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01. MANAGEMENT & STRATEGY
Practices and strategic decisions that involves assessing how effectively the management team oversees and guides the various processes and activities of the business and how well the strategic objectives are aligned with the overall goals of the organization.
- Does the company have a written strategic plan or development plan? What's the quality level and it's transparence for employees?
- Is the business plan current, does it lay out a strategy for future growth, and does it accurately describe and prescribe business activities in sufficient detail for daily operation and lender requirements?
- Does the company have an operational plan and operations guide (policies)? What is the quality level and availability for employees?
- Does the company have a marketing plan?
- Are the members of board, key employees as well as common employees aware of these plans?
- Are management, marketing, and financial decisions made with frequent reference to the business plan and goals?
- Do you regularly review announcements to stay informed of environmental, legal, and social changes and trends that could affect business growth?
- Does management regularly review the status of preventive maintenance completion to plan, and how do they review corrective action plans to ensure any backlog (past due) maintenance has a plan to become current with the PM schedule?
- Does the company have a business development plan?
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02. FINANCE, ASSETS & PROCUREMENT
Financial management practices, asset management, and procurement processes, that involves assessing how well the organization manages its financial resources, acquires and manages assets, and handles procurement activities.
- Are the equipment and facility maintained and do they employ effective record-keeping techniques for the best management of maintenance efforts?
- Are inventory control procedures established and can they be expanded as growth develops?
- What is the quality of purchase orders review? For commitment to qty, price, delivery date, delivery method, and any additional special requirements or instructions?
- Does the supplier have a process for final product identification, including bar code, if required?
- A qualified purchase orders are used to communicate product quality requirements to sub-suppliers to ensure the requirements are understood and can be met. If any differences arises the differences are resolved prior to acceptance of the order.
- Product and capacity requirements are understood throughout the facility and value chain.
- An official sub-supplier management process has been established, in which the suppliers' performance are monitored and evaluated regularly.
- Is there a formal Sub-suppliers selection process with adequate review of the performance metrics, business practices, and social responsibility?
- Sub-suppliers are required to follow a formal product qualification process and submit warrants prior to final approval of the part.
- Material compliance process (Internal and External Verification) is in place and utilized.
- You have a strategy for receiving any kind of inspection or audit. If incoming quality inspections are made, there is evidence of the specification and compliance to the specification. If no incoming inspections are made, there is a rationale for qualifying sub-suppliers.
- Are there established policies and procedures for managing the procurement process, including the selection of vendors, purchase order issuance, and supplier evaluation?
- Are contracts reviewed to ensure they include all relevant terms, including pricing, delivery dates, and product specifications?
- Is there a system in place to track inventory levels and ensure that materials are ordered in a timely manner to avoid stockouts?
- Are supplier performance metrics regularly reviewed to identify opportunities for improvement and ensure that contractual obligations are being met?
- Are there established procedures for handling defective or nonconforming products, including procedures for returning products to suppliers and obtaining refunds or replacements?
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03. HUMAN RESOURCES
Practices and processes related to managing its human capital. It involves assessing how well the organization attracts, develops, motivates, and retains its employees and ensures compliance with relevant labor laws and regulations.
- Are there adequate resources to implement the company strategic plans?
- How are personnel performing specific tasks qualified on the basis of appropriate education, training, and/or experience?
- Are the goals of each department defined and measured and do they focus on the use of quality policy, objectives, audit results, analysis of data, corrective/preventive actions?
- Does company use effective recruitment process in ensuring the right talent is being brought in?
- Do you often conduct performance evaluations for your employees, and are there fixed criteria to assess their performance?
- Does company ensure fair and equitable compensation for its employees, while also considering market standards and company's financial capabilities?
- Does your company foster a positive work environment that encourages employee engagement, satisfaction, and retention?
- Does your company provide training and development opportunities for employees to improve skills and knowledge, and do you measure the effectiveness of these initiatives?
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04. COMPLIANCE, RISK MANAGEMENT
Practices and processes related to compliance with applicable laws, regulations, and internal policies, as well as the management of risks that could impact the organization's operations and objectives.
- Does the company have an emergency evacuation plan?
- Have relevant risk factors been identified? Is your approach to defining and managing risk defined?
- Have identified risks been prioritized based on their severity and potential project impact?
- For each identified risk, if needed, has a mitigation and contingency strategy been identified and documented?
- Have risk triggers been identified and documented? Have risk symptoms been identified and documented?
- An effective process formally defined, well documented and understood with systematic root cause investigation and tracked corrective actions for all defects.
- Knowledge of each waste stream, final location, regulatory permit states of the disposal site, and quantity involved.
- Does company identified the individual responsible for maintaining the risk log?
- Is Risk Management Log reviewed routinely, as a part of your project status meetings, with the project team and project sponsors, on a weekly basis or more frequently if needed.
- Do you keep and track records and required data with sufficient information to allow understanding of the risk, mitigation strategies, and contingency plans.
- Does company communicate updated risk status to employees?
- Is the project team aware of how to submit risks that may potentially impede their progress toward completion of their activities?
- Is the risk log accessible to all project team members and to all departments?
- Is the required data recorded with sufficient information to allow understanding of the risk, mitigation strategies, and contingency plans?
- Has the project team been trained on risk management?
- Has the project schedule been kept up-to-date to reflect any resource, duration, schedule, etc. impact resulting from the management of risk?
- Does the company comply with OSHA or other applicable safety and health regulations, specifically in the use of Personal Protection, or other safety rules that are adhered by employees?
- Are procedures in place for hazardous substance control?
- Emergency Action and Disaster Recovery Plans established and in place.
- All governing requirements are effectively in place (i.e. GDPR) and all materials are approved under applicable requirements, per Division/department.
- Review and update the risk list per department regularly and us up-to-date.
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05. PROCESSES
Operational processes and procedures, that involves assessing how effectively and efficiently the organization's processes are designed, documented, implemented, and monitored to achieve the desired outcomes.
- Is there evidence and numbering (identification) of Statistical Process Control being used to evaluate production processes where applicable?
- Are new process verifications in place and documented in public place for all employees?
- Does the supplier obtain customer waiver (concession/deviation) prior to further processing when the product/process is different from what is approved?
- A well documented and understood effective process is in place, that requires formal risk assessment upon change or initial set-up of equipment.
- Process work instructions are documented, up-to-date, available to operators, and are being followed.
- Setup and operating parameters are documented and utilized as specified for all processes.
- Required tools and inspection equipment are identified for each operation and are utilized as specified.
- Each setup is qualified prior to the start of production as required and critical parameters are identified, reviewed and approved.
- Are 6S (Safety, Sort, Set in order, Shine, Standardize and Sustain) activities evident through the facility including ongoing activities to sustain the accomplishments?
- There are control plans that exist for each part number/process, that include Standard approval and rejection, signature and date?
- There are Reaction plans for out of control conditions, Characteristics to be inspected and/or tested, Sample size and frequency of observations and Methodology and tools to be used for inspection?
- Are the basic statistical methods widely used to measure the process / product, such as checklist, histogram, trends chart and etc., where applicable?
- Where statistical methods are utilized for control of key characteristics and process parameters, they are evaluated and determined if the appropriate level of control is established on regular basis?
- Where the process controlling plan available, are the data properly recorded and are reasonable control limits shown? Are out of control points noted with the corrective action taken?
- Does the overall process demonstrate the required capability, and performance?
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06. PROJECTS & PLANING
Project management practices and planning processes that involves assessing how effectively the organization plans, executes, and controls its projects to achieve their intended objectives and deliver desired outcomes.
- Does the plan guide business expenditures, and are exceptions required to be justified and well-documented?
- Do you have implemented strategies to identify and anticipate the risks and opportunities of your business?
- Do you always define and establish business objectives for every project and do you communicate them to employees?
- Do you measure the success of your plans and do you adjust them when necessary?
- Do you keep your business plan up to date in response to market and industry changes by regular weekly, monhtly and quarterly reviews?
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07. PARTNERSHIP & RELATIONSHIP
Relationships with external stakeholders, such as partners, suppliers, customers, and other relevant parties. It involves assessing how effectively the organization manages and maintains these relationships to achieve mutual objectives and ensure long-term success.
- Are Supplier relationships established and evaluated for price and service on a periodic basis.
- When you choose your business partners, are in place the quality criteria that you use to assess their suitability?
- What is the quality of managing your relationships with your business partners? Do you execute all steps to ensure transparency and open communication?
- Do you have strategies to continuously improve collaboration and synergy between your company and your business partners?
- Do you have written procedures that help you resolve conflicts with your business partners and what steps do you take to avoid them in the future?
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08. AUDIT & CORRECTIVE ACTION
Internal audit processes and its procedures for identifying and implementing corrective actions to address identified issues and improve process performance.
- Is the internal audit frequency modified based on non-conformance trends?
- Does the company use management reviews to guide and track continuous improvement projects?
- The company maintains a prioritized action plan for continuous improvement as it relates to product and process characteristic variation.
- The company maintains a prioritized action plan for continuous improvement as it relates to cost reduction and productivity enhancement initiatives, including lead time reduction.
- The company maintains a prioritized action plan for continuous improvement as it relates to the evaluation of the effectiveness of the quality systems.
- A corrective action procedure exists and is followed for internal, in-process quality issues
- A corrective action procedure exists and is followed for supplier incoming quality problems
- A corrective action procedure exists and is followed for customer complaints.
- Problem solving is done in cross-functional teams, using a disciplined problem solving process with the appropriate problem solving tools to eliminate root cause and prevent recurrence.
- Root Cause analysis and corrective action response are completed within agreed upon time frame.
- Are the issues identified down to the product/process root cause?
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09. QUALITY & IMPROVEMENT
Practices and processes related to quality management and continuous improvement initiatives. It involves assessing how effectively the organization ensures product or service quality, monitors performance, and implements measures to enhance its processes and achieve better outcomes.
- Are periodic reviews of the company depertaments conducted to discover actionable and purposeful insights?
- Does the company use technology that continually review to ensure that production methods and office equipment are up-to-date?
- Is there a process to address product liability / recall issues?
- Do the company have a quality system registered to a recognized standard, or at least understand standards and trying to follow by company's own rules?
- Are quarterly Management Reviews conducted to verify the effectiveness of the quality system?
- Are internal audits available to verify that the quality system is being followed?
- Company has a proactive notifications process of issues that could affect delivery or quality documented and performed?
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10. SUSTAINABILITY
Practices and processes related to environmental, social, and economic sustainability. It involves assessing how effectively the organization manages and integrates sustainability principles into its operations, strategies, and decision-making.
- Have contingency plans been prepared to satisfy customer requirements in the event of an emergency such as utility interruptions, labor shortages, key equipment failures, and field returns?
- Does the company have a long-term plan for sustainability, including a system in place to identify key business and product risks and opportunities?
- Company has a auditable rules to maintain an adequate cash flow and measures take to ensure the financial solvency.
- Company diversify sources of income and evaluate strategies to minimize exposure to financial risks.
- Company regularly review processes to be sure to have enough production capacity and resources to meet market demand and handle fluctuations in demand.
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11. TOOLS
Tools, software, technologies, and other resources utilized by the organization to support its business processes. It involves assessing how effectively these tools are designed, implemented, and utilized to enhance process efficiency, accuracy, and effectiveness.
- Is there evidence and use of tools like Electronic Data Interface (EDI), Request For Quote (RFQ), Advanced Planning and Scheduling (APS) ?
- Is in place a formal business system? ( Capacity Planning, Shop Floor Control, ERP, etc.)
- Is in place technological map of tools (business software infrastructure) used to improve the efficiency and productivity of the company?
- Is in place monitoring and analysis tools to measure and improve the performance of the company?
- Does company ensure that technology tools are up to date and suitable for the business needs?
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12. PERFORMANCE
Process performance against defined goals, objectives, and key performance indicators (KPIs). It involves assessing how effectively the organization's processes are performing and whether they are meeting desired targets and expectations.
- Is there a performance management policy in place?
- Is the effectiveness of the performance management practices reviewed on a regular basis?
- Is the quality and quantity of work regularly evaluated?
- Is there a correlation between performance and compensation?