jds g223 manual english (3)

Issued: June 1998 Revised: 2009-03-12 Term Code: Design Control: DT of 88Supersedes: 2009-02-16

John Deere Standards are intended for use by Deere & Company, its divisions and subsidiaries. Suppliers who rely on them infurnishing products to or for the benefit of the Company must determine that they are in possession of the latest version.Distribution of the standards to parties other than John Deere Suppliers, whether with or without charge, are for information only andDeere & Company disclaims all responsibility for results attributable to the application of or compliance with such standards. TheCompany makes no representation, express or implied, that conformity ensures compliance with applicable law or other rules orregulations. Further, those who are in receipt of and elect to use the standards, agree to assume the responsibility for compliancewith patents, as well as potential patent infringement.Deere & Company Engineering Standards Department, One John Deere Place, Moline, Illinois 61265-8098, U.S.A. Unpublished —All rights reserved under the copyright laws.

John Deere Standard

APPROVED FOR SUPPLIER DISTRIBUTION JDS-G223

Supplier Quality Manual

TABLE OF CONTENTSSection/Title Page1 Vision ...............................................................................................................................................32 Goal .................................................................................................................................................33 Purpose............................................................................................................................................34 Quality Management System ............................................................................................................34.1 General Requirements......................................................................................................................44.2 Documentation Requirements...........................................................................................................45 Management Responsibility..............................................................................................................65.1 Management Commitment................................................................................................................65.2 Customer Focus ...............................................................................................................................65.3 Quality Policy....................................................................................................................................75.4 Planning ...........................................................................................................................................75.5 Responsibility, Authority and Communication....................................................................................75.6 Management Review........................................................................................................................86 Resource Management.....................................................................................................................86.1 Provision of Resources .....................................................................................................................86.2 Human Resources............................................................................................................................96.3 Infrastructure ....................................................................................................................................96.4 Work Environment ............................................................................................................................97 Product Realization - Enterprise Product Delivery Process................................................................97.1 Planning of Product Realization ........................................................................................................97.2 Customer-Related Processes .........................................................................................................117.3 Design and Development................................................................................................................167.4 Purchasing .....................................................................................................................................187.5 Production and Service Provision ...................................................................................................197.6 Control of Monitoring and Measuring Devices .................................................................................208 Measurement, Analysis and Improvement.......................................................................................218.1 General ..........................................................................................................................................218.2 Monitoring and Measurement .........................................................................................................21

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APPROVED FOR SUPPLIER DISTRIBUTION

8.3 Control of Nonconforming Product ..................................................................................................278.4 Analysis of Data..............................................................................................................................288.5 Improvement ..................................................................................................................................289 Process Control Flow Chart – PDP and Initial Production................................................................3110 Production Part Approval Process (PPAP) Requirements ...............................................................3211 Change Request and Verification Warrant Form .............................................................................3312 Major Component Reliability Assessment Process and Form ..........................................................3513 Product Verification & Validation Plan – V2 Net Data ......................................................................3714 Design, Process, and Assembly Review Form ................................................................................4015 Initial Sample Inspection Report (ISIR) – Dimensional and Material Results....................................4316 Capability Study Form ....................................................................................................................4417 Control Plan Checklist and Form.....................................................................................................4518 Appearance Approval Report..........................................................................................................4819 Performance Test Results ..............................................................................................................4920 Corrective Action Request Form .....................................................................................................5021 Engineering Deviation Authorization Checklist and Form.................................................................5122 Process Evaluation - Continuous Process Monitoring Matrix ..........................................................5323 Six Sigma Conversion Table for Variable Data................................................................................5724 Process Control Methods................................................................................................................5825 Suggested Quality Tools.................................................................................................................5926 Glossary.........................................................................................................................................6127 Engineering Standards ...................................................................................................................6328 Supplier Information Survey............................................................................................................6429 Red Flags Supplier Quality System Survey.....................................................................................7130 Supplier Quality System Audit Questionnaire ..................................................................................7331 Product Engineering Audit Flowchart and Questionnaire.................................................................8132 Process Verification Audit Questionnaire ........................................................................................8533 Contact Information ........................................................................................................................8734 References.....................................................................................................................................87Summary of Changes from Previous Edition(For Information Only — Not Part of the Standard).................................................................................88

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The adoption of a Quality Management system should be a strategic decision of an organization. Thedesign and implementation of an organization’s quality management system is influenced by varyingneeds, objectives, products, and processes as well as the size of the organization.

It is understood that each supplier is on their own continuous improvement path, however, there arecertain requirements in this standard that require compliance regardless of the state of the Supplier’squality system. The requirements identified with a key are very critical. Noncompliance with theserequirements put the supplier at the highest risk of violating the Purchase Order Terms and Conditions.The word “shall” when used in this document indicates a mandatory requirement.

1 VisionOur vision is for all John Deere Suppliers to implement and maintain a quality system that allows them toproduce and deliver to John Deere globally competitive products and services clearly seen by ourcustomers as superior in performance and value. Our suppliers shall conduct business with a highdegree of integrity and in a socially and environmentally responsible manner in accordance with the JohnDeere Supplier Code of Conduct, which can be viewed at http://www.deere.com/suppliercode/.

2 GoalThe goal of the John Deere Supplier Quality Manual is to provide a uniform method for all John Deereunits to communicate general requirements, expectations, and guidelines to the supply chain.

This supports the John Deere Achieving Excellence purposes: continuously measuring supplierperformance, rewarding improvements, and recognizing suppliers' outstanding efforts; embracingproactive quality planning as a routine part of doing business; and helping suppliers' continuousimprovement efforts.

3 PurposeThe John Deere Supplier Quality Manual has two purposes. First, this manual defines the fundamentalquality system activities that John Deere units expect from suppliers and their supply chain to ensure on-going quality planning, control, and improvement. Secondly, suppliers can use the manual as an aide infurther developing their own quality systems. In many sections throughout the manual, instructions canbe found not only on what the requirements are, but how to meet the requirements.

John Deere’s commitment to integrating suppliers as team members “creates the distinctive John DeereExperience that ultimately propels a great business and, for all with a stake in our success, delivers …PERFORMANCE THAT ENDURES.” This manual is part of that commitment.

4 Quality Management SystemJohn Deere realizes that many suppliers are registered or are currently pursuing registration/complianceto standards audited by third party registrars (such as ISO/TS 16949, Malcolm Baldrige (not a standard),ISO 9001, or one of the various equivalents from other industries, states, or countries). This revision andformat of the manual is based on the Quality Systems of ISO/TS 16949:2002 version.

John Deere encourages our supply chain to become compliant to the International AutomotiveManagement Standard, ISO/TS 16949. This manual represents the minimum requirement for JohnDeere. John Deere units may require registration to more stringent standards. Many of the activitiesreferenced in this manual are further explained in the AIAG (Automotive Industry Action Group) manuals,such as Measurement System Analysis (MSA) and Failure Mode and Effects Analysis (FMEA). It isrecommended that suppliers obtain copies of the AIAG manuals. John Deere units will continue to movetowards the requirements of ISO/TS 16949 and further embrace the philosophies of continuousimprovement. Through executing the proper quality planning activities, John Deere and our supply basewill be able to install control measures to eliminate the issues that lead to customer dissatisfaction.

http://www.deere.com/suppliercode

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To achieve continuous improvement, John Deere expects our suppliers to embrace a sound qualitysystem and to work with us in a spirit of trust, cooperation, and teamwork. JDS-G223 establishesexpectations for quality activities, while recognizing that each John Deere unit has unique customerneeds. This manual is not intended to replace a supplier’s existing quality system. Suppliers shouldperform a self-evaluation to determine where their quality system aligns with this manual, and should alsoperform an evaluation of their supply chain. As included in the terms and conditions, acceptance of aJohn Deere purchase order constitutes acceptance of the requirements of this manual. Suppliersshould require similar terms and conditions with their supply chain. Suppliers are expected to discussand understand the specific applicability of these requirements with their John Deere representatives andtheir applicable supply chain in order to make effective business decisions.

4.1 General RequirementsThe supplier shall establish, document, implement, and maintain a quality management system andcontinually improve its effectiveness in accordance with the requirement of this John Deere SupplierQuality Manual. The supplier shall:

Identify the processes needed for the quality management system and its applicationthroughout the organization

Determine the sequence and interaction of these processes Determine criteria and methods needed to ensure that both the operation and control of these

processes are effective Ensure the availability of resources and information necessary to support the operation and

monitoring of these processes Monitor, measure, and analyze these processes Implement actions necessary to achieve planned results and continual improvement of these

processes. These processes shall be managed by the organization in accordance with therequirements of this John Deere Supplier Quality Manual.

Adhere to the John Deere Supplier Code of ConductWhere an organization chooses to outsource any process that affects product conformity withrequirements, the organization shall ensure control over such processes, including control of rawmaterial. Control of such outsourced processes shall be identified within the quality management system.Processes needed for the quality management system referred to should include processes formanagement activities, provision of resources, product realization, and measurement.

4.2 Documentation Requirements

4.2.1 General

The quality management system documentation shall include:

Documented statements of a quality policy and quality objectives A Quality Manual Documented procedures as required by this John Deere Standard Documents needed by the organization to ensure the effective planning, operation and

control of its processes, and Records required by this John Deere Standard.

4.2.2 Quality Manual

The supplier shall have a Quality Manual that is a controlled document and includes the following:

The scope of the quality management system Documented procedures or reference to them A description of the interaction between the processes of the quality management system,

such as with a flowchart.

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4.2.3 Control of Documents

A supplier shall establish and maintain documented procedures to control all documents and data ofexternal origin such as standards and customer drawings. For specifications referenced within adocument, a supplier shall have currently released editions of these documents available at allappropriate manufacturing locations.

A supplier shall have a documented procedure for control and distribution of drawings and/or standards.Obsolete drawings shall be destroyed or appropriately identified as such. When John Deere is using asupplier-controlled drawing and this drawing is changed, the supplier shall notify John Deere by furnishinga Change Request and gain approval via a Verification Warrant. (See Section 7.2.3)

John Deere Standards are available through JD Supply Network at:https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=http://portalwcm.deere.com/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_unit_list

Suppliers shall use the most current standards, to understand them, and to review changes to standards.Suppliers can review changes to standards by selecting “What’s New” on the John Deere Standards sitelisted above or via this URL:https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=http://portalwcm.deere.com/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_whats_new

4.2.4 Control of Records

All quality records shall be kept for at least three years unless otherwise specified in the supplier’s qualitymanual and agreed to by John Deere. These records shall be stored in an environment that protectsdocuments from deterioration and are readily accessible upon request by a John Deere representative. Itis also expected that the supply chain’s records pertaining to John Deere product shall be retained in thesame manner.

Examples of such records may include, but are not limited to:

Measurement Data Design and Process Failure Modes and Effects Analysis Measurement Systems Analysis Data Capability and Statistical Process Control Data Major Process Change Data Production Lot Control Data Verification Warrant and Documents Corrective Action Requests and Responses Gage Calibration and Maintenance Records Gage Repeatability & Reproducibility Analysis Heat Treatment - Metalurgical Examination Results and Material Composition Data Initial Sample Inspection Report Quality System Internal Assessments Employee Training Records (kept for term of employment) Destructive and Non-Destructive Testing Data Scrap, Reclaim, and Deviation Records Product Verification & Validation Activity Template - (See Template in Section 13) Functional and Performance (Laboratory and Field) Test Data Quality Plans or Control Plans for Parts and Assemblies (most recent plan only) Quality Rejections and Disposition Records Quality System Audits, Process Audits, and Corrective Actions Appearance Approval Report – (See Section 18) Production Part Approval Documents Design Review and Design Analysis documents Risk Assessments

https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=http://portalwcm.deere.com/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_unit_list



https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=http://portalwcm.deere.com/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_whats_new



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5 Management ResponsibilityTop management is required to take an active role in the quality management system. This commitmentshall address the managerial processes of quality planning, quality control, and quality improvement.

Quality Planning Develop and maintain quality policies. Determine customers and their needs. Develop and maintain short- and long-range goals/metrics. Support supplier development strategies. Support product-feature and manufacturing-process development. Develop and maintain training procedures.

Quality Control Assure systems adequacy - develop a Quality Control Manual. Create information feedback loops. Implement mistake-proofing techniques. Create an environment for quality and process control by individual workers through

procedures and job instructions documentation. Monitor cost of quality. Develop and maintain Quality Plans and Control Plans. Develop and maintain gage calibration system. Develop and maintain change notification procedures. Adhere to problem containment and traceability procedures.

Quality Improvement Formulate continuous improvement policy. Integrate controls in problem solutions. Identify projects to resolve current problems. Communicate corrective action to customers. Create continuous improvement teams to complete projects and solve problems using

structured problem-solving processes. Provide resources and training. Provide recognition.

5.1 Management CommitmentA supplier to John Deere shall demonstrate a top management commitment to continuous improvement.Top management shall provide documented evidence of its commitment to the development andimprovement of the quality management system by:

Communicating to the organization the importance of meeting customer as well as regulatoryand legal requirements

Establishing the quality policy and objectives Conducting regularly scheduled management reviews of the quality system and execution Ensuring the availability of necessary resources.

A sound quality system shall be structured after a proven methodology such as ISO 9001, ISO/TS 16949,the Malcolm Baldrige Criteria for Performance Excellence, the Deming award, or the EuropeanFoundation for Quality Management. Each business process should detail the roles of management.

5.2 Customer FocusTop management shall ensure that customer needs and expectations are determined, converted intorequirements, and fulfilled with the aim of achieving customer satisfaction. Needs and expectations ofJohn Deere include conformance to design and performance specifications, reliability, delivery, costmanagement, wavelength, and technical support.

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5.3 Quality PolicyTop management shall endorse a written quality policy that:

Is appropriate to the purpose of the organization; Includes a commitment to meeting customer requirements and to continuous improvement; Provides a framework for establishing and reviewing quality objectives; Is communicated and understood at appropriate levels in the organization; and, Is reviewed for continued appropriateness.

5.4 PlanningTop management shall ensure that quality objectives are established for the appropriate functions andlevels. The quality objectives shall be measurable and consistent with the supplier’s quality policy.

John Deere expects the supplier to have a structured quality planning process. This long-term qualityplan shall include, but is not limited to:

1. Quality Training Quality planning processes and tools Root cause determination, mistake proofing, and team involvement. Basic statistical concepts identifying and improving variation and control. Inspector and operator training programs in the use of control plans and care of

measurement and test equipment.

2. Manufacturing and Tooling Improvements Capability studies and capability objectives for current and new processes, and for approval

of new tooling. Assembly team or cell-unit manufacturing concepts Training aids for set-up and operation of equipment Preventive maintenance programs

3. Quality Information Systems Integration of computers to statistically analyze data, to assist corrective action activities, and

to provide timely reporting to John Deere. Installation of inspection equipment and gaging to provide improved monitoring of

manufacturing processes and quality data collection

4. Quality Budgeting Budget planning for quality and plant improvements such as training, equipment, and

program development. A quality plan to shift resources spent on appraisal and correcting internal and external

failures to defect prevention, such as: APQP (Advanced Product Quality Planning), PPAP(Production Part Approval Process), Control Plan Checklist and Form (See Section 11), andother continuous improvement methods and activities.

5.5 Responsibility, Authority and Communication

5.5.1 Responsibility and Authority

A quality management system shall be implemented in order to provide confidence that the organizationcan satisfy the needs of its customers. The system should be consistent with the size, culture, andproducts of the organization. A supplier shall show evidence of a quality policy emphasizing continuousquality improvement driven by top management through preventive and corrective action. A copy of along-term quality improvement program shall be available for review by John Deere personnel.Management shall define specific quality indicators (metrics) and have a system in place to track themand monitor for trends. Improvement activities should be based around these trends.

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5.5.2 Management Representative

Top management shall appoint member(s) of management who shall have responsibility and authority forplanning, execution, control, and improvement of quality-related activities.

5.5.3 Internal Communication

The organization shall ensure that communication takes place between its various levels and functionsregarding the processes of the quality management system and their effectiveness. This communicationmay take the form of team meetings, bulletin boards, publications, electronic media, or other techniques.

5.6 Management Review

5.6.1 Management Review - General

The supplier’s management shall use internal audits to evaluate the degree of compliance andeffectiveness of the quality system. The supplier shall have a documented program to perform internalaudits. The results of the audits shall be documented and retained for at least three years. These auditrecords shall be made available to John Deere personnel for review upon request. A formal correctiveaction process (See Section 8.5.2) that includes root cause determination shall be used to correctdeficiencies. Subsequent audits shall include verification of corrective actions. The supplier shall haveinternal auditors who are qualified to audit the requirements of this John Deere Supplier Quality Manual.Trained personnel that are independent of the area being audited shall perform the audits.

5.6.2 Review Input

Inputs to management review shall include current performance and improvement opportunities relatedto:

Audit results and schedule; Customer feedback (such as Achieving Excellence and warranty); Process performance and product conformance; Status of preventive and corrective actions; Follow-up actions from earlier management reviews; Changes that could affect the quality management system.

5.6.3 Review Output

The outputs from a management review shall include supporting and leading actions addressingdeficiencies relating to:

Improvement of the system and its processes; Improvement of product related to customer satisfaction; Resource needs.

6 Resource Management

6.1 Provision of ResourcesEmployees shall be qualified for the job they perform through education, training, or work experience andbe knowledgeable of appropriate quality tools and processes that affect the quality of products andservices provided to John Deere. Further, employees shall be provided with the equipment, facilities anda work environment conducive to producing high quality products and services that consistently meetfunctional requirements and product specifications and provide genuine value to John Deere and ourcustomers.

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A Supplier shall develop a quality management system and resource management plan thatdemonstrates a commitment to continuous improvement as described in Section 4 of this manual. Theresource management plan shall provide for the evaluation of the resources needed to implement andimprove the processes of the quality management system and customer satisfaction. The resourcemanagement plan shall also include the evaluation of the skill level of employees to determine theirunderstanding of quality tools and processes and their ability to apply these tools relevant to their job.(See Section 25).

6.2 Human ResourcesA supplier shall provide a system of ongoing monitoring of each employee’s education, training and workexperience and provide opportunities for training and continuing education to improve employee’s skilllevel. (Contact your John Deere Supply Management representative for availability of classes.) Thetraining shall provide employees with an awareness of the relevance and importance of their activitiesand how they contribute to the achievement of quality objectives in the business plan.

John Deere classes for Supplier Quality Manual, John Deere Standards, and Enterprise Product DeliveryProcess Supply Chain Integration are available at this URL:

http://www.90.deere.com/suppmgmt/resources/resource_center/resource_center_index.htm

6.3 InfrastructureA supplier shall provide and maintain facilities, equipment, workspace, hardware, software, and supportservices to achieve conformity to product specifications and functional requirements.

6.4 Work EnvironmentA supplier shall provide a work environment that supports quality objectives by identifying and managinghuman and physical factors that affect the quality of products and services provided to John Deere.

7 Product Realization - Enterprise Product Delivery Process

7.1 Planning of Product RealizationAn effective and structured product realization planning process shall result in the determination of:

The quality objectives for the product or service; The need to develop specific processes, resources, facilities, and documentation; and Verification and validation activities and the criteria for acceptability.

John Deere’s product realization process is called the Enterprise Product Delivery Process or EPDP. It isthe sequence of processes required to successfully produce a product or service that meets or exceedsthe expectations of John Deere and our customers. The EPDP consists of six phases containing twenty-one milestones. The following chart identifies the milestones, including Portfolio Management Process(PMP) Gates and EPDP Leadership Gates. Authority For Expenditure (AFE) approval is granted in EPDPGate 6.

http://www.90.deere.com/suppmgmt/resources/resource_center/resource_center_index.htm

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7.1.1 Advanced Product Quality Planning

EPDP includes Advanced Product Quality Planning. Suppliers shall participate in Advanced ProductQuality Planning activities, such as Design Reviews, FMEAs, and electronic build events for the purposeof collaboratively planning for product realization and preventing problems during physical builds. Keycharacteristics (See Section 7.2.1.1) are identified and recorded during the early stages of design andcommunicated to suppliers. Quality planning activities shall be completed for first physical builds, andupdated for subsequent physical builds.

Parts shall be production intent for physical builds (including those in EPDP Phase 4), and should beproduced using production tooling in a production process, unless approved by the John Deererepresentative. Quality planning steps shall be repeated for parts that are supplied not using productiontooling and processes. If there is a tooling or process difference between the actual parts used on thepre-production build versus the tooling or process for the production build, there shall be evidence ofconformance to the specification and risk mitigation.

After successful completion of the final phase of EPDP (Phase 6), the Order Fulfillment Process will befollowed. The Order Fulfillment Process (OFP) at John Deere is a global process that is designed todeliver the right product at the right place at the right time. It begins with an estimate of retail sales andends with the retail delivery and payment.

7.1.2 Acceptance Criteria

Acceptance criteria is approved by John Deere, where required.

7.1.3 Confidentiality

The organization shall ensure the confidentiality of customer-contracted products and projects underdevelopment, and related product information.

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7.2 Customer-Related Processes

7.2.1 Determination of Requirements Related to the Product

Specific quality planning activities are required for every new or revised part or process. At John Deerethe Part Level Quality Planning (PLQP) activities help ensure that new products or processes, andchanges to existing products or processes, fulfill their intended purposes. PLQP provides a consistent,structured, and preventive process for managing risks associated with new or revised parts, assemblies,changes to suppliers and processes.

The Quality Plan Level (QPL) is a measure of part risk based on three categories: cost, severity, andcomplexity. Each category affects a part or component's overall risk to John Deere. Quality Plan Levelsrange from 0 to 4, with 4 representing the greatest risk. Based on the Quality Plan Level, the requiredquality activities are identified. One of the activities that can be required is the Design, Process, andAssembly Review (DPAR). A DPAR is a meeting which confirms all expectations of the products orservices prior to a physical build. John Deere teams initiate this review as early as possible before toolingrelease. Multiple DPARs may be required for multiple physical builds, depending on the magnitude ofchange from one build to the next. DPARs may be conducted in person, or with the use of telephone andelectronic communication. Parts or subsystems may be grouped together in a DPAR. Documentation ofDPAR events shall be maintained. Production Part Approval Process (PPAP) requirements shall beclearly understood as an output of the DPAR. The PPAP requirements correlated to the QPL are inSection 10. The PPAP requirements shall be documented on a Verification Warrant Form (See Section11).

Where the supplier maintains design control of the product, the supplier shall form a team to conductthese reviews with their supply chain. The teams should include supply management, qualityengineering, design engineering, supplier representatives, and any other personnel necessary to evaluatea supplier’s capability to meet product or service requirements. Documentation of DPAR events shall bemaintained by the design control entity. Examples of the items covered during this meeting are shown inthe Design, Process, and Assembly Review Checklist (See Section 14). Action items shall bedocumented and tracked.

7.2.1.1 Customer-Designated Special Requirements

A Key Characteristic is a product or process characteristic whose variation or targeting control isnecessary to meet customer requirements and that directly or significantly impact customer satisfactionthrough compliance with government, country or industry standards and/or regulations, ability to performits intended design requirements (form, fit, function, reliability, appearance), or manufacturability andability to assemble.

There are two types of Key Characteristics - Product and Process. For minimum process capability onkey characteristics, see (See Section 7.5.1). A structured process shall be used to identify KeyCharacteristics and corresponding controls.

Product key characteristics are those characteristics of a part whose variation within the design toleranceand/or specification can affect customer satisfaction. The selected measurable characteristics requireextra control. Product Key Characteristics shall be documented on the Control Plan, the drawing/model,and/or assembly specifications. No deviations are allowed for out-of-tolerance and/or out-of-specificationproduct key characteristics.

Product key characteristics shall be identified by the symbol <KC> on a drawing, model, productspecification and/or assembly specification. Product key characteristics on older prints may have beendepicted through the use of a special symbol such as or .

Process key characteristics are those characteristics of a process that significantly impact customersatisfaction and that require extra control, such as Process FMEA, Gage R&R, statistical processmonitoring, control plans, and capability studies to manage variation and targeting to ensure that theproduct is within tolerance and/or specification. Process Key Characteristics can exist withoutcorresponding Product Key Characteristics, and are not designated by a special symbol. Process KeyCharacteristics shall be documented on the Control Plan.

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7.2.2 Review of Requirements Related to the Product

Key characteristics for the product and processes are confirmed in the DPAR using information fromDesign Reviews, FMEAs, and historical information. The supplier shall provide John Deere a ProcessFailure Modes and Effects Analysis (PFMEA) for each component with one or more key characteristicsprior to the end of Phase 3 of the Enterprise Product Delivery Process shown in Section 7.1. Refer toPreventive Action, (See Section 8.5.3). The supplier’s processes, process capabilities, PFMEA, and theirsupply chain capabilities and requirements should be reviewed during the DPAR. If key characteristicsare not identified directly on the drawing, they may be documented in the DPAR Checklist (See Section14).

Purposes of the DPAR are:

Confirm the product and process Key Characteristics Discuss applicable John Deere requirements and John Deere Standards Identify revisions to the print or process necessary to manufacture or procure the product or

service to specifications Review the quality plan level Ensure understanding of the part function and the manufacturing process Review the supplier’s processes, process capabilities, and PFMEA Review the supplier’s supply chain capabilities and requirements Clarify requirements for capability assessment and gage studies on key characteristics, plus

other characteristics that are identified by John Deere Clarify supplier responsibility for PPAP requirements (communicate formally via Verification

Warrant Form (See Section 11). Identify and assign preventive action for potential problems in manufacturing or procurement Discuss product or service order quantities, delivery schedules, handling, packaging, product

preservation, and product or service cost Mistake-proof the design and manufacturing processes, including assembly, to ensure a low

probability of error Identify or evaluate potential cost reduction or value improvement opportunities Review obligations related to product, including environmental, regulatory and legal

requirements Review dimensional featuring according to functional requirements Review the Bill of Materials (BOM) for accuracy Review service requirements Determine material products shall not contain any substances in excess of the amounts set

forth on John Deere’s Restricted Materials List (e.g., asbestos or lead in paint) and/or othersubstances restricted by applicable laws (See Section 7.4.1.1).

Effective reviews require supplier participation. It is during this review that the supplier should ask forclarification on any unclear issue. From this meeting the supplier should acquire all of the informationrequired to clearly understand John Deere requirements. The supplier should be prepared to addressquestions in this meeting and respond back to any unanswered questions on the date specified during themeeting. The supplier shall communicate to John Deere any changes that may affect the datadocumented in this review.

7.2.3 Customer Communication

The supplier shall identify and implement a communication plan with John Deere and with their supplychain relating to product or service information, contracts or order handling, product or process changes,contract amendments, and customer feedback. Where product requirements are changed, the suppliershall ensure that relevant documentation is revised appropriately. The supplier shall also ensure thatpersonnel involved in the realization of the product or service are made aware of the changedrequirements. (See Customer Notification and Submission Requirements Table 1 and Table 2.)

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Material Control and Communication

The manufacture of equipment and components, based on a worldwide design, has significant materialspecification challenges. Materials that are commonly available in one geographical region may bedifficult or excessively costly to obtain in another. The purpose of the next three paragraphs is to clarifythe determination of an equivalent or alternate material and the process for notification and approval.

An equivalent material is one whose specifications, in their full range of variation, meet those of thedrawing-specified material. Determination that a material is equivalent requires a careful evaluation of allrelated specifications and characteristics. This review shall only be performed by individuals who are wellversed in those particular materials, qualified to make that evaluation, able to provide supportingdocumentation (e.g. mill certifications), and fully conversant with the relevant John Deere specifications.Unless specifically authorized by the appropriate John Deere representative, in writing, only the primarymaterial producer (e.g. steel mill, foundry, warehouse), may make that decision. If material is equivalent,the manufacturing process should not require revision.

An alternate material is one whose specifications do not fully meet those of the drawing-specifiedmaterial, but have been verified as fully meeting the design intent and can be used interchangeably.Alternate materials shall appear on the drawing. Either a print change or a temporary deviation to allowthe alternate material is required. Refer to Engineering Deviation Authorization Checklist and Form (SeeSection 18). Alternate materials will likely require changes to the manufacturing processes utilized tomake or process parts. Processing areas like heat treatment, bending, forming, and welding will likelyshow the greatest differences when utilizing alternate materials.

The subtleties of detail within the John Deere Material (JDM) specifications requires specialist training tointerpret. Incorrect material substitutions can result in product failures. Any questions relating to theequivalence of two materials should be directed to a qualified John Deere materials engineer.

CUSTOMER NOTIFICATION AND SUBMISSION REQUIREMENTS

Customer Notification

A supplier shall request approval from John Deere before making changes to a specification or processfor supplied products or services for any change that may impact safety, fit, form, function, performance,durability, or appearance per the following requirements listed in Table 1.

The supplier shall notify the responsible John Deere design unit of any design or process changes asindicated in the table below via Change Request on JD Supply Network (https://jdsn-collab.deere.com/sc)by selecting Change Request from the Quality Menu for JDSN Collaboration. John Deere maysubsequently elect to require a submission for PPAP approval. The following tables specify whennotification is required, and are taken from AIAG Production Part Approval Process Manual (See Section34, Reference 12). They are reprinted from the PPAP Manual with permission of Chrysler LLC, Ford, andGM Supplier Quality Requirements Task Force.

Table 1 — Planned Changes Requiring Notification Prior to Implementation

Requirement Clarification or examples1. Use of other construction or material than

was used in the previously approved partor product.

For example, other construction as documented on adeviation (permit) or included as a note on the designrecord and not covered by an engineering change.

2. Production from new or modified tools(except perishable tools), dies, molds,patterns, etc., including additional orreplacement tooling.

This requirement only applies to tools, which due to theirunique form or function can be expected to influence theintegrity of the final product. It is not meant to describestandard tools (new or repaired), such as standardmeasuring devices, drivers (manual or power), etc.

3. Production following refurbishment orrearrangement of existing tooling orequipment.

Refurbishment means the reconstruction and/ormodification of a tool or machine or to increase thecapacity, performance, or change its existing function.

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Requirement Clarification or examplesThis is not meant to be confused with normalmaintenance, repair or replacement of parts, etc., forwhich no change in performance is to be expected andpost repair verification methods have been established.

Rearrangement is defined as activity which changes thesequence of product/process flow from that documentedin the process flow diagram (including the addition of anew process).

Minor adjustments of production equipment may berequired to meet safety requirements such as, installationof protective covers, elimination of potential Electro StaticDischarge risks, etc. These changes can be madewithout customer approval unless the process flow ischanged as a result of this adjustment.

4. Production from tooling and equipmenttransferred to a different plant location orfrom an additional plant location.

Production process tooling and/or equipment transferredbetween buildings or facilities in one or more locations.

5. Change of supplier for parts, non-equivalent materials, or services (e.g.:heat-treating, painting, plating) that affectcustomer fit, form, function, durability, orperformance requirements.

Suppliers are responsible for approval of subcontractedmaterial and services that do not affect customer fit, form,function, durability, or performance requirements.

6. Product produced after the tooling hasbeen inactive for volume production fortwelve months or more.

For product that has been produced after tooling hasbeen inactive for twelve months or more: Notification isrequired when the part has had no active purchase orderand the existing tooling has been inactive for volumeproduction for twelve months or more. The onlyexception is when the part has low volume, e.g. service orspecialty vehicles. However, a customer may specifycertain PPAP requirements for service parts.

7. Product and process changes related tocomponents of the production productmanufactured internally or manufacturedby suppliers that impact safety, fit, form,function, performance, durability, and/orappearance of the salable product.Additionally, the supplier shall concurwith any requests by a subcontractorbefore submission to the customer.

Any change that affects customer requirements for safety,fit, form, function, performance, durability, and/orappearance requires notification to the customer.

Note: The safety, fit, form, function, performance,durability, and/or appearance requirements shouldbe part of John Deere specifications as agreed onduring reviews.

8. For bulk materials only:New source of raw material with specialcharacteristics from new or existingsubcontractor.

Change in product appearance attributeswhere there is not appearancespecification.

Revised parameters in the same process(outside PFMEA parameters of theapproved product, includes packaging).

Change outside of DFMEA (productcomposition, ingredient levels) of the

These changes would normally be expected to have aneffect on the performance of the product.

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Requirement Clarification or examplesapproved product.

9. Change in test/inspection method – newtechnique (no effect on acceptancecriteria).

For change in test method, supplier should have evidencethat the new method provides results equivalent to the oldmethod.

Submission to Customer

The supplier shall obtain PPAP approval prior to the first production shipment in the following situationsunless the responsible product approval activity has waived this requirement (see Table 2). ConditionalApproval may be granted to authorize limited production shipments when there are outstanding PPAPrequirements.

The supplier shall review and update, as necessary, all applicable items in the PPAP file to reflect theproduction process, regardless of whether or not the customer requests a formal submission. The PPAPfile shall contain the name of the responsible customer product approval activity person granting thewaiver and the date.

Table 2 — Changes Requiring PPAP Approval Prior to First Production Shipment

Requirement Clarification or examples1. A new part of product (i.e. a specific part,

material, or color not previously suppliedto the specific customer).

Submission is required for a new product (initial release)or a previously approved product which has a new orrevised (e.g. suffix) product/part number assigned to it.A new part/product or material added to a family mayuse appropriate PPAP documentation from a previouslyfully approved part within the same product family.

2. Correction of a discrepancy on apreviously submitted part.

Submission is required to correct any discrepancies on apreviously submitted part.

A “discrepancy” can be related to: The product performance against the customer

requirement Dimensional or capability issues Subcontractor issues Full approval of a part replacing an interim

approval Testing, including material, performance,

engineering validation issues3. Engineering change to design records,

specifications, or materials for productionproduct/part number(s).

Submission is required on any engineering change toproduction product/part design records, specifications ormaterials.

4. For Bulk Materials only:Process technology new to the supplier,not previously used for this product.

Changes in any of the above situations (Table 1 and Table 2) require appropriate quality planning andwritten request (using JDSN Collaboration or Change Request Form) with acceptance to proceed fromJohn Deere prior to implementation. (See Section 7.5.2) The supplier shall ensure that propernotifications of changes by their supply chain are communicated as well. See Change Request andVerification Warrant (See Section 11) for additional change request information. PPAP approval isrequired prior to shipping parts.

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7.3 Design and Development

7.3.1 Design and Development Planning

Design Reviews shall be conducted periodically as the product or process is designed, first to identifyhow the design will work and how the various subsystems will work together, then later when more detailis available. Tools, such as Failure Mode and Effects Analysis, are used to identify problems and areused in an iterative fashion with Design Reviews. Design Reviews take place earlier than the DPAR inthe Enterprise Product Delivery Process.

Design reviews are typically conducted with John Deere and supplier team members from areas such as:product engineering, product verification and validation, reliability engineering, marketing, supplymanagement, quality engineering, and materials engineering. Typical areas for discussion are designs,regulations, standards, product support, manufacturing processes, assembly techniques, and personalhazards. The review is documented and corrective action plans are developed and validated for anyproblems identified.

Design reviews may be conducted at various stages of the design and development process toaccomplish the outputs listed below and to periodically review the ability of the supply chain to fulfillrequirements. When requested, the supplier shall participate in design reviews. Suppliers shall providetechnical leadership for their product, assist in the identification of potential problems, and work with JohnDeere in correcting these problems. When design control of the product resides with the supplier, thesupplier shall conduct such reviews and include representation from their supply chain and John Deere,as appropriate.

Important outputs of the design review process are:

Identification of the design and development processes Identification of the verification and validation activities appropriate for each design and

development stage Identification of responsibilities and authorities for each of the design and development

stages Determination of the requirements for, and methods of, communication at each stage in the

design and development process Functional and performance requirements of the product or service Identification of criteria for acceptability, including key characteristics plus other

characteristics that are identified by John Deere Determination of applicable regulatory and legal requirements Identification of applicable information derived from previous similar designs Identification of product or service acceptance criteria Definition of the characteristics of the product that are essential for safe and proper use Special packaging requirements for proper delivery to the customer

7.3.2 Design and Development Inputs

Design verification and validation plans are developed to ensure that the product design shall meet theobjectives for performance and reliability that have been established resulting in a product that meets orexceeds defined customer needs. John Deere and the supplier jointly develop the Product Verificationand Validation (PV&V) plan. The PV&V plan should consider component functionality and durability,software function, environmental conditions, anticipated applications, existing and potential failure modes,interfaces with other system components and controls, customer expectations, and key performancecharacteristics. Laboratory, field, customer, or supplier testing may be used to validate designs.

Product verification and validation plans and results shall be documented using a spreadsheet templateprovided by the John Deere representative from the John Deere V2 Net System. Refer to ProductVerification & Validation Plan – V2 Net Data (See Section 13). The completed form shall be returned toJohn Deere so the data can be imported into the John Deere V2 Net System for documentation andtracking purposes.

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If requested, the supplier shall assist in conducting the PV&V activities either at John Deere or thesupplier’s facility. The supplier shall provide information about standardized tests such as SAE, ISO, DIN,ASTM, or others that are routinely conducted for the supplied product. The supplier shall understandappropriate engineering standards (See Section 27). Also, John Deere may conduct a ProductEngineering Assessment (See Section 31) for components with Quality Plan Levels 3 when the supplierhas component or subsystem design control. This assessment is normally done as part of a SupplierQuality System Audit (See Section 30).

Higher component reliability is vital to improved profitability and customer satisfaction. A reliable machinestarts with reliable components. To achieve component reliability, John Deere may provide suppliers acomponent reliability goal. In this case, the supplier shall provide statistical evidence that the componentgoal is met.

The Major Component Reliability Assessment Process assures component reliability goals are set andplans are created and executed to validate and demonstrate the ability to meet the goals. The MajorComponent Reliability Assessment Process (See Section 12) shall be used when directed by JohnDeere. Typically, the process will be used for components with a Quality Plan Level 3 (See Section7.2.1) when the supplier has design control of a new component or when there are plans to use anexisting component in a more severe application.

If requested, the supplier shall complete and submit the Component Performance & Reliability AssuranceForm to John Deere. (See Section 12) The supplier and John Deere shall sign this form when thecomponent meets or exceeds its requirement(s), including reliability. This form should be signed beforeany components are provided for a John Deere physical build of machines for field durability testing.

7.3.3 Design and Development Outputs

The output of design and development shall be provided in a form that enables verification against thedesign and development input and shall be approved prior to release. Design and development outputsshall; a) meet the input requirements for design and development, b) provide appropriate information forpurchasing, production and for service provision, c) contain or reference product acceptance criteria, andd) specify the characteristics of the product that are essential for its safe and proper use.

7.3.4 Design and Development Review

At suitable stages, systematic reviews of design and development shall be performed in accordance withplanned arrangement; a) to evaluate the ability of the results of design and development to meetrequirements, and b) to identify any problems and purpose necessary actions. Participants in suchreviews shall include representatives of functions concerned with the design and development stage(s)being reviewed. Records of the reviews and any necessary actions shall be maintained.

7.3.5 Design and Development Verification

Verification shall be performed in accordance with planned arrangements (See Section 7.3.1) to ensurethat the design and development outputs have met the design and development input requirements.Records of the results of the verification and any necessary actions shall be maintained (See Section4.2.4).

7.3.6 Design and Development Validation

Design and development validation shall be performed in accordance with planned arrangements (SeeSection 7.3.1) to ensure that the resulting product is capable of meeting the requirements for the specifiedapplication or intended use, where known. Whenever practical, validation shall be completed prior to thedelivery or implementation of the product. Records of the results of validation and any necessary actionsshall be maintained (See Section 4.2.4).

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7.3.7 Control of Design and Development Changes

Changes to the design of a product or service shall be identified, documented, communicated andcontrolled. In cases where design control resides with the supplier, the supplier shall take appropriatemeasures to communicate all their proposed changes and their supply chain proposed changes, via theChange Request and Verification Warrant to John Deere. The supplier shall evaluate the effect of anyproposed changes to all constituent parts and completed products. This may be accomplished through adesign review, failure modes and effects analysis, lab or field-testing, or other means, as determinedjointly by John Deere and the supplier. The changes shall be approved by John Deere prior toimplementation, see Customer Communication (See Section 7.2.3). The results of the review of changesand subsequent follow-up actions shall be documented.

7.4 Purchasing

7.4.1 Purchasing Process

As a primary supplier to John Deere, the supplier is responsible for the quality of the products andservices provided by their supply chain.

The requirements of this document should be extended to the supplier’s supply chain. A supplier shallhave a documented system to properly select suppliers with the capability to meet this standard and otherapplicable John Deere Standards. The initial supplier selection process for providers of products orservices for John Deere shall include an on-site assessment. Assessments shall determine the supplychain’s capability to meet the requirements of this standard (JDS-G223). Suppliers shall monitor theirsupply chain’s performance.

At times, it may be appropriate for the supplier to have their supplier(s) participate in John Deere initiatedDesign, Process, and Assembly Reviews and other quality activities. A supplier shall have acommunication plan to notify their supply chain of the latest specifications and to verify the product on anongoing basis. A change in the supply chain, or any process change by the supply chain that producesthe John Deere product, requires appropriate quality planning, and John Deere notification prior toimplementation. John Deere units require documented approval before implementation (See Section7.2.3).

7.4.1.1 Regulatory Conformity

The supplier shall own the patent or copyright that allows it to lawfully manufacture the product, or utilizethe manufacturing process, the Company desires to purchase.

The supplier shall be properly licensed by the holder of the patent or copyright to produce or utilize themanufacturing process.

The supplier shall have documentation to substantiate that it owns the requisite Intellectual Propertyrights, or that it is properly licensed to use the requisite Intellectual Property Rights.

The Intellectual Property rights are effective and legally enforceable in the country where the supplier willproduce the product or utilize the manufacturing process, and the documentation to substantiate that itsIntellectual Property Rights are effective in the country where it will produce or utilize the manufacturingprocess. The duration of the requisite Intellectual Property shall be sufficient to cover the term of theproposed supply agreement.

The supplier shall identify any third party Intellectual Property Rights that could interfere with theproposed supply agreement.

Through discussion and physical testing verify that supplied products do not contain substances inexcess of the amounts set forth on John Deere’s Restricted Materials List (e.g., asbestos or lead in paint)and/or other substances restricted by applicable laws. The Restricted Materials List ia located on theJohn Deere Supply Network.

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7.4.2 Purchasing Information

Purchasing documents of John Deere suppliers shall contain information describing the requirements forapproval of the product and the qualification of the procedures, processes, specifications, equipment andpersonnel necessary to produce the product.

7.4.3 Verification of Purchased Product

Verification of purchased product shall be conducted using a documented quality assessmentmethodology. The primary supplier to John Deere is fully responsible for the quality of the products andservices they provide, including that of the supplier’s supply chain.

7.5 Production and Service Provision

7.5.1 Control of Production and Service Provision

Process control is needed to ensure that the manufacturing process is performed under stable conditions.Documentation shall be provided to assure quality of products at initial production and is used to maintainongoing acceptable quality levels. Examples of process control documents are process sheets,inspection and test instructions, test procedures, standard operating procedures, preventive maintenanceinstructions, and specific part control plans.

Process control documents shall be in place prior to initial production and be readily available to theemployees responsible for the operation of the process. The key processing parameters, process andproduct key characteristics identified during Design Reviews, FMEA’s, and DPARs shall be addressed inthe process control documents, including a control plan. Process control documentation or control plansshall be available for review by John Deere. Minimum process capability for a key characteristic is a Ppk>1.33 or Cpk >1.33. Higher process capability requirements may be specified by the John Deererepresentative. If minimum process capability for a key characteristic has not been demonstrated theContinuous Process Monitoring Matrix shall be used to determine required activities, refer to ProcessEvaluation (See Section 22), unless otherwise agreed to by John Deere.

7.5.2 Validation of Processes for Production and Service Provision

The Supplier shall validate any special process for production and service where the resulting outputcannot be verified by subsequent monitoring or measurement. This includes any processes wheredeficiencies may become apparent only after the product is in use or the service has been delivered.Examples of special processes are welding, heat treatment, plating, and coating.

Validation shall demonstrate the ability of the processes to achieve planned results.

The supplier shall define arrangements for validation that shall include the following, as applicable: (SeeSection 20), Production Part Approval Process)

Qualification of processes Qualification of equipment and personnel Use of defined methodologies and procedures Requirements for records Re-validation

After PPAP documents have been submitted, John Deere reviews the submissions and approves orrejects the Verification Warrant (See Section 11). Approval is required prior to shipping production parts.Conditional Approval may be granted to authorize limited production shipments when there areoutstanding PPAP requirements. PPAP requirements shall be completed prior to full production, EPDPPhase 5.

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7.5.3 Identification and Traceability

A supplier shall establish and maintain documented procedures for product identification. The suppliershall have product traceability to the extent required so that if a discrepancy is found, product can becontained and corrective action initiated.

Identification is a process to identify product during all stages of production. Traceability allows for partsto be matched to a certain time frame, processes, and specific lots of material. Should a problem arise,John Deere and the suppliers shall identify suspect parts.

7.5.4 Customer Property

The supplier shall exercise care with all John Deere property, including intellectual property, while it isunder the supplier's control or being used by the supplier. The supplier shall identify, verify, protect andmaintain John Deere property provided for use or incorporation into product. Occurrence of any JohnDeere property that is lost, damaged or otherwise found to be unsuitable for use shall be recorded andreported to John Deere. Processing equipment, tooling, and measuring equipment / fixtures owned byJohn Deere are covered under this section.

7.5.5 Preservation of Product

The supplier shall preserve conformity of product with customer requirements during internal processingand delivery to the intended destination. This shall include identification, handling, packaging, storage,and protection. This also applies to the constituent parts of a product.

Service parts shall be prepared in accordance with John Deere Standard JDV-9, Preparation andPackaging of Service Parts. Refer to Engineering Standards, (See Section 27).

7.6 Control of Monitoring and Measuring DevicesGaging Selection

In selecting measuring equipment, John Deere is concerned with the capability of the measurementsystem to detect and indicate even small changes of the measured characteristic. The measuringequipment selected should have a discrimination of less than one-tenth of the total product tolerancebeing measured.

Calibration

A supplier shall establish and maintain documented procedures for the calibration, control, andmaintenance of measuring, inspection, and test equipment used to assure that products and processesconform to applicable requirements. A supplier shall calibrate these devices at consistent periodicintervals against applicable standards with known traceability, and safeguard them against adjustmentsthat would invalidate the calibration. Whenever a gage is found out of calibration and it has been used toverify parts for John Deere, the supplier shall notify John Deere of the suspect parts.

For certain applications John Deere will send gages, test fixtures, and test machines to a supplier. Theyremain the property of John Deere, who shall provide a gage drawing with the gage for the supplier’srecords. After the receipt of John Deere gages, a supplier shall calibrate, repair, and replacement ofnonconforming gages. A supplier shall review gages to assure proper function and application.

Gage Repeatability and Reproducibility

A gage repeatability and reproducibility (R&R) study measures the total repeatability and reproducibility ofa gage system as a percentage of the total specification. The personnel who will be using the measuringinstrument in production should always conduct the Gage R&R study. John Deere recommends thatGage R&R studies be performed whenever production personnel using the measuring instrument arechanged. The method for performing the Gage R&R study is either the Range Method or the ANOVAmethod, with three or more operators.

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Gage R&R studies apply to variable gages. Attribute gages (such as ring or plug gages) do not requiregage R&R studies unless otherwise specified by John Deere. Attribute gages shall be checkedperiodically for accuracy. For non-dedicated gages such as coordinate measuring machines, arepeatability and reproducibility analysis shall be conducted utilizing specific part programs on all keycharacteristics plus other characteristics that are identified by John Deere.

Gage R&R studies are required for each unique variable gage used to monitor key product or processcharacteristics. Studies on families of gages or equipment are not acceptable, unless the study uses anindustry-approved methodology such as found in Concepts for R&R Studies (See Section 34, Reference4). Some types of equipment, such as flow meters and hardness testers do not lend themselves toMeasuring System Analysis. This type of equipment shall be identified in the calibration program andverified at a specified frequency using traceable standards.

Total variation is the ratio of the uncertainty of the repeatability and reproducibility of the gaging system tothe tolerance range of the characteristic to be measured. If the total variation of the repeatability andreproducibility of the gage system (gage and operator) is less than 30 percent of the total tolerance range,the gaging system is acceptable for use. If the supplier uses a gage with a total variation greater than 30percent, John Deere shall be contacted for approval. A gage shall be proven repeatable and reproduciblebefore it can be used in a capability study or is used to accept or reject parts. If the gage system fails, thesupplier shall take corrective action to make the gage measurements repeatable and reproducible.

8 Measurement, Analysis and Improvement

8.1 GeneralMeasurement, analysis and improvement is the process of planning, defining, and using performancemetrics in processes and products critical to John Deere. These performance metrics are used todetermine the current level of performance, drive continuous improvement activities, and monitor long-term performance levels.

Critical to the use of these performance metrics are statistical tools. These statistical tools are not onlyused on processes and products, but also measure customer satisfaction and supply chain performance.

A supplier shall define, plan, and implement measurements where processes affect the quality ofproducts or services John Deere receives.

8.2 Monitoring and Measurement

8.2.1 Customer Satisfaction

A supplier shall include a customer satisfaction metric in the review of its quality management system.This metric shall be included in the management review process. Trends in customer satisfactionperformance should be reviewed and improvement activities developed around the data. Customersatisfaction improvement activities should utilize a structured process improvement technique.

John Deere will use the Achieving Excellence process (and its associated metrics) and warranty data tomeasure our satisfaction with the supplier’s performance. Suppliers shall use this data to driveimprovements in John Deere’s satisfaction metrics.

8.2.2 Internal Audit

Suppliers shall conduct their own internal audits per Section 5.6.1, Management Review – General.

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John Deere reserves the right to conduct a quality system assessment at the supplier’s facility. Whenperforming this assessment, John Deere would expect access to a supplier’s personnel, documentation,gaging, and test facilities. At the close of the assessment, John Deere will share findings in a debriefingmeeting and issue a report to the supplier summarizing the results. Any items requiring corrective actionshall be clearly noted, and the supplier shall submit a corrective action plan to address these issueswithin the agreed upon target date. John Deere will use the Red Flag Supplier Quality System Survey(See Section 29) or Supplier Quality System Audit (See Section 30) to complete the supplier qualitysystem assessment. John Deere may conduct a Product Engineering Assessment (See Section 31) forcomponents with Quality Plan Levels 3 when the supplier has component or subsystem design control.John Deere may ask the supplier to complete a Supplier Information Survey (See Section 28) prior to theon-site quality system assessment.

8.2.2.1 Quality Management System Audit

The supplier shall audit its quality management system to verify compliance with this standard (JDS-G223) and any additional quality management system requirements.

8.2.2.2 Manufacturing Process Audit

The organization shall audit each manufacturing process to determine its effectiveness.

John Deere may perform Process Verification Audits on selected components using the ProcessVerification Audit Questionnaire (See Section 32). This on-site supplier quality audit is intended for partswith a high level of criticality to determine the effectiveness and conformance of process controls whenperforming work for John Deere. The work performed can include manufacturing operations at thesupplier’s facility or operations sub-contracted to the supplier’s supply chain. This audit may also beperformed on similar parts when the work has not yet been sourced, or when preparing for full production.

John Deere may perform Special Process Audits for special processes as defined in Section 7.5.2.Special Process Audit Questionnaires may be found on JD Supply Network.

8.2.2.3 Product Audit

The organization shall audit products at appropriate stages of production and delivery to verify conformityto all specified requirements, such as product dimensions, functionality, packaging and labeling, at adefined frequency.

8.2.3 Monitoring and Measurement of Processes

A supplier shall determine and implement measurements necessary to monitor processes critical tocustomer satisfaction. Mistake proofing activities should be the first method of control considered. Ifmistake proofing is not feasible, statistical techniques shall be used to monitor the process.

Where indicated by the Continuous Process Monitoring Matrix in Section 22, Statistical Process Controlcharting should be used on key process control variables in order to eliminate the possibility of producingdeficiencies. The charting of the monitored variables should be completed by the person(s) able to takeaction on the process. A written procedure describing actions to take when out-of-control conditions existshall be present. Documentation shall exist showing evidence that proper techniques were followed bythe owner(s) of the process(es). Review of process monitoring techniques shall be made available toJohn Deere personnel upon request. This section not only applies to manufacturing processes, but alsoto business processes that are critical to customer satisfaction.

8.2.4 Monitoring and Measurement of Product

Product measurements and monitors are required to confirm the products are being produced properlyand remain stable over time. Included in product measurement and monitoring are capability studies.

Capability / variability studies shall be conducted on all key characteristics plus other characteristics thatare identified by John Deere and the supplier in the quality planning process (for example, during DesignReviews, Failure Modes and Effects Analysis, and/or Design, Process, and Assembly Reviews.)

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Process capability studies are conducted to provide insight into how well a process performs in regard toa customer specification. The understanding and quantification of process centering and variation isnecessary to understand product quality. Two popular measures titled “capability index” are Cp and Cpk.When calculating a capability index, it is imperative that (1) process stability is demonstrated by astatistical control chart, and (2) the normal distribution model adequately describes the measuredcharacteristic. If these assumptions are violated the capability index is of little value. Refer to AIAG SPCManual (See Section 34, Reference 16) states on page 132: “Cpk and Cp should always be evaluatedtogether. A Cp value significantly greater than the corresponding Cpk indicates an opportunity forimprovement by simply centering the process.”

It is recommended that capability studies use a minimum of 30 pieces taken from a stable, in controlprocess unless John Deere specifies otherwise. However, because of sampling variation in the standarddeviation it is recommended that when possible, sample sizes of 50 to 75 be used for better estimates ofstability and normality assumptions. The data for these studies should be obtained using variable gagingmeeting Gage R&R requirements. John Deere approval is needed for the use of attribute gaging on keycharacteristics. Key characteristics measured with attribute gages are not required to have AttributeGage Studies performed unless required by the John Deere representative. If an Attribute Gage Study isrequired, reference AIAG Statistical Process Control manual (See Section 34, Reference 16).

In variable data studies the results should be tested to see if the normal (bell-shaped) distributionadequately describes the characteristic. This can be done using a histogram and/or a normal probabilityplot. If the stability and normality assumptions must be rejected, (1) the capability ratios have littlerelevance for describing the process, and (2) the confidence interval methodology presented below iscompletely unreliable. Numerous software packages prepare both histograms and probability plots. Ifthe process is statistically stable and normally distributed, then the typical capability index calculationsmay be used to measure conformance to specifications.

Practitioners need to remember that process capability indices are simply time sensitive point estimates,and these “one number summaries” leave much unsaid about a process’s performance over time. Agood way of estimating the uncertainty in the point estimate is by calculating a Lower Confidence Limit forthe point estimate. This is a useful technique to show how sample size and other constraints affect thepoint estimate.

For a more complete understanding of process terms it is recommended that Statistical Process Control,by AIAG (See Section 34, Reference 16) be studied. In particular, topics covered on pages 21, 132, 185and 203 are very important.

There are many different process indices in the quality literature. Selecting the appropriate indexdepends on the source of data. In the Order Fulfillment Process your data should come from controlcharts and sigma is estimated by 2/ dR . In EPDP (See Section 7), your data will be coming from smallersample sizes (minimum of 30) and sigma is estimated by ˆ . AIAG (See Section 34, Reference 16) refersto both capability indices (Cp and Cpk) using 2/ dR and performance indices (Pp and Ppk) using ˆ .(The formula for Cp only considers variability, where the Cpk considers both the variability and thecentering of the process.)

The following matrix summarizes indices required by John Deere, and the matrix shows that the choice ofindex depends on (1) where the estimate of sigma comes from ( 2/ dR or ˆ ) and (2) if the indexconsiders spread or spread combined with process centering.

Table 3 — Indices Matrix

IndicesConcerned with Only

Process Spread(Process Potential)

Concerned with ProcessSpread and Centering(Process Performance)

Capability Indices estimated during OrderFulfillment Process Cp Cpk

Performance Indices estimated duringEnterprise Product Delivery Process Pp Ppk

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The following diagram illustrates process measures before and after full production at John Deere. Inparticular before production, there are limited builds of products that usually contain small sample sizes,usually n 30 pieces. When calculating the Performance Indices before large scale production, all thedata is used to calculate the long term capability using sample standard deviation, ˆ . This statistic, ˆ , iscalled the Total Process Variation and includes both within-subgroup and between-subgroup variationand uses all of the readings obtained from either a detailed control chart or a process study. The twocalculated performance indices are Pp and Ppk.

ˆ6LSLUSLPp ˆ3

specclosestXPpk 1

ˆ2

nxx

Once production has begun and larger samples are collected then the Capability Indices, Cp and Cpk areusually calculated using only the within-subgroup variation calculated by 2/ dR . The usual computingformulas are found on page 132 of AIAG Statistical Process Control (See Section 34, Reference 16).Cpk will always be less than or equal to Cp. They will be equal only if the process is centered.

dR

LSLUSLC p

26 d

R

specclosestXC pk

23

All four process measures, Pp, Ppk, Cp, and Cpk, are valid only when the process is (1) stable and in astate of “statistical control,” and (2) the process output is approximately normally distributed. If either ofthese requirements are not met these indices can be very misleading. See page 136 of AIAG StatisticalProcess Control (See Section 34, Reference 16).

The supplier shall perform the following activities to assure John Deere that the product being supplied isto specification:

A supplier shall submit an Initial Sample Inspection Report (See Section 15), verifying allfeatures of the part, and that parts are produced from production tooling and processes.

A supplier shall provide capabilities on all key product and process characteristics, plus othercharacteristics that are identified by John Deere, whether produced internally or by the supplychain. Documentation requirements are listed in Section 10. The verification process prior toshipping products is documented in the quality plan.

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A supplier shall verify products according to the Control Plan (See Section 17) unless theJohn Deere unit does not require it. The control method called out in the Control Plan shallbe determined from the capability of the process as specified in the Continuous ProcessMonitoring Matrix (See Section 22). For Process Control Methods (See Section 24). Controlplans shall be available for all John Deere components with product and process keycharacteristics.

A supplier shall track the material certification for John Deere part numbers, including:chemical and mechanical properties, hardness, plating, heat number and source mill, ifappropriate.

John Deere requires release inspection anytime the capability of the supplier’s processes isin question. Documentation of conformance to this section shall be made available to JohnDeere personnel upon request.

The following steps are recommended for a minimum sample size of 30 continuous-piece study Refer tothe Process Control Flowchart (See Section 9). The circumflex (^) over a value indicates a sample

statistic, such as pkC or pkP .

1. Perform a Gage R&R study.

2. Check to see if the process is in a “state of statistical control” by using the chart for Individuals andMoving Ranges (X-MR). A state of statistical control exists when a process is performing asconsistently as it can perform. (See AIAG SPC-3: Statistical Process Control (See Section 34,Reference 16). Use the (Average MR)/d2 as an estimate of sigma and plot the Individuals chart.

3. Draw a histogram and estimate the fraction nonconforming from the 30-piece study.

4. Graphically represent the 30 data points with a normal probability plot to see if the bell curveadequately describes the data.

5. If the data passes steps 2 and 4 then calculate a pkP .

6. Calculate an appropriate one-sided 90% lower confidence limit for the pkP . See Statistical QualityAssurance Methods for Engineers, by Vardeman and Jobe, p. 213 (See Section 34, Reference 17).

An approximate 100(1- ) confidence limit for pkP or pkC is:

2n2

C

n9

1ZC

2pk

pkˆ

ˆ

Table 4 — Confidence Limit Z ValuesPercent of Confidence Z Value

90% 1.2895% 1.6499% 2.33

Table 5 — Lower & upper confidence limits on Ppk or Cpk at two levels for various sample sizes.Ppk or Cpk = 1.00 Ppk or Cpk = 1.33

Sample Size (n) -95% Confidence +95% Confidence -95% Confidence +95% Confidence5 0.37 1.63 0.52 2.1410 0.58 1.42 0.79 1.8720 0.71 1.29 0.95 1.7130 0.76 1.24 1.03 1.6350 0.82 1.18 1.10 1.56

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The only way to know if a capability target is met is to (1) make an X-MR chart, (2) graphically check forthe normal distribution, and (3) use a lower confidence limit for the pkP . John Deere is moving toward six

sigma processes, reference Section 23. You can convert the pkP into the approximate six sigma scale

by multiplying pkP by 3 and adding 1.5. A pkP of 1.33 is minimal, with a desired pkP of 1.5 being theultimate goal, for John Deere suppliers to assure a high level of defect free product. The followingformulas are commonly used for performance and capability indices.

2

2

3,

3ˆ

1)(ˆ

ˆ3,

ˆ3ˆ

dRs

sLSLX

sXUSLMinC

nXX

LSLXXUSLMinP

pk

i

pk

At John Deere, world-class capability is defined as “on target with minimum variance.” Conformance tospecifications is merely the starting point, not the finish line.

If the process does not follow a normal distribution, a John Deere quality representative should becontacted. The capability study shall be documented, and the information listed in Section 16 CapabilityStudy Checklist and Form should be included. Examples of inherently non-normal process measuresinclude flatness, concentricity, tensile strength, casting hardness, and parallelism. Of the four indicesdescribed above, only Cp and Pp are robust with respect to non-normality. For non-normal processanalysis refer to page 140 of the AIAG Statistical Process Control Manual (See Section 34, Reference 16)and page 260 of Process Quality Control by Ott (See Section 34, Reference 11).

Some characteristics specified with geometric dimensioning and tolerancing (GD&T) do not lendthemselves to standard methods of calculating capability. If this is the case and assistance is needed,the John Deere Quality Services group can be used as a resource. Reference page 144 of AIAGStatistical Process Control Manual (Reference 16).

Preliminary process performance pkP should be conducted in the early stages of the ProductDevelopment Process. The Preliminary Process Capability uses a process standard deviation ( ˆ or

2dR

) .

Both pkC and pkP estimates of population capability and process performance assume the data comefrom a normal (bell-shaped) distribution with specification limit(s) about the target. These point estimatesare subject to variation over time. The larger the sample used to estimate them, the smaller the

uncertainty in that estimate. The difference between pkC and pkP is the calculation of the sample

standard deviation ( ˆ ). pkC is calculated by taking the Average Range and dividing by a constant d2

(2d

R), which gives only a “within subgroup” estimate of the standard deviation. For the pkP calculation

use at least 30 pieces and find an overall standard deviation, which will be larger than the one using theAverage Range.

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Process measures should be used to align the “voice of the process” with the demands from the “voice ofthe customer.” It is never appropriate to average capability or performance indices for several processesinto one index.

Production Sample Size Considerations

John Deere requests that the supplier use a sampling plan for measurement data that insures no morethan one day’s production would go undetected. Use the spreadsheet titled “Sample Size & Control LimitDesign” on JD Supply Network. The Average Production Length to detection would be less than or equalto one day’s consumption at John Deere. See “Statistical Process Control Scheme Design”, by Keats,Miskulin & Runger, Journal of Quality Technology, Vol. 27, No. 3, July 1995.

For example, assume it is economical for a supplier to check no more than 2% of production for controlpurposes. The process is known to have a mean of 100 mm with a standard deviation of 0.1 mm, and aCpk equal to 1.33. John Deere consumes 250 pieces per day. Therefore, we want to detect a one sigmaprocess shift before producing 250 pieces.

To use the Sample Size & Control Limit Design spreadsheet for control limits and sampling frequency,enter in cell B3 the value of “1” for the sigma shift, and enter 2% in B4 which is the sampling rate. Thespreadsheet tells us to measure 6 pieces every 294 pieces, and set the control chart limits at:

100 ± (1.667)( )/( 6) = 100±(1.667)(0.1)/ 6 = 100± 0.07mm.

If the process sigma changes by one unit, the control chart will indicate a significant change before 239parts are produced for John Deere. Since 239 are fewer than 250 the plan provides the protection thatJohn Deere requires.

8.3 Control of Nonconforming ProductThe supplier shall establish and maintain documented procedures to ensure that proven or suspectednonconforming products are prevented from unintended use or installation. This control shall provide foridentification, documentation, evaluation, isolation, disposition of nonconforming products, and fornotification to the departments concerned (both internal and external).

The supplier shall inspect, test, and/or obtain other verification to ensure that the products do not containsubstances in excess of the amounts set forth on John Deere’s Restricted Materials Lis (e.g., asbestos orlead in paint) and/or other substances restricted by applicable laws. The list is located at:https://jdsupply.deere.com/business_processes/strategic_sourcing_process/environmental/supp_chem_banned_list.pdf

If parts are found to be nonconforming at John Deere, the supplier shall provide the resources necessaryto evaluate, contain, sort, reclaim, and/or scrap the nonconforming product. The supplier shall have arepresentative establish containment at the John Deere factory, material in transit, and at the supplierwithin 24 hours. Quicker response may be required based on the severity of the situation.

If nonconforming products get into John Deere products or become a warranty problem, it shall be thesupplier’s responsibility to aid John Deere in evaluating and correcting the problem. John Deere shall beentitled to recover from the supplier all costs and expenses reasonably incurred in taking corrective actionper the terms and conditions.

When nonconforming product is corrected it shall be subject to re-verification to demonstrate conformityto the requirements.

8.3.1 Control of Nonconforming Product - Supplemental

Product with unidentified or suspect status shall be classified as nonconforming product.

8.3.2 Control of Reworked Product

Instructions for rework, including re-inspection requirements, shall be accessible to and utilized byappropriate personnel.

https://jdsupply.deere.com/business_processes/strategic_sourcing_process/environmental/supp_chem_banned_list.pdf

https://jdsupply.deere.com/business_processes/strategic_sourcing_process/environmental/supp_chem_banned_list.pdf

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8.3.3 Customer Information

John Deere shall be informed promptly in the event that nonconforming product has been shipped.

8.3.4 Customer Waiver

If a supplier wants to ship a product not meeting the specified requirements, written approval shall beobtained from John Deere prior to shipment of the product. This request can be made using theEngineering Deviation Authorization Checklist and Form in Section 21. This applies equally to products orservices purchased from the supply chain. The supplier shall concur with any requests from their supplychain before submission to John Deere. The supplier shall maintain a record of the expiration date andquantity authorized. The supplier shall also ensure compliance with the original or supersedingspecifications and requirements when the authorization expires. Each shipping container of deviatedproduct shall be properly identified with the deviation number.

8.4 Analysis of DataJohn Deere expects our suppliers to obtain appropriate data and apply statistical and problem solvingtechniques to solve specific problems and to drive continuous improvement activities in a timely manner.A partial list of these statistical and problem-solving techniques can be found in Section 25.

At a minimum, the supplier shall analyze the following.

Achieving Excellence results Internal and external product failures (including warranty) Process or product quality trends Supply chain (including the supplier’s supply chain) quality performance

Summarized quality performance should be made available to all of the supplier’s employees. Qualityperformance data shall be made available at the request of John Deere personnel.

When a product or process does not meet customer specifications, or is not performing adequately, onesuggested methodology is DMAIC.

Define: Define the project goals and customer (internal and external) deliverablesMeasure: Measure the process to determine current performanceAnalyze: Analyze and determine the root cause(s) of the defectsImprove: Improve the process by eliminating defectsControl: Control future process performance

8.5 Improvement

8.5.1 Continual Improvement

Evidence shall demonstrate the use of data, past experience, and lessons learned to show continuousimprovement of the quality management system.

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8.5.2 Corrective Action

Corrective action eliminates the cause(s) of nonconformities in order to prevent recurrence. Suppliersshall investigate resolution to nonconformities using eight Corrective Action steps or Resolution Phases.The supplier shall document Corrective Action in each Resolution Phase.

The Eight Corrective Action Disciplines (8D) or Resolution Phases required:

1. D1 Establish the Corrective Action TeamPurpose: To define the members of the team that can successfully resolve the problem.

2. D2 Problem IdentificationPurpose: To document all facts, research and field information that would quantify or describethe problem in detail.

3. D3 Containment Action & Short Term Corrective ActionPurpose: Actions to isolate the effect of the problem from any customer until corrective action isimplemented. To minimize the effect of any nonconforming product by containment, re-inspection,rework, etc., to verify conformance of current product. Identify and contain nonconformingproduct at all locations including, but not limited to; in-house at supplier facility, in-transit material,material located at various John Deere sites (including Parts Depots), dealers and end-usecustomer. Containment shall be completed within 24 hours of problem notification.

Production & Experimental/Pilot Build Problems:What you did to stop the problem today.Customer / Warranty Problems:Interim customer solution used to quickly restore customer acceptance.

4. D4 Define and Verify Root CausePurpose: Scientific, complete breakdown of the Direct Cause, Contributing Causes and RootCauses of the problem.

5. D5 Choose and Verify SolutionPurpose: Identification of solutions or actions that will eliminate the Root Causes as well as theContributing Causes. Quantitative results confirming that the selected corrective actions willresolve the issue for the customer.

6. D6 Implement Permanent Corrective ActionPurpose: Action taken in this phase will correct the root cause of the problem and prevent itsrecurrence. Implementation includes listing action steps, identifying responsible people andtarget dates for each action. This action shall be completed by the target date as specified byJohn Deere.

7. D7 Prevent RecurrencePurpose: Modifications to Management Systems, Operating Systems, practices, and proceduressuch as Process Control Plans, DFMEAs, PFMEAs, Work Instructions, Training Plans, TrainingPerformed, Engineering Documentation to prevent recurrence of this and all similar problems.The responsible person or 8D team reviews all activity performed through resolution phases andconfirms that all steps have been completed. It is recommended that the improvements resultingfrom the Eight Step Problem Resolution Process be replicated to like processes or products toassure the problem has been solved.

8. D8 Team RecognitionPurpose: Acknowledgement from management of the good work done by the 8D team. This setis to recognize extra effort and reinforce successful behavior.

A status report shall be submitted to the originator of a John Deere initiated corrective action request(preferred via the Nonconformance Corrective Action (NCCA) system) within five days from the date ofreceipt, unless otherwise specified by the John Deere investigator. Each corrective action D-step shall becompleted by the target date. A sample form is shown in Section 20 if NCCA is not available.

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8.5.3 Preventive Action

Preventive action eliminates the cause(s) of potential nonconformities in order to prevent theiroccurrence. Preventive action focuses on building good quality into the product and processes to ensurethat nonconforming products never reach the customer. Processes should be developed so employeescan do the job right every time. The processes include, but are not limited to: data collection systems,process control plans, mistake proofing techniques, training, continuous improvement actions, designFMEAs, and process FMEAs. Preventive action activities shall be a part of the management reviewprocess.

At a minimum, FMEA items with Risk Priority Number value > 100, or the severity is 9, require follow-upactions. See AIAG FMEA Manual (See Section 34, Reference 10).

A supplier shall take a systematic approach to defining and implementing preventive action activities.The systematic process improvement approach should include five basic steps:

Define: Define the project goals and customer (internal and external) deliverables

Measure: Measure and determine customer needs and specifications

Analyze: Analyze the process or product options to meet customer needs

Design: Design the process or product to meet customer needs

Verify: Verify the design performance and ability to meet customer needs

NOTE:

The following sections provide sample forms. Copies of these forms areavailable through the John Deere Supply Network website:https://jdsn.deere.com.

A supplier may use their own form(s), except for the Change Notificationand Verification Warrant, as long as all identified John Deererequirements and information are addressed.

https://jdsn.deere.com/

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9 Process Control Flow Chart – PDP and Initial Production

Identify Processes /Machines to be Used

Gage R&R and CapabilityStudy Data available

on state of currentprocess for similar

parts?

Perform Gage R&Rfor all instruments

used to assessproduct

Identify by number eachkey feature to be

investigated (on JohnDeere supplied Print)

Fill out John Deereapproved form with keyfeature, description and

method of measuring(John Deere Control

Plan, Section 11)

Calculate ProcessIndices

Ppk

Perform steps toreduce spread, orinstitute stringentcontrol method

Submit withcompletedVerification

Warrant

R&R<30%of Tolerance?

Correct measuringprocess

Takemeasurements

Perform analysisusing alternate

technique or contactJohn Deere Quality

Representative

StatisticalAnalysis exceeds

target

Perform steps toreduce spread, orinstitute stringentcontrol method

Drawing(includes Key

Characteristics)

Sufficient Detailand Acceptable?

Can KeyCharacteristics bemeasured using

VariableGaging?

Yes

No

Produce Parts onProduction

Machines / Toolingat Production

Rates(i.e. StandardProcedures)

NormallyDistributed?

NOTES

1. DPAR means Design, Processand Assembly Review

2. Approval of the capabilityanalysis is specific to a certain partnumber on a certain process ormachine. Any fundamental changeto the process (moving location, orsubstituting machines) may requirea new capability analysis as part ofthe PPAP submission.

3. In some cases, existing SPC orrecent capability studies on partswith similar key characteristics maybe used to demonstrate capabilityfor a new part if there is notsufficient quantity of the new partordered to complete the capabilitystudy. When sufficient quantitiesare ordered, capability on the newpart key characteristics shall bedemonstrated.

4. Some software tools areavailable to perform analysis ifsupplier doesn't currently performR&R

5. Use Individual & Moving Rangewith mathematical test (available inMemory Jogger II, P 45) to verifystability and control

6. Perform statistical test fornormality using Statistica orequivalent software.

7. For non-normal distributions, anon-normal analysis must beperformed to calculate theappropriate Ppk value.

8. Process Index targets must beagreed to between supplier andJohn Deere prior to undergoing test.

DFMEA & PFMEA

Complete allrequirements

confirmed duringDPAR

Evaluatefor Stability and

Control

Yes

Yes

No

Yes

No

Unstable

Stable

Yes

No

No

Yes

12

3

4

5

67

8

No

Perform AttributeGage R&R and refer

to ContinuousProcess MonitoringMatrix (Section 24)

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10 Production Part Approval Process (PPAP) RequirementsThe required Production Part Approval activities and documents will be specified by the John Deererepresentative. The requirements are determined by the Quality Plan Level (See Section 7.2.1). Table10.1 lists submission and retention requirements. Unless otherwise specified, John Deere requiresSection 4.2 Level 2 of the AIAG PPAP (p. 18) (See Section 34, Reference 12) to include the requirementslisted in the table below.

After the PPAP documents have been submitted, John Deere reviews the data and either Approves orRejects the Verification Warrant. Approval is required prior to shipping production parts including allbuilds. Conditional Approval may be granted to authorize limited production shipments when there areoutstanding PPAP requirements.

Production Part Approval Requirements by Quality Plan LevelJohn Deere Quality

Plan LevelRequirementAIAGLevel

2 0 1 2 3 4Complete By

1. Design Record S- for proprietary components / details R Prior to production- for all other components / details S Prior to production

2. Engineering Change Documents, if any S First production3. Customer Engineering approval, if

required R Prior to production

4. Design FMEA (Failure Modes andEffects Analysis) R S Prior to complete

design

5. Design Review S Prior to completedesign

6. Design, Process, & Assembly Review(DPAR) – Initiated by John Deere S S S Prior to production

7. Functional Geometry Review S S Prior to production8. Process Flow Diagrams / Process Map R S S Prior to production9. Process FMEA R S S Prior to control plan

10. Control Plan (including Checking Aids) R S S S Prior to production11. Measurement System Analysis Studies

– Gage R & R Studies for KeyCharacteristics

R S S S Prior to use

12. Initial Sample Inspection Report - ISIR(Dimensional Results) S S S S S Prior to production

13. Material / Metallurgical / Functional /Performance Results (as appropriate) S S S S S Prior to production

14. Initial Process Studies – CapabilityStudies R S S S Prior to control plan

15. * Qualified Laboratory Documentation S Prior to production16. Appearance Approval Report, if

applicable (for JD Class A parts) S S S Prior to production

17. Verification Warrant S S S S S Prior to production18. Experimental Part Inspection

(Engineering) S S S Prior to production

19. Supplier Functional Verification TestingResults S S Prior to production

20. * Sample Product S21. * Master Sample R22. * Records of Compliance With

Customer-Specific Requirements R

S = The supplier shall submit to John Deere and retain a copy of records or documentation items atappropriate locations.R = The supplier shall retain at appropriate locations and make available to John Deere upon request.* If requested by John Deere, provide documentation.

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11 Change Request and Verification Warrant FormJohn Deere requires Suppliers to electronically submit Change Requests on via JDSN Collaborationhttps://jdsn-collab.deere.com/sc. If electronic submission is not possible, the following form shall be used.The required information is listed below.

Part and Supplier information Part Number or Numbers Part Name Decision Number Revision Level Supplier Name Supplier Number Address

Reason for submitting request for manufacturing process and product change authorization Design/Material Change Process Change Location Change Tooling Change Supplier Change Other

Reason for proposed change Improve Product Quality Increase Manufacturing Efficiency Reduce Lead Time Other Describe proposed change and the quality plan to ensure the quality of product will not be

adversely affected. Attach all supporting information. Proposed implementation date. Changes that deviate from drawings or specifications Explanation Supplier Signature and Title Date

Supplier not to proceed until it receives authorization from John Deere.

This authorization to proceed is granted upon the understanding that it is advisory in nature and in nomanner changes the Supplier’s original responsibility for ensuring that all characteristics, designated inthe applicable engineering specifications, and/or inherent in the samples as originally tested andapproved, are maintained. Supplier accepts full responsibility for the changes of types of changes listedabove; and should such changes result in failure to meet customer requirements, Supplier shall beexpected to fully reimburse John Deere for all expenses incurred to correct the deficiency.

Submission of Change Request should be submitted electronically via JDSN Collaboration https://jdsn-collab.deere.com/sc.

John Deere is responsible for providing a follow up date for any conditional approvals.




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This is a sample form. For the latest version of this document, please refer to https://jdsn.deere.com/.

Change Request -or- Verification Warrant (Part Submission Warrant)

Part Number Decision No Revision LevelPart Name / Description: Product Application:Originator: Phone Fax:Supplier Name: Supplier ID Code:Supplier Contact: Phone: Fax:

Reason For Submission: * Attach documentation as needed

Initial Submission Design/Material Change(s)

*Manufacturing Change (location, process, tooling, etc.) Please Specify

*Supplier Change (new source, source manufacturing change, etc.) Please specify.

Correction of Discrepancy (Resubmission) *Other - Please Specify

Impact of Change: Quality Improvement Reduced Lead Time Increased Mfg. Efficiency Other

Proposed Implementation Date:

Submission Information: Due dates in (DD MMM YY)

Control Plan Gage R&R ISIR (Initial Sample Inspection Report)

Capability Study (Cpk) Sample Parts Master Sample

Material Certification Verification Test Appearance Approval Report

Material Test Results Process flow diagram Component Performance & Reliability Assurance

Part Design FMEA Process FMEA Performance Test Results

Special Notes:

Submission Results (for Verification Warrant use only):

These results meet all drawing and specification requirements: Yes No (Explanation Required)

I affirm that the samples, data and information represented by this submission are representative of our parts and have been made to theapplicable John Deere Drawings and specifications and are made from specified materials on regular production tooling with no operationsother that the regular production process. I have noted any deviations below:

Production material, tooling, and processes used? Yes No (Explanation Required )

Name (printed): Title: Phone:

Supplier Authorized Signature: Date:

FOR JOHN DEERE USE ONLY Accept Change Request Reject Change Request

Approve Verification Warrant Conditionally Approve Verification Warrant Reject Verification Warrant

(For Conditional Approval only)Conditions:

Signatures:Quality Engineer: Date:

Supply Management: Date:

Design Engineer(for supplier initiated design changes only)

Date:

Materials Engineer(for supplier initiated material and/or special process changes)

Date:

Other: Date:

This approval is advisory and does not change the Supplier's responsibility for ensuring that all characteristics meet their specifications. The Supplier is stillresponsible for the changes. If the changes result in deficiencies not found in these approved items, the Supplier will reimburse Deere for the expenses needed tocorrect the deficiencies. This reimbursement for deficiencies may be defined in Warrant Agreements or specific contracts.


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12 Major Component Reliability Assessment Process and FormThe Major Component Reliability Assessment Process steps are shown below. Refer to Section 7.1 andSection 7.3.2.

Develop Goals

(end EPDP Phase 2 – Milestone 5)

Develop Component Specifications


Select Critical Component Supplier(s)


Understand Critical Component Supplier(s)Performance


Establish Component PV&V Plan withSupplier (Reference PV&V Plan – Activity

Template, Section 18)


Verify Component Meets the Specification(Reference Component Performance &

Reliability Assurance Form, in Section 12)


Integrate Component into the Product


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Component Performance & Reliability Assurance FormSignoff to occur by PDP Leadership approval to start physical builds (Phase 3 Milestone 11).

Supplier Name: Supplier Number:Supplier Address:City:State: Zip Code:Component Name:Component Part Number:Requirement Verification (Analytical) - Due Date (Optional):Requirement Verification (Prototype) - Due Date:Production Intent Prototype Due Date:Other Information:

Are PV&V Plan Results Acceptable? YES _____ NO ______Attach appropriate documentation.

John Deere PV&V Representative: Date:Does Component Meet Specification Requirements? YES ___ NO ____

Supplier Representative: Date:Supplier Requirement Verification – Analytical (Filled in by Supplier)Instructions: If required by John Deere, document the method and results of analytically verifying thecomponent meets or exceeds its requirement(s), including reliability. Can be historical data,prediction or other analytical technique. Attach supporting documentation.

Supplier Representative: Date:

Supplier Requirement Verification – Prototype (Filled in by Supplier)Instructions: Document the method and results of physically verifying the component meets orexceeds its requirement(s), including reliability. Can be lab or mule vehicle testing. Include statisticalconfidence level. Attach supporting documentation.

Supplier Representative Date:Comments:

Signatures: John Deere Representative: Date: Supplier Representative: Date:


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13 Product Verification & Validation Plan – V2 Net DataVerification and Validation (V2) Net Data Template Elements

# Item Description1 Activity Number This field is for John Deere use only, suppliers leave blank. This number is

provided automatically by the V2Net System.2 Activity Title Short description of the validation and verification activity. Limit to 100

characters. This is a required field.3 Category Select appropriate category description from the “Category Type Matrix”.

This is a required field.4 Type Select appropriate activity type that corresponds to the selected category

from the “Category Type Matrix”. This is a required field.5 Description Provide a detailed description of the activity. This is a required field.6 Machine / Component

Serial NumberIf appropriate, enter the serial number of the machine or component. Limitto 50 characters.

7 Actual % Complete Enter a number between 0 and 100 to reflect the percent of activitycompletion.

8 Planned ActivityDuration

Enter the number of days (between 1 and 200) the activity will take tocomplete.

9 Planned Start Date Enter the planned start date of the activity. Use dd-mmm-yy format.10 Planned End Date Enter the planned end date of the activity. Use dd-mmm-yy format.11 Resource Name This field is for John Deere use only, suppliers leave blank. If a John

Deere resource is required, make the appropriate selection from the pull-down list.

12 Actual Start Date Date activity started. Use dd-mmm-yy format.13 Activity Complete Date Date activity complete. Use dd-mmm-yy format.14 Date Parts Available Date when the parts to complete the activity available. Use dd-mmm-yy

format.15 Acceptance Criteria Detailed description of the acceptance criteria for the activity.

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This is a sample form. The published form has three worksheets – V2Net Data Header, V2Net DataTemplate, and the Category Type Matrix. For the latest version of this document, please refer tohttps://jdsn.deere.com/.


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John Deere Category Type Matrix For V2NetCATEGORY Review Design Analysis Lab Test Field Performance Test Field Durability Test

Customer Validation(Customer FocusGroups, etc.)

Casting Solidification ADV (Accelerated DesignVerification)

Competitive Assessment(Best in Class)

CompetitiveAssessment (Best inClass)

Design FMEA (FailureModes & Effects Analysis- System, subsystem,assembly, or componentlevel)

CFD (ComputationalFluid Dynamics)

Chassis Dyno Customer Validation(Customer FocusGroups, etc.)

Customer Validation(Customer FocusGroups, etc.)

Design Review DrivetrainEngineering

Cold Function (Starting,Performance, etc.)

Durability Durability

DPAR (Design, Process,and Assembly Review)

Electrical /Electronics

Component Field Stress General Field DurabilityTest

E-build Fastener Application Component (Durability, Life,etc.)

General FieldPerformance Test

Implement orComponentCompatibility

General Review Fuel System Cooling System Implement or ComponentCompatibility

Load MeasurementActivities

HDRS (Hazard Discoveryand Rating System)

Gear Design Data Acquisition (Lab & Field,load measurement, etc.)

Load Measurementactivities

Performance

Industrial Design Review General Analysis Drivetrain Test NVH (Noise, Vibration,Harshness)

Standards Compliance(Standards Regulations& ConformityAssessment - SRC)

Print Review Human Factors Dynamic Response (Shaker,Modal Analysis, etc.)

Performance Supplier Durability Test

Process FMEA (FailureModes and EffectsAnalysis)

Hydraulics andControl SystemsAnalysis

Electrical (JDQ 53.2,Electromagnetic Interference,HALT)

Standards Compliance(Standards Regulations &Conformity Assessment -SRC)

Reliability Planning ImplementCompatibility

Energy Management Supplier PerformanceTest

Risk Assessment Lighting Engine DynoServiceability Review Lubrication Environmental (Salt Spray,

Scab Test, Dust Box, MudBox, QUV, Weatherability)

Software Reviews NVH (Noise,Vibration, Harshness)

Fatigue (MTS, Field Stress,etc.)

Standards Compliance(Standards Regulations &Conformity Assessment -SRC)

Other (SpringCalculations, Bearing& Belt Drive Life &Loads)

General Lab Test

Styling/Appearance Plastic Molding HeatSupplier Review Sealing HVAC (Heating Ventilation

and Air Conditioning)System FMEA (FailureModes and EffectsAnalysis)

Simulation(Dynamics/Kinematics, Hydraulics, etc.)

Hydraulics and ControlSystems

Soil Dynamics Load Measurement ActivitiesStructural Analysis(Fatigue, FEA, HandCalc., Optimization,etc.)

Maintenance and Renovation

Supplier DesignAnalysis

Material Properties

Thermal (Cooling,etc.)

Noise Vibration andHarshness (NVH)

Tolerance Stack Ups OtherValve Train Performance (Stability,

Function, soil Bin, etc.)Virtual Reality(customer validation,visibility, etc.)

Standards Compliance(Standards Regulations andConformity Assessment -SRC)Supplier TestValve Train

TYPE

Wind Tunnel

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14 Design, Process, and Assembly Review FormThis is a sample form. For the latest version of this document, please refer to https://jdsn.deere.com/.

The list of items below should be considered when conducting a DPAR. Documentation of theDPAR results shall be recorded. C = Complete; I = In Process; N = Not Applicable

Design, Process and Assembly Review ChecklistC/I/N # DESCRIPTION COMMENT1. DESIGN REVIEW (Print or Model)

1.1 Review material requirements1.2 Review geometric dimensioning and tolerancing


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1.3 Review drawing/model format for clarity and completeness1.4 Review design and functional requirements1.5 Review John Deere / Supplier test plan and test results1.6 Review tolerances for manufacturability1.7 Review all applicable specifications & standards1.8 Identify key design characteristics from Design Reviews & other sources1.9 Determine requirements for Gage R & R studies on measuring equipment1.10 Determine method to measure key design characteristics1.11 Determine capability study or control plan requirements on key characteristics plus

other characteristics defined by John Deere or the supplier.1.12 Review preferred methods for capability assessment1.13 Determine method for capability studies on key characteristics plus other

characteristics defined by John Deere1.14 Review guidelines for control methods after capability assessment1.15 Review procedure and requirements for initial sample inspection1.16 Review Appearance / Paint requirements1.17 Review requirements for cleanliness and deburring1.18 Identify cost reduction opportunities1.19 Determine potential cost impacts of any changes identified

2. PROCESS REVIEW2.1 Review all processes required to produce the part/assembly, e.g. machining,

grinding, stamping, welding, assembly, plating, heat treatment, bonding, painting2.2 Review manufacturing process for completeness2.3 Review specifications related to these processes2.4 Review key process characteristics from Design Reviews, Process Failure Modes

& Effects Analysis (PFMEA’s) & other sources2.5 Determine method to measure key process characteristics2.6 Determine requirements for Gage R & R studies on measuring equipment2.7 Determine capability study or control plan requirements on key characteristics plus

other characteristics defined by John Deere2.8 Review preferred methods for capability assessment2.9 Determine method for capability studies on key characteristics plus other

characteristics defined by John Deere2.10 Review guidelines for control methods after capability assessment2.11 Review requirements for cleanliness, debarring, packaging, rust preventives etc.2.12 Review Operator Method Sheets (OMS)2.13 Review Sequence of Events (SOE)2.14 Review machining instruction requirements2.15 Review training needs2.16 Review Mistake Proofing opportunities2.17 Review ergonomics for material handling, tools, processes, etc.2.18 Identify cost reduction opportunities2.19 Determine potential cost impacts of any changes identified

3. GAGING REVIEW3.1 Determine what measuring equipment gages, test fixtures etc. are required3.2 Determine availability of measuring equipment gages, test fixtures, etc.3.3 Determine quality or control plan requirements3.4 Review procedures for drawings and inventory of gages and test fixtures3.5 Determine how many gages and test fixtures are required3.6 Determine who will design and build gages and test fixtures3.7 Review policy for ongoing gage maintenance and calibration3.8 Identify cost reduction opportunities3.9 Determine potential cost impacts of any changes identified

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4. ASSEMBLY REVIEW4.1 Review systems listed for Design Reviews in PDP Phase 2 & 34.2 Review cleanliness requirements & possible contamination problems4.3 Review critical product systems - e.g. brakes, Roll Over Protection System

(ROPS), steering, hydraulics, drive train, electrical4.4 Review hose, line, and wiring routing4.5 Review appearance, fit, and finish process requirements4.6 Review linkage adjustment capabilities4.7 Review fasteners4.8 Review potential leak, vibration, and noise problems4.9 Review fit & finish requirements4.10 Review Operator Method Sheets (OMS)4.11 Review Sequence of Events (SOE)4.12 Review assembly instruction requirements4.13 Review needs for assembly gages and aids4.14 Review training needs for key assembly characteristic4.15 Review process for Mistake Proofing opportunities4.16 Review material handling systems that prevent part damage4.17 Review torque requirements for key joints4.18 Review ease of access for assembly4.19 Review need for assembly fixtures4.20 Review plans for assembly tools4.21 Review ability for fluid systems to reach steady state levels4.22 Review trial installation requirements4.23 Review special process requirements (bonding, painting, etc.)4.24 Review performance testing requirements in assembly4.25 Review and verify specification4.26 Review ergonomics for material handling, tools, processes, etc.4.27 Identify cost reduction opportunities4.28 Determine potential cost impacts of any changes identified

5. PACKAGING REVIEW5.1 Review requirements for component packaging/returnable containers5.2 Review the need for temporary sealing for the wash or paint process5.3 Review packaging & shipping requirements for finished goods, including the need

for rust protection5.4 Identify cost reduction opportunities5.5 Determine potential cost impacts of any changes identified

6. MISCELLANEOUS ITEMS REVIEW6.1 Review cost targets6.2 Verify service requirements complete6.3 Review engineering Bill of Material (BOM)6.4 Review to ensure the part or assembly does NOT contain substances in excess of

the amounts set forth on John Deere’s Restricted Materials List (e.g., asbestos orlead in paint) and/or other substances restricted by applicable laws

6.5 Review all software requirement specifications6.6 Review Design Review, FMEA results6.7 Print release date6.8 Production tooling Purchase Order ready date6.9 Lead times for tooling6.10 Production Part Approval Process (PPAP) requirements6.11 Supplier audit / visit6.12 Completion of Verification Warrant6.13 Sign off of attendees

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15 Initial Sample Inspection Report (ISIR) – Dimensional and Material ResultsThis a sample form, for the latest version of this document, please refer to https://jdsn.deere.com/.

Initial Sample Inspection Report – Dimensional and Material ResultsPart Number Design / Revision LevelPart Name / Description Decision NumberReport Type Dimensional Material Production Tooling & Processes Utilized Yes NoSupplier Name Supplier NumberName of Inspection facility Lab Report Attached Yes NoHow many pieces measured? One Two Three Four Five

Tolerance Measurement ResultsItem Nominal Dimension /Specification or

MaterialSpecifications

Unit ofMeasure

(+) / (-)Piece

1Piece

2Piece

3Piece

4Piece

5

OK /Not OK

John DeereVerification

123456789

10111213141516171819202122232425

Items 26 – 30 are text applicable.2627282930

Supplier Representative Signature: Title: E-Mail: Date:

John Deere Quality Representative: Title: E-Mail: Date:

Disposition:Approve Fail Deviate Resubmit


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16 Capability Study FormThis is a sample form, for the latest version of this document, please refer to https://jdsn.deere.com/.

Capability Study Date: Desk No. Page of

Part No. New Part Decision Eng. Change Resubmission New Source Other

Part Name/ Description Design Level Decision Number

Comments:

Supplier - Fill In All Data BelowIs the process for each feature in control, stable and normally distributed?

If samples are sequential then report pkP , otherwise calculate pkC Yes No

Results

Feature

DimensionalRequirements X ˆ pP pkP

No. (KeyCharacteristic)

Actual Measurements

Minimum 0f 30 Measurements RequiredX 2/dR pC pkC

Approve/ Reject

Inspection Results Prepared By:

We hereby certify the reported results are correct and that our sample meets John Deere specifications,unless otherwise noted herein.Supplier Quality Representative: __________________________ Date: ________________ E-mail: _______________________John Deere Approval:John Deere Quality Representative: Date: Disposition: Accept Conditional

Acceptance

E-mail: __________________________ Reject Resubmit

Sample

John Deere Supply Management Activities:Date: Original Documentation Sent to File Send Notification to Supplier


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17 Control Plan Checklist and FormControl Plan Elements (BOLD items are required.)

# Item Description1 Control Plan Category:

Prototype, Pre-Launch,or Production

Indicate the appropriate category.Prototype: Build for verification of designPre-launch: Build prior to normal production for verification of processesProduction: Build or product that John Deere will offer for sale tocustomers

2 Control Plan Number Enter the control plan document number used for tracking, if applicable.3 Part Number Enter the John Deere part number (and supplier part number, if

applicable.)4 Part Name /

DescriptionName and description of the part and/or process being controlled.

5 Supplier / Plant Enter the name of the company (supplier) and the appropriate division ormanufacturing plant preparing the Control Plan.

6 Supplier ID / Code Enter the identification number as requested by the procuring organization(e. g. Corporate Supplier ID or factory department).

7 Core Team Members Enter the name(s) and telephone number(s) of the individual(s)responsible for preparing the Control Plan to the latest revision.

8 Preparer Name(s) of the individual(s) responsible for preparing the Control Plan orthe primary contact responsible for the Control Plan.

9 Responsible Person Indicates who is responsible for completing the control method.10 Supplier / Plant Approval

/ DateObtain the responsible manufacturing plant approval (if required).

11 Engineering ChangeLevel / Revision Level

Latest engineering design level and/or issue date from the drawingspecification.

12 Decision / EngineeringChange Number

John Deere number assigned to the engineering change.

13 Date Date the original Control Plan was compiled.14 Revision Date Date the latest Control Plan was updated.15 Page For multiple Control Plan pages, indicate the page numbers (page _ of _).16 Customer Engineering

Approval / DateObtain the responsible engineering approval (if required).

17 Customer QualityApproval / Date

Obtain the responsible quality representative (if required).

18 Other Approval / Date Obtain any other agreed upon approval (if required).19 Part / Process Number Enter the part number. If multiple part numbers exist (assembly), list the

individual part numbers and their processes accordingly.20 Process Name /

Operation DescriptionDescription of the generating process/operation which produces thecharacteristic.

21 Machine, Device, Jig,Tools forManufacturing

For each operation that is described, identify the processing equipment, asappropriate.

CHARACTERISTIC A distinguishing feature, dimension or property of a process or its output(product) on which variable or attribute data can be collected. Use visualaids where applicable.

22 No. Number: Enter a cross reference number from all applicable documentssuch as, but not limited to, process flow diagram, numbered print, FMEAs,and sketches, if required.

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23 Product Enter the applicable Product Characteristic. Product Characteristics arethe features or properties of a part, component, or assembly that aredescribed on drawings or other primary engineering information. All KeyProduct Characteristics must be listed on the Control Plan. In addition, themanufacturer my list other Product Characteristics for which processcontrols are routinely tracked during normal operations.

24 Process Enter the applicable Process Characteristic. Process Characteristics arethe process variables (input variables) that have a cause and effectrelationship with the identified Product Characteristic. A ProcessCharacteristic can only be measured at the time it occurs. ProcessCharacteristics for which variation must be controlled to minimize productvariation must be identified. There could be one or more ProcessCharacteristics listed for each Product Characteristic. In some processesone Process Characteristic may affect several Product Characteristics.

25 Key Characteristic Indicate if the characteristic is designated as a Key Characteristic. A KeyCharacteristic is a product or process characteristic whose variation ortargeting control is necessary to meet customer requirements and thatdirectly or significantly impact customer satisfaction through compliancewith government, country or industry standards and/or regulations, abilityto perform its intended design requirements (form, fit, function, reliability,appearance), or manufacturability and ability to assemble. KeyCharacteristics may be the Product or Process type. (See Section 7.2.1.1)

METHODS A systemic plan using procedures and other tools to control a process.26 Product / Process

Specification /Tolerance

Specifications / tolerances may be obtained from various engineeringdocuments, such as, but not limited to, drawings, design reviews, materialstandard, computer aided design data, manufacturing and / or assemblyrequirements.

27 Evaluation /MeasurementTechnique

Identify the measurement system being used. This could include gages,fixtures, tools, and / or test equipment required to measure the part /process / manufacturing equipment. An analysis of the reproducibility,repeatability, stability, and accuracy of the measurement system should bedone prior to relying on a measurement system and improvements madeaccordingly.

28 Sample Size /Frequency

When sampling is required, enter the sample size and frequency.

29 Control Method Enter a brief description of how the operation will be controlled; includeprocedure numbers, where applicable. Operations may be controlled by,but are not limited to, Statistical Process Control, inspection, attribute data,mistake-proofing, and sampling plans. The method of control should becontinually evaluated for effectiveness.

30 Reaction Plan Enter the corrective actions necessary to avoid producing nonconformingproducts or operating out of control. The actions should normally be theresponsibility of the people closest to the process (operator, set up person,supervisor) and should be clearly designated in the plan. Provisionsshould be made for documenting. In all cases, suspect andnonconforming products must be clearing identified, quarantined, anddisposition made by the responsible person designated in the reactionplan. This column may also refer to a specific reaction plan number andidentify the person responsible for the reaction plan.

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18 Appearance Approval ReportThis is a sample form. For the latest version of this document, please refer to https://jdsn.deere.com/.


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19 Performance Test ResultsThis is a sample form. For the latest version of this document, please refer to https://jdsn.deere.com/.

John Deere Production Part ApprovalPerformance Test Results

Supplier Name: Part Number:

Supplier Code: Part Name:

Name of Laboratory: Revision Level:

Test Specification /Rev / Date

Specification/ Limits

TestDate

QuantityTested

Test Results (Data) /Test Conditions OK Not

OK

NOTE: Blanket statements of conformance are unacceptable for any test results.Comments:

Submitted By: E-Mail: Date:


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20 Corrective Action Request FormSeven of the Eight Corrective Action Disciplines (8D) or Resolution Phases are required, D1 through D7.It is preferred that Correction Action Documentation is done via the Nonconformance Corrective Action(NCCA) System: https://ncca.deere.com. This is a sample form. For the latest version of this document,please refer to https://jdsn.deere.com/.

John Deere Corrective Action Request8D Report

Creation Date: SupplierSignature:

Report Number(NCCA / Q-note):

Severity: IncidentalMinor

MajorCritical

John Deere Unit: John DeereLocation:

Supplier Name: Supplier ID:Supplier

Location:John Deere Part

Number:Part Name:

Supplier PartNumber:

Quantity Affected:

STEP DESCRIPTIOND1 Establish the Team / Responsibility

John Deere Name: E-Mail:Telephone: FAX:

Supplier Name: E-Mail:Telephone: FAX:

D2 Nonconformity (NC) ProblemIdentification / Cause of Reject

ResponsiblePerson’s Name

ImplementationTarget Date

Actual CompletionDate

Enter comments:

D3 Containment Action and Short TermCorrective Action / ImmediateActions(s)




Enter comments:

D4 Define and Verify Root Cause / Causeof Nonconformity




Enter comments:

D5 Choose and Verify Solution ResponsiblePerson’s Name



Enter comments:

D6 Implement Permanent CorrectiveAction / Long-Term CorrectiveAction(s)




Enter comments:

D7 Prevent Recurrence ResponsiblePerson’s Name



Enter comments:

D8 Team Recognition / ManagementFeedback (Optional)




Enter comments:

NOTE: Containment of nonconforming material is required within 24 hours of problem notification. A status report shall be submittedto the originator of a John Deere initiated corrective action request (preferred via the Nonconformance Corrective Action (NCCA)system) within five days from the date of receipt, unless otherwise specified by the John Deere investigator.

https://ncca.deere.com/


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21 Engineering Deviation Authorization Checklist and FormJohn Deere will accept supplier’s deviation forms containing, at a minimum, the following information.

Date John Deere Part Number and Description Quantity Affected Proposed Deviation (Use As Is or Reclaim) Description of Proposed Deviation Reason for Deviation Supplier Name and ID Number Supplier Contact Telephone Number FAX Number E-mail address Long Term Corrective Action Target Date for Corrective Action (1 year maximum)

REPLY from JOHN DEERE Accept Reject Deviation Number Corrective Action Verification Required (Yes or No) Use for Service (Yes or No) Approval Signatures

The assigned deviation number shall accompany all parts shipped to John Deere covered by thisdeviation. The assigned deviation shall be referenced in any future correspondence concerning theseparts. The supplier shall produce parts to John Deere print specifications. This deviation does not allowfor any additional print changes, other than specified in the assigned deviation.

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This is a sample form. For the latest version of this document please refer to https://jdsn.deere.com/.

ENGINEERING DEVIATION AUTHORIZATION John Deere

Part No.: EDANUMBER:

Part Description:

Models Used On:

Requested By: Dept Charged: Date:

Quantity Affected: Proposed Deviation: Use As Is: Reclaim (describe below):

Description of Proposed Deviation:

Reason for Deviation:

Reclaim Method: ECN No. (if applicable)

Personnel Contacted: Department or Supplier Name and ID Number:

Supplier Contact Name: Telephone Number:

E-Mail Address: FAX Number:

Reviewed by Quality Engineer: Date:

Long Term Corrective Action:

Target Date: VerificationRequired?

Yes No Assigned To:

For John Deere Use OnlyAPPROVED APPROVED with Limitations (see Comments) REJECTED

Comments:

AuthorizedFor:

Piece(s) /Prod. Days

Ref. ProjectDoc Number

Ref. Decisionor ECN:

APPROVALS:Product Engineering(Required):

Date:

Quality Engineering(Required)

Date:

Add to Distribution List:

Use for Service: Yes No (If No, parts shall be identified as “Not for Service”)

Reference: CED-101 (Rev. 3) May02


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22 Process Evaluation - Continuous Process Monitoring MatrixCONTINUOUS PROCESS MONITORING MATRIX

Process Potential – Pp or CpCp < 1.0 or Unknown 1.0 Cp < 1.33 Cp 1.33

Cpk < 1.0or

Unknown

Mean and Variability,See Case 1

100% inspection and correctiveaction required

Mean and/or Variability,See Case 2

100% inspection andcorrective action required

Mean Only,See Case 3

100% inspection and correctiveaction required

1.0 Cpk < 1.33 Not Possible

Mean and/or Variability,See Case 4

Control charting and samplingrequired

Mean Only,See Case 5

Control charting required

Proc

ess

Cap

abili

ty –

Ppk

or C

pk

Cpk 1.33 Not Possible Not PossibleAuditing of Both,

See Case 6

Routine audits required

The goal for each process is to produce parts at the nominal specification value. If a process is nottargeted, and/or has excessive variation, quality tools and techniques should be used to determine thecause(s). The first attempt should be to target the process on the nominal specification, and then reducethe overall process variation to improve the process capability.

Case Action Plans1,2,3 Nonconforming product is known to occur; these cases imply rework or scrap conditions. 100%

inspection and a corrective action plan are required. Reduce the tolerance by half of the GageR&R (expressed as a percent of the tolerance applied.)Case 1 – The first priority is reduction of variability. Reduce the variability until the process

potential is approximately one. Targeting the mean is the second priority.Case 2 – The first priority is targeting the mean. Variability reduction is the second priority

when Process Potential nears Process Capability.Case 3 – The first priority is targeting the mean. Variability reduction is unnecessary if properly

targeted.4 Improvement of targeting and reduction of variability is required. First, target the process using

EMWA and/or CuSum. Once Process Potential equals Process Capability, switch the priorityto using traditional SPC for variability audits and variability reduction. The goal is to get toCase 5.

5 Improvement of targeting is required. First, target the process using EWMA and/or CuSum –Means Testing. Once Process Potential equals Process Capability, Case 6 is achieved.

6 The process is targeted, capable, and in control. Conduct routine audits and infrequentcapability studies (using 2/ dR from traditional SPC methods). Audit frequency is determinedbased on the ability to recall nonconforming material if audits result in finding such material.

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DESCRIPTIONCASE GRAPHICALREPRESENTATION REQUIREMENTS

This process is not able to continuously produce partsconforming to specifications. Typical SPC won’t help until theprocess is fixed for both the mean and the variability. If theprocess capability is unknown, data collection is required todetermine the capability of the process.

CASE 1

Cp < 1.0Cpk < 1.0orUnknown These conditions require 100% inspection and a corrective

action plan to improve the process. John Deere writtenapproval is needed prior to shipping parts.This process is not able to continuously produce partsconforming to specifications. The primary issue is targeting.Mean control is the primary goal.

CASE 2

1.0 Cp < 1.33Cpk < 1.0 This condition requires 100% inspection and a corrective

action plan to improve the process. John Deere writtenapproval is needed prior to shipping parts.This process is not able to continuously produce partsconforming to specifications. John Deere written approval isneeded prior to shipping parts. The primary issue is targeting.Mean control is the primary goal.

CASE 3

Cp 1.33Cpk < 1.0

This condition requires 100% inspection and a correctiveaction plan to improve the process. John Deere writtenapproval is needed prior to shipping parts. Audit varianceusing SPC.This process is capable of producing parts that conform tospecifications, but may or may not be targeted at the nominalspecification value. An attempt should be made to determinethe special cause(s) that are prohibiting the process frombeing centered or are creating excess variation. The primaryissue is targeting. Variance shall be monitored and reduced.

CASE 4

1.0 Cp < 1.331.0 Cpk < 1.33

Charting (SPC, Pre-Control, or run charting) to verify the partsbeing produced conform to design specifications, and asampling plan to inspect parts per a frequency interval shall beexecuted. The interval is determined by the Cp value – thegreater the Cp value, the less frequent the parts have to bechecked. Evidence of less than .0027% defective is required.This process is capable of producing parts that conform tospecifications, but may or may not be targeted at the nominalspecification value. An attempt should be made to determinethe special cause(s) that are prohibiting the process frombeing centered or are creating excess variation. The primaryissue is targeting. Variance shall be monitored.

CASE 5

Cp 1.331.0 Cpk < 1.33

Charting (SPC, Pre-Control, or run charting) shall be used toverify the parts being produced conform to designspecifications. Evidence of < .0027% defective is required.This process is capable, well centered, and in control. Partsproduced are conforming. There is little concern ofnonconforming product.

CASE 6

Cp 1.33Cpk 1.33 At a minimum, such a process should be verified as

appropriate by inspecting the parts being produced, such asduring the quartile marks for each run (first, 25%, 50%, 75%,and last piece).

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A shift or drift in the process can happen, and depending on the process control technique being used, itmay not be detected. The column at the far right shows the corresponding defective PPM if the processaverage moves 1.5 from the target (also known as the quality or six sigma level). Suppliers need to beaware of this and shall measure their process capability at least annually. The matrix below further showsthe effect off-centering due to a process shifting has on the defective PPM.

When this has been exhausted, a review of the product design should be done to determine if thedrawing requirements could be changed. Any action other than that listed in the Continuous ProcessMonitoring Matrix shall be approved by John Deere.

QUALITY LEVEL - DEFECTIVE PPM DUE TO PROCESS SHIFTING

ProcessShift

3 3.5 4 4.5 5 5.5 6

0 2700 465 63 6.8 0.57 0.034 0.0020.25 3577 666 99 12.8 1.02 0.1056 0.00630.50 6440 1382 236 32 3.4 0.71 0.0190.75 12288 3011 665 88.5 11 1.02 0.11.00 22832 6433 1350 233 32 3.4 0.391.25 40111 12201 3000 577 88.5 10.7 11.50 66803 22800 6200 1350 233 32 3.41.75 105601 40100 12200 3000 577 88.4 112.00 158700 66800 22800 6200 1300 233 32

(See Section 34, Reference 18: Table 14.6 from The Management and Control of Quality, 3rd Edition, byEvans and Lindsay, West Publishing Company)

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START PROCESS

SELECTCHARACTERISTIC

ESTABLISHCAPABILITY GOAL

VERIFYMEASUREMENT

SYSTEM

BEGIN APPROPRIATECONTROL CHARTING

CALCULATECONTROL LIMITSBASED ON DATA

ISPROCESS INCONTROL?

IMPLEMENTCORRECTIVEACTION FOR

SPECIAL CAUSEVARIABILITY

NO

ESTIMATE PROCESSPARAMETERS AND

MEASURE CAPABILITY

YES

ISCAPABILITY >

GOAL?

IS FURTHERIMPROVEMENT

NEEDED?

YES

MAINTAINPROCESS AT

CURRENT LEVEL

DETERMINEREQUIRED

FREQUENCY OFASSESSMENT

NO

REPORT ASREQUIRED STOP

IS THEPROCESS

TARGETED?

NO

YES

CANAVERAGE BE

MOVED?NO

REDUCESOURCES OF

COMMON CAUSEVARIABILITY

YES NO

ADJUSTPROCESS

AVERAGE TOTARGET

YES

Figure 4.21 – Flowchart for process capability studies. D.R. Bothe, ‘Measuring Process Capability’, Copyright 2001

IS DATANORMAL?

YES

DATATRANSFORM

POSSIBLE

YES

NO

NO

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23 Six Sigma Conversion Table for Variable DataThis chart is used to determine Six Sigma equivalents for variable data based on the process being instatistical control and normally distributed.

Cpk Sigma Level ProbabilityGood

Probability ofa Defect

Defects PerMillion

Opportunities-0.50 0.00 0.0000 1.0000 1000000.0000-0.42 0.25 0.0656 0.9344 934409.3832-0.33 0.50 0.1359 0.8641 864094.8780-0.25 0.75 0.2144 0.7856 785597.1203-0.17 1.00 0.3023 0.6977 697672.1266-0.08 1.25 0.3983 0.6017 601686.08890.00 1.50 0.4987 0.5013 501349.89800.08 1.75 0.5981 0.4019 401870.69940.17 2.00 0.6912 0.3088 308770.16780.25 2.25 0.7733 0.2267 226715.76970.33 2.50 0.8413 0.1587 158686.92520.42 2.75 0.8943 0.1057 105660.46220.50 3.00 0.9332 0.0668 66810.59890.58 3.25 0.9599 0.0401 40060.17390.67 3.50 0.9772 0.0228 22750.41860.75 3.75 0.9878 0.0122 12224.54870.83 4.00 0.9938 0.0062 6209.68430.92 4.25 0.9970 0.0030 2979.76771.00 4.50 0.9987 0.0013 1349.89901.08 4.75 0.9994 0.0006 577.02521.17 5.00 0.9998 0.0002 232.62911.25 5.25 0.9999 0.0001 88.41731.33 5.50 1.0000 0.0000 31.67121.42 5.75 1.0000 0.0000 10.68851.50 6.00 1.0000 0.0000 3.39771.58 6.25 1.0000 0.0000 1.01711.67 6.50 1.0000 0.0000 0.28671.75 6.75 1.0000 0.0000 0.07601.83 7.00 1.0000 0.0000 0.01902.00 7.50 1.0000 0.0000 0.0010

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24 Process Control MethodsProcess control methods may include, but are not limited to, the following methods.

CONTROLMETHOD DEFINITION

AcceptanceSampling

A sampling technique where units of product are drawn from a specific lot. Theinformation from these samples is used as a basis for making acceptance decisionsconcerning parts or processes. This could be applicable for large numbers of partsfrom discreet batches. (See Section 34, Reference 2: ASQ Glossary and Tables forStatistical Quality Control.)

ContinuousSampling

This method requires that a consecutive number of pieces pass inspection beforestarting normal sampling cycles.This method can be used when the product stream is continuous such as painting,welding, assembly, and machining.

Modified SPC Modified control charts have control limits that are not established by conventional,control limit-setting techniques. They are sometimes referred to as AcceptanceControl Charts. They can establish whether, or not, a process can satisfy product orservice tolerances, and is “in a state of statistical control.”It is generally assumed that assignable causes will create shifts in the process level.These shifts should be small enough, in relation to tolerance requirements, to beconsidered uneconomical to control with conventional SPC Charts. (See Section34, Reference 2: ASQ Glossary and Tables for Statistical Quality Control.)

Pre-Control Pre-Control is effective for any process where the quality characteristic of interestcan be adjusted. The process can have either a continuous output, (e.g., heat-treatfurnace data) or a discrete output (e.g., machine parts). There are no additionalrequirements and no underlying assumptions concerning capability, or normality ofthe quality characteristic.This method can be used temporarily, as a precursor to a conventional SPC chart,or as a permanent control method. (See Section 34, Reference 8: Juran’s QualityControl Handbook, 5th Edition.)

Restudy Measurement data is used to verify process capability and Cpk on a periodic basis.Setup Check Part characteristics are checked whenever the process is set-up and at periodic

intervals. Examples are: CMM checks, roundness checks, and gear geometrychecks.

Short-Run SPC Short Run SPC is used for small lot sizes of parts with characteristics common to aprocess. Each characteristic is transformed and plotted with other characteristics onthe same chart. (See Section 34, Reference 5: International Quality Institute, Inc.,SPC for Short Runs Curriculum.)

SPC ControlCharts

SPC Control Charts are used as a basis to make decisions about a process.Control determinations are made by comparing the values of statistical measures ofan ordered series of samples, or subgroups, with control limits.Examples are: (p, np, c, u, Xbar & s, Xbar & R, and IXMR).SPC Control Charts demonstrate whether, or not, the process is "in control". SPCControl Charts can be used in an acceptance sense, calling for action orinvestigation when a process shifts from its standard level.SPC Control Charts can be used with variable or attribute data. These continuouscontrol methods are appropriate for mistake-proofing when abnormal processvariations are not present. (See Section 34, Reference 3: AT&T Statistical QualityControl Handbook, Eleventh Edition. ASTM Manual on Presentation of Data andControl Chart Analysis, 1 January 1990, 125 pages.)

Tool Control A control method where the first part is checked after a new tool is installed. If thepart checks OK, the process is run for the expected life of the tool. The last partproduced with the old tool is then checked. If it is OK, then all the parts are OK.

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25 Suggested Quality ToolsQuality Tools Manual Sections Ref.

5.1 5.2 5.3 5.4 5.6 6.1 6.2 7.1 7.2 7.3 7.4 7.5 7.6 8.1 8.2 8.3 8.4 8.5Affinity Diagram X X A,CBox Plot X X X X BBrainstorming X X X X A,B,CCapabilityStudies

X X X X X A,C,E,D

Cause & EffectDiagram

X X X B,C,E

Control Chart X X X A,B,E,DControl Plan X X X B,E,DData Collection X X X X X X X X X X X X X X B,C,EDesign ofExperiments

X X X X X F

Flow Chart X X A,B,C,EFMEA – design X X X X A,E,DFMEA – process X X X X X A,E,DForce FieldAnalysis

X X X X X C,D

Gage R & R X X X DHistogram X X X X X E,CMistake –Proofing

X X X X E

Pareto Chart X X A,B,C,EPPAP (1stpiece/lotcertification)

X X X D

Problem Solving X X CProcessMapping

X X X X X X X X F

QFD X X X X X FRun Chart X X CScatter Diagram X X X B,C,ETree Diagram X X A,BRoot CauseAnalysis

X X X F

REFERENCE (SEE SECTION 34)

A. Juran Quality Planning Ready Reference

B. Juran Quality Improvement Pocket Guide

C. Memory Jogger II™ Pocket Guide of tools for Continuous Improvement

D. AIAG manuals

E. Juran’s Quality Control Handbook

F. John Deere Support – contact your John Deere representative.

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DESCRIPTION OF QUALITY TOOLS

Affinity Diagram Method for generating large numbers of ideas and then organizing andsummarizing into groups.

Box Plot Pictorial display of data distribution - shows variation in data for easieranalysis.

Brainstorming For creatively generating a high volume of ideas.Capability Studies Statistical measurement of the ability of manufacturing process(es) to

consistently meet specifications/tolerances.Cause & Effect Diagram Graphically display, in detail, possible causes related to a problem.Control Chart Charts to monitor control and improve process performance.Control Plan Documents significant process or part characteristics that require

monitoring for capability levels.Data Collection Systematic approach to ensure the data/information gathered is accurate

and meaningful.Design of Experiments A method for analyzing multiple variables at one time, and determining if

there is interaction between any of the variables.Flow Chart Identifies the flow or sequence of events in a process (also called

Process Mapping).FMEA - design Failure Modes and Effects Analysis is an analytical method for

determining the risk level of designs.FMEA - process Failure Modes and Effects Analysis is an analytical method for

determining the risk level of processes.Force Field Analysis Identifies the forces and factors in place that support or work against the

solution.Gage R & R Gage Repeatability and Reproducibility measures the repeatability and

reproducibility of gages to ensure that the gage meets the design intent.Histogram A graphical representation of the process data.Mistake - Proofing A method to eliminate potential operator error from the process.Pareto Chart Pictorially shows where to focus effort for greatest improvement potential.PPAP (1st piece / lotcertification)

Production Part Approval Process that is used to assure that a new orchanged product or process meets specifications.

Problem Solving A common model that creates a common language for continuousimprovement.

Process Mapping A group of activities that together define what is being done to provide aservice of product for the customer.

QFD Quality Function Deployment is a structured approach for determiningcustomer needs and translating those needs into the organization'slanguage.

Run Chart Method to study data for trends or patterns over time.Scatter Diagram Visual analysis to determine if relationships between two sets of

variables.Tree Diagram Breaks any broad goal, graphically, into increasing levels of detailed

actions that could be done to achieve the stated goals.Root Cause Analysis An effective process for finding the cause(s) of an event. This tool

enables more thorough corrective actions.

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26 GlossaryCp The capability index defined as the ratio of the specification width to the natural variation of

the process. Cp indicates if the process is capable of producing parts within specification.The process must be normally distributed and in control when calculating this index. Thestandard deviation is calculated as 2/ dR .

Cpk The capability index is similar to Cp, but it takes into account the centering of the process.It does this by taking the ratio of the difference between the process average and the lowerspecification (or higher specification, whichever is less) to one-half of the natural variationlimit. The goal for Cpk is to achieve a value of 1.33 or greater. The process must benormally distributed and in control when calculating this index. The standard deviation iscalculated as 2/ dR .

ChangeRequest

Request for acceptance from John Deere prior to making changes to a specification,process, location, supply base, or any change that may impact fit, form, function,performance or durability. An approved Verification Warrant is required prior to shipmentof production parts.

Control Plan 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 conditions, andis maintained and used throughout the product life cycle.

CorrectiveAction

Action taken to eliminate the cause of nonconformities in order to prevent recurrence.

2d Constant used to estimate the sample standard deviation based on the sample size andaverage range value.

Design Processand AssemblyReview (DPAR)

A simultaneous engineering process designed to optimize the relationship between designfunction, manufacturability, and ease of assembly. This may also be referred to as Designfor Manufacturability and Assembly.

DesignVerification

The process by which a product, through objective evidence, is proven to meet itsspecification.

Deviation When part characteristics do not comply with engineering specifications, an EngineeringDeviation Authorization (EDA) is required, prior to shipment, to record and control the useof the product, and to provide a means to document corrective action.

Discrimination Sometimes referred to resolution, is the ability of the gage or measuring equipment todetect and indicate small changes in the measured characteristic. The one-tenth of totalvariation allows the gage or measuring system to group measurements into 10 datacategories.

Documents Records of the results of the procedures and job instructions that show the system isoperating.

EnterpriseProductDeliveryProcess(EPDP)

John Deere’s product realization process is called the Enterprise Product Delivery Processor EPDP. It is the sequence of processes required to successfully produce a product orservice that meets or exceeds the expectations of John Deere and our customers. TheEPDP consists of six phases containing twenty-one milestones.

Flow chart Chart showing the recommended steps needed for controlling a process.GageRepeatability

Repeatability is the variation in measurements obtained with one measurement instrument,when used several times by one appraiser, while measuring the identical characteristic onthe same part.

GageReproducibility

Reproducibility is the variation in the average of the measurements made by differentappraisers, using the same measurement instrument, used several times by eachappraiser, while measuring the identical characteristic on the same part.

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IntellectualProperty

Creative ideas and expressions of the human mind that have commercial value andreceive the legal protection of a property right. It includes ideas, inventions, businessmethods and manufacturing processes. The major legal mechanisms for protectingintellectual property rights are copyrights, patents, and trademarks.

Job instructions Define how the employees accomplish the procedures.KeyCharacteristic

A Key Characteristic is a product or process characteristic whose variation or targetingcontrol is necessary to meet customer requirements and that directly or significantly impactcustomer satisfaction through compliance with government, country or industry standardsand/or regulations, ability to perform its intended design requirements (form, fit, function,reliability, appearance), or manufacturability and ability to assemble.

Manuals Often thought of as the top level documentation, defining what management hascommitted to address and achieve with their quality system.

Material,alternate

An alternate material is one whose specifications do not fully meet those of the drawing-specified material; but, have been verified as fully meeting the design intent and can beused interchangeably. Alternate materials shall appear on the drawing. An example ofalternate materials is the material specification of the R200571 Gear which has JDM 8620,JDM 4120, or DIN 20NiCrMo2.

Material,equivalent

Determination that a material is equivalent requires a careful evaluation of all relatedspecifications and characteristics. This review shall only be performed by individuals whoare well versed in those particular materials, qualified to make that evaluation, able toprovide supporting documentation (e.g. mill certifications), and fully conversant with therelevant Deere specifications. Unless specifically authorized by the appropriate Deererepresentative, in writing, only the primary material producer (e.g. steel mill, foundry,warehouse), may make that decision.

OrderFulfillmentProcess (OFP)

A global process at John Deere that is designed to deliver the right product at the rightplace at the right time. It begins with an estimate of retail sales and ends with the retaildelivery and payment.

Physical Build Term used in the Enterprise Product Delivery Process to indicate a physical model which isused to evaluate the complete product, processes and tooling.

Ppk Referred to as a performance index, it is a term used to predict the process capability of anew process. The process must be normally distributed and in control when making thiscalculation. Ppk is based off of the total variation and uses the sample standard deviationvalue in its calculation. Typically, a much higher value is required for Ppk as opposed tothe Cpk due to the amount of uncertainty in the process. The sample standard deviation iscalculated by using all the data points.

PreventiveAction

Action to eliminate the causes of potential nonconformities in order to prevent theiroccurrence.

Procedures A particular method for performing a task. Documentation of the who, what, and when ofthe manual’s requirements.

ProcessCapability

Process capability is the range over which the natural variation of a process occurs asdetermined by the system of common causes. Process capability has three importantcomponents: the design specification, the centering of the natural variation, and the rangeor spread of the variation. The importance of process capability is in assessing therelationship between the natural variation of a process and the design specifications. Thisrelationship is often quantified by measures known as process capability indices. The mostcommon of these are Cp and Cpk. It is recommended that both of these be used whendetermining what corrective action is needed to make a process capable.

ProcessControl

Monitoring of characteristics for capability to produce a feature under stable conditions tomaintain ongoing acceptable quality levels. Examples of process control documents areprocess sheets, inspection and test instructions, test procedures, standard operatingprocedures, preventive maintenance instructions, and specific part control plans.

ProductValidation

The process by which a product is confirmed by objective evidence to function properly inthe total environment (i.e. features and performance meet customer needs andexpectations.)

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ProductVerification

Ensures the adequacy of design per the product performance and functionalityspecification (i.e. the product will properly function in its intended application over itsdesign life).

PV&V Product Verification and Validation. Also referred to as Design Verification and Validation(AIAG) and Design and Development Verification and Validation (ISO).

Risk PriorityNumber

The product of Severity, Detection, and Occurrence in a Failure Modes and EffectsAnalysis.

Shall Indicates mandatory requirements.Should Indicates a mandatory requirement with some flexibility allowed in compliance

methodology.SpecialProcess

A special process is any production or service delivery process that can generate outputsthat cannot be measured, monitored, or verified until it’s too late. It’s often too latebecause deficiencies may not be obvious until after the resulting products have been usedor services have been delivered. In order to prevent output deficiencies, these specialprocesses shall be validated in order to prove that they can generate planned results. (e.g.welding, painting, heat treat, plating)

R Range which is defined as the difference between the high and low values.

R Average Range which is defined as the sum of all ranges divided by the number of ranges.

Supplier Providers of production and service parts, finishing services (plating, painting, heat treating,etc) both inter-unit and external to John Deere. In some cases this may include providersof engineering and production services.

SupplyManagement

All activities relative to procuring products needed to build the finished product.

Sub contractor Suppliers that supply our primary suppliers, also referred to as second and third tiersuppliers, sub tier suppliers, or the supplier’s supply chain.

Quality PlanLevel (QPL)

A John Deere measure of part risk based on three categories: cost, severity, andcomplexity. Each category affects a part or component's overall risk to John Deere.Quality Plan Levels range from 0 to 4, with 4 representing the greatest risk. The requiredquality activities are identified based on the Quality Plan Level.

Quality Record Historical evidence that the quality system is functioning, and is operating at its currentlevel of effectiveness.

Warrant A Verification Warrant (part submission warrant) is the cover page for the PPAPdocuments and requires John Deere approval prior to shipping production parts.

Wavelength Achieving Excellence evaluation criteria for relationships. A composite analysis of thesupplier’s initiative, attitude, responsiveness, attention to detail, communications, andperformance.

27 Engineering Standards

Understanding DrawingsJohn Deere expects suppliers to understand Geometric Dimensioning and Tolerancing (GD&T), andprovide drawings incorporating GD&T principles for John Deere Worldwide factories to the latest ASMEStandard Y14.5M.Location of StandardsJohn Deere Standards can be obtained on the web by going to John Deere Supply Network at thefollowing URL:https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_unit_list

Industry standards can be obtained through other means such as Global Engineering Documents.

http://global.ihs.com/

https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_unit_list


http://global.ihs.com/

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28 Supplier Information SurveyThis is a sample form. For the latest version of this document please refer to https://jdsn.deere.com/.

JOHN DEERE SUPPLIER INFORMATION SURVEYJohn Deere Survey Lead: JD Survey Team Members:Lead John Deere Unit:Location:A. Supplier Information

Company (Supplier) Name: Survey Date(s):DUNS #: Supplier Contact Name:Company Web Site url: Title or Position:John Deere Supplier ID (ifany):

Department:

Supplier Address Supplier E-Mail:City / Zip Code: Supplier Phone Number:Country: Supplier Fax Number:Nearest Large City: Language Capabilities:Nearest Export Shipping Port:

Date of Last John Deere Assessment or Survey (if any):Legal Form / Ownership: Joint Venture State Owned Enterprise Private Public Wholly Owned Other:

Plant Space Employment Capacity / Current UtilizationSubsidiaries (with location,space, employment,capacity):Company Profile:

B. Communication1 Which system(s) can you access? E-Mail Internet EDI Web-based EDI Other:2 How many people communicate in English?C. Management Information3 Do you have a documented organization structure?

If yes, please provide. Yes No

4 Do you have a mid-term business plan?If yes, please provide. Yes No

5 Do you have a long-term business plan?If yes, please provide. Yes No

6 If you responded "Yes" to any of the abovequestions and are unable to provide requesteddocuments, would you be able to discuss theseareas with John Deere?

Yes No

7 Is the business plan a formal document thatincludes:Market related issues,Financial planning,Growth projections,Plant, facilities, and expansion issues,Sales projections (realistic and adequate?),Cost objectives,Sales projections (realistic and adequate?),Human resource development,R & D projections,Competitive assessment,Performance tracked and measured,Formal methods of update,Operating Philosophies, &Continuous Quality Improvement?

Yes No


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8 Who are your suppliers (multiple tier) andcompetitors?What are their relative strengths and weaknesses?

D. Quality SystemsQuality System Certifications ISO-9001 ISO-9002 ISO-9000:2000 ISO/TS 16949

QS-9000 VDA 6.1/6 Other:If yes, please provide accreditation body / bodies.

9

Expiration date(s) of certification10 What are your measurement and testing

capabilities (e.g. Coordinate Measuring Machine)?11 Are Process Capability Study Indices (Cpk)

available for Critical-To-Quality parameters? Yes No

Internal12 Reject RateExternal

13 Does your company warranty products? Yes No14 Will you accept costs in field modification programs

related to the failure of your product? Yes No

E. Personnel15 Do you provide training programs? Yes No16 Do you provide training specific to product and

process understanding for employees? Yes No

17 Do you review job descriptions and individualperformance reviews with employees? Yes No

18 Does your organization demonstrate managementand labor commitment to company goals? Yes No

19 Do you set individual performance goals? Yes No20 Do you have organized programs to promote

employee participation (i.e., problem solving teams,business team concepts, employee suggestionsprograms)?

Yes No

21 What are employee absenteeism and turnoverrates?

Employees First Shift Second Shift Third ShiftDirect

Indirect

22 Number of employees (direct, indirect, salaried):

SalariedDo you have a union affiliation? Yes No23If yes, please provide union affiliation(s), contractexpiration date(s), history and length of any strikes.

24 Please describe area labor availability (i.e.,unemployment rate, availability of skilled andunskilled labor) and the company's relative standingin size and stability.

F. Commercial Situation * * Current John Deere suppliers do NOT need to complete this section.Is your company a manufacturing facility? Yes No25If yes, what are your major manufacturingprocesses?(Please indicate details on following worksheets.)Do you supply service parts? Yes No26If yes, please specify any conditions and your policyon low volume service parts.

27 Which industry do you supply (e.g. automotive,healthcare, off-highway)?

Name % of Sales MajorProducts Volume PPM28 Who are your main customers?

29 How much business do you already have with John Business John Deere Division

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Deere, if any?30 Are there any joint ventures, business agreements,

cooperative associations, or significant salesagreements, current or pending?

Yes No

YearPeriod

Current AssetsCurrent

LiabilitiesTotal Liabilities

RetainedEarnings

Total EquitySales

InterestExpensePre-TaxIncomeCash &

SecuritiesInventoriesAccounts

ReceivableAccountsPayable

Long TermDebt

EBITDA

Please provide the financial, export,and employee data listed for the lastfour years.

Z - SCORE

Net Income(After Tax)

Export(% of sales)

Export toEurope

(% of sales)Export to USA(% of sales)

31

Number ofEmployees

G. Facilities / ProductionFacility Size (square feet) Land Age32 Please indicate the size of facility, land, and age.

33 Are buildings, facilities, and utilities adequate for thecommodity being considered?

Yes No

34 Is the facility laid out for efficient material flow andmanufacturing?

Yes No

35 What is the installed production capacity for eachmajor product? (Define by quantity and timerequired to produce the material in days, shifts, andhours per shift.)

36 What are the constraining factors, if any, restrictingincreased capacity or production rates?

37 What other facilities does your company operate?38 What internal tooling / die design, manufacturing,

and repair capability for tooling exists?39 Describe any tooling / gaging programs geared

toward improved efficiency such as toolingstandardization and quick change tooling.

40 What external tool / die design manufacturing, andrepair services do you use (list sources, if any?

H. Cost System41 What is your pay scale range (minimum, maximum,

average)?

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42 Do you have incentive programs (e.g., laborincentives, gain sharing, bonus programs)?

Yes No

43 Provide a copy of your study or other methods usedto determine overhead application rates. How arethey applied?

44 How is planned cost performance compared toactual cost performance, and what actions aretaken as a result of that comparison?

45 Provide a breakdown of full cost disclosure(material, labor, overhead) by part number /product.

46 How do you calculate your quoted prices?47 Can Product Engineering costs be tracked by

project and invoiced separately if so requested?Yes No

I. Continuous Cost Improvement Programs48 Do you have a Continuous Cost Improvement

Program which covers both internal and externalcosts?

Yes No

49 Do you share cost improvement results with yourcustomers?

Yes No

J. Print / Specification Control50 How are prints and / or specifications changes

controlled?51 How do you ensure that current active files contain

only up-to-date drawings?K. Material Handling / Packaging52 Is material identified clearly during and between

operations?Yes No

53 Is material handled, stored, and shipped in amanner that prevents damage?

Yes No

54 Do you utilize bar coding? Yes No55 Describe the level of product traceability that exists

within the manufacturing facility.L. Inventory56 What type(s) of inventory control are used? FIFO LIFO Random Other, Please Specify:57 Do you have a method for controlling material with

a limited shelf life?Yes No

58 Describe how inventory accuracy is monitored.(Note trends)

Current Goal59 What is current inventory turnover and what isgoal?

M. Scheduling60 How are production schedules driven?61 Do you have a procedure for reconciliation between

customer schedules / orders and productionrecords?

Yes No

62 What are your normal lead times?63 Do you have plans for lead time reduction? Yes No64 Do you have flexibility in manufacturing schedule,

(i.e., lead times and run sizes)?Yes No

N. Logistics65 Do you have distribution system overseas?

If yes, please specify the location(s)? Yes NoLocation(s):

66 Do you have warehouse overseas?If yes, please specify the location(s)? Yes No

Location(s):

67 What is your current logistics system? ERP MRP Other, Please Specify:

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68 Do you have a procedure to track actual deliveryperformance on order quantities and customer duedates against desired customer performance?

Yes No

69 Do you have any Just-In-Time and / or point of usedelivery systems?

Yes No

O. Engineering and Technical Support70 What kind of data interchange tools do you use with

existing customers? VDA EDIFAC ODETTE Other, Please Specify:

What kind of Computer Aided Design (CAD)Systems do you use?

AutoCAD Catia IGES/STE NonePro/E Unigraphics Other, Please Specify:

71

How many terminals do you have?72 Do you have an in-house tool shop? Yes No73 What engineering / technical support can be

provided for design, application, problem resolutionand testing? List both local and corporate.

74 Are direct customer / supplier engineeringcommunications encouraged?

Yes No

75 What design processes are utilizing up-front designanalysis techniques (e.g., Failure Modes andEffects Analysis (FMEA), Quality FunctionDeployment (QFD))?

76 Are simultaneous engineered teams used whennew products are developed?If yes, which disciplines are included on the teams?

Yes No Disciplines:

77 Do you have multi-function project managementtechniques in place to effectively track and meet allkey event dates (e.g., quote / estimate programs,prototype material, tooling programs, samplesubmission dates, new product launch programs)?

Yes No

78 Do you have an in-house Research andDevelopment (R&D) department?

Yes No Description:

79 Do you have R & D activities for development ofnew technologies?If yes, what R & D programs have you successfullyimplemented in recent years?

Yes No R&D Programs:

P. Product Testing ** ** Please complete if you own the design for the product that John Deere wishes to purchase.80 Do you have test facilities in-house to complete

component testing?Yes No Complete System Testing

System Testing in a VehicleOther:

81 Are multiple input sources (i.e. Reliability andPerformance Risk Assessment, CustomerSatisfaction Information, etc) considered indeveloping the Product Verification and Validation(PV&V) plan?

Yes No

82 Do you incorporate customer requirements andcustomer duty cycle information into PV&V activity?

Yes No

83 Do you have application data for your products? Yes No84 Are you able to demonstrate reliability,

performance, and design life requirements of yourcomponents?

Yes No

85 Do you update PV&V procedure based on failuresdiscovered during customer use?

Yes No

86 Do you benchmark your performance, reliability,quality and cost against competitors?

Yes No

87 Do you provide prototype parts?If yes, please indicate lead time.

Yes No Lead TIme:

88 Describe your capability to conduct analysis, report

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all applicable product performance tests, andaccurately predict product life in the user'senvironment (e.g., life, accelerated, field, safety)?

89 Are outside performance testing sources are used?If yes, how are they monitored?

Yes No How Monitored:

90 Have lab test acceleration factors been determinedby correlation of lab and field test data?

Yes No

91 Describe your procedure for analysis of field returnfailures.

92 Describe your policies concerning defense ofproduct liability claims?

93 Describe your policies concerning defense ofproduct liability claims?

Yes No

94 Do you have any pending product liability claimsinvolving product(s) we are considering?If yes, please describe.

Yes No Product LiabilityClaim(s):

Q. Regulatory Conformity95 Do you own the patent / copyright, or proper license

that allows you to lawfully manufacture the product,or utilize the manufacturing process, that JohnDeere desires to purchase?

Yes No

96 Do you have documentation to substantiate thatyou own, or are licensed to use, the requisiteIntellectual Property Rights?

Yes No

R. Supplier Code of ConductEnvironmental and /or Health & Safety SystemCertifications ISO-14001 ISO 18001 Other:

If yes, please provide accreditation body / bodies.

97

Expiration date(s) of certificationDo you have a system to ensure compliance withthe minimum working age prevailing standard?

Yes No98

What is the age of your youngest employee?99 Do you have an accurate system to measure hours

worked to ensure conformance with applicablewage and hour labor laws?

Yes No

100 Do you have a process to ensure compliance withapplicable laws concerning discrimination in hiringand employment practices?

Yes No

101 Are you currently, or at any time during the pastcalendar year, subject to any enforcement action byany governmental authority for non-compliance withenvironmental, safety, or labor requirements?

Yes No

102 Can you demonstrate legal compliance withgovernment environmental, health and safetylegislation (through government certificate orregistration, third-party audit, etc.)?

Yes No

103 Have you obtained and maintained allenvironmental permits and registrations that applyto their facilities, operations, and products, includingreporting obligations in accordance with applicablelaws and regulations?

Yes No

104 Are wastes that are stored, treated, or disposed ofon-site managed in properly designed facilities thatwill prevent future environmental impacts?

Yes No

105 Do you have a program to identify and assesspotential emergency situations such as weather,fire, or chemical spills and implement emergency

Yes No

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plans and procedures?106 Do you have a program to identify, evaluate and

control workplace exposures to chemical, biologicaland physical agents (e.g. chemical fumes, noise,dust, mold) at or below levels established as safeby applicable laws and regulations?

Yes No

107 Do you have a program to identify, evaluate andcontrol safety hazards (e.g. electrical, mechanical,hydraulic, and pneumatic) of workplace equipmentand machinery and conditions (e.g. slips, trips, fallhazards, physically demanding work) to preventinjury to workers?

Yes No

108 Do you have a program to provide and require theuse of personal protective equipment when safetyhazards and workplace exposures cannot becontrolled by other means?

Yes No

109 Can you provide list time injury, illness frequency,and severity incidence rates?

Yes No

110 Do you have a program to ensure compliance withapplicable laws concerning proprietary, confidential,and personal information?

Yes No

S. EquipmentMachine

DescriptionMachine

ManufacturerTon. /Size

Quan-tity Age111 Provide a list of equipment. Please include major

manufacturing and testing equipment indicatingsize, age, brand, and condition.

T. Process Technologies *** *** If applicable, please complete the appropriate worksheet.Aluminum Fittings Hydraulic PlumbingBelts Flangets PlasticCastings Forgings Sheet MetalElectric Assembly Gears & Shafts SpringElectronics Hubs, Pulleys & Sheaves Rubber Parts

Survey Summary (to be completed by John Deere Lead)

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29 Red Flags Supplier Quality System SurveyThis is a sample form. For the latest version of this document please refer to https://jdsn.deere.com/.

JOHN DEERE RED FLAGS SUPPLIER QUALITY SYSTEM SURVEYSupplier Name: Audit Date(s):Supplier Number: Supplier Representative(s):Supplier Address:

Supplier Phone Number:Supplier E-Mail: Supplier Fax Number:John Deere Survey Lead: Survey Team Members:Principle Products:

Date of Last John Deere Assessment or Survey (if any):Process(es) / Product(s) Audited:

Supplier Contact(s): Position: Phone:

Note: Secure copy of certification(s), if not provided in advance.Quality System Certification, Registrar, and Date of Certification Expiration (ISO, ISO/TS, etc.):

Environmental System Certification, Registrar, and Date of Expiration (ISO 14001):

Health and Safety System Certification, Registrar, and Date of Expiration (ISO 18001):

Overall Survey Results and RecommendationsSupplier Quality System Level:Sourcing Recommendation::Survey Observation Summary:

Red Flag Quality System Survey Scorecard# Quality Tool & Process Dimensions Not Used

or NOPrimitiveor YES

PartialUse

FullyUtilized

Points Notes /Comments

1 Are there any restricted materials or other bannedsubstances in the product to be purchased byJohn Deere? Y/N

If yes, supplierfails the survey

2 Is there child (under 14 years) or forced laborpresent? Y/N

If yes, supplierfails the survey

3 Use of PPM Metrics to track quality Y/N4 Quality PPM improvement trend over time Y/N5 Nonconformities “prevented” not “caught” Y/N6 Dependent on Inspection Y/N7 Operator Dependent Y/N8 Track Rework leading to Corrective Actions Y/N9 In-process Gaging10 Data Generation11 Gage R & R’s12 SPC Application13 Process Controls14 Written Procedures15 Control Plans16 Corrective Action Programs17 Clear Misson Statement and Quality Policy Y/N


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18 Posted and Understandable Metrics19 Training Program20 Functional Process / Design FMEA

Documentation21 Control Plans developed by Failure Modes &

Effects Analysis (FMEA’s)22 ISIR Utilization23 Document Control24 ISO Registration Y/N25 Cost of Quality (COQ)26 Root Cause Analysis (RCA) Problem Solving

Tools27 Advanced Quality Planning (AQP) Focused28 Six Sigma Initiatives29 Living Failure Modes & Effects Analysis (FMEA’s)30 Control Plan illustration of Cpk for Key

Characteristics31 Production Part Approval Process32 Quality Function Deployment (QFD) Utilized33 Mistake Proofing34 QS 9000 or TS 16949 Registered Y/N

Red Flag Product Engineering Survey Addendum(Only for Supplier Design Control Components with Quality Plan Level 3.)

# Product Engineering Dimensions Not Usedor NO

Primitiveor YES

PartialUse

FullyUtilized

Points Notes /Comments

35 Generate and track execution of ProductVerification and Validation (PV&V) Plans

36 Design analysis, lab test and field test correlatedwith customer use

37 Procedure and acceptance criteria for each PV&Vactivity

38 Design, PV&V capabilities align with designcontrol responsibilities

39 Training program for design and PV&V staff40 Metrics used to measure if design requirements

are met41 Understand application of their product42 Update design guidelines and PV&V procedures

based upon customer failure modesTotal Survey Points:

Level I: Start Up Quality SystemLevel II: Beginning Quality SystemLevel III: Mature Quality SystemLevel IV: Highly Developed Quality System

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30 Supplier Quality System Audit QuestionnaireThis is a sample form. For the latest version of this document please refer to https://jdsn.deere.com/.

JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRESupplier Name: Audit Date(s):Supplier Number: Supplier

Representative(s):Supplier Address:

Supplier Phone Number:Supplier E-Mail: Supplier Fax Number:Audit Team Leader: Audit Team Members:Principle Products:






GENERAL SUPPLIER RATING CRITERIARating Score

**Ability to meet requirement inquestion:

Corrective Action

Does Not Comply0 Requirement is not met. There is no

evidence of implementation ordocumentation (major non-conformance).

Requires CorrectiveAction Request

(CAR), Document inNCCA

Does Not Comply1 Requirement is partially met but there

are major inconsistencies inimplementation or documentation(major nonconformance).



Complies

2 Requirement is met but there areminor inconsistencies inimplementation or documentation, or isin the early phases and onlypreliminary evidence ofimplementation effectiveness exists(minor nonconformance).



Complies 3 Requirement is met and effectivelyimplemented and fully documented.

No action required

Complies

4 Requirement is "world class" in termsof scope and implementation or itshows major signs of significantimprovement over the last 12 monthswhich is meaningful to the Customer.

No action required

** A supplier must have a score of 2 or greater on each of the questions to be acceptable.


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Score each question using a 0 to 4 point scale, where 4 is the best possible score. Score non-applicable questions as 3.I. Quality

# Ref. Question ScoreQ1 Supplier has procedures in place designed to ensure that the requirements set out

in John Deere’s Supplier Code of Conduct are met? Y/NQ2 There are no products containing substances in excess of the amounts set forth on

John Deere’s Restricted Materials List and/or other substances restricted byapplicable laws? Y/N

Audit Status:Answers for the above two questios, Q1 and Q2, must be yes for the audit to continue. Supplieris responsible to insure all tiers of the supply base comply to these requirements.A. Management Review1 5.6 Does the supplier's Management, with executive responsibility, review all quality

system elements at defined intervals to ensure its continuing suitability andeffectiveness?Are the following metrics posted and are improvement goals established?Internal quality reject Part Per Million (PPM)External quality reject PPM

2 5.6

On-time deliverySection Score:Section Compliance: (Complies = no questions scored less than 2)B. Quality Planning3 7.2 Is a structured process used to identify Key Characteristics and control methods?

Please list methods and tools.4 8.2 Are mistake proofing techniques used where appropriate, in particular on Key

Control Characteristic (including facilities, equipment, tooling, and for problemresolution)?

5 7.5 Compare control plan items against part print and determine control plan adequacy.Are control plans reviewed and updated as appropriate when any of the followingoccurs:Product or process changes?Processes are found to be unstable or non-capable?

6 7.5

Inspection method, frequency, etc, is revised?7 7.3 Are supplier-initiated design or process changes documented, reviewed, and

approved by authorized internal personnel before implementation?8 7.2 Has written customer approval or waiver been obtained and documented prior to a

design or process change being implemented into production?Section Score:Section Compliance: (Complies = no questions scored less than 2)C. Document Control9 4.2 Has the supplier established a process to ensure that invalid and / or obsolete

documents are promptly removed from all points of use or otherwise assuredagainst unintended use?

10 4.2 Is there timely review, distribution, and implementation of customer engineeringstandards and specifications and changes? Verify revision levels of drawings ormodels in use at the supplier?

11 7.5 Are appropriate process parameters, including operator training, monitored forspecial processes (heat treat, welding, plating, etc) where conformance tospecification cannot be verified in subsequent operations?

Section Score:Section Compliance: (Complies = no question scored less than 2)D. Product Identification and Traceability12 7.5 Is required product identification (including material certification and heat number,

if applicable) maintained through all stages of production, assembly, and delivery?Section Score:Section Compliance: (Complies = no question scored less than 2)

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E. Process ControlHave documented process monitoring and other operator instructions beenprepared for all employees?Are they accessible at the workstation?

13 7.5

Is there evidence of use?Do process monitoring and other operator instructions include or reference:14 7.5Operation name and number?Part name and part number?Current engineering level / date or decision number?Required tools, gages and other equipment?Customer designated Key Control Characteristics?Supplier designated Key Control Characteristics?Statistical Process Control (SPC) requirements as appropriate?Relevant engineering and manufacturing standards?Inspection and test instructions, including frequency?Reaction plan as appropriate?Revision date and approvals of Work Instructions?Visual aids as appropriate?Tool change intervals and set-up instructions?Material certification, such as: chemical and mechanical properties, hardness,plating, heat number, and / or source mill?Does the reaction plan for internal out-of-control conditions include as appropriate:Containment and 100 percent inspection?Specific corrective action timing?Responsibility assignment?

15 7.5

Documented customer approval?16 7.5 Do operators clearly understand their responsibilities when loss of process control

or out of specification conditions exist?Is production equipment and working environment suitable for manufacturing ofspecified characteristics?Are production machines and equipment appropriate for the product being produced?Is there documented evidence of process capability?

17 6.3

Are production machines and equipment clean and adequately maintained?18 7.5 Is there evidence of a preventive maintenance program?19 7.2 Does supplier retain and use appropriate data on key control characteristics for

continuous process improvement?Does supplier maintain or exceed the process capability requirements of JDS-G223 on key control characteristics?

20 8.2

Are monitoring and improvement plans in place for those processes that do notmeet the process capability requirements?

21 8.2 Does supplier verify that characteristics are to specification after a setup has beencompleted?

Section Score:Section Compliance: (Complies = no question scored less than 2)F. Inspection and Testing22 8.2 Does the supplier ensure that incoming product is not used or processed until it

has been inspected or otherwise verified as conforming to specified requirementsin accordance with the quality plan and/or documented procedures?

23 8.2 Does the supplier inspect and test in-process product as required by the ControlPlan and / or the documented procedures?

24 8.2 Does the supplier carry out final inspection and testing in accordance with theControl Plan and/or documented procedures?

25 8.2 Does the supplier assure that no product is released until all activities specified inthe documented procedures have been satisfactorily completed and that theassociated data and documentation is available and authorized?

26 8.2 Does the supplier conduct scheduled audits of the final product in accordance with

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the Control Plan to verify conformance to all specified requirements includingpackaging?

27 8.2 Does the supplier maintain records which provide evidence that the product hasbeen inspected and / or tested and approved prior to release?

28 7.48.3

Does the supplier inspect, test, and verify that products do not contain substancesin excess of the amounts set forth on John Deere’s Restricted Materials List (e.g.,asbestos or lead in paint) and/or other substances restricted by applicable laws?

Section Score:Section Compliance: (Complies = no question scored less than 2)G. Inspection, Measuring, and Test Equipment29 7.6 Does the measurement system provide appropriate discrimination of the total

product tolerance being measured?Has the supplier identified all inspection measuring and test equipment that canaffect product quality?

30 7.6

Are appropriate measurement systems used for required characteristics(roundness, lobbing, surface finish, etc.)?Is each piece of inspection equipment calibrated:At prescribed intervals?On certified master equipment (traceable to standards)?

31 7.6

In a controlled environment?Does the procedure for calibration of inspection measuring and test equipmentinclude the following:Unique identification?Part name and part number?Location?Frequency of checks?Check method?Acceptance criteria?Corrective actions when inspection equipment is found out of calibration?

32 7.6

Review process for product inspected with "out of calibration" measuringequipment?

33 7.6 Has the supplier identified inspection measuring and test equipment with a suitableindicator or approved identification record to show the calibration status?

34 7.6 Does the supplier maintain calibration records for inspection measuring and testequipment?

35 7.6 Has the supplier performed Gage Repeatability and Reproducibility studies on keycontrol characteristics and do they meet the established criteria in JDS-G223?

Section Score:Section Compliance: (Complies = no question scored less than 2)H. Inspection and Test Status36 7.5

8.3Is the inspection and test status of product identified such that the conformancestatus is recognizable and understood?

Section Score:Section Compliance: (Complies = no question scored less than 2)

I. Control of Nonconforming Product37 8.3 Does the control of nonconforming or suspect material provide for material

identification / segregation / evaluation and notification of all appropriate functions?38 8.3 Does the supplier clearly identify nonconforming and suspect product and the

quarantine areas?39 8.3 Is the responsibility for review, and authority for the disposition of nonconforming

product, defined?40 8.3 Are repaired and/or reworked products re-inspected and / or tested according to

the Control Plan and/or documented procedures?41 8.4

8.5Does the supplier quantify and analyze nonconforming product, establish aprioritized reduction plan, and track progress to the plan?

42 7.2 Does the supplier obtain customer authorization prior to shipment, whenever the

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product or process is different from the current Production Part Approval Process(PPAP) approval?

Section Score:Section Compliance: (Complies = no question scored less than 2)J. Corrective and Preventive Action43 8.5 Does the supplier use a disciplined problem solving method to address internal

and external non-conformances?Do procedures for corrective action include effective handling of customercomplaints and reports of non-conformances? Do these procedures:Verify corrective action from past Corrective Action Requests?Consider implementation of corrective action on similar products / processes?

44 8.5

Consider impact of corrective action on other products / processes?45 8.5 Do procedures for corrective action include mistake proofing or other preventive

action to avoid root cause re-occurrence and verification to ensure effectiveness?46 8.5 Are returned parts analyzed and are records of this analysis kept and made

available upon request?Section Score:Section Compliance: (Complies = no question scored less than 2)K. Storage, Packaging, and Preservation47 7.5 Have methods to prevent damage or deterioration been provided for the handling

of production material and are they being followed?48 7.5 Are methods to prevent damage or deterioration been provided for the shipment of

production and service material and are they being followed?Section Score:Section Compliance: (Complies = no question scored less than 2)L. Quality Audits49 5.6

8.2Does the supplier have a documented program to perform internal audits of thequality system?

50 5.6 Are personnel conducting the audit trained and independent of the function beingaudited?

51 5.6 Are the audit results recorded and brought to the attention of the responsiblepersonnel?

52 5.6 Are corrective actions, for any deficiencies identified in an audit, carried out on atimely basis?Is there a documented procedure for auditing of the supplier's supply chain? Isthere evidence that it is being followed?Dimensional SpecificationsMechanical PropertiesHardnessPlatingTraceability of heat number to the mill shipment

53 7.4

Evidence of auditing traceable to the millSection Score:Section Compliance: (Complies = no question scored less than 2)M. Training54 6.1 Is a documented training plan established that identifies operator basic training

needs?55 6.1 Have operator's basic training needs been fulfilled for the job being performed?

Section Score:Section Compliance: (Complies = no question scored less than 2)N. Statistical Techniques56 8.2 Does the supplier use the appropriate statistical tools required to establish, control,

and verify product quality?What appropriate statistical tools are being used during: (Reference JDS-G223Suggested Quality Tools)

57 8.425

Quality planning?

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Quality control?Quality improvement?

Section Score:Section Compliance: (Complies = no question scored less than 2)O. Regulatory Conformity58 7.4 Does the supplier own the patent or copyright that allows it to lawfully manufacture

the product, or utilize the manufacturing process, the Company desires topurchase?

59 7.4 Does the supplier have documentation to substantiate that it owns the requisiteIntellectual Property rights, or that it is properly licensed to use the requisiteIntellectual Property Rights?

60 7.4 Are the Intellectual Property rights effective and legally enforceable in the countrywhere the supplier will produce the product or utilize the manufacturing process?

61 7.4 Does the supplier have documentation to substantiate that its Intellectual PropertyRights are effective in the country where it will produce the product or utilize themanufacturing process?

62 7.4 If the supplier possesses the requisite Intellectual Property Rights, is the durationof such rights sufficient to cover the term of the proposed supply agreement?

63 7.4 Is the supplier aware of any 3rd party Intellectual Property Rights which couldinterfere with the proposed supply agreement? If yes, identify the 3rd party andthe Intellectual Property Rights involved.

Section Score:Section Compliance: (Complies = no question scored less than 2)Category Score:Category Compliance: (Complies = no questions scored less than 2)II. Supplier Code of ConductP. General Information

64 1 Does the supplier have procedures in place designed to ensure that therequirements set out in John Deere’s Supplier Code of Conduct are met?

Section Score:Section Compliance: (Complies = no question scored less than 2)Q. Child Labor65 1 Does the supplier have a system to ensure compliance with the minimum working

age prevailing standard? (Minimum working age for John Deere suppliers is 14years.) If answer is “no”, notify Manager, Supply Chain Value Assurance [email protected].

Section Score:Section Compliance: (Complies = no question scored less than 2)R. Compensation and Working Hours66 1 Does the facility have an accurate system to measure hours worked to ensure

conformance with applicable wage and hour labor laws?Section Score:Section Compliance: (Complies = no question scored less than 2)S. Discrimination67 1 Does the supplier have a process to ensure compliance with applicable laws

concerning discrimination in hiring and employment practices?Section Score:Section Compliance: (Complies = no question scored less than 2)T. Environment, Health, and Safety68 1 Is the supplier currently, or at any time during the past calendar year, subject to

any enforcement action by any governmental authority for non-compliance withenvironmental, safety, or labor requirements at any facility at which productssupplied to John Deere are manufactured?

69 1 Can the supplier demonstrate legal compliance with government environmental,health and safety legislation (through government certificate or registration, third-party audit, etc.)?

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70 1 Has the supplier obtained and maintained all environmental permits andregistrations that apply to their facilities, operations, and products, includingreporting obligations in accordance with applicable laws and regulations?

71 1 Are wastes that are stored, treated, or disposed of on-site managed in properlydesigned facilities that will prevent future environmental impacts?

72 1 Does the supplier have a program to identify and assess potential emergencysituations such as weather, fire, or chemical spills and implement emergency plansand procedures?

73 1 Does the supplier have a program to identify, evaluate and control workplaceexposures to chemical, biological and physical agents (e.g. chemical fumes, noise,dust, mold) at or below levels established as safe by applicable laws andregulations?

74 1 Does the supplier have a program to identify, evaluate and control safety hazards(e.g. electrical, mechanical, hydraulic, and pneumatic) of workplace equipment andmachinery and conditions (e.g. slips, trips, fall hazards, physically demandingwork) to prevent injury to workers?

75 1 Does the supplier have a program to provide and require the use of personalprotective equipment when safety hazards and workplace exposures cannot becontrolled by other means?

Section Score:Section Compliance: (Complies = no question scored less than 2)U. Confidential Information76 1 Does the supplier have a program to ensure compliance with applicable laws

concerning proprietary, confidential, and personal information?Section Score:Section Compliance: (Complies = no question scored less than 2)Category Score:Category Compliance: (Complies = no questions scored less than 2)

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ASSESSMENT MATERIAL (to be available for an audit):

John Deere requires copies of the following certifications, if available:- Quality System Certification, Registrar, and Date of Certificate Expiration (IS), QS, etc.)- Environmental System Certification, Registrar & Date of Expiration (ISO 14001)- Health & Safety System Certification, Registrar, and Date of Certificate Expiration (ISO

18001) Current Quality Manual Quality Procedure Manual(s) Completed self-assessment of the JDS-G223 audit Corrective Action files for the last six months Internal Audit reports for the last twelve months External Quality System Audit reports for the last twelve months Minutes and Quality metrics used for management reviews from the last six months Training Records

JDS-G223 QUALITY SYSTEM AUDIT SCHEDULE TEMPLATE:Topic Time Description

DAY 1Opening Session 1.5 Hours Define scope of assessment, resources, and assessment

plan. Review business competencies, quality policy,mission, and vision.

Begin assessment in plant 2.5 Hours Process flow will be followed - from incoming material toshipping. Focus will be on control and verificationprocedures.

Quality planning Communication with their supply chain Document Control Product Identification and Traceability Process Control

Working lunch (on-site) 0.5 HourContinue plantassessment

2.5 Hours Control of Nonconforming Product Corrective and Preventive Action Storage, Packaging and Preservation Statistical Techniques

Audit team meeting 1.0 Hours Brief review of findings, review plan for Day 2Briefing 0.25 Hours Brief review of findings, review plan for Day 2

DAY 2Complete plantassessment

1.5 Hours Inspection and Test Inspection and Measuring Equipment Inspection and Test Status

Element review 2.0 Hours Corrective Actions, Internal Audit Reports, ManagementReview Minutes and Quality Metrics, Training Records

Working lunch (on-site) 0.5 HourContinue element review 1.5 Hours Regulatory Conformity and Supplier Code of Conduct

questions (Environment, Safety, Human Resources)John Deere meeting 1.0 HourClosing Session 1.5 Hours John Deere Team presents Strengths, Non-conformances,

Opportunities for Improvement. Communication of finalreport schedule, and follow-up schedule for corrective actionactivities.

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31 Product Engineering Audit Flowchart and Questionnaire

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This is a sample form. For the latest version of this document please refer to https://jdsn.deere.com/.JOHN DEERE SUPPLIER PRODUCT ENGINEERING QUESTIONNAIRE

Supplier Name: Audit Date(s):Supplier Number: Supplier Representative(s):Supplier Address:

Supplier E-Mail: Supplier Fax Number:Audit Team Leader: Audit Team Members:Principle Products:



GENERAL SUPPLIER RATING CRITERIA *Rating Score ** Ability to meet requirement in question:

Does Not Comply 0 Requirement is not met. There is no evidence ofimplementation or documentation (major non-conformance).

Does Not Comply1 Requirement is partially met but there are major

inconsistencies in implementation or documentation (majornonconformance).

Complies2 Requirement is met but there are minor inconsistencies in

implementation or documentation, or is in the early phases andonly preliminary evidence of implementation effectivenessexists (minor nonconformance).

Complies 3 Requirement is met and effectively implemented and fullydocumented.

Complies4 Requirement is "world class" in terms of scope and

implementation or it shows major signs of significantimprovement over the last 12 months which is meaningful tothe Customer.

* John Deere employees reference Product Engineering Likert Scale for additional information on scoring.** This Product Engineering Audit is only for suppliers which produce components with a Quality Plan Level (QPL) 3 and in whichthe supplier has design control. A supplier must have a rating of 2 or greater for each of the questions to be acceptable.Score each question using a 0 to 4 point scale, where 4 is the best possible score. Score non-applicable questions as 3.I. Product Engineering

# Question ScoreA. Product Verification & Validation Plan1 What input sources are used to develop the Product Verification and Validation (PV&V)

plan for the supplier's products? (e.g., Reliability and Performance Risk Assessment,Customer Satisfaction information, General Component Specifications)

2 How are customer requirements and customer duty cycle information incorporated intoPV&V activity acceptance criteria (targets or success criteria)?

What (if any) tools are used for this linkage (e.g., Quality Function Deployment (QFD),Critical to Quality)?

Does the supplier work with their customers to determine the PV&V plan and acceptancecriteria? (Their customer = John Deere)Does the supplier understand the application (loads, environment, customer usage,temperature ranges, dust conditions, humidity, etc.) for their components? Describemethodology.

3

Does the supplier understand the corner conditions? Describe methodology.


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Does the supplier have a method of documenting and retaining this data? Describe methodology.4 How is execution of the PV&V plan tracked?5 How does the supplier demonstrate their components meet reliability, performance, and

design life requirements? What metrics are used to measure if design requirements are met?

Section Score:Section Compliance: (Complies = no elements scored less than 2)B. Product Engineering Strategic Planning6 What responsibilities are included within the PV&V organization? Who is responsible for the PV&V effort? Who do they report to? What is the PV&V staffing ratio of PV&V engineers to design engineers?7 What plans or processes does the supplier use that demonstrate they are capable of

verifying and validating the components under their design control by adapting their designand PV&V capabilities to the changing product environment (application, technology andcustomer duty cycle)?

8 Do you have computer aided design and analysis resources? How is it used (i.e., tooldesign, part design, finite element analysis, modeling, simulations, etc.)?

What CAD system is utilized and how many terminals do you have?9 What are the defined skill sets for each design and PV&V position? What is the training program for each design and PV&V position?

10 What are your Research & Development activities for new technologies? What, if any, R&D programs have you successfully implemented in recent years?

Section Score:Section Compliance: (Complies = no elements scored less than 2)C. Optimized Design11 How are the supplier's PV&V procedures and design guidelines updated based upon

major failure modes discovered on their components during customer use (production)? During field test?

12 What types of reviews are included in the PV&V plan? What design reviews are conducted if a PV&V plan is not used? For each type of review, how are issues and problems identified? How are corrective actions verified and validated?

13 Is there capability to conduct analysis (e.g. hand calculation, life, accelerated, field,safety)?

How is the design analysis correlated with customer use? What component design areas does the supplier have where analytical results are as good

as test results - where no correlation hardware tests are required?14 How does the supplier know what they are offering is the best design from their product

line for our application? Does the supplier benchmark their performance / reliability / quality / cost against their

competitors?Section Score:Section Compliance: (Complies = no elements scored less than 2)D. Product Development Process15 Are simultaneous engineering teams used when new products are developed? What disciplines are included?

16 Are multi-function project management techniques in place to effectively track and meet allkey event dates (e.g., quote / estimate programs, prototype material, tooling programs,sample submission dates, and new product launch programs)?

17 Are prototype parts furnished to customers? If so, what is the lead time for prototype parts? How is conformity to design specifications (made to print) verified? What cost structure is used for prototype parts?

Section Score:Section Compliance: (Complies = no elements scored less than 2)

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E. Product Verification & Validation Activities18 How are established procedures for PV&V activities (reviews, design analyses, lab tests)

documented, reported and used? How does the supplier communicate PV&V results to their customers? What is the documentation process for reporting results and the document retention policy

of these results?19 Does the supply base conduct their testing activities using accredited test standards (e.g.,

ASTM, ASAE, SAE) and/or by using John Deere component specifications?Section Score:Section Compliance: (Complies = no elements scored less than 2)F. Supplier Verification -Tier I & Tier II20 How are supplier lab tests correlated with customer use? What component design areas does the supplier have where lab results are as good as

field test results - where no correlation field tests are required? How is product life accurately predicted in the users' environment?

21 How are Tier II supplier lab tests correlated with customer field use?Section Score:Section Compliance: (Complies = no elements scored less than 2)G. Continuous Improvement Projects22 How is the PV&V process applied to continuous improvement (running changes) projects? What percent of the PV&V plan is completed prior to release?

23 Describe your procedure for analysis of field return failures.Section Score:Section Compliance: (Complies = no elements scored less than 2)Category Score:Category Compliance: (Complies = no elements scored less than 2)

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32 Process Verification Audit QuestionnaireThis is a sample form. For the latest version of this document please refer to https://jdsn.deere.com/.

JOHN DEERE PROCESS VERIFICATION AUDIT QUESTIONNAIRESupplier Name: Audit Date(s):Supplier Number: Supplier Contact(s):Supplier Address:

Supplier Phone Number:Supplier E-Mail: Supplier Fax Number:Audit Team Leader: Audit Team Members:Reason for Audit:





GENERAL SUPPLIER RATING CRITERIA *Rating Score ** Ability to meet requirement in

question:Corrective

Action

Does Not Apply NA Requirement is not applicable. No actionrequired

Does Not Comply

1 Requirement is not met or partially met.There is no evidence of implementationor documentation, or majorinconsistencies in implementation ordocumentation (major non-conformance).

RequiresCorrective ActionRequest (CAR),

Document inNCCA

Needs Improvement

2 Requirement is met but there are minorinconsistencies in implementation ordocumentation, or is in the early phasesand only preliminary evidence ofimplementation effectiveness exists.

Opportunity forImprovement.RecommendCAR, but not

required

Complies 3 Requirement is met, effectivelyimplemented, and fully documented.

No actionrequired

** A supplier must have a score of 2 or greater on each of the questions to be acceptable.Score each question using a 1 to 3 point scale, where 3 is the best possible score. Input NA for non-applicable questions.

Part Number(s) or Families:# n Question ScoreA. Document Control

1 Is the part print to the current Revision Level?2 Are the Control Plan documents being used up-to-date?3 If the Control Plan at the supplier is not the same version as the one at John Deere,

was the change process followed per JDS-G223?a Do the process control documents adequately address all process parameters and

product characteristics?b Are the Product and Process Key Characteristics known, visible, and is there a

documented control plan in place to continuously monitor the process control andcapability?

4

c If the part has Key Characteristics, have a Gage R&R and capability study been


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performed?d If the key characteristic has a Cpk < 1.33, does the Control Plan follow the

requirements of the Continuous Process Monitoring Matrix?e Are cleanliness requirements documented on the Control Plan?

5 Are the Process flow diagrams, PFMEAs, Capability Studies, and Gage R&Rscontrolled and up-to-date?

6 Are other pertinent process control documents up-to-date? (Examples: processsheets, inspection and test instructions, standard operating procedures, preventivemaintenance instructions)

7 Are Suppliers' (sub-tier) documentation of the above (questions 1-6) for keycharacteristics controlled and up-to-date?

8 Are computer programs used in the manufacturing process secure, controlled andbacked up? (Examples: CNC & PLC programs).

B. Material and Process Control9 a Is the Control Plan applied at each operation and being followed, from incoming

material to shipping?b Is the frequency of inspection being performed as described in the Control Plan?c Are the inspection method and equipment being used as described in the Control

Plan?d Do the operator instructions reflect the requirements of the Control Plan?

10 Do the sample size, frequency and sampling method take into account the sourcesof variation? (Examples: multiple machines or fixtures for same characteristic, multi-cavity molds for the same part, and changes over time, like tool wear andenvironment)

11 Are other pertinent process control documents in place and being followed?(Examples: process sheets, inspection & test instructions, standard operatingprocedures, preventive maintenance instructions)

12 Is inspection data retained and stored appropriately?13 Are instructions included for packaging to protect the parts (both in-process & final)

from damage & contamination, & are they followed?14 Are operators properly trained to perform their operations? Are appropriate

personnel properly trained for performing work involving key product and processcharacteristics (especially for special processes)?

C. Tools / Gages15 Is there an understanding of which tools/gages are needed for each operation, and

are the needed tools/gages at the work station?16 Are any tools/gages being used or needed but not called out?17 Does the operator understand the proper use of the tools/gages and is he/she using

them properly?18 Is equipment, including tooling, properly maintained?19 Are all the gages calibrated and records retained?20 Do Gage R&R studies have acceptable results?D. Corrective Action21 Is the Reaction Plan listed on the Control Plan effective & being followed?22 Is there an adequate process for isolation & control of non-conforming material (inc.

Customer Notification) & is it being followed?23 Is an effective closed-loop corrective action process, including identification of root

causes, fully implemented? Does the supplier use NCCA, as appropriate?E. Change Control24 What is the change control process, and is it effective? (All part and process

documentation, including Control Plans, must be updated.)25 Are Change Control Procedures followed in accordance with JDS-G223 (Supplier

Change Request)? Does this include applicable sub-tier suppliers?F. Scoring Summary

Total PointsPercent of Total Points Available (NA questions are excluded.)

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33 Contact InformationIf you have suggestions for improvements to the John Deere Supplier Quality Manual please contact yourJohn Deere Supply Management or Quality Representative.

Administration and maintenance of John Deere standards is available through JD Supply Network:https://jdsn.deere.com/wps/myportal/jdsn/My_JDSN?WCM_GLOBAL_CONTEXT=/wps/wcm/myconnect/jdsn_website/jdsn/business+processes/product+delivery/jd_standards/jd_standards_unit_list

34 ReferencesThe following books, publications, and web sites are referenced in this manual:

1. Advanced Topics in Statistical Process Control ©, Donald J. Wheeler, SPC Press, 1-800-545-8620,http://www.spcpress.com

2. ASQ Glossary and Tables for Statistical Quality, American Society for Quality, 1-800-248-1946,http://www.asq.org

3. ASTM Manual on Presentation of Data and Control Chart Analysis, 7th Edition ©, http://www.astm.org

4. Concepts for R&R Studies, Second Edition ©, Larry B. Barrentine, ASQ Quality Press, Milwaukee,Wisconsin, http://qualitypress.asq.org

5. International Quality Institute, Inc., SPC for Short Runs curriculum, GOAL/QPC, 13 Branch Street,Methuen, MA 01844, 1-800-643-4316, http://www.goalqpc.com

6. ISO/TS 16949, Implementation Guide, Automotive Industry Action Group, 26200 Lahser Rd Suite200, Southfield, MI 48034 (248)-358-3003, http://www.aiag.org

7. John Deere Supply Network: http://jdsn.deere.com/

8. Juran’s Quality Control Handbook, 5th Edition, McGraw Hill

9. Measurement Systems Analysis, Automotive Industry Action Group, 26200 Lahser Rd Suite 200,Southfield, MI 48034, 1-248-358-3003, Web site: http://www.aiag.org

10. Potential Failure Modes and Effects Analysis, Third Edition, Automotive Industry Action Group, 26200Lahser Rd Suite 200, Southfield, MI 48034, 1-248-358-3003, Web site: http://www.aiag.org

11. Process Quality Control, 4th Edition ©, Ellis R. Ott, Edward G. Schilling and Dean V. Neubaurer,American Society fro Quality, Quality Press, Milwaukee

12. Production Part Approval Process, Fourth Edition, Automotive Industry Action Group, 26200 LahserRd Suite 200, Southfield, MI 48034, 1-248-358-3003, http://www.aiag.org

13. Quality Improvement Pocket Guide, Juran Institute, Wilton, Connecticut, 1-800-338-7726

14. Quality Planning Pocket Reference, Juran Institute, Wilton, Connecticut, 1-800-338-7726

15. ASME B89, American Society of Mechanical Engineers, http://www.asme.org/

16. Statistical Process Control Second Edition ©, Automotive Industry Action Group, 26200 Lahser RdSuite 200, Southfield, MI 48034, 1-248-358-3003, http://www.aiag.org

17. Statistical Quality Assurance Methods for Engineers ©, Vardeman and Jobe, John Wiley

18. The Management and Control of Quality, 3rd Edition ©, Evans & Lindsay, West Publishing Company

19. The Memory Jogger II, GOAL/QPC, 13 Branch Street, Methuen, MA 01844, 1-800-643-4316,http://www.goalqpc.com



http://www.spcpress.com/

http://www.asq.org/

http://www.astm.org/

http://qualitypress.asq.org/

http://www.goalqpc.com/

http://www.aiag.org/

http://jdsn.deere.com/




http://www.asme.org/


http://www.goalqpc.com/

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ASummary of Changes from Previous Edition

(For Information Only — Not Part of the Standard)

7.2.1 Quality Plan Levels

7.2.1.1 Key Characteristics Product and Process

7.3.2 Component Reliability Assessment Process and V2 Net Process

8.2.4 Monitoring and Measuring of Product- Ppk and Cpk clarification

8.5.3 Preventive Action- Added "FMEA items with RPN > 100, or severity > 9 require follow-up"- DMAIC replaced with DMADV

Additional Audit Types (Forms, starting in Section 9)- Additional Sections

8.2.2.1 Quality Management System Audit8.2.2.2 Manufacturing Process Audit

Process Verification Audit (Form 32 Page 85)Special Process Audit (not in manual but will be linked to forms)

Forms - (starting in Section 9) Additions / RevisionsForm 10 PPAP requirements based on PLQPForm 12 Component Performance & Reliability AssuranceForm 22 Updated Continuous Process Monitoring MatrixForm 31 Supplier Product Engineering Audit Flowchart

Forms - (starting in Section 9) Deletion: Comparison Matrix for JDS-G223, TS 16949,ISO 9001:2000, and QS9000, Third Edition