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Engine and Fluid Management Group

SupplierDevelopment

Manual

Revised December 11, 2003

Revised June 2, 2003

Revised January 8, 2001

Released April 5, 1999

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Table of Contents Introduction .............................................................................................................................................................................. 5

Policy and Principles ................................................................................................................................................................ 5

Ethics .................................................................................................................................................................................... 6

Our Mission .......................................................................................................................................................................... 8

Our Mission .......................................................................................................................................................................... 9

Section 1 - Quality.................................................................................................................................................................. 10

1.1 Quality System Requirements................................................................................................................................. 10

1.2 Quality System Development and Audits ............................................................................................................... 10

1.3 Quality Planning ..................................................................................................................................................... 12

1.4 Production Part Approval Process (PPAP) ............................................................................................................. 12

1.4.1 PPAP Submissions.......................................................................................................................................... 13

1.4.2 PPAP Status .................................................................................................................................................... 14

1.4.3 Out-of-tolerance Conditions on PPAP Samples ............................................................................................. 14

1.4.4 PPAP Record Retention.................................................................................................................................. 15

1.4.5 Ongoing PPAP Maintenance .......................................................................................................................... 15

1.5 Subcontracted Parts and Services ........................................................................................................................... 15

1.6 Prototypes and Soft Tooled parts............................................................................................................................ 16

1.7 Special Characteristics............................................................................................................................................ 17

1.8 Material Certifications ............................................................................................................................................ 17

1.9 Restricted Substances ............................................................................................................................................. 17

1.10 Statistical and Analytical Techniques ..................................................................................................................... 17

1.11 Internal Supplier Product/Process Audits ............................................................................................................... 18

1.12 Calibration .............................................................................................................................................................. 18

1.13 Gage R&R .............................................................................................................................................................. 19

1.14 Request for Deviation ............................................................................................................................................. 19

1.15 Notification and Control of Nonconforming Material ............................................................................................ 19

1.16 Preventative/Corrective Action and Problem Resolution ....................................................................................... 20

1.17 Supplier Controlled Shipping Procedures............................................................................................................... 21

1.17.1 Level 1 Controlled Shipping........................................................................................................................... 21

1.17.2 Level 2 Controlled Shipping........................................................................................................................... 21

1.18 Traceability............................................................................................................................................................. 22

1.19 Document Control/Record Retention...................................................................................................................... 22

1.20 Manufacturing Capabilities..................................................................................................................................... 22

1.21 Specific Requirements ............................................................................................................................................ 22

1.22 Economics-Considerations of Quality-Related Costs ............................................................................................. 23

1.23 Product Safety and Product Liability ...................................................................................................................... 23

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1.24 Housekeeping ......................................................................................................................................................... 23

1.25 Tooling Management.............................................................................................................................................. 23

1.26 Control of Special Process...................................................................................................................................... 24

1.27 Inventory Age Control ............................................................................................................................................ 24

1.28 Product Change Notification................................................................................................................................... 24

1.29 Drawing and Engineering Change Control ............................................................................................................. 24

1.30 Parts Per Million Calculation.................................................................................................................................. 24

Section 2 – Commercial.......................................................................................................................................................... 26

2.1 Commercial............................................................................................................................................................. 26

2.2 Cost Improvement .................................................................................................................................................. 26

2.3 Cost Control and Reduction.................................................................................................................................... 26

2.4 Commercial Agreements—General Requirement .................................................................................................. 26

2.5 Warranty ................................................................................................................................................................. 27

2.6 Non-Conforming Material Charges ........................................................................................................................ 27

Section 3 - Delivery................................................................................................................................................................ 28

3.1 Logistics Planning—General Requirements........................................................................................................... 28

3.2 Design for Logistics................................................................................................................................................ 28

3.3 Delivery Process ..................................................................................................................................................... 28

3.4 Supply Chain Flexibility......................................................................................................................................... 29

3.5 Containers and Packaging....................................................................................................................................... 29

3.6 Labeling Standards ................................................................................................................................................. 30

3.7 Premium Freight ..................................................................................................................................................... 30

Section 4 - Support ................................................................................................................................................................. 31

4.1 Risk Assessment ..................................................................................................................................................... 31

4.2 Continuous Improvement ....................................................................................................................................... 31

4.3 Program Management............................................................................................................................................. 32

4.4 Minority Sourcing................................................................................................................................................... 32

Section 5 – Supplier Ratings................................................................................................................................................... 33

5.1 Supplier Balanced Scorecard .................................................................................................................................. 33

5.2 Rating System Guidelines....................................................................................................................................... 33

Section 6 - Appendices ........................................................................................................................................................... 38

6.1 References............................................................................................................................................................... 38

6.2 Acronyms................................................................................................................................................................ 39

6.3.1 PPAP Checklist................................................................................................................................................... 40

6.3.2 PPAP Warrant..................................................................................................................................................... 41

6.3.3 PPAP Dimensional Results................................................................................................................................. 42

6.3.4 PPAP Material Test Results................................................................................................................................ 43

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6.3.5 PPAP Performance Test Results ......................................................................................................................... 44

6.4.1 Supplier Corrective Action Report ..................................................................................................................... 45

6.4.2 Supplier Corrective Action Report .................................................................................................................... 46

6.5 Prototype Dimensional Results Form ..................................................................................................................... 47

6.6 Supplier Change Request Form .............................................................................................................................. 48

Supplier is required to ensure this document is safely kept under their Document Control Department. The latest versionmust be maintained and the supplier must show evidence of adherence to this manual.

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I n t r o d u c t i o n

The evolution of the international automotive industry, from a regional to a globally based business, has forged a new

generation of Tier One suppliers, able to operate as global partners to the vehicle producers, worldwide. At Dana, we

support this shift with a solid, customer-focused business plan. With our customer’s knowledge, we have created one of the

world’s largest networks of automotive and commercial vehicle component and system suppliers, capable of delivering

high quality products, on time, every time, anywhere in the world.

Dana Engine & Fluid Management Group (EFMG) is a business group of the Dana Corporation, a world-leading supplier

of engine and fluid management systems to the global aftermarket and original equipment automotive industries. As an

EFMG supplier, your organization is regarded as an extension of our manufacturing process. It is in your and our best

interest to provide the highest Quality Products and Services.

In our teamwork relationship, we plan to foster a growing mutual understanding with our suppliers, while recognizing each

other’s independence. We will work hard to operate with agreed upon requirements and procedures. Together, we have to

focus on the needs and interests of the Customer.

To meet our customers’ world-class expectations, EFMG has established appropriate standards to ensure the quality of our

products and the integrity of our operations. This Supplier Development Manual is the quality standard for every EFMG

supplier worldwide. This common global manual will allow EFMG to evaluate all suppliers across all groups and divisions

around the world.

P o l i c y a n d P r i n c i p l e s

It is the policy of EFMG to provide attractive and desirable products and services that meet or exceed the requirements and

expectations of our customers. The quality of our products and services shall be the most significant reason to select us as

the Preferred Supplier. Thus, this philosophy serves as the base for our Mission Statement: To be the Preferred Provider of

Engine and Fluid Management Systems for the global vehicular market.

This Supplier Development Manual has been developed to provide a foundation in order to establish the business process

necessary for the achievement of competitive performance and business results. This Manual places an emphasis on

‘Performance Based Partnership.’ This statement explicitly identifies the need for suppliers to focus on the achievement of

pre-determined performance objectives; divided into the areas of Quality, Delivery, Support, and Commercial.

We believe that the implementation of this Supplier Development Manual will assist our suppliers in the development of

their business and manufacturing processes, contributing to mutually enhanced future competitiveness and success. We

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believe that there must be shared responsibilities and destinies and we will treat our suppliers the way we want to be

treated, fairly and honestly. We want our suppliers to survive, grow and become a vital partner with Dana.

In order for Dana and its suppliers to meet our goals and the goals of our customers, there are fundamental expectations that

we must build into our business system.

• Perfect Quality

• Perfect Delivery

• Technological Innovation

• Cost take out

• E-initiatives

• Lean Manufacturing

• Minority Sourcing for U.S. Suppliers—

Establish and Implement a tier two minority

system.

• Kaizen Problem Solving

• Quick Response

• APQP Support

E t h i cs

Dana has Standards of Business Conduct, which guide employee at all times. Suppliers to Dana are expected to respect

and adapt these standards when doing business with us. Please review and abide by them.

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O ur M i s s i o n

Everything we do at EFMG advances a single goal: satisfying the many stakeholders and shareholders we serve. To do this,

we strive to:

• Develop our key strengths

— Manufacturing skills

— Comprehensive customer support

— Full-line coverage

— Technological Innovation

— Perfect Quality

— Perfect Delivery

— Aggressive Cost Take Out

• Grow the company through internal efforts and acquisitions, we work to extend our product offering and global

markets

• Increase sales and earnings faster than the industry to add values beyond our cost of capital

Accomplishing the above helps maximize our shareholders’ returns. Further, it allows us to provide excellent products and

services for our customers, and a stimulating environment for our associates.

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S e c t i o n 1 - Q u a l i t y

1 . 1 Q u a l i t y S ys t e m R e q u i r eme n ts

The supplier shall demonstrate the ability to establish, document and implement an effective quality system, that complies

with all applicable elements of ISO/TS16949 or an approved 3rd party registration (i.e. ISO, VDA6, EAQF, AVSQ). The

supplier’s management shall ensure that the Quality Policy is thoroughly distributed, understood and maintained; and that

adequate levels of authority have been established to ensure the continuous improvement of the quality system.

It is a goal of Dana to have all of our production suppliers registered to a minimum of ISO 9001:2000 with 100% of our

supply base registered to ISO/TS 16949:2002 by December 14th 2006. To meet this goal we require action plans with

milestones and deadlines for the following:

• Suppliers needed to be registered to a minimum of ISO 9001:1994 as of December 31st, 2002 per QS-9000. If this

requirement has not been met, the supplier must show compliance toward an existing standard along with intent to

become registered to TS 16949:2002.

• Suppliers registered to ISO 9001:1994 will need to upgrade to ISO 9001:2000(E), target date should be no later

than the expiration date of your current certificate. ISO 9000: 1994 expires on December 15th, 2003.

• Suppliers registered to QS-9000 3rd Edition (QS-9000:1998) will need to upgrade their registration to ISO/TS

16949:2002. The target date should be prior to the expiration date of their current certificate but no later than

December 14th, 2006.

• Suppliers registered to ISO/TS 16949:1999(E) will need to upgrade to ISO/TS 16949:2002(E) prior to December

15th, 2004.

Monitoring of registration, compliance toward registration or exclusions will take place with the primary Dana

division your company does business with.

The supplier must notify Dana if it’s Quality Standard certification has been suspended, placed on probation or if they are

placed on any special status with their customers due to quality or delivery issues. EFMG and its customers reserve the

right to verify conformance of the quality system.

1 . 2 Q u a l i t y S ys t e m D e ve l o pm e nt a n d Au d i ts

EFMG may require a formal assessment of the supplier’s quality system at any time. The type of audit done is based on the

requirements. Some reasons include:

• At the supplier’s and/or customer’s request to provide guidance for verification of quality system improvements

• Supplier is not 3rd party registered

• Suppliers does not meet acceptable standards of performance

• Potential or Strategic Supplier to Dana EFMG

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Audits as a whole, follow the same process, as illustrated in this flowchart:

Identify supplier to audit

Determine audit purpose and select audit type.Types include: > Strategic Supplier Audit - use this audit to develop key suppliers. > Quality System Audit - use this audit to analyze a suppliers quality system. > Control Plan Audit - use this audit to analyze a supplier’s process.

Identify audit team members anddevelop an audit plan.

Review audit agenda with relevantfacilities to seek feedback. Revise

agenda as needed.

Supplier Quality Control Audit Process

Determination is made whether asupplier should either complete a self-

audit or be audited.

Conduct anaudit.

Is a self audit enoughinformation from

supplier?

1) Send supplier a Supplier Self Audit Questionnaire with a deadline for completion 2) Request Copy of supplier's Quality Manual with the completed Audit Questionnaire 3) Ensure supplier has a copy of Dana’s Supplier Development Manual

ProcessScope:

Contact other Dana locations using supplier to obtain information.

Conduct on-site audit.

Conduct a consensus findings meeting 1) Compare site audit results with self-audit responses 2) Identify any gaps and corrective actions 3) Prepare an audit report

Conduct review meeting withsupplier to communicate

findings and issue any CARs.

Issue final audit report includingsupplier’s CAR response deadlines, if

applicable. Distribute report to sitecontacts.

Track corrective actions.Ensure timely response

and closure.

YesNo

Send auditagenda tosupplier.

In-person auditis not

necessary.

No

Yes

Schedule the following: 1) On-site audit 2) Consensus findings meeting 3) Review meeting with supplier

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1 . 3 Q u a l i t y P l a n n i n g

The purpose of a quality plan is to set direction, action plans and measurements needed to accomplish stated objectives and

plans. To this end, suppliers shall use some form of systematic planning and review for new products and product changes.

Quality development and control activities require planning to be effective and economical. The quality planning process

shall emphasize problem prevention rather than detection, and support a continuous quality improvement philosophy.

When quality planning is properly performed, waste, scrap, rework and customer complaints are reduced while

productivity, efficiency, and profits are increased. Dana requires that its suppliers plan for quality. Information on quality

planning may be found in the Advanced Product Quality Planning and Control Plan (APQP) Reference Manual, published

by AIAG. The quality planning activity shall be a regularly scheduled, cross-functional process, involving all departments

with goals and objectives supporting the quality system.

Each supplier is responsible for the quality of its own products. The supplier’s failure to provide Dana with quality goods

may result in Dana’s claims for machining, assembly, sorting and/or administrative costs due to poor quality, late delivery

and other nonconforming conditions.

The following quality planning methods and documentation are suggested:

• Design Failure Mode and Effects Analysis (DFMEA) (where the supplier is

design responsible).

• DVP&R

• Process Flow Chart.

• Process Failure Mode and Effects Analysis (PFMEA).

• Control Plans (Prototype, Pre-launch and Production) where applicable.

• Measurement System Analysis for all applicable equipment specified in the control plan.

• Manufacturing Feasibility Reviews.

• Key product/process characteristics.

• Packaging Plans.

• PTR’s (Production Line Trials)

• Line Speed Demonstration Trials

• PSO (Production Sign-Off Process)

1 . 4 P r od u c t i o n P a r t Ap p r o va l P r oc es s (PPAP )

Suppliers shall fully comply with all requirements in the AIAG Production Part Approval Process Manual when doing

business with Dana. Before making a shipment to Dana, the supplier must meet all of the purchase order requirements and

must ensure that all parts conform to Dana's engineering and quality specifications. This includes the submission of a

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PPAP, unless it is waived in writing. Conditions requiring submission can be found in the AIAG PPAP Manual, Section 2,

as well as the following situations:

• When a new part or product needs to be manufactured.

• When a part needs to be modified due to an engineering change.

• When a different material is used to make the part than was previously approved.

• When new or modified tools, dies, molds, etc. are used in production.

• When the manufacturer makes any change to the production process.

• When tooling and equipment is transferred to a different plant location.

• When a new subcontractor is used for parts, materials and/or services.

• When the tooling, used for production, has been inactive for twelve or more months.

• When the Division has requested that shipments be suspended due to quality issues.

• Customer Directed Suppliers who supply the OEM direct

All Dana EFMG Tier One suppliers are required to submit a PPAP for all process changes; including customer directed

suppliers. Whenever one or more of the conditions listed above or within the AIAG PPAP Manual is imminent, the

supplier must notify their Dana buyer of the pending change using a change request form found in Appendix 6. For

clarification of the requirements, contact your Dana representative.

1 . 4 . 1 P PAP S u bm i s s i o ns

Unless otherwise agreed upon:

• All PPAPs will be accompanied by a coversheet or checklist provided in Appendix 6, along with all of the

required documents and samples that are labeled.

• Data used for the PPAP submission shall be taken from a minimum 300-piece production run, unless otherwise

requested.

• The full dimensional layout using the Dana dimensional form shall be completed on a minimum of five parts per

tool or mold/die cavity.

• PPAP submission is Level 3, unless directed differently by Dana Purchasing in conjunction with the using plant.

• The PPAP warrant shall contain an agreement regarding the supplier’s compliance to applicable government and

End of Vehicle Life and safety requirements on restricted material.

• Sample shipments must be clearly identified as PPAP samples, to prevent the samples from being mixed with

production material or being otherwise misdirected.

• Suppliers shall submit the PPAP package to the Quality Department.

• All samples submitted for PPAP approval must be visually inspected to ensure that they are free of flaws, defects

or discontinuities that might adversely affect the form, fit, function or durability of the part or that might injure a

person handling the material. A PPAP may be rejected for substandard workmanship, even if such characteristics

are not specifically identified on the engineering drawing or related specifications.

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• All required PPAP paperwork and the sample articles used for dimensional layout must be submitted as a

package. The sample articles must be properly identified.

• The PPAP packages are to be received at the designated Dana facility by the scheduled date. If a PPAP will be

submitted late, it is the supplier's responsibility to notify their contact. Your Dana facility may track your

company’s delivery performance regarding PPAP submission, so it is in your interest to communicate with your

Dana contact.

• PPAP samples must not be packaged together with production parts. Samples should be submitted and approved

before the shipment of production parts.

1 . 4 . 2 P PAP Sta t us

The following dispositions will be used:

• Accept

• Reject - The supplier must correct and resubmit the PPAP package. Only those characteristics affected by the

changes to the tooling and/or process need to be addressed in the resubmission. If the PPAP was rejected because

of missing documentation, the documentation must be included with the resubmission. The supplier must not ship

production quantities while the status of the PPAP is "Reject" unless a deviation is granted for all characteristics

contributing to the rejection. If the supplier’s PPAP is rejected, the product shall be corrected and PPAP

resubmitted for approval.

• Other - This status may be applied to product that has been accepted for all dimensional and material

requirements, but will require subsequent manufacturing evaluation to determine acceptability. When a PPAP

receives this disposition, the supplier is required to submit a small production lot of product for evaluation.

Accept status is granted if no product-related problems are encountered during testing. If problems are

encountered, the status becomes Reject and the supplier must resubmit based on the feedback they are given.

After PPAP approval has been granted, suppliers are responsible for seeing that future production continues to meet all

customer requirements.

1 . 4 . 3 O u t - o f - t o l e r a n ce C o n d i t i o ns o n PPAP S am pl es

The supplier must make every reasonable effort to correct any discrepancies discovered when parts are being evaluated for

a PPAP. If, for any reason, the samples inspected for the PPAP do not conform to all requirements and the supplier is

unable to correct the discrepancy, the supplier must notify the appropriate Dana contact prior to submitting the PPAP. This

will allow for remediation if needed.

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1 . 4 . 4 P PAP R e c or d Re te n t i o n

Suppliers are responsible for retaining a complete record of all PPAP submissions. Records shall show conformance to all

dimensional, chemical, metallurgical, physical, performance and other test specifications. Following will be kept on file:

• Inspection results accompanied by customer’s engineering approved design record for all dimensional

requirements.

• Laboratory test reports covering all chemical, metallurgical, physical and

performance tests along with the Laboratories scope and certificate of accreditation to ISO/IEC 17025 or

equivalent.

• Preliminary process performance results for all critical and significant characteristics.

• Measurement systems analysis (gage R&R) results, process flow diagrams, process failure mode and effects

analysis, control plans, preliminary process performance evaluations, subcontracted supplier warrants and

supporting documentation, appearance approvals and master samples.

1 . 4 . 5 O n g o i n g PPAP M a i n t en a n ce

The supplier shall ANNUALLY REVALIDATE THEIR PRODUCT AND PROCESS (including complete dimensional,

material and performance evaluation) FOR ALL PARTS AND SERVICES PROVIDED. A Level 1 PPAP should be

submitted that indicates “ANNUAL REVALIDATION” on the warrant as the reason for submission. Additionally, raw

material should be tested annually by 3rd party accredited laboratory.

If an annual revalidation PPAP does not show conformance to all specifications, the supplier shall obtain a deviation as

authorization from Dana to continue shipments. The process to request a written deviation is through a Supplier Change

Request found in Appendix 6.

1 . 5 S u b c o nt r a c t e d Par ts a n d Se r v i c e s

If a part or service is subcontracted by a primary supplier, the primary supplier assumes responsibility for the quality of that

part or service unless Dana specifically releases the supplier from that responsibility in writing. Materials purchased by

Dana and consigned to a primary supplier are not considered subcontracted. The primary supplier is responsible for the

quality of all subcontracted materials, components or services. Parts or services can not be subcontracted or sold with out

prior consent from a Dana representative.

Any materials, components or services purchased by the supplier for use in Dana products must be adequately inspected

and/or tested to assure conformance to the applicable engineering drawings and specifications. This applies whether the

materials/components are Dana designed or are specified by reference to a particular industry specification or

manufacturer's part number.

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Whenever the primary supplier subcontracts a service (e.g., heat treating, machining, assembly, Inspection), it must assure

that the results conform to all applicable specifications. Any characteristics produced or affected by subcontracted services

are to be treated in the same manner as on Dana designed materials components.

For materials or components that are Dana-specified, but do not have dimensional, physical, material or aesthetic

characteristics specifically indicated (such as off-the-shelf or catalog items), the supplier must provide the sub-supplier's

name and address and the part number and/or name of the subcontracted item with the PPAP documentation.

Whenever specified by Dana, only Dana-approved sources may be used for supplier-procured subcomponents.

1 . 6 P r o t o t yp e s a n d So ft To o l e d par ts

All dimensions on the drawings must have SPC at PPAP. All EFMG suppliers of components, materials and subassemblies

shall adhere to the following requirements for prototype sample submissions and soft-tooled production parts. The Quality

Department at the receiving EFMG facility must approve any exceptions to these requirements.

• It is our corporate policy that NO parts are to be made without a Purchase Order. If you do not have a copy or a

PO Number, do not make the parts.

• Dimensional results, preliminary capability analysis, and/or material certifications accompany parts if required.

• Dimensional results: full layout of minimum of two (2) parts per tool or mold/die cavity, unless otherwise

specified. Use form found in appendix 6 to record and submit the results.

• Preliminary capability analysis: all significant and critical characteristics.

• Material certifications: all materials, hose, plating, coatings, or out-sourced processes.

• The supplier must notify the Quality Department at the receiving EFMG facility of all non-conformances and

obtain written approval prior to shipment. Parts found to be nonconforming, with no prior approval, will be

rejected.

• The supplier must provide a permanent corrective action plan if a nonconformance is detected.

• Parts/material shall be labeled following the receiving plants/divisions specifications and/or specified labels.

• When ever possible, lot traceability must be provided with each shipment. If you do not have lot traceability you

must provide your internal Work Order No. on all paperwork. Parts produced using customer-supplied material

must have lot traceability supplied with the order.

• All shipping notices, delivery receipts and containers should include the following: P.O. No., Part No., Revision

Level, Quantity and Lot number. Send them Attn: EFMG Representative or Area.

• A copy of the Drawing, Prototype Dimensional Results and other applicable documentation such as material

certification should accompany the shipment.

• A copy of the commercial invoice and shipping/tracking waybill are to be faxed to the EFMG quality department

before parts are shipped so delivery location can be verified.

Additional requirements may also be specified by the EFMG facility you are working with.

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1 . 7 Sp e c i a l C h ar a c te r i s t i cs

Some EFMG products will have features, which are designated as Special (key, significant, critical, etc.) characteristics on

the drawing. When a special characteristic is shown on a drawing, the supplier shall comply with the description. It is the

supplier’s responsibility to understand all special characteristics on the part drawing, and to notify the division-purchasing

associate when more information is required.

1 . 8 M ate r i a l C er t i f i ca t i o ns

The supplier shall ensure that the product supplied to EFMG is in compliance with all material specifications on the product

drawing and/or purchase order. Material certifications containing actual measured results are required at PPAP and during

normal production on an as needed basis, as designated by the facility.

1 . 9 R e s t r i c te d S u bs ta n ce s

Dana is concerned for the safety of its employees and customers. Suppliers must assure compliance with all governmental

and safety requirements on restricted, toxic and hazardous substances used in the manufacture of products delivered to us.

When applicable, Material Safety Data Sheets, (MSDS's) are to be sent to the attention of the Environmental Health and

Safety Officer at the user plant prior to the first production shipment and upon request.

Suppliers are required to report any hazardous materials contained in any part of the product shipped (including coatings,

etc) to Dana. Doing business with Dana means being compliant to applicable government and End of Vehicle Life and

safety requirements on restricted material. Suppliers will be requested to submit to an International Materials Data System

(IMDS) for Dana, as well as be requested to input directly into a Dana Customer’s website.

1 . 1 0 Sta t i s t i ca l a n d An a l yt i c a l Te c h n i q ue s

Statistical and analytical techniques may be used by the supplier to measure and improve process capability, efficiency, and

quality of the product. Some of these techniques widely used are:

• DOE

• X&R charts

• P, C, U, NP charts

• Histograms

• FMEA

• Pareto analysis

• Ishikawa or Fishbone diagrams

The supplier must develop a system that documents responsibilities, involvement, plans and criteria for implementing

statistical and analytical methods. (See Section 6 Reference to the AIAG Statistical Process Control Manual).

The supplier is responsible for ensuring that tooling, equipment, and processes used to demonstrate the capability to

consistently produce quality parts with minimum variation. The special characteristics identified on customer prints will

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require a minimum of 1.67 PPK (pre-production) and/or a minimum of 1.67 CPK (production). The EFMG manufacturing

facility may require additional requirements for statistical control and process capability. All dimensions on the drawing

must demonstrate statistical process control at time of PPAP.

1 . 11 I n te r n a l S u p p l i e r P r od u c t / P r o ce ss Au d i ts

The supplier shall have an internal process for the routine audit of product and process quality. The supplier shall perform

internal quality audits scheduled on a regular basis to set a benchmark for continuous improvement of their quality systems

and to demonstrate compliance with existing elements of this manual. The results of the internal audits shall be distributed

to the appropriate personnel; action plans shall be developed, tracked and documented for all areas that are found to be in

noncompliance.

The objectives are to:

• Assess the effectiveness of the control plan in assuring conformance to the requirements.

• To evaluate ‘as delivered’ product quality.

• To provide a basis for the improvement of the control plans.

• To provide additional assurance of product quality.

Assessments of dimensional, functional and/or cosmetic features may be required to adequately evaluate the part or process

to EFMG requirements.

1 . 1 2 C a l i b r a t i o n

The supplier shall establish a calibration system that will track and account for each gage and measuring instrument

individually. Established calibration intervals shall be documented, and each instrument shall be traceable to its last

calibration date. Documentation shall include the actual quantitative measurements taken during the calibration, in order to

monitor long-term performance.

All gages used in evaluating process potential must be in compliance with Quality System requirements and the AIAG

Measurement System Analysis Manual before proceeding with the process potential study. Copies of the R&R study data

and results must accompany the process potential study information. Information on conducting gage R&R studies may be

found in Measurement Systems Analysis Reference Manual, published by AIAG.

All calibration must be traceable to an industry recognized standards/accreditation authority. Outside calibration services

must be accredited to ISO/IEC 17025. These calibration records shall be retained for verification purposes.

Employees involved in using calibration equipment should have documented training on the instruments they use.

Documentation of training records shall be retained for verification purposes.

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1 . 1 3 G a ge R & R

The supplier shall conduct GR&R studies upon receipt of new or repaired measuring equipment. Documented action plans

shall be completed for completion of GR&R studies on existing equipment. After the initial studies, established intervals

for repeat verification, GR&R studies must be documented, traceable to the last date of evaluation, and include all

significant study information. These repeat studies are necessary on a regular basis to assure continued suitability to the

application. GR&R studies shall be conducted under actual operating conditions. Refer to Measurement System Analysis

Manual available from AIAG. Gage R&R studies must be included with each PPAP package.

1 . 1 4 R e q u es t f o r D ev i a t i o n

Requests for deviation to any print, specification, or other requirement that is initiated by the supplier or Dana must be

submitted to the appropriate EFMG Purchasing Department. The appropriate document must be approved before any

deviated material is shipped to the EFMG facility. Product shipped without a deviation is subject to rejection by the Dana

facility. Any liability incurred as result of unapproved material shipped to a Dana facility without approval will be incurred

by the supplier. The request for deviation is to be submitted through the Supplier Change Request found in Appendix 6.

1 . 1 5 N o t i f i ca t i o n a nd C o n t r o l o f N o n c o nf or mi ng M at e r i a l

All suspect material must be properly contained at the supplier’s facility. All suspect nonconforming material must be

quarantined in a segregated area, designated for that purpose only. An effective system is required for proper identification

and timely disposition of nonconforming material. The supplier is responsible for maintaining and analyzing data for those

non-conformances.

The customer shall be notified immediately if suspect stock has been shipped to our facility.

Disposition decisions to “use as is” or “repair through concession” will require technical justification, customer approval,

and documentation of the actual condition to ensure product performance will not be adversely effected.

In cases where EFMG has determined that it has received nonconforming material, the supplier will be contacted to secure

a return authorization or other possible remedy. Replacement of nonconforming material must occur in a timely manner to

ensure the continued supply of product.

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1 . 1 6 P r e ve n ta t i ve / Cor r e c t i ve Ac t i o n a n d P r o b l e m

R e s o l u t i on

The supplier shall establish systems to document and track corrective actions. Corrective actions could be referred to as

Non-conforming Material Reports (NCMRs), Corrective Action Reports (CARs) or Defective Material Reports (DMRs).

Results must be traceable to the initial reason for the corrective action request. The format used must drive towards root

cause analysis and implementation and effectiveness of permanent action to eliminate the problem and the possibility for

recurrence. Analysis of actions taken and results shall verify the effectiveness of the solution. The suggested documented

problem solving form is the 8-D, but other formats may be used. A sample form is located in Appendix 6.

For incidents involving product shipped to EFMG facilities, require specific response times and trigger charges. Fees are

located in section, 2.6 Non-conforming Material Charges. The corrective action process involves an initial corrective action

request shall be forwarded to the Dana facility within 24 hours of the occurrence/notification. If containment is needed, it

must include:

• Method of containment,

• How new product is identified, and

• Containment plan for product in transit or at the Dana facility.

The permanent corrective action or an action plan shall be issued to the facility within 7 working days of notification of the

occurrence. This must include:

• Root Cause analysis,

• Verification of corrective action, and

• Dates and Responsibilities for actions not complete.

All corrective action responses are to be closed out in a timely and expeditious manner, with a maximum target closure date

of 30 days. Corrective action requiring more than 30 days requires written approval by the appropriate facility quality

contact.

To this end, the supplier’s system shall contain a mechanism for escalating unresolved problems to the supplier’s executive

management to ensure action is taken and to enable an understanding of any strategic implications. There may be special

requirements from a facility that may require quicker responses.

The supplier shall develop a method for assessing the responsiveness and effectiveness of their problem resolution process.

During specific instances an EFMG supplier may be requested to attend an Incoming Quality meeting. These meetings will

include Dana plant personnel and the divisional supplier development and purchasing representatives. A targeted supplier

may be one with a high PPM or one with chronic repetitiveness of bad quality. Suppliers who are unable to control non-

conforming material from shipping to a Dana facility are subject to Controlled Shipping Procedures.

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1 . 1 7 S u p p l i e r C o n t r o l l ed S h i p p i n g Pr o ce d ur es

The following procedures are considered escalation to control non-conforming material being shipped to our facilities. A

request to implement a process indicates existing measures by a supplier have been insufficient in stopping shipment of

non-conforming material. There are two levels of controlled shipping as a means to ensure our facilities receive material

that conforms to specification and does not shut our lines down.

1 . 1 7 . 1 L e ve l 1 C o n t r o l l ed S h i p p i n g

1. Develop, define, and implement an agreed-upon containment activity over and above current process controls and

containment activity. Supplier to submit this corrective action to your Dana contact for approval.

2. Clearly identify shipments as being on Level 1 Containment and having 100% inspection. This should be done by:

a. Adhering labels to each container indicating inspection.

b. Providing an inspection log for each shipment that details approval by container within the shipment.

3. The timeframe for Level 1 Controlled Shipping is one month or a designated number of shipments without any

incidences of non-conforming material. The duration can also be designated by the Dana facility.

4. A debit may be issued to supplier for each part number on Level 1 Controlled Shipping.

Failure to comply with this process, or the inability to implement a successful action plan or containment activity, will

result in the implementation of Level 2 Controlled Shipping.

1 . 1 7 . 2 L e ve l 2 C o n t r o l l ed S h i p p i n g

1. Implement and pay the costs of a defined containment activity over and above supplier’s current process controls

and containment activity. A defined containment activity includes having an outside source inspect product within

supplier’s facility.

2. Develop, define, and implement the agreed upon containment activity over and above Level 1 Controlled Shipping

process controls and containment activity.

3. Clearly identify Level 2 inspected shipments, with a color-contrasting tag that reads "containment process

complete." Each tag must be initialed and dated by the inspecting employee.

4. Level 2 Controlled Shipping action plans must be submitted to supplier’s QS-9000 or TS16949 registrar for

review and assessment. Supplier should authorize their registrar to submit the resulting assessment to us.

5. The timeframe for Level 2 Controlled Shipping is one month or a designated number of shipments without any

incidences of non-conforming material. The duration can also be designated by the Dana facility.

6. A debit may be issued to supplier for each part number on Level 2 Controlled Shipping.

Failure to comply with this process, or inability to implement a successful Level 2 Controlled Shipping action plan or

containment activity, will result in new business hold or potential de-sourcing.

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1 . 1 8 Tr a ce a b i l i t y

Unless otherwise agreed to, the supplier shall maintain the ability to trace their product from the lot identification as

shipped to EFMG, back through their manufacturing system to the raw material source.

1 . 1 9 D o c u me n t C o nt r o l / R ec or d R e t e n t i on

Suppliers shall have a system to control the updating, distribution, storage and removal of engineering drawings,

specifications, control plans, FMEA’s, procedures, work instructions, forms, etc. per EFMG approved 3rd party quality

system registration requirements.

1 . 2 0 M an u fa c t ur i n g Ca pa b i l i t i es

Suppliers shall establish systems and procedures, which seek to continuously optimize the efficiency and productivity of its

manufacturing capabilities. These efforts are directed at such activities as minimization of floor space, inventory, cycle

time, manpower, and use of other resources in all aspects of the manufacturing process.

Suppliers shall ensure that cross-functional teams are established to develop methods to optimize process effectiveness

using Kaizen, mistake proofing, and/or other proven methods. Objective evidence of these methods must be evidenced

during the Preventive and Corrective Action stage of the process.

1 . 2 1 Sp e c i f i c Re q u i r em e nts

In many cases, this manual will not sufficiently describe all of the specific requirements of a particular Dana division or

customer. The EFMG specific requirements shall be identified during the Advanced Product Quality Planning (APQP)

activities and will be communicated by the appropriate EFMG facility. If there are any questions regarding these specific

requirements, the supplier shall contact the respective Purchasing Department of that EFMG division.

Product-specific requirements may include but not be limited to the following:

• Special characteristics.

• Testing.

• Special handling.

Customer-specific requirements may include but not be limited to the following:

• Quality management systems.

• Process techniques and process controls.

• Identification and processing of critical parts and features.

• Certification.

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Suppliers shall incorporate into their quality systems all product/customer-specific requirements. It is imperative the

supplier review all terms and conditions of the EFMG Purchase Order before acceptance. Formal acceptance of the terms

and conditions of the Purchase Order confirms that the supplier accepts and will conform to all applicable expectations and

requirements of the stated contract.

1 . 2 2 E c o n omi cs - C o ns i d er a t i o n s o f Q ua l i t y- R e l a te d C o s ts

The supplier’s management shall define and document a comprehensive quality cost management system and facilitate

quality improvement efforts that will lead to operating cost reduction opportunities. EFMG believes when quality costs can

be measured and related to an area where basic quality performance data exists, the quality improvement process can begin.

An effective quality cost program consists of the following steps:

• Establish a quality cost measurement system.

• Develop a suitable long-range trend analysis.

• Establish annual improvement goals for total quality costs.

• Develop short-range trend analysis with individual targets, which collectively add up

to the incremental demands of the annual improvement goal.

• Monitor progress against each short-range target and take appropriate corrective action when targets are not being

achieved.

1 . 2 3 P r od u c t S a f e t y a n d Pr o d uc t L i a b i l i t y

The safety aspects of product quality shall be identified with the aim of enhancing product safety and minimizing the

potential consequences of product liability. The company and its employees must be aware of its potential consequences.

1 . 2 4 H o u s ek e e p i ng

The supplier shall have a documented system to ensure their facility is clean and orderly. This verification shall be a part of

their internal quality audits. Programs include the 5S philosophy – Sort, Set-in-Order, Shine, Standardize and Sustain.

Dana EFMG strongly feels that a supplier with an effective Housekeeping process allows itself to present well to its

customers and employees.

1 . 2 5 To o l i n g M a na gem e nt

The supplier shall establish and implement a system for tool control. This includes items manufactured from stampings,

injection molding, template cutouts, etc. Formal procedures addressing tooling handling, storage, modification, setup,

design, and preventive maintenance shall be maintained. All tooling purchased by the customer shall remain the property

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of the customer. Normal storage, maintenance, and repair of tooling unless otherwise negotiated, is the responsibility of the

supplier, such as expected tool life will be achieved and conforming parts are produced.

1 . 2 6 C o n t r o l o f Sp ec i a l P r oc e ss

The supplier must have an approved system in place to perform special processes such as a) Casting/Forging, b) Plating, c)

Heat treating, d) Metal joining, e) Surface finish / coating / treatment, f) Testing (NDT, Chemical, Environmental,

Performance, etc.), g) Adhesive bonding and plastic fabrication, and others that require approval certification of the process

equipment and procedures. The requirements for any qualification of process operations, including associated personnel

and equipment shall be documented.

1 . 2 7 I n ve n t or y Ag e C o n t r o l

The supplier shall have an effective system for age control within their inventory for items whose acceptability is limited by

age of the item. The system must include a method of identifying the age of such items and provision for the rotation of

stock.

1 . 2 8 P r od u c t C h a n ge N o t i f i c a t i o n

Without prior notification and approval by the customer, the supplier shall not make any changes to the following: product

design, composition, configuration (including form, fit, function or interchangeability), material, and fabrication. The

supplier shall convey this requirement to their suppliers. THERE ARE NO EXCEPTIONS TO THIS RULE. Any change

to the supplier’s processes must be communicated prior to the incorporated change through the Supplier Change Request

found in Appendix 6. This will include all short-term deviations, long-term changes and customer directed changes that

Dana’s Tier One Suppliers may be working on with Dana’s customer, in the case of a common part supplied to both parties.

1 . 2 9 D r aw i n g a nd Eng i ne er i n g C h a ng e C o nt r o l

It is the supplier’s responsibility to produce materials that meet all engineering drawings and specifications. In order to

maintain these quality expectations, the supplier shall establish and maintain a system to assure that only the latest

applicable drawing and specifications are used. It is the supplier’s responsibility to periodically review and verify that the

latest copies of all-applicable drawings and specification are available and fully understood.

1 . 3 0 P ar ts Per M i l l i on C a l cu l a t i o n

This guideline is used to determine a supplier’s PPM value. It applies to all production materials including PPAP parts.

When calculating a PPM, the unit of measurement for defective and good (consumed) material must be the same. Example

units are pieces, pounds, kilograms, lineal feet, lineal yards, tonnes, etc…

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An example PPM calculation: 25 units defective in a shipment of 1,000 units. 25 / 1000 = .025 or 2.5% defective. Multiply

.025 x 1,000,000 = 25,000 PPM.

Only nonconforming material will be incorporated into a suppliers PPM value when:

• Product is sorted in-house by either the supplier or arranged temporary manpower.

• Non-conforming product is found during the production process (line accumulations).

Full lots will be incorporated into a suppliers PPM value when:

• The lot has been sent back to the supplier.

• If it is a repeat occurrence (Note: If this situation causes a potential hazard to our customer’s satisfaction then

product may be sorted internally, but the full lot may still be incorporated into the PPM value.)

Incorrectly identified parts/missing documentation:

• If parts are discovered incorrectly identified /missing documentation and are not returned to the supplier, then 1

piece will be issued as nonconforming.

• If the lot is returned to the supplier, then the full lot will be charged to their PPM.

• If it is a repeat occurrence then the full lot may be rejected.

There will be no adjustments made to the PPM value on material sent back to suppliers except:

• When the supplier is not given the opportunity to come in and sort their product in house.

• When it is mutually agreed the rejection was unjustified by the Dana facility and supplier.

• If a supplier shows due diligence and notifies the Dana facility of a potential problem.

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S e c t i o n 2 – C o m m e r c i a l

2 . 1 C o m mer c i a l

The supplier shall ensure that competitive cost targets are clearly established, understood and are mutually agreed upon and

established for all elements of cost. Annual goal expectations must be agreed upon since this is 25% of the overall supplier

rating.

2 . 2 C o s t I mp r o ve men t

Suppliers shall establish and implement cost reduction ideas to eliminate waste in the supply chain. For each supplier to

receive credit for an idea, it must be submitted on a designated Change Form found in Appendix 6. Cost reduction

proposals may include ideas, which involve but are not limited to:

• Component Design

• Material Type

• Packaging Requirements

• Logistics

• Process Standards

• Cycle Time Reduction

• Workplace Organization

• Value Analysis/Value Engineering

• Validation Test Requirements

• Certification Methods

2 . 3 C o s t C o nt r o l and R ed u c t i on

The supplier shall have a process that ensures:

• All costs are controlled during the life of the products.

• All potential cost reduction opportunities are clearly identified.

As part of this process, the supplier shall establish and maintain documented records of all criteria that may influence the

cost of their products. This information shall primarily be used to manage and control cost, and to ensure the impact of

economic factors and market fluctuations are minimized. This information shall also be used to highlight opportunities for

cost improvement.

The supplier shall compile and maintain a document of continuous improvement/cost reduction ideas for submission to the

customer. The continuous improvement ideas shall be frequently reviewed with the appropriate local facility purchasing

contact to maximize the effect of potential cost improvements.

2 . 4 C o m mer c i a l Ag r e e me n ts— Ge n er a l Re q u i r e me nt

The supplier must comply with Dana’s standard purchase order terms and conditions. The supplier shall consult the

appropriate Purchasing agent for clarification. This would also include payment terms.

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2 . 5 War r a n t y

If applicable, the supplier shall commit to the terms and conditions of warranty in the Purchase Order.

2 . 6 N o n - C o n f or mi ng M at e r i a l C h ar ge s

The following charges apply for all non-conforming material report (NCMR). An NCMR may also be referred to as a

corrective action (CAR) or defective material report (DMR). The fee amount and currency may vary, based on the Dana

facility issuing the debit.

• An administration fee of $100.00 US will be charged for each NCMR issued.

• A late charge $50.00 US will be issued if an initial response is not received within 24 hrs of notification of an

NCMR. (This only applies if product containment is necessary.)

• A late charge of $100.00 US will be issued if a permanent corrective action or an action plan showing

responsibilities and due dates is not received within 7 working days of notification of the occurrence.

• A Receiving Inspection charge of $175.00 US will be issued for any NCMRs issued for quality defect on

production material (does not apply to NCMR’s related to delivery issues, PPAP). Up to 50% of the Receiving

Inspection charges for the year may be recovered by meeting the current year’s Overall Division PPM target. It is

up to the supplier to request this credit at the end of a calendar year, if their PPM rating warrants it.

• Any and all costs related to the NCMR incurred by a Dana facility will also be charged back to the supplier. These

costs may include:

• Down time

• Containment

• Sorting

• Scrap

• Supervision

• Rework

• Premium Freight

• Dana Customer Charge Backs

The rates for these various procedures will vary by Dana facility.

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S e c t i o n 3 - D e l i v e r y

3 . 1 L o g i s t i cs P l a nn i n g — Gen er a l Re q u i r em e nts

• The supplier shall ensure that logistics development activities are planned for and carried out at an appropriate

stage in a product’s life cycle.

• All logistic planning and development activities shall be carried out according to the requirements of the

appropriate EFMG division.

• Delivery requirements:

• 100% On Time delivery is required—If a supplier does not meet our 100% target, the supplier may be requested to

provide action plans to address the causes.

• On-time delivery must contain the complete quantity of parts ordered and meet specification.

• Late Delivery is subject to being issued a CAR, NCMR or DMR, depending on the Dana facility, and any cost

incurred due to late delivery will be charged back to the supplier. This includes:

• Late PPAP submissions

• Late/missing/incorrect documentation (APQP timelines, material certifications, shipping labels, etc…)

• Any extra cost, associated with a supplier’s lack of meeting Dana’s delivery and quality requirements, will be

debited back to the supplier. This cost would include premium freight, machine downtime, etc.

• Suppliers should track all premium freight within their system as a quality requirement.

• Advance Shipping Notices (ASNs) should be provided for all shipments.

• Dana requires suppliers to be EDI compliant.

• The supplier shall identify personnel responsible for the support of product delivery to the customer during all

hours of operation. This information should be provided to your Dana contact.

3 . 2 D e s i g n f o r L o g i s t i c s

The supplier shall ensure that logistics issues are given due consideration, at an appropriate stage of product development,

to enable the following:

• Optimal design to reduce packaging complexity.

• Optimal design to improve ease of handling and simplify packaging.

• Optimal design to reduce the likelihood of product damage.

3 . 3 D e l i ve r y P r o c ess

The supplier shall develop a delivery plan that identifies the most appropriate process for the delivery of their product to

support a pull system. In doing so, the supplier should consider the following:

• Supply routing for transportation.

• Warehousing (size, storage specifications, shelf life).

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• Late assembly operations.

• Any requirement for sequenced delivery product Traceability.

Where transportation is provided by EFMG, the supplier must ensure that products, together with an appropriate means of

loading, are available at the required times.

Where transportation is the responsibility of the supplier:

• The supplier shall have an effective transportation policy. The policy shall be regularly reviewed for cost

effectiveness and success in meeting customer requirements.

• The supplier shall measure transportation performance as a means of identifying further opportunities for delivery

performance improvement.

• The supplier assures, according to a procedure, that a deviation form accompanies any material that is not to

specification or if an earlier product is delivered after a modification, unless mutually agreed upon.

• The supplier shall have a process for the measurement and review of logistics management performance. This

review should be conducted at the executive level of the organization.

3 . 4 S u p p l y C h a i n F l e x i b i l i t y

Externally, the supplier shall complete an analysis of the effectiveness of the planned supply chain and its associated

processes for each commodity at the supplier’s manufacturing site. Each supplier shall be responsible for managing it’s

own supply chain. Internally, the supplier shall identify any constraints that prevent a free supply of components and

assemblies through the manufacturing process. Areas of inflexibility shall be investigated so that they can be eliminated or

managed. Details of flexibility must be made available to the customer on request.

3 . 5 C o n ta i ner s a n d Pa c ka g i n g

The supplier shall plan for the timely provision of containers and/or packaging media to support customer requirements. All

packaging designs must be approved prior to PPAP before a supplier can start shipping.

The supplier shall develop and implement a system to monitor container quantity and their condition. The supplier shall

also ensure that:

• Containers are kept in a suitably clean condition.

• Containers are maintained in working order (i.e., lubrication of gate hinges, spring clip locking devices, etc).

• The customer is notified immediately of any damaged pallets or containers that are in need of repair.

Prior to release of shipments, the supplier shall contact the Dana facility’s Materials Department for packaging and labeling

instructions, such as bar-coding standards, if not previously defined.

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3 . 6 L a b e l i n g Sta n dar ds

Suppliers shall follow a barcode standard as communicated by their Dana facility. Primary standards used by Dana are the

Automotive Industry Action Group’s (AIAG) B-10 barcode standard and in Europe, the Society of Motor Manufactures

and Traders’ (SMMT) Odette barcode standard. Documentation can be obtained by using the website links located in this

manual’s References section. Any deviations from the requested standard must be provided in writing from the Dana

location receiving the product.

3 . 7 P r e mi um Fr e i gh t

The supplier will be held liable for additional freight cost incurred because of supplier’s lack of quality and delivery

performance. This requirement is stated in the Terms and Conditions of the Purchase Order. Any premium freight

incidences and their cost must be tracked at the supplier’s location per quality requirement.

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S e c t i o n 4 - S u p p o r t

4 . 1 R i sk As s e s sm e nt

The supplier must have a process for the identification and management of potential risks to ensure proper supply of parts

and materials to the customer. The intent of this process is to proactively address risk.

The supplier’s Risk Assessment process shall include a periodic assessment and review of all possible risks. The process

shall analyze risks associated with both facilities and personnel, considering issues such as:

• Product, facility or individual skill uniqueness.

• Critical process element susceptibility to disruptive damage.

• Susceptibility to natural phenomena (i.e. flood and earthquake).

• Second tier supplier related issues.

• Hazardous Material Reporting in an IMDS (i.e. End of Vehicle Life requirements, Cadmium, Mercury, Hexavalent

Chromium).

• New product or new supplier for a product.

The output of this assessment shall be used to identify where action is required, if economically feasible, to remove or

reduce the likelihood of problems occurring. The assessment shall also include an estimation of potential downtime in a

major catastrophe.

4 . 2 C o n t i n u o u s I mpr o ve me n t

The supplier shall demonstrate the effective deployment of a comprehensive continuous improvement plan across the whole

organization. The objective of continuous improvement is to deliver real improvements in customer satisfaction and

business performance, thus maintaining and strengthening the organization’s competitive advantage, and that of the whole

supply chain.

The supplier shall ensure that continuous improvement activities are focused on those businesses and manufacturing

processes that have the greatest influence on:

• Key customer performance measures (quality, commercial, delivery and support).

• Key strategic quality measures (i.e., customer satisfaction).

• Other key strategic business performance measures (i.e., economic value added—EVA or Value analysis).

• Individual process performance measures (i.e., process stability and capability).

• Second tier supplier performance measures (i.e., cost reduction percentage per annum).

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4 . 3 P r og r am M a na gem e nt

Dana requires their suppliers to provide a key contact person or a program manager to each Process Sign-Off, APQP,

FMEA or PFMEA project. This person shall have defined authority and responsibility for the delivery of all aspects of the

program and conveys completion dates to customer. This person will be responsible to keep in contact with our facilities to

ensure we have an open line of communication. This person will be the liaison for any low-risk or high-risk audit requests.

4 . 4 M i n or i t y S o u r c i n g

To better represent and service the customer, Dana is increasing the percent of material purchases from minority owned

Tier-two suppliers in the U.S. We are requiring our Tier-One suppliers to participate by developing a minority supplier

development process as a part of the ongoing process of continuous improvement of the supply chain. As such, this is one

of the metrics considered when awarding or moving existing business. Dana also provides suppliers extra credit within the

rating system for involvement with Minority Business Enterprises.

To receive rating credit, a minority supplier needs to submit their council certificate of membership to the manager of

Supplier Development or retain this document on file and provide it upon request. The suppliers’ minority spend numbers

shall be submitted to the Dana Supplier Network or a designated Dana representative at the end of the second business day

of the month. To determine on how this metric impacts the overall Supplier Balanced Scorecard, please see The Supplier

Balanced Scorecard Process.

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S e c t i o n 5 – S u p p l i e r R a t i n g s

5 . 1 S u p p l i e r B a l a n ce d Sc or e car d

Dana suppliers must meet fundamental requirements and expectations in order to become an approved supplier. We

recognize that in order for suppliers to meet requirements and expectations, we must present these, but also provide

feedback to the supplier, as to how the supplier is performing according to these requirements and expectations.

The purpose of this section of the manual is to define the measurables and calculation, but it will be the responsibility of

each facility/division to administer the supplier rating and also help the supplier in determining the areas of required

improvement.

The supplier can access their Balanced Scorecard Report, through the Dana Supplier Network (DSN),

www.supplier.dana.com, through a local EFMG Division website or as their Dana site provides this information. If there

are any questions regarding the system or factual information of the report, the supplier is to contact the Manager of

Supplier Development or Commodity Manager.

5 . 2 R a t i n g S ys t e m G ui de l i n es

The following rating system guidelines are from Dana’s corporate purchasing group and can be found on the DSN website.

New for 2004 is a revision to the Delivery Performance scale, as well as the addition of TS-16949 to Support.

1. Quality (25%) = 1.25 Points out of 5.00 Points

PPM (80%)

Reject Occurrences (20%)

2. Delivery (25%) = 1.25 Points out of 5.00 Points

On time Delivery (100%)

3. Support (25%) = 1.25 Points out of 5.00 Points

Minority Sourcing (50%) �

Quality System (50%)

�For non-USA, Minority Sourcing is not applicable. In that case, the Quality System metric is 100% and the Driver

Weighting is adjusted to 10% Support, and 30% each for Quality, Delivery, and Commercial.

4. Commercial (25%) = 1.25 Points out of 5.00 Points

Cost Saving (100%)

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Total RatingWeighting Max. Points

Quality 25% 1.25 points

Delivery 25% 1.25 points

Support 25% 1.25 points

Commercial 25% 1.25 points

Maximum Total Rating = 5.00 points

Ratings are calculated for the most recent (rolling) 12 months and year-to-date.

OEM Rating Metrics

1. PPM (Quality)—based on accumulation of parts per million and reflects the defect rate we have experienced with our

supplier’s product. The rating scale below is used to assign points based on parts per million defective.

Rating Parts Per Million Defective5.0 Equal to 0 PPM4.9 Greater than 0 PPM and ≤ 10 PPM4.8 Greater than 10 PPM and ≤ 20 PPM4.7 Greater than 20 PPM and ≤ 30 PPM4.6 Greater than 30 PPM and ≤ 40 PPM4.5 Greater than 40 PPM and ≤ 50 PPM4.4 Greater than 50 PPM and ≤ 60 PPM4.3 Greater than 60 PPM and ≤ 70 PPM4.2 Greater than 70 PPM and ≤ 80 PPM4.1 Greater than 80 PPM and ≤ 90 PPM4.0 Greater than 90 PPM and ≤ 100 PPM3.9 Greater than 100 PPM and ≤ 200 PPM3.8 Greater than 200 PPM and ≤ 300 PPM3.7 Greater than 300 PPM and ≤ 400 PPM3.6 Greater than 400 PPM and ≤ 500 PPM3.5 Greater than 500 PPM and ≤ 600 PPM3.0 Greater than 600 PPM and ≤ 1,000 PPM2.0 Greater than 1,000 PPM and ≤ 2,500 PPM1.0 Greater than 2,500 PPM and ≤ 5,000 PPM0.1 Greater than 5,000 PPM

2. Number of Reject Occurrences (CARs, DMRs, etc.) (Quality)---based on number of Reject Occurrences in a twelve

month period.

Rating Number of Reject Occurrences5.0 04.5 1 - 54.0 6 - 103.5 11-153.0 16 - 202.5 21 - 252.0 26 - 301.5 31 - 351.0 36 - 400.1 Greater than 40

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3. On—Time Delivery (Delivery)—as scheduled, is based on the number of shipments received relative

to the agreed to as—scheduled date. The receiving facility will define measurement base as line fill, quantity fill or

dollar fill.

Point Value > to <=5.0 100.00 % to 100.00 %4.9 99.50% to 99.99%4.8 99.00% to 99.49%4.7 98.50% to 98.99%4.6 98.00% to 98.49%4.5 97.50% to 97.99%4.4 97.00% to 97.49%4.3 96.50% to 96.99%4.2 96.00% to 96.49%4.1 95.50% to 95.99%4.0 95.00% to 95.49%3.9 94.50% to 94.99%3.8 94.00% to 94.49%3.7 93.50% to 93.99%3.6 93.00% to 93.49%3.5 92.50% to 92.99%3.4 92.00% to 92.49%3.3 91.50% to 91.99%3.2 91.00% to 91.49%3.1 90.50% to 90.99%3.0 90.00% to 90.49%

Point Value > to <=2.9 89.50% to 89.99%2.8 89.00% to 89.49%2.7 88.50% to 88.99%2.6 88.00% to 88.49%2.5 87.50% to 87.99%2.4 87.00% to 87.49%2.3 86.50% to 86.99%2.2 86.00% to 86.49%2.1 85.50% to 85.99%2.0 85.00% to 85.49%1.9 84.50% to 84.99%1.8 84.00% to 84.49%1.7 83.50% to 84.99%1.6 83.00% to 83.49%1.5 82.50% to 82.99%1.4 82.00% to 82.49%1.3 81.50% to 81.99%1.2 81.00% to 81.49%1.1 80.50% to 80.99%1.0 80.00% to 80.49%0.1 0.0% to 79.99%

Quantity On—Time---Quantity received on or before the due date for the rating month.

Quantity Due---Quantity ordered for the rating month.

4. Minority Sourcing (Support)---The rating is based on the annualized dollar value of purchases from Minority

Business Enterprises (MBEs), compared to the supplier’s annual sales dollars to Dana. The Minority supplier must be

certified by an affiliate of the National Minority Supplier Development Council. For non-USA, Minority Sourcing is

not applicable. In that case, the Quality System metric is 100% and the Driver weighting is adjusted to 10% Support,

and 30% each for Quality, Delivery, and Commercial.

Minority Business Enterprise (MBE) Purchases

Rating Purchases from MBEs as a Percent of Sales

5.0 Greater than or equal to 5%

4.0 Less than 5%, but greater than or equal to 4%

3.0 Less than 4%, but greater than or equal to 3%

2.0 Less than 3%, but greater than or equal to 2%

1.0 Less than 2%, but greater tan or equal to 1%

0.1 Less than 1%

36

(B) Minority Supplier Development Activities (for added points)

In addition to the points received based on purchase dollars, the supplier may receive additional points for any combination

of the following minority supplier development activities. To add points, the supplier must submit an acceptable Minority

Supplier Development plan in writing to the appropriate Purchasing Manager, with a copy to Dana’s Director of Minority

Business Development.

The Maximum credit allowed for minority supplier development activities is 3.0 rating points. The maximum total rating

for this metric is 5 points.

Credit Description

1.0 Supplier has a designated Minority Purchasing Coordinator

0.5 Attendance and Recruiting of minority suppliers at Business Opportunity Fairs. Must attend a

minimum of 2 fairs in 12 months.

1.0 Member of National Minority Supplier Development Council (NMSDC).

0.5 Member of NMSDC Regional Council.

0.5 Mentoring a Minority Business Enterprise.

1.0 Strategic alliance with a certified minority supplier that supplies product that is specific to Dana usage.

2.0 Joint Venture with a certified MBE that supplies products specific to Dana usage.

5. Quality System (Support)---this rating reflects the supplier’s quality system status.

Rating Description

5.0 ISO-14000 and ISO/TS16949 registered.

4.5 ISO/TS16949 or QS-9000 registered.

4.0 ISO-9001:2000 registered.

3.0 ISO-9001:2000 or TS16949 compliant as determined by

Dana-approved 2nd party audit.

2.0 Written plan to for quality standard registration. Plan must be

acceptable to Dana.

0.1 No plan to become registered or compliant to a quality standard listed above.

6. Cost Savings (Commercial)—This rating reflects the supplier’s cost trend.

Rating Description

5.0 Supplier reduces total net costs above Hellweek expectations.

4.5 Supplier reduces total net costs equal to Hellweek expectations.

3.5 Supplier reduces total net costs below Hellweek expectations.

2.0 Supplier holds total net costs steady.

0.1 Supplier increases total net costs.

37

Sample Rating Calculation

• 25 PPM

• 2 reject occurrences

• 96.5% on-time delivery

• Purchases from Minority Business Enterprises (MBEs) = 1.3% of sales to Dana Corp.

• Supplier has a designated minority purchasing coordinator

• Supplier is QS-9000 registered

• Hellweek plan is to get a minimum 3.5% reduction in total net purchasing costs

• Supplier reduces total net costs by 4%

Quality

PPM: 4.7 points X 80% = 3.76

Reject Occurrences: 4.5 points X 20% = 0.90

Quality Rating = 3.76 + 0.90 = 4.66

Delivery

On-time Delivery: 4.6 points X 100% = 4.60

Delivery Rating = 4.60

Support

MBE Purchases: 1.0 points

MSD bonus points: 1.0 + 0.5 = 1.5 points

Minority Sourcing: (1.0 points = 1.5 points) X 50% = 2.5 X 50% = 1.25

Quality System: 4.5 points X 50% = 2.25

Support Rating = 1.25 = 2.25 = 3.50

Commercial

Cost savings: 5.0 points X 100% = 5.00

Commercial Rating = 5.00

Total Rating = (4.66 X 25%) + (4.60 X 25%) + (3.50 X 25%) + (5.00 X 25%)

= 1.16 + 1.15 + 0.88 + 1.25

= 4.44 Overall

38

S e c t i o n 6 - A p p e n d i c e s

6 . 1 R e f e r e n ce s

The following documents are intended to support the Supplier Development Process. If there are any questions, please

contact your respective Purchasing Contact.

• ISO/TS 16949:2002 Quality Management Systems - Particular Requirements for the Application of ISO

9001:2000 for Automotive Production and Relevant Service Part Organizations Version 02.00

• Quality Systems Assessment Checklist, Checklist to ISO/TS 16949:2002 Version 01.00

• IATF Guidance to ISO/TS 16949:2002 Version 01.00

• ISO/TS 16949:2002 Automotive Certification Scheme-Rules for Achieving IATF Recognition, First edition for

ISO/TS 16949:2002Version 01.00

• Advanced Product Quality Planning & Control Plan (APQP) Version 01.00, 6/94; Second Printing

• Potential Failure Mode and Effects Analysis (FMEA Third Edition) Version 03.00

• Measurement Systems Analysis (MSA) Version 03.00

• Production Part Approval Process (PPAP Third Edition) Version 03.00

• Statistical Process Control (SPC) Version 01.00, 1992; Second Printing

• ISO/IEC 17025:1999 General requirements for the competence of testing and calibration laboratories First Edition

The above documents and other pertinent information can be found on the following websites:

AIAG: Automotive Industry Action Group www.aiag.org

ANSI: American National Standards Institute www.ansi.org

ASQ: American Society for Quality www.asqc.org

VDA: Verband der Automobilindustrie e.V. www.vda.de/present/deutsch/htm

ISO9000: International Standards Organization www.iso.ch/iso/en/ISOOnline.openerpage

IATF: International Automotive Task Force www.iaob.org

SMMT: Society of Motor Manufactures and Traders www.smmt.co.uk

Dana Sites:

Dana Supplier Network http://supplier.dana.com/

Engine and Fluid Management Group sites:

Long Manufacturing: http://suppliers.longmfg.com

Sealing Products: http://suppliers.sealing.dana.com

39

6 . 2 Ac r o n ym s

AIAG Automotive Industry Action Group

APQP Advanced Product Quality Planning

ASN Advanced Shipping Notification

CAR Corrective Action Request

CPK, PPK, See AIAG Statistical Process Control ManualP, C, U, NP Charts

FMEA, DFMEA, Failure Modes Effects Analysis (DFMEA Design, PFMEA Process)PFMEA

DMR Discrepant Material Report

DOE Design of Experiment

DVP&R Design Verification Plan and Report

EDI Electronic Data Interchange

EFMG Engine and Fluid Management Group

EVA Economic Value Added

EVL End of Vehicle Life

GR&R Gauge Repeatability and Reproducibility

HVAC Heating, Ventilation, and Air Conditioning

IMDS International Material Data System

MBE Minority Business Enterprise

NCMR Non Conforming Material Report (DMR)

NMSDC National Minority Supplier Development Council

OEM Original Equipment Manufacturer

PPAP Production Part Approval Process

PPM Parts Per Million

PSO Process Sign-Off

PTR Production Line Trials

SC Significant Characteristic

SCR Supplier Change Request

SMMT Society of Motor Manufactures and Traders

SPC Statistical Process Control

TQM Total Quality Management

40

6 . 3 . 1 P PAP C h e ck l i s t

Engine and Fluid Management GroupPPAP 3rd Edition Check List

Submission Level:

Reviewed By:Yes No N/A Comments

Includes entire process(receiving to shipping)

Supplier:

Part #:

Date:

Eng. Chg. Level:

Format to 3rd or latest edition

Format to 3rd or latest edition

Matches process flow

Corrective Actions in Place

Complete

Production Process Flow Diagram

Material Certificates IncludedSee Drawing notes

9. Initial Process Study

High RPN's Addressed

Correct Eng. Chg. Level

On file / with Package

1. Design Records / Drawings

2. Eng. Chg. Documents

Customer Eng. Approval

DFMEA present

3.Engineering Approval

4. DFMEA, Design Responsible

Correct Eng. Chg. Level

Complete and Acceptable

7. Dimensional Results

Dimensions Verified

Complete and Acceptable

8. Material / Performance

Initial Study Ppk / Cpk > 1.67Complete

GR&R Studies completed10. MSA Studies

Checking aids RequiredGR&R App'd

Specific Requirements / List

Retained w/ Approval DateCorrectly Identified by Part #

Sample provided if applicable

18. Checking Aids

Correct Part Name & Number

19. Customer Specific

Are Parts identified properly? (correct label)

See Drawing notes section and supplier manual for specific requirementsAre there any customer specific requirements?

5. Process Flow Diagram

6. PFMEA

Appearance Items

Correct Eng. Chg. LevelPurchase Order NumberSigned and Dated14. AAR

Correct Eng. Chg. Level

Acceptable

17. Master Sample

16. Sample Product

15.Bulk Material Checklist

12. Control Plan

13. Part Submission Warrant

Acceptable

Scope and AccreditationCertificate to ISO/IEC 17025

11. Qualified Lab Documents

Form #: EFMGF0003 5/29/03

41

6 . 3 . 2 P PAP War r a n t

Part Name ______________________________________ Part Number _______________________________________

Government and/or Safety Regulation Yes No Engineering Drawing Change Level__________ Dated___________

Additional Engineering Changes _____________________________________________________________Dated___________

Shown on Drawing Number_____________________ Purchase Order Number______________________ Weight_________kg

Checking Aid No.___________________________ Engineering Change Level_______________________ Dated___________

SUPPLIER MANUFACTURING INFORMATION SUBMISSION INFORMATION

__________________________________________________ � Dimensional � Materials/Functional � AppearanceSupplier Name Supplier Code

__________________________________________________ Customer Name/Division___________________________Street Address

Buyer/Buyer Code__________________________________________________________________________City State Postal Code Application______________________________________

REASON FOR SUBMISSION

Initial Submission � Change to Optional Construction or MaterialEngineering Change � Sub-Supplier of Material Source ChangeTooling: Transfer, Replacement, Refurbishment, or additional � Change in Part ProcessingCorrection of Discrepancy � Parts Produced at Additional LocationOther – please specify____________________________________

REQUESTED SUBMISSION LEVEL (Check one)

� Level 1 - A Dana Warrant, Appearance Approval Report (for designated appearance items only)� Level 2 - A Dana Warrant, Parts, Drawings, Inspection Results, Laboratory and Functional Results, Appearance Approval Report.� Level 3 - A Dana Warrant, Parts, Drawings, Inspection Results, Laboratory Results, and Appearance Approval Report, Process Capability Results,

Capability Study, Process Control Plan, Gage Study, FMEA.� Level 4 - Per Level 3, but without parts.� Level 5 - At Supplier Location – Warrant, Parts, Drawings, Inspection Results, Laboratory and Functional Results, Appearance Approval Report,

Process Capability Results, Capability Study, Process Control Plan, Gage Study, FMEA.

SUBMISSION RESULTS

Submitting: � dimensional measurements � material & functional tests � appearance criteria � statistical process package These results meet all drawing and specification requirements: � YES � NO (if “NO” – Explanation required)

DECLARATION

I hereby affirm that the samples represented by this warrant are representative of our parts, have been made to the applicable Production Part ApprovalProcess Manual 3rd Edition Requirements. I further warrant these samples were produced at the production rate of ______ / 8 hours.

IMDS DECLARATION

We affirm that details of the materials used in these parts have been entered onto the IMDS and that the samples conform to all applicable government andsafety requirements on restricted materials. YES NO (if “NO” – Explanation required) I have noted any deviations from this declaration below:

EXPLANATION / COMMENTS _______________________________________________________________________________________

Print Name ___________________________________________ Title_______________________________ Phone No.___________________

Supplier Authorized Signature__________________________________________________________ Date: ____________________________

FOR DANA USE ONLY – Part Disposition: � Approved � Rejected � Other ______________

Representative_____________________Signature______________________Date___________ F01SDS Rev. G (Aug03)

IMDS Number:

42

6 . 3 . 3 P PAP D i m e ns i on a l Re s u l ts

P r o d u c t i o n P a r t A p p r o v a l —D i m e n s i o n a l R e s u l t s ���������������

SUPPLIER PART NUMBER

NAME/LOCATION OF INSPECTION FACILITY PART NAME

ITEM DIMENSION/SPECIFICATION

SUPPLIERMEASUREMENTS

OK NOTOK

COMMENTS(Dana use only)

Submitted by:NAME TITLE SIGNATURE DATE

Form: F02SDS Rev. C Feb. 99

43

6 . 3 . 4 P PAP M a te r i a l Tes t R es u l ts

Production Part Approval—Material Test ResultsPage_____of____

SUPPLIER PART NUMBER

NAME/LOCATION OF LABORATORY PART NAME

TYPE OFTEST

MATERIAL SPEC. NO./DATE/

SPECIFICATION

SUPPLIERTEST RESULTS

OK NOTOK

COMMENTS(Dana use only)

Submitted by:NAME TITLE SIGNATURE DATE

Form: F03SDS Rev. C Feb. 99

44

6 . 3 . 5 P PAP P er f or m ance Te s t R e s u l ts

P r o d u c t i o n P a r t A p p r o v a l —P e r f o r m a n c e T e s t R e s u l t s ���������������

SUPPLIER PART NUMBER

NAME/LOCATION OF LABORATORY PART NAME

REF. NO. REQUIREMENTS TESTFREQ

TESTQTY.

SUPPLIER TESTRESULTS AND

TEST CONDITIONS

OK NOTOK

COMMENTS(Dana use only)

Submitted by:NAME TITLE SIGNATURE DATE

Form: F04SDS Rev. C Feb. 99

45

6 . 4 . 1 S u p p l i e r C or r ec t i ve Ac t i o n Re p or t

General Information

1. Define the Team

2. Problem Description

3. Containment Actions and Interim Corrective Actions

At Suppliers At Dana Facility

Page 1 of 2

Certified Shipments:

Quantity Shipped: Start Date:

End Date:

Date Shipped:

Date Initiated: Date Revised:

(Sign when CAR is complete)Function Name

Lot #'s affected:Date Manufactured:

Quantity Manufactured:

Sort results:

Defective

Total Sorted

Identification:

Describe Containment actions taken:

Describe Interim Corrective Actions taken:

Form #: EFMGF0001 5/29/03

Supplier Name:

Fax:

Email:

Dana Facility:

Fax:

Signature Date

Engine and Fluid Management Group

Supplier Corrective Action Report

Contact:

Tel:

Contact:

Tel:

Address: Address:

NCMR#: Part #:

46

6 . 4 . 2 S u p p l i e r C or r ec t i ve Ac t i o n Re p or t

4. Root Cause Analysis

5. Identify and Implement Permanent Corrective Actions

6. Verify Corrective Action Effectiveness

7. Prevent Reoccurrence in like Processes and Products

8. Team Recognition

Form #: EFMGF0001 5/29/03 Page 2 of 2

Attach copy of analysisSummary of Root Cause - Occurrence

Summary of Root Cause - Escape

Provide Action Plan with Due dates and responsibilities.

Results

Summary of Permanent Corrective Actions

ResponsibilityDateVerification MethodAction

New Revision Level

Have all Team Members signed off on Corrective Action (see 1. Define the Team)Has the Dana Facility approved the CAR?

Doc. # DateDoc. Name

If yes to all questions above, Congratulate your Team.

List similar processes/ products

Have all related documents been revised and/or updated? (Control Plan, FMEA's, Work Instructions, etc)

Are all actions complete?

List tools used to determine root cause (ie,Brainstorm, 5 Why, IS/IS NOT, Fishbone)

Engine and Fluid Management Group

Supplier Corrective Action Report

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47

6 . 5 P r o t o t yp e D i m e ns i o n a l Re s u l ts F or m

PROTOTYPE PART DIMENSIONAL RESULTS ��������������������������������� ���

� � �� �� � � �� � � �� � � � � � ������������������������������ � � � �

ITEM DIMENSION / SPECIFICATION SUPPLIER MEASUREMENT RESULTS (SAMPLE NUMBER)

1 2 3 4 5 6

OK NOTOK

EFMG APPROVAL SUPPLIER SIGNATURE DATE

I certified that parts have been made and checked according to Customerdrawing and specifications.

48

6 . 6 S u p p l i e r C h a n ge R e qu e s t F o r m

Request an electronic copy of this form from your Dana contact when needing to submit a change.

Supplier Change RequestIndicate if: ____ Process Improvement ___ Deviation Request

Control # : Date Submitted: Date Received:

Dana Part #: Supplier Part #: Change requested by:

Dana Facility: Supplier Name:

City, State/Province

City, State/Province

Dana Coordinator:

Supplier Contact:

Contact Email: Contact Email:

Tel: Tel:

Fax: Fax:

Change Reason (check applicable and explain purpose for the change.)

Explain Reason:

Change Type and Description (Provide & List any Necessary Attachments, ie.. Marked Print): Dana Only

Type:Attached

Document?Approve Reject

Effects: (Check all applicable, Attach detail where needed) Cost Impact

Yes / NoDocument Attached Current Cost

Proposed Cost

Estimated Volume

Estimated Annual Impact: -$

Timing

Time required to incorporate change after Dana approval (days)?

If a Bank/Inventory is required, what is the quantity?

Yes ___ , Level:

Requestor Name & Title:

Final Approval Name & Title:

DANA F0002 rev. 12_09_03

Form Instructions:

Total number of pages attached with this request (include all Change Type, Effects and PPAP documents indicated above):

Describe comparative testing done to validate this proposed change:

1

2

3

4

Dana: Review supplier's request then begin the Approval Tracking worksheet.

Supplier: Forward this completed request to your Dana contact for internal processing.

Dana Coordinator: Begin completion of the Approval Tracking and Internal Tracking Tabs in this spreadsheet. Once approvals are received, sign and return this form to supplier.

5

Is a PPAP being submitted with this request? No __

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