English

John Deere Standard
APPROVED FOR SUPPLIER DISTRIBUTION
JDS-G223
Supplier Quality Manual

TABLE OF CONTENTS Section/Title 1 2 3 4 Page Vision .....................................................................................................................................................3 Goal........................................................................................................................................................3 Purpose..................................................................................................................................................3 Quality Management System.................................................................................................................3
4.1 General Requirements...........................................................................................................................4 4.2 Documentation Requirements ...............................................................................................................4 5 Management Responsibility...................................................................................................................6 5.1 Management Commitment ....................................................................................................................6 5.2 Customer Focus.....................................................................................................................................6 5.3 Quality Policy .........................................................................................................................................7 5.4 Planning .................................................................................................................................................7 5.5 Responsibility, Authority and Communication .......................................................................................7 5.6 Management Review .............................................................................................................................8 6 Resource Management..........................................................................................................................8 6.1 Provision of Resources ..........................................................................................................................8 6.2 Human Resources .................................................................................................................................9 6.3 Infrastructure..........................................................................................................................................9 6.4 Work Environment .................................................................................................................................9 7 Product Realization - Enterprise Product Delivery Process ..................................................................9 7.1 Planning of Product Realization.............................................................................................................9 7.2 Customer-Related Processes..............................................................................................................11 7.3 Design and Development ....................................................................................................................16 7.4 Purchasing ...........................................................................................................................................18 7.5 Production and Service Provision........................................................................................................19 7.6 Control of Monitoring and Measuring Devices.....................................................................................20 8 Measurement, Analysis and Improvement ..........................................................................................21 8.1 General ................................................................................................................................................21 8.2 Monitoring and Measurement ..............................................................................................................21
Issued: June 1998 Revised: 2009-03-12 Term Code: Supersedes: 2009-02-16 Design Control: DT Page 1 of 88
John Deere Standards are intended for use by Deere & Company, its divisions and subsidiaries. Suppliers who rely on them in furnishing 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 and Deere & Company disclaims all responsibility for results attributable to the application of or compliance with such standards. The Company makes no representation, express or implied, that conformity ensures compliance with applicable law or other rules or regulations. Further, those who are in receipt of and elect to use the standards, agree to assume the responsibility for compliance with 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.
JDS-G223
8.3 Control of Nonconforming Product ......................................................................................................27 8.4 Analysis of Data ...................................................................................................................................28 8.5 Improvement ........................................................................................................................................28 9 Process Control Flow Chart PDP and Initial Production...................................................................31 10 Production Part Approval Process (PPAP) Requirements ..................................................................32 11 Change Request and Verification Warrant Form.................................................................................33 12 Major Component Reliability Assessment Process and Form.............................................................35 13 Product Verification & Validation Plan V2 Net Data .........................................................................37 14 Design, Process, and Assembly Review Form....................................................................................40 15 Initial Sample Inspection Report (ISIR) Dimensional and Material Results......................................43 16 Capability Study Form..........................................................................................................................44 17 Control Plan Checklist and Form .........................................................................................................45 18 Appearance Approval Report ..............................................................................................................48 19 Performance Test Results ...................................................................................................................49 20 Corrective Action Request Form..........................................................................................................50 21 Engineering Deviation Authorization Checklist and Form ...................................................................51 22 Process Evaluation - Continuous Process Monitoring Matrix.............................................................53 23 Six Sigma Conversion Table for Variable Data ...................................................................................57 24 Process Control Methods.....................................................................................................................58 25 Suggested Quality Tools......................................................................................................................59 26 Glossary...............................................................................................................................................61 27 Engineering Standards ........................................................................................................................63 28 Supplier Information Survey ................................................................................................................64 29 Red Flags Supplier Quality System Survey.........................................................................................71 30 Supplier Quality System Audit Questionnaire......................................................................................73 31 Product Engineering Audit Flowchart and Questionnaire....................................................................81 32 Process Verification Audit Questionnaire ............................................................................................85 33 Contact Information..............................................................................................................................87 34 References...........................................................................................................................................87 Summary of Changes from Previous Edition (For Information Only Not Part of the Standard) ....................................................................................88
JDS-G223
The adoption of a Quality Management system should be a strategic decision of an organization. The design and implementation of an organizations quality management system is influenced by varying needs, 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 are certain requirements in this standard that require compliance regardless of the state of the Suppliers quality system. The requirements identified with a key are very critical. Noncompliance with these requirements 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.
Vision
Our vision is for all John Deere Suppliers to implement and maintain a quality system that allows them to produce and deliver to John Deere globally competitive products and services clearly seen by our customers as superior in performance and value. Our suppliers shall conduct business with a high degree of integrity and in a socially and environmentally responsible manner in accordance with the John Deere Supplier Code of Conduct, which can be viewed at http://www.deere.com/suppliercode/.
Goal
The goal of the John Deere Supplier Quality Manual is to provide a uniform method for all John Deere units to communicate general requirements, expectations, and guidelines to the supply chain. This supports the John Deere Achieving Excellence purposes: continuously measuring supplier performance, rewarding improvements, and recognizing suppliers' outstanding efforts; embracing proactive quality planning as a routine part of doing business; and helping suppliers' continuous improvement efforts.
Purpose
The John Deere Supplier Quality Manual has two purposes. First, this manual defines the fundamental quality system activities that John Deere units expect from suppliers and their supply chain to ensure ongoing quality planning, control, and improvement. Secondly, suppliers can use the manual as an aide in further developing their own quality systems. In many sections throughout the manual, instructions can be found not only on what the requirements are, but how to meet the requirements. John Deeres commitment to integrating suppliers as team members creates the distinctive John Deere Experience 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.
Quality Management System
John Deere realizes that many suppliers are registered or are currently pursuing registration/compliance to 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 and format 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 Automotive Management Standard, ISO/TS 16949. This manual represents the minimum requirement for John Deere. John Deere units may require registration to more stringent standards. Many of the activities referenced 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 is recommended that suppliers obtain copies of the AIAG manuals. John Deere units will continue to move towards the requirements of ISO/TS 16949 and further embrace the philosophies of continuous improvement. Through executing the proper quality planning activities, John Deere and our supply base will be able to install control measures to eliminate the issues that lead to customer dissatisfaction. 3
JDS-G223
To achieve continuous improvement, John Deere expects our suppliers to embrace a sound quality system and to work with us in a spirit of trust, cooperation, and teamwork. JDS-G223 establishes expectations for quality activities, while recognizing that each John Deere unit has unique customer needs. This manual is not intended to replace a suppliers existing quality system. Suppliers should perform a self-evaluation to determine where their quality system aligns with this manual, and should also perform an evaluation of their supply chain. As included in the terms and conditions, acceptance of a John Deere purchase order constitutes acceptance of the requirements of this manual. Suppliers should require similar terms and conditions with their supply chain. Suppliers are expected to discuss and understand the specific applicability of these requirements with their John Deere representatives and their applicable supply chain in order to make effective business decisions.
4.1
General Requirements
The supplier shall establish, document, implement, and maintain a quality management system and continually improve its effectiveness in accordance with the requirement of this John Deere Supplier Quality Manual. The supplier shall: Identify the processes needed for the quality management system and its application throughout 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 the requirements of this John Deere Supplier Quality Manual. Adhere to the John Deere Supplier Code of Conduct Where an organization chooses to outsource any process that affects product conformity with requirements, the organization shall ensure control over such processes, including control of raw material. 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 for management activities, provision of resources, product realization, and measurement.
4.2
4.2.1
Documentation Requirements
General 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.
The quality management system documentation shall include:
4.2.2
Quality Manual 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. 4
The supplier shall have a Quality Manual that is a controlled document and includes the following:
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4.2.3
Control of Documents
A supplier shall establish and maintain documented procedures to control all documents and data of external origin such as standards and customer drawings. For specifications referenced within a document, a supplier shall have currently released editions of these documents available at all appropriate 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 a supplier-controlled drawing and this drawing is changed, the supplier shall notify John Deere by furnishing a 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://jdsupply.deere.com/business_processes/product_delivery_process/jd_eng_standards/jd_eng_stan dards_index.htm. Suppliers shall use the most current standards, to understand them, and to review changes to standards. Suppliers can review changes to standards by selecting Whats New on the John Deere Standards site listed above or via this URL: https://jdsupply.deere.com/business_processes/product_delivery_process/jd_eng_standards/whats_new/ whats_new.htm 4.2.4 Control of Records
All quality records shall be kept for at least three years unless otherwise specified in the suppliers quality manual and agreed to by John Deere. These records shall be stored in an environment that protects documents from deterioration and are readily accessible upon request by a John Deere representative. It is also expected that the supply chains records pertaining to John Deere product shall be retained in the same 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
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5 Management Responsibility
Top management is required to take an active role in the quality management system. This commitment shall 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 Commitment
A 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 and improvement of the quality management system by: Communicating to the organization the importance of meeting customer as well as regulatory and 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 European Foundation for Quality Management. Each business process should detail the roles of management.
5.2
Customer Focus
Top management shall ensure that customer needs and expectations are determined, converted into requirements, and fulfilled with the aim of achieving customer satisfaction. Needs and expectations of John Deere include conformance to design and performance specifications, reliability, delivery, cost management, wavelength, and technical support. 6
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5.3
Quality Policy
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.
Top management shall endorse a written quality policy that:
5.4
Planning
Top management shall ensure that quality objectives are established for the appropriate functions and levels. The quality objectives shall be measurable and consistent with the suppliers quality policy. John Deere expects the supplier to have a structured quality planning process. This long-term quality plan 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), and other continuous improvement methods and activities.
5.5
5.5.1
Responsibility, Authority and Communication

Responsibility and Authority
A quality management system shall be implemented in order to provide confidence that the organization can satisfy the needs of its customers. The system should be consistent with the size, culture, and products of the organization. A supplier shall show evidence of a quality policy emphasizing continuous quality improvement driven by top management through preventive and corrective action. A copy of a long-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 them and monitor for trends. Improvement activities should be based around these trends. 7
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5.5.2 Management Representative
Top management shall appoint member(s) of management who shall have responsibility and authority for planning, 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 functions regarding the processes of the quality management system and their effectiveness. This communication may take the form of team meetings, bulletin boards, publications, electronic media, or other techniques.
5.6
5.6.1
Management Review
Management Review - General
The suppliers management shall use internal audits to evaluate the degree of compliance and effectiveness of the quality system. The supplier shall have a documented program to perform internal audits. The results of the audits shall be documented and retained for at least three years. These audit records shall be made available to John Deere personnel for review upon request. A formal corrective action process (See Section 8.5.2) that includes root cause determination shall be used to correct deficiencies. Subsequent audits shall include verification of corrective actions. The supplier shall have internal 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 related to: 5.6.3 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.
Review Output
The outputs from a management review shall include supporting and leading actions addressing deficiencies relating to: Improvement of the system and its processes; Improvement of product related to customer satisfaction; Resource needs.
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6.1
Resource Management
Provision of Resources
Employees shall be qualified for the job they perform through education, training, or work experience and be knowledgeable of appropriate quality tools and processes that affect the quality of products and services provided to John Deere. Further, employees shall be provided with the equipment, facilities and a work environment conducive to producing high quality products and services that consistently meet functional requirements and product specifications and provide genuine value to John Deere and our customers. 8
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A Supplier shall develop a quality management system and resource management plan that demonstrates a commitment to continuous improvement as described in Section 4 of this manual. The resource management plan shall provide for the evaluation of the resources needed to implement and improve the processes of the quality management system and customer satisfaction. The resource management plan shall also include the evaluation of the skill level of employees to determine their understanding of quality tools and processes and their ability to apply these tools relevant to their job. (See Section 25).
6.2
Human Resources
A supplier shall provide a system of ongoing monitoring of each employees education, training and work experience and provide opportunities for training and continuing education to improve employees skill level. (Contact your John Deere Supply Management representative for availability of classes.) The training shall provide employees with an awareness of the relevance and importance of their activities and 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 Delivery Process Supply Chain Integration are available at this URL: https://jdsupply.deere.com/supplier_training/supplier_training.htm
6.3
Infrastructure
A supplier shall provide and maintain facilities, equipment, workspace, hardware, software, and support services to achieve conformity to product specifications and functional requirements.
6.4
Work Environment
A supplier shall provide a work environment that supports quality objectives by identifying and managing human and physical factors that affect the quality of products and services provided to John Deere.
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7.1
Product Realization - Enterprise Product Delivery Process

Planning of Product Realization
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.
An effective and structured product realization planning process shall result in the determination of:
John Deeres product realization process is called the Enterprise Product Delivery Process or EPDP. It is the sequence of processes required to successfully produce a product or service that meets or exceeds the expectations of John Deere and our customers. The EPDP consists of six phases containing twentyone 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 EPDP Gate 6.
JDS-G223
7.1.1
Advanced Product Quality Planning
EPDP includes Advanced Product Quality Planning. Suppliers shall participate in Advanced Product Quality Planning activities, such as Design Reviews, FMEAs, and electronic build events for the purpose of collaboratively planning for product realization and preventing problems during physical builds. Key characteristics (See Section 7.2.1.1) are identified and recorded during the early stages of design and communicated to suppliers. Quality planning activities shall be completed for first physical builds, and updated for subsequent physical builds. Parts shall be production intent for physical builds (including those in EPDP Phase 4), and should be produced using production tooling in a production process, unless approved by the John Deere representative. Quality planning steps shall be repeated for parts that are supplied not using production tooling and processes. If there is a tooling or process difference between the actual parts used on the pre-production build versus the tooling or process for the production build, there shall be evidence of conformance to the specification and risk mitigation. After successful completion of the final phase of EPDP (Phase 6), the Order Fulfillment Process will be followed. The Order Fulfillment Process (OFP) at John Deere is a global process that is designed to deliver the right product at the right place at the right time. It begins with an estimate of retail sales and ends 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 under development, and related product information. 10
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7.2
7.2.1
Customer-Related Processes
Determination of Requirements Related to the Product
Specific quality planning activities are required for every new or revised part or process. At John Deere the Part Level Quality Planning (PLQP) activities help ensure that new products or processes, and changes 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, and complexity. 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. Based on the Quality Plan Level, the required quality activities are identified. One of the activities that can be required is the Design, Process, and Assembly Review (DPAR). A DPAR is a meeting which confirms all expectations of the products or services prior to a physical build. John Deere teams initiate this review as early as possible before tooling release. Multiple DPARs may be required for multiple physical builds, depending on the magnitude of change from one build to the next. DPARs may be conducted in person, or with the use of telephone and electronic communication. Parts or subsystems may be grouped together in a DPAR. Documentation of DPAR events shall be maintained. Production Part Approval Process (PPAP) requirements shall be clearly understood as an output of the DPAR. The PPAP requirements correlated to the QPL are in Section 10. The PPAP requirements shall be documented on a Verification Warrant Form (See Section 11). Where the supplier maintains design control of the product, the supplier shall form a team to conduct these reviews with their supply chain. The teams should include supply management, quality engineering, design engineering, supplier representatives, and any other personnel necessary to evaluate a suppliers capability to meet product or service requirements. Documentation of DPAR events shall be maintained by the design control entity. Examples of the items covered during this meeting are shown in the Design, Process, and Assembly Review Checklist (See Section 14). Action items shall be documented and tracked. 7.2.1.1 Customer-Designated Special Requirements A Key Characteristic is a product or process characteristic whose variation or targeting control is necessary to meet customer requirements and that directly or significantly impact customer satisfaction through compliance with government, country or industry standards and/or regulations, ability to perform its intended design requirements (form, fit, function, reliability, appearance), or manufacturability and ability to assemble. There are two types of Key Characteristics - Product and Process. For minimum process capability on key characteristics, see (See Section 7.5.1). A structured process shall be used to identify Key Characteristics and corresponding controls. Product key characteristics are those characteristics of a part whose variation within the design tolerance and/or specification can affect customer satisfaction. The selected measurable characteristics require extra 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-specification product key characteristics. Product key characteristics shall be identified by the symbol <KC> on a drawing, model, product specification and/or assembly specification. Product key characteristics on older prints may have been depicted through the use of a special symbol such as ) or . Process key characteristics are those characteristics of a process that significantly impact customer satisfaction and that require extra control, such as Process FMEA, Gage R&R, statistical process monitoring, control plans, and capability studies to manage variation and targeting to ensure that the product is within tolerance and/or specification. Process Key Characteristics can exist without corresponding Product Key Characteristics, and are not designated by a special symbol. Process Key Characteristics shall be documented on the Control Plan. 11
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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 from Design Reviews, FMEAs, and historical information. The supplier shall provide John Deere a Process Failure Modes and Effects Analysis (PFMEA) for each component with one or more key characteristics prior to the end of Phase 3 of the Enterprise Product Delivery Process shown in Section 7.1. Refer to Preventive Action, (See Section 8.5.3). The suppliers processes, process capabilities, PFMEA, and their supply chain capabilities and requirements should be reviewed during the DPAR. If key characteristics are not identified directly on the drawing, they may be documented in the DPAR Checklist (See Section 14). 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 suppliers processes, process capabilities, and PFMEA Review the suppliers 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 Deeres Restricted Materials List (e.g., asbestos or lead in paint) and/or other substances 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 for clarification on any unclear issue. From this meeting the supplier should acquire all of the information required to clearly understand John Deere requirements. The supplier should be prepared to address questions in this meeting and respond back to any unanswered questions on the date specified during the meeting. The supplier shall communicate to John Deere any changes that may affect the data documented in this review. 7.2.3 Customer Communication
The supplier shall identify and implement a communication plan with John Deere and with their supply chain 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 supplier shall ensure that relevant documentation is revised appropriately. The supplier shall also ensure that personnel involved in the realization of the product or service are made aware of the changed requirements. (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 material specification challenges. Materials that are commonly available in one geographical region may be difficult or excessively costly to obtain in another. The purpose of the next three paragraphs is to clarify the 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 the drawing-specified material. Determination that a material is equivalent requires a careful evaluation of all related specifications and characteristics. This review shall only be performed by individuals who are well versed in those particular materials, qualified to make that evaluation, able to provide supporting documentation (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 primary material 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-specified material, 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 allow the alternate material is required. Refer to Engineering Deviation Authorization Checklist and Form (See Section 18). Alternate materials will likely require changes to the manufacturing processes utilized to make or process parts. Processing areas like heat treatment, bending, forming, and welding will likely show the greatest differences when utilizing alternate materials. The subtleties of detail within the John Deere Material (JDM) specifications requires specialist training to interpret. Incorrect material substitutions can result in product failures. Any questions relating to the equivalence 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 process for 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 as indicated 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 may subsequently elect to require a submission for PPAP approval. The following tables specify when notification is required, and are taken from AIAG Production Part Approval Process Manual (See Section 34, Reference 12). They are reprinted from the PPAP Manual with permission of Chrysler LLC, Ford, and GM Supplier Quality Requirements Task Force.
Table 1 Planned Changes Requiring Notification Prior to Implementation

Requirement 1. Use of other construction or material than was used in the previously approved part or product. 2. Production from new or modified tools (except perishable tools), dies, molds, patterns, etc., including additional or replacement tooling. 3. Production following refurbishment or rearrangement of existing tooling or equipment. Clarification or examples For example, other construction as documented on a deviation (permit) or included as a note on the design record and not covered by an engineering change. This requirement only applies to tools, which due to their unique form or function can be expected to influence the integrity of the final product. It is not meant to describe standard tools (new or repaired), such as standard measuring devices, drivers (manual or power), etc. Refurbishment means the reconstruction and/or modification of a tool or machine or to increase the capacity, performance, or change its existing function. 13
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Requirement
Clarification or examples This is not meant to be confused with normal maintenance, repair or replacement of parts, etc., for which no change in performance is to be expected and post repair verification methods have been established. Rearrangement is defined as activity which changes the sequence of product/process flow from that documented in the process flow diagram (including the addition of a new process). Minor adjustments of production equipment may be required to meet safety requirements such as, installation of protective covers, elimination of potential Electro Static Discharge risks, etc. These changes can be made without customer approval unless the process flow is changed as a result of this adjustment. Production process tooling and/or equipment transferred between buildings or facilities in one or more locations. Suppliers are responsible for approval of subcontracted material and services that do not affect customer fit, form, function, durability, or performance requirements.
4. Production from tooling and equipment transferred to a different plant location or from an additional plant location. 5. Change of supplier for parts, nonequivalent materials, or services (e.g.: heat-treating, painting, plating) that affect customer fit, form, function, durability, or performance requirements. 6. Product produced after the tooling has been inactive for volume production for twelve months or more.
For product that has been produced after tooling has been inactive for twelve months or more: Notification is required when the part has had no active purchase order and the existing tooling has been inactive for volume production for twelve months or more. The only exception is when the part has low volume, e.g. service or specialty vehicles. However, a customer may specify certain PPAP requirements for service parts. Any change that affects customer requirements for safety, fit, form, function, performance, durability, and/or appearance requires notification to the customer. Note: The safety, fit, form, function, performance, durability, and/or appearance requirements should be part of John Deere specifications as agreed on during reviews. These changes would normally be expected to have an effect on the performance of the product.
7. Product and process changes related to components of the production product manufactured internally or manufactured by suppliers that impact safety, fit, form, function, performance, durability, and/or appearance of the salable product. Additionally, the supplier shall concur with any requests by a subcontractor before submission to the customer. 8. For bulk materials only: New source of raw material with special characteristics from new or existing subcontractor. Change in product appearance attributes where there is not appearance specification. Revised parameters in the same process (outside PFMEA parameters of the approved product, includes packaging). Change outside of DFMEA (product composition, ingredient levels) of the
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Clarification or examples
Requirement approved product. 9. Change in test/inspection method new technique (no effect on acceptance criteria). Submission to Customer
For change in test method, supplier should have evidence that the new method provides results equivalent to the old method.
The supplier shall obtain PPAP approval prior to the first production shipment in the following situations unless the responsible product approval activity has waived this requirement (see Table 2). Conditional Approval may be granted to authorize limited production shipments when there are outstanding PPAP requirements. The supplier shall review and update, as necessary, all applicable items in the PPAP file to reflect the production process, regardless of whether or not the customer requests a formal submission. The PPAP file shall contain the name of the responsible customer product approval activity person granting the waiver and the date.
Table 2 Changes Requiring PPAP Approval Prior to First Production Shipment

Requirement 1. A new part of product (i.e. a specific part, material, or color not previously supplied to the specific customer). Clarification or examples Submission is required for a new product (initial release) or a previously approved product which has a new or revised (e.g. suffix) product/part number assigned to it. A new part/product or material added to a family may use appropriate PPAP documentation from a previously fully approved part within the same product family. Submission is required to correct any discrepancies on a previously 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 issues Submission is required on any engineering change to production product/part design records, specifications or materials.
2. Correction of a discrepancy on a previously submitted part.
3. Engineering change to design records, specifications, or materials for production product/part number(s). 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 and written request (using JDSN Collaboration or Change Request Form) with acceptance to proceed from John Deere prior to implementation. (See Section 7.5.2) The supplier shall ensure that proper notifications of changes by their supply chain are communicated as well. See Change Request and Verification Warrant (See Section 11) for additional change request information. PPAP approval is required prior to shipping parts.
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JDS-G223
7.3
7.3.1
Design and Development

Design and Development Planning
Design Reviews shall be conducted periodically as the product or process is designed, first to identify how the design will work and how the various subsystems will work together, then later when more detail is available. Tools, such as Failure Mode and Effects Analysis, are used to identify problems and are used in an iterative fashion with Design Reviews. Design Reviews take place earlier than the DPAR in the 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, supply management, quality engineering, and materials engineering. Typical areas for discussion are designs, regulations, standards, product support, manufacturing processes, assembly techniques, and personal hazards. The review is documented and corrective action plans are developed and validated for any problems identified. Design reviews may be conducted at various stages of the design and development process to accomplish the outputs listed below and to periodically review the ability of the supply chain to fulfill requirements. When requested, the supplier shall participate in design reviews. Suppliers shall provide technical leadership for their product, assist in the identification of potential problems, and work with John Deere in correcting these problems. When design control of the product resides with the supplier, the supplier shall conduct such reviews and include representation from their supply chain and John Deere, as appropriate. Important outputs of the design review process are: 7.3.2 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
Design and Development Inputs
Design verification and validation plans are developed to ensure that the product design shall meet the objectives for performance and reliability that have been established resulting in a product that meets or exceeds defined customer needs. John Deere and the supplier jointly develop the Product Verification and 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 performance characteristics. 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 template provided by the John Deere representative from the John Deere V2 Net System. Refer to Product Verification & Validation Plan V2 Net Data (See Section 13). The completed form shall be returned to John Deere so the data can be imported into the John Deere V2 Net System for documentation and tracking purposes.
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If requested, the supplier shall assist in conducting the PV&V activities either at John Deere or the suppliers 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 understand appropriate engineering standards (See Section 27). Also, John Deere may conduct a Product Engineering Assessment (See Section 31) for components with Quality Plan Levels 3 when the supplier has component or subsystem design control. This assessment is normally done as part of a Supplier Quality System Audit (See Section 30). Higher component reliability is vital to improved profitability and customer satisfaction. A reliable machine starts with reliable components. To achieve component reliability, John Deere may provide suppliers a component reliability goal. In this case, the supplier shall provide statistical evidence that the component goal is met. The Major Component Reliability Assessment Process assures component reliability goals are set and plans are created and executed to validate and demonstrate the ability to meet the goals. The Major Component Reliability Assessment Process (See Section 12) shall be used when directed by John Deere. Typically, the process will be used for components with a Quality Plan Level 3 (See Section 7.2.1) when the supplier has design control of a new component or when there are plans to use an existing component in a more severe application. If requested, the supplier shall complete and submit the Component Performance & Reliability Assurance Form to John Deere. (See Section 12) The supplier and John Deere shall sign this form when the component meets or exceeds its requirement(s), including reliability. This form should be signed before any 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 the design and development input and shall be approved prior to release. Design and development outputs shall; a) meet the input requirements for design and development, b) provide appropriate information for purchasing, production and for service provision, c) contain or reference product acceptance criteria, and d) 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 with planned arrangement; a) to evaluate the ability of the results of design and development to meet requirements, and b) to identify any problems and purpose necessary actions. Participants in such reviews 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 ensure that 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 Section 4.2.4). 7.3.6 Design and Development Validation
Design and development validation shall be performed in accordance with planned arrangements (See Section 7.3.1) to ensure that the resulting product is capable of meeting the requirements for the specified application or intended use, where known. Whenever practical, validation shall be completed prior to the delivery or implementation of the product. Records of the results of validation and any necessary actions shall 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 and controlled. In cases where design control resides with the supplier, the supplier shall take appropriate measures to communicate all their proposed changes and their supply chain proposed changes, via the Change Request and Verification Warrant to John Deere. The supplier shall evaluate the effect of any proposed changes to all constituent parts and completed products. This may be accomplished through a design review, failure modes and effects analysis, lab or field-testing, or other means, as determined jointly by John Deere and the supplier. The changes shall be approved by John Deere prior to implementation, see Customer Communication (See Section 7.2.3). The results of the review of changes and subsequent follow-up actions shall be documented.
7.4
7.4.1
Purchasing
Purchasing Process
As a primary supplier to John Deere, the supplier is responsible for the quality of the products and services provided by their supply chain. The requirements of this document should be extended to the suppliers supply chain. A supplier shall have a documented system to properly select suppliers with the capability to meet this standard and other applicable John Deere Standards. The initial supplier selection process for providers of products or services for John Deere shall include an on-site assessment. Assessments shall determine the supply chains capability to meet the requirements of this standard (JDS-G223). Suppliers shall monitor their supply chains performance. At times, it may be appropriate for the supplier to have their supplier(s) participate in John Deere initiated Design, Process, and Assembly Reviews and other quality activities. A supplier shall have a communication plan to notify their supply chain of the latest specifications and to verify the product on an ongoing basis. A change in the supply chain, or any process change by the supply chain that produces the John Deere product, requires appropriate quality planning, and John Deere notification prior to implementation. John Deere units require documented approval before implementation (See Section 7.2.3). 7.4.1.1 Regulatory Conformity The supplier shall own the patent or copyright that allows it to lawfully manufacture the product, or utilize the 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 the manufacturing process. The supplier shall have documentation to substantiate that it owns the requisite Intellectual Property rights, 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 will produce the product or utilize the manufacturing process, and the documentation to substantiate that its Intellectual Property Rights are effective in the country where it will produce or utilize the manufacturing process. The duration of the requisite Intellectual Property shall be sufficient to cover the term of the proposed supply agreement. The supplier shall identify any third party Intellectual Property Rights that could interfere with the proposed supply agreement. Through discussion and physical testing verify that supplied products do not contain substances in excess of the amounts set forth on John Deeres 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 the John Deere Supply Network.
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JDS-G223
7.4.2
Purchasing Information
Purchasing documents of John Deere suppliers shall contain information describing the requirements for approval of the product and the qualification of the procedures, processes, specifications, equipment and personnel necessary to produce the product. 7.4.3 Verification of Purchased Product
Verification of purchased product shall be conducted using a documented quality assessment methodology. The primary supplier to John Deere is fully responsible for the quality of the products and services they provide, including that of the suppliers supply chain.
7.5
7.5.1
Production and Service Provision

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 maintain ongoing acceptable quality levels. Examples of process control documents are process sheets, inspection and test instructions, test procedures, standard operating procedures, preventive maintenance instructions, and specific part control plans. Process control documents shall be in place prior to initial production and be readily available to the employees responsible for the operation of the process. The key processing parameters, process and product key characteristics identified during Design Reviews, FMEAs, and DPARs shall be addressed in the process control documents, including a control plan. Process control documentation or control plans shall 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 Deere representative. If minimum process capability for a key characteristic has not been demonstrated the Continuous Process Monitoring Matrix shall be used to determine required activities, refer to Process Evaluation (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 output cannot be verified by subsequent monitoring or measurement. This includes any processes where deficiencies 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: (See Section 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 or rejects 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 are outstanding PPAP requirements. PPAP requirements shall be completed prior to full production, EPDP Phase 5.
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JDS-G223
7.5.3 Identification and Traceability
A supplier shall establish and maintain documented procedures for product identification. The supplier shall have product traceability to the extent required so that if a discrepancy is found, product can be contained and corrective action initiated. Identification is a process to identify product during all stages of production. Traceability allows for parts to 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 is under the supplier's control or being used by the supplier. The supplier shall identify, verify, protect and maintain John Deere property provided for use or incorporation into product. Occurrence of any John Deere property that is lost, damaged or otherwise found to be unsuitable for use shall be recorded and reported to John Deere. Processing equipment, tooling, and measuring equipment / fixtures owned by John Deere are covered under this section. 7.5.5 Preservation of Product
The supplier shall preserve conformity of product with customer requirements during internal processing and 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 and Packaging of Service Parts. Refer to Engineering Standards, (See Section 27).
7.6
Control of Monitoring and Measuring Devices
Gaging Selection In selecting measuring equipment, John Deere is concerned with the capability of the measurement system to detect and indicate even small changes of the measured characteristic. The measuring equipment selected should have a discrimination of less than one-tenth of the total product tolerance being measured. Calibration A supplier shall establish and maintain documented procedures for the calibration, control, and maintenance of measuring, inspection, and test equipment used to assure that products and processes conform to applicable requirements. A supplier shall calibrate these devices at consistent periodic intervals against applicable standards with known traceability, and safeguard them against adjustments that would invalidate the calibration. Whenever a gage is found out of calibration and it has been used to verify 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. They remain the property of John Deere, who shall provide a gage drawing with the gage for the suppliers records. After the receipt of John Deere gages, a supplier shall calibrate, repair, and replacement of nonconforming 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 of a gage system as a percentage of the total specification. The personnel who will be using the measuring instrument in production should always conduct the Gage R&R study. John Deere recommends that Gage R&R studies be performed whenever production personnel using the measuring instrument are changed. The method for performing the Gage R&R study is either the Range Method or the ANOVA method, 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 require gage R&R studies unless otherwise specified by John Deere. Attribute gages shall be checked periodically for accuracy. For non-dedicated gages such as coordinate measuring machines, a repeatability and reproducibility analysis shall be conducted utilizing specific part programs on all key characteristics 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 process characteristics. Studies on families of gages or equipment are not acceptable, unless the study uses an industry-approved methodology such as found in Concepts for R&R Studies (See Section 34, Reference 4). Some types of equipment, such as flow meters and hardness testers do not lend themselves to Measuring System Analysis. This type of equipment shall be identified in the calibration program and verified at a specified frequency using traceable standards. Total variation is the ratio of the uncertainty of the repeatability and reproducibility of the gaging system to the tolerance range of the characteristic to be measured. If the total variation of the repeatability and reproducibility 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 30 percent, John Deere shall be contacted for approval. A gage shall be proven repeatable and reproducible before it can be used in a capability study or is used to accept or reject parts. If the gage system fails, the supplier shall take corrective action to make the gage measurements repeatable and reproducible.
8
8.1
Measurement, Analysis and Improvement

General
Measurement, analysis and improvement is the process of planning, defining, and using performance metrics in processes and products critical to John Deere. These performance metrics are used to determine the current level of performance, drive continuous improvement activities, and monitor longterm performance levels. Critical to the use of these performance metrics are statistical tools. These statistical tools are not only used 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 of products or services John Deere receives.
8.2
8.2.1
Monitoring and Measurement

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 satisfaction performance should be reviewed and improvement activities developed around the data. Customer satisfaction improvement activities should utilize a structured process improvement technique. John Deere will use the Achieving Excellence process (and its associated metrics) and warranty data to measure our satisfaction with the suppliers performance. Suppliers shall use this data to drive improvements in John Deeres 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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JDS-G223
John Deere reserves the right to conduct a quality system assessment at the suppliers facility. When performing this assessment, John Deere would expect access to a suppliers personnel, documentation, gaging, and test facilities. At the close of the assessment, John Deere will share findings in a debriefing meeting and issue a report to the supplier summarizing the results. Any items requiring corrective action shall be clearly noted, and the supplier shall submit a corrective action plan to address these issues within 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 quality system assessment. John Deere may conduct a Product Engineering Assessment (See Section 31) for components 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 the on-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 (JDSG223) 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 Process Verification Audit Questionnaire (See Section 32). This on-site supplier quality audit is intended for parts with a high level of criticality to determine the effectiveness and conformance of process controls when performing work for John Deere. The work performed can include manufacturing operations at the suppliers facility or operations sub-contracted to the suppliers supply chain. This audit may also be performed 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 conformity to all specified requirements, such as product dimensions, functionality, packaging and labeling, at a defined frequency. 8.2.3 Monitoring and Measurement of Processes
A supplier shall determine and implement measurements necessary to monitor processes critical to customer satisfaction. Mistake proofing activities should be the first method of control considered. If mistake 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 Control charting should be used on key process control variables in order to eliminate the possibility of producing deficiencies. The charting of the monitored variables should be completed by the person(s) able to take action on the process. A written procedure describing actions to take when out-of-control conditions exist shall be present. Documentation shall exist showing evidence that proper techniques were followed by the owner(s) of the process(es). Review of process monitoring techniques shall be made available to John Deere personnel upon request. This section not only applies to manufacturing processes, but also to 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 properly and 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 that are identified by John Deere and the supplier in the quality planning process (for example, during Design Reviews, Failure Modes and Effects Analysis, and/or Design, Process, and Assembly Reviews.)
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JDS-G223
Process capability studies are conducted to provide insight into how well a process performs in regard to a customer specification. The understanding and quantification of process centering and variation is necessary 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 a statistical control chart, and (2) the normal distribution model adequately describes the measured characteristic. If these assumptions are violated the capability index is of little value. Refer to AIAG SPC Manual (See Section 34, Reference 16) states on page 132: Cpk and Cp should always be evaluated together. A Cp value significantly greater than the corresponding Cpk indicates an opportunity for improvement by simply centering the process. It is recommended that capability studies use a minimum of 30 pieces taken from a stable, in control process unless John Deere specifies otherwise. However, because of sampling variation in the standard deviation it is recommended that when possible, sample sizes of 50 to 75 be used for better estimates of stability and normality assumptions. The data for these studies should be obtained using variable gaging meeting Gage R&R requirements. John Deere approval is needed for the use of attribute gaging on key characteristics. Key characteristics measured with attribute gages are not required to have Attribute Gage Studies performed unless required by the John Deere representative. If an Attribute Gage Study is required, 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) distribution adequately describes the characteristic. This can be done using a histogram and/or a normal probability plot. If the stability and normality assumptions must be rejected, (1) the capability ratios have little relevance for describing the process, and (2) the confidence interval methodology presented below is completely unreliable. Numerous software packages prepare both histograms and probability plots. If the process is statistically stable and normally distributed, then the typical capability index calculations may 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 processs performance over time. A good way of estimating the uncertainty in the point estimate is by calculating a Lower Confidence Limit for the point estimate. This is a useful technique to show how sample size and other constraints affect the point 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, 185 and 203 are very important. There are many different process indices in the quality literature. Selecting the appropriate index depends on the source of data. In the Order Fulfillment Process your data should come from control charts and sigma is estimated by R / d 2 . In EPDP (See Section 7), your data will be coming from smaller sample sizes (minimum of 30) and sigma is estimated by . AIAG (See Section 34, Reference 16) refers to both capability indices (Cp and Cpk) using R / d 2 and performance indices (Pp and Ppk) using . (The formula for Cp only considers variability, where the Cpk considers both the variability and the centering of the process.) The following matrix summarizes indices required by John Deere, and the matrix shows that the choice of index depends on (1) where the estimate of sigma comes from ( R / d 2 or ) and (2) if the index considers spread or spread combined with process centering.
Table 3 Indices Matrix

Indices Capability Indices estimated during Order Fulfillment Process Performance Indices estimated during Enterprise Product Delivery Process Concerned with Only Process Spread (Process Potential) Cp Pp Concerned with Process Spread and Centering (Process Performance) Cpk Ppk
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The following diagram illustrates process measures before and after full production at John Deere. In particular 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 the data is used to calculate the long term capability using sample standard deviation, . This statistic, , is called the Total Process Variation and includes both within-subgroup and between-subgroup variation and uses all of the readings obtained from either a detailed control chart or a process study. The two calculated performance indices are Pp and Ppk.
USL LSL Pp = 6
X closest spec Ppk = 3

=
(x x )
n 1
Once production has begun and larger samples are collected then the Capability Indices, Cp and Cpk are usually calculated using only the within-subgroup variation calculated by R / d 2 . The usual computing formulas 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.
USL LSL Cp = 6 R d2
X closest spec C pk =
3 R d2
All four process measures, Pp, Ppk, Cp, and Cpk, are valid only when the process is (1) stable and in a state of statistical control, and (2) the process output is approximately normally distributed. If either of these requirements are not met these indices can be very misleading. See page 136 of AIAG Statistical Process Control (See Section 34, Reference 16). The supplier shall perform the following activities to assure John Deere that the product being supplied is to specification: A supplier shall submit an Initial Sample Inspection Report (See Section 15), verifying all features 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 other characteristics that are identified by John Deere, whether produced internally or by the supply chain. Documentation requirements are listed in Section 10. The verification process prior to shipping products is documented in the quality plan. 24
JDS-G223
A supplier shall verify products according to the Control Plan (See Section 17) unless the John Deere unit does not require it. The control method called out in the Control Plan shall be determined from the capability of the process as specified in the Continuous Process Monitoring Matrix (See Section 22). For Process Control Methods (See Section 24). Control plans shall be available for all John Deere components with product and process key characteristics. A supplier shall track the material certification for John Deere part numbers, including: chemical and mechanical properties, hardness, plating, heat number and source mill, if appropriate. John Deere requires release inspection anytime the capability of the suppliers processes is in question. Documentation of conformance to this section shall be made available to John Deere personnel upon request.
The following steps are recommended for a minimum sample size of 30 continuous-piece study Refer to the Process Control Flowchart (See Section 9). The circumflex (^) over a value indicates a sample
statistic, such as C pk or Ppk .

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 and Moving Ranges (X-MR). A state of statistical control exists when a process is performing as consistently 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 curve adequately describes the data.
5. If the data passes steps 2 and 4 then calculate a Ppk .

6. Calculate an appropriate one-sided 90% lower confidence limit for the Ppk . See Statistical Quality Assurance Methods for Engineers, by Vardeman and Jobe, p. 213 (See Section 34, Reference 17). An approximate 100(1-) confidence limit for Ppk or C pk is:
C pk Z 1 9n + 2 Cpk 2n 2
Table 4 Confidence Limit Z Values

Percent of Confidence 90% 95% 99%
Z Value
1.28 1.64 2.33
Table 5 Lower & upper confidence limits on Ppk or Cpk at two levels for various sample sizes.
Sample Size (n) 5 10 20 30 50 Ppk or Cpk = 1.00 -95% Confidence +95% Confidence 0.37 1.63 0.58 1.42 0.71 1.29 0.76 1.24 0.82 1.18 25 Ppk or Cpk = 1.33 -95% Confidence +95% Confidence 0.52 2.14 0.79 1.87 0.95 1.71 1.03 1.63 1.10 1.56
JDS-G223
The only way to know if a capability target is met is to (1) make an X-MR chart, (2) graphically check for
the normal distribution, and (3) use a lower confidence limit for the Ppk . John Deere is moving toward six sigma processes, reference Section 23. You can convert the Ppk into the approximate six sigma scale by multiplying Ppk by 3 and adding 1.5. A Ppk of 1.33 is minimal, with a desired Ppk of 1.5 being the ultimate goal, for John Deere suppliers to assure a high level of defect free product. The following formulas are commonly used for performance and capability indices.
USL X X LSL Ppk = Min , 3 3 = ( X i X )2 n 1
USL X X LSL , C pk = Min 3s 3s R s= d2

At John Deere, world-class capability is defined as on target with minimum variance. Conformance to specifications is merely the starting point, not the finish line. If the process does not follow a normal distribution, a John Deere quality representative should be contacted. The capability study shall be documented, and the information listed in Section 16 Capability Study Checklist and Form should be included. Examples of inherently non-normal process measures include flatness, concentricity, tensile strength, casting hardness, and parallelism. Of the four indices described above, only Cp and Pp are robust with respect to non-normality. For non-normal process analysis 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 lend themselves 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 AIAG Statistical Process Control Manual (Reference 16).
Preliminary process performance Ppk should be conducted in the early stages of the Product
Development Process. The Preliminary Process Capability uses a process standard deviation ( or
R ). d2
Both C pk and P pk estimates of population capability and process performance assume the data come from a normal (bell-shaped) distribution with specification limit(s) about the target. These point estimates are subject to variation over time. The larger the sample used to estimate them, the smaller the
uncertainty in that estimate. The difference between
C pk and Ppk is the calculation of the sample
standard deviation ( ).
(
C pk is calculated by taking the Average Range and dividing by a constant d2
R ), which gives only a within subgroup estimate of the standard deviation. For the Ppk calculation d2
use at least 30 pieces and find an overall standard deviation, which will be larger than the one using the Average Range.
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JDS-G223
Process measures should be used to align the voice of the process with the demands from the voice of the customer. It is never appropriate to average capability or performance indices for several processes into one index. Production Sample Size Considerations John Deere requests that the supplier use a sampling plan for measurement data that insures no more than one days production would go undetected. Use the spreadsheet titled Sample Size & Control Limit Design on JD Supply Network. The Average Production Length to detection would be less than or equal to one days 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 control purposes. The process is known to have a mean of 100 mm with a standard deviation of 0.1 mm, and a Cpk equal to 1.33. John Deere consumes 250 pieces per day. Therefore, we want to detect a one sigma process 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. The spreadsheet 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 239 parts are produced for John Deere. Since 239 are fewer than 250 the plan provides the protection that John Deere requires.
8.3
Control of Nonconforming Product
The supplier shall establish and maintain documented procedures to ensure that proven or suspected nonconforming products are prevented from unintended use or installation. This control shall provide for identification, documentation, evaluation, isolation, disposition of nonconforming products, and for notification 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 contain substances in excess of the amounts set forth on John Deeres Restricted Materials Lis (e.g., asbestos or lead in paint) and/or other substances restricted by applicable laws. The list is located at: http://jdsupply.deere.com/business_processes/strategic_sourcing_process/strategic_sourcing_process_in dex.htm. If parts are found to be nonconforming at John Deere, the supplier shall provide the resources necessary to evaluate, contain, sort, reclaim, and/or scrap the nonconforming product. The supplier shall have a representative establish containment at the John Deere factory, material in transit, and at the supplier within 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 the suppliers responsibility to aid John Deere in evaluating and correcting the problem. John Deere shall be entitled to recover from the supplier all costs and expenses reasonably incurred in taking corrective action per the terms and conditions. When nonconforming product is corrected it shall be subject to re-verification to demonstrate conformity to 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 by appropriate personnel. 27
JDS-G223
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 be obtained from John Deere prior to shipment of the product. This request can be made using the Engineering Deviation Authorization Checklist and Form in Section 21. This applies equally to products or services purchased from the supply chain. The supplier shall concur with any requests from their supply chain before submission to John Deere. The supplier shall maintain a record of the expiration date and quantity authorized. The supplier shall also ensure compliance with the original or superseding specifications and requirements when the authorization expires. Each shipping container of deviated product shall be properly identified with the deviation number.
8.4
Analysis of Data
John Deere expects our suppliers to obtain appropriate data and apply statistical and problem solving techniques 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 suppliers supply chain) quality performance
Summarized quality performance should be made available to all of the suppliers employees. Quality performance 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, one suggested methodology is DMAIC. Define: Define the project goals and customer (internal and external) deliverables Measure: Measure the process to determine current performance Analyze: Analyze and determine the root cause(s) of the defects Improve: Improve the process by eliminating defects Control: Control future process performance
8.5
8.5.1
Improvement
Continual Improvement
Evidence shall demonstrate the use of data, past experience, and lessons learned to show continuous improvement of the quality management system.
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JDS-G223
8.5.2
Corrective Action
Corrective action eliminates the cause(s) of nonconformities in order to prevent recurrence. Suppliers shall 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 Team Purpose: To define the members of the team that can successfully resolve the problem. 2. D2 Problem Identification Purpose: To document all facts, research and field information that would quantify or describe the problem in detail. 3. D3 Containment Action & Short Term Corrective Action Purpose: Actions to isolate the effect of the problem from any customer until corrective action is implemented. To minimize the effect of any nonconforming product by containment, re-inspection, rework, etc., to verify conformance of current product. Identify and contain nonconforming product 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-use customer. 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 Cause Purpose: Scientific, complete breakdown of the Direct Cause, Contributing Causes and Root Causes of the problem. 5. D5 Choose and Verify Solution Purpose: Identification of solutions or actions that will eliminate the Root Causes as well as the Contributing Causes. Quantitative results confirming that the selected corrective actions will resolve the issue for the customer. 6. D6 Implement Permanent Corrective Action Purpose: Action taken in this phase will correct the root cause of the problem and prevent its recurrence. Implementation includes listing action steps, identifying responsible people and target dates for each action. This action shall be completed by the target date as specified by John Deere. 7. D7 Prevent Recurrence Purpose: Modifications to Management Systems, Operating Systems, practices, and procedures such as Process Control Plans, DFMEAs, PFMEAs, Work Instructions, Training Plans, Training Performed, Engineering Documentation to prevent recurrence of this and all similar problems. The responsible person or 8D team reviews all activity performed through resolution phases and confirms that all steps have been completed. It is recommended that the improvements resulting from the Eight Step Problem Resolution Process be replicated to like processes or products to assure the problem has been solved. 8. D8 Team Recognition Purpose: Acknowledgement from management of the good work done by the 8D team. This set is 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 of receipt, unless otherwise specified by the John Deere investigator. Each corrective action D-step shall be completed by the target date. A sample form is shown in Section 20 if NCCA is not available.
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JDS-G223
8.5.3 Preventive Action
Preventive action eliminates the cause(s) of potential nonconformities in order to prevent their occurrence. Preventive action focuses on building good quality into the product and processes to ensure that nonconforming products never reach the customer. Processes should be developed so employees can 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, design FMEAs, and process FMEAs. Preventive action activities shall be a part of the management review process. At a minimum, FMEA items with Risk Priority Number value > 100, or the severity is 9, require follow-up actions. 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 are available through the John Deere Supply Network website: http://jdsupply.deere.com. A supplier may use their own form(s), except for the Change Notification and Verification Warrant, as long as all identified John Deere requirements and information are addressed.
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JDS-G223
Process Control Flow Chart PDP and Initial Production

Drawing
(includes Key Characteristics) Can Key Characteristics be measured using Variable Gaging?
Yes
Identify Processes / Machines to be Used
1
DFMEA & PFMEA
Identify by number each key feature to be investigated (on John Deere supplied Print)
No Perform Attribute Gage R&R and refer to Continuous Process Monitoring Matrix (Section 24) Perform Gage R&R for all instruments used to assess product
No
Complete all requirements confirmed during DPAR
Gage R&R and Capability Study Data available on state of current process for similar parts?
3
Yes
NOTES 1. DPAR means Design, Process and Assembly Review 2. Approval of the capability analysis is specific to a certain part number on a certain process or machine. Any fundamental change to the process (moving location, or substituting machines) may require a new capability analysis as part of the PPAP submission. 3. In some cases, existing SPC or recent capability studies on parts with similar key characteristics may be used to demonstrate capability for a new part if there is not sufficient quantity of the new part ordered to complete the capability study. When sufficient quantities are ordered, capability on the new part key characteristics shall be demonstrated. 4. Some software tools are available to perform analysis if supplier doesn't currently perform R&R 5. Use Individual & Moving Range with mathematical test (available in Memory Jogger II, P 45) to verify stability and control 6. Perform statistical test for normality using Statistica or equivalent software. 7. For non-normal distributions, a non-normal analysis must be performed to calculate the appropriate Ppk value. 8. Process Index targets must be agreed to between supplier and John Deere prior to undergoing test. Calculate Process Indices Ppk Statistical Analysis exceeds target No Correct measuring process R&R<30% of Tolerance? Yes Sufficient Detail and Acceptable?
No
No Produce Parts on Production Machines / Tooling at Production Rates (i.e. Standard Procedures)
Perform steps to reduce spread, or institute stringent control method
Unstable
Evaluate for Stability and Control
Take measurements
Stable Fill out John Deere approved form with key feature, description and method of measuring (John Deere Control Plan, Section 11)
Yes
Perform analysis using alternate technique or contact John Deere Quality Representative 7
No
Normally Distributed?
6
Yes
Perform steps to reduce spread, or institute stringent control method Submit with completed Verification Warrant
Yes
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JDS-G223
10 Production Part Approval Process (PPAP) Requirements

The required Production Part Approval activities and documents will be specified by the John Deere representative. The requirements are determined by the Quality Plan Level (See Section 7.2.1). Table 10.1 lists submission and retention requirements. Unless otherwise specified, John Deere requires Section 4.2 Level 2 of the AIAG PPAP (p. 18) (See Section 34, Reference 12) to include the requirements listed in the table below. After the PPAP documents have been submitted, John Deere reviews the data and either Approves or Rejects the Verification Warrant. Approval is required prior to shipping production parts including all builds. Conditional Approval may be granted to authorize limited production shipments when there are outstanding PPAP requirements. Production Part Approval Requirements by Quality Plan Level AIAG John Deere Quality Requirement Complete By Level Plan Level 2 0 1 2 3 4 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 production 3. Customer Engineering approval, if R Prior to production required Design FMEA (Failure Modes and Prior to complete 4. R S Effects Analysis) design Prior to complete 5. Design Review S design 6. Design, Process, & Assembly Review S S S Prior to production (DPAR) Initiated by John Deere 7. Functional Geometry Review S S Prior to production 8. Process Flow Diagrams / Process Map R S S Prior to production 9. Process FMEA R S S Prior to control plan 10. Control Plan (including Checking Aids) R S S S Prior to production 11. Measurement System Analysis Studies R S S S Prior to use Gage R & R Studies for Key Characteristics 12. Initial Sample Inspection Report - ISIR S S S S S Prior to production (Dimensional Results) Material / Metallurgical / Functional / 13. S S S S S Prior to production Performance Results (as appropriate) Initial Process Studies Capability 14. R S S S Prior to control plan Studies 15. * Qualified Laboratory Documentation S Prior to production 16. Appearance Approval Report, if S S S Prior to production applicable (for JD Class A parts) 17. Verification Warrant S S S S S Prior to production 18. Experimental Part Inspection S S S Prior to production (Engineering) 19. Supplier Functional Verification Testing S S Prior to production Results 20. * Sample Product S 21. * Master Sample R 22. * Records of Compliance With R Customer-Specific Requirements S = The supplier shall submit to John Deere and retain a copy of records or documentation items at appropriate locations. R = The supplier shall retain at appropriate locations and make available to John Deere upon request. * If requested by John Deere, provide documentation. 32
JDS-G223
11 Change Request and Verification Warrant Form

John Deere requires Suppliers to electronically submit Change Requests on via JDSN Collaboration https://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 no manner changes the Suppliers original responsibility for ensuring that all characteristics, designated in the applicable engineering specifications, and/or inherent in the samples as originally tested and approved, are maintained. Supplier accepts full responsibility for the changes of types of changes listed above; and should such changes result in failure to meet customer requirements, Supplier shall be expected 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://jdsncollab.deere.com/sc. John Deere is responsible for providing a follow up date for any conditional approvals.
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JDS-G223
This is a sample form. For the latest version of this document, please refer to https://jdsupply.deere.com/.
Change Request -orVerification Warrant (Part Submission Warrant)

Part Number Part Name / Description: Originator: Supplier Name: Supplier Contact: Decision No Phone Phone: Revision Level Product Application: Fax: Supplier ID Code: Fax: * Attach documentation as needed Design/Material Change(s) *Supplier Change (new source, source manufacturing change, etc.) Please specify. *Other - Please Specify
Reason For Submission:

Initial Submission *Manufacturing Change (location, process, tooling, etc.) Please Specify Correction of Discrepancy (Resubmission)
Impact of Change:
Quality Improvement Proposed Implementation Date: Reduced Lead Time Increased Mfg. Efficiency Other
Submission Information:
Control Plan Capability Study (Cpk) Material Certification Material Test Results Part Design FMEA Special Notes:
Due dates in (DD MMM YY) Gage R&R Sample Parts Verification Test Process flow diagram Process FMEA ISIR (Initial Sample Inspection Report) Master Sample Appearance Approval Report Component Performance & Reliability Assurance Performance Test Results
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 the applicable John Deere Drawings and specifications and are made from specified materials on regular production tooling with no operations other that the regular production process. I have noted any deviations below: Production material, tooling, and processes used? Name (printed): Supplier Authorized Signature: Yes No (Explanation Required ) Title: Phone: Date:
FOR JOHN DEERE USE ONLY

Accept Change Request Reject Change Request
Signatures:
Approve Verification Warrant Conditionally Approve Verification Warrant Reject Verification Warrant
(For Conditional Approval only) Conditions:
Quality Engineer: Supply Management: Design Engineer (for supplier initiated design changes only) Materials Engineer (for supplier initiated material and/or special process changes) Other:
Date: Date: Date: Date: Date:
This approval is advisory and does not change the Supplier's responsibility for ensuring that all characteristics meet their specifications. The Supplier is still responsible for the changes. If the changes result in deficiencies not found in these approved items, the Supplier will reimburse Deere for the expenses needed to correct the deficiencies. This reimbursement for deficiencies may be defined in Warrant Agreements or specific contracts.
34
JDS-G223
12 Major Component Reliability Assessment Process and Form

The Major Component Reliability Assessment Process steps are shown below. Refer to Section 7.1 and Section 7.3.2. Develop Goals (end EPDP Phase 2 Milestone 5)
Develop Component Specifications (end EPDP Phase 2 Milestone 5)
Select Critical Component Supplier(s) (end EPDP Phase 2 Milestone 5)
Understand Critical Component Supplier(s) Performance (end EPDP Phase 3 Milestone 7)
Establish Component PV&V Plan with Supplier (Reference PV&V Plan Activity Template, Section 18) (end EPDP Phase 3 Milestone 8)
Verify Component Meets the Specification (Reference Component Performance & Reliability Assurance Form, in Section 12) (end EPDP Phase 3 Milestone 11)
Integrate Component into the Product (end EPDP Phase 4 Milestone 14)
35
JDS-G223
Component Performance & Reliability Assurance Form

Signoff to occur by PDP Leadership approval to start physical builds (Phase 3 Milestone 11).
Supplier Name: Supplier Address: City: State: Component Name: Component Part Number: Requirement Verification (Analytical) - Due Date (Optional): Requirement Verification (Prototype) - Due Date: Production Intent Prototype Due Date: Other Information:
Supplier Number: Zip Code:
Are PV&V Plan Results Acceptable? Attach appropriate documentation.
YES _____
NO ______
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 the component 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 or exceeds its requirement(s), including reliability. Can be lab or mule vehicle testing. Include statistical confidence level. Attach supporting documentation.
Supplier Representative Comments:
Date:
Signatures: John Deere Representative: Supplier Representative:
Date: Date:
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JDS-G223
13 Product Verification & Validation Plan V2 Net Data

# 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Verification and Validation (V2) Net Data Template Elements Description This field is for John Deere use only, suppliers leave blank. This number is provided automatically by the V2Net System. Activity Title Short description of the validation and verification activity. Limit to 100 characters. This is a required field. Category Select appropriate category description from the Category Type Matrix. This is a required field. Type Select appropriate activity type that corresponds to the selected category from the Category Type Matrix. This is a required field. Description Provide a detailed description of the activity. This is a required field. Machine / Component If appropriate, enter the serial number of the machine or component. Limit Serial Number to 50 characters. Actual % Complete Enter a number between 0 and 100 to reflect the percent of activity completion. Planned Activity Enter the number of days (between 1 and 200) the activity will take to Duration complete. Planned Start Date Enter the planned start date of the activity. Use dd-mmm-yy format. Planned End Date Enter the planned end date of the activity. Use dd-mmm-yy format. 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 pulldown list. Actual Start Date Date activity started. Use dd-mmm-yy format. Activity Complete Date Date activity complete. Use dd-mmm-yy format. Date Parts Available Date when the parts to complete the activity available. Use dd-mmm-yy format. Acceptance Criteria Detailed description of the acceptance criteria for the activity. Item Activity Number
37
JDS-G223
This is a sample form. The published form has three worksheets V2Net Data Header, V2Net Data Template, and the Category Type Matrix. For the latest version of this document, please refer to https://jdsupply.deere.com/.
38
JDS-G223
Field Performance Test Field Durability Test Competitive Assessment Competitive (Best in Class) Assessment (Best in Class) Customer Validation Customer Validation (Customer Focus (Customer Focus Groups, etc.) Groups, etc.)
John Deere Category Type Matrix For V2Net

CATEGORY TYPE Review Customer Validation (Customer Focus Groups, etc.) Design FMEA (Failure Modes & Effects Analysis - System, subsystem, assembly, or component level) Design Review Design Analysis Lab Test Casting Solidification ADV (Accelerated Design Verification)
CFD (Computational Fluid Dynamics)
Chassis Dyno
Drivetrain Engineering DPAR (Design, Process, Electrical / and Assembly Review) Electronics E-build Fastener Application General Review HDRS (Hazard Discovery and Rating System) Industrial Design Review
Print Review Process FMEA (Failure Modes and Effects Analysis) Reliability Planning Risk Assessment Serviceability Review Software Reviews Standards Compliance (Standards Regulations & Conformity Assessment SRC) Styling/Appearance Supplier Review System FMEA (Failure Modes and Effects Analysis)
General Field Durability Test Component (Durability, Life, General Field Implement or etc.) Performance Test Component Compatibility Fuel System Cooling System Implement or Component Load Measurement Compatibility Activities Gear Design Data Acquisition (Lab & Field, Load Measurement Performance load measurement, etc.) activities General Analysis Drivetrain Test NVH (Noise, Vibration, Standards Compliance Harshness) (Standards Regulations & Conformity Assessment - SRC) Human Factors Dynamic Response (Shaker, Performance Supplier Durability Test Modal Analysis, etc.) Hydraulics and Electrical (JDQ 53.2, Standards Compliance Control Systems Electromagnetic Interference, (Standards Regulations & Analysis HALT) Conformity Assessment SRC) Implement Energy Management Supplier Performance Compatibility Test Lighting Engine Dyno Lubrication Environmental (Salt Spray, Scab Test, Dust Box, Mud Box, QUV, Weatherability) NVH (Noise, Fatigue (MTS, Field Stress, Vibration, Harshness) etc.) Other (Spring General Lab Test Calculations, Bearing & Belt Drive Life & Loads) Plastic Molding Heat Sealing HVAC (Heating Ventilation and Air Conditioning) Simulation Hydraulics and Control (Dynamics/Kinematic Systems s, Hydraulics, etc.) Soil Dynamics Load Measurement Activities Structural Analysis Maintenance and Renovation (Fatigue, FEA, Hand Calc., Optimization, etc.) Supplier Design Material Properties Analysis Thermal (Cooling, Noise Vibration and etc.) Harshness (NVH) Tolerance Stack Ups Other Valve Train Performance (Stability, Function, soil Bin, etc.) Virtual Reality Standards Compliance (customer validation, (Standards Regulations and visibility, etc.) Conformity Assessment SRC) Supplier Test Valve Train Wind Tunnel
Cold Function (Starting, Performance, etc.) Component
Durability Field Stress
Durability
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JDS-G223
14 Design, Process, and Assembly Review Form

The list of items below should be considered when conducting a DPAR. Documentation of the DPAR results shall be recorded. C = Complete; I = In Process; N = Not Applicable Design, Process and Assembly Review Checklist C/I/N # DESCRIPTION COMMENT 1. DESIGN REVIEW (Print or Model) 1.1 Review material requirements 1.2 Review geometric dimensioning and tolerancing 40
JDS-G223
Review drawing/model format for clarity and completeness Review design and functional requirements Review John Deere / Supplier test plan and test results Review tolerances for manufacturability Review all applicable specifications & standards Identify key design characteristics from Design Reviews & other sources Determine requirements for Gage R & R studies on measuring equipment Determine method to measure key design characteristics 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 assessment 1.13 Determine method for capability studies on key characteristics plus other characteristics defined by John Deere 1.14 Review guidelines for control methods after capability assessment 1.15 Review procedure and requirements for initial sample inspection 1.16 Review Appearance / Paint requirements 1.17 Review requirements for cleanliness and deburring 1.18 Identify cost reduction opportunities 1.19 Determine potential cost impacts of any changes identified 2. PROCESS REVIEW 2.1 Review all processes required to produce the part/assembly, e.g. machining, grinding, stamping, welding, assembly, plating, heat treatment, bonding, painting 2.2 Review manufacturing process for completeness 2.3 Review specifications related to these processes 2.4 Review key process characteristics from Design Reviews, Process Failure Modes & Effects Analysis (PFMEAs) & other sources 2.5 Determine method to measure key process characteristics 2.6 Determine requirements for Gage R & R studies on measuring equipment 2.7 Determine capability study or control plan requirements on key characteristics plus other characteristics defined by John Deere 2.8 Review preferred methods for capability assessment 2.9 Determine method for capability studies on key characteristics plus other characteristics defined by John Deere 2.10 Review guidelines for control methods after capability assessment 2.11 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 requirements 2.15 Review training needs 2.16 Review Mistake Proofing opportunities 2.17 Review ergonomics for material handling, tools, processes, etc. 2.18 Identify cost reduction opportunities 2.19 Determine potential cost impacts of any changes identified 3. GAGING REVIEW 3.1 Determine what measuring equipment gages, test fixtures etc. are required 3.2 Determine availability of measuring equipment gages, test fixtures, etc. 3.3 Determine quality or control plan requirements 3.4 Review procedures for drawings and inventory of gages and test fixtures 3.5 Determine how many gages and test fixtures are required 3.6 Determine who will design and build gages and test fixtures 3.7 Review policy for ongoing gage maintenance and calibration 3.8 Identify cost reduction opportunities 3.9 Determine potential cost impacts of any changes identified 41
1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11
JDS-G223
4. ASSEMBLY REVIEW 4.1 Review systems listed for Design Reviews in PDP Phase 2 & 3 4.2 Review cleanliness requirements & possible contamination problems 4.3 Review critical product systems - e.g. brakes, Roll Over Protection System (ROPS), steering, hydraulics, drive train, electrical 4.4 Review hose, line, and wiring routing 4.5 Review appearance, fit, and finish process requirements 4.6 Review linkage adjustment capabilities 4.7 Review fasteners 4.8 Review potential leak, vibration, and noise problems 4.9 Review fit & finish requirements 4.10 Review Operator Method Sheets (OMS) 4.11 Review Sequence of Events (SOE) 4.12 Review assembly instruction requirements 4.13 Review needs for assembly gages and aids 4.14 Review training needs for key assembly characteristic 4.15 Review process for Mistake Proofing opportunities 4.16 Review material handling systems that prevent part damage 4.17 Review torque requirements for key joints 4.18 Review ease of access for assembly 4.19 Review need for assembly fixtures 4.20 Review plans for assembly tools 4.21 Review ability for fluid systems to reach steady state levels 4.22 Review trial installation requirements 4.23 Review special process requirements (bonding, painting, etc.) 4.24 Review performance testing requirements in assembly 4.25 Review and verify specification 4.26 Review ergonomics for material handling, tools, processes, etc. 4.27 Identify cost reduction opportunities 4.28 Determine potential cost impacts of any changes identified 5. PACKAGING REVIEW 5.1 Review requirements for component packaging/returnable containers 5.2 Review the need for temporary sealing for the wash or paint process 5.3 Review packaging & shipping requirements for finished goods, including the need for rust protection 5.4 Identify cost reduction opportunities 5.5 Determine potential cost impacts of any changes identified 6. MISCELLANEOUS ITEMS REVIEW 6.1 Review cost targets 6.2 Verify service requirements complete 6.3 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 Deeres Restricted Materials List (e.g., asbestos or lead in paint) and/or other substances restricted by applicable laws 6.5 Review all software requirement specifications 6.6 Review Design Review, FMEA results 6.7 Print release date 6.8 Production tooling Purchase Order ready date 6.9 Lead times for tooling 6.10 Production Part Approval Process (PPAP) requirements 6.11 Supplier audit / visit 6.12 Completion of Verification Warrant 6.13 Sign off of attendees 42
JDS-G223
15 Initial Sample Inspection Report (ISIR) Dimensional and Material Results

This a sample form, for the latest version of this document, please refer to https://jdsupply.deere.com/. Initial Sample Inspection Report Dimensional and Material Results Part Number Design / Revision Level Part Name / Description Decision Number Report Type Dimensional Material Production Tooling & Processes Utilized Supplier Name Supplier Number Name of Inspection facility Yes No Lab Report Attached How many pieces measured? One Two Three Four
Item Nominal Dimension / Specification or Material Specifications
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Items 26 30 are text applicable. 26 27 28 29 30
Yes
No
Five
Unit of Measure
Tolerance (+) / (-) Piece 1
Measurement Results Piece 2 Piece 3 Piece 4 Piece 5
OK / John Deere Not OK Verification
Supplier Representative Signature: John Deere Quality Representative: Disposition:
Title: Title:
E-Mail: E-Mail:
Date: Date:
Approve
Fail
Deviate
Resubmit
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JDS-G223
16 Capability Study Form
This is a sample form, for the latest version of this document, please refer to https://jdsupply.deere.com/.
Capability Study
Part No. Part Name/ Description New Part
Date:
Desk No. Resubmission
Page
of Other
Decision Eng. Change
New Source Design Level
Decision Number
Comments: Supplier - Fill In All Data Below Is the process for each feature in control, stable and normally distributed?
Yes
No
If samples are sequential then report Ppk , otherwise calculate C pk

Dimensional Requirements (Key Characteristic)
Results Actual Measurements Minimum 0f 30 Measurements Required
Feature No.
X X
Pp Ppk

R/d2 C p C pk
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 Reject
Conditional Acceptance Resubmit Sample
E-mail: __________________________
John Deere Supply Management Activities:
Date:
Original Documentation Sent to File
Send Notification to Supplier
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17 Control Plan Checklist and Form

Control Plan Elements (BOLD items are required.) Item Description Control Plan Category: Indicate the appropriate category. Prototype, Pre-Launch, Prototype: Build for verification of design Pre-launch: Build prior to normal production for verification of processes or Production Production: Build or product that John Deere will offer for sale to customers 2 Control Plan Number Enter the control plan document number used for tracking, if applicable. 3 Enter the John Deere part number (and supplier part number, if Part Number applicable.) 4 Name and description of the part and/or process being controlled. Part Name / Description 5 Enter the name of the company (supplier) and the appropriate division or Supplier / Plant manufacturing 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 Name(s) of the individual(s) responsible for preparing the Control Plan or Preparer the primary contact responsible for the Control Plan. 9 Responsible Person Indicates who is responsible for completing the control method. 10 Supplier / Plant Approval Obtain the responsible manufacturing plant approval (if required). / Date 11 Engineering Change Latest engineering design level and/or issue date from the drawing specification. Level / Revision Level 12 Decision / Engineering John Deere number assigned to the engineering change. Change Number 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 Obtain the responsible engineering approval (if required). Approval / Date 17 Customer Quality Obtain the responsible quality representative (if required). Approval / Date 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 / Description of the generating process/operation which produces the characteristic. Operation Description 21 Machine, Device, Jig, For each operation that is described, identify the processing equipment, as appropriate. Tools for Manufacturing CHARACTERISTIC A distinguishing feature, dimension or property of a process or its output (product) on which variable or attribute data can be collected. Use visual aids where applicable. 22 No. Number: Enter a cross reference number from all applicable documents such as, but not limited to, process flow diagram, numbered print, FMEAs, and sketches, if required. # 1
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23 Product
Enter the applicable Product Characteristic. Product Characteristics are the features or properties of a part, component, or assembly that are described on drawings or other primary engineering information. All Key Product Characteristics must be listed on the Control Plan. In addition, the manufacturer my list other Product Characteristics for which process controls are routinely tracked during normal operations. Enter the applicable Process Characteristic. Process Characteristics are the process variables (input variables) that have a cause and effect relationship with the identified Product Characteristic. A Process Characteristic can only be measured at the time it occurs. Process Characteristics for which variation must be controlled to minimize product variation must be identified. There could be one or more Process Characteristics listed for each Product Characteristic. In some processes one Process Characteristic may affect several Product Characteristics. Indicate if the characteristic is designated as a Key Characteristic. A Key Characteristic is a product or process characteristic whose variation or targeting control is necessary to meet customer requirements and that directly or significantly impact customer satisfaction through compliance with government, country or industry standards and/or regulations, ability to perform its intended design requirements (form, fit, function, reliability, appearance), or manufacturability and ability to assemble. Key Characteristics may be the Product or Process type. (See Section 7.2.1.1) A systemic plan using procedures and other tools to control a process. Specifications / tolerances may be obtained from various engineering documents, such as, but not limited to, drawings, design reviews, material standard, computer aided design data, manufacturing and / or assembly requirements. 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 be done prior to relying on a measurement system and improvements made accordingly. When sampling is required, enter the sample size and frequency. Enter a brief description of how the operation will be controlled; include procedure 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 be continually evaluated for effectiveness. Enter the corrective actions necessary to avoid producing nonconforming products or operating out of control. The actions should normally be the responsibility of the people closest to the process (operator, set up person, supervisor) and should be clearly designated in the plan. Provisions should be made for documenting. In all cases, suspect and nonconforming products must be clearing identified, quarantined, and disposition made by the responsible person designated in the reaction plan. This column may also refer to a specific reaction plan number and identify the person responsible for the reaction plan.
24
Process
25
Key Characteristic
METHODS 26 Product / Process Specification / Tolerance 27 Evaluation / Measurement Technique
28 29
Sample Size / Frequency Control Method
30
Reaction Plan
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18 Appearance Approval Report
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19 Performance Test Results

John Deere Production Part Approval Performance Test Results

Supplier Name: Supplier Code: Name of Laboratory: Test Specification / Rev / Date Specification / Limits Test Date Quantity Tested Part Number: Part Name: Revision Level: 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 Form
Seven 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://jdsupply.deere.com/.
John Deere Corrective Action Request 8D Report

Creation Date: Report Number (NCCA / Q-note): John Deere Unit: Supplier Signature: Severity: John Deere Location: Supplier ID:
Incidental Minor Major Critical
Supplier Name: Supplier Location: John Deere Part Part Name: Number: Supplier Part Quantity Affected: Number: STEP DESCRIPTION D1 Establish the Team / Responsibility John Deere Name: Telephone: Supplier Name: Telephone: D2 Nonconformity (NC) Problem Identification / Cause of Reject
Enter comments:
E-Mail: FAX: E-Mail: FAX:

Responsible Implementation Actual Completion Persons Name Target Date Date Responsible Implementation Actual Completion Persons Name Target Date Date
D3
Enter comments:
Containment Action and Short Term Corrective Action / Immediate Actions(s) Define and Verify Root Cause / Cause of Nonconformity Choose and Verify Solution Implement Permanent Corrective Action / Long-Term Corrective Action(s) Prevent Recurrence Team Recognition / Management Feedback (Optional)
D4
Enter comments:
Responsible Implementation Actual Completion Persons Name Target Date Date
D5
Enter comments:
D6
Enter comments:
D7
Enter comments:
D8
Enter comments:
NOTE: Containment of nonconforming material is required within 24 hours of problem notification. 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 of receipt, unless otherwise specified by the John Deere investigator.
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21 Engineering Deviation Authorization Checklist and Form

John Deere will accept suppliers 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 this deviation. The assigned deviation shall be referenced in any future correspondence concerning these parts. The supplier shall produce parts to John Deere print specifications. This deviation does not allow for any additional print changes, other than specified in the assigned deviation.
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ENGINEERING DEVIATION AUTHORIZATION
Part No.: Part Description: Models Used On: Requested By: Quantity Affected: Proposed Deviation:
This is a sample form. For the latest version of this document please refer to https://jdsupply.deere.com/.
John Deere
EDA NUMBER:
Dept Charged: Use As Is:
Date: Reclaim (describe below):
Description of Proposed Deviation: Reason for Deviation: Reclaim Method: Personnel Contacted: Supplier Contact Name: E-Mail Address: Reviewed by Quality Engineer: Long Term Corrective Action: ECN No. (if applicable) Department or Supplier Name and ID Number: Telephone Number: FAX Number: Date:
Target Date:
Verification Required?
Yes
No
Assigned To:
For John Deere Use Only

APPROVED Comments: Authorized Piece(s) / For: Prod. Days APPROVALS: Product Engineering (Required): Quality Engineering (Required) Add to Distribution List: Use for Service: Yes Ref. Project Doc Number Ref. Decision or ECN: Date: Date: APPROVED with Limitations (see Comments) REJECTED
No
(If No, parts shall be identified as Not for Service) 52
Reference: CED-101 (Rev. 3) May02
JDS-G223
22 Process Evaluation - Continuous Process Monitoring Matrix CONTINUOUS PROCESS MONITORING MATRIX
Process Potential Pp or Cp Cp < 1.0 or Unknown Process Capability Ppk or Cpk Cpk < 1.0 or Unknown Mean and Variability, See Case 1
100% inspection and corrective action required
1.0 Cp < 1.33 Mean and/or Variability, See Case 2

Cp 1.33 Mean Only, See Case 3

1.0 Cpk < 1.33
Not Possible
Mean and/or Variability, See Case 4

Control charting and sampling required
Mean Only, See Case 5

Control charting required
Cpk 1.33
Not Possible
Not Possible
Auditing 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 not targeted, and/or has excessive variation, quality tools and techniques should be used to determine the cause(s). The first attempt should be to target the process on the nominal specification, and then reduce the overall process variation to improve the process capability. Case 1,2,3 Action Plans 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 Gage R&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. 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 priority to using traditional SPC for variability audits and variability reduction. The goal is to get to Case 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. The process is targeted, capable, and in control. Conduct routine audits and infrequent capability studies (using R / d 2 from traditional SPC methods). Audit frequency is determined based on the ability to recall nonconforming material if audits result in finding such material.
5 6
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CASE CASE 1 Cp < 1.0 Cpk < 1.0 or Unknown GRAPHICAL REPRESENTATION
CASE 2 1.0 Cp < 1.33 Cpk < 1.0
DESCRIPTION REQUIREMENTS This process is not able to continuously produce parts conforming to specifications. Typical SPC wont help until the process is fixed for both the mean and the variability. If the process capability is unknown, data collection is required to determine the capability of the process. These conditions require 100% inspection and a corrective action plan to improve the process. John Deere written approval is needed prior to shipping parts. This process is not able to continuously produce parts conforming to specifications. The primary issue is targeting. Mean control is the primary goal. This condition requires 100% inspection and a corrective action plan to improve the process. John Deere written approval is needed prior to shipping parts. This process is not able to continuously produce parts conforming to specifications. John Deere written approval is needed prior to shipping parts. The primary issue is targeting. Mean control is the primary goal. This condition requires 100% inspection and a corrective action plan to improve the process. John Deere written approval is needed prior to shipping parts. Audit variance using SPC. This process is capable of producing parts that conform to specifications, but may or may not be targeted at the nominal specification value. An attempt should be made to determine the special cause(s) that are prohibiting the process from being centered or are creating excess variation. The primary issue is targeting. Variance shall be monitored and reduced. Charting (SPC, Pre-Control, or run charting) to verify the parts being produced conform to design specifications, and a sampling plan to inspect parts per a frequency interval shall be executed. The interval is determined by the Cp value the greater the Cp value, the less frequent the parts have to be checked. Evidence of less than .0027% defective is required. This process is capable of producing parts that conform to specifications, but may or may not be targeted at the nominal specification value. An attempt should be made to determine the special cause(s) that are prohibiting the process from being centered or are creating excess variation. The primary issue is targeting. Variance shall be monitored. Charting (SPC, Pre-Control, or run charting) shall be used to verify the parts being produced conform to design specifications. Evidence of < .0027% defective is required.
CASE 3 Cp 1.33 Cpk < 1.0
CASE 4 1.0 Cp < 1.33 1.0 Cpk < 1.33
CASE 5 Cp 1.33 1.0 Cpk < 1.33
CASE 6 Cp 1.33 Cpk 1.33
This process is capable, well centered, and in control. Parts produced are conforming. There is little concern of nonconforming product. At a minimum, such a process should be verified as appropriate by inspecting the parts being produced, such as during 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, it may not be detected. The column at the far right shows the corresponding defective PPM if the process average moves 1.5 from the target (also known as the quality or six sigma level). Suppliers need to be aware of this and shall measure their process capability at least annually. The matrix below further shows the 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 the drawing requirements could be changed. Any action other than that listed in the Continuous Process Monitoring Matrix shall be approved by John Deere. QUALITY LEVEL - DEFECTIVE PPM DUE TO PROCESS SHIFTING Process Shift 0 0.25 0.50 0.75 1.00 1.25 1.50 1.75 2.00 3 2700 3577 6440 12288 22832 40111 66803 105601 158700 3.5 465 666 1382 3011 6433 12201 22800 40100 66800 4 63 99 236 665 1350 3000 6200 12200 22800 4.5 6.8 12.8 32 88.5 233 577 1350 3000 6200 5 0.57 1.02 3.4 11 32 88.5 233 577 1300 5.5 0.034 0.1056 0.71 1.02 3.4 10.7 32 88.4 233 6 0.002 0.0063 0.019 0.1 0.39 1 3.4 11 32
(See Section 34, Reference 18: Table 14.6 from The Management and Control of Quality, 3rd Edition, by Evans and Lindsay, West Publishing Company)
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START PROCESS
VERIFY MEASUREMENT SYSTEM
ESTABLISH CAPABILITY GOAL
SELECT CHARACTERISTIC
BEGIN APPROPRIATE CONTROL CHARTING
CALCULATE CONTROL LIMITS BASED ON DATA
IS PROCESS IN CONTROL? YES
NO
IMPLEMENT CORRECTIVE ACTION FOR SPECIAL CAUSE VARIABILITY NO DATA TRANSFORM POSSIBLE
ADJUST PROCESS AVERAGE TO TARGET
IS DATA NORMAL? YES ESTIMATE PROCESS PARAMETERS AND MEASURE CAPABILITY
NO
YES YES
REDUCE SOURCES OF COMMON CAUSE VARIABILITY
YES
NO
IS CAPABILITY > GOAL? NO YES IS FURTHER IMPROVEMENT NEEDED? YES IS THE PROCESS TARGETED? NO CAN AVERAGE BE MOVED?
NO DETERMINE REQUIRED FREQUENCY OF ASSESSMENT MAINTAIN PROCESS AT CURRENT LEVEL
REPORT AS REQUIRED
STOP
Figure 4.21 Flowchart for process capability studies. D.R. Bothe, Measuring Process Capability, Copyright 2001
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23 Six Sigma Conversion Table for Variable Data

This chart is used to determine Six Sigma equivalents for variable data based on the process being in statistical control and normally distributed. Cpk -0.50 -0.42 -0.33 -0.25 -0.17 -0.08 0.00 0.08 0.17 0.25 0.33 0.42 0.50 0.58 0.67 0.75 0.83 0.92 1.00 1.08 1.17 1.25 1.33 1.42 1.50 1.58 1.67 1.75 1.83 2.00 Sigma Level 0.00 0.25 0.50 0.75 1.00 1.25 1.50 1.75 2.00 2.25 2.50 2.75 3.00 3.25 3.50 3.75 4.00 4.25 4.50 4.75 5.00 5.25 5.50 5.75 6.00 6.25 6.50 6.75 7.00 7.50 Probability Good 0.0000 0.0656 0.1359 0.2144 0.3023 0.3983 0.4987 0.5981 0.6912 0.7733 0.8413 0.8943 0.9332 0.9599 0.9772 0.9878 0.9938 0.9970 0.9987 0.9994 0.9998 0.9999 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 Probability of a Defect 1.0000 0.9344 0.8641 0.7856 0.6977 0.6017 0.5013 0.4019 0.3088 0.2267 0.1587 0.1057 0.0668 0.0401 0.0228 0.0122 0.0062 0.0030 0.0013 0.0006 0.0002 0.0001 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Defects Per Million Opportunities 1000000.0000 934409.3832 864094.8780 785597.1203 697672.1266 601686.0889 501349.8980 401870.6994 308770.1678 226715.7697 158686.9252 105660.4622 66810.5989 40060.1739 22750.4186 12224.5487 6209.6843 2979.7677 1349.8990 577.0252 232.6291 88.4173 31.6712 10.6885 3.3977 1.0171 0.2867 0.0760 0.0190 0.0010
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24 Process Control Methods
Process control methods may include, but are not limited to, the following methods. CONTROL DEFINITION METHOD A sampling technique where units of product are drawn from a specific lot. The Acceptance information from these samples is used as a basis for making acceptance decisions Sampling concerning parts or processes. This could be applicable for large numbers of parts from discreet batches. (See Section 34, Reference 2: ASQ Glossary and Tables for Statistical Quality Control.) Continuous Sampling This method requires that a consecutive number of pieces pass inspection before starting normal sampling cycles. This method can be used when the product stream is continuous such as painting, welding, assembly, and machining. Modified control charts have control limits that are not established by conventional, control limit-setting techniques. They are sometimes referred to as Acceptance Control Charts. They can establish whether, or not, a process can satisfy product or service 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 be considered uneconomical to control with conventional SPC Charts. (See Section 34, Reference 2: ASQ Glossary and Tables for Statistical Quality Control.) Pre-Control is effective for any process where the quality characteristic of interest can be adjusted. The process can have either a continuous output, (e.g., heat-treat furnace data) or a discrete output (e.g., machine parts). There are no additional requirements and no underlying assumptions concerning capability, or normality of the 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: Jurans Quality Control Handbook, 5th Edition.) Measurement data is used to verify process capability and Cpk on a periodic basis. Part characteristics are checked whenever the process is set-up and at periodic intervals. Examples are: CMM checks, roundness checks, and gear geometry checks. Short Run SPC is used for small lot sizes of parts with characteristics common to a process. Each characteristic is transformed and plotted with other characteristics on the same chart. (See Section 34, Reference 5: International Quality Institute, Inc., SPC for Short Runs Curriculum.) 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 of an 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". SPC Control Charts can be used in an acceptance sense, calling for action or investigation when a process shifts from its standard level. SPC Control Charts can be used with variable or attribute data. These continuous control methods are appropriate for mistake-proofing when abnormal process variations are not present. (See Section 34, Reference 3: AT&T Statistical Quality Control Handbook, Eleventh Edition. ASTM Manual on Presentation of Data and Control Chart Analysis, 1 January 1990, 125 pages.) A control method where the first part is checked after a new tool is installed. If the part checks OK, the process is run for the expected life of the tool. The last part produced with the old tool is then checked. If it is OK, then all the parts are OK. 58
Modified SPC
Pre-Control
Restudy Setup Check
Short-Run SPC
SPC Control Charts
Tool Control
JDS-G223
25 Suggested Quality Tools

Quality Tools 5.1 Affinity Diagram Box Plot Brainstorming Capability Studies Cause & Effect Diagram Control Chart Control Plan Data Collection Design of Experiments Flow Chart FMEA design FMEA process Force Field Analysis Gage R & R Histogram Mistake Proofing Pareto Chart PPAP (1st piece/lot certification) Problem Solving Process Mapping QFD Run Chart Scatter Diagram Tree Diagram Root Cause Analysis X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X 5.2 5.3 5.4 5.6 6.1 6.2
Manual Sections
7.1 7.2 7.3 7.4 7.5 7.6 8.1 8.2 8.3 8.4 8.5 X X X
Ref.
A,C B A,B,C A,C,E,D B,C,E A,B,E,D B,E,D B,C,E F A,B,C,E A,E,D A,E,D C,D D E,C E A,B,C,E D
X X
C F F C B,C,E A,B 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. Jurans Quality Control Handbook F. John Deere Support contact your John Deere representative. 59
JDS-G223
DESCRIPTION OF QUALITY TOOLS Affinity Diagram Box Plot Brainstorming Capability Studies Cause & Effect Diagram Control Chart Control Plan Data Collection Design of Experiments Flow Chart FMEA - design FMEA - process Force Field Analysis Gage R & R Histogram Mistake - Proofing Pareto Chart PPAP (1st piece / lot certification) Problem Solving Process Mapping QFD
Run Chart Scatter Diagram Tree Diagram Root Cause Analysis
Method for generating large numbers of ideas and then organizing and summarizing into groups. Pictorial display of data distribution - shows variation in data for easier analysis. For creatively generating a high volume of ideas. Statistical measurement of the ability of manufacturing process(es) to consistently meet specifications/tolerances. Graphically display, in detail, possible causes related to a problem. Charts to monitor control and improve process performance. Documents significant process or part characteristics that require monitoring for capability levels. Systematic approach to ensure the data/information gathered is accurate and meaningful. A method for analyzing multiple variables at one time, and determining if there is interaction between any of the variables. Identifies the flow or sequence of events in a process (also called Process Mapping). Failure Modes and Effects Analysis is an analytical method for determining the risk level of designs. Failure Modes and Effects Analysis is an analytical method for determining the risk level of processes. Identifies the forces and factors in place that support or work against the solution. Gage Repeatability and Reproducibility measures the repeatability and reproducibility of gages to ensure that the gage meets the design intent. A graphical representation of the process data. A method to eliminate potential operator error from the process. Pictorially shows where to focus effort for greatest improvement potential. Production Part Approval Process that is used to assure that a new or changed product or process meets specifications. A common model that creates a common language for continuous improvement. A group of activities that together define what is being done to provide a service of product for the customer. Quality Function Deployment is a structured approach for determining customer needs and translating those needs into the organization's language. Method to study data for trends or patterns over time. Visual analysis to determine if relationships between two sets of variables. Breaks any broad goal, graphically, into increasing levels of detailed actions that could be done to achieve the stated goals. An effective process for finding the cause(s) of an event. This tool enables more thorough corrective actions.
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26 Glossary
Cp 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. The standard deviation is calculated as R / d 2 . 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 lower specification (or higher specification, whichever is less) to one-half of the natural variation limit. The goal for Cpk is to achieve a value of 1.33 or greater. The process must be normally distributed and in control when calculating this index. The standard deviation is calculated as R / d 2 . Change Request 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 shipment of production parts. 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, and is maintained and used throughout the product life cycle. Action taken to eliminate the cause of nonconformities in order to prevent recurrence. Constant used to estimate the sample standard deviation based on the sample size and average range value. A simultaneous engineering process designed to optimize the relationship between design function, manufacturability, and ease of assembly. This may also be referred to as Design for Manufacturability and Assembly. The process by which a product, through objective evidence, is proven to meet its specification. When part characteristics do not comply with engineering specifications, an Engineering Deviation Authorization (EDA) is required, prior to shipment, to record and control the use of the product, and to provide a means to document corrective action. Sometimes referred to resolution, is the ability of the gage or measuring equipment to detect and indicate small changes in the measured characteristic. The one-tenth of total variation allows the gage or measuring system to group measurements into 10 data categories. Records of the results of the procedures and job instructions that show the system is operating. John Deeres product realization process is called the Enterprise Product Delivery Process or EPDP. It is the sequence of processes required to successfully produce a product or service that meets or exceeds the expectations of John Deere and our customers. The EPDP consists of six phases containing twenty-one milestones. Chart showing the recommended steps needed for controlling a process. Repeatability is the variation in measurements obtained with one measurement instrument, when used several times by one appraiser, while measuring the identical characteristic on the same part. Reproducibility is the variation in the average of the measurements made by different appraisers, using the same measurement instrument, used several times by each appraiser, while measuring the identical characteristic on the same part. 61
Control Plan
Corrective Action
d2
Design Process and Assembly Review (DPAR) Design Verification Deviation
Discrimination
Documents Enterprise Product Delivery Process (EPDP) Flow chart Gage Repeatability Gage Reproducibility
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Intellectual Property
Job instructions Key Characteristic
Manuals Material, alternate
Material, equivalent
Order Fulfillment Process (OFP) Physical Build Ppk
Preventive Action Procedures Process Capability
Process Control
Product Validation
Creative ideas and expressions of the human mind that have commercial value and receive the legal protection of a property right. It includes ideas, inventions, business methods and manufacturing processes. The major legal mechanisms for protecting intellectual property rights are copyrights, patents, and trademarks. Define how the employees accomplish the procedures. A Key Characteristic is a product or process characteristic whose variation or targeting control is necessary to meet customer requirements and that directly or significantly impact customer satisfaction through compliance with government, country or industry standards and/or regulations, ability to perform its intended design requirements (form, fit, function, reliability, appearance), or manufacturability and ability to assemble. Often thought of as the top level documentation, defining what management has committed to address and achieve with their quality system. An alternate material is one whose specifications do not fully meet those of the drawingspecified material; but, have been verified as fully meeting the design intent and can be used interchangeably. Alternate materials shall appear on the drawing. An example of alternate materials is the material specification of the R200571 Gear which has JDM 8620, JDM 4120, or DIN 20NiCrMo2. Determination that a material is equivalent requires a careful evaluation of all related specifications and characteristics. This review shall only be performed by individuals who are well versed in those particular materials, qualified to make that evaluation, able to provide supporting documentation (e.g. mill certifications), and fully conversant with the relevant Deere specifications. Unless specifically authorized by the appropriate Deere representative, in writing, only the primary material producer (e.g. steel mill, foundry, warehouse), may make that decision. A global process at John Deere that is designed to deliver the right product at the right place at the right time. It begins with an estimate of retail sales and ends with the retail delivery and payment. Term used in the Enterprise Product Delivery Process to indicate a physical model which is used to evaluate the complete product, processes and tooling. Referred to as a performance index, it is a term used to predict the process capability of a new process. The process must be normally distributed and in control when making this calculation. Ppk is based off of the total variation and uses the sample standard deviation value in its calculation. Typically, a much higher value is required for Ppk as opposed to the Cpk due to the amount of uncertainty in the process. The sample standard deviation is calculated by using all the data points. Action to eliminate the causes of potential nonconformities in order to prevent their occurrence. A particular method for performing a task. Documentation of the who, what, and when of the manuals requirements. Process capability is the range over which the natural variation of a process occurs as determined by the system of common causes. Process capability has three important components: the design specification, the centering of the natural variation, and the range or spread of the variation. The importance of process capability is in assessing the relationship between the natural variation of a process and the design specifications. This relationship is often quantified by measures known as process capability indices. The most common of these are Cp and Cpk. It is recommended that both of these be used when determining what corrective action is needed to make a process capable. Monitoring of characteristics for capability to produce a feature under stable conditions to maintain ongoing acceptable quality levels. Examples of process control documents are process sheets, inspection and test instructions, test procedures, standard operating procedures, preventive maintenance instructions, and specific part control plans. The process by which a product is confirmed by objective evidence to function properly in the total environment (i.e. features and performance meet customer needs and expectations.) 62
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Product Verification PV&V Risk Priority Number Shall Should Special Process
R R
Supplier
Ensures the adequacy of design per the product performance and functionality specification (i.e. the product will properly function in its intended application over its design life). Product Verification and Validation. Also referred to as Design Verification and Validation (AIAG) and Design and Development Verification and Validation (ISO). The product of Severity, Detection, and Occurrence in a Failure Modes and Effects Analysis. Indicates mandatory requirements. Indicates a mandatory requirement with some flexibility allowed in compliance methodology. A special process is any production or service delivery process that can generate outputs that cannot be measured, monitored, or verified until its too late. Its often too late because deficiencies may not be obvious until after the resulting products have been used or services have been delivered. In order to prevent output deficiencies, these special processes shall be validated in order to prove that they can generate planned results. (e.g. welding, painting, heat treat, plating) Range which is defined as the difference between the high and low values. Average Range which is defined as the sum of all ranges divided by the number of ranges. 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 providers of engineering and production services. All activities relative to procuring products needed to build the finished product. Suppliers that supply our primary suppliers, also referred to as second and third tier suppliers, sub tier suppliers, or the suppliers supply chain. A John Deere measure of part risk based on three categories: cost, severity, and complexity. 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 required quality activities are identified based on the Quality Plan Level. Historical evidence that the quality system is functioning, and is operating at its current level of effectiveness. A Verification Warrant (part submission warrant) is the cover page for the PPAP documents and requires John Deere approval prior to shipping production parts. Achieving Excellence evaluation criteria for relationships. A composite analysis of the suppliers initiative, attitude, responsiveness, attention to detail, communications, and performance.
Supply Management Sub contractor Quality Plan Level (QPL)
Quality Record Warrant Wavelength
27 Engineering Standards
Understanding Drawings John Deere expects suppliers to understand Geometric Dimensioning and Tolerancing (GD&T), and provide drawings incorporating GD&T principles for John Deere Worldwide factories to the latest ASME Standard Y14.5M. Location of Standards John Deere Standards can be obtained on the web by going to John Deere Supply Network at the following URL: http://jdsupply.deere.com/business_processes/product_delivery_process/jd_eng_standards/jd_eng_stand ards_index.htm Industry standards can be obtained through other means such as Global Engineering Documents. http://global.ihs.com/ 63
JDS-G223
28 Supplier Information Survey
JOHN DEERE SUPPLIER INFORMATION SURVEY

John 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 (if Department: any): 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): State Owned Enterprise Private Public Wholly Owned Other: Legal Form / Ownership: Joint Venture Subsidiaries (with location, Plant Space Employment Capacity / Current Utilization space, employment, capacity): Company Profile: B. 1 2 C. 3 4 5 6 Communication Which system(s) can you access? How many people communicate in English? Management Information Do you have a documented organization structure? If yes, please provide. Do you have a mid-term business plan? If yes, please provide. Do you have a long-term business plan? If yes, please provide. If you responded "Yes" to any of the above questions and are unable to provide requested documents, would you be able to discuss these areas with John Deere? Is the business plan a formal document that includes: 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? 64
E-Mail Internet EDI Web-based EDI Other:
Yes Yes Yes
No No No
Yes
No
Yes
No
JDS-G223
8 D. 9
Who are your suppliers (multiple tier) and competitors? What are their relative strengths and weaknesses? Quality Systems Quality System Certifications If yes, please provide accreditation body / bodies. Expiration date(s) of certification What are your measurement and testing capabilities (e.g. Coordinate Measuring Machine)? Are Process Capability Study Indices (Cpk) available for Critical-To-Quality parameters? Reject Rate Does your company warranty products? Will you accept costs in field modification programs related to the failure of your product? Personnel Do you provide training programs? Do you provide training specific to product and process understanding for employees? Do you review job descriptions and individual performance reviews with employees? Does your organization demonstrate management and labor commitment to company goals? Do you set individual performance goals? Do you have organized programs to promote employee participation (i.e., problem solving teams, business team concepts, employee suggestions programs)? What are employee absenteeism and turnover rates? Number of employees (direct, indirect, salaried):
ISO-9001 ISO-9002 ISO-9000:2000 ISO/TS 16949 QS-9000 VDA 6.1/6 Other:
10 11 12 13 14 E. 15 16 17 18 19 20
Yes
No
Internal External Yes No Yes No
Yes Yes Yes Yes Yes Yes
No No No No No No
21 22
23 24
F. 25
26 27 28
Do you have a union affiliation? If yes, please provide union affiliation(s), contract expiration date(s), history and length of any strikes. Please describe area labor availability (i.e., unemployment rate, availability of skilled and unskilled labor) and the company's relative standing in size and stability. Commercial Situation * * Current John Deere suppliers do NOT need to complete this section. Yes No Is your company a manufacturing facility? If yes, what are your major manufacturing processes? (Please indicate details on following worksheets.) Yes No Do you supply service parts? If yes, please specify any conditions and your policy on low volume service parts. Which industry do you supply (e.g. automotive, healthcare, off-highway)? Major Who are your main customers? Name % of Sales
Employees Direct Indirect Salaried Yes No
First Shift
Second Shift
Third Shift
Products
Volume
PPM
29
How much business do you already have with John 65
Business
John Deere Division
JDS-G223
30 31
Deere, if any? Are there any joint ventures, business agreements, cooperative associations, or significant sales agreements, current or pending? Please provide the financial, export, Z - SCORE and employee data listed for the last four years.
Yes
No
Year Period Current Assets Current Liabilities Total Liabilities Retained Earnings Total Equity Sales Interest Expense Pre-Tax Income Cash & Securities Inventories Accounts Receivable Accounts Payable Long Term Debt EBITDA Net Income (After Tax) Export (% of sales) Export to Europe (% of sales) Export to USA (% of sales) Number of Employees Facility Size (square feet) Yes Yes No No Land Age
G. 32 33 34 35
Facilities / Production Please indicate the size of facility, land, and age. Are buildings, facilities, and utilities adequate for the commodity being considered? Is the facility laid out for efficient material flow and manufacturing? What is the installed production capacity for each major product? (Define by quantity and time required to produce the material in days, shifts, and hours per shift.) What are the constraining factors, if any, restricting increased capacity or production rates? What other facilities does your company operate? What internal tooling / die design, manufacturing, and repair capability for tooling exists? Describe any tooling / gaging programs geared toward improved efficiency such as tooling standardization and quick change tooling. What external tool / die design manufacturing, and repair services do you use (list sources, if any? Cost System What is your pay scale range (minimum, maximum, average)? 66
36 37 38 39 40 H. 41
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Yes No
42 43 44 45 46 47 I. 48 49 J. 50 51 K. 52 53 54 55 L. 56 57 58 59 M. 60 61 62 63 64 N. 65 66 67
Do you have incentive programs (e.g., labor incentives, gain sharing, bonus programs)? Provide a copy of your study or other methods used to determine overhead application rates. How are they applied? How is planned cost performance compared to actual cost performance, and what actions are taken as a result of that comparison? Provide a breakdown of full cost disclosure (material, labor, overhead) by part number / product. How do you calculate your quoted prices? Can Product Engineering costs be tracked by project and invoiced separately if so requested? Continuous Cost Improvement Programs Do you have a Continuous Cost Improvement Program which covers both internal and external costs? Do you share cost improvement results with your customers? Print / Specification Control How are prints and / or specifications changes controlled? How do you ensure that current active files contain only up-to-date drawings? Material Handling / Packaging Is material identified clearly during and between operations? Is material handled, stored, and shipped in a manner that prevents damage? Do you utilize bar coding? Describe the level of product traceability that exists within the manufacturing facility. Inventory What type(s) of inventory control are used? Do you have a method for controlling material with a limited shelf life? Describe how inventory accuracy is monitored. (Note trends) What is current inventory turnover and what is goal? Scheduling How are production schedules driven? Do you have a procedure for reconciliation between customer schedules / orders and production records? What are your normal lead times? Do you have plans for lead time reduction? Do you have flexibility in manufacturing schedule, (i.e., lead times and run sizes)? Logistics Do you have distribution system overseas? If yes, please specify the location(s)? Do you have warehouse overseas? If yes, please specify the location(s)? What is your current logistics system? 67
Yes
No
Yes
No
Yes
No
Yes Yes Yes
No No No
FIFO LIFO Random Other, Please Specify: Yes No
Current
Goal
Yes
No
Yes Yes
No No
Yes Yes ERP
No No MRP
Location(s): Location(s): Other, Please Specify:
JDS-G223
68 69 O. 70 71 72 73 74 75
76 77
78 79
P. 80 81
Do you have a procedure to track actual delivery Yes No performance on order quantities and customer due dates against desired customer performance? Do you have any Just-In-Time and / or point of use Yes No delivery systems? Engineering and Technical Support What kind of data interchange tools do you use with VDA EDIFAC ODETTE Other, Please Specify: existing customers? What kind of Computer Aided Design (CAD) AutoCAD Catia IGES/STE None Pro/E Unigraphics Other, Please Specify: Systems do you use? How many terminals do you have? Do you have an in-house tool shop? Yes No What engineering / technical support can be provided for design, application, problem resolution and testing? List both local and corporate. Are direct customer / supplier engineering Yes No communications encouraged? What design processes are utilizing up-front design analysis techniques (e.g., Failure Modes and Effects Analysis (FMEA), Quality Function Deployment (QFD))? Disciplines: Are simultaneous engineered teams used when Yes No new products are developed? If yes, which disciplines are included on the teams? Do you have multi-function project management Yes No techniques in place to effectively track and meet all key event dates (e.g., quote / estimate programs, prototype material, tooling programs, sample submission dates, new product launch programs)? Description: Do you have an in-house Research and Yes No Development (R&D) department? R&D Programs: Do you have R & D activities for development of Yes No new technologies? If yes, what R & D programs have you successfully implemented in recent years? Product Testing ** ** Please complete if you own the design for the product that John Deere wishes to purchase. Complete System Testing Do you have test facilities in-house to complete Yes No System Testing in a Vehicle component testing?
Other:
82 83 84 85 86 87 88
Are multiple input sources (i.e. Reliability and Performance Risk Assessment, Customer Satisfaction Information, etc) considered in developing the Product Verification and Validation (PV&V) plan? Do you incorporate customer requirements and customer duty cycle information into PV&V activity? Do you have application data for your products? Are you able to demonstrate reliability, performance, and design life requirements of your components? Do you update PV&V procedure based on failures discovered during customer use? Do you benchmark your performance, reliability, quality and cost against competitors? Do you provide prototype parts? If yes, please indicate lead time. Describe your capability to conduct analysis, report 68
Yes
No
Yes Yes Yes
No No No
Yes Yes Yes
No No No Lead TIme:
JDS-G223
89 90 91 92 93 94 Q. 95
96 R. 97
98 99 100 101
102
103
104 105
all applicable product performance tests, and accurately predict product life in the user's environment (e.g., life, accelerated, field, safety)? Are outside performance testing sources are used? If yes, how are they monitored? Have lab test acceleration factors been determined by correlation of lab and field test data? Describe your procedure for analysis of field return failures. Describe your policies concerning defense of product liability claims? Describe your policies concerning defense of product liability claims? Do you have any pending product liability claims involving product(s) we are considering? If yes, please describe. Regulatory Conformity Do you own the patent / copyright, or proper license that allows you to lawfully manufacture the product, or utilize the manufacturing process, that John Deere desires to purchase? Do you have documentation to substantiate that you own, or are licensed to use, the requisite Intellectual Property Rights? Supplier Code of Conduct Environmental and /or Health & Safety System Certifications If yes, please provide accreditation body / bodies. Expiration date(s) of certification Do you have a system to ensure compliance with the minimum working age prevailing standard? What is the age of your youngest employee? Do you have an accurate system to measure hours worked to ensure conformance with applicable wage and hour labor laws? Do you have a process to ensure compliance with applicable laws concerning discrimination in hiring and employment practices? Are you currently, or at any time during the past calendar year, subject to any enforcement action by any governmental authority for non-compliance with environmental, safety, or labor requirements? Can you demonstrate legal compliance with government environmental, health and safety legislation (through government certificate or registration, third-party audit, etc.)? Have you obtained and maintained all environmental permits and registrations that apply to their facilities, operations, and products, including reporting obligations in accordance with applicable laws and regulations? Are wastes that are stored, treated, or disposed of on-site managed in properly designed facilities that will prevent future environmental impacts? Do you have a program to identify and assess potential emergency situations such as weather, fire, or chemical spills and implement emergency 69
Yes Yes
No No
How Monitored:
Yes Yes
No No Product Liability Claim(s):
Yes
No
Yes
No
ISO-14001
ISO 18001
Other:
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
JDS-G223
106
107
108
109 110 S. 111
plans and procedures? Do you have a program to identify, evaluate and control workplace exposures to chemical, biological and physical agents (e.g. chemical fumes, noise, dust, mold) at or below levels established as safe by applicable laws and regulations? Do you have a program to identify, evaluate and control safety hazards (e.g. electrical, mechanical, hydraulic, and pneumatic) of workplace equipment and machinery and conditions (e.g. slips, trips, fall hazards, physically demanding work) to prevent injury to workers? Do you have a program to provide and require the use of personal protective equipment when safety hazards and workplace exposures cannot be controlled by other means? Can you provide list time injury, illness frequency, and severity incidence rates? Do you have a program to ensure compliance with applicable laws concerning proprietary, confidential, and personal information? Equipment Provide a list of equipment. Please include major manufacturing and testing equipment indicating size, age, brand, and condition.
Yes
No
Yes
No
Yes
No
Yes Yes
No No
Machine Description
Machine Manufacturer
Ton. / Size
Quantity
Age
T.
Process Technologies *** *** If applicable, please complete the appropriate worksheet. Aluminum Fittings Hydraulic Plumbing Belts Flangets Plastic Castings Forgings Sheet Metal Electric Assembly Gears & Shafts Spring Electronics Hubs, Pulleys & Sheaves Rubber Parts Survey Summary (to be completed by John Deere Lead)
70
JDS-G223
29 Red Flags Supplier Quality System Survey

JOHN DEERE RED FLAGS SUPPLIER QUALITY SYSTEM SURVEY

Supplier Name: Supplier Number: Supplier Address: Supplier E-Mail: John Deere Survey Lead: Principle Products: Audit Date(s): Supplier Representative(s): Supplier Phone Number: Supplier Fax Number: Survey Team Members:
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 Recommendations Supplier Quality System Level: Sourcing Recommendation:: Survey Observation Summary: Red Flag Quality System Survey Scorecard #
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
Quality Tool & Process Dimensions Not Used or NO Primitive or YES Partial Use Fully Utilized Points Notes / Comments
Are there any restricted materials or other banned substances in the product to be purchased by John Deere? Y/N Is there child (under 14 years) or forced labor present? Y/N Use of PPM Metrics to track quality Y/N Quality PPM improvement trend over time Y/N Nonconformities prevented not caught Y/N Dependent on Inspection Y/N Operator Dependent Y/N Track Rework leading to Corrective Actions Y/N In-process Gaging Data Generation Gage R & Rs SPC Application Process Controls Written Procedures Control Plans Corrective Action Programs Clear Misson Statement and Quality Policy Y/N
If yes, supplier fails the survey If yes, supplier fails the survey
71
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18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 Posted and Understandable Metrics Training Program Functional Process / Design FMEA Documentation Control Plans developed by Failure Modes & Effects Analysis (FMEAs) ISIR Utilization Document Control ISO Registration Y/N Cost of Quality (COQ) Root Cause Analysis (RCA) Problem Solving Tools Advanced Quality Planning (AQP) Focused Six Sigma Initiatives Living Failure Modes & Effects Analysis (FMEAs) Control Plan illustration of Cpk for Key Characteristics Production Part Approval Process Quality Function Deployment (QFD) Utilized Mistake Proofing 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.) #
35 36 37 38 39 40 41 42
Product Engineering Dimensions Not Used or NO Primitive or YES Partial Use Fully Utilized Points Notes / Comments
Generate and track execution of Product Verification and Validation (PV&V) Plans Design analysis, lab test and field test correlated with customer use Procedure and acceptance criteria for each PV&V activity Design, PV&V capabilities align with design control responsibilities Training program for design and PV&V staff Metrics used to measure if design requirements are met Understand application of their product Update design guidelines and PV&V procedures based upon customer failure modes
Total Survey Points: Level I: Level II: Level III: Level IV: Start Up Quality System Beginning Quality System Mature Quality System Highly Developed Quality System
72
JDS-G223
30 Supplier Quality System Audit Questionnaire

JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE

Supplier Name: Supplier Number: Supplier Address: Supplier E-Mail: Audit Team Leader: Principle Products: Supplier Phone Number: Supplier Fax Number: Audit Team Members: Audit Date(s): Supplier Representative(s):
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): GENERAL SUPPLIER RATING CRITERIA Score Ability to meet requirement in ** question: 0 Requirement is not met. There is no evidence of implementation or documentation (major nonconformance). 1 Requirement is partially met but there are major inconsistencies in implementation or documentation (major nonconformance). 2 Requirement is met but there are minor inconsistencies in implementation or documentation, or is in the early phases and only preliminary evidence of implementation effectiveness exists (minor nonconformance). 3 Requirement is met and effectively implemented and fully documented. 4 Requirement is "world class" in terms of scope and implementation or it shows major signs of significant improvement over the last 12 months which is meaningful to the Customer. 73
Rating
Corrective Action Requires Corrective Action Request (CAR), Document in NCCA Requires Corrective Action Request (CAR), Document in NCCA Requires Corrective Action Request (CAR), Document in NCCA
Does Not Comply
Does Not Comply
Complies
Complies
No action required No action required
Complies
** A supplier must have a score of 2 or greater on each of the questions to be acceptable.
JDS-G223
I. # Q1 Q2 Quality Ref.
Score each question using a 0 to 4 point scale, where 4 is the best possible score. Score non-applicable questions as 3.
Question Supplier has procedures in place designed to ensure that the requirements set out in John Deeres Supplier Code of Conduct are met? Y/N There are no products containing substances in excess of the amounts set forth on John Deeres Restricted Materials List and/or other substances restricted by applicable laws? Y/N
Score
Audit Status: Answers for the above two questios, Q1 and Q2, must be yes for the audit to continue. Supplier is responsible to insure all tiers of the supply base comply to these requirements. A. Management Review 1 5.6 Does the supplier's Management, with executive responsibility, review all quality system elements at defined intervals to ensure its continuing suitability and effectiveness? 2 5.6 Are the following metrics posted and are improvement goals established? Internal quality reject Part Per Million (PPM) External quality reject PPM On-time delivery Section Score: Section Compliance: (Complies = no questions scored less than 2) B. Quality Planning 3 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 problem resolution)? 5 7.5 Compare control plan items against part print and determine control plan adequacy. 6 7.5 Are control plans reviewed and updated as appropriate when any of the following occurs: Product or process changes? Processes are found to be unstable or non-capable? 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 Control 9 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 assured against unintended use? 10 4.2 Is there timely review, distribution, and implementation of customer engineering standards and specifications and changes? Verify revision levels of drawings or models in use at the supplier? 11 7.5 Are appropriate process parameters, including operator training, monitored for special processes (heat treat, welding, plating, etc) where conformance to specification cannot be verified in subsequent operations? Section Score: Section Compliance: (Complies = no question scored less than 2) D. Product Identification and Traceability 12 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) 74
JDS-G223
Process Control 7.5 Have documented process monitoring and other operator instructions been prepared for all employees? Are they accessible at the workstation? Is there evidence of use? 14 7.5 Do process monitoring and other operator instructions include or reference: Operation 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? 15 7.5 Does the reaction plan for internal out-of-control conditions include as appropriate: Containment and 100 percent inspection? Specific corrective action timing? Responsibility assignment? Documented customer approval? 16 7.5 Do operators clearly understand their responsibilities when loss of process control or out of specification conditions exist? 17 6.3 Is production equipment and working environment suitable for manufacturing of specified characteristics? Are production machines and equipment appropriate for the product being produced? Is there documented evidence of process capability? 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? 20 8.2 Does supplier maintain or exceed the process capability requirements of JDSG223 on key control characteristics? Are monitoring and improvement plans in place for those processes that do not meet the process capability requirements? 21 8.2 Does supplier verify that characteristics are to specification after a setup has been completed? Section Score: Section Compliance: (Complies = no question scored less than 2) F. Inspection and Testing 22 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 requirements in 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 Control Plan and / or the documented procedures? 24 8.2 Does the supplier carry out final inspection and testing in accordance with the Control Plan and/or documented procedures? 25 8.2 Does the supplier assure that no product is released until all activities specified in the documented procedures have been satisfactorily completed and that the associated data and documentation is available and authorized? 26 8.2 Does the supplier conduct scheduled audits of the final product in accordance with 75
E. 13
JDS-G223
the Control Plan to verify conformance to all specified requirements including packaging? 27 8.2 Does the supplier maintain records which provide evidence that the product has been inspected and / or tested and approved prior to release? 28 7.4 Does the supplier inspect, test, and verify that products do not contain substances 8.3 in excess of the amounts set forth on John Deeres 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 Equipment 29 7.6 Does the measurement system provide appropriate discrimination of the total product tolerance being measured? 30 7.6 Has the supplier identified all inspection measuring and test equipment that can affect product quality? 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)? In a controlled environment? 32 7.6 Does the procedure for calibration of inspection measuring and test equipment include 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? Review process for product inspected with "out of calibration" measuring equipment? 33 7.6 Has the supplier identified inspection measuring and test equipment with a suitable indicator or approved identification record to show the calibration status? 34 7.6 Does the supplier maintain calibration records for inspection measuring and test equipment? 35 7.6 Has the supplier performed Gage Repeatability and Reproducibility studies on key control 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 Status 36 7.5 Is the inspection and test status of product identified such that the conformance 8.3 status is recognizable and understood? Section Score: Section Compliance: (Complies = no question scored less than 2) I. Control of Nonconforming Product 37 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 Does the supplier quantify and analyze nonconforming product, establish a 8.5 prioritized reduction plan, and track progress to the plan? 42 7.2 Does the supplier obtain customer authorization prior to shipment, whenever the 76 31 7.6
JDS-G223
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 Action 43 8.5 Does the supplier use a disciplined problem solving method to address internal and external non-conformances? 44 8.5 Do procedures for corrective action include effective handling of customer complaints 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? 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 Preservation 47 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 Audits 49 5.6 Does the supplier have a documented program to perform internal audits of the 8.2 quality system? 50 5.6 Are personnel conducting the audit trained and independent of the function being audited? 51 5.6 Are the audit results recorded and brought to the attention of the responsible personnel? 52 5.6 Are corrective actions, for any deficiencies identified in an audit, carried out on a timely basis? 53 7.4 Is there a documented procedure for auditing of the supplier's supply chain? Is there evidence that it is being followed? Dimensional Specifications Mechanical Properties Hardness Plating Traceability of heat number to the mill shipment Evidence of auditing traceable to the mill Section Score: Section Compliance: (Complies = no question scored less than 2) M. Training 54 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 Techniques 56 8.2 Does the supplier use the appropriate statistical tools required to establish, control, and verify product quality? 57 8.4 What appropriate statistical tools are being used during: (Reference JDS-G223 25 Suggested Quality Tools) Quality planning? 77
JDS-G223
Quality control? Quality improvement? Section Score: Section Compliance: (Complies = no question scored less than 2) O. Regulatory Conformity 58 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 to purchase? 59 7.4 Does the supplier have documentation to substantiate that it owns the requisite Intellectual Property rights, or that it is properly licensed to use the requisite Intellectual Property Rights? 60 7.4 Are the Intellectual Property rights effective and legally enforceable in the country where the supplier will produce the product or utilize the manufacturing process? 61 7.4 Does the supplier have documentation to substantiate that its Intellectual Property Rights are effective in the country where it will produce the product or utilize the manufacturing process? 62 7.4 If the supplier possesses the requisite Intellectual Property Rights, is the duration of 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 could interfere with the proposed supply agreement? If yes, identify the 3rd party and the 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 Conduct P. General Information 64 1 Does the supplier have procedures in place designed to ensure that the requirements set out in John Deeres Supplier Code of Conduct are met? Section Score: Section Compliance: (Complies = no question scored less than 2) Q. Child Labor 65 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 14 years.) If answer is no, notify Manager, Supply Chain Value Assurance at 90smcompliance@johndeere.com. Section Score: Section Compliance: (Complies = no question scored less than 2) R. Compensation and Working Hours 66 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. Discrimination 67 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 Safety 68 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 with environmental, safety, or labor requirements at any facility at which products supplied 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, thirdparty audit, etc.)? 78
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Has the supplier obtained and maintained all environmental permits and registrations that apply to their facilities, operations, and products, including reporting obligations in accordance with applicable laws and regulations? 71 1 Are wastes that are stored, treated, or disposed of on-site managed in properly designed facilities that will prevent future environmental impacts? 72 1 Does the supplier have a program to identify and assess potential emergency situations such as weather, fire, or chemical spills and implement emergency plans and procedures? 73 1 Does the supplier have a program to identify, evaluate and control workplace exposures to chemical, biological and physical agents (e.g. chemical fumes, noise, dust, mold) at or below levels established as safe by applicable laws and regulations? 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 and machinery and conditions (e.g. slips, trips, fall hazards, physically demanding work) to prevent injury to workers? 75 1 Does the supplier have a program to provide and require the use of personal protective equipment when safety hazards and workplace exposures cannot be controlled by other means? Section Score: Section Compliance: (Complies = no question scored less than 2) U. Confidential Information 76 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)
70
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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 Opening Session Begin assessment in plant Time 1.5 Hours 2.5 Hours Description DAY 1 Define scope of assessment, resources, and assessment plan. Review business competencies, quality policy, mission, and vision. Process flow will be followed - from incoming material to shipping. Focus will be on control and verification procedures. Quality planning Communication with their supply chain Document Control Product Identification and Traceability Process Control Control of Nonconforming Product Corrective and Preventive Action Storage, Packaging and Preservation Statistical Techniques Brief review of findings, review plan for Day 2 Brief review of findings, review plan for Day 2 DAY 2 Inspection and Test Inspection and Measuring Equipment Inspection and Test Status Corrective Actions, Internal Audit Reports, Management Review Minutes and Quality Metrics, Training Records Regulatory Conformity and Supplier Code of Conduct questions (Environment, Safety, Human Resources) John Deere Team presents Strengths, Non-conformances, Opportunities for Improvement. Communication of final report schedule, and follow-up schedule for corrective action activities.
Working lunch (on-site) Continue plant assessment
0.5 Hour 2.5 Hours
Audit team meeting Briefing Complete assessment Element review Working lunch (on-site) Continue element review John Deere meeting Closing Session plant
1.0 Hours 0.25 Hours 1.5 Hours
2.0 Hours 0.5 Hour 1.5 Hours 1.0 Hour 1.5 Hours
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31 Product Engineering Audit Flowchart and Questionnaire
81
JDS-G223
JOHN DEERE SUPPLIER PRODUCT ENGINEERING QUESTIONNAIRE

Supplier Name: Supplier Number: Supplier Address: Supplier E-Mail: Audit Team Leader: Principle Products: Audit Date(s): Supplier Representative(s):
Supplier Fax Number: Audit Team Members:
Rating Does Not Comply Does Not Comply
Complies Complies Complies
GENERAL SUPPLIER RATING CRITERIA * Score ** Ability to meet requirement in question: 0 Requirement is not met. There is no evidence of implementation or documentation (major non-conformance). 1 Requirement is partially met but there are major inconsistencies in implementation or documentation (major nonconformance). 2 Requirement is met but there are minor inconsistencies in implementation or documentation, or is in the early phases and only preliminary evidence of implementation effectiveness exists (minor nonconformance). 3 Requirement is met and effectively implemented and fully documented. 4 Requirement is "world class" in terms of scope and implementation or it shows major signs of significant improvement over the last 12 months which is meaningful to the 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 which the 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 A. Product Verification & Validation Plan 1 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 into PV&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 acceptance criteria? (Their customer = John Deere) 3 Does the supplier understand the application (loads, environment, customer usage, temperature ranges, dust conditions, humidity, etc.) for their components? Describe methodology. Does the supplier understand the corner conditions? Describe methodology. 82
Score
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Does the supplier have a method of documenting and retaining this data? Describe methodology.
How is execution of the PV&V plan tracked? 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 Planning 6 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 design and PV&V capabilities to the changing product environment (application, technology and customer duty cycle)? 8 Do you have computer aided design and analysis resources? How is it used (i.e., tool design, 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 Design 11 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 Process 15 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 all key 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) 83
4 5
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E. 18
Product Verification & Validation Activities 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 II 20 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 Projects 22 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)
84
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32 Process Verification Audit Questionnaire

JOHN DEERE PROCESS VERIFICATION AUDIT QUESTIONNAIRE

Supplier Name: Supplier Number: Supplier Address: Supplier E-Mail: Audit Team Leader: Reason for Audit: Audit Date(s): Supplier Contact(s): Supplier Phone Number: Supplier Fax Number: Audit Team Members:
Date of Last John Deere Assessment or Survey (if any): Process(es) / Product(s) Audited: Note: Secure copy of certification(s), if not provided in advance. Quality System Certification, Registrar, and Date of 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): GENERAL SUPPLIER RATING CRITERIA * Score ** Ability to meet requirement in question: NA Requirement is not applicable. 1 Does Not Comply Requirement is not met or partially met. There is no evidence of implementation or documentation, or major inconsistencies in implementation or documentation (major nonconformance). Requirement is met but there are minor inconsistencies in implementation or documentation, or is in the early phases and only preliminary evidence of implementation effectiveness exists. Requirement is met, effectively implemented, and fully documented.
Rating Does Not Apply
Corrective Action No action required Requires Corrective Action Request (CAR), Document in NCCA Opportunity for Improvement. Recommend CAR, but not required No action required
2 Needs Improvement 3
Complies
** 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: # A. 1 2 3 4 a b c n Question Document Control Is the part print to the current Revision Level? Are the Control Plan documents being used up-to-date? 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? Do the process control documents adequately address all process parameters and product characteristics? Are the Product and Process Key Characteristics known, visible, and is there a documented control plan in place to continuously monitor the process control and capability? If the part has Key Characteristics, have a Gage R&R and capability study been 85 Score
JDS-G223
d e 5 6 7 8 B. 9 a b c d 10
11
12 13 14 C. 15 16 17 18 19 20 D. 21 22 23 E. 24 25 F.
performed? If the key characteristic has a Cpk < 1.33, does the Control Plan follow the requirements of the Continuous Process Monitoring Matrix? Are cleanliness requirements documented on the Control Plan? Are the Process flow diagrams, PFMEAs, Capability Studies, and Gage R&Rs controlled and up-to-date? Are other pertinent process control documents up-to-date? (Examples: process sheets, inspection and test instructions, standard operating procedures, preventive maintenance instructions) Are Suppliers' (sub-tier) documentation of the above (questions 1-6) for key characteristics controlled and up-to-date? Are computer programs used in the manufacturing process secure, controlled and backed up? (Examples: CNC & PLC programs). Material and Process Control Is the Control Plan applied at each operation and being followed, from incoming material to shipping? Is the frequency of inspection being performed as described in the Control Plan? Are the inspection method and equipment being used as described in the Control Plan? Do the operator instructions reflect the requirements of the Control Plan? Do the sample size, frequency and sampling method take into account the sources of variation? (Examples: multiple machines or fixtures for same characteristic, multicavity molds for the same part, and changes over time, like tool wear and environment) Are other pertinent process control documents in place and being followed? (Examples: process sheets, inspection & test instructions, standard operating procedures, preventive maintenance instructions) Is inspection data retained and stored appropriately? Are instructions included for packaging to protect the parts (both in-process & final) from damage & contamination, & are they followed? Are operators properly trained to perform their operations? Are appropriate personnel properly trained for performing work involving key product and process characteristics (especially for special processes)? Tools / Gages Is there an understanding of which tools/gages are needed for each operation, and are the needed tools/gages at the work station? Are any tools/gages being used or needed but not called out? Does the operator understand the proper use of the tools/gages and is he/she using them properly? Is equipment, including tooling, properly maintained? Are all the gages calibrated and records retained? Do Gage R&R studies have acceptable results? Corrective Action Is the Reaction Plan listed on the Control Plan effective & being followed? Is there an adequate process for isolation & control of non-conforming material (inc. Customer Notification) & is it being followed? Is an effective closed-loop corrective action process, including identification of root causes, fully implemented? Does the supplier use NCCA, as appropriate? Change Control What is the change control process, and is it effective? (All part and process documentation, including Control Plans, must be updated.) Are Change Control Procedures followed in accordance with JDS-G223 (Supplier Change Request)? Does this include applicable sub-tier suppliers? Scoring Summary Total Points Percent of Total Points Available (NA questions are excluded.) 86
JDS-G223
33 Contact Information
If you have suggestions for improvements to the John Deere Supplier Quality Manual please contact your John Deere Supply Management or Quality Representative. Administration and maintenance of John Deere standards is available through JD Supply Network: http://jdsupply.deere.com/business_processes/product_delivery_process/jd_eng_standards/jd_eng_stand ards_index.htm.
34 References
The 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 Suite 200, Southfield, MI 48034 (248)-358-3003, http://www.aiag.org 7. John Deere Supply Network: http://jdsupply.deere.com/ 8. Jurans 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, 26200 Lahser 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 Lahser Rd 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 Rd Suite 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
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JDS-G223
A Summary 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 Audit 8.2.2.2 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 / Revisions Form 10 PPAP requirements based on PLQP Form 12 Component Performance & Reliability Assurance Form 22 Updated Continuous Process Monitoring Matrix Form 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
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John Deere Standard

APPROVED FOR SUPPLIER DISTRIBUTION

Supplier Quality Manual

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Quality Management System

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The quality management system documentation shall include:

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Top management shall endorse a written quality policy that:

Responsibility, Authority and Communication

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Product Realization - Enterprise Product Delivery Process

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Advanced Product Quality Planning

Acceptance criteria is approved by John Deere, where required. 7.1.3 Confidentiality

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Review of Requirements Related to the Product

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Table 1 Planned Changes Requiring Notification Prior to Implementation

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Table 2 Changes Requiring PPAP Approval Prior to First Production Shipment

2. Correction of a discrepancy on a previously submitted part.

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Design and Development

Design and Development Inputs

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Control of Design and Development Changes

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Production and Service Provision

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Control of Monitoring and Measuring Devices

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Measurement, Analysis and Improvement

Monitoring and Measurement

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Table 3 Indices Matrix

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X closest spec Ppk = 3

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statistic, such as C pk or Ppk .

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

Table 4 Confidence Limit Z Values

1.28 1.64 2.33

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USL X X LSL , C pk = Min 3s 3s R s= d2

C pk and Ppk is the calculation of the sample

C pk is calculated by taking the Average Range and dividing by a constant d2

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Control of Nonconforming Product

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Process Control Flow Chart PDP and Initial Production

Identify Processes / Machines to be Used

Complete all requirements confirmed during DPAR