SUPPLIER QUALITY ASSURANCE MANUAL - Sur-Seal · 4.1 Packaging, Labeling and Shipping 4-1 All 4.2...

ISSUE: Initial

Cover Page

October 1, 2014 SECTION: PAGE:

SUPPLIER

QUALITY

ASSURANCE

MANUAL

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SUPPLIER QUALITY ASSURANCE MANUAL

TABLE OF CONTENTS

ISSUE: Initial

Table of Contents

October 1, 2014 SECTION: TOC PAGE: i

Section Page Supplier

Applicability *

1 - Introduction and General Requirements 1.0 Introduction to the Supplier Quality Assurance Manual 1-1 All 1.1 Confidentiality 1-1 All 1.2 Identification & Traceability 1-1 All 1.3 Safety, Environmental and Security Requirements 1-2 All 1.4 Contact Information 1-2 All

2 - Business Preparation 2.0 Supplier Certification 2-1 All 2.1 Designation of Supplier Representatives 2-1 All

3 - Pre-Production Preparation 3.0 Pre-Production Milestone Overview 3-1 Finished Goods 3.1 Part Inspection Standard 3-1 Finished Goods 3.2 Part Submission Warrant 3-2 Finished Goods 3.3 Checking Fixtures, Gages and Test Equipment 3-3 All 3.4 Process Flow Chart 3-4 All 3.5 Process Failure Mode Effects Analysis 3-4 All 3.6 Process Control Plan 3-5 All 3.7 Submission of Initial Sample (FAI) Parts and Inspection

Reports 3-5 Finished Goods

3.8 Approval of Initial Sample (FAI) Parts 3-7 Finished Goods

3.9 Process Validation 3-7 All

4 - Mass Production 4.0 Sub-Supplier Quality Assurance 4-1 All 4.1 Packaging, Labeling and Shipping 4-1 All 4.2 Deviation Request 4-3 All 4.3 Notice of Suspected Shipment of Nonconforming Material 4-3 All 4.4 Nonconformance Handling and Corrective Actions 4-4 All 4.5 Engineering Change Implementation 4-6 All 4.6 Process and Sub-supplier Change Requests 4-7 All 4.7 Supplier Quality and Process Audits 4-8 All

5 - Blank Forms 5.0 Supplier Contact Designation Form 5.1 All 5.1 Part Inspection Standard 5.2 Finished Goods


TABLE OF CONTENTS

ISSUE: Initial

Table of Contents

October 1, 2014 SECTION: TOC PAGE: ii

5.2 Part Submission Warrant 5.4 Finished Goods

5.3 Process Flow Chart 5.5 All 5.4 Process FMEA 5.6 All 5.5 Process Control Plan 5.7 All 5.6 Initial Sample Inspection Report 5.9 Finished Goods 5.7 Supplier Deviation Request Form 5.10 All 5.8 Supplier Notice of Shipment of Nonconforming Product 5.11 All 5.9 Supplier Corrective Action Request (SCAR) 5.12 All

5.10 Process Change Request Form 5.14 All

* Supplier Applicability Note:

“All” = Suppliers of finished goods, component parts and raw materials.

“Finished Goods” = Suppliers of all product except raw materials.


Section 1 – Introduction and General Requirements

ISSUE: Initial

Introduction and General Requirements

October 1, 2014 SECTION: 1 PAGE: 1

1.0 INTRODUCTION TO THE SUPPLIER QUALITY ASSURANCE MANUAL

It is the goal of Sur-Seal to establish long term, mutually beneficial relationships with suppliers that are

committed to the production of high quality product, as well as the health and wellbeing of their

companies, employees and the communities in which they operate.

The purpose of the Supplier Quality Assurance Manual, henceforth referred to as SQAM, is as follows:

1. Communicate to the supplier, Sur-Seal’s expectations, goals and minimum requirements for assuring

the quality of supplied parts.

2. Encourage open communication of ideas, information and notification of problems between Sur-Seal

and suppliers.

3. Define the procedures and documents suppliers to Sur-Seal must follow and use to ensure an effective

quality assurance system is in place that will consistently deliver conforming product to both Sur-Seal

and its customers.

1.1 Confidentiality

The supplier must establish a system to ensure confidentiality beginning at quotation and continuing

through the life of the part.

All data, information and materials obtained through activities with Sur-Seal must be securely controlled,

treated with strict confidence and disposed of properly when no longer necessary.

1.2 Identification and Traceability

Identification:

1. The supplier must adhere to all identification requirements specified on the part drawing, Part

Inspection Standard or applicable regulation.

2. All molded and cast parts must be identified with a permanent cavity number on the part, including

parts produced from a single cavity tool. In the case where the cavity number location is not indicated

on the part drawing or Part Inspection Standard provided by Sur-Seal, the supplier must notify their

Sur-Seal quality engineering contact who has the responsibility of obtaining that information for the

supplier.

3. The supplier must document the details of all identification requirements on the Initial Sample

Inspection Report submitted with the First Article Inspection parts.

Traceability:

1. The supplier must develop a traceability system that begins from mass production through the life of

the part.



ISSUE: Initial



2. If no specification exists, the supplier should determine the appropriate level of traceability based on

past experience and industry standards.

3. The traceability system must account for material certification and date of receiving, date of

manufacturing, specific production equipment and other data that records the flow through the

manufacturing process.

1.3 Safety, Environmental and Security Requirements

Suppliers must follow all safety requirements presented to them by Sur-Seal when visiting Sur-Seal

facilities.

The supplier may be required to bring proof of insurance and worker’s compensation documentation

when visiting Sur-Seal facilities for the purpose of inspection, certification or rework activities.

In the case of an emergency evacuation, visitors should follow the evacuation route of Sur-Seal associates

in the area where the visitor is working.

Suppliers may not bring chemicals on-site unless they have obtained prior written approval from Sur-Seal.

A Material Safety Data Sheet must be provided to Sur-Seal prior to bringing the substance on-site.

1.4 Contact Information

Quality:

For issues related to this Supplier Quality Assurance Manual, the supplier should contact Sur-Seal using

the below:

Sur-Seal, Inc.

Attn: Quality Manager

6156 Wesselman Rd.

Cincinnati, Ohio 45248

Tel: (513) 574-8500

For all other quality related issues, the supplier should contact directly their designed Sur-Seal Quality

Control Engineer.

Planning:

For issues related to the planning and scheduling of orders, or the shipment thereof, the supplier should

contact directly their designated Sur-Seal planner. In the case that a planner has not yet been designated,

the supplier should contact Sur-Seal using the below:

Sur-Seal, Inc.



ISSUE: Initial



Attn: Material Flow Leader

6156 Wesselman Rd.

Cincinnati, Ohio 45248

Tel: (513) 574-8500


Section 2 – Business Preparation

ISSUE: Initial

Business Preparation


2.0 Supplier Certification

All suppliers of raw materials, component parts and finished goods to Sur-Seal must be certified as below:

1. Holding an active ISO 9001:2008 certification from an accredited registration company, a copy of

which can be provided to Sur-Seal Purchasing.

2. In lieu of an active ISO 9001:2008 certification, completion of a Sur-Seal Supplier Quality System

Self Audit which has been judged as acceptable by Sur-Seal.

In the event that the supplier does not hold an active ISO 9001:2008 registration, and the completed

Supplier Quality System Self Audit is judged as unacceptable, an action plan may be established between

Sur-Seal and the supplier to put immediate quality assurance measures in place to allow the supplier to

provide product to Sur-Seal while simultaneously implementing the necessary quality management

system enhancements to allow an acceptable judgment.

2.1 Designation of Supplier Representatives

The supplier shall submit a completed Supplier Contact Designation Form within ten days of receipt of this

manual. The form includes the following information:

1. Supplier Quality Representative

This person is the primary contact for all quality matters. Typically, the representative is either the

supplier Quality Manager or a Quality Engineer, and resides at the actual production location of the

supplied product. Typical responsibilities of this person are:

a. Maintaining quality systems compliant to Sur-Seal SQAM requirements.

b. Completion and submission of preproduction quality documentation.

c. Coordination of containment activities.

d. Quality problem resolution and reporting.

e. Return material authorizations.

The Supplier Quality Representative must be an active member of the supplier’s quality function.

2. Supplier Scheduling Representative

This person is the primary contact for all delivery matters. Typically, the representative is either the

supplier Production Control/Planning and Scheduling Manager or reports to that person. Typical

responsibilities of this person are:

a. Maintaining delivery performance standards per Sur-Seal purchase orders and forecasts.

b. Delivery problem resolution and reporting.


Section 2 – Business Preparation

ISSUE: Initial

Business Preparation


3. SQAM Contact

This person receives and maintains the Sur-Seal SQAM, including revisions to the manual.

4. Supplier Second Shift Quality Representative

This person is the emergency contact for both quality and delivery issues that require immediate

attention from the supplier during hours typically not covered by first (day) shift contacts. Sur-Seal

will utilize this contact only when a high likelihood exists that the issue at hand could or has already

caused difficulty for a Sur-Seal customer(s).

It is acceptable for the same name to appear on the form more than once, but the secondary contact in

any area must be different from the primary.


Section 3 - Pre-Production Preparation

ISSUE: Initial

Pre-Production Preparation


3.0 Pre-Production Milestone Overview

Supplier Responsibilities:

All suppliers are strongly encouraged to utilize a multidisciplinary, cross-functional team approach during

pre-production activities. The team should include members from all involved functions, including quality,

engineering, production control/planning & scheduling and manufacturing.

Typical Development Schedule:

The below diagram shows a typical product development schedule at Sur-Seal.

Given the wide variety of industries to which Sur-Seal provides product, specific product development

schedules and timing vary. Sur-Seal will make a considered effort to provide the most detailed timing

information available to the supplier once business has been awarded.

3.1 Part Inspection Standard

Purposed

The purpose of the Part Inspection Standard is threefold:

1. To establish the critical-to-quality characteristics of the part in the following areas:

a. Dimensions

b. Appearance

c. Performance/Function

d. Material

2. To establish the following inspection parameters for the critical-to-quality characteristics:

a. The acceptance criteria,



ISSUE: Initial



b. The launch quality containment plan (heightened inspection frequencies for first mass

production run), and

c. The standard mass production inspection methods & frequencies.

3. To establish agreement between Sur-Seal and the Supplier on items 1 & 2 above.

The Part Inspection Standard will never conflict with drawing specifications unless specifically noted, and

is intended to clarify and enhance the drawing specifications for quality assurance purposes.


The Supplier will receive a completed Part Inspection Standard signed by the responsible Sur-Seal Quality

Engineer and Quality Manager. The Part Inspection Standard will often be sent to the Supplier along with

the RFQ package, however, it is possible that the Part Inspection Standard will be sent some time after the

RFQ.

Once received, the Supplier must review the identified critical-to-quality (CTQ) characteristics and

determine agreement that:

1. The characteristics listed are critical to quality, and need to be controlled on a lot basis,

2. No other characteristics exist that need to be controlled, and

3. The tolerances, inspection frequencies and methods indicated can be met on a continuing basis.

If the Supplier is in agreement with items 1 – 3 above, they then must:

A. Sign the Part Inspection Standard in the supplier quality approval block,

B. Retain a copy for their records, and

C. Return a scanned version of the signed original in pdf format to the responsible Sur-Seal Quality

Engineer, minimally prior to submission of FAI samples, but preferably as soon as approved by

supplier.

If the Supplier disagrees with any of items 1 – 3 above, they then must contact the responsible Sur-Seal

Quality Engineer and explain their position. The Sur-Seal Quality Engineer will respond, and negotiations

will be begin on reaching an appropriate agreement.

3.2 Part Submission Warrant

Purpose:

The Part Submission Warrant (PSW) outlines the overall requirements for the supplier to meet/complete

either prior to, or concurrent with submission of FAI sample parts. The PSW will most often be sent to the

supplier shortly after being awarded the business by Sur-Seal, but could be sent along with the Part

Inspection Standard when circumstances dictate.



ISSUE: Initial




1. The Supplier must send the completed and signed PSW to the responsible Sur-Seal Quality Engineer

either prior to, or concurrent with submission of FAI sample parts.

2. All supporting documents indicated as necessary on the PSW must be submitted with the signed PSW.

These documents may include, but are not limited to signed Part Inspection Standard, Process Flow

Chart, Process FMEA, Process Control Plan and Initial Sample Inspection Report (ISIR).

The PSW will be signed by Sur-Seal and a copy returned to the supplier when all supplier supporting

documentation and FAI sample parts have been approved by Sur-Seal. The signed PSW serves as official

notice to the supplier of Sur-Seal approval of their part.

The signed PSW may include requests from Sur-Seal for further improvement of the part,

manufacturing process or supporting quality documentation.

Signing of the PSW by Sur-Seal does not in any way preclude Sur-Seal from requesting further

enhancement of the part at a later date, or from pursuing countermeasure to any issues

previously undiscovered.

In certain situations, process validation activities may be required for specific critical to quality

characteristics. Sur-Seal will communicate those needs on the PSW, after which a validation plan will be

established and agreed upon between the Supplier and Sur-Seal.

3.3 Checking Fixtures, Gages and Test Equipment

Purpose:

Checking fixtures, gages and test equipment are used to evaluate pre and mass production parts for

compliance to part drawing and inspection standard requirements, and any other applicable quality

standards.


1. The Supplier must provide a means to verify quality characteristics specified on the part drawing and

inspection standard.

2. The Part Inspection Standard will call out use of a specific measurement/verification device when Sur-

Seal feels that device is overwhelmingly the most appropriate and accurate method for verifying that

quality characteristic.

It is the responsibility of the supplier to utilize the specified measurement/verification device.

If the supplier disagrees with the specified device, it is their responsibility to negotiate use of a

different device with the responsible Sur-Seal Quality Engineer, including possible custom

checking fixtures and gages.

3. Sur-Seal will call out use of a dedicated checking fixture or gage only when absolutely necessary.



ISSUE: Initial



It is the responsibility of the supplier to construct any dedicated checking fixtures or gages

called out on the Part Inspection Standard.

4. Dedicated checking fixtures, gages and test equipment must be permanently identified with a unique

gage number, and must be labeled with the part drawing revision level for which the device is capable

of verifying.

5. The supplier is responsible for maintenance and calibration of all measurement and testing devices

and equipment.

3.4 Process Flow Chart

Purpose:

The Process Flow Chart is a schematic representation of the current or proposed manufacturing process.


1. When requested by Sur-Seal, the supplier to submit a Process Flow Chart encompassing the entire

manufacturing process of the part being established.

The Process Flow Chart must begin with receipt of raw materials and components, and

conclude with shipping of finished product.

All significant steps and/or processes within the manufacturing process must be included.

2. The Process Flow Chart must be submitted no later than submission of FAI sample parts.

3.5 Process Failure Mode Effects Analysis (PFMEA)

Purpose:

A Process Failure Mode Effects Analysis (PFMEA), or similar risk prevention analysis tool, may be required

of the supplier by Sur-Seal to demonstrate that the supplier has adequately evaluated the potential risks

of the proposed manufacturing process, and implemented adequate safeguards to ensure those risks are

mitigated to a level acceptable to Sur-Seal.


1. When a PFMEA is required by Sur-Seal, at a minimum, Sur-Seal expects a working-level understanding

of the PFMEA process by the supplier and the ability to carry one out. This manual will not attempt to

instruct the process of conducting a PFMEA. On-line PFMEA resources are widely available through a

basic search of the internet.

2. When required, the PFMEA must be submitted no later than submission of FAI sample parts.



ISSUE: Initial



3.6 Process Control Plan

Purpose:

A Process Control Plan is a document that defines all controls used for the production process. The

outlined process should match that from the Process Flow Chart.


1. When requested by Sur-Seal, the supplier must submit a Process Control Plan encompassing the entire

manufacturing process of the part being established.

2. The Process Control Plan must begin with receipt of raw materials and components, and conclude

with shipping of finished product.

3. Enough detail must be provided so that an individual not familiar with the process can understand the

control methods in place.

4. The Process Control Plan is a living document, and must be updated accordingly and resubmitted to

Sur-Seal Quality when any modifications are made according to the process change procedure

outlined in section 4.2 of this manual.

5. A Process Control Plan template is included in the appendix of this manual, but other supplier-

determined formats may be utilized assuming the same information and level of detail is included.

6. When required, the Process Control Plan must be submitted no later than submission of FAI sample

parts.

3.7 Submission of Initial Sample (FAI) Parts and Inspection Reports

Purpose:

To define the requirements for supplier submission of initial sample (FAI) parts and inspection reports.


1. The supplier must provide FAI samples in accordance with the timing provided on the Sur-Seal

purchase order.

A. Any expected deviation from the due date(s) indicated on the Sur-Seal purchase order must

be communicated to the Sur-Seal Planning department as well as the responsible Quality

Engineer as soon as it is known, preferably upon receipt of the purchase order.

2. An Initial Sample Inspection Report (ISIR) must be submitted along with the FAI sample parts.

A. Unless otherwise indicated by Sur-Seal on the PSW, a minimum of 5 pieces must be measured

and submitted.

3. Where a data point is judged against a numerical specification, the actual measured numerical data

MUST be indicated.



ISSUE: Initial



4. A judgment of pass or fail MUST be made on every data point included on the ISIR, where a passing

judgment indicates the COMPLETE meeting of the corresponding requirement.

5. In the case of multiple cavity tooling, a minimum of 5 pieces from each cavity must be measured and

submitted.

A. The cavity identification requirements outlined in section 1.2, item 2, must be followed.

B. Inclusion of the presence of permanent cavity marking on each FAI part MUST be included as

an evaluation line item on the ISIR.

C. On the occasion that the supplier and Sur-Seal Quality have agreed that permanent cavity

number markings are not required, the supplier must separate and label the submitted FAI

parts by cavity.

6. An ISIR template is included in the appendix of this manual, but other supplier-determined formats

may be utilized assuming the same information and level of detail is included, including a judgment of

pass or fail based upon complete meeting of specification.

7. The supplier submits the completed ISIR form as part of the completed PSW package, which consists

of the following:

A. Completed and signed PSW.

B. Completed ISIR form.

C. Any other forms and documents indicated by Sur-Seal on the PSW.

D. Documentation of any significant deviation from production level part design intent or process

(e.g. substitution of material or subcomponent or supplier thereof, tool substitution,

prototype assembly fixture, etc.).

8. The Supplier must submit the completed PSW package to the responsible Sur-Seal Quality Engineer

either prior to, or concurrent with submission of FAI sample parts. When the Supplier submits the

PSW package to the Sur-Seal Quality Engineer by e-mail, it is recommended that a copy of the

completed PSW package be included inside the box of FAI sample parts.

9. Packaging requirements:

A. Labeling

The supplier must follow all production package labeling requirements as outlined in

section 4.1.

Additionally, the supplier MUST add an extra label to the outside of the packaging

identifying the parts as “FAI SAMPLES – Ship to Quality.” The label should be large

and bright enough to be difficult for Sur-Seal Receiving to miss, and in the following

format:

FAI SAMPLES Send to Quality



ISSUE: Initial



B. Packaging

The FAI samples MUST be boxed separately from production parts. FAI sample parts

cannot be included in the same box with production parts.

It is acceptable to include FAI samples of multiple part numbers in the same box, as

long as they are bagged or boxed separately inside.

3.8 Approval of Initial Sample (FAI) Parts

Purpose:

To define the method by which Sur-Seal will notify the supplier of approval of submitted FAI sample parts.

Sur-Seal Responsibilities:

1. Sur-Seal will begin evaluation of Supplier submitted PSW packages and FAI sample parts shortly after

receipt at Sur-Seal.

2. Any inconsistencies identified during Sur-Seal evaluation will be communicated immediately to the

supplier by the responsible Sur-Seal Quality Engineer for speedy resolution.

3. Sur-Seal will notify the Supplier of approval of both the PSW package and FAI sample parts by signing

and returning a copy of the PSW to the supplier by e-mail as soon as both are approved at Sur-Seal.

FAI samples WILL NOT be approved by Sur-Seal until all PSW requirements are deemed

successfully completed by Sur-Seal Quality.

The signed PSW may include requests from Sur-Seal for further improvement of the part,

manufacturing process or supporting quality documentation.

Signing of the PSW by Sur-Seal does not in any way preclude Sur-Seal from requesting further

enhancement of the part at a later date, or from pursuing countermeasure to any issues

previously undiscovered.

4. The signed PSW serves as official notice to the supplier of Sur-Seal approval of their part.

3.9 Process Validation

Purpose:

To clarify the requirements for supplier process validation activity.


1. On as-needed basis, Sur-Seal may require process validation for specific critical to quality

characteristics.

2. Sur-Seal will communicate any process validation requirements on the PSW.



ISSUE: Initial




1. When process validation is necessary, a validation plan will be established and agreed upon between

the Supplier and Sur-Seal.

2. The supplier is required to complete the agreed upon validation plan.


Section 4 – Mass Production

ISSUE: Initial

Mass Production


4.0 Sub-Supplier Quality Assurance

Purpose:

To clarify the requirement that the Supplier is responsible for assuring the quality of all product purchased

from sub-suppliers that is incorporated into product shipped to Sur-Seal.


1. The Supplier must assure the quality of parts and/or materials, purchased from sub-suppliers, which

are incorporated by the Supplier into product shipped to Sur-Seal.

2. Sub-supplier process changes must be managed by the Supplier in a manner similar to Sur-Seal.

Sur-Seal reserves the right to visit the sub-supplier’s facility and audit their manufacturing process, and

may be accompanied by Sur-Seal customer representatives.

4.1 Packaging, Labeling and Shipping

Purpose:

To explain supplier packaging, labeling and shipping requirements.


1. Packaging:

A. It is the responsibility of the Supplier to design and utilize packaging appropriate to the nature

of the product being shipped, and that ensures the product reaches Sur-Seal unblemished and

undamaged given the prescribed shipping method.

B. It is the responsibility of the Supplier to incorporate into the final packaging, all packaging

related instructions communicated on the Sur-Seal purchase order.

If concern exists that packaging instructions from the Sur-Seal purchase order

establish a condition that will not result in the Supplier’s product reaching Sur-Seal

unblemished and undamaged, it is the responsibility of the supplier to communicate

this concern to their Sur-Seal Planning representative.

2. Labeling:

A. It is preferred that the supplier utilizes a label similar to the following format:



ISSUE: Initial

Mass Production


Label Size: 4” x 2” (suggested)

Barcode language: Code 128

Part number: Full Sur-Seal Part Number on PO (Font Size = 18)

Description: Part number description (Font Size = 12)

PO #: Sur-Seal’s purchase order number (Font Size = 14)

PO Line: Sur-Seal’s line on the purchase order (Font Size = 14)

QTY: Carton/Box/Roll Quantity (Font Size = 14)

Unit of Measure: i.e. EA, FT, RL, etc. (Font Size = 14)

Color: White (suggested)

B. Other information may be included on the label, such as Quality Inspector number, etc., but

Sur-Seal prefers to keep additional information to a minimum.

3. Shipping:

A. The Supplier must use the production shipment method specified on the Sur-Seal purchase

order.

B. In the event that the Supplier would prefer a shipment method other than that specified on

the purchase order, they should communicate this directly with their Sur-Seal Planning

representative. Reasons to suggest an alternate shipping method include, but are not limited

to:

Supplier believes specified method will be insufficient to deliver unblemished and

undamaged product to Sur-Seal given reasonable packaging design.

Satisfactory shipping results can be obtained with a lower-cost alternative.

Supplier can achieve other economies of scale using an alternate carrier or method

that will not result in blemished or damaged product reaching Sur-Seal.



ISSUE: Initial

Mass Production


4.2 Deviation Request

Purpose:

To clarify the method used by the Supplier to request both temporary and permanent deviations from the

part drawing, inspection standard or other applicable requirements.


1. The supplier must complete a Supplier Deviation Request Form for each instance of desired deviation

from the part drawing, Part Inspection Standard or other applicable requirements.

2. The Supplier Deviation Request form is to be submitted to the responsible Sur-Seal Supplier Quality

Engineer.

The Sur-Seal Quality Engineer will communicate approval by signing the Supplier Deviation

Request From, and returning a scanned copy to the supplier by e-mail.

3. The Supplier CANNOT ship any known deviating material without prior written approval from the Sur-

Seal Quality Department, in most cases a signed Supplier Deviation Request Form.

4. Temporary deviations are valid for a specified time, lot or quantity as indicated on the approved

Supplier Deviation Request Form.

Approved temporary deviation requests DO NOT alter, change or modify existing part

drawings, Part Inspection Standards or other requirements, and may not be implemented as

permanent.

5. All parts shipped under approved temporary deviation must be clearly labeled as “Approved Deviation

Product” on the outside of each container of parts.

6. A corrective action plan must be attached to all requests for temporary deviation, including timing for

countermeasure implementation.

7. When a request for permanent deviation is approved, all necessary documentation will be sent to the

Supplier along with the signed Supplier Deviation Request Form.

For example, when a request for dimensional change is approved, a Part Submission Warrant

will be sent outlining all supplier actions necessary to implement the desired change.

4.3 Notice of Shipment of Nonconforming Product

Purpose:

To clarify the method used by the Supplier to notify Sur-Seal of shipment of known or suspected

nonconforming product. That product may either be in route to Sur-Seal or already received.


1. If a supplier knows or suspects that nonconforming product has been shipped to Sur-Seal, they must:



ISSUE: Initial

Mass Production


A. Immediately transmit a Notice of Shipment of Nonconforming Product to the responsible Sur-

Seal Quality Engineer, carbon copy the Sur-Seal Quality Manager and confirm receipt by

telephone.

B. Submit a formal report of the root cause of the nonconformance and the corrective action

plan to the responsible Sur-Seal Quality Engineer within 14 calendar days.

A SCAR will not be issued to the supplier as a result of submission of a Notice of Shipment of

Nonconforming Product, and there will be no impact to the Supplier’s Quality PPM score if the non-

conforming product has not yet reached the corresponding Sur-Seal production process.

If nonconforming product is discovered in Sur-Seal manufacturing processes or completed

product after supplier notification, efforts will be made by Sur-Seal to mitigate the impact on

the supplier.

Submission of a Notice of Shipment of Nonconforming Product does not eliminate the Supplier’s liability

or responsibility for defective material received by Sur-Seal and utilized undetected in a product.

4.4 Nonconformance Handling and Corrective Actions

Purpose:

To clarify the method used by Sur-Seal to notify the Supplier of receipt of nonconforming material, and to

communicate Sur-Seal’s expectations for corresponding Supplier containment, investigation and

countermeasure activities, including the communication thereof.


1. If nonconforming parts or materials are discovered at Sur-Seal or a Sur-Seal customer location, Sur-

Seal Quality will formally notify the Supplier in one of two ways:

A. Issuance of a Supplier Corrective Action Request (SCAR) by e-mail to the designated Supplier

Quality Representative.

B. Issuance of a Quality Alert by e-mail to the designated Supplier Quality Representative.

2. Alternate forms of communication may be utilized for more minor quality issues, including email,

telephone or fax.


1. Supplier Corrective Action Request:

A. Containment

a. Within 24 hours of receipt of a SCAR, the supplier must:

1. Implement immediate temporary containment actions for parts in house at

the Supplier’s location (in process, in inventory & in staging for delivery).



ISSUE: Initial

Mass Production


2. Determine quality status of parts in transit between the Supplier and Sur-Seal.

3. Submit their containment plan, on the SCAR form, to their responsible Sur-

Seal Quality Engineer by email (initial SCAR response).

B. Certification

a. All shipments made after receipt of a SCAR must be:

1. 100% certified to be free of the nonconforming condition.

2. Labeled as certified stock on the outside of EVERY box of parts or material. It

is not sufficient to label only wrapped skids.

The label must appear as, and contain the verbiage below:

100% Certified Stock Inspected for enter defect condition

b. Certification MAY NOT STOP until released by the responsible Sur-Seal Quality

Engineer or another member of the Quality Department acting on their behalf.

1. The supplier will be released from certification when three consecutive

shipments of certified stock have been confirmed as 100% conforming by Sur-

Seal Quality.

1. The count of consecutive shipments will be restarted with each

discovery of nonconforming material.

C. Root Cause & Countermeasure

a. Within 14 days of receipt of a SCAR, the supplier must:

1. Submit a final response, on the SCAR form, including results of root cause

investigation and details of countermeasure activities, to the responsible Sur-

Seal Quality Engineer (final SCAR response).

2. Root cause analysis and corresponding countermeasures implemented must

address both Why Made and Why Shipped causes of the nonconformance.

1. Why Made is the reason the nonconformance was produced.

2. Why Shipped is the reason the nonconformance was allowed to

escape the supplier’s facility.

2. Quality Alert:

A. Containment

a. The supplier must follow the same containment requirements as those for a SCAR, but

may respond using their own format.

B. Certification

a. The supplier must follow the same certification requirements as those for a SCAR.

C. Root Cause & Countermeasure

a. The supplier must follow the same root cause and countermeasure requirements as

those for a SCAR, but may respond using their own format.



ISSUE: Initial

Mass Production


If the nonconformity recurs at Sur-Seal in an unacceptably short period of

time, a SCAR may be issued.

3. Return Material Authorization

A. Preferably within 48 hours, but at a minimum within 14 days of notification of a quality

nonconformance, the Supplier must provide a Return Material Authorization (RMA) number

to Sur-Seal Quality.

a. The supplier can choose to either have the nonconforming product returned to their

facility at their cost, or have it disposed of at Sur-Seal.

b. If the supplier chooses to have the nonconforming product returned, along with the

RMA number they must provide the following:

1. Ship-to address.

2. Shipment method.

3. Payment method if not shipped collect (example: Supplier’s FedEx or UPS

account number).

B. If the Supplier disagrees with the judgment of nonconformity, they must work in good faith to

resolve the issue with the responsible Sur-Seal Quality Engineer within the 14 day RMA

window.

a. When an RMA number has not been provided by the Supplier within the required 14

day window, and Sur-Seal feels the Supplier has not worked with Sur-Seal in good

faith to reach agreement, Sur-Seal may scrap the suspect product at Sur-Seal and

debit the Supplier.

4. Cost of Poor Quality:

A. In the event nonconforming product escapes the Supplier’s location, Sur-Seal may, depending

on the circumstances, pursue recovery of costs associated with the following activities:

a. Sorting and/or reworking of product at Sur-Seal or Sur-Seal customer facilities.

b. Scrapping of product at Sur-Seal or Sur-Seal customer facilities.

c. Shipping of defective product from Sur-Seal customer to Sur-Seal, or from Sur-Seal to

Supplier.

d. Shipping of replacement product to Sur-Seal.

e. Shipping of replacement product from Sur-Seal to Sur-Seal customer facilities.

4.5 Engineering Change Implementation

Purpose:

To clarify the system utilized by Sur-Seal to implement engineering changes for purchased parts and

materials.

An engineering change is defined as:

1. Parts with drawings:



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Mass Production


a. Any change to the part drawing, regardless of whether or not it physically changes the

part or drawing revision level, including part number-only changes.

b. Any change in material for a part whose drawing does not specify a material.

2. Parts without drawings:

a. Any change in purchased design specifications, including size, shape, thickness,

appearance, material, or functional/performance requirement.


1. Sur-Seal will notify the Supplier of an engineering change by sending a Part Submission Warrant (PSW)

by e-mail to the designated Supplier Quality and Scheduling representatives.

2. The PSW will describe the details of the change taking place, and will include the revised drawing

when applicable.

3. The PSW will give instructions for implementation timing, including disposition of previous revision

level product.


1. Within 48 hours of receipt, the Supplier is responsible to acknowledge receipt of the engineering

change by responding to the Sur-Seal notification e-mail.

2. Three avenues of Supplier response are available on the PSW:

a. Supplier can make the described change in the time requested.

b. Supplier can make the described change, but not in the time requested.

c. Supplier cannot make the described change.

3. In the case that the Supplier determines they cannot make the described change or cannot meet the

requested timing, they must explain the reasoning for either on the returned PSW form.

4. Once a PSW is implemented for an engineering change, the Supplier must ensure that revised product

is correctly labeled with the new revision level.

4.6 Process and Sub-Supplier Change Requests

Purpose:

To clarify Sur-Seal requirements for Supplier implementation of process and sub-supplier changes.


1. When a change to the manufacturing process of an existing Sur-Seal production part is desired, the

Supplier MUST submit a Process Change Request (PCR) form to the responsible Sur-Seal Quality

Engineer by e-mail.

2. When a change to the sub-supplier of a an existing Sur-Seal production part is desired, the Supplier

MUST submit a Process Change Request form to the responsible Sur-Seal Quality Engineer by e-mail.



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a. The PCR form includes a box to indicate the desired change is to the sub-supplier of the

finished product, or an integral component or material of the finished product.

3. The Supplier MUST NOT implement a manufacturing process or sub-supplier change without prior

written approval from Sur-Seal Quality.


1. Within 48 hours, the responsible Sur-Seal Quality Engineer will respond to the Process Change

Request by e-mail.

2. Sur-Seal will respond in one of three ways:

a. Implementation is acceptable, with any further supplier requirements listed.

b. Implementation is dependent upon approval from Sur-Seal’s customer.

Sur-Seal will include a worst-case scenario estimate of when an answer from the Sur-

Seal customer can be expected.

Sur-Seal will respond a second time with the actual Sur-Seal customer response.

c. Implementation is rejected, along with the reason for rejection.

The Supplier MUST NOT implement a manufacturing process or sub-supplier change

without prior written approval from Sur-Seal Quality.

4.7 Supplier Quality and Process Audits

Purpose:

To explain the method and supplier responsibilities for Quality Systems Audits and Process Audits.


1. Sur-Seal will perform supplier Quality Systems Audits and Process Audits on an as-needed basis.

2. Sur-Seal will notify the Supplier in writing an adequate period time ahead of any desired Quality

Systems or Process Audits.

3. The Quality Systems Audit is an intensive investigation into the overall management systems in place

at the Supplier. All aspects of the Supplier’s manufacturing and control systems will be evaluated.

4. The Process Audit is an intensive evaluation of one more specific manufacturing process utilized by

the Supplier to produce Sur-Seal product.

5. Sur-Seal will present the Supplier with an unofficial copy of any findings before departing the

Supplier’s facility at the conclusion of the audit. The official audit results will follow by e-mail.


1. The Supplier must make available the personnel necessary to adequately address all aspects of the

subjects being audited.

2. Any processes the Supplier considers proprietary must be declared prior to the beginning of an audit.



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3. The supplier is expected to address all audit findings in the time frame requested by Sur-Seal, or

submit an alternate plan for resolution.


Section 5 – Blank Forms

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Blank Forms


NOTE: The images below are for reference only. Copies of the actual forms can be found on the supplier page

of Sur-Seal’s website, sur-seal.com.

5.0 Supplier Contact Designation Form



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Blank Forms


5.1 Part Inspection Standard



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5.2 Part Submission Warrant



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5.3 Process Flow Chart



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5.4 Process FMEA



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5.5 Process Control Plan



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5.6 Initial Sample Inspection Report



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5.7 Supplier Deviation Request Form



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5.8 Supplier Notice of Shipment of Nonconforming Product



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5.9 Supplier Corrective Action Request (SCAR)



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5.10 Process Change Request Form

Date post:	27-Jul-2020
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