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CSR Matrix - Win

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CSR Matrix - Win

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F-SAL-08-B-G_CSR-IATF-INDIA.

xls

Communication Team Name and E-mail ID Function

Srinivasan Radhakrishnan <[email protected]>, HR
Raju -HR-WINC, P <[email protected]>, HR
Balachander -M&L-WINC, GM <[email protected]>, M&L
PRABHAKARAN N <[email protected]>, M&L
Kumarappan Sabarathinam <[email protected]>, M&L
S HariShankar -M&L-WINC <[email protected]>, M&L
M Seenivasan -M&L-WINC <[email protected]>, M&L
D Vinoth <[email protected]>, M&L
CP Babu -VDC-M&L-WINC <[email protected]>, M&L
E Ayyar -M&L-WINC <[email protected]>, M&L
Senthil Kumar, S -M&L-Logistics-WINC <[email protected]>, M&L
Manikandan -VDC-M&L-WINC, Murthy <[email protected]>, M&L
T Saravanan -M&L-WINC <[email protected]>, M&L
Suresh Rajangam <[email protected]>, M&L
Venkadesh Vijaraghavan <[email protected]>, M&L
Sivakumar Doraiswamy <[email protected]> M&L
Sameer Gupta <[email protected]> M&L
Chatterjee Pratyaya -HR-M&L-WINC <[email protected]> M&L
Singh Kumar, Randhir <[email protected]> M&L
WINC-M&L <[email protected]>, M&L
BALAJI Ayyanar <[email protected]>, ME
GOPI R <[email protected]> ME
B Selvin -PED-WINC <[email protected]>, ME
RAVEENDRAN R <[email protected]>, ME
G Sachidanantham -PED-WINC <[email protected]>, ME
WINC-PED <[email protected]>, ME
Ganesh Vijayakumar <[email protected]>, Mktg
Kumar Sushil <[email protected]>, Mktg
Deepesh Vishwakarma <[email protected]>, Mktg
N Shanmugasundaram <[email protected]>, Mktg
Sham James G <[email protected]>, Mktg
Jameel, Baig G -PRJ-WINC <[email protected]>, Mktg
MANIKANTAN V <[email protected]> PAM
Nagarajan K <[email protected]> PAM
Bharathiraja, SE -PD-WINC <[email protected]>, PD
Suresh Gayakwad <[email protected]>, PE
Subramaniam Shanmugam <[email protected]>, PE
Sundaramoorthy T <[email protected]> PE
WINC-PD <[email protected]>, PE
G Nagarajan -PJM-WINC <[email protected]>, PjM
WINC-PD-ProjectManagers <[email protected]>, PjM
WINC_Site Quality <[email protected]>, QA
M Ponnivas <[email protected]>, QA
S Janakiraman <[email protected]>, QA
Muthukumar Chinnathambi <[email protected]>, QA
V Radhakrishnan <[email protected]>, QA
V , Arun <[email protected]>, QA
Micheal , Joseph Kanish <[email protected]>, QA
WINC-QAD <[email protected]>, QA
WINC-Sitequality <[email protected]>, QA
Murugeswari Sivasailam <[email protected]>, S&P
S Rajeshkannan -S&P-WINC <[email protected]>, S&P
WINC-S&P <[email protected]>, S&P
History of Change
Sl.No Date Rev. No. Description of Update Revised By

1 18-Nov-15 1 Reviewed inline with the update MR/KAT

2 23-Dec-15 2 VW latest CSR updated MR/KAT
3 11-Oct-17 3 VW latest CSR updated BMS leader
4 15-Oct-17 4 Cummins latest CSR updated BMS leader
5 27-Jun-18 5 Customer wise warranty requirements updated in a separate sheet BMS leader
6 7-Dec-18 6 TATA CSR update BMS leader
7 12-Dec-18 7 VW latest CSR updated BMS leader
8 14-May-19 8 Volvo Group CSR and DICV_Special terms 2019 updated. BMS Leader/KAT
CSRs of all OEMs reviewed and updated.
9 24-Oct-19 9 CSR updated in separate column for Volvo India/VEPT/Volvo Thailand TSA BMS Leader/KAT
(Considering differences between SQAM of VECV and Volvo India / VEPT / Volvo
Thailand TSA)
10 15-Apr-20 10 CSR matrix updated inline with changes in: BMS Leader/KAT
TATA Motors Supplier Quality Manual,
Cummins supplier handbook,
SMLI supplier Quality manual,
Volvo CSR combined into one In rev.no.9, it was separate for Volvo Eicher and
other Volvo locations).
Overall CSR reviewed and updated.
11 18-Jun-20 11 Ashok Leyland - CSR updated inline with AL Supplier Quality Manual BMS Leader/KAT
12 13-Jul-20 12 CSR updated inline with changes in DICV-Special terms 2020 BMS Leader/KAT
13 31-Jul-20 13 CSR for FIAT India Automobiles Limited added BMS Leader/KAT
14 30-Sep-20 14 CSR matrix updated inline with DICV - Supplier Quality Manual BMS Leader/KAT
15 5-Dec-20 15 CSR matrix updated for American Axle and Manufacturing, Surin Automotive BMS Leader/KAT
and PRABHA AUTOMOTIVE ENGINEERS Pvt. Ltd
16 5-Feb-21 16 CSR matrix updated for Tata Motor’s (TML) Customer Specific requirements BMS Leader/CQL
(Revision Date 10/01/2020) effective 23rd Jan-21
Change Communicaton
Status
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes

Yes

Yes
Yes
Yes
Yes
Yes

Yes
IATF16949 :2016 / ISO Volkswagen FIAT India Automobiles Limited
9001:2015 Clause CSR's of VW group Jan-2018 Revision 04, Mar. 29th, 2019

4) CONTEXT OF THE ORGANIZATION

4.1 Understanding the organisation and its context No Specific Requirement

4.2Understanding the needs and expectations of No Specific Requirement

interested parties
4.3Determining the scope of the quality No Specific Requirement Organizations shall submit proof of certification by uploading a
management system digital copy (PDF) of their current certificate to
FCA to SQP Systems (https://sqp.fiat.com) inside
https://esupplierconnect.com portal.
NOTE: Unless the Organization’s site experiences a change in
certification status (see below), the
verification record is valid for the life of the certificate. Periodic
resubmissions are not required.
Notification of IATF 16949 Certification Status Change
Organizations shall notify FCA of any change in their IATF 16949
certification status via SQP System.
Such changes include, but are not limited to:
• Initial certification.*
• Recertification.*
• Transfer of certification to a new Certification Body*
• Certificate withdrawal.
4.3.1 Determining the scope of the quality No Specific Requirement
management system – supplemental
4.3.2 Customer specific requirements No Specific Requirement

4.4 Quality Management system and its process No Specific Requirement

4.4.1
4.4.1.1 Conformance of products and process No Specific Requirement
4.4.1.2. Product safety VWAG requires a management role defined as “Product Safety
Representative”.
See Formel-Q-konkret, Chapter 4.2 – Product Safety
Representative (PSB) and “Produktsicherheitsbeauftragte bei
Lieferanten (PSB)” / “Product Safety Representative (PSB)” in
www.vwgroupsupply.com
VW-specific Remark to “Note”: VWAG considers the “special
approval” a responsibility of the supplier. No additional
approval by VWAG is required.
4.4.2 No Specific Requirement

5 Leadership
5.1 Leadership and commitment No Specific Requirement
5.1.1.General No Specific Requirement
5.1.1.1.Corporate responsibility No Specific Requirement

5.1.1.2 Process effectiveness and efficiency No Specific Requirement

5.1.1.3 Process owners No Specific Requirement

5.1.2. Customer focus No Specific Requirement

5.2 Policy
5.2.1.Establishing the quality Policy No Specific Requirement
5.2.2.Communicating the Quality policy No Specific Requirement
5.3 Organizational roles, responsibilities and
authorities
5.3.1Organizational roles, responsibilities, and No Specific Requirement
authorities – supplemental

5.3.2 Responsibility and authority for product No Specific Requirement The Organization’s Top Management shall individualize in its
requirements and corrective actions structure at least one Customer Representative in the Quality
Department and/or in the Technical Area.
The Representative shall have responsibility and authority to
ensure that these Customer requirements are addressed and
implemented.
6.Planning
6.1.Actions to address risks and opportunities No Specific Requirement

6.1.1) AND 6.1.2) No Specific Requirement

6.1.2.1 Risk analysis No Specific Requirement

6.1.2.2.Preventive action No Specific Requirement

6.1.2.3.Contingency Plans No Specific Requirement During the application of any contingency plan at the
Organization’s facilities, due to any failure or disruption, FCA
reserves the right to perform a so-called “Crash Audit” through
one or more SQ Representatives, in order to support the
Organization’s activities, to verify the effectiveness of plans, and
to assure the restoration of conformance as soon as possible.

6.2Quality objectives and planning to achieve them No Specific Requirement

6.2.1) AND 6.2.2) No Specific Requirement

6.2.2.1Quality objectives and planning to achieve No Specific Requirement
them – supplemental
6.3 Planning of changes No Specific Requirement

7.Support
7.1 Resources No Specific Requirement
7.1.1 General No Specific Requirement
7.1.2.People No Specific Requirement

7.1.3 Infrastructure No Specific Requirement

7.1.3.1.Plant, facility, and equipment planning No Specific Requirement

7.1.4 Environment for the operation of processes No Specific Requirement Organization, on its own liability, must provide evidence – when
applicable – of Fire prevention Certificate, issued by the
competent authority.
7.1.4.1. Environment for the operation of processes- No Specific Requirement
Supplemental
7.1.5 Monitoring and measuring resources No Specific Requirement

7.1.5.1 General No Specific Requirement

7.1.5.1.1 Measurement system analysis No Specific Requirement

7.1.5.2 Measurement traceability No Specific Requirement

7.1.5.2.1.Calibration/verification records No Specific Requirement

7.1.5.3 Laboratory requirements No Specific Requirement

7.1.5.3.1.Internal Laborotary No Specific Requirement

7.1.5.3.2.External Laborotary No Specific Requirement

7.1.6 Organizational knowledge No Specific Requirement

7.2 Competence No Specific Requirement

7.2.1 Competence – supplemental No Specific Requirement

7.2.2. Competence – on the job training No Specific Requirement Procedures shall be used in order to avoid that either contractors
or agency personnel are assigned to quality critical jobs without
specific training with proof of efficacy.
Each location shall have a sufficient number of trained individuals
such that computer applications necessary
for direct support of FCA manufacturing can be accessed during
scheduled FCA operating times, and other applications can be
regularly accessed during normal business hours. The specific
computer applications required will vary with the scope of an
Organization’s site operations.

7.2.3.Internal auditor competency No Specific Requirement

7.2.4 Second-party auditor competency 7.2.4 / 8.4.2.4.1 Second party auditor competency / Second party
audits
Formel-Q-Capability Appendix (Chapter 2; 5.7)
The process-audits in the supply chain must be conducted in
accordance to Formel-Q-Capability by certified VDA
6.3 auditors (see auditor qualification in Section 3.2 of FQF 8.0).

7.3 Awareness No Specific Requirement

7.3.1Awareness – supplemental No Specific Requirement
7.3.2.Employee motivation and empowerment No Specific Requirement
7.4 communication No Specific Requirement Forever Requirements
The Organization shall comply with the Forever Requirements
activities described in procedure SQ.00012
See 3.2 – table in Section B.

7.5 Documented Information No Specific Requirement

7.5.1. General No Specific Requirement
7.5.1.1.Quality management system documentation No Specific Requirement

7.5.2 Creating and updating No Specific Requirement

7.5.3.Control of documented information No Specific Requirement

7.5.3.1) AND 7.5.3.2) No Specific Requirement
7.5.3.2.1. Record Retention No Specific Requirement Quality Control records (e.g. control charts, inspection and test
results) shall be retained for two calendar years. Organization
shall draw up a specific documentation related to qualification,
and/or homologation, and/or environmental, and to production
processes from which it must be evident, moreover, how, by
whom and with which results the involved characteristics have
been put on trial and approved. This documentation shall be
stored by the Organization for at least 15 years.
Organization shall ensure that checks and inspections can be
performed by competent authorities.
See 3.2 – table in Section B.

7.5.3.2.2. Engineering Specifications No Specific Requirement

8 .Operation
8.1 Operational Planning and Control No Specific Requirement

8.1.1 Operational Planning and Control- No Specific Requirement

Supplemental

8.1.2. confidentiality No Specific Requirement

8.2Requirements for products and services No Specific Requirement

8.2.1.Customer communication No Specific Requirement
8.2.1.1.Customer communication – supplemental 8.2.1.1 Customer Communication - supplemental Any kind of document exchanged with the customer should be
Formel-Q-Capability Appendix (Chapter 2; 7.2) written in the native language of the customer’s interface. If this
Access approval for the VOLKSWAGEN Group Communication is difficult or even impossible, in any case English language shall
Platform (www.vwgroupsupply.com ) be used.

8.2.2 Determining the requirements for products and No Specific Requirement The AQR is a technical document developed by FCA to determine
services what additional quality requirements the
product and the process the Organization must meet for
manufacturing / delivery. This shall be submitted by the
Organization at the "Offer Review stage", in the system: GST -
Global Sourcing Tool, to verify compliance
with FCA requirements.
See also 3.2 – table in Section B
8.2.2.1 Determining the requirements for products No Specific Requirement
and services -Supplemental
8.2.3.Review of the requirements for products and No Specific Requirement
services

8.2.3.1) No Specific Requirement

8.2.3.1.1 Review of the requirements for products No Specific Requirement See 3.2 – table in Section B.
and services – supplemental

8.2.3.1.2.Customer-designated special characteristics 8.2.3.1.2/ 8.3.3.3 Customer-designated special characteristics See 3.2 – table in Section B.
VWAG requires suppliers that supply parts with D/TLD-marking,
to perform an annual self-audit according to the VW-defined
D/TLD-Audit. (See: Formel-Q-Capability (Chapter 7) – Quality
Verification for D/TLD-Parts; Formel-Q- Capability Appendix
(Chapter 2; 6.2.3; D/TLD-requirements)

8.2.3.1.3.Organisational Manufacturing Feasibility No Specific Requirement

8.2.3.2) No Specific Requirement

8.2.4.Changes to requirements for products and No Specific Requirement
services
8.3Design and development of products and services No Specific Requirement

8.3.1. General No Specific Requirement

8.3.1.1.Design and development of products and No Specific Requirement
services – supplemental

8.3.2. Desgn and development planning No Specific Requirement See 3.2 – table in Section B.
8.3.2.1 Desgn and development planning- 8.3.2.1 Design and development planning – supplemental See 3.2 – table in Section B.
Supplemental VWAG requires all Suppliers to implement the Maturity Level
Assurance process (QPN-I) See: Formel-Q-konkret (Chapter 3.1)

8.3.2.2. Product design skills No Specific Requirement

8.3.2.3Development of products with embedded 8.3.2.3 Development of products with embedded software
software VWAG requirements regarding sub-supplier management are
described in Formel Q-Capability Software
(Chapter 8) as well as in other applicable documents indicated in
Formel Q-Capability Software (Chapter 2)

8.3.3) DESIGN AND DEVELOPMENT INPUTS No Specific Requirement See 3.2 – table in Section B.
8.3.3. Design and development inputs No Specific Requirement
8.3.3.1.Product design input No Specific Requirement

8.3.3.2 Manufacturing process design input No Specific Requirement

8.3.3.3.Special characteristics 8.2.3.1.2/ 8.3.3.3 Customer-designated special characteristics See 3.2 – table in Section B.
VWAG requires suppliers that supply parts with D/TLD-marking,
to perform an annual self-audit according to the VW-defined
D/TLD-Audit. (See: Formel-Q-Capability (Chapter 7) – Quality
Verification for D/TLD-Parts; Formel-Q- Capability Appendix
(Chapter 2; 6.2.3; D/TLD-requirements)

Annual self audit to be conducted according to the VW defined

D/TLD-audit Formal Q- capability (chapter -7)-Quality verification
for D/TLD parts; Formal Q- capability appendix(chapter
2 :6.2.4;D/TLD requirements
8.3.4 Design and development controls No Specific Requirement

8.3.4.1.Monitoring No Specific Requirement

8.3.4.2 Design and development validation No Specific Requirement
8.3.4.3 Prototype Program No Specific Requirement Organization will provide all delivered prototype parts with
Certification of Quality and Conformance of
Prototypes (Ref. to 9.01103).
See also 3.2 – table in Section B.
8.3.4.4Product Approval Process No Specific Requirement The Organization shall use FCA EMEA/LATAM or similar
methodologies (07740 or FPW.IFP059 for
Powertrain) for product approval process of its suppliers. In case
the Organization cannot afford this
requirement, the product approval process adopted shall be
validated by FCA’s Supplier Quality.

8.3.5 Design and development outputs No Specific Requirement

8.3.5.1.Design and development outputs – No Specific Requirement
supplemental

8.3.5.2 Manufacturing process design output No Specific Requirement

8.3.6 Design and development changes No Specific Requirement

8.3.6 .1 Design and development changes- 8.3.6.1/8.5.6 Design and development changes – supplemental /
Supplemental Control of changes
VWAG requires its suppliers to obtain documented approval, or a
documented waiver, prior to production, See Formel-Q-konkret,
(Chapter 4.5) - Change management and Volkswagen Standard
VW 01155
8.4 Control of externally provided processes, No Specific Requirement
products and services

8.4.1 General No Specific Requirement

8.4.1 .1.General -Supplemental No Specific Requirement

8.4.1.2 Supplier selection process 8.4.1.2 e) Supplier selection process To assess its suppliers, the Organization shall conduct at least an
VWAG requires in the Formel Q-Capability Software (Chapters 4- on-site Audit (according to SQ.00010) and
8) the employed quality assurance tools for evaluation suppliers’ PDR – Production Demonstration Run (according to SQ.00008);
quality capability to develop software products. Depending on the
product additional requirements may apply, which are described The Organization shall have a documented process and use
in other applicable documents indicated in Formel Q-Capability appointed personnel to monitor and manage
Software (Chapter 2) performance (according to SQ.00010, ref. 17.76 on PPAP Matrix).
8.4.1.3.Customer-directed sources (also known as No Specific Requirement If the Organization has one or more Directed parts/suppliers:
“Directed-buy”) • The Organization (Tier 1 supplier) is responsible for the Process
Planning Review, Process Audit, and
PDR activities up to and including Product Approval, working with
FCA to resolve issues, unless
specifically requested by the Customer also through formalization
with RASI Chart.
• The Organization (Tier 1 supplier) is responsible for managing
the on-going quality of the Tier 2
components following Product Approval and working with FCA to
resolve issues.
If the Organization has one or more Consigned parts/suppliers,
FCA is responsible for all quality activities up
to and including Product Approval, as well as management of
ongoing quality issues.
See also 3.2 – table in Section B.
Definitions
Consigned Parts
A purchased part or component released by FCA Engineering and
supplied to a Tier 1 supplier by a FCA
managed supplier. FCA has full commercial control of the part or
component (FCA Purchasing issues the
Purchase Order and Tool Purchase Order). FCA controls the
inventory and retains quality responsibility for life
of the part or component.
Directed Parts
A purchased part or component released by FCA Engineering and
supplied to a Tier 1 supplier by a FCA
selected supplier. FCA has partial commercial control of the part
or component (FCA Purchasing negotiates
the purchase price and issues the Tool Purchase Order). The Tier
1 supplier issues the part Purchase Order
and controls the inventory. The Tier 1 supplier assumes quality
responsibility for volume production and service
use. No other parts are considered Directed, even if FCA requests
the Tier 1 use a sub-Tier.

8.4.2. Type and extent of control No Specific Requirement

8.4.2. 1Type and extent of control supplemental No Specific Requirement

8.4.2.2.statutory and regulatory requirements No Specific Requirement The Organization shall upload to the International Material Data
System (IMDS), http://www.mdsystem.com,
the data related to the chemical composition of its products. The
Organization is even responsible for the data uploaded in IMDS
related to the products of its own suppliers (according to
SQ.00010, ref. 1.11 and 1.12 on PPAP Matrix).
8.4.2.3. Supplier quality management system No Specific Requirement Management of Supplier Quality Management System (QMS)
development Development
Supplier QMS development effectiveness shall be evaluated on
the basis of evidence that the Organization has processes in place
that include such elements as:Supplier QMS development
strategy (8.4.2.5):
- Criteria for designating “exempt” suppliers.
- Criteria for granting waivers to select suppliers for compliance to
specified elements of ISO
9001 or IATF 16949.
• Second-party audit administration (8.4.2.4.1):
- Identification of second-party auditors.
- Criteria for granting self-certification status to qualified
suppliers.
- A schedule for second-party audits.
• Organization-controlled record keeping (7.5.3.2.1).
• Progress monitoring.
NOTE:
Organizations requiring additional guidance on supplier’s QMS
development should refer to CQI-19: Subtier
Supplier Management Process Guideline.
Minimum Automotive Quality Management System Requirements
for Sub-Tier Suppliers:
The Organization shall prioritize the QMS development program
for non-exempt suppliers to introduce
compliance to the Minimum Automotive Quality Management
System Requirements for Sub-Tier Suppliers
(MAQMSR), as the first step beyond certification to ISO 9001.
At a minimum, the Organization should require their non-exempt
suppliers to demonstrate compliance to ISO
9001 and MAQMSR.
Supplier Development Not Required of Suppliers Certified to IATF
16949
Supplier QMS certification by an IATF-recognized Certification
Body to IATF 16949 completely satisfies the
requirements for quality management system development.
Further QMS development by the Organization is
not required while the supplier’s certification is valid.
If the supplier certification expires or is cancelled or withdrawn by
their Certification Body, the Organization
shall establish and implement a plan for second-party audits to
ensure continued compliance to IATF 16949
8.4.2.3.1.Automotive product-related software or No Specific Requirement until such time as the supplier is recertified.
automotive products with embedded software
8.4.2.4 Supplier monitoring No Specific Requirement As long as the SLP is in force (SQ.00009 – See 3.1 – table in
Section A; for the duration of SLP see paragraph
4.4.1 of SQ.00009), there must be in place an incoming
inspection regarding all sub-components and raw
materials according to supplier control plan to establish
characteristics to be controlled.
8.4.2.4.1Second-party audits 7.2.4 / 8.4.2.4.1 Second party auditor competency / Second party Supplier self-certification
audits The Organization shall have a documented process for identifying
Formel-Q-Capability Appendix (Chapter 2; 5.7) and qualifying suppliers for whom selfcertification
The process-audits in the supply chain must be conducted in is an effective alternative to second-party audits for QMS
accordance to Formel-Q-Capability by certified VDA6.3 auditors development. Qualification criteria shall
(see auditor qualification in Section 3.2 of FQF 8.0). include a preliminary evaluation (audit) of the supplier’s QMS, an
analysis of the supplier’s quality performance
and an assessment of the incremental risk to Organization
products.
Self-certification qualifications shall be documented and subject
to periodic review. Such documents shall be
managed as Organization-controlled records (7.5.3.2.1).

8.4.2.5 Supplier development No Specific Requirement Supplier exemptions / waivers

The Organization strategy for supplier development of its active
suppliers shall include a documented process for designating
"exempt” suppliers – those suppliers who are unable or unwilling
to fully certify a quality management system to IATF 16949 or
ISO 9001.
The Organization development strategy shall include provisions
for granting partial exemptions (“waivers”) to suppliers providing
commodities for which specific sections of ISO 9001 or IATF
16949 do not apply.
Except as noted in Section 8.4.2.3, declaring a supplier as
“exempt” does not relieve the Organization of the
responsibility for supplier’s QMS development for any sections of
ISO 9001 or IATF 16949 not explicitly waived.
Supplier development prioritization, exemption and waiver
decisions, as well as the scope of individual
exemptions or waivers, shall be documented and subject to
periodic review. This documentation shall be retained as an
Organization-controlled record.

8.4.3 Information for external providers No Specific Requirement In addition to the requirements listed in the ISO 9001:2015
[points a) through f)], the Organization shall communicate to its
external suppliers also the evaluation criteria of production
capacity of labor intensive processes as defined by FCA.
8.4.3.1 Information for external providers- No Specific Requirement With respect to external providers to the Organization (i.e. “sub-
Supplemental tier suppliers”), the Organization shall:
• Cascade and communicate all FCA quality requirements (e.g.,
Quality Planning, Process Audit, PDR, Forever Requirements, etc.)
throughout the Organization’s supply chain.
Apply the Requirements defined in 9.01102 (§.5.5.5 – 5.13) for
any proposed process change throughout the
supply chain.

8.5Production and service provision No Specific Requirement

8.5.1.Control of production and service provision No Specific Requirement
8.5.1.1. control plan 8.5.1.1 Control plan See 3.2 – table in Section B.
(see: Formel-Q-capability, (Chapter 4.2) Product Audit)
The Product Audit must be defined on the Product Control plan.
Product Audit shall take place at least every 12 months for each
product manufactured as a Series Production part.

8.5.1.2.Standardised work – operator instructions No Specific Requirement

and visual standards
8.5.1.3 Verification of job set-ups No Specific Requirement

8.5.1.4 Verification after shutdown No Specific Requirement See 3.2 – table in Section B.

8.5.1.5 Total Productive Maintenance No Specific Requirement

8.5.1.6 Management of production tooling and 8.5.1.6 g) Management of production tooling and manufacturing,
manufacturing, test, inspection tooling and test, inspection tooling and equipment
equipment Volkswagen Group Standard VW 34022 for Marking of Tools,
Auxiliary Tools, Test Equipment, and Gages (Identification Plate)
must be ensured.

8.5.1.7 Production Scheduling No Specific Requirement

8.5.2 Identification and traceability No Specific Requirement
8.5.2 .1 Identification and traceability-Supplemental No Specific Requirement

8.5.3 Property belonging to customer or external No Specific Requirement According to SQ.00010, ref. 17.8 on PPAP Matrix.
provider All FCA-owned tooling shall be included in the Organization
maintenance plan.
8.5.4 Preservation No Specific Requirement
8.5.4.1 Preservation -Supplemental No Specific Requirement

8.5.5 Post delivery activities No Specific Requirement

8.5.5.1 Feedback of information from service No Specific Requirement
8.5.5.2Service agreement with customer No Specific Requirement
8.5.6 Control of changes 8.5.6 / 8.3.6.1 Control of Changes / 8.3.6.1/8.5.6 Design and
development changes – supplemental
VWAG requires its suppliers to obtain documented approval, or a
documented waiver, prior to production, See Formel-Q-konkret,
(Chapter 4.5) - Change management and Volkswagen Standard
VW 01155
8.5.6.1 Control of changes – supplemental No Specific Requirement See Table 3.2 – Section B

8.5.6.1.1. Temporary change of process controls No Specific Requirement

8.6Release of products and services No Specific Requirement

8.6.1.Release of products and services – 8.6.1 Release of products and services

supplemental Formel-Q-konkret (Chapter 3.2) - Initial Sample testing and
approval:
The sample testing is to be based on VDA vol.2. The latest
version of Formel Q-Neuteile Integral contains
additional, more detailed Customer requirements regarding the
sample testing process. This section 3.2 defines
rules for designated parts in assemblies and for assuring
consistent component quality.
Responsibility for the initial sample testing and approval of
designated parts in higher-level assemblies resides with
the first-tier Supplier in coordination with the receiving plant (if
there is more than one, with the receiving plant of first
use, which is generally also the type leader plant).
(refer for complete requirements to Formel-Q-konkret, Chapter
3.2)
8.6.2 Layout inspection and functional testing 8.6.2 Layout inspection and functional testing (deutsch: Organization shall plan dimensional inspections and functional
Requalifikationsprüfung) tests even if not expressly required by the
Formel-Q-konkret (Chapter 4.6) – Requalification Customer; this plan requires a complete Self-Qualification,
In the context of Volkswagen Group the term “Requalification” is dimensional and material controls, once per year
equivalent to the IATF-term “layout inspection and functional (unless otherwise specified by the Customer in the SPV (Supplier
testing”: Product Validation Form);
To ensure quality, the Supplier must carry out a regular Records shall be available for Customer review and results must
requalification of its scope of supply in accordance VDA be submitted to Customer for revision.
publication "Robust Production Processes" (section 5.3.4). See also 3.2 – table in Section B.
Volkswagen Group requires a complete requalification
(equivalent to Production-and-Process-approval/initial sample
release) at least every three years. Requalification cycles can be
defined by legislation, government agencies, and by component-
specific requirements (e.g. in the
performance specifications/Lastenheft) and must be implemented
in the related product control plan.
Any deviation from the requalification content must be agreed
between the supplier and the customer.

8.6.3 Appearance items No Specific Requirement

8.6.4 Verification and acceptance of conformity of No Specific Requirement
externally provided products and services
8.6.5. Stautory and regulatory confirmity 8.6.5 Statutory and regulatory conformity
It is to expect a worldwide use if certain destinations were not
specifically restricted by Volkswagen Group
8.6.6.Acceptance criteria No Specific Requirement See 3.2 – table in Section B.

8.7 Control of nonconforming outputs No Specific Requirement

8.7.1) No Specific Requirement
8.7.1.1 Customer authorization for concession No Specific Requirement
8.7.1.2.Control of nonconforming product – No Specific Requirement
customer-specified process
8.7.1.3-control of suspect product No Specific Requirement

8.7.1.4-control of reworkedt product No Specific Requirement

8.7.1.5-control of repaired product No Specific Requirement

8.7.1.6 customer notification No Specific Requirement

8.7.1.7 Non confirming product disposition 8.7.1.7 Nonconforming product disposition

Must include suitable inspection and evidences of sub-supplier
parts
8.7.2 No Specific Requirement
9) PERFORMANCE EVALUATION

9.1 Monitoring, measurement, analysis and No Specific Requirement

evaluation
9.1.1. General No Specific Requirement
9.1.1.1.Monitoring and measurement of No Specific Requirement
manufacturing process
9.1.1.2 Identification of statistical tools No Specific Requirement

9.1.1.3 Application of statistical concepts No Specific Requirement

9.1.2 Customer satisfaction 9.1.2.1 Customer satisfaction — supplemental Incoming Material Quality (IMQ)
Customer Score Card (Volkswagen Group B2B - “SCQ”) FCA Purchasing and Supplier Quality use the Incoming Material
See also: ADP Score-Card-Training-Module (IATF) Quality (IMQ) to evaluate Customer
satisfaction with its external production and service suppliers.
IMQ stores, analyzes and reports Organization
performance data collected from SQP System and other sources
within FCA. The IMQ report used for
evaluation of Organization’s site performance at a commodity
level is the Monthly Supplier Scorecard
("scorecard").
The scorecard reports ratings in two categories:
• Quality;
• Delivery.
9.1.2.1) Customer satisfaction -supplemental No Specific Requirement OEM Performance Complaint
FCA may, at its option, file an OEM performance complaint with a
Certification Body, when confronted with a
specific Organization quality performance issue, where a root
cause may be a nonconformance in the
Organization’s quality management system.
FCA shall notify the Certification Body of the OEM performance
complaint by sending the Certification Body a
notification letter that will:
• Identify the Organization’s site;
• Summarize substance of the complaint;
• Document the affected element(s) of IATF 16949;
• Request a copy of the Organization’s site last audit report.
NOTE:
As FCA Italy is an IATF member, a request for client audit reports
is permitted under Section 3.1.e of the
Rules.
A copy of the notification letter will be sent to the Organization,
as well as the Certification Body's Oversight
Office.
Upon receipt of the OEM performance complaint notification
letter, the Certification Body shall investigate the
complaint in accordance with Section 8.0 of the Rules. At the
conclusion of their investigation, the Certification
Body shall advise FCA Italy of their findings and any actions
taken.
An OEM performance complaint may be filed in conjunction with,
or independently of, a Top Problem Supplier
Location (TPSL) action.
The Certification Body findings from an OEM complaint
investigation may be used by FCA to establish the
need to place an Organization’s site in TPSL or New Business
9.1.3 Analysis and Evaluation Customer score card (VW group B2B-SCQ); see also :ADP score The
HoldOrganization’s
(NBH). Board shall analyze the Customer satisfaction
card -Training Module (IATF) factors monthly;
The analysis shall at least include the following:
i. Performance indicators available in SQP system (e.g. PIQ, PQ,
CSL, …)
ii. Customer validated Action Plan monitoring, due to outcome of
PPA and PDR.
iii. Poor quality cost monitoring (e.g. scraps, reworks, sorts, CSL2
and CSL3 due to internal failures,
warranty, penalties, recall campaigns for external failures).
Output of management reviews shall include detailed decisions
and actions related to problems pointed out
by the Customer.

9.1.3.1 Prioritization No Specific Requirement

9.2 Internal Audit 9.2 Internal Audit
VWAG requires a yearly Supplier Self Audit (VA/SL) acc. Formel-
Q-capability (Chapter 3), a Self Audit has valid time period of
max. 12 months.
A specific Self-Audit-Format is supplied on Volkswagen Group B2B
www.vwgroupsupply.com “Format for Supplier
Self Audit”
Supplier Self Audit (VA/SL) must be conducted by certified VDA
6.3 auditors
(see auditor qualification in Section 3.2 of FQF 8.0).
Formel-Q- Capability-Appendix must be considered.
In case of D/TLD-marked parts supplied to VWAG, a D/TLD-
Supplier-Self-Audit according to Formel-Q-capability is
required within every 12 month. (Formel-Q-Capability, Chapter 7:
“Quality Verification Audit for D/TLD Parts”)

9.2.1) AND 9.2.2) No Specific Requirement

9.2.2.1 Internal audit programme No Specific Requirement
9.2.2.2. Quality management system audit No Specific Requirement
9.2.2.3 Manufacturing process audit No Specific Requirement Layered Process Audits
Organizations supplying production parts or components to FCA
shall conduct Layered Process Audits (LPA)
on all elements of manufacturing and assembly lines that produce
production parts or components for FCA.
These shall include both Process Control Audits (PCA) and Error
Proofing Verification (EPV) audits.
Organizations shall provide evidence of compliance to the
following requirements:
• Audit process shall involve multiple levels of site management,
from line supervisor up to the highest
level of senior management normally present at the
Organization’s site.
• A member of site senior management shall conduct process
control audits at least once per week. All
members of site senior management shall conduct process
control audits on a regular basis.
• Delegation of this activity will not be accepted with the
exception of extenuating circumstances.
• The Organization shall have a documented audit structure with
auditor level and frequency of
inspection.
• PCAs shall be conducted at least once per shift for build
techniques and craftsmanship related
processes.
• EPV audits shall be conducted at least once per shift, preferably
at the start of shift. Compliance charts
shall be completed once per quarter and maintained for the life of
the program. The following metrics
shall be included:
- Audit completion by all auditing layers.
- By-item percentage conformance by area.
• Reaction plans shall be in place to immediately resolve all non-
conformances.
The Organization shall show evidence of immediate corrective
action, containment (as required), and
root cause analysis (as required). A separate communication
procedure is required to address reoccurring non-conformances.
Specific areas of
focus shall include the following:
• Resolution of non-conformances.
• Escalation of issue for management review.
• Lessons learned.
9.2.2.4 Product audit 9.2.2.4 Product audit Organization shall conduct an adequate product audit on a
Product Audit acc. Formel-Q-capability (Chapter 4) – Product sample of finished parts previously
Audit accepted/approved lots that are ready to be shipped, inspecting
The Supplier is obliged to conduct Product Audits according to them per the Control Plan and safe-launch
VDA 6.5 activities (if any in place).
Product Audit shall take place at least every 12 months for each All the Product codes/Part Numbers belonging to FCA shall be
product manufactured as a Series Production part. taken in account; the Organization shall
For any A and B-faults as well as systematic C-faults caused by establish an audit schedule in order to cover all the
the supplier, the supplier shall immediately inform codes/product families within a period of a calendar year.
the Supplier Quality department of the Customer by reporting the Regardless of used sampling method (e.g. statistical random
issue. The implementation of further necessary sampling), only one non-conformity detected in the sample must
actions is to be coordinated. result in batch hold and in consequence 100% re-control / rework
/ scrapping.
Non-conformances found while performing the audit shall have
root cause analyses performed, and corrective actions approved
and implemented prior to next product audit session.

9.3 Management Review No Specific Requirement

9.3.1 General No Specific Requirement
9.3.1.1Management review – supplemental No Specific Requirement The frequency of critical analysis of the supplier performance
shall be carried out on a monthly basis taking into account at
least the entries specified in 9.3.2 and 9.3.2.1.

9..3.2 Management review inputs No Specific Requirement

9.3.2.1.Management review inputs- supplemental No Specific Requirement • Results of Qualitative Performance made available monthly in
the SQP system;
• Result of application of the Safety Characteristics Management
(including audits);
• Result of tickets of non-conformities opened in the SQP system,
according to norm 08018;
• Special notifications to the body certifying body;
• Status of the product approval process in relation to the
deadlines established by FCA;
• Where applicable, WCM development status as a strategy
established by FCA.

9.3.3.Management review outputs No Specific Requirement

9.3.3.1.Management review outputs-Supplemental No Specific Requirement Output from Customer-Specific Requirements to the following
sections shall provide management review input:
• Design and development planning – Supplemental (8.3.2.1).
• Supplier quality management system development (8.4.2.3).
• Customer satisfaction – Supplemental (9.1.2.1), except as
noted below.
• Quality management system audit (9.2.2.2).
• Manufacturing process audit (9.2.2.3).
Output from Automotive Warranty Management (10.2.5) shall be
included in the management review of actual and potential field-
failures and their impact upon quality, safety or the environment.

10 Improvement
10.1 General No Specific Requirement
10.2 Non confirmity and corrective action No Specific Requirement
10.2.1) AND 10.2.2) No Specific Requirement

10.2.3. Problem Solving No Specific Requirement

10.2.4 ErrorProofing No Specific Requirement

10.2.5 Warranty management The process of Failure Analysis including NTF shall be Automotive warranty management system
implemented.
Procedure shall comply with VDA Volume “Field Failure Analysis“

10.2.6 Customer complaints and field failure test No Specific Requirement Returned Parts Analysis
analysis Organizations that provide production or non-exempt service
parts or components shall participate in the
review, testing and analysis of returned components and shall
include analysis of the interaction of embedded software, if
applicable.
Technical Support
Organizations that provide production and non-exempt service
parts and components shall provide all
necessary support to FCA in the investigation and resolution of
supplier-associated warranty issues.
The analysis and support above mentioned can be carried on
through Tutorship and Field Management
programs.
10.3 Continual improvement No Specific Requirement

10.3.1.Continual improvement - Supplemental No Specific Requirement

Other Requirements
Other Requirements

Other Requirements
Other Requirements
Other Requirements
Other Requirements
Other Requirements

Other Requirements
Other Requirements
Tata Motor’s (TML) Customer Specific TATA Motors Supplier Quality Manual Version
requirements (Revision Date 10/01/2020) 2.2, Revised on 10.01.2020

No Specific Requirement No Specific Requirement

CSR point 1: Supplier shall ensure IATF / ISO TS 16949 Certification always remain in SQM Clause 4.5.1: Suppliers to Tata Motors supplying auto parts meant for OE
its valid state of condition & upload copy of certificate on SRM portal. For whatsoever and SPD requirements are expected to be IATF 16949: 2016 QMS Certification.
reasons, if the validity of the QMS Certificate expires / terminated, this shall be
communicated to TML immediately.
No Specific Requirement No specific requirement
CSR point 29: For any requirement that cannot be met or is not feasible waiver to be 4.5.5. Specific Requirements
obtained from TML SQ or SQMS department In many cases, Supplier Quality manual will not sufficiently describe all of the
specific requirements of Tata Motors. The Tata Motors specific requirements
CSR point 31: For all other details, refer TML Supplier Quality Manual. These shall be identified during the Advanced Product Quality Planning (APQP)
requirements do not absolve the SQM requirements. activities. If there are any questions regarding these specific requirements, the
supplier shall contact the respective Purchasing / Supplier Quality Department of
Tata Motors. Product-specific requirements may include but not be limited to the
following:
 Special characteristics  Testing  Special handling
Customer-specific requirements may include but not be limited to the following:
 Quality management systems
 Process techniques and process controls
 Identification and processing of critical parts and features
 Certification
Please refer annexure “Customer specific requirement “ for details.

No Specific Requirement 4.5.1. Quality Requirements

Suppliers to Tata Motors supplying auto parts meant for OE and SPD
requirements are expected to be IATF 16949: 2016 QMS Certification. Second
and third tier are expected to be certified to minimum ISO 9001-2015 with an
aim to comply with IATF 16949: 2016 QMS requirements. Tata Motors will carry
out periodic assessment / audit of supplier’s Quality Systems and manufacturing
processes. Supplier is expected to carry out improvements in time bound
manner as identified during such audits. Supplier is expected to proactively take
suitable actions to make systems robust enough to ensure that non-conforming
parts are prevented from escaping supplier’s premises.
Supplier shall inform Tata Motors about changes in their QMS registration status,
such as new certificate, suspension, revocation or switchover to another
certification body. Tata Motors expects its Tier 1 suppliers to manage the quality
of their supplier base. Tier 1 suppliers should also ensure that their supplier base
meets Tata Motors requirements.
CSR point 4: Conformance to specification: Supplier shall ensure maintaining all 4.5.2. Applicable Statutory and Regulatory Requirements
parameters of parts as per latest drawing, being supplied to Tata Motors. In case of Tata Motors demands the supplier to be in compliance with all applicable
any deviations prior approval to be taken before shipment from concern SQE. statutory and regulatory requirements.

CSR point 22: Quality concerns: Supplier shall inform TML in case of any serious All suppliers are required to have quality systems in place that ensures parts
process lapse at his end resulting in non - conforming parts being supplied to TML. In shipped to the Tata Motors meet specification. Suppliers are also expected to
this case the supplier will also bear the cost of Field Analysis Cost (FAC) or any other have a system to:-
rework/ rectification at TML or in the field.  Properly identify the root cause of non-conformities
 Capture and horizontally deploy lessons learned
 Prevent recurrence of non-conformances across their operations.
CSR point 15: Suppliers of identified parts related to Emission and safety should share Product safety must therefore be the highest priority throughout the complete
the reports of all CTQ parameters on quarterly basis with TML. supply chain.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement 4.5.6. Tata Code of Conduct
SQM clause 4.5.6: The supplier shall implement Tata Code of Conduct (TCOC)
requirements at supplier's operations and is applicable to all his dealings relevant
to his relationship with Tata Motors. Supplier as a business partner of Tata
Motors shall not only subscribe to Tata Motors policy but also support, promote
and propagate them in all possible manners.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

CSR point 12: Inspection gauges/fixtures/instruments: Supplier shall be responsible to No Specific Requirement
maintain gauges, inspection Fixtures and instruments used in a valid state of
calibration and shall carryout preventive maintenance of production tooling such as
dies, jigs and fixtures at frequent intervals. Calibration work at specified interval shall
be carried out from calibration laboratories, who have traceability to National
Standards.

No Specific Requirement SQM clause: 4.5.4. Laboratory Requirements

# Supplier's laboratory shall comply with the requirement of the IATF 16949:
2016 & Capability to perform these services correctly, traceable to the relevant
process standard. Laboratory and measurements reports shall comply with the
requirement of the IATF 16949: 2016.
In particular, laboratory and measurement reports shall include:
# The identity and location of the laboratory used
# The reference to the test methods used
# Any deviation of the test method shall be noted
# Measurement results
# All necessary materials and process traceability information on the tested
components or samples
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
CSR point 25: Supplier SPOC: Supplier shall declare SPOC for TML to the concerned # Supplier shall inform Tata Motors about changes in their QMS registration
SQE. In case of any changes, Supplier will communicate immediately in writing. status, such as new certificate, suspension, revocation or switchover to another
Updation of contact details on yearly basis regardless of any changes. certification body. Tata Motors expects its Tier 1 suppliers to manage the quality
of their supplier base. Tier 1 suppliers should also ensure that their supplier base
meets Tata Motors requirements.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR point 30: Suppliers should use latest AIAG manuals for respective core tool No Specific Requirement
implementation.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR point 6: Record Retention :- Production part approvals, Tooling Records, Product Suppliers shall maintain records of all required documents of this manual and
& shall be made available to Tata Motors Supplier Quality Engineer upon request.
process design records, Purchase Orders or contracts and amendments shall be
retained for the length of time that the product is active for production and service
requirements ,plus one year.

CSR point 2: Specifications & drawings: Supplier must acknowledge the drawing No Specific Requirement
revision level on SRM portal. Where drawings are not available or revisions are
mismatching, supplier shall take up with concerned buyer/SQE to obtain correct the
drawings. Wherever drawing specifies National/International Standard, Supplier shall
maintain the latest copy of the same unless pertinent issue is specified. Latest
drawing can be reviewed & downloaded from SRM portal provided valid PO for same
is released to supplier.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

CSR point 25.Supplier SPOC: Supplier shall declare SPOC for TML to the concerned No Specific Requirement
SQE. Incase of any changes, Supplier will communicate immediately in writing.
Updation of contact details on yearly basis regardless of an changes.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR Point 2: Specifications & drawings: Supplier must acknowledge the drawing No Specific Requirement
revision level on
SRM portal. Where drawings are not available or revisions are mismatching, supplier
shall take up with concerned buyer/SQE to obtain correct the drawings. Wherever
drawing specifies National/International Standard, Supplier shall maintain the latest
copy of the same unless pertinent issue is specified. Latest drawing can be reviewed
& downloaded from SRM portal provided valid PO for same is released to supplier.

No Specific Requirement No Specific Requirement

:Expectations from Suppliers: No Specific Requirement
􀂃 Feasibility assessment for Resources, Design, Manufacturing, Quality, Logistics,
Capacity
& Timeline for each part is mandatory before getting the business ( Refer Annexure I
Feasibility review checklist )
􀂃 All critical parts will have to undergo detailed technical discussion with QA, ERC &
ADD
( Refer Annexure II Technical Review Checklist )
􀂃 Actions on all past line rejection and warranty related issues need close looping
with
updating of FMEA, Control plan, Work instructions etc
􀂃 CTQ Characteristics should have on going process control and/or mistake proofing
􀂃 In time closure of actions identified during feasibility assessment, technical
reviews, on
site reviews
􀂃 Ensure adherence to program milestones
􀂃 Plan for Quality firewall for initial period ( Refer section 2.15 )

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

CSR point 14: CTQ parameters: Suppliers shall maintain the capability index of the No Specific Requirement
critical
characteristics provided in drawing or agreed during SOR / PPAP as per Pro-X
manual. Supplier to inform TML about symbol used for special characteristics apart
from customer specified symbol. Suppliers are responsible to plan and execute the
requirements to meet the above index throughout the product life time & keep the
records.

CSR point 15: CTQ Parameters reports: Suppliers of identified parts related to
Emission and
safety should share the reports of all CTQ parameters on quarterly basis with TML.
In case of auto gauging facility available at supplier’s end, the records of these parts
should be maintained for min 4 years
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement Applies to all supplier sites supplying Production parts, service parts, production
materials or bulk materials.

For Production parts, product for PPAP shall be taken from a significant
Production Run. A significant production run is of at least 8 hours of continuous
production or a production quantity of at least 300 consecutive parts, unless
otherwise specified and approved by Tata Motors SQE.

The supplier shall submit by default a “Level 3” PPAP package, unless otherwise
specified by Tata Motors SQE. All parts that are supplier designed require “Level
5” PPAP package, unless otherwise specified.

Supplier shall maintain all records at his end regardless of submission levels for
the length of time that the part is active plus one calendar year.

No Specific Requirement No Specific Requirement

CSR point 8: Raw material: Raw material/ Std. Parts (Fasteners/washer/etc.) shall be No Specific Requirement
procured from approved sources only. This shall not absolve supplier of the
responsibility to meet the specified quality requirement. The supplier should ensure
that the Raw material conforms to the TML Quality Standard and also get it cross
checked from NABL approved laboratories.

CSR point 20: Special Process: Supplier shall follow the list of approved sources (Tier-
II) for special process like Plating, Painting, Powder coating, Heat treatment etc.
Incase approved supplier is not available near supplier location, the Tier-II supplier to
be approved by SQ.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

CSR Point 17: Incoming parts: Supplier shall exercise appropriate controls for off No Specific Requirement
loaded / bought
out items & any change by the tier-2 or vendor will be validated before introduction.
Even though part is off loaded, parts quality & quantity is primary responsibility of
supplier.

No Specific Requirement No Specific Requirement

No Specific Requirement Second and third tier are expected to be certified to minimum ISO 9001-2015
with an aim to comply with IATF 16949: 2016 QMS requirements.

No Specific Requirement No Specific Requirement

CSR point 16: Special process Requirement :Heat treatment, plating and surface No Specific Requirement
treatment,
Supplier shall,
1. Display documented work instruction.
2. Carry out process qualifications
3. The process shall be carried out by the qualified operator and shall continuously
monitor and control process parameter to ensure that specified requirements are
met.
4. Maintain Training record of operators & approved process qualification reports for
future reference.
5. Whenever there are changes in process control parameters, Supplier shall again
carry out process qualification & validation.
6. Our vendors shall ensure similar controls on sub-contractor when the item is
offloaded
with prior information and agreed by TML.
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

CSR point 11: Tooling Agreement Tooling/Fixtures: Supplier shall maintain history No Specific Requirement
cards and maintenance of tooling such as Dies, Molds, Jigs, Fixture either provided by
TML or made by us. Supplier are responsible for refurbishment or making new tooling
in case tool life is over

No Specific Requirement No Specific Requirement

CSR point 9: Traceability: Supplier should have a robust system to ensure the No Specific Requirement
traceability of the component from the raw material stage till final dispatch. This will
ensure traceability of the material in case of Quality issues
In case of traceability changes supplier shall keep records in case of following : No Specific Requirement
Material change
• Design change
• Process change ( includes location, layout, machine, equipment and
subcontracting )
• Vendor or tier supplier change
• Special events such as power failures / fluctuation, machine breakdown, tooling
breakdown, accidents
Records for such changes shall include the following
• Lot no.
• Reason for change
• Date of change
• Production shift / operator
• Any other records to trace the history of changes

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR point 23: Logistics/ packing: Supplier shall to ship / transport production parts as No Specific Requirement
per TML
approved logistics/ packaging only.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
CSR point 18: 4M requirements: Supplier shall inform TML if there is any change in Any changes to the 4M’s shall be duly notified to the authorized Tata Motors
Methods / Processes / Tooling or change of premises of its manufacturing facilities representative. After the change has been approved by Tata Motors SQE, the
(4M supplier must re-submit the PPAP documents unless otherwise specified.
Changes).Supplier shall obtain prior permission from TML for any changes in product/
process / sub-contractor and shall keep TML posted. The changes will be validated
and approved by TML through PPAP route.(PPAP portal >Request for PPAP >4M
change intimation)
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

CSR point 5: Product Audit & Layout inspection: Supplier to conduct product audit at No Specific Requirement
appropriate stages of production & delivery. Supplier shall carry out layout inspection
of products and inform the result to TML once in a year. In case of nonconformity,
supplier shall work on the 4M to meet the specifications.

CSR point 10: Type test: Supplier shall carry out type test for the products of their
own design and inform the verification result to TML every 6 months.

No Specific Requirement No Specific Requirement

CSR point 17: Incoming parts: Supplier shall exercise appropriate controls for off No Specific Requirement
loaded / bought out items & any change by the tier-2 or vendor will be validated
before introduction. Even though part is off loaded, parts quality & quantity is primary
responsibility of supplier.
CSR point 27: Homologation: Suppliers supplying parts related to homologation No Specific Requirement
should extend the validity of certification on a continuous basis through certifying
agencies like ARAI/BIS/VRDE etc. as applicable. If there is likely to be any break in
certification, it needs to be proactively informed to TML.

CSR point 28: IMDS, POP & Conflict of Minerals -

 Conflict of Minerals Declaration: Supplier shall provide information about the usage
of 3TG materials (i.e. Tin, Tungsten, Tantalum and Gold) in the
components supplied during calendar year using following link
https://tatamotors.sharepoint.com/sites/c-ExShared/s-
ConfMinSurvey/SitePages/Home.aspx. Supplier shall declare every year (before 30
April) for the material used during
previous calendar year.
 Declarations on use of Persistent Organic Pollutants (POPs) as per Stockholm
Convention: Supplier shall declare presence of listed POP in the parts supplied
to TML. Link is provided on SRM portal for declaration of POP.

International Material Data System (IMDS): Supplier shall upload the Material
data on IMDS site with client code provided by TML. This is mandatory for all
new parts developed after Jan’2018. (Applicable only for PV BU only)
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR point 4: Conformance to specification: Supplier shall ensure maintaining all No Specific Requirement
parameters of parts as per latest drawing, being supplied to Tata Motors. In case of
any deviations prior approval to be taken before shipment from concern SQE.
CSR point 24: Third party inspection: Tata motors may deploy 3rd party for inspection No Specific Requirement
& segregation of parts to protect non confirming parts issued to assembly line. In
Case of 3rd Party Deployment at TML, the cost of such deployment will be debited to
supplier.
No Specific Requirement No Specific Requirement

CSR point 13: Reworked & Repaired Products – Supplier shall obtain TML approval No Specific Requirement
before commencing rework & repair of parts.

No Specific Requirement No Specific Requirement

CSR point 22: Quality concerns: Supplier shall inform TML in case of any serious No Specific Requirement
process lapse
at his end resulting in non -conforming parts being supplied to TML. In this case the
supplier will also bear the cost of Field Analysis Cost (FAC) or any other rework/
rectification at TML or in the field.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR point 14: Suppliers shall maintain the capability index of the critical No Specific Requirement
characteristics provided in drawing or agreed during SOR / PPAP by minimum 1.67.
Suppliers are responsible to plan and execute the requirements to meet the above
index throughout the product life time
& keep the records.

CSR point 15: CTQ Parameters reports: Suppliers of identified parts related to
Emission and safety should share the reports of all CTQ parameters on quarterly basis
with TML. In case of auto gauging facility available at supplier’s end, the records of
these parts should be maintained for min 4 years.

CSR point 16: Special processes: With regard to special processes such as all types of
welding, heat treatment, plating and surface treatment, Supplier shall,
1. Display documented work instruction.
2. Carry out process qualifications
3. The process shall be carried out by the qualified operator and shall continuously
monitor and control process parameter to ensure that specified requirements are met.
4. Maintain Training record of operators & approved process qualification reports for
future ref
5. Whenever there are changes in process control parameters, Supplier shall again
carry out process qualification & validation.
6. Ensure similar controls on sub-contractor when the item is offloaded with prior
information and agreed by TML.

Special Process: Supplier shall follow the list of approved sources (Tier-II) for special
process like Plating, Painting, Powder coating, Heat treatment etc. Incase
approved supplier is not available near supplier location, the Tier-II supplier to be
approved by SQ.

When a special characteristic is shown on a drawing, the supplier shall comply with
the description. It is the supplier’s responsibility to understand all special
characteristics on the part drawing,and to notify the division-purchasing associate
when more information is required.
The special characteristics identified on customer prints will require a minimum of
1.33 CpK and 1.67 CpKfor critical process. All critical and major dimensions on the
drawing shall demonstrate statistical process control at time of PPAP.
> Conformance to specification: Supplier shall ensure maintaining all parameters of
parts as per latest drawing, being supplied to Tata Motors. In case of any deviations
prior approval to be taken before shipment from concern SQE.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR Point 3: Supplier Performance Indicator - Supplier shall review and monitor No Specific Requirement
Supplier Performance Indicator in SRM portal every month and take actions
accordingly to remain source able for any new business.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
CSR point 26: Supplier visits: TML will have the right to verify the products, processes No Specific Requirement
and quality systems audit at Vendor’s / Sub-contractor’s premises / Sources. Such
verifications shall not absolve supplier of the responsibility to meet the specified
quality requirement.
No Specific Requirement No Specific Requirement
CSR point 5: Product Audit: Supplier to conduct product audit at appropriate stages of No Specific Requirement
production & delivery.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement
No Specific Requirement No Specific Requirement
CSR point 22: Supplier shall inform TML in case of any serious process lapse at their No Specific Requirement
end resulting in non -conforming parts being supplied to TML. In this case the
supplier will also
bear the cost of rework/ rectification at TML or in the field.
No Specific Requirement No Specific Requirement

CSR point 19: Corrective actions: TML will communicate non-conformity, if any, on No Specific Requirement
product and Supplier shall confirm the corrective action taken and date of
implementation to close the non-conformity reported. Supplier shall route such parts
through quality gate till issue is resolved. Supplier shall share the corrective actions
reports to TML through PRR (Online) in SRM portal with time limit.Initial response
within 24 hours and final response within 15 days. The corrective actions shall be
analyzed for occurrence, detection failure & system related root causes. Supplier not
responding within stipulated timeline may impact supplier’s performance.

No Specific Requirement No Specific Requirement

CSR point 7: Warranty Analysis: Supplier to attend the warranty analysis meeting as No Specific Requirement
per schedule.

CSR point 21: Product liability: Supplier shall sign off mutually agreed warranty
procedure made for supplier designed products and in case of TML designed parts,
supplier shall be liable for any manufacturing defects if observed during the course of
usage / product life. Also the supplier will be liable for the consequential defects due
to part manufacturing defects.

CSR point 19: Corrective actions: TML will communicate non-conformity, if any, on The supplier shall acknowledge the PRR by an email reply and initiate initial
product and Supplier shall confirm the corrective action taken and date of response (containment) within 24 hours.
implementation to close the non-conformity reported. Supplier shall route such parts Initial Response (Time – 24 Working Hours). Suppliers will be measured on the
through quality gate till issue is resolved. Supplier shall share the corrective actions timeliness of their final response. If an adequate response cannot be completed
reports to TML through PRR (Online) in SRM portal with time limit. Initial response within 15 days, the supplier must notify the customer issuing location of the
within 48 hours and final response within 30days. The corrective actions shall be situation. Failure to respond, without prior notification, may result in a Customer
analyzed for occurrence, detection failure & system related root causes. Supplier not Satisfaction PRR.
responding within stipulated timeline may impact ISR.
No Specific Requirement Suppliers must have an organized and integrated approach for continuous
improvement that drives reduction of risk and variation associated with
manufacturing and supporting processes. The continuous improvement process
must be documented and institutionalized, actively supported by the supplier’s
leadership teams and include of the following elements:
 Variation reduction on CTQ.
 RPN reduction process.
 Lessons Learned process.
 Focus on Prediction and Prevention of potential failures.
Refer Supplier Quality Manual for more details

No Specific Requirement No specific requirement

2.15 Early Production containment (Firewall ) : Early production
containment is to be used for all pre-production and production part
requirements that;
• Require Production Part Approval Process (PPAP)
• Represent any significant risk to the customer facility as mandated by
TML.
Establish a containment plan, so that any quality issues are immediately
identified at the
supplier’s facility and not at the TML’s facility. This procedure applies to
all new development
and current / changed parts that require PPAP.
Supplier shall develop an early production containment plan, including,
but not limited to:• A separate inspection area whenever possible (may
require checks within the process for components that are not available
for check after assembly).
• Process to ensure that all non-conformances are contained within the
facility and corrective actions are applied if non-conformances are
discovered.
• Identification of the person responsible for the containment process.
• 100% check of specific features as required.
• Use of separate identification on packaging labels to designate
compliance.
• Use of the Early Production Containment Plan until the agreed exit
criteria is met.
• Supplier shall monitor the effectiveness and maintain their records.
The FIREWALL with entry date, exit criteria, and exit date will be as
defined by the TML QA.
Ashok Leyland Supplier Quality Assurance Daimler India - Special Terms - Mar 2020
Manual, Version 02: Oct-2019 Daimler Supplier Quality Manual

No Specific Requirement

Ashok Leyland expects all its suppliers to be certified with either ISO Each supplier should establish an integrated Quality Assurance system covering
9001:2015 or IATF 16949:2016 all manufacturing operations up to the delivery of manufactured parts, carry out
necessary activities to satisfy all the quality requirements of DICV including the
Suppliers shall notify Ashok Leyland about the expiry of their current quality elements to be possessed by the part and ensure product reliability DICV
certificate at least 3 months in advance and shall provide plan for re- also expects each supplier to be responsible for the quality assurance systems of
certification. They shall submit the copy of the certificate upon successful re- the sub suppliers
certification. All the suppliers must be registered to IATF 16949 standard as its primary focus
is the development of a Quality Management System that provides for continual
improvement, emphasizing defect prevention and reduction of variation and
waste in supply chain The standard, combined with applicable Customer Specific
Requirements ( define the Quality Management System requirements for
automotive production, service and/or accessory parts
Manual applies to all suppliers, manufacturing Ashok Leyland specified Selection and Application of the QM System
production parts, service parts, and/or accessory parts to any one or all To ensure flawless and consistent product quality, the supplier shall establish a
Ashok Leyland units. quality management system (henceforth referred to as "QMS"). The QMS is
selected and applied in accordance with the prevailing version of IATF
16949:2016. The application of any other QMS requires prior written approval of
DICV.

The supplier shall oblige its sub-suppliers to adhere to the same QMS
requirements and obligations arising from this DIST.

Supplier must have following certification from government authorities.

a. Air consent, b. Water consent, c. Hazardous waste, d. Environmental
statement
Refer AL CSR alignment points shared with customer dt 3rd May'20 DICV Supplier Quality manual

- Consistent compliance of PPAP requirements.

- Necessary controls in place, to ensure identification and elimination of root
cause for the potential part quality issues.
- Zero-defect approach to be adopted, which includes adherence to
necessary process controls, traceability, mistake proofing, cleanliness, and
packaging.
- Supplier ownership for continually improving Quality by proactive analysis
and corrective/preventive actions based on the performance metrics (PPM,
CPI) published in the Ashok Leyland “Supplier Relationship Management”
portal.
- Self-Revalidation of Parts as per Ashok Leyland requirements.

Refer AL CSR alignment points shared with customer dt 3rd May'20 The supplier shall take all necessary actions to get themselves certified under
ISO 14001:2015 and share proof of such certification with DICV.
8.6 LOT ASSURANCE
As to lot assurance, which serves as the reason for isolating vehicles influenced
by defect(s) that happened, a lot control system that empowers the foundation
of connection ( between deficient part and affected vehicle will become
absolutely necessary The management system has to be
organized to guarantee the quality of delivered parts Besides, suitable record
storage system that empowers to immediately deal with our demand for
submission must be set up As per the usual course of action, thorough control of
changes mentioned above is essential for lot assurance
All non confirmabilities from receipt of CP to roll out are subjected to Q non
confirmabilities handling procedure (refer section 9 23 This includes rejections
due to improper Packaging (related, deviations from drawing req as well as
functional failures
The supplier shall verify the freedom of product realization from defects. The
supplier shall document its quality assurance measures with proof of quality
assurance (e.g. test protocols of module, integration and system tests, review
protocols of specification, design and code reviews).
The supplier shall inform DICV immediately in writing in the event violations of
this zero defects obligation are foreseeable.

Suppliers of electrical and electronic components shall implement suitable

indicators to detect conspicuous trends and anomalies (e.g. anomaly tests such
as Parts Average Analysis). No parts with anomalies shall be supplied to DICV.

The supplier is obliged to ensure that all deliveries meet DICV's specifications
(including dimensions, material, reliability, legal specifications, environmental
and production steering plan). The supplier shall evaluate document and archive
the results. The results must be made available to DICV on request. Any
deviation from this must be agreed in writing between the supplier and DICV.

The supplier undertakes to supply DICV with spare parts for the product for a
period of at least 15 years after discontinuation of production.

Parts-specific production equipment for the model series or parts may only be
scrapped with the written consent of DICV, regardless of ownership status.
The supplier is responsible for determining and properly defining the special
characteristics (e.g. safety-, certification-, functionally- and process-relevant) in
accordance with the specifications & symbols, requirement specifications or
other DICV specifications and for suitable optimization of production systems,
processes and test methods. If, a product defect may lead to risk to life or
health during use of the product, the supplier undertakes to do everything within
its power to eliminate the possibility of defective deliveries.

Safety and Quality

All products and services will be delivered to meet the quality and safety criteria
contractually specified, and will be safe for their intended use.
No Specific Requirement

No Specific Requirement
9.6 SUPPLIER MANAGEMENT COMMITMENT
1. Anti-Corruption and Compliance
Within the framework of its commercial dealings with DICV, the supplier is
obliged to desist from all practices which may lead to penal liability due to fraud
or embezzlement, insolvency crimes, crimes in violation of competition and anti-
profiteering laws, guaranteeing advantages, bribery, acceptance of bribes or
other corruption crimes on the part of persons employed by the supplier or other
third parties. In the event of violation of the above, DICV has the right to
immediately withdraw from or terminate all legal transactions existing with the
supplier and the right to cancel all negotiations. The above notwithstanding, the
supplier is obliged to adhere to all laws and regulations applicable to both itself
and the commercial relationship with DICV.

Technical Compliance
The supplier must comply with all applicable technical regulations related to
products developed within the scope of this DIST, taking into account the
fundamental spirit of the regulation (e.g., applicable regulations, policies, laws
and technical standards). Further, it is the obligation of the supplier to establish
structures within its organization to ensure adherence to all technical
regulations. Such a system should provide orientation and guidance for the
supplier’s employees and consider appropriate ethical, integrity, and technical
compliance standards.

No Specific Requirement

No Specific Requirement
No Specific Requirement

No Specific Requirement
No Specific Requirement
No Specific Requirement
No Specific Requirement

No Specific Requirement

No Specific Requirement
8.4 RISK MANAGEMENT
Suppliers of DICV Private Limited need to follow the Risk Management Process in
order to identify potential risks in advance, analyze them and take precautionary
steps to reduce/curb the risk that arises

2.6 Risk Management No Specific Requirement

The supplier shall determine the risks and opportunities for every process
and shall address them to ensure that the quality management system can
achieve the intended results, enhance desirable effects, prevent or reduce
undesired effects in terms of Quality, Cost, Delivery and Safety.

No Specific Requirement
2.7 Contingency plan 8.15 CONTINGENCY PLANS
The supplier shall prepare contingency plans to overcome abnormal Plans are needed to be created by suppliers in order to cope with unexpected
situations in man, machine, material and method. Supplier shall situations that are
- Identify and evaluate internal and external risks to all manufacturing described below
processes and infrastructure equipment essential to maintain production 1) Stopping operation of the plant because of natural calamities
output and to ensure that Ashok Leyland requirements are met. 2) Shutting of utilities, failures of major facilities
- Define contingency plans according to risk and impact to Ashok Leyland. 3) Requesting emergency production increase because of field fix
- Prepare contingency plans for continuity of supply in the event of any key 4) Stoppage of operation because of insufficient work, labor dispute and riots
equipment failures, interruption from externally provided products, 5) Inability of delivery of parts because of collapse of sub supplier
processes and services, recurring natural disasters, fire, utility interruptions, 6) Product issues, such as a huge order that requires reallocation of plant
labor shortages, infrastructure disruptions resources, or a product recall
- Shall create an advance notification system to inform Ashok Leyland and 7) Crises, such as threatening employees or customers, on the job injuries, and
their sub-suppliers on any situation that affects the requirements and worksite accidents
expectations of Ashok Leyland business.
- Review contingency plan annually for its effectiveness using a
multidisciplinary team including supplier top management
- Document the contingency plans and retain the documented information.

No Specific Requirement

No Specific Requirement
Part rejection levels at Ashok Leyland to be aimed for Zero PPM but not No Specific Requirement
above 50 PPM. However specific targets and changes, if any, will be
communicated from time to time
No Specific Requirement

No Specific Requirement
No Specific Requirement

Supplier shall comply with all applicable laws, industry standards or relevant ILO
conventions in relation to employee working hours. Overtime should be
voluntary and employees have to be granted at least one day off following six
(6) consecutive working days.

On request, the supplier shall provide DICV with information on relevant

products, materials and processes. DICV assures suppliers that this information
will be kept strictly confidential and will only be used for the purpose of life cycle
assessment.
The supplier shall also make every effort to obtain such information from its sub-
suppliers (raw material and semi-finished product manufacturers, energy
suppliers, residue recyclers etc.). Confidentiality obligations shall be applicable as
indicated above.
9.11 CLEANLINESS OF WORK ENVIRONMENT

No Specific Requirement

No Specific Requirement
Supplier shall conduct MSA study for measuring instrument/gauge The supplier will actualize a methodology to evaluate each kind of measurement
combination of inspector as per AIAG guidelines. system A MSA will be
led on all new or modified measurement systems Analytical methods and
acceptance criteria will comply
with DICV necessities The supplier will build up a corrective action for any
measurement system found
that does not meet the necessities, including
1) Containment of suspect and non conforming products.
2) Notification to DICV of affected parts
3) Potential last good inspection/calibration/MSA date
4) Interim corrective action.
5) Repair, substitution and/or recovery plans
6) Certification by outside source
DICV may request MSA results and/or sample parts from the supplier to perform
comparative
correlation studies with the supplier’s measurement results

No Specific Requirement
The supplier will execute a calibration and verification system or technique to
guarantee all gauges, jigs,
fixtures, poka yoke devices, measuring and testing equipment are qualified at
characterized frequencies
All measuring and testing equipment must be
1) Identified with unique traceability and capability status
2) Calibrated and/or confirmed at a verified frequency to approved standards
3) Adjusted or re adjusted, as required
4) Prevented from improper adjustment
5) Protected from damage during use, handling and storage

Records will be kept up for all gauges, measuring and testing equipment
including 1) Equipment identification and calibration standard, 2) Revisions for
engineering changes, 3) Any out of specification readings, 4) Impact assessment
for out of determination condition, 5) Statements of conformity after calibration
or verification

The lab scope will be characterized and technical requirements reviewed for
1) Adequate laboratory procedures
2) Competent laboratory personnel
3) Testing procedures
4) Capability of performing test and traceability to measures
5) Related documents Whenever,
DICV may ask for production samples to perform examination and testing
Refer AL CSR alignment points shared with customer dt 3rd May'20 No Specific Requirement

Refer AL CSR alignment points shared with customer dt 3rd May'20 No Specific Requirement

No Specific Requirement
No Specific Requirement

9.9 SKILLS
No Specific Requirement

No Specific Requirement
DICV at its discretion may audit supplier QMS. As a part of its deliveres, supplier
must also enable its sub-suppliers to be audited by DICV or a third party
nominated by DICV.

No Specific Requirement
No Specific Requirement
Nominate a Single Point Of Contact (SPOC) to respond for Quality and Portal: https://supplier-portal.daimler.com/portal/en.
Performance related communications from Ashok Leyland on a regular basis
1. General Section
1.1. Communication via Electronic Data Interchange
To ensure a continuous, error-free and real-time flow of information,
optimization of the exchange of data required in connection with the delivery
process is an important objective for the global automotive industry.
Accordingly, EDI messages in accordance with the message standards which
have been developed are transmitted in order to communicate with DICV. Data
communication may alternatively be conducted via EDI-Web form on the
supplier portal. In the case of direct deliveries from abroad, the following
regulations must be coordinated in individual cases between the DICV Logistics
department and the supplier (for e.g. regarding the message standard to be
used).
In view of this, the supplier is obliged to create and use the prerequisites
required for communication with DICV via EDI. The costs arising in this respect
are covered by the price paid by DICV for the deliveries.
Correspondence between physical scope of the shipment, content of the
EDI/web portal message and content of the documents accompanying the goods
is vital to safeguard logistical processes. In this regard, the supplier ensures that
all of the necessary data and information are transmitted in full, in good time
and without EDI errors. In the event of incorrect or incomplete EDI, the supplier
may be charged for any resulting costs

No Specific Requirement
9.7 DOCUMENT CONTROL

The scope of documentation (incl. Single part drawings) - including the

maintenance of all modification status - forms the part of pricing delivery. The
scope of documentation (CATIA 3D drawings, part lists etc.) and the deadline for
its completion will be agreed between supplier and DICV spare parts engineering
dept.
No Specific Requirement
No Specific Requirement
2.8 Record retention 7. Retention Period
The supplier shall define, document and implement a record retention policy. Following the discontinuation of series production, the PPAP documents must be
The control of records shall satisfy statutory, regulatory, organizational and archived for life cycle of the product including production and service
Ashok Leyland specific requirements requirements + 1 calendar year from the time of such discontinuation by the
- Product part approvals, tooling records (including maintenance and supplier and submitted to DICV on request
ownership), product and process design records, purchase orders and its
amendments and sub supplier related documents shall be retained for the 6.8 PPAP RETENTION PERIOD
length of time that the product is active for production and service Following the discontinuation of series production, the PPAP documents must be
requirements, plus one calendar year unless otherwise specified by Ashok archived for life cycle of the product including production and service
Leyland or regulatory agency. requirements 1 calendar year from the time of such discontinuation by the
- This requirement shall not supersede any regulatory requirements as per supplier and submitted to DICV on request
latest Government guidelines or as described in the ASHOK LEYLAND
AGREEMENTS for documents requiring longer retention period. All specified
retention period shall be considered as the “minimum” requirement.
- Supplier shall remove any obsolete / superseded documents whenever a
new version is released.

No Specific Requirement
Advanced Product Quality Planning Guidelines (Refer 3.1 of supplier Q manual),
3.2 APQP kick-off 1. PDP
portal usages, 2. Product Feasibility Sign Off, 3. Detailed time plan to meet DICV
requirements, 4.Facility, Tooling & Gauge Sign
Off, 5. PFEP(Plan For Each Part), 6. Initial PFMEA,CP & DVP, 7. DS/DZ , SP/SC
control plan & PPM agreement, 8. Initial packaging & capacity evaluation, 9.
Agreement of Inspection (AOI), 10. Tool & asset tagging, 11. C/D/Try out
sample maturity, 12. Interim & Final PPAP

No Specific Requirement

https://supplier-portal.daimler.com/portal/en.
No Specific Requirement

Target Quality Sign-off No Specific Requirement

The Target Quality sign off document is an agreement between Ashok
Leyland and a supplier based on critical characteristics, Lessons learnt from
similar part family and process/product requirements. It enables the supplier
to carry-out manufacturing feasibility study to meet the drawing
requirements. In case of any gap in meeting the drawing requirements,
supplier shall take it up with Ashok Leyland for clarification and further
processing.
No Specific Requirement
Initial Process studies: No Specific Requirement
Initial process capability study shall be carried out for:
• All special characteristics mentioned in the drawing and TQS
• Supplier identified critical characteristics
Unless otherwise defined by Ashok Leyland, the minimum requirements for
quality indices are:
• Cpk≥ 1.33
• Ppk≥ 1.67
If acceptance criteria are not satisfied, Supplier shall contact Ashok Leyland
with a corrective action plan and a modified Control Plan providing 100%
inspection and/or error-proofing mechanism. Variation reduction efforts shall
continue until the acceptance criteria is met, or until approval is obtained
from Ashok Leyland.
Note: 100% inspection methodologies are subject to review and
concurrence by Ashok Leyland.
No Specific Requirement

No Specific Requirement

No Specific Requirement
No Specific Requirement

7 .1 SOP READINESS CHECK SHEET

This SoP status sheet is intended to check whether the supplier is prepared with
all the perspectives i e the 4 M ( Strategy, Machine and Material) to design their
ramp up in accordance with DICV ramp up
8.3 AGREEMENT OF INSPECTION
No Specific Requirement

No Specific Requirement
4.1 GenMod - Ashok Leyland Vehicle development program. Ashok Leyland No Specific Requirement
expects that the suppliers understand the GenMod process in order to fulfill
the parts Quality and supply requirements in line with GenMod timelines.
Supplier Involvement in GenMod phases Supplier shall refer the GenMod
model to prepare a new part development plan to meet GenMod timelines.
Part development plan, documents and development time guidelines

Refer AL CSR alignment points shared with customer dt 3rd May'20

No Specific Requirement
Supplier who supply automotive products – related software or automotive
products with embedded software
Supplier shall estabilish process for software quality assurance. Supplier shall
submit/ retain documented information for software development capability &
assessment methodology (Software quality control plan/FMEA)
DICV has the right to peruse all development software development capability &
assessment methodology documents at supplier location.

9.1 ENGINEERING/TECHNICAL SUPPORT

No Specific Requirement
No Specific Requirement

9.3 MANUFACTURING CAPABILITY/CAPACITY

Refer AL CSR alignment points shared with customer dt 3rd May'20 No Specific Requirement
9.2 DESIGN VALIDATION PLAN

No Specific Requirement
4.4 Design verification and validation plan (DVVP) No Specific Requirement
DVVP is applicable for all Proprietary suppliers and its sub-suppliers or who
own the design or in case of special request from Ashok Leyland. An
Engineering testing shall be performed and clearance from Ashok Leyland
Product design team at the time of part development shall be obtained as
per the agreed timelines.
No Specific Requirement
Execution of the PPAP:
If a PPAP process trigger caused by the supplier arises, the supplier shall provide
notification of this trigger at least six months prior to planned implementation.
In the event of any deviations, the supplier must obtain written approval
(“deviation permit”) from the responsible DICV Supplier Management
department/ Materials and Process Technology in advance and submit this for
sampling. The corrected status must be presented within the framework of
subsequent sampling, prior to expiry of the deviation permit.
The relevant product and process characteristics for which capability studies are
to be carried out shall be coordinated with DICV. Until the process capability
parameters have been verified, the characteristics shall be checked 100% by the
supplier, then according to the inspection plan.
In the event of a deviation from these DIST, the following requirements apply to
the DS/DZ characteristics specified in the specification documents (e.g.
drawings, CAD data records):
 Short-term process capability Cpk ≥ 1.67
Run at rate: For selected scopes, a number of parts which at least corresponds
to the yield of one shift and at most the yield of 3 days of production (DICV
capacity line under consideration of the special equipment content) must be
produced in coordination with DICV in the final "supplier production test/try
out". If the supplier buys in complex or critical deliveries from sub-suppliers, the
supplier must select a similar procedure, involving DICV wherever necessary.
The scopes of work must be coordinated with the DICV Quality/Supplier
Management.
6. Submission Levels
Unless otherwise agreed between the DICV department responsible for series
production approval and the supplier, documents and samples corresponding to
submission level 3 shall be made available to DICV. In some special cases DICV
may ask for level 4 or level 5 too.
7. Retention Period
Following the discontinuation of series production, the PPAP documents must be
archived for life cycle of the product including production and service
requirements + 1 calendar year from the time of such discontinuation by the
supplier and submitted to DICV on request
8. Approval Status
The supplier is notified of the overall approval status in the form of
approved/conditionally approved Part Submission Warrant. For special cases
DICV Supplier Management/ Materials and Process Technology will give approval
after validating the product at DICV or approved external lab.
9. PPAP element submission
Supplier should submit the PPAP elements for approval through electronic format
via mail or e SEP++.In case of non usage of e SEP++, supplier shall provide
scanned
No copy
Specific of PPAP elements to DICV along with 2 hard copies of the
Requirement
Refer AL CSR alignment points shared with customer dt 3rd May'20 No Specific Requirement

No Specific Requirement

No Specific Requirement
No Specific Requirement

No Specific Requirement
Onsite assessment: The On Site Assessment ( gives an underlying evaluation of
a new supplier or of new production plants of a well known supplier It might
likewise be important while extending development
requirements, expanding volumes or expanding the level of integration

The Selection criteria for the sub supplier’s that is to be maintained are
1) Previous encounter and past performance with the product/service to be
purchased
2) Relative level of modernity of the quality system, including meeting regulatory
requirements or mandated quality system registration (for instance, IATF 16949
2016
3) Ability to meet current and potential capacity requirements, and do as such
on the desired delivery schedule
4) Financial stability
5) Technical support availability and eagerness to take part as a partner in
developing and improving design and a long term relationship
6) Total cost of managing the supplier (including material cost, communication
methods, inventory
requirements and incoming verification required
7) The supplier's reputation for business performance improvement
8) Total cost evaluation
9) They have to follow DICV DBL standards
3.2 Sub - Supplier Management No Specific Requirement
Supplier Responsibility for sub-Supplier
When specified by Ashok Leyland, the supplier shall purchase products,
materials or services from Ashok Leyland directed sources. The category of
suppliers may be Surface treatment, raw material sources, Heat treatment,
Steel sources…etc.
Key Management points No Specific Requirement
- Sub-supplier Initial & surveillance audits.
- Suppliers shall maintain the required business documents relevant to sub-
suppliers.eg. Accreditation, PPAP, Design…etc.
Supplier shall communicate Ashok Leyland requirements and shall confirm
the implementation at sub-suppliers.
- Processes at sub-suppliers like change management, corrective actions and
performance monitoring shall be maintained in line with Ashok Leyland
requirements.
- Supplier is responsible for requirements to be fulfilled by sub-suppliers at
any point of time, including sub-suppliers directed by Ashok Leyland.
- Supplier is responsible for communicating and ensuring statutory
requirements at sub-supplier, up to raw material level.

Critical characteristic control at the sub-suppliers

For critical characteristics, as described in Chapter-4, the supplier shall
ensure that the sub-supplier has all controls in place to prevent occurrence
and shipment of non-conforming products with error-proofing and defect
flow control.
2. Supplier QMS Audit ( Second Party Audit)
DICV, at its discretion, may audit and evaluate the supplier's QMS and quality
assurance measures or to have these audited and evaluated by a third party
nominated by DICV. This may be carried out for example, as part of an audit
(supplier technical audit) during the supplier's hours of business upon giving
prior notice to supplier. As part of its deliveries, the supplier must also enable its
sub-suppliers to be audited by DICV or a third party nominated by DICV. The
supplier declares itself committed to support DICV in identifying weaknesses and
limitations in the sub-supplier structure (e.g. as part of a Structural and Risk
Analysis "SRA"). Optimization of the said weaknesses and limitations, as
ascertained, shall be the responsibility of the supplier. In its sole discretion, DICV
has the right to participate in the optimization carried out by the supplier and, in
individual cases, specify quality assurance measures.

5a. Supplier who supply automotive products – related software or automotive

products with embedded software
Supplier shall estabilish process for software quality assurance. Supplier shall
submit/ retain documented information for software development capability &
assessment methodology (Software quality control plan/FMEA)
DICV has the right to peruse all development software development capability &
assessment methodology documents at supplier location
5.2 PERFORMANCE VALIDATION

5.3 SUB SUPPLIER AUDIT

8.14 SUPPLIER QMS AUDIT

The Tier 1 suppliers of DICV are also required to maintain its sub supplier’s (Tier
2 PPAP

No Specific Requirement
No Specific Requirement

No Specific Requirement
The contents of the following fields of the delivery schedules must always be
stated in the delivery notes and invoices:
 Supplier code
 DICV release order reference
 Additional customer data (if transmitted) (as applicable)
 Unloading location
 Part no. as indicated by DICV
 Part description
 Quantity
 Unit of measurement
 Packaging detail (type and quantity)
The difference between the cumulative required quantity and cumulative supply
quantity shall be specified in each delivery schedules. This makes it possible to
see immediately what changes have occurred in comparison to the previous
delivery schedules.
It is necessary to communicate with DICV the feasibility of meeting the quantity
as scheduled in the delivery schedules
1.5. Shipping/Transport Sequence Disturbances
In case of any disturbances in meeting DICV’s delivery schedule including
disturbances caused by sub-suppliers, the same must be immediately reported
by the supplier to both the transportation company and the DICV Logistics
department, orally duly confirmed by email or via fax, precisely specifying the
reason for and the type of disturbance. Disturbances must be promptly
remedied.
3.7. Processing Times
The delivery of empties shall be at the same time as collection. On provision of
the truck within the agreed time frame, the unloading of empties for the supplier
and loading including administrative processing must be carried out within the
following time:
 Package freight: up to 2.5 t or up to 10 cbm max. 30 minutes
 Partial loads: up to 10 t or up to 40 cbm max. 45 minutes
 Full shipments: max. 60 minutes
At the request of the transportation company, the supplier is obliged to confirm
the start and end of vehicle provision on a docket. Delayed processing plus
inappropriate loading and waiting times lead to additional costs and must be
borne by the supplier.
8.8 DEVELOPMENT OF CONTROL PLANS
DICV requires an in process quality control list, a process flowchart etc
unmistakably demonstrating quality control procedure for each operation of the
process to be developed The control plans substitute for conventional inspection
validation documents, inspection standard documents and QC flow graphs and
make up an inspection procedure manual

No Specific Requirement

5.6 Verification after Shutdown No Specific Requirement

The Supplier shall define and implement the necessary actions to ensure
product compliance with the requirements after a planned or unplanned
production shutdown period.
The maintenance system, at any rate, will cover
1) Planned maintenance activities
2) Packaging and preservation of equipment, tooling and gauging
3) Availability of replacement parts for key manufacturing equipment
4) Documenting, evaluating and improving maintenance objectives and
performance
5) Predictive methods to reduce and/or eliminate unscheduled interruptions
2.3. Tool Changes
In the event where changes in DICV’s technical specifications require any
modification to the tools, the supplier must submit a prior written offer to DICV
to modify the tools with the least possible expenditure.
Modifications to the tools may be carried out by the supplier only after DICV has
commissioned the supplier in writing. Any expenditure in excess of these
specifications shall not be remunerated by DICV.
No other circumstance shall warrant any modification to the tools.
The supplier must clearly and permanently identify those tools which are DICV-
owned tools as the property of DICV. During stock taking at the end of the year,
the supplier shall transfer the necessary information and where required,
documentation on such DICV-owned tools in its possession to DICV.

Supplier parts delivery to DICV based on JIT/JIS concepts

Upon DICV’s request, Supplier shall deliver parts on “Just In Time (JIT) / Just In
Sequence (JIS)” basis. Such part delivery shall be based on the following
concepts –
 E-Kanban based delivery;
 Sequence number based delivery.
Refer AL CSR alignment points shared with customer dt 3rd May'20 For the purpose of traceability, the supplier, at the request of DICV, shall identify
the components including child parts with a unique serial number, the structure
of which will be defined or approved by DICV.
Unless otherwise specified by DICV, the supplier shall follow the traceability
requirements to provide information for material, batch code, process details etc.
to trace back in the event of failure.
Note: Any specific requirements given by DICV shall be treated over and above
the general requirements.

4. Brands:
The supplier commits itself to mark the spare part as specified by the drawings.
The DICV brand name is to be affixed to all spare parts in accordance with the
specifications (MBN 33015, MBN 33036) or any other specifications prescribed
by DICV. The supplier's own markings or those attributable to the supplier on
the spare parts must not exceed the size of DICV brand names.

Identification of PPAP parts: Unless otherwise agreed by DICV, parts for which
sampling has not yet been carried out must be identified with red sticker
specifying the sample staus (C/D).

3 12 IDENTIFICATION AND TRACEABILITY

The supplier will appropriately identify product all through the realization process
and establish a system
that
1) Identifies the production status
2) Verifies product acceptance with regards to inspection and testing
3) Properly controls product disposition
The supplier will create a traceability technique for unique identification of each
part or material lot,
unless otherwise agreed upon by DICV The supplier will work with DICV to
develop and approve an acceptable method, location and content for marking
the product The supplier shall keep up all records important to guarantee
product quality

6.4 IDENTIFICATION OF THE PARTS

Unless otherwise agreed with DICV, parts for which sampling has not yet been
carried out must be identified with a red sticker (Ø approx. 20 mm) specifying
the sample status (C/D).
Beginning with the initial sampling of parts from series production tools and the
series production process, these parts must be identified with a white sticker. In
cases of any deviation from the above specified requirements DICV Supplier
Management / Materials and Process Technology shall communicate the same to
the supplier.
PPAP parts identification:
Unless otherwise agreed with DICV, parts for which sampling has not yet been
carried out must be identified with a red sticker (Ø approx. 20 mm) specifying
the sample status(C/D).
Beginning with the initial sampling of parts from series production tools and the
series production process, these parts must be identified with a white sticker
In cases of any deviation from the above specified requirements DICV Supplier
Management / Materials and Process Technology shall communicate the same to
the supplier.

9.20 PRODUCT TRACEABILITY

The supplier shall not disposition any DICV owned tooling without prior written
approval from DICV
Transportation, Packaging and Handling (TPH) Daimler India Commercial Vehicles Pvt. Ltd. – Special Terms 2018 Page 20 of 24
This document is an agreement on packaging standard for shipment of parts I. General Packaging Regulation and Handling of Cargo Carriers
to Ashok Leyland units. 1. General Regulations
The packaging requirements can differ for each part. A detailed feasibility With regard to selection of packaging required for parts delivery and with regard
study needs to be conducted by supplier to ensure safe packing, ease of to handling of packaging, the supplier shall adhere to DICV specifications and
unpacking, and protection of parts during various modes of transportation seek approval for “packaging” with DICV. If in addition, specific packaging
and handling. requirements necessitate deviations from DICV specifications, a jointly
Supplier shall understand the packaging requirements of Ashok Leyland in coordinated solution must be agreed between the supplier and DICV:
advance and get the packaging design approved before the shipment of new  For production material, with DICV Logistics department
and existing parts. However, supplier shall be liable to upgrade their packing  For spare parts, with DICV After Sales department
methods in case of any issues after signing off.  For indirect materials, with DICV NPM - Procurement department
The following guidelines shall be made available and serve as specifications for
Returnable Containers packaging:
Suppliers are encouraged to review their packing methods into reusable  Catalogue for standard packaging
containers based on type of part, location and handling. Ashok Leyland will  Design principles for special packaging
review and approve.  Palletization
The supplier is the owner of packaging and shall bear corresponding
Note - Packaging Materials shall be used after prior approval by AL team responsibility to maintain sufficient stock and ensure proper maintenance.

Ashok Leyland recommends its supplier partners to use environment-friendly Suppliers shall make a proposal regarding packaging and palletization. It is
materials in the entire supply chain. Packing material shall be made free of mandatory to use approved packaging for DICV series production part supplies.
materials which are unfriendly to the environment, like wood, card board, The proposed packaging and palletization must be approved by DICV.
carton box or polythene. Documentation thereof shall be prepared using a packaging data sheet. If the
supplier fails to adhere to the approved packaging specifications, DICV reserves
Refer AL CSR alignment points shared with customer dt 3rd May'20 the right to charge to the supplier for the additional costs which are incurred
such as repackaging costs, administrative expenses, cost of returning damaged
goods, getting replacement material, etc.

DICV reserves the right to charge the supplier, the additional costs which are
incurred such as repackaging costs, administrative expenses, cost of returning
damaged goods, getting replacement material, etc.

2.5. Empty Packaging

The returnables delivered by suppliers shall be made available as empty goods
for return transport upon consumption of the materials.
2.6. Inventory/Stock Taking
DICV shall conduct a yearly inventory of packaging belonging to the suppliers
inside its premises as part of annual account closing procedures. Suppliers will
then be notified of their returnable stock.
In case of loss in returnable packaging, where such loss is attributable to
supplier, then the supplier shall take responsibility to add additional packaging to
refill the loop quantity.
9.22 SHIPMENT AND PACKAGING REQUIREMENTS

No Specific Requirement
No Specific Requirement
No Specific Requirement
Apart from new launches and model refinements, no "supplier production
test/try out" shall be carried out without prior coordination with the DICV
Supplier Management/ Materials and Process Technology responsible for series
production approval.

3.9 CHANGE CONTROL

After product approval, the supplier will control all progressions to DICV
expectations The supplier's QMS shall incorporate techniques to deal with all
progressions to engineering documents, manufacturing equipment and tooling,
test and measurement equipment and all materials utilized in the process
Any changes to engineering drawings, specifications, materials, manufacturing
processes or other documents require PRIOR APPROVAL by the authorized DICV
The Supplier Process and Design Change Request form will be utilized by the
supplier to advise DICV before any changes Some
examples requiring notification and when applicable PPAP re submission
1) Drawing or specification change
2) Material change or new material supplier
3) Special process change including heat treatment, plating, coating, etc
4) New or modified production tooling
5) Re locating equipment within a site
6) Manufacturing location change
7) New sub supplier or sub supplier process change
8) New or modified testing and/or measuring equipment
9) Packaging and/or labeling change
10) Shipping to new DICV facility
DICV shall be notified of planned changes before starting the project. The
implementation date will be dictated by DICV and the supplier
Various new process and product capability studies and approvals might be
required because of the arranged changes The acceptance criteria for a planned
change will be settled upon by DICV and the supplier prior to implementation
The procedure for accepting a change may require generous time to finish all
4.6 Engineering Design Modification (EDM) 8.12 CHANGE MANAGEMENT
4.7 Change Management and Control Change Management is basically the procedures that are characterized for
Refer AL CSR alignment points shared with customer dt 3rd May'20 quality control of new parts
The Supplier shall communicate the change proposal to Ashok Leyland and and parts modified/changed in process for new vehicle model/type after PPAP
get advance approval through modified drawing / standard / Re-PPAP. (Production Part
The Supplier shall have a documented process to control and standardize Approval Process) and for detailing of such new parts and changes to DICV Parts
the changes in their organization. to which Change Management is applicable
The supplier shall 1) New parts for existing model
- define verification and validation activities to ensure compliance with Ashok 2) New parts for new model
Leyland requirements. 3) Running parts modified in design (Including changes not specified in drawing)
- validate changes and obtain approval prior to implementation 4) Running parts changed in process
- document the evidence of related risk analysis • 4 M change
- retain records of verification and validation • Change in inspection method/control limits/control conditions (change in
The implementation of changes without any information can cause serious contents of control plan etc
issues in vehicle Quality or Reliability, and sometimes in the worst case, • Change of sub supplier
product recall. It is very important that supplier keeps Ashok Leyland 5 Change to DICV Supplied Part
informed in advance for minor and major changes and follows the change
management process. 9.16 CHANGES NEEDED
The first shipment lot after the change approval must be duly identified
100% on individual parts as well as in packing, same needs to be
communicated to Quality and Sourcing engineers in advance, with due
acknowledgement

No Specific Requirement
Supplier shall submit the sample with initial sample inspection report (ISIR) Section 6 PPAP
in respect to the latest revision drawing. 6.6 EXECUTION OF PPAP
Requirements on Sample Submission: If PPAP process trigger caused by supplier arises, a notification to this trigger
- Inspection shall be carried out for 100% of the drawing characteristics has to be provided by
(Dimensions, material, performance test etc.). supplier at 6 months prior to planned implementation In some exceptional cases,
- All dimensions shall be inspected and recorded as absolute values. deviation of
- Identification of Sample parts should be made clear to avoid mix-up these DIST may be agreed with the DICV Supplier Management/ Materials and
- Data judgement shall be mentioned in ISIR with clear indication of “Ok” or Process technology
“Not Ok” in the judgement column. responsible for series production approval
- Sample verification and approval shall be provided by Ashok Leyland before
shipment. 6.7 SUBMISSION LEVELS
- Sample parts shall be identified with “SAMPLE” printed visibly on the Unless otherwise agreed between the DICV department responsible for series
sticker on each sample part for ease of traceability and to prevent the production approval and the supplier, documents and samples corresponding to
outflow of sample parts. submission level 3 shall be made available to DICV In some special cases, DICV
may ask for level 4 or level 5 too
Fitment Trial Report
The Sample Parts will be taken for fitment trials in the vehicle to ensure
form, fit & functional requirements. Suppliers are encouraged to participate
in FITMENT TRIAL process to gain awareness of actual fitment and function
of the parts in vehicle condition.
Supplier shall get approval for next process of part development, if the FTR
is found satisfactory.
Note: Incase a non-conformance arises during fitment trial, the supplier
must correct the part and resend it to AL for approval.

Refer AL CSR alignment points shared with customer dt 3rd May'20

PPAP requirements No Specific Requirement

Supplier shall ensure that production run and self-approval are completed
before submitting PPAP to Ashok Leyland.
PPAP approval is a must prior to bulk supplies (>100 nos. receipt at Ashok
Leyland)

The Run at rate shall be carried out at supplier’s actual manufacturing site,
in the presence of Ashok Leyland team.

Bulk Approval Request

Upon completion of PPAP and validation of Run-at-rate requirements, Bulk
approval for mass production will be provided by Ashok Leyland

Refer AL CSR alignment points shared with customer dt 3rd May'20

6.3 Post Production Validation (PPV) 9.12 LAYOUT INSPECTION PLAN
The purpose of PPV is to bring a proactive system in place to monitor the The various Inspection Plans that needs to be done are
part level performance at supplier end to eliminate field issues. 1) Raw Material Validation For Raw Materials
Supplier shall identify the list of performance tests which are critical for 2) SST Validation For Painting
product performance and signoff with Ashok Leyland. Supplier should 3) Measurement System Analysis ( Validation For Measurement purpose
validate those test parameters on a defined agreed frequency and it must be 4) Fixtures/Gauges Validation For Fixtures which are production tools and
submitted to Ashok Leyland for approval. Gauges which are inspection tools
5) Statistical Process Control plan for Ds ( and Dz ( characteristics

No Specific Requirement
10.3 CONTROLLED SHIPPING
3. Scientific and Technical State-of-the-art
The supplier shall ensure that its deliveries and services are in accordance with
requirements of applicable law and correspond to the scientific and technical
state-of-the-art.

3. Confirmation of/Adherence to Substance Bans:

Substances that are subject to legal restrictions or bans may only be contained
in the materials or parts which are supplied when subject to these regulations
(e.g. chemicals ban directive, “End-Of-Life Vehicles Ordinance” REACH
(Registration, Evaluation, Authorization and Restriction of Chemicals) Regulation
(EC) no. 1907/2006). DICV requires its suppliers to be aware of the obligations
from these regulations and to comply with them. The supplier must therefore
ensure the following:
 Compliance with the negative substance list for the selection of materials
according to Indian laws, regulations and other standards prescribed by DICV.
 Recommendations for a further reduction of interior emissions.
IMDS & REACH requirements (Mandatory for export parts)
a.The provision of correct and complete IMDS (International Material Data
System) material data sheets effectively from December 2016 is to be ensured
free of charge for every new or engineering change (ZGS) export parts including
all substructure parts and / or contained operating materials characterized as
spare parts in the spare parts area, and has to be implemented, in the course of
initial sample inspections of new or modified products, at the latest two (2)
months following a blank release (QG D). Any flawed material data sheets (MDS)
will not be accepted and must be corrected at the latest three (3) months
following blank release.
For more information on the basic release principles, see IMDS FAQ - Daimler
IMDS supplier information on reviewing material data sheets at
www.mdsystem.com.

3.14
STATUTORY & REGULATORY CONFORMITY
The
supplier's product shall be certified to applicable standards as required (e g
Underwriters Laboratory ( European Union (CE mark), Canadian Standards
( AMSE, RoHS WEEE, REACH and so on The supplier shall guarantee that
certification is maintained Evidence will be submitted alongside PPAP
No Specific Requirement

No Specific Requirement
Non-conforming product disposition No Specific Requirement
The supplier shall have a documented procedure for disposition of non-
conforming product / part not subjected to rework or repair.
In special cases, Ashok Leyland request’s suppliers to scrap the parts at
Ashok Leyland unit itself attracting debit and avoids NC part mix-up.
9.21 MATERIAL/PRODUCT DEVIATIONS
The Supplier will not deviate from DICV engineering drawings, specifications or
other DICV necessities without written approval and/or potentially deviation
approval The supplier is in charge of the quality level of all material as well as
product delivered to DICV On the off chance that the supplier identifies a non
conforming condition, he will present a Request for Deviation for review of
product The written request will be submitted to the DICV, Quality Department
alongside the accompanying data
1) Part number and most recent building change letter
2) Quantity of parts influenced
3) Specification(s) included
4) Statistical examination of the non conforming characteristic(s), as appropriate
5) A statement of the requested deviation
6) The containment plan to be implemented
Corrective/precaution action to be made alongside the timetable for
implementation which will incorporate the date or potentially part number for
the completed action A Non Conformance Report or Product Deviation will be
issued Reference to the NCR or Product Deviation will be plainly noted on the
documentation of the non conforming shipment
No Specific Requirement
5.0 Production parts management No Specific Requirement
5.1 Non-conformity handling system:
The supplier shall establish and maintain documented procedures to ensure
that suspected nonconforming products are prevented from unintended use
or installation. If parts are found to be non-conforming at Ashok Leyland,
the supplier shall provide the resources necessary to evaluate, contain, sort,
reclaim the nonconforming product. The supplier shall have a representative
to establish containment at the respective Ashok Leyland unit, material in
transit, and at the supplier site within 24 hours. Quicker response is required
based on the severity of the situation.

Non- Conformance at Ashok Leyland Line - Customer Pain Index (CPI)

Ashok Leyland follows a unique methodology to address non-conformance
reported in the production line called Customer Pain Index (CPI). The
purpose is to sensitize supplier on the severity of the problem that has
occurred at Ashok Leyland manufacturing line due to supplier parts. The CPI
is considered as one of the metrics to evaluate supplier performance.

Control of reworked parts No Specific Requirement

The supplier shall perform a risk analysis before reworking the parts and
shall confirm that the reworking will not have an impact on part fit, function,
reliability, durability and appearance as per part drawing, before despatching
to Ashok Leyland. Reworked parts shall be identified, and supplier must
obtain an advance approval from Ashok Leyland Supplier Quality before
shipment. The process shall be documented properly and retained for
traceability.

No Specific Requirement
No Specific Requirement

No Specific Requirement
No Specific Requirement
Process capability are examined and evaluated on the basis of DIST 13/16 i.e.
PPAP (5), ensuring quality prior to use in series production. The supplier must
ensure production process stability by means of suitable process regulation.

9.17 SPECIAL OR KEY CHARACTERISTICS

The supplier shall demonstrate process capability through statistical controls for
all designated
special characteristics and maintain control for all measurement methods used
The target process capability for special characteristics shall be Cp, Cpk, Pp, Ppk
 Short term greater than or equal to 1.67
 Long term greater than or equal to 1.33
5.11 Control charts and SPC analysis 9.18 CONTINUOUS IMPROVEMENTS AND STATISTICAL
Suppliers shall monitor the key characteristics using X bar and R control PROCESS CONTROL (SPC)
chart on a day to day basis as part of monitoring the ongoing product. Focus It is firmly suggested that Suppliers monitor process performance utilizing the
shall be on identification and elimination of the special cause(s) to achieve appropriate Statistical techniques as per AIAG Statistical Process Control manual
process stability. Once process is stable, process capability needs to be 1) Gauge R&R Study
determined. Suppliers shall follow AIAG SPC manual guidelines. 2) Predictive Maintenance
3) Defect Analysis
4) Sampling and Process Analysis
5) Process Analysis with Control Charting Methods
6) Online SPC for the critical characteristics
7) Tool change/offset/sharpening frequency

All safety and critical characteristics shall be captured in both PFMEA and 8.7 UNDERSTANDING, MAINTAINING PROCESS CONTROL
Control Plan. Suppliers shall achieve the process capability requirement of CAPABILITY
Cpk ≥ 1.33 & Ppk≥ 1.67 DICV expects that a capability study should be directed for Performance Index
Ppk or Process Capability Index Cpk to decide process capability in good time for
PPAP application If the process capability is underneath specification limit, it is to
be enhanced to the acceptable level before shipment of production parts
Continued maintenance and enhancement of process capability will be required
after the start of series production
Quarterly Score Card

4.1 SUPPLIER EVALUATION

DICV keeps up records in order to evaluate suppliers Thought for the continuation, expansion or end of
business depends on these evaluations Examples of such records are
1) PPM of non conforming material (The Goal is 0 PPM)
2) Corrective and Preventive Action Plan (CAPA)
3) 8 Dimensions (8 D)
4) Stop shipment because of value concerns
5) Supplier responsiveness to quality issues
6) Effectiveness of Corrective Action
7) 100% on time conveyance with required quantity
Written Corrective Actions will be required if a supplier's fails to meet expectations for either quality or
delivery Supplier and/or additionally sub supplier audits might be conducted to rethink their status as
approved suppliers to DICV

9.5 ON TIME DELIVERY

Rejection (In PPM): PPM is a metric to measure the performance of a
supplier based on actual non-conforming parts. AL’s PPM formula is as
follows,
PPM = (Incoming Rejection quantity + Line Rejection quantity + Rework
quantity) X 10^6) / (Total quantity supplied)
- CPI (Customer Pain Index): Ashok Leyland follows a unique methodology
to address non-conformance reported in a production line called Customer
Pain Index (CPI). The Current PPM metric not reflects the Impact of the
Issue and does not reflect the customer pain completely i.e., One defective
plain washer is treated same as one defective cross member, which can lead
to Line Stoppage also. Hence to bring in the real impact of the rejection and
to make the customer pain visible this Customer Pain Index was Formed.
The purpose is to sensitize suppliers on the severity of the problem that
occurred at Ashok Leyland production line due to supplier parts. CPI is
explained in detail in Chapter 5 of this manual.

ASCENT – Ashok Leyland Supplier Capability Enhanc ement and

Transformation
The purpose of ASCENT model is to improve Supplier’s Quality Assurance
Processes. Ashok Leyland maps the Supplier capability & Quality
performance monthly and gives feedback through SRM Portal for continual
improvements.

Supplier Capability Mapping

The purpose of capability mapping is to identify low capable suppliers and to
improve the capability for the following elements. The weightage of each
element is described below.
Ashok Leyland shall conduct on-site assessment for all low capable suppliers
and shall support in upgrading the supplier’s capability from low to high.
Supplier Performance Assessment
Supplier performance monitoring is based on the below metrics and is
monitored monthly. https://supplier-portal.daimler.com/portal/en.
No Specific Requirement

No Specific Requirement
Special Process Validation Plan An Internal Auditing within the supplier premises
must be done in order to make sure the processes that are being used with the
supplier are efficient enough to provide DICV with the products that is required
The processes required for Internal Auditing by the supplier are
1) Welding, 2) Coating, 3) Plating, 4) Heat treatment, 5) Molding,
6) Casting

No Specific Requirement
No Specific Requirement
No Specific Requirement
2.10 Layered Process Audits VDA 6.3 audit is mandatory for all global projects (direct or via Consolidation
The Supplier shall provide evidence of compliance for the following center India) DICV Supplier Management department/ Materials and process
requirements, technology will conduct this audit.
- Audit process shall involve multiple levels of management from line VDA 6.3 audit is also mandatory for domestic carry over parts for global
supervisor to top management projects.
- Supplier top management shall conduct audit on Quality, Delivery, Safety,
Maintenance, Training and Morale once in a Quarter 4 1 1 SUPPLIER PROCESS AUDIT
To evaluate the supplier, Supplier Process Audits ( are done on regular basis in
order to keep a check on all the processes of supplier to ensure that best
product is reaching at DICV

Based on marking, supplier is placed in one of the following three categories

1. Less than 80 High Risk Chances of getting quality issues is high
2. 80 to 90 Medium Risk Chances of getting quality issues is medium
3. More than 90 Low Risk Chances of getting quality issues is low
Suppliers who come in the high risk category are given the most focus since
they have the highest possibility of quality issue occurrence They are followed by
medium risk and then by low risk
High risk suppliers are followed up their audit is done once again in 6 months to
record the progress done since the last audit the observations noted Medium
risk suppliers are re audited within 1 year

9.13 PROCESS AUDIT VDA

No Specific Requirement

No Specific Requirement
No Specific Requirement
Management Reviews No Specific Requirement
Top Management shall review to ensure that the Quality objectives are met
to meet the customer requirements, established and maintained with
relevant functions, processes and throughout all levels in the organization
and are reviewed at planned intervals. Top Management shall participate in
the performance reviews organized by Ashok Leyland on a regular basis or
whenever required.
No Specific Requirement
No Specific Requirement

No Specific Requirement
No Specific Requirement

9.4 QUALITY IMPROVEMENT

No Specific Requirement
Resolution closure process 8.13 PARTICIPATION IN RESPONSE TO SOLD DEFECTS
Supplier shall follow AL specific format (8D / RC2A) to summarize the 9.22.1 IMPROPER SHIPPING PRACTICE REPORT (ISPR)
corrective actions with essential standardization documents, which shall be
uploaded in AL “SRM” Portal site for verification and approval within a
defined timeline, failing which the part purchase order will be blocked
automatically by the system. Once AL approves the corrective action report
submitted by supplier, auto generated feedback mail will be sent to supplier.
Ashok Leyland urges suppliers to initiate containment actions within 24
hours and submit initial analysis along with corrective action within 7 days as
per Rule 1-2-7. In the event of non-closure, the supplier purchase order will
be blocked automatically till firm action is received from supplier.

Return product analysis

The supplier shall have a documented procedure to receive and analyze the
non-conforming product / part received either from Ashok Leyland units or
from its fields.
9.23 CORRECTIVE ACTION
In the occasion of a quality issue identified with a supplier's product, a
Corrective Action Report must be outfitted that frameworks the problem utilizing
a formal problem resolution
method, 8 D

The supplier's underlying reaction including containment plan, will be given to

DICV within 24 hours (one working day) from the date the supplier gets
notification of the non conformance

A written preliminary Corrective Action must be sent to the DICV Quality

Department inside ten 10 days recognizing the root cause

Implementation of the Corrective Action will be made inside thirty 30 days of the
Supplier's submittal

9.25 CONCERN RESOLUTION PROCESS

9.26 SUPPORTING DOCUMENTS
9.27 SUPPLIER RE WORK/RECTIFICATION PROGRAM

5.5 Error Proofing 10.1 MISTAKE PROOFING

The supplier shall have a documented process to determine the use of
appropriate error proofing methodologies. Process Failure Modes and Effects
Analysis shall be utilized for deploying error proofing in process at early
stage of process development. The foremost objective of error proofing is to
avoid occurrence of defects in process. The supplier’s process shall include
the testing of error proofing devices for failure or simulated failure. Error-
proofing device failures shall have a reaction plan.
For planning the error proofing, priority shall be given to key drawing
characteristics, as explained in Chapter-4 of this Manual.
6.2 Field Issue Severity and Resolution Refer warranty 10.2.5
Suppliers shall adhere to timeline for field issues resolution as per the below
tabulated information.
Note: However, Ashok Leyland may seek supplier to ensure initial action
implementation immediately based on Ashok Leyland’s customer demands.

The Warranty Claim Procedure covering the scope, period, costs etc. will be
as mentioned in detail under GPA (General purchase Agreement)

No Specific Requirement
The program is classified into 3 modules
1. Development Excellence Product Process development and Technology
Leadership
2. Operational Excellence Quality Right 1 st Time and Process Cost Optimization
3. Logistics Excellence Documentation Packaging and Inbound Outbound
Logistics With the improvement in the above 3 modules, an overall betterment is
done for supplier DICV
The E 2 E processes at level 1 are divided in 7 stages as follows
1. Part Development Run Rate
2. SoP, Planning RM Child Parts Procurement
3. Produce Quality Parts as per EDI Schedule
4. Packaging, Labelling Invoicing
5. Dispatch as per Schedules through Milk Run Own Vehicle
6. Receipt at DICV GRN
7. Line feeding Vehicle Build
SUCCEED working model is a cyclical collaborative approach aims at continuous
improvement

2.9 Continual improvement No Specific Requirement

The supplier shall have a documented process for continual improvement in
the areas of Quality (external and internal), Capability, Cost, Productivity
and Customer satisfaction, aligning with Ashok Leyland’s supplier
upgradation program and performance metrics. The minimum guidelines
shall include
- identification of the methodology used, objectives, measurement,
effectiveness and documented information.
- a manufacturing process improvement action plan with emphasis on the
reduction of process variation and waste.
- Risk analysis such as FMEA.
3.4. Procedure in Case of Non-Compliance
If certain elements of the standard regulation (e.g. data quality
requirements, EDI standards) are not met or only partially met, this
impacts directly on supplier evaluation. Information regarding the
affected elements and the CAx/PDM profiles are published in the
engineering portal.
If the CAD 3D and CAD 2D data provided by the supplier don’t meet the
agreements or requirements, the recipient’s department which is
responsible for design or the department responsible for the process
decides on the further procedure:
- Following consultation, generation of the missing scopes or reworking
of CAD data by the supplier or by a service provider commissioned by
the latter at the expense of the supplier.
- Following consultation, generation of the missing scopes or reworking
of CAD data by the supplier or by a service provider commissioned by
the DICV at the expense of the supplier.
If DICV incurs damages due to the fact that the supplier fails to meet its
specified contractual obligations, or fails to do so within good time, the
supplier is liable to DICV for resulting damages insofar as it is
responsible for these.
SML ISUZU- Supplier Quality Manual
Rev 03 dated 19 Jul 2019

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1.3 Supplier Quality System Assessment at Supplier end: SMLI shall prefer that suppliers shall have certified their
QMS/EMS from third party for example likes: · ISO 9001:2015 certifications from certified authority, with a valid date. ·
IATF 16949:2016 certification from certified authority, with a valid date.

2.1.1 - Supplier Quality System Requirements:: ISO 9001:2015 & IATF 16949:2016 QMS requirements updation
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Calibration of Master (Calibration) devices:Supplier shall define calibration frequency for master equipments which are used
for calibration of other instruments. It is referred that calibration of such instruments shall be done once in a year.

2.8.4 System for Periodic Calibration and record of MMEs: Calibration system shall be in compliance with Quality System
requirements like ISO 9001:2015 etc

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Retention Period :The supplier shall ensure retention / storage of quality records for the period of time mentioned in his
quality policy or as specified by SMLI. Minimum retention period is three years until unless it is specified. The retention
period shall be the duration from the day of establishing or receiving to the day of disposition of the records
The record of audits shall be retained for a period of 2 years.

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3.2.7- Ongoing PPAP Maintenance:The supplier shall annually revalidate their product and process (including complete
dimensional, material and performance evaluation) for all parts supplied to SMLI. Such PPAP should be submitted
indicating “ANNUAL REVALIDATION” of PPAP.
If an annual revalidation PPAP does not show conformance to all specifications, the supplier shall obtain a deviation as
authorization from SML ISUZU to continue shipments.
3.2.8 - Annual PPAP requirements:
Suppliers shall review PPAP annually and submit the following elements of the PPAP to SMLI on an annual basis:
1) Part Submission Warrant (PSW).
2) Process Flow Diagram.
3) Process Control Plan.
4) Current drawing number.
5) Complete Dimensional Results.
6) Material Certifications with complete chemical and mechanical properties analysis. (Complete reports of Analysis).
7) Contact List; phone numbers and email address for primary, secondary, and tertiary Quality contacts.
8) Supplier’s Sub supplier PPAP Submission (Completed and signed). Suppliers must develop a means of tracking when to
submit the required information. The annual requirement is considered to be due after the last (previous) PPAP approval
date.

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Weightage in SPS = (0.7QR +0.3DR) Where: QR - Quality Rating. DR – Delivery Rating. Suppliers scoring above 85%
score are considered to be good competitive supplier.

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If the supplier is categorized as “Satisfactory” Purchase department shall immediately inform the supplier and supplier shall
submit improvement action plan within seven working days to improve their performance.
If the supplier is in “Poor” category for consecutive three months supplier audit / assessment to be re-done and action to
be decided on the basis of performance of the audit.
If the supplier is in “Must Improve” category Purchase department shall immediately inform the supplier and send two
month Notice-cum-Warning letter to the supplier. If after two months no improvements are evident purchase may
disqualify the supplier and discontinue supplies from him.

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Layout Inspection :The supplier shall carry out layout inspection of all components being supplied to SMLI as per frequency
decided but not less than twice per year including components of his sub-suppliers. In case of casting and forging it will be
the responsibility of both the casting and machining suppliers. However it must be ensured that all component supplied to
SMLI are checked as per layout inspection twice in a year.
Layout inspection reports shall includes :- Inspection report, marked components & component drawing, inspection reports
of sub assemblies & its components, material inspection and testing reports, functional testing/ endurance testing reports
etc. Every year supplier to make status report of plan Vs actual checked and shall be submitted to SMLI

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.1 Supplier Performance Rating Criteria: The scope of Supplier Performance Score (SPS) is: all direct suppliers shall be
covered. SMLI shall made available SPS report on supplier web portal However the supplier can also access their SPS
report through web portal and plan necessary action where required and revert to SMLI

In Supplier Performance Score reports following parameters are considered: 1. Plant Quality. o Line Rejection. o GRN
Rejection. o Supplier Corrective Action Report (SCAR) Performance 2. Field / Warranty returns. 3. Delivery. o Schedule
adherence. o Shot receipt Continuous good rating suppliers shall be given preferred treatment for example shall be
preferred first for new developments whereas, those showing no improvements despite repeated efforts either may not be
continued or continued after discussion if willing to improve.

Line rejection target: 100 ppm MRR rejection: 200 PPM

8.4 Supplier Performance Ranking. SMLI shall categorize the supplier based on their Performance score points as follows:
A) SPS is > 90%, Category – “Excellent”. B) SPS is >80 & <90 % Category – “Good”. C) SPS is >70 & <80 % Category –
“Must improve”. D) SPS is < 70% Category – “Poor”.
If the supplier is categorized as "Poor or Must improve" on the basis of month to month average score, Purchase
department shall inform the supplier and supplier shall submit the improvement action plan within 15 days or as agreed in
joint MOM with SMLI. If the supplier is in “Poor” category for consecutive three months Purchase department shall
inform to the supplier. if after 2 months no improvement will evidence purchase may disqual;ify the supplier after
discussion head Purchase & head Quality
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Monthly score card
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If the supplier is in “Must Improve” category Purchase department shall immediately inform the supplier and send two
month Notice-cum-Warning letter to the supplier. If after two months no improvements are evident purchase may
disqualify the supplier and discontinue supplies from him.
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2.9.1 System for Handling Customer Complaints and Problems Resolution:
The supplier shall establish documented systems for handling the cases of Quality abnormalities in parts which are
detected either at SMLI, in field or within the supplier’s own organization. Quality abnormalities discovered may be
classified in three categories designated as critical, functional and general. Their definitions are given as below:
Critical: such problem which most likely will cause accident or fire resulting in injury to the vehicle, vehicles’ occupants or
other road users.
Functional: such problems which may affect function of vehicle or its sub parts.
General: such problem may cause fitment problems, becomes reasons for failure of other parts, and may hamper
productivity at SMLI etc.
Submission of CAPA to SMLI: The CAPA or an action plans report shall be submitted to the SML ISUZU within 15 working
days of notification of the non conformities occurrence at SMLI.
All corrective action responses are to be closed out in a timely and expeditious manner, with a maximum target closure
date of 30 days. Corrective action requiring more than 30 days requires written approval from SML ISUZU.
Supplier shall submit CAPA report to SMLI, either on SMLI approved format or on 8D standard formats. For SMLI CAPA
format please sees in annexure.
Record of Non-conformities & Preventive Actions taken:Supplier shall maintain the record of the following and retain record
for three years:
 Non-conformity analysis Reports.
 Countermeasure taken (corrective action taken).
 Preventive action taken.
 Validation of preventive actions reports.

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3.4.4 - Documents to be submitted along with Samples:
Supplier shall submit initial PPAP documents along with samples comprising of:
 A complete filled sample submission formats.
 Part drawing approved by SMLI.
 Dimensional inspection report (Layout inspection) of all samples.
 Process flow chart Sheet.
 Supplier Drawing (In case proprietary part) duly approved by SMLI R&D.
 Performance test report (Where applicable).
 Endurance testing report (Where applicable)
 Metallurgical test report.
 Test bar (where applicable)
 Third party inspection report where applicable. For example: Ozone Resistance, (Colour fed report), Salt
spray, burst test report etc).
 List of sub-suppliers supplying raw material and parts.
 Plating thickness, welding penetration, and heat treatment reports.
 Rubber, plastic, glass, metal specimens.
Maximum attempts to sample submission for approval is three, i.e. supplier can submit same sample three
time for approval after necessary improvements. In case there is no improvement observed after continuous
three time sample rejections SMLI ISUZU may not allow supplier to submit sample again.
Mahindra - Production Part Approval Process - Cummins Supplier Hand book (Customer
Supplier revision 2 dated Oct 2010 Specific Requirements) - 15th May 2019

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No Specific Requirement ISO 9001:2015, IATF 16949:2016 andCSR define fundamental quality system
requirements for organizations contracted by Cummins, Inc. to provide production
parts, service parts, components, and engines. These requirements shall be
included in any scope of registration/certification to ISO 9001:2015 and/or IATF
16949 issued by an ISO/IATF-recognized and ISO/IATF-contracted certification
body in order for the ISO 9001:2015 and/or IATF 16949 certificate to be
recognized as satisfying Cummins, Inc. organization for third party
registration/certification.
All ISO 9001:2015 and/or IATF 16949:2016 requirements and the requirements of
this document shall be addressed in the organization’s quality system.
Unless explicitly specified, these requirements are not linked to the Customer-
Specific Requirements (CSRs) of any other management system standard required
by Cummins, Inc. A nonconformance to a CSR of one standard does not imply
that a nonconformance to another CSR exists. Specifically, a supplier who is not
fully certified to ISO 14001 shall not receive a nonconformance from their IATF
16949 Certification Body.

Organizations shall submit proof of registration by sending a digital copy (PDF,

JPG, etc) of their current registration certification to their SQIE contact. The email
should identify a contact for certification issues at this site, providing contact
information for the contact.
Notification of ISO 9001:2015 and/or IATF 16949:2016 Registration Status
Change
Organizations shall notify Cummins, Inc. of any change in the ISO 9001:2015
and/or IATF 16949 registration status via email to their SQIE contact. Such
changes include, but are not limited to:
• Initial certification
• Recertification
• Transfer to certification to a new Certification Body
• Certificate withdrawal
• Certificate cancellation without replacement
Use Customer Input Requirements (CIR)
The Customer Input Requirements is used to initiate the Quality Planning process
through identification of design criteria and programme requirements. Quality Function
Deployment, (QFD) is the mechanism to generate the Customer Input Requirements.
CFT to decide on CIR. The following are a few:
 PPM targets,  PIST / PIPC,  Reliability target,  Packaging requirements, 
Millipore requirements,  Design/ Quality / Performance target to be defined.

No Specific Requirement The supplier shall use the AIAG reference manuals for APQP, SPC, PPAP, FMEA
and MSA processes.
No Specific Requirement G. Quality Management System and it’s Processes (4.4) Conformance of Products
and Processes
Suppliers shall ensure conformance of all products and processes, including
service parts and those that are outsourced, to all applicable Cummins Inc.,
statutory, and regulatory requirements.
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No Specific Requirement The supplier shall appoint a ‘quality contact’.

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No Specific Requirement H. Actions to address risks and opportunities (6.1)

Supplier shall include in its risk analysis, at a minimum, lessons learned from
product recalls, product audits, field returns and repairs, complaints, scrap, and
rework.
The supplier shall retain documented information as evidence of the results of risk
analysis.

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No Specific Requirement Preventive Action

Suppliers shall determine and implement action(s) to eliminate the causes of
potential nonconformities in order to prevent their occurrence. Preventive actions
shall be appropriate to the severity of the potential issues.
The supplier shall establish a process to lessen the impact of negative effects of
risk including the following:
a) Determining potential nonconformities and their causes;
b) Evaluating the need for action to prevent occurrence of nonconformities;
c) Determining and implementing action needed;
d) Documented information of action taken;
e) Reviewing the effectiveness of the preventive action taken;
f) Utilizing lessons learned to prevent recurrence in similar processes.
No Specific Requirement Contingency Plans
When requested, Suppliers are required to submit a Business Continuity Plan
(BCP)
a) Suppliers may use Cummins BCP template for assistance in creating BCP for the
suppliers company. The BCP template is available on www.supplier.cummins.com
by following the path Corporate Responsibility>Business Continuity Planning.
b) Suppliers are expected to provide BCPs for the Primary/Major Facilities that
produce high risk components as identified by Cummins
c) The BCP must be an “active” document and Suppliers are responsible for
reviewing, updating BCPs at a regular frequency (at least annually), and testing
contingency plans for effectiveness
d) The Supplier shall submit latest version of the BCP to CMI on an annual basis.

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No Specific Requirement Supplier shall notify Cummins of any changes within their management structure
within two weeks of changes taking effect. This includes changes in ownership as
well as any changes to contacts related to doing business with Cummins.

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For Gauge R&R only 10-3-3 (10 Parts, 3 Appraisers, and 3 Trials) format to be followed. Measurement Systems Analysis
Acceptance standard for MSA is percentage Gauge R & R-value should be less than 10% Current Calibration records are required for all gages/measurement equipment
& number of distinct characteristics (ndc) should be 5 or more than 5. In case Gauge used to inspect Cummins product. Measurement Systems Analysis (MSA) is
R&R is between 10 to 30% & ndc is less than 5 but upto 3 is acceptable with definite required for any measuring equipment used to inspect the special characteristics
corrective action plan & MPPAP will be under Interim Approval. Gauge R&R more than identified on the Cummins drawing or as defined by the Cummins SQIE. The
30% stands rejected. Anova method, as detailed in MSA 4th edition is the preferred method for
Acceptance criteria for Kappa value is 0.8. submittal to Cummins. MSA acceptance limits shall be as follows:
% Tol Ratio (Precision to Tolerance)
P/T Ratio is less than 10% is acceptable
P/T Ratio between 10 and 30% is marginally acceptable
P/T Ratio greater than 30% is unacceptable.

% R&R (Repeatability and Reproducibility)

R&R less than 10% is acceptable
R&R between 10% and 30% is marginally acceptable
R&R greater than 30% is unacceptable

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No Specific Requirement Calibration/verification records
The Supplier shall have a documented process for managing
calibration/verification records. Records of the calibration/verification activity for
all gauges and measuring and test equipment (including employee-owned
equipment relevant for measuring, Cummins-owned equipment, or on-site
supplier-owned equipment) needed to provide evidence of conformity to internal
requirements, legislative and regulatory requirements, and Cummins-defined
requirements shall be retained.
The Supplier shall ensure that calibration/verification activities and records shall
include the following details:
a) Revisions following engineering changes that impact measurement systems;
b) Any out-of-specification readings as received for calibration/verification;
c) An assessment of the risk of the intended use of the product caused by the
out-of-specification condition;
d) When a piece of inspection measurement and test equipment is found to be
out of calibration or defective during its planned verification or calibration or
during its use, documented information on the validity of previous measurement
results obtained with this piece of inspection measurement and test equipment
shall be retained, including the associated standard’s last calibration date and the
next due date on the calibration report;
e) Notification to Cummins if suspect product or material has been shipped;
f) Statements of conformity to specification after calibration/verification;
g) Verification that the software version used for product and process control is as
specified;
h) Records of the calibration and maintenance activities for all gauging (including
employee-owned equipment, Cummins-owned equipment, or on-site supplier-
owned equipment);
i) Production-related software verification used for product and process control
(including software installed on employee-owned equipment, Cummins-owned
equipment, or on-site supplier-owned equipment).

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No Specific Requirement The Supplier’s internal laboratory facility shall have a defined scope that includes
its capability to perform the required inspection, test, or calibration services. This
laboratory scope shall be included in the quality management system
documentation. The laboratory shall specify and implement, as a minimum,
requirements for:
a) Adequacy of the laboratory technical procedures;
b) Competency of the laboratory personnel;
c) Testing of the product;
d) Capability to perform these services correctly, traceable to the relevant process
standard (such as ASTM, EN, etc.); when no national or international standard(s)
is available, the Supplier shall define and implement a methodology to verify
measurement system capability;
e) Cummins requirements, if any;
f) Review of the related records.
NOTE: Third-party accreditation to ISO/IEC 17025 (or equivalent) may be used to
demonstrate the Supplier’s in-house laboratory conformity to this requirement.

No Specific Requirement External Laboratory

External/commercial/independent laboratory facilities used for inspection, test, or
calibration services by the Supplier shall have a defined laboratory scope that
includes the capability to perform the required inspection, test, or calibration, and
either:
– The laboratory shall be accredited to ISO/IEC 17025 or national equivalent and
include the relevant inspection, test, or calibration service in the scope of the
accreditation (certificate); the certificate of calibration or test report shall include
the mark of a national accreditation body; or
– There shall be evidence that the external laboratory is acceptable to the
customer.
NOTE: Such evidence may be demonstrated by customer assessment, for
example, or by Cummins-approved second-party assessment that the laboratory
meets the intent of ISO/IEC 17025 or national equivalent. The second-party
assessment may be performed by the organization assessing the laboratory using
a Cummins-approved method of assessment.
Calibration services may be performed by the equipment manufacturer when a
qualified laboratory is not available for a given piece of equipment. In such cases,
the organization shall ensure that the requirements listed in sub-section Internal
Laboratory have been met.
Use of calibration services, other than by qualified (or Cummins accepted)
laboratories, may be subject to government regulatory confirmation, if required.

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No Specific Requirement Competence--on-the-job training
Each location shall have a sufficient number of trained individuals such that
computer applications necessary for direct support of Cummins, Inc.
manufacturing can be accessed during scheduled Cummins, Inc. operating times,
and other applications can be regularly accessed during normal business hours.
The specific computer applications required will vary with the scope of an
organization site’s operations. For manufacturing sites, the required quality
applications include, but are not limited to:
• SCAR worksheet
• iSCM (APQP, PPAP, SCR & SR)
• CQMS (APQP, PPAP, SCR, SR, MNC, & SCAR)
• Supplier Portal
NOTE: Cummins, Inc. SQIEs have Supplier Training available to suppliers as
needed. Contact your SQIE for more information.

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No Specific Requirement The supplier shall appoint a ‘quality contact’.

No Specific Requirement Refer record retention

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Records of production part approval are to be maintained for the length of time that the Cummins supplier hanbook point L1. Record retention:
part is active plus one calendar year. The same is also applicable for master sample. The supplier shall maintain PPAP records for the life of the product plus one year.
Supplier inspection and test records shall be maintained for three years minimum
or as directed by your SQIE.

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No Specific Requirement Customer Communication (8.2.1)
The organization shall establish a connection for electronic communication with
Cummins, Inc. through iSCM and/or Cummins Supplier Portal. Supplier shall
ensure that contact information in all Cummins Electronic Systems is current. This
update is required twice yearly at a minimum. (i.e., SIM, iSCM, Cummins Supplier
Portal)
The supplier shall have the ability to communicate electronically with Cummins to
address APQP, PPAP, SCAR, MNC, Source Release, RFQ, Scorecard, Survey, and
Supplier Change Requests.
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No Specific Requirement Review of the Requirements for Products and Services (8.2.3)
Cummins Inc. New Product Introduction Process, known as Value Package
Introduction (VPI), contains some Cummins specific requirements not explicitly
defined in APQP. Suppliers shall complete these VPI specific requirements are part
of APQP. Customer-designated special characteristics
Initial Process Studies shall be completed according to the table below and
documented in the Initial Process Study section of PPAP.
• The Initial Process Study shall conform to the AIAG PPAP and SPC manual.
Long Term Process Studies (On-going SPC analysis) shall be completed according
to the table below and provided to CMI upon request.
• The long term process study shall conform to the AIAG SPC manual.
• Determine Capability Index (Cpk) or Performance Index (Ppk) for the long term
process study. While statistical studies are specified on special characteristics, this
does not mean that the other characteristics on Cummins Engineering drawings
may be ignored. All characteristics must meet specification and it is in the
supplier’s best interest to understand their capability on ALL features. All
Significant Minor (A.K.A. Six Sigma characteristic) are to be studied using a
minimum 30 piece sample and must demonstrate a capability or performance
index of 1.0. Six Sigma Characteristics must also have a control plan item
assigned to demonstrate conformance to specification over time.
In addition to the Special Characteristics called out on the drawing, the Cummins
SQIE may specify additional characteristics for process control purposes.
The organization may develop its own special characteristics symbols for internal
use. If organization specific special characteristics are developed, the organization
shall document the equivalence of the internal symbols with Cummins symbols
and reference the equivalence when the organization uses internal symbols in its
communications with Cummins.

Labels and Direct Part Marking

Suppliers must familiarize themselves with CES18287, other applicable Cummins
engineering standards as well as any industry standard documents referenced
within them. Additionally, Suppliers must have traceability of Product Safety
Characteristics identified by Cummins or by the

Supplier. Suppliers must ensure 100% readability by the receiving Cummins

Plant(s) during APQP and PPAP, and that they have traceability of each
component within their facility’s database. Suppliers are required to 100% verify
bar codes for readability on all production product. It is recommended that
individual bar codes be verified at packaging to failsafe part count and shipping
labels. Part marking and verification of readability will be part of the PPAP process.
Part markings that are unreadable or missing when parts are received at a
Cummins plant will be handled as non-conforming material.
Plant(s) during APQP and PPAP, and that they have traceability of each
component within their facility’s database. Suppliers are required to 100% verify
bar codes for readability on all production product. It is recommended that
individual bar codes be verified at packaging to failsafe part count and shipping
labels. Part marking and verification of readability will be part of the PPAP process.
Part markings that are unreadable or missing when parts are received at a
No Specific Requirement Cummins plant will be handled as non-conforming material.

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No Specific Requirement Each supplier participating in a New Product Introduction (VPI) project must be
able to provide evidence of meeting the Cummins APQP checklist requirements for
their component. APQP is applicable to VPI components, the revision of existing
product designs, and to source changes (moving a component from one supplier
to another). Some APQP elements need not be re-developed in every case. If the
supplier and the Cummins SQIE determine that an APQP element is not affected
by the change, no action is required other than documenting the consideration. If
an element is affected by the change, prior work is updated accordingly.
The Cummins SQIE will engage a supplier for APQP activity with required task
completion dates at the appropriate time in the Product/Process development
cycle.
Cummins requires suppliers with projects deemed as high risk to participate in the
Cummins Safe Launch process. This may apply to new components, changes from
one supplier to another, and for some component design or process changes.
Suppliers expected to complete this activity will be notified by their Cummins
SQIE. Safe Launch includes but is not limited to:
Production Capability Certification (PCC Run) – test of capacity and quality run by
the supplier with Cummins personnel present. Similar to “run at rate”.
Source Release – a process for ensuring non-PPAP approved parts meet quality
requirements
Safe Launch Control Plan – detailed plan for increased inspection frequencies
during the safe launch timeframe.
Suppliers are required to use Cummins Electronic systems for submission of APQP,
PPAP, and Source Release documentation. Documentation submission
requirements will be defined by the Cummins SQIE and may vary by business
unit.
Cummins has developed a formal APQP review process. This review process
brings the supplier’s management; Cummins plant management, engineering,
purchasing, and others together at different stages of the APQP process to review
status of APQP activities associated with a specific component. Cummins suppliers
shall participate in Cummins formal APQP process as requested by their

The requirement of APQP is crucial to the development of new products and

processes, the revision of existing products and processes, and moving
components from one supplier to another. Its single most important tenet is that
quality does not just happen, it must be planned. Quality must be in the design of
the product as well as in the development of the process that will produce the
product. Three key outputs of APQP are the Process Failure Mode and Effects
Analysis, Control Plan, and PPAP. Suppliers are expected to be knowledgeable of
and follow the APQP process.
As a supplier to Cummins, awareness of at least two APQP processes happen in
conjunction with one another:
No Specific Requirement a.
NoCummins initiates an APQP process internally in the development of new
Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Cummins supplier handbook Q3. Development of Products with Embedded
Software:
IATF 16949 certified Suppliers of components with embedded software
Automotive product-related software or automotive products with embedded
software shall be in conformance with IATF 16949 8.3.2.3. Cummins recommends
the use of Capability Maturity Model Integration (CMMI), Automotive SPICE or
equivalent. Evidence of compliance will be submitted as an APQP element, when
applicable.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement
No Specific Requirement Design and Development Controls (8.3.4)
Supplier will support the Cummins DVP&R process. In order to drive reliability into
the product upfront, Supplier commits to have zero open FIRG incidents at the
start of production as specified in the program schedule and/or quality issues at
component introduction. Products quoted based on technical profiles or based on
SUPPLIER application guidelines and limits must be included with the quote along
with the testing parameters that established the application guidelines must be
included in order to determine technical compatibility with Cummins applications
and technical profile. Additional testing to meet Cummins technical validation
requirements is the responsibility of SUPPLIER. SUPPLIER must document any
critical parameters and specifications, including product safety characteristics not
listed on the technical profile. SUPPLIER and CUMMINS will verify acceptance of
the technical requirements by signing the technical profile document and if
applicable the application guideline document prior to PPAP and production.

Product Approval Process

The organization shall comply with Production Part Approval Process (PPAP),
current edition and Service Production Part Approval Process (Service PPAP),
current edition.
Cummins suppliers must have the ability to submit PPAP documentation
electronically. Documentation submission requirements will be defined by the
Cummins SQIE.
Cummins must be notified of pending changes using the Cummins Supplier
Change Request Process (SCR). If a Product Safety characteristic is involved, this
must be noted on the Cummins Supplier Change Request. Informed decisions are
then made on the impact of the changes and whether a full, partial, or no PPAP
submission is required. It is the supplier’s responsibility to ensure that Cummins
has approved the PPAP before any parts are shipped to a manufacturing location.
NOTE 1: Some Cummins locations may batch certain changes and approve on a
calendar basis (e.g., twice yearly).
Cummins-Specific PPAP Information:
a. Where the PPAP manual states “…contact the customer” or “…contact the
customer product approval activity” that person is the SQIE at Cummins.
b. The Submission Level (1 through 5) required by Cummins is defined by the
SQIE for each PPAP submission.
c. Both, production and service parts shall meet all Cummins engineering design
record and specification requirements.
i. Service parts samples submitted as part of PPAP must be run from tooling
intended for service volume production. All service PPAP submissions shall provide
evidence of a packaging approval with the submission.
Note 1: A Level 5 submission may include supplier site activity such as a
Process/Product Audit or other means of verifying the capability of the production
No Specific Requirement system in addition
No Specific to the onsite completion of the PPAP
Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement Suppliers shall use Cummins Inc. Source Release process for prototype parts.
MPPAP requirements (Extract)
Suppliers are required to obtain Production Part Approval prior to the first
production shipment of product in the following situations:
1. A new part or product (i.e. a specific part, material or colour not previously supplied).
2. Development of new supplier for existing part.
3. Change in manufacturing site.
4. Product modified by an engineering change (ECN) for specifications or
materials.
5. Process change (PCRN).
6. Significant change in production rate. Re-PPAP feasibility to be checked based on
changes in process parameters & inspection sample size -frequency
7. Any other situation as mentioned in Customer Notification.

Supplier should conduct production run at the production site using the production
tooling, gauging, process, material, operations, environment and process setting like feed
/ speed / cycle time / pressure / temperature & with regular workmen. This also means
that the production run should conform to the Process Flow Diagram, Control Plan and
SOP requirements.

22 requirements specified in MPPAP manual

Level 3 is the default level for all parts other than proprietary parts.
The supplier should retain the master sample as long as the part is active plus one
calendar year or until a new master sample is produced for the same M & M part number
and approval is taken.

Initial process studies: preliminary process capability index (Ppk)

greater than & equal 2.0 in production trial run & on-going process capability index. Ppk
study should be based on 100 (minimum 50) consecutively produced parts

No Specific Requirement Cummins supplier handbook point P: Design and Development Outputs (8.3.5)
Manufacturing process design output. PFMEAs and control plans are required for
prototype, pre-launch, and production phases.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Control of Externally Provided Processes, Products and Services (8.4)
Cummins requires that Cummins Tier 1 suppliers allow and facilitate Cummins
visits and audits of Sub-Tier suppliers as requested.
Suppliers are encouraged to apply the principles outlined in “CQI-19 AIAG Sub-
Tier Supplier Management process guidelines” to all their sub-tier suppliers.
Cummins reserves the right to require that a supplier apply the principles outlined
in CQI-19 to address issues identified in the supplier’s sub-tier supplier
development and management process.
General
Quotation Criteria - When submitting a quotation, the following criteria shall be
addressed:
Clear understanding and agreement on the product specifications, requirements
and applications. Supplier is encouraged to seek participation in the Drawing
Quality Review (DQR) process to ensure full understanding of Cummins Print
requirements.
When an Enhanced RFQ is requested, the quote should include a product/process
design with a Zero Defect Mentality mindset. Contact you Sourcing Manager or
SQIE for more information.
Internal capabilities sufficient to manufacture products at consistent, acceptable,
quality and performance levels.
Recommendation of any changes that will prove advantageous to product quality,
performance, price and delivery.
Notice of any exceptions to be included with quotation bid.
Any tooling, gauges etc. provided by Cummins shall be controlled within the
suppliers system (e.g. for calibration requirements)

No Specific Requirement No Specific Requirement

No Specific Requirement Supplier Selection Process
For potential suppliers to Cummins, Inc. the selection team from Cummins, Inc.
will assess the supplier against specific requirements including Quality, Total Cost
of Ownership (TCO), Technical, Regulatory, financial, Warranty Commitment,
Target Cost and Future Cost Reductions.
Potential suppliers will be asked to complete a Supplier Selection Assessment as a
prelude to a site visit by the selection team. During the site visit, qualified
members of the selection team will perform a Supplier Selection Assessment
and/or a Focused Quality System Assessment. The selection team will be
comprised of representatives of engineering, manufacturing, purchasing, quality
and finance. The Supplier Selection Assessment looks at many of the supplier’s
systems in detail with the objective of determining which areas need to be
improved prior to launching a Cummins, Inc. product at that facility. The Focused
Quality System Assessment, rather than looking for the presence of an entire
quality system, focuses on the effective implementation of the system and looks
for evidence of routine execution.
Process/Product audits of similar products being run on the process proposed for
Cummins Inc. may also be included as part of the Supplier Selection Process.
Suppliers which sell $5 million or more to Cummins Inc. in a country of import
shall have a resident technical resource to handle sorting, screening, and issue
resolution. Suppliers which sell less than $5 million to Cummins in a country of
import shall use a third party for these types of activities at the supplier expense.
Special arrangements can be made between the Cummins, Inc. plant and the
supplier at the request of the Cummins Inc. plant or Cummins Inc. purchasing. In
some cases, suppliers which sell less than $5 million to Cummins Inc. in a country
of import may be required to have a resident technical resource.

Development of Products with Embedded Software

IATF 16949 certified Suppliers of components with embedded software
Automotive product-related software or automotive products with embedded
software shall be in conformance with IATF 16949 8.3.2.3. Cummins recommends
the use of Capability Maturity Model Integration (CMMI), Automotive SPICE or
equivalent. Evidence of compliance will be submitted as an APQP element, when
applicable.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Automotive product-related software or automotive products with embedded

software shall be in conformance with IATF 16949 8.3.2.3. Cummins recommends
the use of Capability Maturity Model Integration (CMMI), Automotive SPICE or
equivalent. Evidence of compliance will be submitted as an APQP element, when
applicable.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Cascade and communicate all Cummins, Inc. quality requirements throughout the
organization’s supply chain.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement The control plan shall include:
a) First off/last off part validation, as applicable
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

Supplier shall ensure as per defined requirement that individual packaging bins / trolleys Preservation (8.5.4)
are designed & developed for shipment or transfer to Mahindra plants. Any specific Preservation and Packaging are critical elements that aid in protection of our
modifications resulting from the change if any should be addressed. The packaging bins / products from point of origin to the final point of use. All products are required to
trolley design must ensure that the product performance and characteristics will remain have a shelf life protection from corrosion and deterioration at a minimum of 6
unchanged till it reaches to plant. months for Production products and minimum of 18 months for Aftermarket-
Service products as per Cummins Inc. packaging standards.
The supplier is expected to review and shall meet the Cummins Inc. packaging
requirements as defined in the Cummins packaging standards “Global Packaging
Standard-Production Parts” and/or “Global Packaging Standard-New and ReCon
Parts”. The Supplier shall provide all packaging proposals in alignment with these
standards to the Cummins Sourcing Manager using the Cummins Packaging Data
Sheet (PDS) Template. The supplier is to complete a PDS for each individual part
number and it shall be submitted with the request for quote for Cummins internal
review and approval. For individual parts with multiple packaging design solutions;
a PDS must be approved for each (e.g. Expendable, Returnable and Aftermarket).
Additionally, the PDS approval is required prior to shipment of production and/or
aftermarket-service product to a CMI facility. Detailed requirements of the PDS
template are covered in the Cummins Packaging Standards. All packaging design
change proposals for existing product require the Supplier resubmission of a PDS
to the Sourcing Manager for Cummins internal review and approval.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
Subsequent to obtaining approval from M&M, if in case of design change in the Control of Changes (8.5.6)
component / assembly level or a process change, the supplier is required to notify the Process/ Product Supplier Change Control (including Embedded Software
same to the concerned M&M approving authority. The changed situation would be changes)
reviewed and if required, Supplier shall be asked to submit a fresh Part Submission a. The supplier shall notify the Cummins SQIE of any proposed process or product
Warrant. changes as described in the AIAG PPAP manual.
b. The supplier shall obtain approval for all process and product change requests
from their Cummins SQIE prior to implementing a change. Proposed changes shall
be approved using the Cummins Supplier Change Request Process (SCR).
Informed decisions are then made on the impact of the changes and whether a
full, partial, or no PPAP submission is required. It is the supplier’s responsibility to
ensure that Cummins has approved the PPAP before any parts are shipped to a
manufacturing location.
c. Changes to the suppliers direct material supply base require the supplier to
submit a Supplier Change Request (SCR). Upon approval of the Supplier Change
Request the supplier may be required to submit a PPAP by the Cummins SQIE.
d. The supplier shall gain approval from the Cummins SQIE using the Supplier
Change Request process when any alternate process is to be used.
i. NOTE: An alternate process is one that is different than the process used during
PPAP
ii. NOTE: Rework or Salvage processes not approved during the initial PPAP
process shall be treated as a process change.
e. Products produced on alternate processes may be subject to increased
inspection and test requirements as agreed with the SQIE.
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Annual Layout
To ensure continuing conformance to all Cummins Inc. requirements, an annual
layout, including all sub-components, shall be performed when requested.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Customer Notification (8.7.1)
The organization’s Non-Conforming Material Process shall include immediate
customer notification in the event that nonconforming product may have shipped.
• If a supplier notifies CMI that nonconforming product has been shipped, the
MNC will charge the supplier with the actual # of defects that were already used
in production. The unused parts will not count as defects toward the supplier.
• Nonconforming products which have an approved waiver/deviation resulting
from pro-active communication from the supplier (prior to use of any parts by CMI
plant) will not count as defects toward the supplier.
• Nonconforming products which have an approved waiver/deviation NOT
resulting from pro-active communication from the supplier will count as defects
toward the supplier.
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
Performance Evaluation (9)
Cummins will monitor the quality performance of the supplier primarily through
In-plant and OEM Defect PPM measures. Cummins will report these measures to
the supplier. Zero PPM is the goal for both measures. Failure to meet this goal
may result in corrective action activity as described in the Non-Conforming
Material section of this document. Cummins will set interim goals (targets) for
suppliers who cannot immediately meet the zero defect goal. These targets will be
reduced each year with the expectation that these suppliers will eventually meet
the zero PPM goal.
Cummins will monitor the reliability performance of selected suppliers'
components (especially suppliers with design control) through Warranty claims
per engine, service campaign and temporary repair practice. Cummins will report
these measures to the supplier.
a. The Suppliers must have the ability to submit Failure investigation
electronically.
b. The Supplier shall monitor and participate to reduce field warranty claims. It is
important to control problem resolution time in their processes.
c. In the event a reliability/product safety problem results in a recall, the supplier
shall work with Cummins to urgently remediate the problem.

No Specific Requirement Monitoring, Measurement, Analysis and Evaluation (9.1)

The supplier shall allow on-site verification activities as required by Cummins and
Cummins’ customers.
The supplier shall allow on-site Process/Product Audits and System Assessments
when requested by Cummins.
The supplier shall allow and facilitate visits by Cummins personnel to their
suppliers for purposes of audit, PPAP review, APQP review, review of corrective
action effectiveness, or any other reason related to the quality of components
produced for Cummins.
The supplier shall allow direct communication with their manufacturing facility as
well as any sub-tier supplier’s manufacturing facilities on quality issues.
No Specific Requirement No Specific Requirement
(Cpk) greater than & equal 1.67 in regular production. Monitoring and Measurement of Manufacturing Processes
The supplier shall maintain routine quality data (e.g., quality indices updates,
When the estimated production volume is less than 500 numbers, in case of Export reliability test results, any data collection defined in control plans, etc.) that are
orders, the Supplier shall document in their control plan to perform 100% inspection and required by the Cummins Engineering drawing, agreed to in the APQP/PPAP
record the results or conduct an initial process capability study with minimum 30 elements of the Cycle, or established as part of a corrective action plan. Such data
production parts and maintain SPC control charts of the characteristics during production. shall be made available to Cummins upon request and provided within one (1)
In this case Pp & Ppk targets to be revised to equal to or greater than 2.15 business day of such request.
Supplier shall perform and maintain results for any required Functional Reliability
Verification (FRV) testing that is identified on the component drawing by a
functional reliability specification. Functional Reliability verification is intended to
be ongoing and conducted by the supplier during the life of a component or sub-
assembly to assess the ongoing capability of the component or sub-assembly to
meet a functional reliability specification. Possible verification methods include but
are not limited to: Fail-safing, in-process checks, process control, dimensional
checks, and test-to-failure audit.
No Specific Requirement No Specific Requirement

No Specific Requirement a. Suppliers are encouraged to adopt Six Sigma as a formal improvement process,
particularly when aimed at improving quality or reducing costs.
b. Suppliers shall use statistical tools for managing and improving processes
wherever possible. Statistical tools may include but are not limited to Statistical
Process Control.
No Specific Requirement Supplier Relationship Management Scorecard
Cummins, Inc. Purchasing and Supplier Quality use the Supplier Balanced
Scorecard to evaluate customer satisfaction with selected external production and
service suppliers. Cummins, Inc. stores, analyzes and reports organization
performance data collected from other sources within Cummins, Inc.
The Supplier Relationship Management Scorecard reports performance in five
categories:
• Quality Management
• End Customer Quality
• Delivery
• Technology & Innovation
• Sustainability Controlled Shipping
Cummins Inc. may, at its discretion, require the organization to participate in
Controlled Shipping/Consequential Management activities. This may include third
party containment/component certification processes that are provided at the
supplier’s expense. These actions will be implemented at the direction of Cummins
Inc. Purchasing Supplier Quality Leader. These activities will be monitored at a
senior level at Cummins, Inc. and require the active participation of senior
management at the supplier.
If a supplier is placed on Controlled Shipping Level 2, they are required to notify
their Certification Registrar as part of the containment process.
No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement Internal Audit (9.2) Quality management system audit
Supplier shall conduct an Internal Quality Management Systems audit at least
once per year. Manufacturing process audit
a. Layered Process Audits
i. All Suppliers should implement a Layered Process Audit program to promote
continuous improvement within their facility.
ii. Suppliers to the Columbus Midrange Engine Plant are required to implement an
LPA program that includes Process Control Audits as well as Error Proofing
Verification audits. Supplies should refer to AIAG CQI-8: Layered Process Audits
for guidance on establishing an LPA program.
b. Special Process Assessments
• CQI-9 Special Process: Heat Treat System Assessment, latest edition
• CQI-11 Special Process: Plating System Assessment, latest edition
• CQI-12 Special Process: Coating System Assessment, latest edition
• CQI-15 Special Process: Welding System Assessment, latest edition
• CQI-17 Special Process: Soldering System Assessment, latest edition
• CQI-23 Special Process: Molding System Assessment, latest edition
• CQI-27 Special Process: Casting System Assessment, latest edition
i. Suppliers shall complete assessments for all applicable, Special Process
ii. This requirement shall apply to any sub-tier suppliers that perform these
processes for the direct supplier to Cummins Inc.
iii. Evaluation shall be self-assessment. The self-assessment shall be conducted
annually at a minimum, but may be repeated as needed. The self-assessment
may be conducted as part of the supplier’s internal quality audit or conducted
separately. The self-assessments are to be retained on-site, but made available
for review by Cummins Inc. upon request.
iv. Suppliers to certain Businesses at Cummins Inc. may be required to comply
with ISO-3834 Standard Quality Requirements for Welds. Where customers
require this level of weld control, the Cummins Inc. SQIE will notify the supplier of
the expectation. Use of this standard supersedes the requirement for AIAG CQI-
15.

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement

No Specific Requirement No Specific Requirement
No Specific Requirement Nonconformity and Corrective Action (10.2)
Suppliers are required to use the Cummins Quality Management System (CQMS)
a) In the event that quality problems are experienced with product provided by a
supplier, Cummins’ corrective action process may escalate through several phases
depending on the adequacy and timeliness of the supplier’s response and the
effectiveness of the actions taken. It may also go straight from problem
notification to Senior Management depending on severity and urgency.
Note 1: Reworked or repaired material is considered non-conforming unless prior
approval of these processes was granted by the Cummins SQIE and appropriate
Cummins Engineering resources.
b) Cummins will notify the supplier when a nonconformance has occurred. At the
time of notification, the supplier will also be advised if a corrective action response
is required.
i. When an MNC is issued to the supplier, it is Cummins’ expectation that the
supplier takes immediate action to contain any additional defects. The supplier is
expected to take appropriate corrective action to prevent additional defects from
being produced or reaching any Cummins site. Cummins SQIE’s may check
supplier’s actions taken as part of the Cummins Process/Product audit process.
ii. The MNC gives the supplier the opportunity to document actions taken and
Cummins suggests that the supplier document these actions. In some cases, a
Cummins Plant may request that the supplier respond to an MNC. If response is
requested, the supplier is expected to comply.
c) If a SCAR (Supplier Corrective Action Request) is issued, the following must
take place:
i. Suppliers are expected to submit evidence of problem solving tools used during
root cause investigation of the issue. Suppliers are expected to use the Cummins
SCAR worksheet to aid in the investigation process and ensure a thorough
corrective action response is complete. The SCAR worksheet must be submitted
as evidence in the Cummins Quality Management System (CQMS).
ii. Supplier is required to take immediate containment actions to enable Cummins
facilities to operate and protect Cummins from further non-conforming product.
i. The supplier shall submit documented containment results within 24 hours of
notification of non-conformity
ii. The supplier’s containment process must cover all possible areas of potential
defects including:
1. Supplier’s manufacturing location
2. All potential transportation links (e.g. supplier to ship, ship to warehouse,
warehouse to Cummins, etc.)
3. All warehousing operations from the supplier through the Cummins facility
4. The notifying Cummins facility and any other potential Cummins facilities
as evidence in the Cummins Quality Management System (CQMS).
ii. Supplier is required to take immediate containment actions to enable Cummins
facilities to operate and protect Cummins from further non-conforming product.
i. The supplier shall submit documented containment results within 24 hours of
notification of non-conformity
ii. The supplier’s containment process must cover all possible areas of potential
defects including:
1. Supplier’s manufacturing location
2. All potential transportation links (e.g. supplier to ship, ship to warehouse,
warehouse to Cummins, etc.)
3. All warehousing operations from the supplier through the Cummins facility
4. The notifying Cummins facility and any other potential Cummins facilities
5. The AIAG inventory containment form shall be submitted to Cummins Inc to
document containment has taken place at all possible inventory locations.
iii. Root cause shall be identified and short term action in place within 48 hours of
finding the defect. If a part is “required” to complete the root cause analysis, the
48 hours begins when the supplier receives the part. However, all attempts shall
be made to complete the root cause analysis without having component physically
in hand. Photographs, measurement data, and defect descriptions are usually
sufficient for this purpose.
iv. Long term action plan submitted within 10 working days of receipt of SCAR
v. Long term action plan in place within 30 days of finding the defect. Past Due
SCARs will be escalated to Cummins management for further review.
No Specific Requirement i. Timeliness of suppliers’ responses to these due dates are measured and
included in the Supplier Balanced Scorecard.
vi. All SCAR responses will be reviewed by the Cummins SQIE for adequacy.
i. Cummins reserves the right to institute third party sorting/certification of
product at the Suppliers location if a Supplier Corrective Action is inadequate or in
the case of a recurring defect. Any charges accrued associated with the activities
conducted by the Third party will be at the Supplier’s expense.
vii. PFMEA and Control Plan are to be reviewed and relevant revisions made as
part of the problem solving process. The expectation is that these documents will
be submitted as part of the completed SCAR response. Proprietary process
documentation requires evidence that the review has been completed by the
Cummins SQIE. Process changes as a result of the problem solving process are
expected to be submitted to Cummins for review using the SCR process and
PPAPs completed where required.
d) Repetitive nonconformance, adverse quality trends, or other issues may
escalate the corrective action process to include, but not be limited to:
i. Formal Process/Product Audit of the supplier’s facility by Cummins Supplier
Quality, looking for systemic issues
ii. Focused problem solving activity with agreed measures and targets and routine
progress reporting into Cummins
iii. Submission of capability information on selected characteristics
iv. Submission of Paynter Charts tracking defects and Step 3 and Step 6 action
No Specific Requirement monthly
v. Participation in 6 Sigma projects
vi. Participation in a formal Cummins Supplier Improvement Process program
(SIP)
vii. Participation in Controlled Shipping/Consequential Management activities,
which may include Third Party containment/component certification processes
that are provided at supplier’s expense. These actions will be implemented at the
direction of Cummins Purchasing Supplier Quality Leader
These activities will be monitored at a senior level at Cummins and require the
active participation of senior management at the supplier.
e) The final escalation of the corrective action process, if required, is a meeting of
the supplier’s highest management with appropriate Cummins’ Plant, Purchasing
or Corporate senior management. The supplier must be prepared at this meeting
to commit resources to resolve the issues. Failure to follow through with these
When a warranty agreement exists with Cummins or when notified by the SM or
SQIE, the organization shall implement a warranty management process. The
organization shall include in the process a method for warranty parts analysis,
including NTF (no trouble found). (CQI-14: Automotive Warranty Management: A
Guideline for Industry Best Practice).

No Specific Requirement No specific requirement

No Specific Requirement No Specific Requirement

D. Cummins Supplier Code of Conduct:
Cummins values its global supply partners who share the Company's
commitment to quality and value, and who operate under a philosophy
that focuses on integrity and "doing the right thing."
To support that philosophy, Cummins has a Code of Conduct for our
employees and a Supplier Code of Conduct specifically for its supply
base worldwide. The supplier code outlines the Company's expectations
that all suppliers will comply with certain business and ethical standards
and to the laws of their respective countries, all other applicable laws,
rules and regulations. The code applies to all businesses that produce
goods or provide services for Cummins and any subsidiaries, joint
ventures, divisions or affiliates.
Compliance with the principles of the Cummins Supplier Code of
Conduct is required to do business with Cummins. Cummins requires a
verification response from all suppliers before they are added to the
supplier database. Since Cummins does business around the world, it
has translated the code and response letter into 14 languages so that the
intentions and expectations are clear.
For more information on the Supplier Code of Conduct or to complete the
Supplier Code of Conduct Response Letter, visit the Cummins Supplier
Portal www.supplier.cummins.com under the heading Corporate
Responsibility.
1.QMS certificate Registration Verification:
Organizations shall submit proof of registration by sending a digital copy
(PDF, JPG, etc) of their current registration certification to their SQIE
contact. The email should identify a contact for certification issues at this
site, providing contact information for the contact.
Notification of ISO 9001:2015 and/or IATF 16949:2016 Registration
Status Change
Organizations shall notify Cummins, Inc. of any change in the ISO
9001:2015 and/or IATF 16949 registration status via email to their SQIE
contact. Such changes include, but are not limited to:
 Initial certification
 Recertification
 Transfer to certification to a new Certification Body
 Certificate withdrawal
 Certificate cancellation without replacement.
VOLVO Group - SQAM 2019; 5th Edition Surin Automotive - SUPPLIER
DEVELOPMENT
MANUAL, Rev.no: 1 dt
02.04.18
No Specific Requirement
No Specific Requirement

No Specific Requirement

3.1 QUALITY MANAGEMENT SYSTEM REQUIREMENT Suppliers shall establish a quality system as per
All potential suppliers must have a quality system compliant to ISO 9001 as a minimum. Suppliers to the truck brands are requirements given in this manual. SAPL will carry
required to have a Quality Management System approved to a third party registrar meeting the requirements of IATF 16949. out periodical assessments of the suppliers quality
Suppliers are required to have an Environmental Management system compliant to ISO 14001 in place, functioning and also system to verify conformance as per the manual.
approved by a third party registrar. The suppliers shall take a timely corrective action on
the discrepancies reported for subsequent
POTENTIAL SUPPLIERS MUST COMPLETE THE VOLVO SEM WITH AN “APPROVED” SCORE TO BE CONSIDERED FOR THE verification by SAPL.
AWARD OF VOLVO BUSINESS
All suppliers shall seek certification to ISO
7.5 Volvo Group Trucks requires that all sub-tier suppliers are third party registered to ISO 9001. Volvo Group strongly 9001:2015
encourages our suppliers to support IATF 16949 certification of their sub-tier suppliers. Suppliers have full responsibility for
the quality assurance and corrective action of products delivered from sub-tier suppliers for use in Volvo Group products.
VOLVO MUST BE NOTIFIED IMMEDIATELY IN THE EVENT A NON-CONFORMANCE OR POTENTIAL CUSTOMER RISK IS
IDENTIFIED

1.5 SAFETY MANAGEMENT AUDIT

Suppliers of safety critical components or assemblies must have safety system requirements embedded in their quality
management system. Suppliers must be able to demonstrate they have the organization, systems, processes, and
competencies to manage the Volvo requirements related to safety critical features.

Volvo has developed and uses a technical audit to evaluate the Safety Management Systems of suppliers of a safety part or
parts. This audit evaluates the presence of an adequate management system and the capabilities to properly manage safety
parts through-out the production process.
A supplier that has a safety part without a critical characteristic will be required to complete a Short Safety Management
Audit. A supplier who is supplying a part that has been identified as a safety part and contains a special characteristic will be
required to participate in the Safety Management Audit (SMA). The Safety Management Audit (SMA) will be conducted during
the sourcing process and potential suppliers are required to achieve a passing score prior to the award of business.

The target score for the Safety Management Audit is 90%. Suppliers that achieve a passing score above 60% but below 90%
will be considered conditionally approved. Suppliers that are conditionally approved are required to develop a detailed action
plan with a timeline for achieving the 90% score. This plan must address all audit findings. After achieving a 90% score,
suppliers are re-audited periodically to ensure that the SMA systems and processes impacting quality remain in place. Volvo
Group reserves the right to conduct a Safety Management Audit at any time following a major quality spill, recall or when a
safety risk is identified.
With regard to dimensional, material, test and functional requirements for product features identified as safety critical [1] or
[CC], the following requirements apply and supersede the general requirements. Safety critical characteristics must be clearly
identified throughout the manufacturing process and in all associated documentation such as process FMEA, control plans and
work instructions.
1.4.2 Capability requirements for parts identified with [CC], [1] characteristics are described below:

1.4.4 In addition to the demands detailed in the table above, the supplier must apply the following requirements on the shop
floor;
# Identification of the operations which have a direct or indirect influence on a safety feature
# Clear signs or placards defining the characteristic and potential effects of non-compliance
# Training status and authorization for all operators working on safety feature related workstation
# Rework of EE components is not allowed*
* This requirement does not apply to remanufactured electrical or electronic components.

NO DEVIATIONS ARE ALLOWED ON SAFETY CRITICAL FEATURES

No Specific Requirement

No Specific Requirement
No Specific Requirement
The Sustainability audit is an on-site evaluation of supplier’s capability to meet Volvo code of conduct. The audit is designated
to analyze the risk of supplier’s activity with regards to people, planet & profit.

No Specific Requirement

No Specific Requirement
7.8 LABORATORY REQUIREMENTS
7.8.1 Compliance to ISO/IEC 17025 may be used to demonstrate the organization’s in-house laboratory conformity to this
requirement, but it is not mandatory. Compliance to ISO/IEC 17025 is a requirement for suppliers delivering Electrical
Electronic (EE) components.
No Specific Requirement
SAFETY MANAGEMENT AUDIT
The Index audit
The Sustainability audit is an on-site evaluation of supplier’s capability to meet Volvo code of conduct. The audit is designated
to analyze the risk of supplier’s activity with regards to people, planet & profit.
1.6.4 The minimum requirement for storage of information related to safety critical parts is 10 years after product phase-out
or end of production. Any additional applicable legal requirements related to storage must be maintained.
3.5.1 The Volvo SEM has been developed based on a history of working with suppliers, lessons learned and “Best in Class”
practices. This audit normally takes two to three days, depending on the size of the organization and is required for each
supplier manufacturing location that will be shipping to a Volvo site.
3.5.2 Suppliers must achieve a minimum score of 60% and achieve an acceptable score on all “Stopping Parameters”. The
SEM audit is based on the evaluation of 11 criteria:
# Company Profile, # Management, # Environment Quality, # Logistics, # After-market
# Casting (Grey Iron, Ductile, Ferrous, Aluminium), # Metallurgy (Forging, Heat Treatment)
# Polymers (Plastic and Rubber), # Steel Mill, # Wiring Harness, # Competence, # Product development
# Finance, # Productivity, # Sourcing

The Volvo SEM is the primary tool for the evaluation and selection of suppliers. The audit is designed to provide a broad,
overview of the supplier’s organization. The SEM is an on-site face-to-face evaluation of a supplier’s capabilities.
POTENTIAL SUPPLIERS MUST COMPLETE THE VOLVO SEM WITH AN “APPROVED” SCORE TO BE CONSIDERED FOR THE
AWARD OF VOLVO BUSINESS

3.3.1 Volvo realizes that maintaining an effective supplier/customer relationship may require sharing information,
communications, data or technology that is sensitive in nature. Before receiving a Request for Quotation (RFQ), suppliers are
required to sign and return a confidentiality agreement. The supplier shall treat all information and data related to the
business relationship with Volvo in strict confidence and report any intentional or non-intentional breach of confidentiality to
Volvo management. The Confidentiality Agreement template will be sent by the buyer

3.4 Request for Quotation

To be considered for business, suppliers must fully address each section of the RFQ and include all of the requested
supporting documents when responding. This includes, but is not limited to:
 Preliminary Advanced Product Quality Plan (APQP)
 Review of Technical Specification (RTS)
 Statement of Work (if requested)
 Documents needed to support the information in the RFQ response
3.4.2 The quality requirements and targets are highlighted in the quality section of the RFQ. Suppliers are expected to be
able to fulfill all quality requirements. Volvo may audit the evidence related to the fulfillment of these quality requirements. In
the event there are requirements that cannot be fulfilled, suppliers may be required to develop and submit an action plan
with the returned RFQ. Suppliers are responsible for all costs associated with the fulfilment of the quality requirements. Some
of these requirements may require testing at Volvo approved testing facilities. These costs should be included in all RFQ
responses.

4.1 Advanced Product Quality Planning

Volvo Group requires suppliers to use Advanced Product Quality Planning (APQP) as a tool to support process development,
integration and validation. The AIAG publication “Advanced Product Quality Planning (APQP) and Control Plan” should be
used as a reference in developing these plans. Supplier’s plans should include Volvo Group specific requirements.ments.

SUPPLIERS ARE RESPONSIBILE TO DEVELOP AND DRIVE APQP FOR ALL COMPONENTS DELIVERED TO THE VOLVO GROUP
4.3 Key Components
All parts used in the vehicle are important to customer satisfaction and the safe, reliable operation of the final product.
However, there are some parts that require additional attention. At the start of a project, a cross-functional project team
identifies parts that will be subjected to closer control and monitoring. These parts are designated as Key Components. The
Buyer will notify suppliers of parts selected as Key Components and any associated requirements. Suppliers of Key
Components will typically be expected to participate in APQP and joint steering committee reviews during the project.
 Safety critical components
 Regulatory or legal requirements
 Parts with critical characteristics
 Supplier designed products
 Complex parts or components
 Parts that holds a vital function in a system
 High value parts or components
 Expensive or long lead time tooling
 Long lead time parts
 Parts with known or potential quality concerns
 Parts that require extensive verification or validation testing
 Parts with features that cannot be verified prior to use by a customer (unchecked characteristics)
 New technical concepts
Key component selection criteria
4.5.1 Design responsible supplier, suppliers of key component parts and suppliers of parts assessed with a risk by the SQE
are required to report the project status at established intervals during the project development.
As a general rule, these reviews are held prior to the project milestones or drawing revision release. Suppliers should prepare
for these project review meetings by completing or updating the APQP Review Template, their project plan and the project
milestone dates. Suppliers can access the APQP Review information on the supplier portal under the e-Library, Quality,
APQP/PPAP section. The APQP Review Template is divided into sections for design responsible suppliers and those
responsible for production of Volvo designed parts.

6.2 REVIEW OF TECHNICAL SPECIFICATIONS (RTS)

6.2.1 The goal of this process is to ensure suppliers have a complete understanding of the technical requirements of the
product supplied and the capability to meet those requirements. The process is intended to identify potential production
constraints and minimize the need for late design changes or design changes after the PPAP order or Tooling Order has been
placed. In addition, suppliers are encouraged to suggest improvements that would result in reduced costs or improved
quality.

6.2.3 Volvo has developed a unique system for control of technical documentation including the drawing. This system uses
the Part Version Report (PVR) rather than a drawing as the top level document. The PVR contains the part number, drawing
number, current revision data, the applicable Digital Shape Model and references to related technical information. The DSM is
to be considered as part of the technical information defining the part geometry similar to the 2D drawing, technical
regulation, Volvo standards, etc. Compliance to the DSM must be confirmed and demonstrated for the purpose of PPAP
approval unless prior approval and waiver is granted by Volvo Supplier Quality Engineer, reference Volvo Standard 101-0001.

APQP Reviews are formal meetings where Volvo reviews supplier’s project
plan and status. During this meeting, Volvo and supplier jointly confirm that
the project is on track with respect to deadlines and results

6.2.4 The RTS template is included with the RFQ documentation.

The supplier is to complete the RTS compliance matrix and return with the RFQ documentation package. As part of this
review, suppliers must determine if any of the technical areas included in the Index Audit section of this document apply to
their products.
4.5.2 The initial APQP Review meeting (Kick-Off Review) should occur within two to four weeks after the award of business.
The final review is concurrent to the launch of the product. This review is intended to ensure that all open issues are
resolved, that there is adequate capacity to support on-going production needs and a lessons learned has been conducted to
improve future APQP activities.

4.5.3 To support these reviews, Volvo has developed a checklist designed to document the project status at each review. The
information related to the “APQP review” file is available on the supplier portal. Suppliers are responsible to complete and
maintain the information for each review meeting. The completed form will be used by the joint team as the basis for
evaluating the project status.

6.2.6 After the matrix is submitted and reviewed by Volvo, the RTS is signed by Volvo and the supplier. Signing the RTS
signifies agreement by all parties that the Technical Requirements, Volvo Standards and General Specifications applicable to
the part have been received, are understood and are achievable.

6.2.7 The RTS provides a record of specification or production issues discussed during the part launch.
Suppliers shall include a copy of this signed RTS with the PPAP documentation package. This ensures that all issues raised
during the RTS process are properly addressed during the PPAP review.
5.1 Reference
Volvo Group requires its suppliers to follow the Customer Notification and Submission requirements as specified in the AIAG
PPAP Manual that includes but is not limited to:
# Introduction of new components
# Changes to an existing part
# Drawing or specification changes
# Corrections to a prior discrepancy
# Supplier process change
# Material changes or substitutions
# Changes of sub-tier suppliers

VOLVO GROUP REQUIRES PPAP APPROVAL PRIOR TO SHIPMENT OF ANY PRODUCTS FOR USE IN CUSTOMER VEHICLES

5.2 Process
Volvo Group uses a four step release process for new part development:
# A-release: Creation stage, during which parts and documents are created. The purpose of the A-release is to give early part
information to the project organization in order to get feedback regarding the intended new design and/or changes.
# B-release: Verification Stage, with the main purpose of the B-release to secure that the parts can be used to build and
verify prototype products in an early phase of a project.
# C-release: Tooling stage, with the main purpose to release approved parts (and documentation) for orders of series
production tooling and/or manufacturing equipment and for the build of pilot series products. The C-release shall also be used
(even if no tooling is involved) to secure initial sample ordering in good time.
# P-release: Production stage, with the main purpose to communicate in the organization that the concerned part(s) is/are
approved for application and assembly in series production conditions and that the part and engineering documentation
reflect this condition.
6.2 Product Application Agreement
The Product Application Agreement (PAA) is a process intended to ensure that suppliers fully understand and accept the
installation and operating conditions of a supplier developed component.

THE PAA IS MANDATORY FOR KEY COMPONENTS WHERE THE SUPPLIER IS FULLY OR PARTIALLY RESPONSIBLE FOR THE
DEVELOPMENT

The PAA is designed to anticipate and prevent problems related to the integration of supplier designed parts into a system or
a sub-system. The process provides an opportunity for the supplier to review the performance of their product in the final
application.

5.2
When the design has reached the C-release stage, the Buyer will issue a Sample Order to notify the supplier that a PPAP is
required. At this point, the design is considered firm enough that suppliers are authorized to place tooling orders and start the
production process design and development. The due date on the sample order is the expected date for delivery of the PPAP
documents to Volvo Group. This date will normally be two weeks before the approval by the Volvo Group. Check with the SQE
for special situations. Suppliers are responsible to verify that all technical documentation (Part Version Report, Drawing,
Technical Requirements, Digital Shape Model, etc.) has been supplied. Any questions regarding the technical document
package should be directed to the Buyer. This early release is intended to give suppliers as much time and information as
possible to prepare for start of production. This sample order will be amended once the P-documents and specifications are
completed.

6.11 Functional safety requirements

The process used for ensuring functional safety is centered on Functional Safety Joint Reviews that to a large degree are
coordinated with the Software APQP reviews.
There are six Functional Safety Joint Reviews in a normal development project:
 FSJR0 Project Planning
 FSJR1 Component Development Start
 FSJR2 Detailed Safety Requirements
 FSJR3 Initial Design
 FSJR4 Final Design
 FSJR5 PPAP
The functional safety requirements applicable to supplier projects are described in a separate requirement document called
Functional Safety Quality and Development Process Requirements
(FS- QDPR). This FS-QDPR is based on the automotive functional safety standard ISO 26262. ISO 26262 standard is
mandatory for development of safety related electronics and software.
6.4 PART HANDLING REVIEW (PHR)
6.4.1 To ensure that supplier product quality is not compromised during shipping, storage, handling, testing or installation
after transfer of ownership to Volvo, Volvo invites suppliers to participate in a Part Handling Review (PHR). The PHR is
conducted at each Volvo facility using the supplier’s product as delivered in the agreed production packaging. The process
encourages suppliers to participate in an audit of handling, and installation practices from receipt at a Volvo facility until
shipment to the next facility. The purpose of the audit is to share information and gain the supplier’s observations that will
prevent the possibility of compromising product quality due to improper handling or installation practices. The PHR is not
mandatory, but suppliers are encouraged to request a PHR to ensure the quality of their product is not compromised during
transportation, storage and installation activities.
6.4 Special characteristics
The selection criteria and guidelines related to special characteristics are based on the Volvo Group standard: STD 105-0007
“Special Characteristics Definition and Application”. This standard describes the system currently used by Volvo Group to
highlight and grade critical characteristics appearing in drawings and technical specifications. Special characteristics are
identified using the symbols [CC] or [SC] next to a feature in a Volvo Group technical document.

The special characteristic symbols ([1], [2] or [3]) defined in STD 105-0001 “Critical Characteristics of Design Products –
Identification & Grading” may still be present on some Volvo Group drawings or other documents. These indications are valid
and the characteristics shall fulfill the requirements stipulated in STD 105-0001. If the [1], [2], or [3] are present, the rules
governing [CC] [SC] should be applied by the following guide: [1] equals [CC] requirements, [2] or [3] equal [SC]. Symbols
from STD 105-0007 and STD 105-0001 are not used together in the same document.

In addition to the special characteristics identified in Volvo Group drawings or technical documents, suppliers must identify
any special characteristics related to their product. Suppliers should communicate any special characteristics identified along
with their standards for selecting and ranking critical or key characteristics and the methods used for identification on
drawings. Suppliers shall also define any special considerations for handling, assembly, application, capability or use required
to ensure safe, reliable performance of the product.
5.3
A Significant Production Run (SPR) is required for all new part introductions and is the basis for the PPAP. This sample run is
to be conducted using production tooling/equipment, environment (including production operators), facility, and cycle time.

The SPR requires that an adequate quantity of parts be produced to allow:

 Overall process stabilization
 Accurate calculation of manufacturing cycle time
 Determine production through-put time
 Capacity assessments
 Completion of capability studies

The minimum quantity of parts to be produced during the SPR is specified by Volvo Group but can be increased by the
supplier. The number of parts produced during the SPR should be determined by the type of equipment, tooling and
production processes required by the type of part. Suppliers should ensure enough parts are produced during the SPR to
ensure that the process is fully tested. Samples used for the PPAP must be taken from the parts produced during the run.

THE PPAP MUST BE FULLY APPROVED OR HAVE INTERIM PPAP APPROVAL WITH APPROVED DEVIATION BEFORE STARTING
SERIAL PRODUCTION
6.8 PROTOTYPE PARTS
The requirements for the respective levels of prototype parts are:
# Prototype parts to the A or B documentation release: Parts are expected to be fully conforming to Volvodimensional
specifications
# Prototype parts to the C documentation release: These prototype parts are designated as CPOT
(Conforming Part out of Tool). The purpose of the CPOT process is to ensure the production intent
tooling is capable of producing parts conforming to the drawing and technical specifications early in the APQP Process
Development phase
6.8.2 CPOT prototypes shall meet the following requirements:
# Be geometrically and functionally correct based on agreed drawing release
# Produced on serial intent tooling when specific tooling is required
# Be verified by Supplier for conformance to all dimensions and features according to the agreed
technical specification
# Be produced by the production supplier
# In cases where specialized tooling is required, the parts may be manufactured at the tool maker’s
location. The CPOT pick up point shall be equal to the regular pick up point for serial production.

6.8.3 Suppliers are required to develop a Prototype Control Plan to support the production, inspection and testing activity of
parts manufactured according to the release stage of their technical documentation. The prototype control plan should
include all product features and characteristics of the product and include any additional requirements from a Measurement
Point plan (MP), or a Dimensional Control Plan (DCP) the supplier may have received from Volvo Engineering for some
components. The objective of this control plan is to ensure that the parts produced are fully conforming to the specifications.
6.8.5 Prior to shipment, suppliers of prototype parts are required to complete:
# A or B-release level prototypes: 100% measurement/verification evaluation prior to shipment to Volvo
# C release level prototype (CPOT): Measurement/verification of 100% of the characteristics/
dimensions/features on 5 pieces of the shipment. Measurement/verification of 100% of any applicable
Special Characteristics of all parts of the shipped quantity ([SC], [CC], [2R]. [3R], [1], [2], [3]).
VOLVO REQUIRES PPAP APPROVAL PRIOR TO SHIPMENT OF ANY PRODUCTS FOR USE IN CUSTOMER VEHICLES

THE PPAP MUST BE FULLY APPROVED OR HAVE INTERIM PPAP APPROVAL WITH APPROVED DEVIATION BEFORE STARTING
SERIAL PRODUCTION

THE PRODUCTION PART APPROVAL PROCESS, DOCUMENTED BY A PART SUBMISSION WARRANT IS REQUIRED FOR
PRODUCTS FROM SUB-TIER SUPPLIERS
5.4 Documentation Requirements
1.7 Pass through parts requirements
“Pass through parts” are defined as parts that are shipped to Volvo Group by a supplier who processes parts from their
suppliers, without value added activity or modification to form, fit or function to the safety critical feature. Tier I suppliers
assume all responsibility for the quality of “pass through parts” that are considered safety critical. This requirement applies to
parts or features identified as safety critical by either Volvo Group criteria or criteria identified by the supplier as having the
potential to impact safety.

A Volvo Group on-site SMA will be conducted at the supplier of safety critical “pass through parts”. The Volvo Group safety
auditor will conduct the audit focusing on Chapter 1 – “Company Management” and Chapter 4 – “Supplier Chain
Management”.

Volvo Group requires tier I suppliers to have an active Safety Management Audit process for their suppliers.
The tier I supplier is responsible to continue the SMA program and follow up on all action items initiated during the original
audit. Volvo Group does not assume responsibility for the supplier’s SMA program, audit results, or follow-up activity. All
responsibility for the SMA program and the quality of safety critical parts remain the responsibility of the tier I supplier.

THE PRODUCTION PART APPROVAL PROCESS, DOCUMENTED BY A PART SUBMISSION WARRANT IS REQUIRED FOR
PRODUCTS FROM SUB-TIER SUPPLIERS
7.5
Volvo Group reserves the right to have access to sub-tier suppliers and processes that could have significant impact on final
product quality. This will generally concern technical processes like surface treatment, heat treating, forging, casting etc.
Please check with your SQE to determine if your sub-tier or contract suppliers would fall into one or more of these categories.
Access to sub-tier suppliers or approval of sub-tier suppliers by a Volvo Group Technical Specialist, does not change or reduce
the supplier’s responsibility for quality of products supplied by those sub-tier suppliers
THE PRODUCTION PART APPROVAL PROCESS, DOCUMENTED BY A PART SUBMISSION WARRANT IS REQUIRED FOR
PRODUCTS FROM SUB-TIER SUPPLIERS

7.5 SUB-TIER SUPPLIER REQUIREMENTS

Volvo Group Trucks requires that all sub-tier suppliers are third party registered to ISO 9001. Volvo Group strongly
encourages our suppliers to support IATF 16949 certification of their sub-tier suppliers. Suppliers have full responsibility for
the quality assurance and corrective action of products delivered from sub-tier suppliers for use in Volvo Group products.

THE PRODUCTION PART APPROVAL PROCESS, DOCUMENTED BY A PART SUBMISSION WARRANT IS REQUIRED FOR
PRODUCTS FROM SUB-TIER SUPPLIERS
7.5.
Volvo Group requires suppliers to use the Production Part Approval Process (PPAP) and that this requirement is applied to
sub-tier suppliers of products to be used in Volvo Group products. Suppliers have the responsibility for managing the PPAP at
their suppliers and maintain evidence of compliance. “Catalogue Parts” may be eligible to have this requirement waived.
Exemption requires a formal waiver from Volvo Group prior to shipment of parts exempted from this requirement. Contact the
SQE for additional information related to obtaining a waiver for this requirement.
7.5
Once a part is approved, changes at sub-tier suppliers that affect fit, form or function must be documented and approved by
Volvo Group using the Product Process Change Notification process.
6.9 Pre-launch control plans
Suppliers are expected to use pre-launch control plans to increase the level of quality controls applied during ramp up and
early production stages of new part launches. A pre-launch control plan is defined by increased frequency, levels of inspection
and increased controls during the early stages of production. The purpose is to protect the customer from problems until
process controls can be refined and start-up problems can be identified and resolved. The level of controls within the control
plan should be adjusted once the production process has been stabilized and process control can be assured. Additional
information regarding Volvo Group expectations and requirements for control plan development can be obtained from the
SQE.
Suppliers may be required to implement a separate inspection activity at process start-up that is independent of the
inspections and controls required by the control plan. The purpose is to verify the effect of the control plan, and determine
the capability of the production process. The application of this additional control may be required by the SQE for early
production when a supplier’s performance indicates that current controls are not adequate to identify and address problems
prior to reaching the customer. Shipments of products that have been through additional process controls should display
prominent notification on each shipping unit (box, package or skid).
PRODUCT IDENTIFICATION - SAFETY CHARACTERISTICS
The methods used for marking lot/serial numbers on safety critical parts must support identification, traceability and failure
investigation through all phases of the products life. In principle, the serial number or lot number should be applied to the
actual part and preferably should be easily visible when mounted on the vehicle. When feasible, the [CC] symbol must be
included on the part label. This would apply if the drawing is marked with a [CC] or [1] symbol.
Unless otherwise specified in product documentation, the preferred method for marking is:
# Item serialization
# Bar code (In Accordance With Volvo STD 103-0013 or Volvo approved alternative)
# Recording of safety critical product or process parameters (Preferred)
# Recording OK/not OK is acceptable with evidence of 100% effectiveness

7.3 Lot traceability

Lot control and traceability should be established to limit the size and impact in the event of the need for product recalls or
campaigns. The control system must be capable of linking production quantities to production processes to support root
cause analysis activity.

When lot control is utilized, the system must establish and maintain one-to-one relationship between a lot/batch traceability
number and a certain quantity of produced parts. If a traceability number, other than the serial number, is used for
identifying serialized parts, a one-to-one relationship between the traceability number and the serial number must be
maintained.

The extent of definition and control shall be based on risk analysis of the product and the potential impact to customers.
Suppliers are responsible to ensure that the lot traceability system maintains its integrity through the entire supply chain,
including raw material, purchased components/products, and sub-contracted operations.
The methods used for marking lot/serial numbers on safety critical parts must support identification, traceability and failure
investigation through all phases of the products life. In principle, the serial number or lot number should be applied to the
actual part and preferably should be easily visible when mounted on the vehicle. When feasible, the [CC] symbol must be
included on the part label. This would apply if the drawing is marked with a [CC] or [1] symbol.
Unless otherwise specified in product documentation, the preferred method for marking is:
# Item serialization
# Bar code (In Accordance With Volvo STD 103-0013 or Volvo approved alternative)
# Recording of safety critical product or process parameters (Preferred)
# Recording OK/not OK is acceptable with evidence of 100% effectiveness

Suppliers shall have an effective system of traceability that ensures delivered product can be traced from a finished product in
the customer application back to specific lots, sub-components, parts, blanks and raw material
In addition to component/materials traceability, the system must be capable of providing the production history of a lot or
serial number. This history must include:
 Rework operations or activity
 Product and process special characteristics
 Test records
 Process parameters influencing conformance
 Machine settings influencing conformance
 Maintenance activity of machines, equipment, jigs, gauges and test equipment
 Personnel qualification records for operators performing the work

If product is controlled in lots or batches, a risk analysis related to severity of non-conformance and probability of occurrence
must be conducted and used in establishing the lot sizes to minimize the impact of product recall.
7.4 FIRST IN FIRST OUT INVENTORY CONTROL (FIFO)
Suppliers are responsible to have inventory control systems that positively identify and control obsolete material to prevent
inadvertent shipment to the Volvo Group. Where feasible, suppliers shall maintain First In First Out (FIFO) inventory
management practice. The system for FIFO control must ensure controls extend to rework/repair, test activity and off-site
(sub-contract) processes.

7.6 PACKAGING
In support of the Volvo Group commitment to protecting the environment, Volvo Group has developed a process for
returnable packaging and integrated logistics system. Suppliers are expected to package components according to packaging
instructions that are agreed to and approved between Volvo Group and the supplier before shipment to Volvo Group.
Suppliers are required to provide appropriate storage and protection for Volvo Group packaging while under their control.

7.1 PRODUCT PROCESS CHANGE NOTIFICATION (PPCN)

All proposed changes to the product, production process, material or suppliers after PPAP must be submitted to Volvo Group
for approval using the Product or Process Change Notification (PPCN) process. Requests for change must be submitted at
least 12 weeks prior to the introduction of the change.

AFTER SUCCESSFUL PPAP NO CHANGE MAY BE MADE TO THE SUPPLIER’S PRODUCT OR PROCESS WITHOUT EXPRESS
WRITTEN APPROVAL FROM VOLVO

REQUESTS FOR CHANGE MUST BE SUBMITTED USING THE PRODUCT AND PROCESS CHANGE NOTIFICATION (PPCN) A
MINIMUM OF 12 WEEKS PRIOR TO THE PROPOSED CHANGE

The purpose of this requirement is to prevent quality and delivery issues resulting from unapproved, untested changes or
modifications after PPAP approval. This applies, but is not limited to, the following cases:
 Transferring of the production line: partly or totally; to a new or existing location, plant or building
 New production layout or changes to production line
 Change of a sub-tier supplier
 Changes of a process at a contract supplier, (surface treatment, machining, etc.)
 Packaging changes or repackaging operations
 Change at sub-tier suppliers that affect fit, form or function of the product
 Renewal of non-consumable tooling
 Change to the raw material
 Outsourcing all or part of production to a sub-tier supplier
 Request for change to product design including dimensions, tolerance, function, appearance

Afterr receipt by Volvo, the request is submitted to a team for analysis. Based on the impact to Volvo and the risk associated
with the change, the PPCN may have one of the following decisions:
# Authorize the supplier modification
# Ask to adapt the content of the supplier modification
# Ask the supplier to delay the implementation until extra actions/verifications are performed. (Actions include, but are not
limited to, audits, safety stock, testing, etc. …)
7.1
The purpose of this requirement is to prevent quality & delivery issues resulting from unapproved, untested changes or
modifications after PPAP approval. This applies, but is not limited to, the following cases:
# Transferring of the production line: partly or totally; to a new or existing location, plant or
building
# New production layout or changes to production line
# Change of a sub-tier supplier
# Changes of a process at a contract supplier, (surface treatment, machining…..)
# Packaging changes or repackaging operations
# Change at sub-tier suppliers that affect fit, form or function of the product
# Renewal of non-consumable tooling
# Change to the raw material
# Outsourcing all or part of production to a sub-tier supplier
# Request for change to product design including dimensions, tolerance, function, appearance

Introduction of changes without Volvo approval may result in any or all of the following actions:
# All costs related to correcting the situation created by an unauthorized change will be charged back to the supplier.
# The supplier’s 3rd party certification body will be formally notified that the supplier is not following quality system or
customer requirements.
# Supplier will be required to complete corrective action and demonstrate effective controls to prevent recurrence.
# Supplier may be placed on hold for new business.
Production part approval is required when the
following conditions occur, prior to dispatch of bulk
production:

1. For a new part.

2. For a product design change.
3. For a process change (any changes in machine
capacities or equivalent machines are considered as
process change)
4. When previous submission is rejected.

PPAP submission requirements will be based on

Customer specific requirements.

FORMATS: As per PPAP requirements- copies of the

same attached

6.6 Cleanliness requirements

Technology and performance enhancements to the vehicles requires improved cleanliness of certain components. These
components are required to meet a cleanliness requirement. The cleanliness requirement will be specified on the part drawing
or in the Technical Requirements document.

When required, cleanliness testing must be performed using the flushing method as defined in the Volvo Group standard
STD:107-0002. Alternative testing methods must be approved by Volvo
Group Product Development. Suppliers are required to perform cleanliness testing at intervals that demonstrate adequate
control of the cleaning process.

In addition, a Cleanliness Audit in accordance with Volvo Group Standard STD: 107-0003 may be required by the SQE. The
SQE will provide the appropriate information if a Cleanliness Audit is
required.
Even when cleanliness is not specified on the PVR, drawing, Technical Requirements or standards, parts shall be delivered
free from dirt, machining chips, burrs, or rust.
6.5 Legal requirements and Conformity of Production
Governmental authorities, the automotive industry and environmental organizations have developed guidelines and
regulations that are placed on vehicle manufacturers. These regulations apply both to the customer vehicle and to the
manufacturing processes. Ensuring compliance to these regulations is referred to as Conformance of Production or COP.

Parts that have the potential to impact compliance, legal regulations or features, such components are identified using the
symbols [2R] or [3R]. These symbols appear on Volvo Group drawings or are stated within the related Volvo Group technical
specifications controlling the part. The determination [2R] or [3R] grading is based on an assessment of how seriously the
consequences of non-compliance with the requirements for the characteristic in question, will impact Volvo Group’s
compliance with the legal or governmental requirement. This assessment will in no way relieve any supplier of the
responsibilities described previously.

It is mandatory for [2R], [3R] parts to be inspected or tested and the necessary documentation (inspection results, test
reports, certificates) to be kept at the supplier for a period of time consistent with the documentation retention policy. All
inspections or tests required to ensure compliance to [2R], [3R] regulation must be included in the control plan.A summary of
the results from inspections or tests must be communicated to the Volvo Group at regular intervals. Conformance to COP
process requirements must be respected during the entire product lifetime. No changes to product or process are allowed
without formal approval from Volvo Group. No deviations are allowed on features designated as [2R].
No Specific Requirement
No Specific Requirement When a supplier identifies a deviation from
specification SAPL's QA dept. must be informed of
the details. The non-conforming products must
not be despatched to SAPL till a clearance from QA
deptt. through a Consession note raised by the
supplier.
7.2 Requesting deviations to specifications
In the case where the supplier wishes to request a deviation to supply parts that do not fully comply with Volvo Group
requirements, the supplier must inform Volvo Group and request approval. The request must be approved prior to shipment.

Suppliers to Volvo Group Trucks and Volvo Penta may request a deviation using the Global Deviation Request form, available
in the Quality section of the Library on the Volvo Group Supplier Portal. The completed form is submitted by email to the
functional mailbox address listed on the deviation form with a copy to the SQE or if agreed to the Volvo Group Plant Supplier
Quality (SQP). Suppliers to VBNA must complete the template and follow the process defined as specific for Nova Bus in the
Library on the Volvo Group Supplier Portal.

Requests for approval are reviewed by the Volvo Group responsible Design Engineer and the SQE. If the deviation is
approved, the supplier will be e-mailed a copy of the notice of approval.

All shipments made under a deviation shall be identified on the exterior of the shipping container. Specific labelling type shall
be agreed between the supplier and the SQP(s) at each affected Volvo Group facility and/or the SQE, and shall include the
deviation approval number.

In addition to the agreed labelling, the supplier shall inform the affected SQP(s) about the first delivery of material under
deviation (shipment date, delivery note numbering). Shipments under deviation may be subjected to additional inspection
upon arrival at the Volvo Group facility.

Suppliers requesting a deviation must complete an 8D response identifying the cause, corrective action, and measures taken
to prevent recurrence.

VOLVO GROUP WILL NOT APPROVE DEVIATIONS TO SAFETY CRITICAL [CC] CHARACTERISITICS, REGULATORY
REQUIREMENTS CHARACTERISTICS OR ELECTRONIC COMPONENTS
6.6.3 Volvo will, during APQP/PPAP, endeavor to confirm that the suppliers have a system in place to record and document
their own process of COP, so the COP approval continues to be valid, although ultimately it is understood that this
responsibility rests solely with the supplier. Volvo will always require, and all suppliers conducting business with Volvo agree,
that if a supplier is in a non-conformity situation during COP testing that Volvo is immediately informed by such supplier, and
further that such non-conformity is promptly corrected. By conducting business with Volvo our suppliers agree that Volvo may
at any time inspect the supplier’s ability to monitor its COP system

8.1 MANAGING NON-CONFORMING PARTS

In the event non-conforming parts or material have been identified at a Volvo Group facility, suppliers will be notified using an
Inspection Report (IR). The IR is sent using a web based portal along with an email to the supplier’s quality contact.

Under normal circumstances, suppliers are expected to respond immediately to any non-conformance and ensure that all
receiving plants are protected within 24 hours. Suppliers are required to notify Volvo Group immediately if it is suspected that
non-conforming material has been shipped to a Volvo Group facility.

Depending on the type of non-conformance and material status, supplier parts may be sorted, reworked or adjusted. Supplier
approval is requested before any rework or adjustment will be performed, except in circumstances where support of
production need requires immediate action. Suppliers should be prepared to take any or all of the following actions after non-
conforming material are identified at a Volvo Group facility:
# Expedited replacement of nonconforming material
# Provide resources to perform required sorting or rework
# Provide third party sorting resources
# Authorize Volvo Group to begin third party activities on the supplier’s behalf
# Provide instructions and acceptance criteria required to support inspection, sorting, or rework
# Provide Product specific gaging
6.5
In the event of non-conformance of an identified characteristic or component escaping the supplier’s location, the following
actions must take place immediately:
# Notify the Volvo buyer and SQE
# Containment at supplier, Volvo locations and In Transit
# Short term corrective action
# Begin cause analysis
# Develop an action plan to recover full conformance

8.1
Under normal circumstances, suppliers are expected to respond immediately to any nonconformance and ensure that all
receiving plants are protected within 24 hours. Suppliers are required to notify Volvo immediately if it is suspected that non-
conforming material has been shipped to a Volvo facility.

8.1
If not used by Volvo under deviation, after rework or after repair, nonconforming parts or material will be “returned to
supplier” or “scrapped at Volvo” based on supplier’s direction.
8.7 SUPPLIER IMPROVEMENT PROGRAMS
Volvo Group monitors supplier performance on a monthly basis. When any of the monitored measurement parameters
indicate negative performance trend or significant abnormality, the supplier is considered for elevation into a supplier
improvement program.

Suppliers may be notified of the potential inclusion in any supplier improvement program by a warning letter sent to the
supplier’s Quality department. The letter will include the reason or reasons a supplier is being considered for entry.

Supplier improvement activities are initiated and monitored through an elevation process. Each stage will have defined criteria
for entry and exit and identified actions to be completed during the stage. Exit criteria are based on improved performance
results and implementation of process improvements. Suppliers that do not meet the criteria for a stage by the target
completion date may be elevated to the next stage.

Each time the supplier is elevated to a higher stage, the actions required will be those of all previous stages, plus the
additional actions required by the new stage. At any time that the exit criterion is met for a specific stage the supplier is
moved to the “Monitoring” status. Supplier performance is tracked based on the Volvo Group assigned Parma code.

A SUPPLIER CAN BE PLACED IN A SUPPLIER IMPROVEMENT PROGRAM BASED ON PERFORMANCE FOR AN INDIVIDUAL
PART NUMBER, MULTIPLE PART NUMBER BASES OR ORGANIZATIONAL PERFORMANCE.
8.3 SUPPLIER SCORECARD
Volvo Group maintains a scorecard of the quality and delivery performance for each supplier that delivers parts to a Volvo
Group facility. The measurements on this scorecard are regularly reviewed to track supplier performance and identify
negative trends.
This information is available for supplier review over the Volvo Group Supplier Portal. It is recommended that suppliers review
this information on a regular basis. Regular review of their performance data allows suppliers to take action to address
problems and trends before Volvo Group is required to take action with the supplier.

The supplier’s performance is calculated for a calendar month and the scorecard is updated during the first half of the
following month. Information about the latest update can be found under
“information/sources”. The scorecard shows information for the prior three months, with the ratings calculation based on a
three month rolling average. Information for other periods is available using the “View Performance Breakdown” page.

8.4 PPM & QUALITY PERFORMANCE MEASUREMENT

PPM measurement is calculated as the number of non-conforming parts identified divided by the number of parts delivered,
normalized over one million parts. PPM performance visible on the supplier scorecard shows PPM for the past three months.
The Quality Performance Measurement (QPM) has proven to provide a better indicator of supplier performance than by using
PPM alone. QPM is a key indicator of supplier performance that reflects the impact that delivery of non-conforming parts has
on the Volvo Group over the prior three months. The QPM is calculated and updated on the supplier scorecard on the second
week of each month.
The QPM measurement includes the PPM, the actual number of parts rejected, the number of Inspection Reports written and
the value of rejected parts compared to the value of parts delivered compensates for anomalies inherent in the PPM
calculation. Example: If a supplier
had 1 part from a shipment of 10 pieces rejected during a three month period, the resulting PPM for that period would be 100
000. The related QPM for this same three month period would be:
PPM: 20 + NCp: 5 + IR: 0 + V/V: 20 = QPM: 45

Monthly Score card

In addition to performance information, the scorecard contains important information related to: Quality and Delivery Rating are applicable to
 Supplier address and company structure supplier of Raw Materials, bought out parts, semi-
 SEM Audit Results finished materials and sub-contracted parts.
 Purchasing Contracts
 Quality Certificates
 Environmental Certificates Machinery spares, tools & toolings and production
 REACH Compliance consumables are not covered by this rating system.
 Supplier quality and delivery performance
 EDI Capability The periodicity for rating will be QUARTERLY and
 Supplier sales to Volvo Group will be notified to the suppliers.
 Volvo Group Buyers
 Volvo Group SQEs Supplier Performance Evaluation Requirement
 Supplier contact persons for (Customer end):
Volvo Group cooperation
Rating with respect to supplier's performance at
customer end will be computed as per logic shown
The scorecard is a tool for monitoring supplier performance. The scorecard is made available to suppliers to allow them to be below:
proactive in addressing production quality issues. The scorecard can also assist in reviewing performance for negative quality
trends. Occasions of customer returns, customer complaints
on quality, delivery failures and premium freights
The information in the scorecard provides a picture of how Volvo Group views the supplier ability and capability. The which are directly contributed by the suppliers are
information in the scorecard is routinely used in making sourcing decisions. captured and monitored supplier wise every month.
To access this information, suppliers should contact the Volvo Group Buyer.
8.5 SAPL suppliers shall be audited periodically as per
In addition to audits conducted by Volvo Group, suppliers are expected to routinely conduct internal audits of their production Quality Management System Audit Check List. Non
processes. Records of any findings from internal audits and actions taken in response to findings should be available for conformances noticed shall be reported to the
review during the Volvo Group process audit. supplier for necessary corrective action and the
actions taken shall be verified by SAPL in
subsequent audits.

No Specific Requirement
1.5 SAFETY MANAGEMENT AUDIT
1.5.1 Suppliers of safety critical components or assemblies must have safety system requirements embedded in their quality
management system. Suppliers must be able to demonstrate they have the organization, systems, processes, and
competencies to manage the Volvo requirements related to safety critical features.
1.5.2 Volvo has developed and uses a technical audit to evaluate the Safety Management Systems of suppliers of a safety
part or parts. This audit evaluates the presence of an adequate management system and the capabilities to properly manage
safety parts through-out the production process.
A supplier that has a safety part without a critical characteristic will be required to complete a Short Safety Management
Audit. A supplier who is supplying a part that has been identified as a safety part and contains a special characteristic will be
required to participate in the Safety Management Audit (SMA). The Safety Management Audit (SMA) will be conducted during
the sourcing process and potential suppliers are required to achieve a passing score prior to the award of business.
1.5.3 The target score for the Safety Management Audit is 90%. Suppliers that achieve a passing score above 60% but below
90% will be considered conditionally approved. Suppliers that are conditionally approved are required to develop a detailed
action plan with a timeline for achieving the 90% score. This plan must address
all audit findings. After achieving a 90% score, suppliers are re-audited periodically to ensure that the SMA systems and
processes impacting quality remain in place. Volvo reserves the right to conduct a Safety Management Audit at any time
following a major quality spill or recall.

3.7 Corporate Social Responsibility

A Corporate Social Responsibility (CSR) audit will be required of all potential suppliers and will when possible be evaluated as
part of the SEM evaluation. The scope will not cover the full sustainability requirements, but focus on major risks. Current
suppliers to Volvo Group that have not participated in a recent CSR audit may be requested to participate in an audit. The
CSR audit usually takes one full day. It is a risk based audit, and all critical and high risk findings should be closed regardless
of audit score.

"The CSR audit is an on-site evaluation of supplier’s capability to meet Volvo Group’s Supplier Code of Conduct. The audit is
designated to analyze the risk of supplier’s activity with regards to people, planet and profit."
8.5 THE VOLVO GROUP PROCESS AUDIT
Volvo Group routinely conducts process audits as a prevention activity as well as to support corrective actions. Process audits
may be performed under any of the following circumstances:
 During APQP
 During production ramp up
 New supplier evaluation
 Introduction of a new process
 Move production to a new location
 Poor quality performance
 After a major incident

Periodically Volvo Group Supplier Quality will conduct an in depth audit of the process steps that have a direct impact on the
quality of delivered products. Suppliers are required to develop a robust improvement plan to close the gaps identified during
the process audit.

In addition to the situations listed, the production processes of components that have been identified as critical to the safe,
reliable function of a vehicle may be subjected to annual audits. These audits are to ensure that the production processes
used during the “Significant Production Run” remain unchanged and capable of delivering consistent quality products.

Volvo Group reserves the right to perform process audits whenever it is deemed necessary. Suppliers will be given reasonable
advance notice of a pending audit. A copy of the process audit template used by Volvo Group in conducting the audit is
available for review on Volvo Group Supplier Portal.
5.6) CLEANLINESS REQUIREMENTS/ 5.6.1) (...) The cleanliness requirement will be specified on the part drawing or in the
Technical Requirements document.
5.6.2) When required, cleanliness testing must be performed using the flushing method as defined in the Volvo STD: 107-
0002. Alternative testing methods must be approved by Volvo Product Development. Suppliers are required to perform
cleanliness testing at intervals that demonstrate adequate control of the cleaning process.
5.6.3) In addition, a cleanliness audit in accordance with STD: 107-0003 may be required by the assigned SQE. The
responsible SQE will provide the appropriate information if a cleanliness audit is required.

8.3
Volvo maintains a scorecard of the quality and delivery performance for each supplier that delivers parts to a Volvo facility.
The measurements on this scorecard are regularly reviewed to track supplier performance and identify negative trends. This
information is available for supplier review over the supplier portal. It is recommended that suppliers review this information
on a regular basis. Regular review of their performance data allows suppliers to take action to address problems and trends
before Volvo is required to take action with the supplier.
8.1 When a problem has been identified by SAPL which
Under normal circumstances, suppliers are expected to respond immediately to any nonconformance and ensure that all required corrective action from the supplier, The
receiving plants are protected within 24 hours. Suppliers are required to notify Volvo immediately if it is suspected that non- corrective action should be taken by the supplier in
conforming material has been shipped to a Volvo facility. order to prevent the re-occurrence of the same. The
corrective action should be filled in 8D and sent
8.2 CORRECTIVE ACTION RESPONSE back to SAPL.
Volvo Group uses the 8 Disciplines (8D) process as common problem solving process for quality issues. Each time a
nonconformance or a defect has been documented, the causes for the problem must be investigated and reported in the 8D If corrective action planned will cause delay to
connected to the IR. Suppliers should submit their corrective action response in the system as soon as possible, and no later further deliveries, suppliers shall inform the same to
than the due time. SAPL well in advance.
In addition to the cause and corrective action conducted during the 8D process, suppliers should conduct root cause analysis
for all major issues. Root cause analysis requires evaluation of the weaknesses within the organization processes or systems
that allowed the problem to occur. Root cause generally requires management action to address the underlying systems or
processes.

AN 8D RESPONSE IS REQUIRED FOR ALL NONCONFORMANCES

When notified of a non-conformance suppliers are requested to react in accordance with the following timeline:
 Immediately: Acknowledge receipt of IR and initiate containment activities.
 24 Hours: Begin containment activities to include sorting internally, intransit and at Volvo Group facilities, (third party
allowed). Problem analysis started. Identify other Volvo Group sites at risk.
 48 Hours: Containment completed and short term corrective action fully implemented.
 10 working days: Cause analysis complete for both occurrence and nondetection, permanent corrective action defined and
implemented. (Timing starts after confirmation and acceptance of non-conformance.)
 20 working days: Effectiveness of permanent corrective action checked and recurrence prevented.
8.1
Depending on the type of non-conformance and material status, supplier parts may be sorted, reworked or adjusted. Supplier
approval is requested before any rework or adjustment will be performed, except in circumstances where support of
production need requires immediate action. Suppliers should be prepared to take any or all of the following actions after
nonconforming material are identified at a Volvo facility:
# Expedited replacement of nonconforming material
# Provide resources to perform required sorting or rework
# Provide third party sorting resources
# Authorize Volvo to begin third party activities on the supplier’s behalf
# Provide instructions and acceptance criteria required to support inspection, sorting, or rework
# Product specific gaging

8.2 Corrective action response

Volvo Group uses the 8 Disciplines (8D) process as common problem solving process for quality issues. Each time a
nonconformance or a defect has been documented, the causes for the problem must be investigated and reported in the 8D
connected to the IR. Suppliers should submit their corrective action response in the system as soon as possible, and no later
than the due time.

In addition to the cause and corrective action conducted during the 8D process, suppliers should conduct root cause analysis
for all major issues. Root cause analysis requires evaluation of the weaknesses within the organization processes or systems
that allowed the problem to occur. Root cause generally requires management action to address the underlying systems or
processes.

AN 8D RESPONSE IS REQUIRED FOR ALL NONCONFORMANCES

When notified of a non-conformance suppliers are requested to react in accordance with the following timeline:
 Immediately: Acknowledge receipt of IR and initiate containment activities.
 24 Hours: Begin containment activities to include sorting internally, intransit and at Volvo Group facilities, (third party
allowed). Problem analysis started. Identify other Volvo Group sites at risk.
 48 Hours: Containment completed and short term corrective action fully implemented.
 10 working days: Cause analysis complete for both occurrence and nondetection, permanent corrective action defined and
implemented. (Timing starts after confirmation and acceptance of non-conformance.)
 20 working days: Effectiveness of permanent corrective action checked and recurrence prevented.
7.7 WARRANTY
Responding to field warranty claims remains a top priority at Volvo Group. When Field Failures are determined to be the
result of a supplier’s product, suppliers will be notified through receipt of a warranty claim. It is expected that suppliers will
fully participate in the investigation, root cause analysis and corrective action when field failures are identified. Suppliers
should have an established process for the handling, analysis, investigation, reporting and corrective action of customer field
returns. Volvo Group has developed and conducts a warranty specific process audit of supplier’s capability to manage
customer field returns.

If the non-conformance is generated by a supplier, a Volvo Group warranty department may call the responsible supplier for
immediate correction or replacement of products. The conditions defining response and responsibility are included in the
Purchasing conditions, purchasing agreement and/or warranty charter. A copy of the warranty charter is included as part of
the Request for Quotation.

8.8 FIELD QUALITY ISSUES

It is in Volvo Group’s and our supplier’s best interest to solve customer quality issues as quickly as possible. Therefore, when
a customer quality issue is identified as potentially related to supplier delivered parts, the supplier may receive a notification
letter regarding the pending investigation. If it is determined that a formal investigation and problem solving activity is
required, suppliers will be invited to join a formal Kick-Off meeting. During this meeting the scope of the problem is defined,
the plan for investigation, and the timing for resolution is presented. Suppliers are invited to participate in the investigation
and expected to provide all needed support required for timely resolution of the problem.

When Volvo Group detects an issue in the field and assess that a purchased part is either directly or indirectly involved, Volvo
Group will request supplier support in order to investigate the case and fine tune the problem description (1D phase).
Volvo Group expects the following outcome from the pre-investigation:
 Parts analysis
 Initial cause analysis
 Estimated failure occurrence
 Proposed containment action

Following the pre-investigation Volvo Group will decide the most appropriate solving process. A field quality issue could be
resolved using either the Quick Solving Process (QSP) or Quality Journal (QJ) process. Both processes follow the 8D
methodology:
The QSP is applied when the failure is related (directly or indirectly) to a supplier part that is found to deviate from the
technical specifications for the part (e.g. manufacturing process deviation)
 The solving process will be led by the supplier and Volvo Group will monitor progress of the implementation and
verification of the solution
 An 8D report is required for all QSP
 Expected solving lead time is the same as for Inspection Reports (ref. 8.1)
The QJ process is applied for critical and complex cases where the problem is determined to be related to Volvo Group design
or process where a supplier part or product is involved
 The supplier will be notified by an official letter of the opening of a QJ
 The QJ will be led by Volvo Group, the supplier is expected to take an active part in the cross-functional work
 Expected solving lead time is communicated in the QJ notification letter Other solving processes, based on PDCA or DMAIC
methodologies, are also used in some parts of Volvo Group.
8.6 CONTINUOUS IMPROVEMENTS
Suppliers are expected to use the lessons learned from each incident to improve production process, product design, or
underlying business systems. The goal is to eliminate the possibility of similar incidents, not only by making procedural and
process adjustments on the manufacturing floor, but by removing the environment that allowed the issue to surface. Lasting
improvement requires correcting the systems and strategies that support the production process.

In addition to responding to identified non-conformances, suppliers should use statistical data to continually evaluate and
refine their processes. This evaluation should include analysis of quality out of control indications, high PPM, scrap, downtime,
and warranty failures. The clear objective of this analysis must be reduction of variation with the finished product. The
supplier shall have on-going, active improvement projects that target two or three of the largest problem areas and be able to
demonstrate a positive trend in reducing incidents and repeat occurrences.

8.6
In addition to responding to identified non-conformances, suppliers should use statistical data to continually evaluate and
refine their processes. This evaluation should include analysis of quality out of control indications, high PPM, scrap, downtime,
and warranty failures. The clear objective of this analysis must be reduction of variation with the finished product. The
supplier shall have on-going, active improvement projects that target two or three of the largest problem areas and be able to
demonstrate a positive trend in reducing incidents and repeat occurrences.
American Axle & Manufacturing (AAM) PRABHA AUTOMOTIVE ENGINEERS
Supplier requirements manual, 25-Oct-2019 Pvt. Ltd, SUPPLIER QUALITY
ASSURANCE MANUAL, Rev. no: 1,
20-01-2020

The Supplier Requirements Manual applies to all third party businesses and individuals that act on AAM’s General Guidelines: -
behalf, including but not limited to suppliers, agents, consultants, distributors accountants, lawyers, customs (Applies to only Suppliers who are not accredited to ISO 9001
brokers, etc. -2015 Certification)
1. All Suppliers are required to initiate actions for obtaining
1.6. General Expectations ISO 9001 -2015 Certification.
• Suppliers agree to abide by applicable international, national, state, and local laws and regulations. 2. After gaining experience in ISO 9001 – 2015, they are
• Suppliers agree to provide documentation to demonstrate financial solvency, as required. expected to follow IATF 16949 -2016 Standards.
• Suppliers agree to submit to reasonable background screen procedures, as applicable.
• Suppliers shall agree to reasonable use of technology solutions in use by AAM.
• Suppliers agree to participate in sustainability-related assessments that may be required by AAM and
possibly conducted by third parties on AAM’s behalf.
• Suppliers agree that a management representative from their company, with authority to influence their
organization, will complete free AIAG online sustainability training or equivalent sustainability training
provided by the suppliers’ company, and provide documentation asserting such requirements were
completed.
AAM expects suppliers to comply with the current version of IATF 16949. Suppliers that are not certified to
IATF 16949 shall be certified to the current version of ISO-9001 unless they meet the criteria for exemption
and it is approved by both AAM and the end customer.
Conduct and Ethics
Bribery and Corruption
Gifts and Entertainment
Business Records
Conflicts of Interest
Fair Business Practices
Labor
Sustainability
Associate Health and Safety
Diversity Sourcing
1.8. Communication – Notification of Change
As noted above, open and effective communication is critical to the relationship between AAM and supplier
partners. Unauthorized changes or related supply chain issues and non-confirming product present a risk to
AAM and its customers. As such, changes or issues must be communicated to AAM proactively and managed
effectively. To manage these risks effectively, suppliers must communicate all issues/changes in writing prior
to implementation, including but not limited to:
• Changes to Product Design, Process, or Service
• Manufacturing Location Change
• Tooling
• Capacity Change
• Transfer
• Refurbishment / Replacement
• Potential Manufacturing / Quality Issues
• Potential Supply and/or Capacity Issues
• System of Information Technology (IT) that may impact production, scheduling, or shipment of product to
AAM.

PLEASE BE AWARE: AAM considers changing the source of raw material and/or the source of heat treatment
(including normalizing) a major process change. This is expressly prohibited without prior approval from
AAM. This requires complete validation of the new source.

After PPAP any water project implementation is seen as a change and must follow the supplier change
process. Participation in CDP environmental disclosure process for climate change and water security is
voluntary as it relates to AAM, but is seen as a positive.

Cleanliness
Part and process cleanliness shall be considered during the development of the PFMEA. Appropriate actions
shall be taken during the APQP process as driven by the PFMEA RPN’s.
1.9. Social Responsibility
The Environment
All AAM suppliers must support the same level of commitment to the environment as AAM. We have an
obligation to reduce our impact for our children and our children’s children. All suppliers are expected to
know and abide by applicable environmental laws and regulations and to manage their environmental
impacts and aspects responsibly. Required permits and licenses must be obtained and their requirement
Inspection Fixtures and Gauges
• Gauges shall locate the part in vehicle position unless AAM Supplier Quality approves a deviation as
requested using the Agree / Disagree matrix and the Tech Review.
• All customer-monitored APQP parts shall have gauge designs approved by the Supplier Quality Engineer or
the appropriate customer gauge approval group prior to the start of fixture construction (for your regional
requirements, contact Supplier Quality Engineering). Gauge designs shall incorporate approved GD&T datum
schemes and gauges/fixtures shall be capable to dimensionally evaluate parts.
• Supplier shall have the ability to perform any functional tests as specified on AAM Product Engineering
blueprints.
• Supplier shall ensure that fixtures are procured in a timely manner to meet major program benchmarks
(i.e. first shots, SP-11 events, functional evaluations, and PPAP.) Supplier shall design, construct, and make
available a tabletop holding fixture for CMM (Coordinate Measurement Machine) inspection of first parts off
prototype and production tooling. Said inspection may take place at the Supplier, at AAM, or both. Inspection
procedure and location to be agreed between Supplier and AAM Supplier Quality prior to Supplier acceptance
of prototype PO from AAM.
Operator Training
Supplier shall have documented training and certification plans to ensure that all operators are trained and
credentialed per industry standards, as applicable, for each operation and/or machine type. Training plans
shall address new operators and current operators performing new functions. Training status should be
displayed in the area of the manufacturing process.
Suppliers are required to maintain access to the AAM iSupplier Portal (https://r12supplier.aam.com/) to
effectively communicate with AAM. AAM Supplier Quality procedures and systems can be accessed through
the AAM iSupplier Portal.
• Initial access (or access if your Supplier Security Coordinator leaves) is attained through the AAM
Procurement Department; the Request form is found here. Note that only current suppliers will be granted
access to iSupplier Portal.
• Suppliers shall use the AAM iSupplier Portal to communicate/collaborate with AAM SQ on PPAP (including
APQP) and PRR.
• Supplier organization changes should be managed by the Supplier Security Coordinator (SSC) to maintain
the correct levels of access to the portal.
• Automotive Industry Action Group (AIAG) documents can be obtained by contacting AIAG at www.aiag.org.
To obtain these documents in Europe, contact Carwin Ltd. at 44-1708-861333. In Brazil, contact IQA at
5511-5533-4545 or www.iqa.org.br.
1. Product part approval, tooling records, purchase orders
and amendments, shall be retained for the length of time that
part is active for production and service requirements plus one
calendar year unless otherwise specified by Prabha
Automotive Engineers

2. Quality performance records (e.g. control chart,

inspection, and test results) shall be retained for one calendar
after the year in which they were created.

3. Record for internal quality systems and management

review shall be retained for three years.

4. The records not required after the retention time

mentioned above by organisation in their procedure, it shall
be disposed.

5. The requirement shall not supersede any regulatory

requirements. All specified retention period shall be
considered “minimum”
Suppliers shall use an advanced product quality planning process consistent with the AIAG guidelines and
containing any additional elements required by AAM in the AAM PPAP Process.
Suppliers will conduct all necessary and required activities to ensure completion of all OEM and AAM
expectations defined in all relevant documents such as Purchase Orders, Subsystem Technical Requirements
and Statements of Work.
Suppliers will work with AAM Engineering as well as other AAM departments to ensure understanding of key
program deliverables, including:
• All Customer (both OEM and AAM) expectations, functional and performance requirements.
• All statutory, regulatory and legal requirements (i.e. FMVSS).
Suppliers shall identify and review product design input requirements. These may include but are not limited
to special characteristics, identification, traceability, and packaging as well as product quality, life, reliability,
durability, maintainability, serviceability, timing and cost. Suppliers shall maintain records as evidence to
support requirements.
Early in the design and development process, suppliers will:
• Review past warranty for similar products. The warranty analysis shall include all sub-tier suppliers.
• Review Lessons Learned for similar products.
• Perform benchmarking of competitors’ designs where applicable.
• Review any recall campaign or government recall data if applicable.
For suppliers that are design-responsible, from the OEM and AAM requirements, a Design Validation Plan and
Report (DVPR) shall be created to perform analytical (CAE) and physical test verification of the design. This
DVPR shall be reviewed and approved by AAM Engineering.
The supplier and AAM Engineering will establish performance requirements that align with each phase of
AAM’s Program Management System.
Supplier Contacts for All Shifts New Part / EDM Change
Supplier shall designate a specific supplier representative that will support each of the AAM Plant’s shifts. At For any new part / EDM change drawings along with NPD
a minimum the supplier designate should have the responsibility and authority to: procedure will be sent to the Supplier.
• Implement immediate countermeasures to contain discrepant parts and to confirm that defective parts are The Supplier will be evaluated based on the NPD Procedure
not shipped to AAM Plant. and after approval regular procurement procedure will be
• Approve AAM Plant’s/SQA’s requests for rework and sorting of parts. followed.
• Coordinate and provide resources to conduct rework and sorting of parts.
• Provide sub-assemblies / components for required repair, related to quality issues.
• Provide clear information regarding any defective parts that are en-route to AAM Plant (how to identify
defect, disposition guidelines). Purchase Order for required parts will be released one time to
Suppliers along with schedule. Suppliers are required to follow
the Packing & Logistics requirements as mentioned.
Materials will be received and checked for
1. Quantity against Delivery challan / Invoice as applicable.
2. Damage if any
3. Quality Check as Incoming Quality
4. Any discrepancies in the above will be reported to the
Supplier and the Supplier should take action accordingly.
Conflict Minerals
It is the policy of AAM to comply with the SEC disclosure and reporting requirements of Section 1502 of the
Dodd-Frank Wall Street Reform and Consumer Protection Act. As part of our policy, AAM requires direct
material suppliers to engage in due diligence of their supply chain to understand and report the tin,
tantalum, tungsten, and gold (3TG) content of their parts supplied to AAM.
“Materials of Concern” are minerals that are not specifically identified in the Frank-Dodd Act as conflict
minerals but do represent a threat to social or environmental systems. As such, from time to time specific
information related to “Materials of Concern” may be requested and compliance to requests is expected.
Direct material suppliers are further required to adhere to AAM’s annual Conflict Minerals Reporting
Requirements. This includes but is not limited to AAM Suppliers surveying their own tiered supply base,
responding to AAM’s annual conflict minerals surveys, and providing a complete and accurate smelter listing
and disclosing the location of mines for all 3TG necessary to the functionality or production of components or
assemblies supplied to AAM.
7.1. General Terms and Conditions
7.2. Non-Disclosure Agreements
7.3. Request for Quotation (RFQ)
7.4. Technical Reviews
7.5. Commercial Negotiation and Discussion
7.6. Supplier Tooling
7.7. Capacity Studies
7.8. Change Management
Prototype Quality
Prototype parts are to be manufactured under the following conditions:
• Material shall be from the production source and in the same production state as is intended for regular
production. Any exceptions shall be noted in the prototype quote and AAM Prototype Purchase Order.
• Production-intent process sequence to be used under production conditions wherever possible. Any
exceptions shall be noted in the prototype quote and AAM Prototype Purchase Order.
• Production-intent tooling is strongly preferred. At a minimum, any work-holding setup shall locate and
clamp the part in the same manner as is intended for production.
• Picture documentation is required for prototype tooling which is owned by AAM or AAM’s Customer to
support the evidence submission to AAM’s Customer. Authorization for disposal must be given by AAM
Prototype Procurement Representative prior to destruction/disposal.
• Production gauging is not required but is recommended.
• For each heat treat lot (if applicable), the supplier shall provide a material certification, including chemistry,
source & heat lot identification, and microstructure inspection. Records are to be maintained for the life of
the contract.
• Parts to be 100% inspected for visual flaws.
• Parts shall be marked for traceability to batch and date.
• Parts are to be suitably cleaned and free of contamination.
• If production packaging is not yet available, disposable packaging (with layer separation) may be used.
Components shall be packaged so as not to incur damage from adjacent parts (dings, dents, scratches, etc.)
while in transit. Packaging must have rust inhibiting qualities to ensure the parts stay free from rust for 6
months in a controlled inventory environment.
• Submission of prototype parts (inspection data and part identification) shall be per the SP-11 procedure.
The SP-11 requirements will be as noted on the AAM Purchase Order.
Verification of Customer Interface Points
Part features identified as Customer Interface Points (CIP) shall be incorporated in the PFMEA, process
control plan, layered audits, and error-proofing. Additional items to be checked shall be defined during the
APQP process. These features shall be verified at a frequency of 100% unless approved by AAM Supplier
Quality.
Sub-Tier Suppliers
Suppliers are responsible for adhering to AIAG Special Process Assessment CQI-19, Sub-Supplier
Management Process Guideline, and any additional AAM requirements (see section 3) for all components of
the assembly (including Directed Buy components) unless otherwise specified by AAM Supplier Quality. AAM
may, at their discretion, assign an SQE or designee to work with a Supplier’s SQE or designee for the
purposes of learning, inputting, and concurring on quality reporting and/or quality issues related to
purchased components.
Traceability
A Traceability scheme shall be developed in accordance with regional and divisional requirements.
Traceability scheme may include manufacturing date code and lot control. Items to be traced shall be
determined during the APQP process.

6.3. Labeling and Lot Traceability

• Suppliers must ship against the DELJIT (or 862s) using AAM’s Global Transport Partner Label (GTBL)
Specification, as described below.
• Two B16 barcode labels must be positioned properly with scans readable.
• Master Labels (multiple containers on a unit load) and Mixed Labels (multiple part numbers on a unit load)
are required and should be placed OUTSIDE shrink wrap.
• Ensure all ‘old’ labels are removed prior to shipment.
• AAM requires and uses the supplier labels in multiple scanning applications. AAM will generate Problem
Reporting & Resolution documents (PRR’s) for recurring issues within barcode labeling compliance (Missing
labels, incorrect data on labels, un-readable labels, etc.
Shipping Requirements
All shipments must be accompanied by the appropriate documentation for each specific transportation mode
routing as listed below, including, but not limited to: Bills of Lading, Waybills, Customs Documents
(Commercial Invoice, Packing List, NAFTA Certificates, etc), SDS (Safety Data Sheet), Mill Certificates (for
Steel).
Logistics Requirements
Excess Transportation Costs - Premium Transportation
Documentation Requirements
AAM suppliers must provide the required documentation for all international transactions. Required
documentation varies depending on the country of export and import, type of material, and special programs
involved. When preparing commercial documents for material being sold and exported to AAM, the suppliers
must provide the below list of documents. AAM will provide country-specific instructions for countries that
require additional data or documents. Documentation must always agree with the Purchase Order received.
Invoices must be typed - not handwritten.
Changes to Process or Supply Chain
Supplier shall notify AAM of, and AAM shall approve, any planned changes to supplier or sub-supplier process
or packaging. This includes any changes to nominal control parameters other than adjustments made to re-
center a process, and includes any plans to source purchased materials from two or more suppliers (dual or
multiple sourcing strategy).

Change in Manufacturing site or Shipping Location

AAM requires that suppliers with international transactions notify AAM immediately if a change in production
or shipping location is being considered. All changes must be pre-approved by the AAM Buyer and upon
completion of such change, the supplier must disclose the new production country and provide new
certificates of origin or other special program documentation as required. Written notice should be provided
to the AAM Global Trade Compliance team at [email protected]. This is required for AAM to comply
with special trade program requirements and to avoid any trade-related compliance issues or restrictions.

Country of origin must be shown on the commercial invoice for all articles.
5.1. Engineering Changes and Deviations
To ensure product integrity, all changes to product or process must receive AAM Engineering approval in
writing before implementation.
After an approved deviation is granted in writing, initial shipment of all modified product must be clearly
identified as directed.
Supplier must ensure that all supporting documentation is updated; a PPAP submission may be required.
AAM monitors supplier performance data for PPM, PRRs, number of occurrences of premium freight, 1. Supplier Rating is arrived on the following basis:
Controlled Shipping Level I and II, Major Assembly Plant Disruptions, and ISO/IATF 16949. Suppliers shall Supplier Rating = (Rejection Rating (OCC) + Rejection PPM +
monitor their quality performance through iSupplier Portal. Poor performing suppliers may be required to End Customer Complaint Rating due to Incoming parts
attend Corporate or Plant Supplier Quality Performance Review (SPR) meetings to review their quality (Rejection / CPP) +Delivery Schedule Performance + Line
systems and corrective actions. stoppage + Field Return + Premium Freight + Notifications
Rating)
AAM will monitor delivery performance and will generate Problem Reporting & Resolution documents (PRR’s)
for recurring issues within the supply chain requirements addressed in this section of the manual: Incorrect
Shipping Paperwork, Packaging, Labeling, ASN violations (early/late, missing/incorrect), Early/Late/Missing
shipments, etc.
For product characteristics identified on AAM product drawings as AC, CC, or SC, the following Inspection
Cadence and Process Capability requirements apply:
AAM SymbolACCCSCSymbol NameAttribute CharacteristicControlled CharacteristicSignificant
CharacteristicInspection Cadence100%Stated Regular IntervalStated Regular IntervalInitial Process
Capability TargetNoneCpk >= 1.33Cpk >= 1.67Ongoing Process Capability TargetNonePpk >=1.33Ppk
>=1.33

If during Product / Process development, Supplier believes there will be difficulty meeting the above
capability, the Supplier shall immediately notify their Supplier Quality Engineer and develop a plan to assure
compliance and/or obtain formal written approval to deviate from the capability requirements.
Delivery Performance
Suppliers are required to ship On-Time, In Full (OTIF) and performance will be measured against the date /
window time. Suppliers are expected to maintain a 100% OTIF rating.
Suppliers should review their performance reports on the iSupplier Portal.
Supplier shall identify and communicate proactively any delivery deviation to the AAM shipping schedules to
the affected AAM location(s), prior to shipment. Timing of the communication shall allow for corrective action
and continuous improvement. Examples of areas for communication are (but not limited to):
• product will not be available at the shipping date/time of planned pick-up
• shortages
• carrier or freight forwarder issue(s)
• returnable container shortage
• need to ship in alternate containers (i.e., invoke secondary container)

Supplier shall communicate to the Material Planner and the Plant Materials Manager any event that affects its
ability to comply with AAM’s shipping schedules. Examples include, but are not limited to: machine
breakdowns, quality holds, capacity problems, force majeure (fire, flood, winter storm, etc.), and any other
extenuating circumstances.
Suppliers with union contract shall advise in writing within 60 days of the contract expiration date to ensure
an agreed upon bank protection plan is in place. Supplier shall also communicate immediately upon
ratification of a new contract, which will trigger the agreement to deplete the protection bank.
Quality Systems
Suppliers shall have effective Quality Systems as defined and measured in the AAM Supplier Assessment
form (SQ-9F-011). Documented layered audit plan shall exist with a minimum frequency of once per shift.
Non-conformities shall be addressed immediately, and corrective action shall be documented. Audit plan shall
include multiple levels of management. Site leadership shall verify compliance to the documented plan.
MMOG
All direct material suppliers should complete an annual Material Management Operations Guideline / Logistics
Evaluation (MMOG/LE) self-assessment.
The global MMOG/LE is a self-assessment and continuous improvement tool that provides the means to
enhance materials management efficiency and accuracy while reducing costs from errors and waste.
MMOG/LE is a global standard of industry best practice for supply chain management processes. Its purpose
is to establish a common definition of supply chain management best practice and is a common evaluation.
The expectation of AAM is that direct material suppliers actively use this tool to:
• Drive continuous improvement by identifying and eliminating waste in the supply chain...
• Identify risks and mitigate with active contingency plans...
• Document the gap analysis and prepare action plans to address deficiencies in the supply chain..
• Increase supplier delivery performance.
Minimum Score
Tier 1 Suppliers: V4 – Full Version A
Tier 2 Suppliers: V4 – Basic Version (minimum) ZA
Containment
All non-conforming and suspect material shall be controlled. Method shall be clearly defined. Visual controls
should be implemented. All non-conforming material shall be segregated and identified. SP-12 shall be
implemented during launch. Upon request of AAM Supplier Quality, additional levels of proactive containment
may be required. Should a problem occur, suppliers are required to implement effective and immediate spill
containment and comply fully with SP-5 requirements for controlled shipping.

Problem Resolution
Supplier shall resolve problems in timely fashion using appropriate techniques such as 8-D, 5-Why, Shainin®,
etc. Responses to all issues raised in the online system shall be responded within that system.
Error- Proofing
Supplier shall prepare PFMEA in accordance with AIAG standards. For any failure mode exhibiting a Severity
ranking of 7 or higher, automated error-proofing techniques shall be implemented. PFMEA and associated
error-proofing plan shall be reviewed with and approved by AAM Supplier Quality. All error-proofing devices
shall be checked for function (failure or simulated failure) at the beginning of each shift, or according to
AAM-approved Process Control Plan.
Topic Key metrics WABCO internal standards Volkswagen
Field investigations Warranty CSR/Manual Agreements signed with customers 10.2.5 Warranty management systems
reference The process of Failure Analysis including
NTF shall be implemented.
Procedure shall comply with VDA Volume
“Field Failure Analysis“

Claims closure - Lead time Initial response - 5 days -

Root cause investigation - 10 days
8D proposal to customer - 15 days
Warranty Management Warranty period for OEMs - 2 years or unlimited Kms

Warranty period for No warranty -

aftermarket
Warranty cost calculation - Based on customer agreements Based on customer agreements
Claims occurred in
Domestic markets

Warranty cost calculation - -

Claims at Export markets
Failed parts investigation at -
customer premises

Collection of failed parts -

Scrapping of parts at -
customer premises

Special warranty cases - Will be decided on case to case basis Will be decided on case to case basis
Campaign, recalls etc
Acceptance rate To be aligned with OEM -

No Fault found As per DP-07-CS-02 -

IATF 10.2.5 - Customer Specific Requirement - Field C
FIAT Chrysler Automobiles Tata Ashok Leyland
FCA CSR Purchasing agreement; TML CSR, General purchasing agreement (GPA)
TML supplier Manual

Returned Parts Analysis Within 30 days 6.2 Field Issue Severity and Resolution
Organizations that provide production or Suppliers shall adhere to timeline for field issues
non-exempt service parts or components resolution as per the below tabulated information.
shall participate in the Note: However, Ashok Leyland may seek supplier to
review, testing and analysis of returned ensure initial action implementation immediately based
components and shall include analysis of on Ashok Leyland’s customer demands.
the interaction of embedded software, if
applicable. The Warranty Claim Procedure covering the scope,
Technical Support period, costs etc. will be as mentioned in detail under
Organizations that provide production and GPA (General purchase Agreement)
non-exempt service parts and components
shall provide all
necessary support to FCA in the
investigation and resolution of supplier-
associated warranty issues.
The analysis and support above mentioned
can be carried on through Tutorship and
Field Management
programs.
Automotive Warranty Management (AWM) Warranty is applicable from the As per GPA:
Organizations providing production and date of sale of chassis whichever MDV/ICV/LCV truck and bus excluding tippers: 24
non-exempt service parts and components occurs earlier as below: months from the date of sale of chassis / vehicle or
to FCA shall support Compressor - 1.5 years or 2,00,000 kms whichever is earlier
improvement in Customer satisfaction 150,000 kms for normal MDV/ICV/LCV tippers: 12 months from the date of
through pursuit and achievement of applications; 1 year or 2500 hours sale of chassis / vehicle or 1500 hours whichever is
warranty reduction targets for special application earlier
established by FCA, where applicable. Special vehicles (Haulage/tractors): 6 months from the
Organizations shall use the latest available Other than compressors - 2 years regristration of vehicle or 32000 kms whichever is
edition of CQI-14: Automotive Warranty or 200,000 kms for normal earlier or as per contract of sale
Management to integrate applications; 1 year or 2500 hours Fully built: Body warranty to be inline with vehicle
warranty into their quality management for special application warranty
system.
Evaluation shall be by self-assessment. However, WABCO warranty policy is being applied as
The self-assessment shall be conducted below:
annually, but may be Warranty is applicable from the date of sale of chassis
repeated as needed. The self-assessment whichever occurs earlier as below:
may be conducted as part of the Compressor - 1.5 years or 150,000 kms for normal
Organization’s internal quality applications; 1 year or 2500 hours for special
audit or conducted separately. The self- application
assessment shall be conducted using the
self-assessment Other than compressors - 2 years or 200,000 kms for
spreadsheet tool from CQI-14. The normal applications; 1 year or 2500 hours for special
completed spreadsheet shall serve as a application
record of the self-assessment.
Implementation of Automotive Warranty
Management shall proceed in three
stages:
1. Organization identifies and implements
necessary changes to quality
management system processes,
trains responsible personnel and conducts
initial, “baseline” self-assessment.
2. Organization establishes internal
performance goals, develops prioritized
corrective action plan to
achieve these goals and prepares an
assessment schedule.
3. Organization monitors performance,
continues with self-assessments and
updates corrective action
No warranty No specific requirement. Warranty not applicable
CSR point 21: Product liability: As per GPA - AL decision in final incase of
Supplier shall sign off mutually disagreements
agreed warranty procedure made
for supplier designed products and
in case of TML designed parts,
supplier shall be
liable for any manufacturing
defects if observed during the
course of usage / product
life. Also the supplier will be liable
for the consequential defects due
to part
manufacturing defects.

TML will debit 2x OE supply price.

Incase of no OE supplies, 2x
Spare parts cost will be debited

No recovery for export debits. In As per GPA - AL decision in final incase of

special cases, customer will send disagreements
claims details for WABCO
approval. Based on the same,
customer can proceed for
approval
CSR point 7: Warranty Analysis: L0 investigation available at AL Chennai for joint
Supplier to attend the warranty verification of returned products from field.
analysis meeting as per schedule.

WABCO accepted parts in L0 will Collection of failed parts from dealer lies with AL.
be dispatched Failed parts from AL Field Quality Center (FQC) will be
provided to WABCO after preliminary joint (L0)
investigations.
List will be available with WABCO. List will be available with WABCO. Customer will scrap
Customer will scrap WABCO WABCO rejected parts. No documented evidence for
rejected parts including child customer scrap will be available with WABCO
parts/repair kits. No documented
evidence for customer scrap will
be available with WABCO

Will be decided on case to case Will be decided on case to case basis

basis
To be aligned on weekly basis To be aligned based on L0 investigations and warranty
based on warranty failed part data from AL. Periodicity is based on AL's data sharing
investigations with WABCO.

No specific requirement No specific requirement

ecific Requirement - Field Claims Management (Warranty)
DICV Volvo Eicher Mahindra
DICV Special terms Volvo Supplier Quality Assurance manual, Volvo Warranty charter Production part approval
process

Supplier shall provide feedback on the status with initial test Countermeasure plan to be submitted within 15 days after getting No specific requirement
results to DICV within 10 working days of the supplier's receiving defective parts from field / customer plant
the goods.
In the case of acceptance, the supplier shall submit an 8D report
per defect profile. If after a maximum of 20 working days from
receipt of the parts by the supplier, no concluding inspection
result is available, the parts pertaining to this test report shall be
regarded as accepted. These periods may be extended by mutual
agreement, where such extension is justified.

8.16 CONSOLIDATION CENTER- QUALITY REQUIREMENTS

Agreement of Inspection approval by DICV and Overseas Supplier
Management is must for all CC-India
supplies.
AOI completion and PPAP approval are required for SOP
All quality claims received by CC-India has to undergo Quality
claim addressing process as in DICV series
supplies and in addition ICA establishment in respective receipt
plant is Suppliers responsibility

9.24 WARRANTY CLAIMS AGAINST SUPPLIERS

Compressor - 2 years or 200,000 kms for normal applications; 2 Compressor - 1.5 years or 150,000 kms for normal applications; 1 Compressor - 1.5 years or
year or 4000 hours for special application year or 2500 hours for special application 150,000 kms for normal
Valves - 2 years or 200,000 kms for normal applications; 2 years Valves - 2 years or 200,000 kms for normal applications; 1 year or applications; 1 year or 2500
or 4000 hours for special application 1500 hours for tipper and crane application hours for special application
Valves - 2 years or 200,000
kms for normal applications; 1
year or 2500 hours for special
application

No specific requirement Warranty will be applicable for first buyers only No warranty
The warranty costs comprise the costs of all such parts repaired Warranty parts replacement on free of cost, where the component
or replaced including those of consequential failures as well as all is beyond repairs @ 2.5 times of MAP (Moving Average Price)(OE
such costs of labour, consumables and freight involved in price) prevailing at the time of
repair/replacement. failure. ( Based on investigation report)

Recovery volume = AQ x warranty costs of the supplier worldwide In case part is not replaced, then cost of repair of parts or need to
be repaired shall be compensated by
The supplier will receive an invoice - generally once a quarter - supplier.
stating the accumulated cost of the damage claims logged
worldwide in the DICV systems and the incidents of damage In case of post cut off failure, supplier shall
attributable to the supplier over the warranty period. compensate for cost of rework / repair / replacement including labor
charges.

In case of no response by supplier within 2 working days. of the

customer complaint receives ,Customer has a right to take final
decision for the warranty cost compensation as explained in 5.1 ,5.2
& 5.3 clauses

In case "supplier calls the suspected parts (parts

which has not failed yet) the cost for the same shall be
compensated by supplier without any conclusion on analysis.
Number of parts called back to be mutually agreed.

Any concern regarding cost compensation shall not be entertained

after three month of cost execution

If any campaign conducted by customer (as per

clause 6.3) supplier has to compensate cost @ OEM price for all
replaced parts, labor charges, taxes & transportation etc.

The supplier and DICV shall each bear their own costs associated Export vehicle failures cost shall be compensated based on
with the inspection, including the costs of returning and making domestic performance of the parts with mutual consent.
available the parts.
Supplier shall compensate for the similar agreed kind of failures
Determination of warranty costs: Recovery volume = AQ x with joint analysis report. Failure Information shall be shared by
warranty costs of the supplier worldwide customer on regular basis
2.1. Ascertaining Defects Quick Solving Process: Not applicable
Defects shall be ascertained by DICV sales organization and then QSP is applied when the failure is related (directly or indirectly) to a
fed into DICV systems for handling quality defects. The damaged supplier part that is found to
parts shall be identified as initially defective by DICV. deviate from the technical specifications for the part. (e.g.
manufacturing process deviation)
L0 investigation available at DICV for joint verification of returned o The solving process will be led by the supplier and Volvo will
products from field. monitor progress of the
implementation and verification of the solution
o An 8D report is required for all QSP
o Expected Solving Lead-Time is the same as for Inspection
Report, see 8.1

Quality Journal:
The QJ process is applied for critical and complex cases where the
problem is determined to be
related to Volvo design or process where a supplier part or product
is involved
o The supplier will be notified by an official letter of the opening of a
QJ
o The QJ will be led by Volvo, the supplier is expected to take an
active part in the crossfunctional
work
o Expected Solving Lead-Time is communicated in the QJ
notification letter

When a quality defect is discovered, in order to reduce the cost Domestic failures: Customer will provide the dispatch able failed Failed parts collected at
and time involved in the process of returning and analyzing all parts on sample basis, (up to 50 % of total failure parts) which are Mahindra PRC to be sent to
damaged parts, new defect inspection shall be carried out and the covered under warranty. The 'freight charges will be paid by WABCO
supplier's contribution to the costs shall be determined, by means supplier. Non dispatch able parts will be provided for analysis on
of a random sample. The size of the random sample shall case to case basis.
generally be 10-15% of the damaged parts, but not to exceed 50
parts per year of occurrence or per parts family. In case of export vehicle failure, customer shall not provide any
If the parts are not used for the inspection and are not returned to failed part. Warranty decision will be taken based on performance
the supplier for technical analysis or overhaul, they shall be of the parts in domestic vehicles with mutual consent. Customer will
scrapped by DICV communicate to supplier with details of failures through Failure
Information report (FIR).
List will be available with WABCO. Customer will scrap WABCO List will be available with WABCO. Customer will scrap WABCO List will be available with
rejected parts including child parts/repair kits. No documented rejected parts including child parts/repair kits. No documented WABCO. Customer will scrap
evidence for customer scrap will be available with WABCO evidence for customer scrap will be available with WABCO WABCO rejected parts
including child parts/repair kits.
No documented evidence for
customer scrap will be available
with WABCO

In addition to the rights available to DICV to make claims (whether Will be decided on case to case basis Will be decided on case to case
provided under this supply contract or under applicable laws), the basis
supplier shall, as and when called upon by DICV, initiate proactive
steps in identifying defects and resolve the defect at the earliest
possible time to avoid any reputation risk or financial risk to DICV.
Frequent meetings will take place between the supplier and DICV
in order to monitor, analyze failures so as to make technical
improvements and to take corrective actions.
In the event that there occurs any widespread failure or safety
critical failure of any of the products which is due to faults arising
out of non-conformance to the design, material or workmanship,
then, the supplier will at its cost place at the disposal of DICV all
such necessary repair or modification to the parts and all such
other assistance as DICV may reasonably request in connection
with any rectification campaign undertaken by them or on their
behalf and supplier will pay to DICV all their reasonable costs
(parts + labour + freight costs/handling) incurred in consequence
of such widespread failure.
As used in this clause "widespread failure" means the same type
of failure occurring in the product supplied by the supplier that
affects the performance of the vehicle, safety of the customer,
brand image of DICV or causes customer dissatisfaction.
Based on an inspection of the damaged parts contained in the As per warranty charter -
random sample, DICV and the supplier shall generally agree the
acceptance rate on a quarterly basis. This will be calculated from
the number of defects accepted from the random sample in
relation to the number of defects contained in the random sample
within the defect period.

In the case of product changes, process changes or production

relocations which have not been announced or approved by
DICV, the acceptance rate shall be 100%, unless the supplier
proves that there is no causal connection with the occurrence of
the defect. In the case of assemblies or multi-part deliveries, this
includes the parts procured by the supplier from sub-suppliers.

If, following an initial analysis, no faults or causes of failure have No specific requirement -
been determined, DICV and the supplier agree to an extended
analysis, which both parties will actively support, e.g. more
extensive analysis methods, introduction of regular
communication, special measures in the development phase up to
and including on-site support in the event of arising problems.
TCL SML Isuzu VOLVO India/VEPT/Volvo Thailand (TSA)
Cummins supplierhandbook Warranty recovery policy Volvo Supplier Quality Assurance manual, Volvo Warranty charter

Vendor shall submit analysis report for the Countermeasure plan to be submitted within 15 days after getting
failed part / countermeasure plan defective parts from field / customer plant
submission within 15 days
When a warranty agreement exists with Compressor - 1.5 years or 150,000 kms Valves - 2 years or 200,000 kms for normal applications; 1 year or
Cummins or when notified by the SM or for normal applications; 1 year or 2500 1500 hours for tipper and crane application
SQIE, the organization shall implement a hours for special application
warranty management process. The Valves - 2 years or 200,000 kms for
organization shall include in the process a normal applications; 1 year or 1500 hours
method for warranty parts analysis, for special application
including NTF (no trouble found). (CQI-14:
Automotive Warranty Management: A
Guideline for Industry Best Practice).

Warranty will be applicable for first buyers Warranty will be applicable for first buyers only
only
Debits done by TML Warranty parts, where the component is Based on customer acceptance on a case to case basis
beyond repairs @ 2.5 times of current OE
price (no labor cost)

In case part is not replaced, then cost of

repair of parts or need to be repaired shall
be compensated by
supplier.

In case of no response by supplier within 2

working days. of the customer complaint
receives ,Customer has a right to take final
decision for the warranty cost
compensation as explained above with
prior consensus with vendor
representative

In case "supplier calls the suspected parts

(parts
which has not failed yet) the cost for the
same shall be compensated by supplier
without any conclusion on analysis.
Number of parts called back to be mutually
agreed.

Export vehicle failures cost shall be -

compensated based on domestic
performance of the parts with mutual
consent.
Investigation to be done at TML during Not applicable Quick Solving Process:
weekly warranty meetings QSP is applied when the failure is related (directly or indirectly) to a
supplier part that is found to
deviate from the technical specifications for the part. (e.g.
manufacturing process deviation)
o The solving process will be led by the supplier and Volvo will
monitor progress of the
implementation and verification of the solution
o An 8D report is required for all QSP
o Expected Solving Lead-Time is the same as for Inspection
Report, see 8.1

Customer shall inform vendor within 2 -

working days of failure in the case of joint
analysis. The suspected defective unit
must be made available in undisturbed
condition for joint investigation

In case of export vehicle failure, customer

shall not provide any failed part. Warranty
decision will be taken based on
performance of the parts in domestic
vehicles with mutual consent. Customer
will communicate to supplier with details of
failures through Failure Information report
(FIR).
List will be available with WABCO. List will be available with WABCO. Customer will scrap WABCO
Customer will scrap WABCO rejected rejected parts including child parts/repair kits. No documented
parts including child parts/repair kits. No evidence for customer scrap will be available with WABCO
documented evidence for customer scrap
will be available with WABCO

Will be decided on case to case basis Will be decided on case to case basis Will be decided on case to case basis
To be aligned on weekly basis based on - As per warranty charter
warranty failed part investigations

- - No specific requirement
Sl.no Customer code Customer description Customer group CQL
1 I100500 AVTEC Limited A01 : Daimler Mohankumar
2 I100680 Watson & Chalin India Private Limit A01 : Daimler Mohankumar
3 I100610 Daimler India Commercial Vehicles P A01 : Daimler Mohankumar
4 I100970 WHEELS INDIA LTD - LIFT AIR SUS DIV A01 : Daimler Mohankumar
5 I101148 DANA INDIA PVT LTD A01 : Daimler Mohankumar
6 I100465 Daimler India Commercial Vehicles P A01 : Daimler Mohankumar
7 I101225 AAM INDIA MFG CORPORATION PVT LTD A01 : Daimler Mohankumar
8 I100065 Automotive Axles Limited A01 : Daimler Mohankumar
9 I101040 VE Commercial Vehicles Limited A04 : Volvo Mohankumar
10 I100695 VE Commercial Vehicle Ltd. -VEPT A04 : Volvo Mohankumar
11 I500580 Thai-Swedish Assembly Co. Ltd A04 : Volvo Mohankumar
12 I500630 TMBP Limited A04 : Volvo Mohankumar
13 I101207 VE COMMERCIAL VEHICLES LIMITED A04 : Volvo Mohankumar
14 118177 ZAO "CUMMINS KAMA" E02 : Cummins Andre Polyalkov
15 I100400 Mahindra Vehicle Manufacturers A09 : Mahindra Arun
16 I100415 Mahindra & Mahindra Ltd A09 : Mahindra Arun
17 I100270 Mahindra & Mahindra Ltd - A09 : Mahindra Arun
18 I100018 Mahindra & Mahindra Ltd - A09 : Mahindra Arun
19 I101256 Mahindra Vehicle Manufacture A09 : Mahindra Arun
20 I100375 Mahindra Heavy Engines Ltd. A09 : Mahindra Arun
21 I101134 MAHINDRA & MAHINDRA LTD. A09 : Mahindra Arun
22 I101079 Mahindra & Mahindra Limited A09 : Mahindra Arun
23 I101303 Mahindra Heavy Engines Limited A09 : Mahindra Arun
24 I500850 SSANGYONG MOTOR CO A09 : Mahindra Arun
25 I100000 Ashok Leyland Ltd A10 : Ashok Leyland Joseph Kanish
26 I100645 Ashok Leyland Limited A10 : Ashok Leyland Joseph Kanish
27 I100115 ASHOK LEYLAND LIMITED A10 : Ashok Leyland Joseph Kanish
28 I100004 Ashok Leyland Ltd A10 : Ashok Leyland Joseph Kanish
29 I100002 Ashok Leyland Ltd - Hosur Unit II A10 : Ashok Leyland Joseph Kanish
30 I101257 ASHOK LEYLAND LTD PD - ENNOR A10 : Ashok Leyland Joseph Kanish
31 I100975 ASHOK LEYLAND DEFENCE SYSTEMS LTD A10 : Ashok Leyland Joseph Kanish
32 I101161 Masu Brakes Pvt.. Ltd A10 : Ashok Leyland Joseph Kanish
33 I100705 Ashok Leyland Ltd A10 : Ashok Leyland Joseph Kanish
34 I100001 Ashok Leyland Ltd - Hosur Unit I A10 : Ashok Leyland Joseph Kanish
35 I101046 PRABHA AUTOMOTIVE ENGINEERS A10 : Ashok Leyland Joseph Kanish
36 I100075 SURIN AUTOMOTIVE PVT.LTD., A10 : Ashok Leyland Joseph Kanish
37 I100740 ASHOK LEYLAND LTD A10 : Ashok Leyland Joseph Kanish
38 I100196 PRABHA AUTOMOTIVE ENGINEERS A10 : Ashok Leyland Joseph Kanish
39 I100195 Praba Auto Products (P) Ltd A10 : Ashok Leyland Joseph Kanish
40 I100755 SURIN AUTOMOTIVE PVT. LTD. A10 : Ashok Leyland Joseph Kanish
41 I101131 Prabha Engineers A10 : Ashok Leyland Joseph Kanish
42 I101175 TONGLIT AUTOGISTIC PRIVATE LIMITED A10 : Ashok Leyland Joseph Kanish
43 I100945 PRABHA ENGINEERS A10 : Ashok Leyland Joseph Kanish
44 I100946 SURIN AUTOMOTIVE PVT LTD A10 : Ashok Leyland Joseph Kanish
45 I101105 Neel Metal Products Ltd A10 : Ashok Leyland Joseph Kanish
46 I101255 ASHOK LEYLAND LIMITED A10 : Ashok Leyland Joseph Kanish
47 I100305 TATA Motors Limited A13 : TATA Arun
48 I100725 TATA MOTORS LIMITED A13 : TATA Arun
49 I100008 TATA Motors Limited A13 : TATA Arun
50 I100545 TATA MOTORS LTD., A13 : TATA Arun
51 I100835 TATA MOTORS LIMITED A13 : TATA Arun
52 I101230 TATA MOTORS LIMITED A13 : TATA Arun
53 I100087 Wheels India Limited A13 : TATA Arun
54 I100200 Brakes India Private Limited A13 : TATA Arun
55 I100805 Mahabal Auto Ancillaries Ltd A13 : TATA Arun
56 I101082 Tata Motors Limited A13 : TATA Arun
57 I101200 AMTEK AUTO LIMITED-SANASWADI A13 : TATA Arun
58 I101323 TATA MOTOTRS LIMITED A13 : TATA Arun
59 I100340 TAL Manufacturing Solutions Limited A13 : TATA Arun
60 I101297 The Supreme Industries Limited A13 : TATA Arun
61 I100020 SML ISUZU LIMITED A28 : Swaraj Mazda Muthukumar
62 I100520 Tata Cummins private limited E31 : TATA Cummins Arun
63 I100550 Tata Cummins private limited E31 : TATA Cummins Arun
64 I500870 SSANGYONG MOTOR CO D09 : Ssangyong Arun
65 I100985 Volkswagen India Private Limited D10 : VW/Audi Kumaravel
66 I100260 TATA INTERNATIONAL DLT Pvt.Ltd., BC2 : TATA Arun
67 I101026 TATA INTERNATIONAL DLT PVT LTD BC2 : TATA Arun
68 I101127 TATA INTERNATIONAL DLT PVT LIMITED BC2 : TATA Arun
69 I100980 TATA INTERNATIONAL DLT PVT.LTD BC2 : TATA Arun
KAL
Jameel Baig
Jameel Baig
Jameel Baig
Jameel Baig
Jameel Baig
Jameel Baig
Jameel Baig
Jameel Baig
Sushilkumar
Sushilkumar
Hiroomi Tano
Hiroomi Tano
Sushilkumar
Andre Polyalkov
Sham James
Sham James
Sham James
Sham James
Sham James
Sham James
Sham James
Sham James
Sham James
Sham James
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shankar
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Ganesh Vijayakumar
Shanmugasundaram
Shanmugasundaram
Sham James
Sham James
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Shanmugasundaram
Customer Specific Requirements - Monthly Revision
Sl.no Customer CSR description Latest CQL
revision
(MM/YY)
1 Ashok Leyland AL Sourcing Manual 10/19 Joseph Kanish
2 Daimler India DICV_2020_Special terms 03/20 Mohankumar
Supplier Quality Manual Aug-20
3 Mahindra Mahindra Guideline_Suppliers 10/10 Kumaravel
4 Swaraj Mazda SMLISUZU Supplier Quality Manual 07/19 Radhakrishnan
5 TATA TML_CSR; 01/20 Arun
TML Supplier Quality Manual 01/20
6 TATA Cummins Cummins Supplier handbook 05/19 Arun
7 Volvo Group Volvo Supplier Quality Assurance Manual 2019 Arun
8 VW Customer-Specific-Requirements (CSR‘s) 01/18 Kumaravel
of Volkswagen Group
9 FIAT India Customer-Specific Requirements for 03/19 Kumaravel
Automobiles Ltd IATF16949
10 Surin Automotive SUPPLIER DEVELOPMENT 10/19 Chandrasekar
MANUAL
11 American Axle & Supplier requirements manual 10/19 Kumaravel
Manufacturing
12 PRABHA SUPPLIER QUALITY ASSURANCE MANUAL 01/20 Chandrasekar
AUTOMOTIVE
ENGINEERS Pvt. Ltd

Last update: 5th Feb-21

ments - Monthly Revision Level tracking
KAL

Jul-20

Sep-20

Oct-20

Dec-20
May-20
Nov-19

Aug-20

Nov-20
Dec-19

Mar-20
Sep-19

Feb-20

Jun-20
Apr-20
Oct-19

Jan-20

Jan-21
Shankar
Jameel Baig

Sham James
Ganesh Vijayakumar
Shanmugasundaram

Sham James
Sushil Kumar
Subhash Ghanwat

Subhash Ghanwat

CSR revised by OEM, In review

New CSR updated in CSR matrix

No change in CSR

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