Process Control Plan Audit

PCP-00 Rev.0
SUPPLIER NAME LOCATION
PART NAME
DATE
SUPPLIER PIC
(Y/M/D)

Final Score
Score Criteria Points Score
(%)

Audit > 85% Good - Meet Emerson quality requirements

Result 0
60 ~ 85% Fair - Require corrective action respond within 2 weeks
0
###
< 60% Poor - Require re-audit

Judgement standard Judgement of others

Marking Lead Auditor Auditor

2 Standard document is available Following the rule

There is a standard document Some are carrying out following the

1
but it is not enough rule/ carrying out but no rule
There is no standard document
0 Not following rule

A. Documentation
No. Questions Evidence/Documenta Questions to ask and Score Auditor Comments
tion Required What to look for /Observations

Does the supplier have the Is the drawing latest

Drawing with released released version same as
1 final customer released
drawing? status that Emerson has in
system?

Are the actual

drawings/specifications Do you have drawings?
2 available at production facility Drawing/CAD Model Do you have CAD
with the latest revision change model/specification data?
level?

If supplier transfer Emerson

drawing to supplier internal
drawings/instruction (inclusing Do you have your own
3 each station elements), does Supplier's internal engineerig
the requirement in supplier's Drawing/Instruction drawing?
documents match with
emerson released drawing.

Is the Process Flow

Is a Process Flow Diagram
4 available? Process Flow Diagram Diagram linked to FMEAs,
Process Contol Plan?

Does the Process Flow Is Receiving Inspection

5 Diagram include receiving Process Flow Diagram Rework/Shipping included
in the Process Flow
(QC), rework, shipping? Diagram?
 Does the Process Flow
Diagram incude labeling,
Marking and Part ID at
receiving, WIP, finished good, Is Labeling, Marking and
6 and shipping areas? Are Process Flow Diagram Part ID, etc., included in
material and part treaceability the Process Flow Diagram?
included in Process Flow
Diagram?

Does the Process Flow

Check if Critical
7 Diagram show part or process Process Flow Diagram Characteristic showed?
Critical Characteristic?

8 Is there a PFMEA available? Current updated PFMEA Is the PFMEA available and
up to date?

Is the PFMEA
established/worked-out
PFMEA Change Log,
(proper RPNs value, linked to Verify that all high RPN or
9 Process Flow Diagram and Meeting Minutes or
Similar History, RPN pareto Critical Line items have
Process Control Plan and action plans.
and actions for TOP values.
include Critical
Characteristics)?
 Do SOD (Severity,
Occurrence, Detection)
numbers meet Emerson
complaints (8D, SCAR, TFR)
; Evidences that current
issues are addressed
PFMEA Change Log,
related to Emerson
10 Is there any evidence that Meeting Minutes or
PFMEA is kept up to date? Similar History, RPN pareto complaints (8D, SCAR,
and actions for TOP values TFR); Verify that PFMEA is
updated as required &
linked to Process Control
Plan (8D, SCAR, TFR);
Verify any current failure
mode is present on the
PFMEA.

Is there a Process Control Plan Verify current dates, etc.

Updated Process Control
11 (Process Control Plan) Plan of Process Control Plan
available? document

Process Control Plan,

Changed Log, Meeting Verify Process Control Plan
Is the Process Control Plan Minutes or Similar History, updated based on PFMEA
12 established/worked-out (Linked all Documents), reviews, verify work
properly? Work Instructions available instructions in line with
and in line with Process Process Control Plan
Control Plan

Current Controlslisted on
the PFMEA and Process
Current Controls from Control Plan.; Appropriate
Control and/or Redundant
PFMEA to Process Control
Is the Process Control Plan Plan matches; Call Out Inspection as appropriate.;
Is there a
linked to PFMEA and Process Drawing/Process Control
procedure/process fo
13 Flow including Reaction Plan/PFMEA; PFMEA Continuous Improvement
Manuals and Corrective Action Change Log, Process
Program? Control Plan or action and risk Reduction?; Is the
plans; PFMEA Procedure, Process Control Plan
updated based on PFMEA
Continuous Improvement
reviews, meeting minutes,
worksheets, historic
PFMEA's.

Is key station or equipment

process parameter controlled Control Plan, Records, Is there a history of failures
14 inspite of existing
as Process Control Plan Work Instructions controls?
stated?

Are sample size and control Does internal data (scrap,

Control Plan, Records, rework,etc.) suggest
15 frequesncy for each operation Work Instructions sample sizes and
reasonable and followed? frequency are adequate?
B. Receiving Inspection

Review if the sub-

Does the supplier provide supplier's material has
evidence that sub-supplier Certification / Test records; been approved. Review
16 material/components needed Sub-supplier PPAP approved supplier list.;
are approved for the product Packages Sub-supplier part approval
or assembly? document (PPAP)
available.

Review incoming
inspection records (if
available). Review non-
Are controls in place to ensure conforming material are at
17 only approved incoming Certification / Test records incoming inspection. How
material released for do you indicate that
production (IQC)? component
parts/assemblies on the
manufacturing floor are
approved prior to release?

Verify tools and gauges are

Are all identified and to the latest
tools/gauges/measurement Gauge/Tool/Measurement
18 equipments (e.g GoNGo, equipment identified for engineering change level.
injection tool) properly traceability Ensure all emerson's tags
are available on the
identified? tooling.

Check to make sure

gauges/measurement
equipment are calibrated,
Are all measurement capability verified. Verify
19 equipment and gauges Gauge and Tool Calibration tools and
calibrated and capability Records
verified? gauges/measurement
equipment are to the
latest engineering change
level.

Verify operations are being

Are standard work instructions performed as indicated in
20 detailed to run te job properly, Work Instructions work instructions (job
including handling od non- time, handling of non-
conforming parts? conforming material,
pictures, etc).

Ask operator to
Do the operators understand demonstrate use of gauge
21 control of non-conforming Work Instructions and explain implication of
procedure? conforming and non-
conforming parts.

Ask operator to
demonstrate use of gauge
Have operators been properly Training Records, Skill
22 and explain job elements.;
trained? Matrix Certification Training
Record or Plan.
C. Workstation, Mfg Process, Final Inspections and Shipping
Are Master Part/Golden
samples available? (FA Master Part/Golden Check Master parts
23 Sample available.
Sample)

Verify maintenance plan is

Is there a maintenance plan Maintenance Plan and Log being followed.; Review
24 (preferably preventive) on records.; Spare parts for
tools/mold and is it followed? maintenance on stock. maintenance log nad
procedure.

Is there a maintenance plan Verify maintenance plan is

(preferably preventive) on Maintenance Plan and Log being followed.; Review
25 records.; Spare parts for
machines/equipment and is it maintenance on stock. maintenance log nad
followed? procedure.

Per Process Control Plan

ask operator to
Are listed tests (3rd party, demostrate test method.;
functional, durability, life-time Process Control Plan, Test
26 etc) per control plan, actually reports and records Review test plan, method
performed as stated? and report. Validate if test
results meet with specified
criteria/parameter.

Look at the actual SPC

records and data
collection. Are all data
boxes filled in? Are control
limits calculated? Are
there trends/pattern
present that would
indicate a need to
Where the Process Control Process Control Plan; SPC recalculate limits? Are the
27 Plan call for SPC are the data Records limits actually control
properly recorded?
limits or are they spec
limits? Do the control liits
exceed the specified
tolerances? Do the limits
indicate the process to be
incapable and currently
the process is allowed to
run?

Have operator
demonstrate the
Is there evidence that all in- In-process inspection inspection and data
28 process inspection is records, control plan, work collection process for
complete? instruction
multiple product
parameters?

Are the upper control limits

(ULC) & lower control limits
29 (LCL) for critical X-Bar and R Charts Are UCL and LCL curent?
characteristics?
 Are effective error-proofing Go/No-Go Masters, Have operators
methods implemented
30 especially on critical Mastering frequency, demonstrate error-
characteristics? vision system proofing methods?

Look at the actual SPC

records. Are all data boxes
filled in? Are control limits
calculated? Are there
trends present that would
indicate a need to
recalculate limits that have
Does the data make sense and Run charts, Process been ignored? Are the
31 are reasonable control limits limits actually control
Control Plan, SPC records
shown? limits or are they spec
limits? Do the control
limits exceed the specified
tolerances? Do the limits
indicate the process to be
incapable and currently
the process is allwed to
run?

Review actual SPC records.

Are out of control points Every point out if control
noted with the corrective Run charts, Process requires a note outlining
32 Control Plan, SPC records corrective action. Answer
actions taken? no if any out of control
point is not explained.

Functional gauges,
How is conformance to geometric verification, Have operator
33 requirements verified at final labeling, prevention of demonstrate the final
inspection? inspection process?
mixed parts, dock audits

Does the manufacturing Review current caability

process demonstrate the records. Does the process
34 CpK, Ppk studies
required capability or demonstrate a minimu Ppk
performance? for CC's per SRM?

Does WIP protection at

supplier have adequate
protection to protect parts
from damage intil final
packed and loaded on
Packaging instructions, ESD carrier? Is there evidence
Does packaging and material protection, RoHS that damage observed at
35 handling protect parts from compliance identified, Emerson is present at
damage? Process Control Plan, supplier? Are there any
PFMEA complain (8D, SCAR, TFR)
related to packaging and
handling? For material
handling for the entire
process, are parts
protected from damage?
 Shipping label and its
content (supplier name,
part name, PN, quantity, Does the shipping label in
36 Are all parts and components etc.); Raw material line with Emerson
labled properly?
description (in case of requirements?
certification); Process
Control Plan, PFMEA

Are records for scrap used

to manage the business?
Is there a process for Plant information board, Look for existing charts,
37 documenting and tracking tracking sheets, statistics data logs, action plans, or
internal scrap? vs targets similar that validate the
existence of a tracking
mechanism.

Are records for splant

problem reports used to
manage the business?
Is there a process for Plant information board, Look for existing charts,
38 documenting and tracking tracking sheets, statistics
internal problems? vs targets data logs, action plans, or
similar that validate the
existence of a tracking
mechanism.

Records of Management
meeting, board in shop
Plant information board, floor. Ask someone noted
39 Are CAPA plans followed? tracking sheets, statistics on the action plan to
vs targets
explain their involvement
and or responsibility.

Look for shift log/notes.

Audit records to assure
that reported problems
If more than one shift exists, and their resolutions are
40 does information passes Shift Log
across shifts? also reported back to the
oroginator. Look for
evidence of a closed loop
on shift problems.

Looking at quality report,

Is quality KPI, IQC, IPQC, FQC quality target of IQC, IPQC,
41 be tracked in weekly or Quality report FQC be tracked. Looking at
monthly quality report? corrective actions for those
over target issues.

Does PFMEA reviewed,

Process Control Plan
updated? Is there any
PFMEA, Process Control notification method in
Are suitable actions taken in Plan; Deviation approval place that requires
42 case of deviations? request to customer, PPAP customer approval in case
notification to Emerson in of deviation? Is the
advance
Emerson Supplier
Deviation and Process
changes SOP followed?