyse the root cause of the problem and to eliminate its

reoccurrence.

High impact Characteristics (HIC)

High impact Characteristic is defined as the Parameter, which severely affects the operation of

the process or next operations if they are outside of the Specification tolerance. The High

impact characteristics (HIC) are denoted by the symbol

QMS ISO 9001

An International Standard, released by the International Organization for Standardization

(ISO), specifies the Quality Management System requirements.

QMS ISO/TS 16949

An International Standard, prepared by the International Automotive Task Force (IATF) and

Japan Automobile Manufacturers Association (JAMA) with ISO / TC 176, specifies the Quality

Management System requirements for Automotive Industry and its ancillary unit.

Kaizen

An improvement from the existing method/system.

Measurement System Analysis (MSA)

The method used to assess the quality of a Measurement system and to analyse the variations

between the Measurement systems that are used for verification of Product / Process

parameters.

Non-Conformance (NC)

Deviation from the specifications / requirement.

HIC



Overall Equipment Effectiveness (OEE)

OEE is used to analyse the effective utilization of the plant resources. OEE is calculated by

using the formula

OEE = Productivity x Availability x Quality

Pass through characteristics

The Pass through characteristics is the characteristics that have impact on Performance of

Roots product and that could not be measured at Roots.

Production Part Approval Process (PPAP)

Production Part Approval Process is to ensure that all Customer-Engineering requirements are

understood by the organization and to demonstrate that the manufacturing process has the

potential to produce product consistently meeting the requirements during an actual

production run at the quoted production rate.

Preventive action

The actions to eliminate the cause of a potential nonconformity or other undesirable potential

situation.

Process Capability

The ability/capability of the process that produces the parts/products meeting the specification

with less variation.

Purchase Suppliers

The Suppliers, who supplies Raw materials, Components, Sub assemblies, Packaging materials

etc with materials against the ROOTS drawings / specifications.

Quality Problem Report (QPR)

The non-conformity report raised by ROOTS if any nonconformance noticed in the supplier

supplied product.

Roots Engineering Standard (RES)

The Standard released by Roots to convey Specific Engineering requirements of ROOTS.

Self – certification Suppliers

The Supplier, who ensures consistent quality and delivery of the product by adopting the

required manufacturing methodologies and Quality system to ensure defect free products. The

product supplied by those suppliers will directly fed into assembly/production without any

inspection by ROOTS.



Significant Characteristics (SC)

Significant Characteristic (SC) is defined as the Product parameters, feature and Requirement

that are important for Customer Satisfaction and for which the controls must be addressed in

the control plan. The significant characteristics (SC) are denoted by the symbol ◊.

Special Characteristics

Product characteristics or Manufacturing process parameter that can affect safety or

compliance with regulations, fit, function, performance or subsequent processing of the

product. The Special characteristics are categorized according to the criticality of the function

as Critical Characteristics (CC), Significant Characteristics (SC) and High impact

Characteristics (HIC).

Statistical Process Control

Statistical method of controlling the manufacturing process by using statistical tools such as

Average range Chart (X bar & R Chart), Pareto analysis, Trend charts etc to prevent the

occurrence of Non conformance.

Subcontract Suppliers

The Suppliers, who provides services like Plating, Machining, Assembling etc for the materials

supplied by ROOTS against the ROOTS drawings / specifications.

Suppliers

The Suppliers who supplies Products or provides Services against the ROOTS drawings /

specifications.

Supplier Technical Assistance

The function that deals with Approval of ROOTS Suppliers, Production Part Approval Process

(PPAP) of suppliers, Periodic supplier site assessment and assisting the suppliers to resolve

their non-conformities & Continual improvement.

Validation

Confirmation of a product that the requirements for an intended use or application have been

fulfilled.

Verification

Confirmation of a product that the requirements have been fulfilled.

WD STA 09 Supplier Quality Manual 010713

Documents

Transcript of WD STA 09 Supplier Quality Manual 010713