Global Supplier Quality and Development GM 1927 33

Early Production Containment Audit Summary Sheet

Date of Audit:

Supplier Name: Supplier Phone:

Mfg. DUNS: Plant Location & Country:

Auditor: (SQE) Auditor Phone:

Auditor: E-Mail: GM Division:

Part Number(s): Part Name/Description:

Drawing Date: Engineering Change Level:

PPAP Status: SMT:

Program / Project: Model Year:

A. Supplier Responsibility
NA 1. Pre launch Control Plan as part of PPAP submission NA 2. Pre launch Control Plan NA 3. Responsible person for EPC is to be named

B. Technical Information Availability

6. The most up to date documents are to be available and being used:

- CG4338 GM1927 03 Supplier Quality Statement of Requirement
- CG4355 GM 1927 03 SQ Sub Tier Supplier Management Statement of
Requirements
4. Drawings and/or picture rich Standardized Work instructions (latest
- GM 1927 09 PPAP Action Plan Worksheet
NA release level) available at Early Production Containment area with the NA 5. Final customer approved drawing NA
latest change level - GM 1927 28 EPC Procedure (added - audit developed based on procedure)
- GM1927 33 Early Production Containment Audit
- GM 1927 39 Early Containment exit letter template
- GM 1927 11 APQP worksheet and
- GM 1927 17 Supplier Quality Processes and Measurements Procedure

C. Process Validation
8. Lessons learned, previous SPPS records, PRTS, Validation
7. PFMEA/Reverse PFMEA to be used to develop the Early learnings and internal quality data should have been reviewed 9. Pre launch Control Plan is to be available, that is separate from the regular
NA NA NA
Production Containment list to develop the Early Production Containment checklist. production control plan
(including tiered supply items)

10. Early Production Containment check frequency is to be 100% or

11. EPC work station Operators are to be properly trained in
NA A documented, GM approved, lot sampling process, including Tier 2 NA NA Left intentionally blank
pass-thru features that interface with customer exists EPC Standardized Work.

D. Quality System Implementation Plan

12. EPC area should be separated from main production line.
Large label indicating Early Production Containment area, foot printed 13. The flow of material through Early Production Containment 14. No rework is to be conducted at EPC
NA NA NA
(visual management) and material status is to be clearly identified

17. Proper Standardized Work/Operator instructions are to be available for

NA 15. All gauges are to be calibrated with an acceptable R & R study NA 16. All gauges are to have proper operator instructions NA
Early Production Containment area

18. Operators at EPC station are to be trained effectively to follow 19. Boundary samples (BS), where feasible, are to be made
NA
EPC Standardized Work
NA NA 20. Master Parts or samples are to be available to confirm inspection
available to operators

22. There is to be an Escalation plan and the reaction plan

21. Error Proofed operations are to be checked in Early Production established and documented for every single defect found in 23. Effectiveness of packaging and material handling to protect parts from
NA NA NA
Containment to verify error proofing effectiveness Early Production Containment stations. damage is to be verified in Early Production Containment
EPC Operator trained on Escalation/Reaction plan

24. Early Production Containment plan is to verify all parts and 25. Inspection data for all components is to be documented in 26. Conforming parts are to be labeled as per Early Production Containment
NA NA NA
components are packaged and labeled properly Early Production Containment area requirements prior to exiting Early Production Containment

28. There is to be a robust process in place to prevent

27. Early Production Containment is to be enforced at Tier 2 suppliers
NA
by Tier 1 (or is it conducted at Tier 1 as incoming inspection)
NA shipment of material that has not gone through Early NA Left intentionally blank
Production Containment

E. Quality System Implementation by Management

29. There is to be a process for documenting and tracking Early
Production Containment issues found and robust Corrective Actions 30. Leadership is to ensure that discrepancies from Early
NA Reports associated to each of them. NA Production Containment area are managed as priority areas NA 31. If more than one shift, part problem information is to be passed across shifts
Supplier Collects data to drive continuous improvements. for process improvement

33. Plant leadership is to conduct Layered Process Audits and review 34. Management to understand the implication of not conforming to Early
32. Early Production Containment concerns are tracked back to the
audit results and corrective actions.
NA PCP and PFMEA NA
EPC issues are included. Open items reviewed.
NA Production Containment can result in SPPS being issued with potential for
Early Production Containment execution verified. mandatory 3rd party inspection being required

A. Supplier Responsibility NR NR If any of Requirement is scored by 0 or 1 => Key Element goes to RED

B. Technical Information Availability NR NR GREEN if 85% or greater, with No RED Elements less then 2

C. Process Validation NR NR Yellow between 75 - 84% with No RED Elements less then 2

D. Quality System Implementation Plan NR NR RED less then 75 % or a RED Element less then 2

NOTE:
E. Quality System Implementation by Management NR NR RED less then 75 % or a RED Element less then 2
Overall: Result of audit is based upon the lowest color status of the above sections.
YELLOW & RED status on any question requires corrective actions.
Overall: NR NR

Pts Element Scoring

0 Element is not in place and no evidence of plans to implement
1 Element is not in place but a plan to implement is documented
2 Element is in place but it is not being followed
3 Element in place but not followed at each job or all the time
4 Element is in place and it is being followed
NA Element is not applicable

Expected "Green" Compliance date

Supplier Representative Signature GM Representative Signature

Summary 759006872.xlsx Revision Date :Aug 20th, 2015

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 Summary Scoring Definitions

Pts Element Scoring

0 Element is not in place and no evidence of plans to implement
1 Element is not in place but a plan to implement is documented
2 Element is in place but it is not being followed
3 Element in place but not followed at each job or all the time
4 Element is in place and it is being followed
NA Element is not applicable

Summary Scoring Definitions 759006872.xlsx Revision Date :Aug 20th, 2015

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 A. Supplier Responsibility AUDIT WORKSHEET

REQUIREMENT: In regard to Supplier EVIDENCE / DOCUMENTATION

QUESTIONS TO ASK AND WHAT TO LOOK FOR Score G/Y/R/NA OBSERVATIONS
Responsibility REQUIRED

Pre launch Control Plan as part of PPAP

1 Pre launch Control Plan in SQMS Pre launch CP validates the production control plan NA NA
submission
Are all the processes captured including during start-up,
2 Pre launch Control Plan Robust Pre launch Control Plan acceleration, after shut down or if supplier is providing new product NA NA ###
during Launch.
3 Responsible person for EPC is to be named Contact Contact is knowledgeable NA NA
B. Technical Information Availability AUDIT WORKSHEET
REQUIREMENT: In regard to EVIDENCE / DOCUMENTATION
QUESTIONS TO ASK AND WHAT TO LOOK FOR Score G/Y/R/NA OBSERVATIONS
Technical Information Availability REQUIRED
Drawings and/or picture rich Standardized Work Blue Print
Do you have latest drawings?
instructions (latest release level) available at Material Spec Sheets
4 Do you have latest math data? NA NA ###
Early Production Containment area with the latest picture rich Standardized Work instructions (latest
Do you have picture rich SW instructions at correct level?
change level release level)
Blue Print Have you checked EWO/ECR and revision date?
5 Final customer approved drawing NA NA ###
Math Data Does the supplier have the final customer approved drawing?

The most up to date documents are to be All the documents have been recently uploaded
available and being used: from Supply Power.
- CG4338 GM1927 03 Supplier Quality - CG4338 GM1927 03 Supplier Quality Statement
Statement of Requirement of Requirement
- CG4355 GM 1927 03 SQ Sub Tier Supplier - CG4355 GM 1927 03 SQ Sub Tier Supplier
Management Statement of Requirements Management Statement of Requirements
Have the most up to date GM 1927 documents been downloaded
- GM 1927 09 PPAP Action Plan Worksheet - GM 1927 09 PPAP Action Plan Worksheet
from GM Supply Power?
6 - GM 1927 28 EPC Procedure (added - audit - GM 1927 28 EPC Procedure (added - audit NA NA
Have all the required documents been read and understood?
developed based on procedure) developed based on procedure)
- GM1927 33 Early Production Containment Audit - GM1927 33 Early Production Containment Audit
- GM 1927 39 Early Containment exit letter - GM 1927 39 Early Containment exit letter
template template
- GM 1927 11 APQP worksheet and - GM 1927 11 APQP worksheet and
- GM 1927 17 Supplier Quality Processes and - GM 1927 17 Supplier Quality Processes and
Measurements Procedure Measurements Procedure

C. Process Validation AUDIT WORKSHEET

QUESTION: In regard to Process EVIDENCE / DOCUMENTATION
QUESTIONS TO ASK AND WHAT TO LOOK FOR Score G/Y/R/NA OBSERVATIONS
Validation REQUIRED
Verify that ALL high RPN, Error Proofed or Critical line items are
included in the Early Production Containment list. Perform Reverse
PFMEA/Reverse PFMEA to be used to develop Significant Characteristics (SC) List / Pre launch PFMEA line walk to ensure existing error proofing is effective, look of
7 NA NA
the Early Production Containment list control plan. error proofing opportunities to further improve defect detection.
Has the PFMEA been reviewed to develop the Early Production
Containment list?
Lessons learned, previous SPPS records, PRTS,
Validation learnings and internal quality data Lessons learned system in place Verify that previous SPPS records lessons learned, internal failures,
8 should have been reviewed to develop the Early Significant Characteristics (SC) List / Pre launch PRTS and any validation build learnings are incorporated in the Early NA NA
Production Containment checklist. (including control plan. Production Containment plan.
tiered supply items)

Pre launch Control Plan is to be available, that is Pre launch Control Plan (AIAG Control Plan Verify current dates, etc. of Pre launch CP document as a separate
9 NA NA
separate from the regular production control plan format) is to be uploaded into SQMS documents over and above regular production PCP.

Early Production Containment check frequency is

to be 100% or
Are redundant 100% checks in place to verify the standard control
10 Pre Launch Control Plan plan effectiveness? Are Tier 2 pass-thru features 100% checked in NA NA
A documented, GM approved, lot sampling
Early Production Containment?
process, including Tier 2 pass-thru features that
interface with customer exists

Training matrix covers all Early Production Containment Operators

EPC work station Operators are to be properly Training matrix available in the Early Production
11 Operators have been trained by qualified staff. NA NA
trained in EPC Standardized Work. Containment area
Operators are independent from normal production.

D. Quality System Implementation Plan AUDIT WORKSHEET

REQUIREMENT: In regard to Quality EVIDENCE / DOCUMENTATION
QUESTIONS TO ASK AND WHAT TO LOOK FOR Score G/Y/R/NA OBSERVATIONS
System Implementation Plan REQUIRED
EPC area should be separated from main
production line. Early Production Containment station is located away from normal
Large label indicating Early Production Early Production Containment area is to be set up production line and properly identified using Visual management;
12 NA NA
Containment area, foot printed (visual correctly adequate lighting; production racks and scrap containers are clearly
management) identified and separated from another.

The flow of material through Early Production Logical flow of material into and out of Early Production Containment
Documented process flow.
13 Containment and material status is to be clearly being followed. NA NA
Part labels / containers
identified Segregation and identification of good, scrap and rework parts.

There is no rework being performed at EPC No rework to be conducted at EPC station.

station. Rework area should be separate from ALL processes and reworked
parts reintroduced into normal production following Independent
No rework is to be conducted at EPC
14 Parts that are approved for rework are segregated Repair Confirmation Process. (at least one station prior to defects NA NA
in bins/racks properly marked/identified using creation point)
Visual Management. All rework shall be approved by GM

Check to make sure gauges are calibrated.

All gauges are to be calibrated with an Gauge and Tool Certification Records including R
15 Verify tools and gauges are to the latest engineering change level. NA NA
acceptable R & R study &R
Verify R & R has passed
All gauges are to have proper operator
16 Gauge Instructions Ensure that Gauge Instructions are available at the gauge station. NA NA
instructions
Proper Standardized Work/Operator Verify Standardized Worksheets/operator instructions are firmly
Standardized Worksheets/Operator Instructions
17 instructions are to be available for Early attached and visible to operator. NA NA
Production Containment area Verify instructions are to the latest engineering change level.

Observe operator performing SW Verify against Standardized

Worksheets.
Operators at EPC station are to be trained EPC Operator Standardized Work Verify operations are being performed as indicated in SW work
18 NA NA
effectively to follow EPC Standardized Work Training Matrix - operators trained in EPC SW instructions (job time, handling of non-conforming material
etc.).
Ask EPC Operator to explain implication of not following SW
Boundary samples (BS), where feasible, are to
19 Operator Standardized Work NA NA
be made available to operators Verify that supplier has actual boundary samples for review.
Master Parts or samples are to be available to Master Parts
20 Verify Master Parts are of the current Engineering level. NA NA
confirm inspection Samples
Pre launch Control Plan
Error Proofed operations are to be checked in Error Proofing plan
Check all regular process error proofing is verified again through
21 Early Production Containment to verify error Physical Part markings must follow SMT guidelines NA NA
Early Production Containment inspection.
proofing effectiveness (such as washable for body, no paint for
propulsion)

Worksheet 759006872.xlsx Revision Date :Aug 20th, 2015

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 Special Characteristic Sheet

Supplier: Part Name:

Drawing #/Rev: Part Number:

Qty in stock:

Measurement
# Description of SC Specification
Device
1

Reference SC Sheet 759006872.xlsx Revision Date :Aug 20th, 2015

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 Supplier Start Date: SQE
Location Rev. Date: SQE Phone & Fax #:
Duns Grad Date: Manager:
Commodity Program: Group:
Prepared by: Creativity Team:
"Color Codes"
G Green - Task Completed on Time
Y Yellow - Task May Be Late
R Red - Task is Late
W White - Task Re-Timed, No Status
B Blue - Task Status is Incorrect / Not Updated
On Track (Bold Box/No Color)
TOTAL TOTAL STATUS
0 0
STATUS HISTORY
TARGET ACTUAL
ACTION DATE LAST
ITEM ACTION ITEM CLOSE CLOSE Most COUNTER MEASURES
LEADER OPENED UPDATE
DATE DATE Oldest Recent

# 1 2 3 4 5 6
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29

For USE-Supplier Action Form 759006872.xlsx Revision Date :Aug 20th, 2015
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Document issued
Replaced PRR with "SPPS records"
EPC process improvement DFSS project. Aligned the Audit to the revised GM 1927 28 EPC Procedure
 Revision
3/1/2018 1.0
3/28/2019 1.0
6/8/2020 2.0