John Deere Red Flags Survey for Supplier Quality Systems - Instructions

Background

This Red Flags Survey is designed for a first time visit to a potential direct or indirect material supplier to
evaluate their in-house quality system and decide if they are advanced enough to be considered as a
potential supplier for John Deere. It is designed to be completed in a half-day visit (2 to 4 hours) of the
potential new source. It is intended to be conducted by Deere personnel familiar with the JDS-G223 Supplier
Assessment Questionnaire.

The Red Flags Survey is NOT designed to be a complete detailed quality system audit to the JDS-G223
standard. Use the Supplier Quality System Audit Questionnaire located in the JDS-G223 Supplier Quality
Manual after a potential new supplier has been selected for sourcing to conduct a thorough review of the
supplier's quality system.

Instructions
Review the supplier's quality system by using the scorecard worksheet and asking pertinent questions to
each dimension listed in the left hand column. Categorize the supplier's response into the answer that best
fits the level of activity for the dimension, "Not Used", "Primitive", "Partial Use", or "Fully Utilized". Notice that
some questions require a YES or NO response. The first two answer columns are the YES / NO boxes to
use. Type an "X" in the appropriate cell based on the response for that dimension. There can be only one
selection per question.
The worksheet scorecard is divided into three sets of questions. The supplier must pass the first two
questions to proceed. After scoring the next set of questions (dimension numbers 3 through 16 with the
green background) review the auto-summed total score at the bottom of the worksheet. If the score is less
than 33, the rest of the questions will not be needed as the supplier is not in compliance based on the initial
set of questions. If the score is 33 or higher, complete the rest of the survey scorecard.
When the scorecard is complete, the total score at bottom of the worksheet will correspond to Level I, II, III,
or IV Quality System. At the bottom of the worksheet there is a tab named "Level Definitions" which describe
the attributes that you will see for the corresponding supplier quality system. This worksheet also provides
recommendations on the sourcing decision depending on the supplier's survey results. To complete the
survey, document your findings, notes, and recommendation of whether or not to source parts from this
supplier. Be very descriptive in your notes so that others reviewing this document understand why you rated
the supplier as you did. John Deere Units (enterprise-wide) will look at your findings and base decisions
upon your recommendations.
The PV&V Assessment section is mainly used for new suppliers, providing Quality Plan Level 3 or 4 parts.
These suppliers are primarily responsible for the design and the reliability of their components. The supplier
should score a 2 or above on all questions to be considered as a potential supplier capable of design and
PV&V activities.

Storing the Survey (Deere Internal Use)

After completing the survey, please upload the file to the Supplier Evaluation Tracking system located in JD
Supply Network. If you do not have access to the SET system, please contact your manager to gain access.
All completed surveys and assessments can be viewed in Supplier Evaluation Tracking at this link:
http://www.90.deere.com/suppmgmt/business_processes/strategic_sourcing_process/tools/supplier_evaluati
on_tracking/supplier_evaluation_tracking_index.htm

311879659.xls, Marilyn Dumolien

Instructions: Page 1 of 6

Revised: 12Mar09

John Deere Red Flags Survey for Supplier Quality Systems - Instructions

311879659.xls, Marilyn Dumolien

Instructions: Page 2 of 6

Revised: 12Mar09

John Deere Red Flags Survey for Supplier Quality Systems Survey
Supplier Name:

Audit Date(s):

Supplier Number:

Supplier Representative(s):

Supplier Address:
Supplier Phone Number:
Supplier E-Mail:

Supplier Fax Number:

JD Survey Lead:

Survey Team Members:

Principle Products (John Deere Commodity Codes):

Date of Last John Deere Assessment or Survey (if any):

Process(es) / Product(s) Audited:

Note: Secure copy of certification(s) if not provided in advance

Quality System Certification, Registrar, and Date of Certificate Expiration (ISO, QS, ISO/TS, etc.):
Environmental System Certification, Registrar & Date of Expiration (ISO 14001):
Health & Safety System Certification, Registrar & Date of Expiration (ISO 18001):
Supplier Contact(s):

Position:

Phone:

Overall Survey Results and Recommendations

Supplier Quality System Level:

Not Scored

Score: 0

Sourcing Recommendation (Please select from list on right):

Survey Observation Summary:

Red Flags Survey Scorecard

Not Used
or NO

Primitive
or YES

Partial
Use

Fully
Utilized

Quality Tools & Processes Dimensions

Are there any products containing substances in

excess of the amounts set forth on the John Deere
Restricted Materials List and/or other substances
restricted by applicable laws? Y/N

If the answer to this is yes, the supplier fails the

audit. Product may not contain asbestos or other
banned substances. Supplier is responsible to
insure all tiers of the supply base comply to this
requirement.

Is there child (under 14 years) or forced labor

present? Y/N

If you see child or forced labor at the supplier

location, please notify Manager, Supply Chain
Assurance at 90smcompliance@johndeere.com.

Use of PPM metrics to track quality Y/N

Quality PPM improvement trend over time Y/N

Non Conformances "Prevented" not "Caught" Y/N

Dependent on Inspection Y/N

Operator Dependent Y/N

Rework Tracking Leading to Corrective Actions Y/N

In-Process Gauging

10

Data Generation

11

Gauge R&R's

12

SPC application

13

Process Controls

John Deere Red Flags Survey for Supplier Quality Systems Survey

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Points

Notes / Comments

Printed: 04/01/2016

14

Written Procedures

15

Control Plans

16

Corrective Action Programs

17

Clear Mission Statement and Quality Policy Y/N

18

Posted & Understandable Metrics

19

Training program

20

Functional Process/Design FMEA documentation

21

Control Plans developed by Failure Modes & Effects

Analysis (FMEA's)

22

ISIR utilization

23

Document Control

24

ISO Registration Y/N

25

Cost of Quality (COQ) Tracking

26

Root Cause Analysis (RCA) Problem solving tools

27

Advanced Quality Planning (AQP) Focus

28

Six Sigma Initiatives

29

Living Failure Modes & Effects Analysis (FMEA's)

30

Control plan illustration of CpK for Key Characteristics

31

Production Part Approval Process (PPAP)

32

Quality Function Deployment (QFD) Utilized

33

Mistake Proofing Utilization

34

QS 9000 or ISO/TS 16949 Registered Y/N

Level I:
Level II:
Level III:
Level IV:

Total Survey Points

Start Up Quality System
Beginning Quality System
Mature Quality System
Highly Developed Quality System

<= 32
33 - 64
65 - 96
> 96

See "Level Definitions" Worksheet Tab for

sourcing recommendations for various quality
system levels.

Red Flags Product Engineering Survey Addendum

(Only for Supplier Design Control Components with Part Level Risk 3 ) All questions should score 2 or above
#

Quality Tools & Processes Dimensions

Not Used
or NO

Primitive
or YES

Partial
Use

Fully
Utilized

Points

35

Generate and track execution of Product Verification

and Validation (PV&V) Plans.

36

Design analysis, lab test and field test correlated with

customer use.

37

Procedure and acceptance criteria for each PV&V

activity.

38

Design PV&V capabilities align with design control

responsiblities.

39

Training program for design and PV&V staff.

40

Metrics used to measure if design requirements meet

customer requirements.

41

Understand application of their product.

42

Update design guidelines and PV&V procedures

based upon customer failure modes.

PV&V Assessment Points

John Deere Red Flags Survey for Supplier Quality Systems Survey

Notes / Comments

4 of 6

Printed: 04/01/2016

John Deere Red Flags Survey for Supplier Quality Systems - Definitions & Recommendations
Level

Level I

Level II

Level III

Level IV

Quality
System

Start Up

Beginning

Mature

Highly
Developed

311879659.xls, Marilyn Dumolien

Survey
Score

<= 32

33 - 64

65 - 96

> 96

Quality System Characteristics

Recommended Action(s)

No Process Control
No Written Procedures
No Data
No FMEA
No Gage R&R
No Control Plan
No PV&V Plan
No Tracking of PV&V Execution

No Cost of Quality System

Measures Scrap Rate
Operator Dependent
Excessive Rework
High Defect PPM
Primitive Training
No PV&V Metrics
No PV&V Organization

This supplier should not be

considered for sourcing of
Deere parts at this time.

Heavily Dependent on Inspection

Excessive Process Variation
Non Conformance "Caught," Not Prevented
No FMEA
Adequate PV&V Plan
Inconsistent PV&V Process Execution
Some PV&V Metrics

Primitive Control Plan (Production Routing)

Dedicated gauges not under statistical
control
ISIR utilized
Unstable Defect PPM
Ineffective Corrective Actions
PV&V Organization Exists

Deere should not source parts

to this supplier at this time
unless full audit to JDS-G223
is completed and NCs fixed.

Corrective actions from audit must

implemented and verified before
sourcing work. The supplier and Deere
would benefit from Supplier
Development Specialist / Engineering
help or mentoring in corrective actions.

ISO Registration
Well Documented Procedures
SPC Implemented
COQ (Cost of Quality) Utilized
Corrective Actions Utilize Root Cause
Analysis
Well Defined PV&V Plan
Good PV&V Process Execution
Continually Updated Driving PV&V Metrics

Clear Mission Statement

Good Metrics
Good Employee Training System
Stable PPM
Functional FMEA and Control Plan
Independent and Partner PV&V
Organization to Design Engineering
Adequate PV&V Staffing in relation to
Design Engineering

This supplier is approved for

quoting parts.

A JDS-G223 audit must be conducted

prior to sourcing parts. After JDSG223 audit any corrective actions
and/or suggested improvements
should be responded to in writing to
Deere auditor. Verifications are not
mandatory before sourcing.

QS9000 or TS 16949 Registered

Heavy Focus on AQP (Advanced Quality
Planning)
Six Sigma Initiative
Living FMEA
Control Plan Illustrates CpK for Key
Characteristics
Highly Effective PV&V Plan
All PV&V plans fully executed
Comprehensive PV&V Driving Metrics
Continually Updated

Low PPM
Sourcing of work to this
Company Driven by Metrics
supplier is recommended.
QFD (Quality Function Deployment) Utilized
PPAP (Production Part Approval Plan)
Utilized
Poke Yoke (Mistake Proof) Technique
Utilized
Independent and Partner PV&V
Organization
to Design Engineering
World Class PV&V Staffing in relation to
Design Engineering

Phase Definitions: Page 5 of 6

The supplier is approved for quoting

parts and sourcing decisions. A JDSG223 audit is necessary at time of
sourcing for quality plan level 3 or 4
parts. A JDS-G223 audit can be done
for quality plan level 0, 1, 2 parts to
mitigate risk.

Last Modified: 5-Aug-2005

Quality Tools & Process Dimensions

Are there any products containing substances in excess of
the amounts set forth on the John Deere Restricted
Materials List and/or other substances restricted by
applicable laws? Y/N

Notes / Comments
John Deere Restricted Materials List

Supplier Code of Conduct

Is there child (under 14 years) or forced labor present? Y/N
Use of PPM metrics to track quality
Quality PPM improvement trend over time
Non Conformances "Prevented" not "Caught"
Dependent on Inspection
Operator Dependent
Rework Tracking Leading to Corrective Actions
In-Process Gauging
Data Generation

Gauge R&R's

SPC application
Process Controls
Written Procedures

Control Plans

Corrective Action Programs

Functional Process/Design FMEA documentation
Control Plans developed by Failure Modes & Effects
Analysis (FMEA's)
ISIR utilization
ISO Registration
Document Control

Cost of Quality (COQ) Tracking

Clear Mission Statement and Quality Policy
Posted & Understandable Metrics
Root Cause Analysis (RCA) Problem solving tools
Training program
Advanced Quality Planning (AQP) Focused
Six Sigma Initiatives
Living Failure Modes & Effects Analysis (FMEA's)

Control plan illustration of CpK for Key Characteristics

Quality Function Deployment (QFD) Utilized

Production Part Approval Process (PPAP)
Mistake Proofing Utilization
QS 9000 or TS16949 Registered
(Y / N)

311879659.xls, Marilyn Dumolien

Parts Per Million or Cost of Poor Quality Metrics that are tracked over
time.
Parts Per Million Defects of Cost of Poor Quality have an improvement
trend over time (going down).
Preventive Action is defined as action to eliminate the causes of
potential noconformities in order to prevent their occurrence.
Inspection is used (instead of process control) to check for
nonconformance
Quality is directly controlled by the operator, not by otherprocess
control methods such as mistake proofing, check fixtures, gaging, etc.
Rework is analyzed to define Corrective Action Plans to prevent future
problems.
Gages that are built into the process to stop the flow if out-of-control
conditions exist.
Data is collected, analyzed, and used to define continuous
improvement activities.
Gage Repeatability and Reproducibility. Repeatability is the cariation
in measuremnts obtained with one measurement instrument, when
used several times by one appraiser, while measuring the indentical
characteristic on the same part. Reproducibility is the cariation in the
average of teh measurements mde by different appraisers, using hte
same measurement instrument, used several times by each appraiser,
while measuring the identical characteristic on the same part.
SPC Control Charts are used as a basis to make decisions about a
process. Control determiniations are made by comparing the values of
statistical measures of an ordered series of samples, or subgroups,
with control limits.
Various techniques used to control the variation within the process
The documents that tell the who, what and when of the manuals.
A Control Plan is a written description of the system for controlling
parts and processes. The Control Plan describes the actions that are
required at each phase of the process, from receiving to shipping, to
assure that all process outputs remain in a state of control. The
Control Plan reflects a strategy that is responsive to changing process
considitions, and is maintained and used throughout the product life
cycle.
Action taken to eliminate the cause of nonconformities in order to
prevent recurrence.
Analytical method for determining the risk level of the design or
process.
FMEAs are completed on key characteristics. High RPN scores on
FMEAs have been mitigated. As a result of the FMEA a control plan is
developed.
Initial Sample Inspection Plan (First Piece Inspection) for new parts
and set-ups.
Quality Registration by an certified registration agency. The
regristration must not have expired.
Documents are up-to-date in all areas of the factory. All revision levels
are current, and if a change is made the revision is made by the date
that is required.
Costs as a result of poor quality are quantified, such as reclaim and
scrap. (May include engineering costs, material handling, inventory,
etc.)
A mission statement and quality policy should be published, and
communicated with the work force.
Quality metrics, such as PPM or cost of poor quality should be posted
in areas so that the work force can view, and see trends over time.
The goals should also be defined.
An effective process for finding the cause(s) of an event. This tool
enables more thorough corrective actions.
The training requirements should be available, and implemented.
Quality Planning on new parts should cover how to handle key
characteristics and all product features. FMEAs, Control Plans, Work
Instructions should clearly defined how to prevent defects.
Define, Measure, Analysis, Improve and Control methodology used to
solve problems and work on continuous improvement.
FMEAs are updated if problems occur. The FMEA should define the
failure mode and control to address. The control plan should be
updated to prevent the problem in the future.
Key Characteristics are those product or process parameters for which
variation is likely to significantly affect customer satisfaction with the
product such as its safety, fit, form, function or appearance. Key
Characteristics apply to components and assemblies.
Structured approach for determining customer needs and translating
those needs into the origanization's language.
Production Part Approval Process that is used to assure that a new or
changed product or process meets specifications.
A method to eliminate potential operator error from the process.
Quality Registration to QS 9000 or ISO/TS16949 by a certified
registration agency. The certificate must not have expired.

Tool Definitions: Page 6 of 6

Last Modified: 5-Aug-2005