Audit Categories

- Place the number of the selected Audit category in the box on the right. Type of Audit 1
1 Full Systems Audit
2 Pre-Source Full Systems Audit
3 Continuous Improvement
4 IATF 16949 Conformance
5 Blank Category

Revision History Current Revision Level : 6.0

Rev Date Modified by Changes

6.0 24-Jan-23 M. Margalli Update of Section 6. Supplier Management to a coherent sequence of requirements to sub-suppliers,
changed section 7. from Sub-supplier Focus to Maintenance to include the controls at supplier.
Updated "Instructions" to clarify changes in all sections, review all formulas of worksheets.
Update Section 1. Management question 1.4 Change Control to Section 5. Engineering, update
question 1.4 to include Code of Conduct; Section 2. Quality question 2.4 Supplier Management to
Section 6. Supplier Management to not duplicate requirements, change question 2.4 to Customer
Feedback; Section 3. Production question 3.5 Preventive Maintenance to Section 7. Maintenance
to not duplicate requirements, change question to Process and Product Improvement; Added
questions 4.5 Packaging and 4.6 Delivery in Section 4. Materials; correct "corrective actions" to Q&A
Section in order to have only responses to the Lear requirements.
5.2 31-Aug-22 U.Alves Updated "Auditor Notes" and "Corrective Actions" by redesigning actions for "QUESTIONS
AND ANSWERS (Q&A)" and to make more visual those points subjected to notes and action plan.
Updated "Instructions" to clarify "QUESTIONS AND ANSWERS (Q&A)" mandatory actions.
5.1 29-Apr-22 A.Calvente Include requirement to have action plan for the section Q&A in case of requirements not fulfilled:
Updated pages "Instructions", "Auditor Notes" and "Corrective Actions"
5.0 15-Jun-18 L. Ruiz Revelles Added questions 13 and 20 to 26 on Q&A, And added chapters 1.7, 2.7, 2.8 and 3.6.
Added IATF Document review and Requirements 6 & 7
4.3 28-Feb-18 T.Kalafut ISO9001: 2001 changed to ISO9001: 2015 on last tab.
4.2 20-Aug-17 T.Kalafut Updated references to GAMS and 'IATF' (from PAMS and TS-16949), 2.5.2e added.
4.1 03-Jan-17 T.Kalafut Corrected formula for 5.5.2 rating on Corrective Actions sheet' read across to all similar macros.
4.0 13-May-14 T.Kalafut & M.S. Numerous Cosmetic & Formula Corrections (see cell comments). Added content to Intro tab.
Consolidated section 3.3 into 2.3 and added Sections 3.3, 5.4 & 5.5. Added 'Adequate' descriptors.
3.4 08-Feb-13 T.Kalafut & M.S. Font of supplier name and date concatenate on Audit Notes tab.
3.3 12-Jan-12 T. Kalafut Corrected Notes page to allow general notes cell access.
3.2 16-Jun-08 C Suhr Corrected Closure Duration to reflect requirements on Introduction tab.
3.1 12-Jun-08 C Suhr Corrected conditional formatting and scores, modified Corrective Actions to show Auditor Notes
2.0 01-Nov-06 E Momper Loss Prevention added, additional errors and formulas were corrected.
1.1 07-Feb-06 E Momper Adding additional Documentation.
1.2 01-Mar-06 E Momper Corrected formula and formatting errors, and added Auditor Summary.
1.3 10-Mar-06 E Momper Added additional documentation, and "Print Audit" button.
1.4 21-Mar-06 E Momper Added new Audit Type and corrected formula error on Evidence questions for (N).
1.5 26-Apr-06 E Momper Added Engineering Section and modified the Auditor Notes section to spell check.
1.6 08-May-06 E Momper Corrected formula error and updated Corrective Actions Page.
1.7 15-May-06 E Momper TS 16949 preliminary additions made to audit.
1.8 01-Jun-06 E Momper Final TS 16949 changes made with minor grammar corrections.
1.9 01-Aug-06 E Momper Error corrections in formulas and Updated Documentation.

Revision Level Changes

- Minor revisions to text or minor modifications to format should only require a 0.1 increase to the revision level.
- Major changes to text and format require a new revision level increase.
Example: Revision level 1.7 is modified to add an additional System to Management the new revision level should be 2.0.
- Every ten minor revision increments should cause the revision to increase to the next full number and be resent to all necessary
personnel.

Self-Assessment
Upon Lear request for a Supplier to perform a Self-Assessment, the Supplier shall;

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 -Fill out and score each tab; Cover Page, Q&A, Management, Quality, Production, Materials, Engineering, and Auditor Notes.
-Add descriptive comments in the 'Auditor Notes' tab explaining how the supplier meets the criteria for that specific category.
-Return the completed audit document prior to the deadline to the Lear Team.
-Lear expects an objective rating for each category. The intention of a 'self-audit' is to provide an accurate assessment, not just a 100% score.

Instructions ◄

Expectations of Suppliers:
All Lear suppliers are expected to comply with all requirements at www.lear.com > Supplier Information > Web Guides...
WORKSHEETS
Navigate through the Excel worksheets with the Tabs located at the bottom of the screen.
INTRODUCTION

1) Audit Categories
a) Place the Number located to the left of the Audit you want to perform in the "Type of Audit" box.

1. Full: This audit covers all questions and systems found in audit. This Audit should be applied to current suppliers that have not
had a significant audit in the past or on a case by case basis.
2. Pre-Source: A Pre-Source audit is conducted prior to sourcing a job at a new supplier or to establish a supplier as a candidate for
sourcing. This audit does not cover questions or systems that only a accepted supplier is required to know.
3. Continuous Improvement: Continuous Improvement (CI) audits are done as required. CI audits review those processes that
would impact quality, performance, delivery and cost and should only require a few hours to complete.

2) Revision History
a) This shows a history of the recent changes that the audit has undergone.

COVER PAGE

1) Header
a) Audit Date: Fill in the date the audit takes place. Please enter all dates as follows; DD/MMM/YYYY (without date Score won't show)
b) GAMS #: This number is for the Global Audit Management System (GAMS) found in the Lear Portal.
Visit GAMS Lear for additional information, to request an audit or to review past and current audits.
c) Supplier Name: Type in the name of the supplier as well as any specifics for their company. Example: Lear Corporation, Detroit Facility.
d) Address: The street address in which the facility is located as well as the City, State and Zip. If the facility is being audited is one of many
at that address be sure to note which building, such as (Bldg 1) or (East Plant).

2) Contact Information
a) Plant Manager: Enter the name of the Plant manager as well as their E-mail address and a phone number.
b) Quality Manager: Enter the name of the Quality manager as well as their E-mail address and a phone number.
c) After Hours: Enter the name of the After hours contact as well as their E-mail address and a phone number.

3) Plant Information
a) Total Annual Sales: Enter in the total annual sales the facility has done in the previous year in USD.
b) Automotive Annual Sales: Enter in the total annual sales the facility has done for automotive in the previous year in USD.
c) % of Business W/Lear: Based on the annual sales in the previous year to Lear Corporation determine what percent of overall business is done with

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 Lear Corporation. Example; (Annual Sales with Lear divided by Total Annual Sales.)
d) Union Affiliation: Enter the name of the union employees are affiliated with or place “none” if no affiliation exists.
e) Contract Expiration Date: Enter the date the union contract expires.
f) Union Employees: Provide the total number of employees associated with the previously mentioned Union.
g) Plant Size (sq. ft.): Supply the facilities size by the total square foot (or note in square meters).
h) Plant Capacity Utilized: Based on overall average equipment operating time divided by total available operating time for equipment.
i) Lear Plant’s Supplied: Provide the names of the Lear plants the supplier CURRENTLY ships product(s).
j) No. of Automotive Customers: Enter the number of automotive industry customers this location provides product(s) or services.
k) Services Provided: List of services/products this facility provides (e.g., Stampings, Welding, Plastic Injection, Electrical, assembly, etc.).

4) Certificate Information
a) Check the Certificates of Registration the supplier has obtained: Place an “X” in each appropriate box.
1. Primary Certificates: IATF-16949, ISO 9001, ISO 14001, ISO45001 and VDA 6.3.
2. Diversity Certificates: Minority Business Entrepreneur (MBE), Women Business Entrepreneur (WBE), or Canadian Aboriginal Minority
Supplier Council (CAMSC).
3. International Certificates: Export Credit, Customs-Trade Partnership Against Terrorism (C-TPAT) or Authorized Economic Operator (AEO)
Visit C-TPAT for additional information and frequently asked questions.

5) Audit Summary
a) Section: This area relates to the sections found on the worksheet tabs as well as the general areas of management typically found in a
manufacturing facility. Each section contains related subsections and questions that should be answered under the specific subsection.
b) Score: Areas that appear green under the Percent column are considered “Low Risk”; Yellow areas represent sections of “At Risk” in
the facility, and Red areas emphasis “High Risk” section.

6) Audit Information
a) Last Audit:
1. Type of Audit Check Boxes: Place an “X” in the appropriate box. Should the choice be “Other” please explain what type of audit was done in
the space provided.
2. Auditor: Enter the name of the Lear Employee who conducted the last audit.
3. Audit Date: Provide the date of the last audit.
4. GAMS #: Enter the Global Audit Management System request number.
5. Rating: This field should identify; Green, Yellow, or Red based on the result of the last audit.
6. Percentage: Enter the Percentage scored by the supplier on the supplier’s last audit.
b) Current Audit:
1. Type of Audit Check Boxes: The type of audit will automatically populate based on the selection at the top of this 'Introduction' tab. If audit type
"Other" is selected; explain the type of audit to be performed in the space provided.
2. Auditor Signature: The name of the auditor should be typed here on an electronic version of the audit or signed on the copy provided to the
supplier. An E-mail address and Phone number should also be provided for the by the Auditor.
3. Supplier Representative Signature: The name of the supplier’s representative should be typed here on an electronic version of the audit or
signed on the copy provided to the customer. An E-mail address and Phone number should also be provided for the by the representative.

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 1. Type of Audit Check Boxes: The type of audit will automatically populate based on the selection at the top of this 'Introduction' tab. If audit type
"Other" is selected; explain the type of audit to be performed in the space provided.
2. Auditor Signature: The name of the auditor should be typed here on an electronic version of the audit or signed on the copy provided to the
supplier. An E-mail address and Phone number should also be provided for the by the Auditor.
3. Supplier Representative Signature: The name of the supplier’s representative should be typed here on an electronic version of the audit or
signed on the copy provided to the customer. An E-mail address and Phone number should also be provided for the by the representative.

7) Corrective Actions
a) Corrective Actions Required: This area will automatically populate based on the ratings in each audit section.
b) Date Corrective Actions are to be completed: Corrective action date is automatically populated. Duration is based on the audit date and the
durations in the 'Corrective Actions' tab cell H4&5. If the required completion date is changed formal notification should be provide to the supplier.

FOLLOW UP ACTIONS
The corrective actions are necessary for all categories that are rated Yellow or Red (0 or 1). Timing on these actions should not exceed a 90 day
duration unless the Lear auditor agrees to extending the completion date based on the complexity of the corrective actions. It is in both companies best
interest to complete the corrective actions as expediently as possible. Conference calls should take place on a regular basis, the frequency of the calls
are dependent on the level of risk for each rating less than a 2 = Solid or Fully implemented.
Before increasing the score of a category; a Lear auditor should visit the supplier to reassess the system, if feasible: or the supplier may be able to
provide adequate evidence and documentation to appease the Lear auditor.
Once all systems whose status were Yellow or Red have been addressed to meet all Lear requirements a follow-up audit should be completed. Upon
completion of the follow-up on-site audit, new documentation should be stored in the same system as the original audit (GAMS). This will provide a
history of actions taken by both parties to successfully address any issues.
The supplier should proactively improve each area of concern and report to Lear prior to the required closure date.

Below are the levels of Risk with the corresponding color code. Suggested timing for Corrective Actions and conference calls are listed with each level
of Risk.
RED = High Risk - Score 0% to 74%
Supplier must address and improve areas of concerns within 30 days to to improve to a Yellow status or better. Lear's auditor may extend or
reduce the completion time as necessary. Conference calls should take place at least twice a week or as required by the Lear auditor.
YELLOW = At Risk - Score 75% to 84%
Supplier needs to address and improve the identified areas of concerns within 90 days. Lear's auditor may extend or reduce the completion time as
necessary. Conference calls should take place at least bi-weekly or as required by the Lear auditor.
GREEN - Low Risk - Score 85% to 100%
Supplier is considered to have adequately met Lear requirements and can be considered Low Risk. Continuous Improvement actions should
continue to all areas that do not achieve a 'Good' (2) rating.

QUESTIONS AND ANSWERS (Q&A)

1) Questions
a) These questions do not impact the overall score and are used to provide additional information that Lear Corporation deems important. Each
question should be answered with a Yes, No, or in some rare cases "X" for Not Applicable. Additional information can be provided in the Auditor's Notes
general section as discussed below.
b) For those questions related to requirements, in case of their non fulfillment, an explanation (in bold) must be included in the auditor notes and an
action plan must be requested, Not Applicable (X) items must be explained.
c) The Q&A section must be completely answer to get the score, without it you will see this message that Q&A are missing:

AUDIT SECTIONS
The five audit sections; Management, Quality, Production, Materials, and Engineering focus on overall quality system elements that Lear Corporation
expects suppliers to have fully functional in their facilities. Each section's questions are structured the same way; but focus on different systems that
should be in place under each aspect of plant operation.

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 1) Scoring Each Category
a) Each Category has four basic questions that establish an overall level of capability for that subject.
1. Evidence
a. Supplier must provide visual or written proof that the system in question exists and is defined.
b. All documents affecting plant systems should be reviewed and approved prior to use.
c. System documentation should be readily available and understood by those implementing the process.
2. Adequate
a. This portion defines Lear expectations of a satisfactory process/system. If all areas are met a 'solid' score (2) can be awarded.
b. In order for a score of 2 to be earned in the 'Adequate' portion, a written document of the system should exist.
3. Deployed
a. Determine if the Supplier uses this system through out their facility where applicable.
b. Communication of the system should be found near or around each area where the system would be used.
4. Measure
a. The Supplier should have a method of measuring the success of each system, in some cases one metric may show the results of
multiple systems. (i.e. KPIs, external PPM's.)

SCORING WORKSHEET Evidence X = N/A (not applicable) Y = Yes N = No

Adequate, Deployed & Measure : 0 = Lacking, 1 = Average, 2 = Good

When scoring the first portion of each section 'Evidence,' the Auditor should answer 1 of 3 ways: -"Y" for yes that there is evidence of the system, -"N"
for no = inadequate evidence of a system, or - "X" for Not Applicable; in rare instances when the supplier may not need the system based on the product
or processes.
CRITICAL NOTE: If the Lear auditor identifies any area as 'Not Applicable' (X); an explanation of why that category is Not Applicable should be included in
the appropriate section of the 'Auditor Notes' tab.

The other three portions of each category; Adequate, Deployed and Measured should be scored on a 0, 1, or 2 basis.
Adequate
0 = Does not meet guidelines
1 = Meets some guidelines
2 = Meets all guidelines
Deployed
0 = Not Adequately deployed
1 = Deployed in some areas
2 = Deployed in all or most applicable areas
Measure
0 = No system of measuring
1 = Can measure but is not attaining goals
2 = Measuring and attaining goals

Scoring Box: The scoring box is to the right of each question. The scoring box is where each auditor rating is entered. Scoring boxes that are grayed out
means that question does not need to be evaluated and may be skipped.

Audit Categories (Based on IATF-16949)

1.0 -Management
The management section reviews the overall critical elements of managing efficient on-going production.

1) Metric System
This system is to ensure Management uses data in their decision making, target setting, and planning. The metrics used may vary for each division
or organization; but should provide management a method to assess current, future, and past performance.
2) Communication System
Each company should have a method to distribute information on the status of the facility based on the metrics used by management. The
communication should flow from top down in order to promote goals and continuous improvement. If communication is used properly, positive
trends should be seen in the metrics.
3) Organization Structure
Every company should contain an organizational chart that depicts positions and personnel names for each position. Each position should have a
title and list of responsibilities for the person filling that position. A well-defined organizational chart can reduce conflicts and tension between
employees/departments as well as creates a chain of communication and authority.

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 4) Business Conduct and Compliance
Lear is committed to conducting business ethically and with integrity throughout the global supply chain. Lear requires all suppliers to have an ethics
program in place consistent with Lear’s “Code of Business Conduct and Ethics” and to adhere to all applicable Lear Compliance Policies as set forth
at www.lear.com.
5) Environmental Management
A systematic, documented, and objective assessment of conditions, operations, and practices of a business or facility for the purpose of verifying
compliance with environmental protection statutory and regulatory requirements. ISO 14001 should be followed.
6) Loss Prevention
A loss prevention program should be in place at all suppliers to 1) prevent catastrophic loss; 2) plan for significant production interrupting events
(including 'acts of God'); and 3) recover from incidents to protect their customers' production.
The hot work permit program is for all processes using extreme heat or fire (e.g., torch welding and cutting).

2.0 -Quality
This section is directed toward the basic systems that contribute to Quality Control of product and process.

1) Data Collection System

The ability to record and understand the performance of the facility and production capabilities. Thorough ability to collect and interpret operations
and product data. This system should alert the appropriate personnel of out of control situations. Data should be used to both represent the current
state and to improve the processes for which it is associated.
2) Rework System
In some cases the producer and customer may agree to perform supplemental operations (rework, repair, or reprocessing) on a limited quantity of
product rather than discarding the product due a non-conforming condition. These parts should have a documented process of rework/repair the
product to make it acceptable for the customer. Applying a standard set of instructions to a Rework process will drive consistency and should be used
to communicate the specific operations to the approving party (customer). Product should be re-tested and re-checked for acceptability to all
specifications after any rework or repair.
3) Error Proofing Strategy & Validation
A system should be in place to ensure all processes new or established have been reviewed for methods to prevent the process from creating or
passing on unacceptable products. The methods of error proofing may be operator controlled, identified with detection devices or prevented with
hard fixtures. Hard fixture or automatic preventative device is most preferable when establishing error proofing in a process. Periodic verification of
proper functioning of error proofing devices is required. Non-functioning error proofing should be corrected immediately. Operators must not have
the capability to override or 'turn off' error proofing.
4) Customer Feedback
Supplier has to define the approach to quality problems communicated by the customer and its response, problem solving methods are established
within the organization and also has a multidisciplinary approach.
5) Customer Satisfaction & Response
This system or management philosophy should contain a metric to assess the level of success in supplying and communicating with their customers.
This system should contain a method to warn or alert the facility that they are not performing to their customers’ expectations and document the
corrective measures.
6) Containment Systems
This system should establish when and how containment is instituted for a process or product. A containment system should affect all products from
after major process changes, out of control situations, or the launch of a new product. Early Launch Containment is; "temporary and extraordinary
controls put in place to absolutely guarantee Zero Defects are received at the Customer regardless of cost or effort."
Note: This is also the intention of the APQP Pre-Launch Control Plan.

3.0 -Production
The Production section examines the processes that drive and control the production environment.

1) Process Control
A system that monitors the processes to ensure the consistent production of conforming product and warns when the system is not in control. These
controls may include Process Setup Sheets, First Piece Inspection, or Control Charts. Each of these three systems focus on specific areas; Process setup
sheets focus on before the process is running, First Piece inspection checks that the process can make acceptable product, and Control Charts can
monitor results over time. A documented Control Plan must exist and be followed.
2) Manufacturing Metrics
A key to managing and controlling production processes is data. This data can take many forms (e.g., Operational Equipment Effectiveness (OEE),
Efficiencies, Parts Per Million (PPM), scrap, customer scorecards, etc.). These metrics combine key pieces of data in order to show the status of production
processes. Key manufacturing metrics should be communicated to everyone involved in the process. Operators should understand what these metrics
represent and whether the teams are meeting objectives or not. This can help employees involved in the process to better control or improve the process
as required.
3) Disciplined Problem Solving

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 Problem identification, investigation, and correction is a cornerstone of an effective organization. Externally identified and Internal problems should be
documented with at least: Immediate Corrective Actions, Root Cause identification, Permanent Corrective Actions, Verification of Corrective Actions, and
Preventative actions. Multidisciplined problem solving teams should include operators. The problem solving team should use the 5-Why methodology to
ask, "why this happened?" as many times as it takes to identify the 'true' root cause. Note: Sole reliance on 'Operator Training' is not an acceptable
Permanent Corrective Action.
4) Training
Most processes require the human factor; to help control the processes training should be implemented. Training provides employees with the basic
knowledge and confidence to perform specific tasks to eliminate or reduce costly mistakes. A system should be established that ensures employees are
trained on the tasks they are responsible for on an ongoing basis.
5) Process and Product Improvement
Process and products require to be audit and improved to guarantee that customer needs are fulfilled, auditing process should be defined to improve
their control and performance, products should be monitoring regularly to confirm all specification are satisfied.
6) By-pass control for SC/CC
Organization has procedure to control all SC/CC requirements and includes process to avoid controls by-passed.

4.0 -Materials
This section reviews activities related to Materials Planning, Management, and Control.

1) Schedule & Capacity Planning

This system should be reviewed by management on a routine basis and provide for a working schedule that is understood by all required personnel.
Short term and Long term capacity planning are also important to ensure that inventories of component and finished products are available to support
customer requirements.
2) Traceability and Lot Control
Traceability and Lot Control ensures that sub-components in the finished product can be traced back to the original fabrication, processing, received
material lots, and/or shipments. Traceability is required on all safety related items. Traceability is necessary to react to quality issues and contain the
population of suspect material. The level of traceability data is determined based on part criticality. Traceability records of sub-component (externally
supplied) and internal production shall be available according to Lear record retention duration.
3) Labeling Practices
The labeling system should be flexible enough to display specific content based on customer needs yet stringent enough to ensure product is not
mis-labeled. All customer complaints for mislabeling must have documented root cause & permanent corrective actions. A point of use labeling system for
the manufacturing floor is an ideal way to limit errors on most processes. All in-plant materials/containers should be properly labeled.
4) Inventory Control
Inventory control is vital to insure costs and manufacturing floor space is managed. The inventory system should have methods to cycle count as well
as ensure stock is used based on the need of the manufacturing process, such as the “First In, First Out” (FIFO) process. Inventory areas should designate
what material is stored in specific areas, as well as outgoing and incoming. All materials should be properly identified.
5) Packaging
All products must be protected during storage and transportation, supplier must define a procedure to satisfy this requirement.
6) Delivery
Supplier must have a system to ensure deliveries are according to requirements, product is protected to damages and documentation is provided on
time to avoid delays.

5.0 -Engineering
This section reviews other processes for proactive planning, analysis, and improvement.

1) Process Planning
Historically in the automotive industry the Process Failure Mode Effects Analysis (PFMEA), and Control Plan have been the staple in process planning
and control. This system provides a vehicle for transferring knowledge from similar processes to new ones and establishes a format to record lessons
learned in order to control the process. APQP process should be used for product and process development.
2) Variation Reduction
Variation reduction is important in improving processes by eliminating waste or defining new ways to control a process. It is important that a system
be in place to collect data, analyze the data, and implement improvements. Operators should be involved.
3) Lean Manufacturing Systems
This system is vital to remove excess wastes within the manufacturing process as well as aiding in the management of the process. Although Lean
Manufacturing is considered a Continuous Improvement tool, it is valuable enough to include as a separate requirement in the manufacturing management
processes. 5-S is included here.
4) Measurement Capabilities
Supplier should have the capabilities to measure all required dimensions for parts produced. Gauges must be controlled and certified. Performance
testing should be completed in an accredited laboratory.
5) Product Integrity
Safety related product and process characteristics must be monitored appropriately to ensure part performance.

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 6) Change Control
A critically important aspect of manufacturing is to properly plan, authorize, implement, and validate changes. This system should focus on the
organization's ability to asses, communicate, and execute changes within the facility as well as controlling changes at sub-suppliers. The Production Part
Approval Process (PPAP) Section 3 must be followed for Customer Notification and Approval of changes and the Lear SCR (Supplier Change Request) must
be used to communicate proposed changes to Lear (see Lear.com).

6.0 -Supplier Management

Many issues in a process are caused by sub-supplier components entering the process that do not meet design requirements. A system should
monitor product received from suppliers and contain a method to document and rapidly communicate and correct concerns of sub-supplier component
conformance. Automotive industry standard procedures should be used with sub-suppliers (AIAG: APQP, FMEA, PPAP, MSA, SPC). On-site review of
critical sub-suppliers should be documented and identified issues corrected in a timely manner.

1) Supplier Selection Process

Supplier shall have a process to select supplier according to IATF 16494.
2) Supplier Monitoring
Supplier to define a process to evaluate the sub-supplier performance to secure the process, products and services performance, the evaluation
must include performance indicator, incoming process for all purchase parts and the conformity to specifications. Audit the sub-suppliers and follow
up the improvement plans.
3) Supplier Readiness
Supplier defined a process to review the supplier compliance during new launches a monitor the performance, including the statutory and
regulatory requirements.
4) Supplier Compliance Requirements
There should be a control to meet customer requirements in regards to IMDS and Conflict minerals reporting, identification of all outsourced process,
products and services, also establish a communication of any CSR. In case of embedded software there should be a manage process to guarantee its control.
5) Business Conduct and Compliance
The supplier must secure that sub-suppliers know and include into their requirements all applicable Lear Compliance Policies consistent with Lear’s
“Code of Business Conduct and Ethics”.

7.0 -Maintenance
Manufacturing processes require equipment in order to produce products. Maintaining this equipment is important as non-functioning
equipment leads to costly downtime during production. A preventative maintenance program should plan how often equipment needs to receive
maintenance based on manufacturers recommendations or historical lessons learned. A Total Predictive Maintenance (TPM) plan takes the next
step in preventing costly downtime by proactively identifying maintenance events and timing based on historical breakdown data.

1) Preventive Maintenance
Procedure about preventive maintenance must be in place and followed by the organization, including all resources needed.
2) Corrective Maintenance
The organization must define an improvement activities to reduce downtime by tracking their breakdowns and define actions required
according to the organization targets.
3) Backup and Spare Parts
Well control of the tooling historical data and their required spare system should be clearly define and maintain to procure reduce at minimum
loss time in the operation.
4) Tooling
All equipment status should be known by the organization, including their modifications, customer property, lifetime and its capacity.
5) CC/SC Equipment
Special care of all equipment affecting the SC/CC specification is in place to guarantee it conformity and also the customer satisfaction.
6) TPM
Supplier should confirm that all actions are focus to maintain an high degree of efficiency in the organization and also involve all levels of the
company to the equipment care.

'Auditor Notes' tab

This worksheet is to document specific observations and system descriptions for each section of the audit (including the section Q&A). Generally,
there should be some comments in each section of the 'Auditor Notes' tab. Additionally, there is space for general or overall comments at the top
of the sheet.
Issues identified during the audit that need to be corrected can be typed in bold characters to highlight the mandatory corrections needed.

'Corrective Actions' tab

This worksheet is to document action items to be completed by the supplier to improve compliance with the requirements of this audit. A
separate Open Issues List may be used upon Lear concurrence. Mandatory improvement actions will be identified by Lear. Suppliers should

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 initiate actions to improve every score in the audit that is not rated as a 2 (good system in place).

'IATF 16949 Worksheet' -PROCESS DESCRIPTIONS

If the supplier is not registered to IATF-16949 or ISO 9001 the Supplier Business Process Description sheet must be completed. For suppliers that do not
have resources available to support the implementation of a quality system Lear requires the suppliers to define the following business processes: Sales,
Development, Manufacturing, Quality, and Delivery. The objective is that adequate systems that meet the intent of IATF-16949 and/or ISO 9001 are
developed. The process approach requires that inputs, outputs, and performance indicators (metrics) are identified for each process.

1) Process Description Matrix

The process description matrix should contain at least the following information for each necessary process:
a) Process
1. Processes should include those from Sales, Development, Production, and Delivery.
b) Inputs
1. Enter the associated Inputs for the selected process.
c) Outputs
1. Enter the associated Outputs for the selected process.
d) Performance Indicators
1. List the Performance Indicators that are (should be) used to monitor the selected process.
e) Target Established
1. Have measurable targets been defined based on the chosen Performance Indicators? (Yes or No)
f) Meeting Target
1. Has the chosen Performance Indicator reached the Established Target for the associated Process? (Yes or No)
g) If Not Meeting Target, Are Action Plans Available
1. All processes that do not meet their Established Targets must have Action Plans identified to reach the Established Targets.

Introduction
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Supplier Name Supplier Code Country

Address City State Zip

CONTACT INFORMATION E-Mail Address Phone Number

Plant Manager

Quality Manager

After Hours

PLANT INFORMATION
Total Annual Sales Automotive Annual Sales % of Business W/Lear

Union Affiliation Contract Expiration Date No. of Hourly Employees

Plant Size (Sq. Ft.) Plant Capacity Utilized

Lear Plants Supplied No. of Automotive Customers

Services Provided Current Yearly SRS Score

Programs Supported 12 Month RPPM's

CERTIFICATE INFORMATION
Check those certificates the supplier has obtained. North America Diversity Certificates International Certificates

IATF 16949 ISO 9001 ISO 14001 ISO45001 VDA 6.3 MBE WBE CAMSC Export Credit C-TPAT AEO

AUDIT SUMMARY
Item Section: Score
1 Management
2 Quality
3 Production
4 Materials
5 Engineering
6 Supplier Management
7 Maintenance
Overall Score

AUDIT INFORMATION
Last Audit

Full Pre-Source C.I. Audit IATF Conformance ISO 45001

Auditor Audit Date GAMS# Rating Score

Full Pre-Source C.I. Audit IATF Conformance Other

Current Audit

X X X X X
Lear Auditor Signature E-Mail Address Phone Number

Supplier Representative Signature E-Mail Address Phone Number

CORRECTIVE ACTIONS
Corrective actions Yes No Date corrective actions are
required? X to be completed

Cover Page
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ITEM SECTION
1. Question & Answers Incomplete
1. Is the Supplier EDI capable? (Y/N)

x 2. Does the Supplier monitor and maintain a Diverse Spend of 6% or more from minority sub-suppliers? (Y/N/X)

3. Is the Supplier primarily a Tier 1 Supplier? (Y/N)

x 4. Is the Supplier's annual labor turnover rate at 5% or below? (Y/N)

5. Has the Supplier been placed on Quality controlled shipping in the last year? (Y/N)

6. Does the Supplier have Manufacturing, Industrial and Quality Engineers available? (Y/N/X)

7. Does the Supplier maintain a clean work environment at the facility? (Y/N)

8. Does the Supplier supply any products which are shipped directly to Lear's customer? (Y/N)
(i.e., Trade Sale Products)

9. Does the Supplier ship product through another facility before shipping to Lear? (Y/N)

x 10. Does the Supplier produce products for Lear which have any safety (FMVSS) requirements? (Y/N)

x 11. Does the Supplier insure wood packaging conforms to new international standards? (Y/N/X)

x 12. Does the Supplier adhere to all security procedures required by the Customs-Trade Partnership Against (Y/N/X)
Terrorism (C-TPAT)?

x 13. Does the Supplier adhere to all security procedures required by AEO (Authorized Economic Operator)? (Y/N/X)

x 14. Is the Supplier in compliance with IMDS reporting? (Y/N)

x 15. Are Material Data Safety Sheets (MSDS) available? (Y/N/X)

x 16. Is the Supplier in compliance with Lear's Code of Business Conduct and Ethics? (Y/N)

x 17. Is the Supplier in compliance with CONFLICT MINERAL reporting? (Y/N)

x 18. Has the supplier completed the MMOG self-assessment? (Y/N)

x 19. Has the supplier reviewed information at www.lear.com > Supplier Information > Web Guides? (Y/N)

x 20. Does the Supplier know and ensure compliance of LEAR requirements? (Y/N)

x 21. Does the Supplier know and ensure compliance of Customer Specific requirements of OEM’s affected? (Y/N)

x 22. Does the Supplier know and ensure compliance of Statutory and Regulatory requirements ? (Y/N/X)

Q&A
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23. Has the Supplier identified operational and financial Risk and opportunities of the supplier chain? (Y/N)

x 24. If the audit is an IATF compliance audit, Has the “IATF Worksheet” filled? (Y/N/X)

x 25. If supplier has Special processes (CQI, …), Are evidences of supplier audits attached? (Y/N/X)

x 26. If supplier’s product has Software embedded, Are evidences of market standard compliance ( SPICE, (Y/N/X)
CMII. ) attached?

Are there action plans

Q&A
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MANAGEMENT SUMMARY
Item Sub-Section Score
1 Metric System
2 Key Metric Communication
3 Organization Structure
4 Business Conduct and Compliance
5 Environmental Management
6 Loss Prevention
7 Risk and Opportunities
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
1. MANAGEMENT
1.1 Metric System
1.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.1.2 The supplier's system is Adequate:
a. Supplier has defined Key Performance Indicators KPIs. (I.e. Customer Satisfaction, RPPM, OTD, etc..)
b. Collects data on Key measurables.
c. Plant management formally reviews on a regular basis.
d. Plant management uses Key measurables to drive improvement.
e. Aggressive targets set for KPIs.

1.1.3 The supplier's system is fully Deployed through out the facility.
1.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1.2 Key Metric Communication

1.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.2.2 The supplier's system is Adequate:
a. The supplier should have a mechanism to communicate Key Performance Indicators (KPI)
and issues to all levels of the organization.
b. A process to Communicate to Customers and Suppliers.
c. KPIs are posted for employee awareness & review.
d.

1.2.3 The supplier's system is fully Deployed through out the facility.
1.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1.3 Organization Structure

1.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.3.2 The supplier's system is Adequate:
a. Organizational chart, reporting responsibilities.
b. Roles and responsibilities for key individuals.
c. Review hiring plans if key positions are open.

1. Management
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d.
e.

1.3.3 The supplier's system is fully Deployed through out the facility.
1.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1.4 Business Conduct and Compliance

1.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.4.2 The supplier's system is Adequate:
a. Does the supplier have a Code of Conduct in place acc. with sec. 39 of GR&CCS?
b. Is the Code of Conduct enforced at the site?
c. Does the supplier conduct training sessions to enhance the understanding of Corporate social responsibility?
d. Is there an established a process for reporting concerns?
e. Is the policy aligned to the Lear’s Supplier Sustainability Policy?

1.4.3 The supplier's system is fully Deployed through out the facility.
1.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1.5 Environmental Management

1.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.5.2 The supplier's system is Adequate:
a. The suppliers Environmental Management System (EMS) conforms certification to ISO-14001
b. Supplier provides environmental and hazardous materials transportation training.
c. The facility has a current emergency plan with documented training.
d. The supplier is aware of their customer's (OEM) environmental requirements.
e. The supplier has a documented system for completing IMDS reporting.

1.5.3 The supplier's system is fully Deployed through out the facility.
1.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1.6 Loss Prevention

1.6.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.6.2 The supplier's system is Adequate:
a. The Supplier has a smoking policy that clearly marks "No Smoking" zones.
b. Hot work permit program that applies to maintenance work outside designated maintenance areas.
c. Flammable materials stored in approved grounded storage cabinets. Max one day supply on floor.
d. Labels identifying the chemical are affixed to all containers in storage and in use.
e. Supplier has 'Contingency Plans' to resume production after different catastrophe scenarios.

1.6.3 The supplier's system is fully Deployed through out the facility.
1.6.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1.7 Risk and Opportunities

1.7.1 The supplier is able to provide documented Evidence of the system. (Y/N)
1.7.2 The supplier's system is Adequate:

1. Management
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a. The supplier has a procedure to evaluate R&Ops by a multidisciplinary team

b. The supplier has identified coherent risk and opportunities
c. The supplier has defined "Contingency plans" and are periodically tested
d. When risk impact customer, the Supplier has defined a process to inform and protect the Customer.
e. Deputies are defined in case of holidays or absence

1.7.3 The supplier's system is fully Deployed through out the facility.
1.7.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

1. Management
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QUALITY SUMMARY
Item Sub-Section Score
1 Data Collection Systems
2 Rework System
3 Error Proofing Implementation
4 Customer Feedback
5 Customer Satisfaction
6 Containment System
7 Lear Requirements
8 OEM's Customer Specific Requirements & Statutory and Regulatory Requirements
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
2. QUALITY
2.1 Data Collection Systems
2.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.1.2 The supplier's system is Adequate:
a. Process on how internal and external data is collected.
b. Process provides regular review of data.
c. Process requires reaction plans to the data.
d. Supplier must implement a records retention policy or all records and documentation
pertaining to business conducted with Lear Corporation

2.1.3 The supplier's system is fully Deployed through out the facility.
2.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.2 Rework System

2.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.2.2 The supplier's system is Adequate:
a. Provides method for validation from customer on design approval of rework.
b. Data is collected on type and frequency of rework.
c. Operator training and instructions are required.
d. Reworked product is rechecked with in-process inspection and testing methods.
e. Documented customer approval for rework, repair, reprocessing, etc.

2.2.3 The supplier's system is fully Deployed through out the facility.
2.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.3 Error Proofing Implementation

2.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.3.2 The supplier's system is Adequate:
a. Proactive method for determining where E.P. is required on new processes. (i.e. PFMEA)
b. Supplier expertise exists to design and implement needed error-proofing.

2. Quality
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c. Written instructions for proper use of Error Proofing devices.

d. Periodic and documented verification of Error Proofing effectiveness (using 'Red' parts).
e. Error Proofing devices can NOT be turned off or reset by production operators.

2.3.3 The supplier's system is fully Deployed through out the facility.
2.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.4 Customer Feedback

2.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.4.2 The supplier's system is Adequate:
a. Supplier maintain a list of open claims and alerts received from Customer
b. Supplier monitor the status of all customer responses and the closure?
c. Do you have action plan for all claims from Customer?
d. Supplier used a problem solving method according to customer requirements (8D)?
e. Supplier communicate their problem solving analysis and action plan at required portal?

2.4.3 The supplier's system is fully Deployed through out the facility.
2.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.5 Customer Satisfaction

2.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.5.2 The supplier's system is Adequate:
a. Ongoing measurement and review of customer performance.
b. Provides for 24 hour response to issues.
c. Formal means of elevating and involving appropriate people in issue resolution.
d. Conflict Minerals and other information communicated to customer per requirements.
e. Customer Specific Requirements identified and satisfied.

2.5.3 The supplier's system is fully Deployed through out the facility.
2.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.6 Containment System

2.6.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.6.2 The supplier's system is Adequate:
a. Automatically established prior to and during new product launch or major process change.
b. Requires work instructions and operator training.
c. Inspection criteria or boundary samples are established.
d. Data is collected and fed back to production to react.
e. "Temporary and Extra-ordinary controls to guarantee Zero Defects received at customer during launch"

2.6.3 The supplier's system is fully Deployed through out the facility.
2.6.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.7 Lear Requirements

2.7.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.7.2 The supplier's system is Adequate:

2. Quality
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a. The supplier has a procedure to identify Lear Requirements

b. The supplier has downloaded Lear requirements form Lear website
c. The supplier knows what are the Lear's requirements and where are located
d. The supplier has defined activities (ex. training, …) to deploy Lear's requirements
e. The supplier periodically audits (according schedule) the compliance of Lear requirements

2.7.3 The supplier's system is fully Deployed through out the facility.
2.7.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2.8 OEM's Customer Specific Requirements & Statutory and Regulatory Requirements
2.8.1 The supplier is able to provide documented Evidence of the system. (Y/N)
2.8.2 The supplier's system is Adequate:
a. The supplier has a procedure to identify OEM's CSR and Statutory & Regulatory requirements
b. The supplier has downloaded Customer requirements form Lear website
c. The supplier is aware of OEM's CSR and Statutory & Regulatory requirements
d. The supplier has defined activities (ex. training, …) to deploy those requirements
e. The supplier periodically audits (according schedule) the compliance of those requirements

2.8.3 The supplier's system is fully Deployed through out the facility.
2.8.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

2. Quality
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PRODUCTION SUMMARY
Item Sub-Section Score
1 Process Control
2 Manufacturing Metrics
3 Disciplined Problem Solving
4 Training
5 Process and Product Improvement
6 By-pass control for SC/CC
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
3. PRODUCTION
3.1 Process Control
3.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
3.1.2 The supplier's system is Adequate:
a. 1st Piece Inspection process.
b. Process Set-Up sheets, Boundary samples, and Work Instructions posted near work cells.
c. System to monitor system performance across time. (i.e. control charts, SPC, etc…)
d. Internal audits performed on regular basis (e.g., Layered Audits).
e. Inspection, Layouts, and functional testing are conducted per the Control Plans.

3.1.3 The supplier's system is fully Deployed through out the facility.
3.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

3.2 Manufacturing Metrics

3.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
3.2.2 The supplier's system is Adequate:
a. Visual systems showing critical metrics for each processing area.
b. Evidence of ongoing review of critical metrics, including but not limited to; OEE, Efficiency,
Quality, Safety, Delivery, etc…
c. Metrics are posted so operators can easily see results/status (Green, Yellow, Red).
d. Production capacity is in line with customer requirements

3.2.3 The supplier's system is fully Deployed through out the facility.
3.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

3.3 Disciplined Problem Solving

3.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
3.3.2 The supplier's system is Adequate:
a. All customer quality complaints/returns are documented with root cause analysis and correction.
b. Internal issues are addressed with structured problem solving and correction process.
c. Analysis strives to identify 'true' root cause (5-why or more).
d. Corrective actions address the 'true' root cause.

3. Production
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e. Preventive actions to avoid reoccurrence are implemented & documented.

3.3.3 The supplier's system is fully Deployed through out the facility.
3.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

3.4 Training
3.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
3.4.2 The supplier's system is Adequate:
a. Closed loop system to verify Training has taken place.
b. The supplier has a documented Training request process.
c. Workforce employees are trained and 'Certified' prior to performing operations.
d.
e.

3.4.3 The supplier's system is fully Deployed through out the facility.
3.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

3.5 Process and Product Improvement

3.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
3.5.2 The supplier's system is Adequate:
a. Are all processes and products audited regularly?
b. Audit plans are available for all processes and products.
c. Product audits are carried out and documented in production.
d. Reaction plans are defined for any non-conforming product audits.
e. Action plans are developed to any deviations or non-conforming requirements

3.5.3 The supplier's system is fully Deployed through out the facility.
3.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

3.6 By-pass control for SC/CC

3.6.1 The supplier is able to provide documented Evidence of the system. (Y/N)
3.6.2 The supplier's system is Adequate:
a. CC/SC are identified on Control plans and in the Rest of documentation (WI, etc, ..)
b. All identified SC/CC controls have an automated system to prevent bypass of the operation/control
c. Parts are identified systemically and tracked for control
d. The supplier has a process to avoid controls by-passed
e.

3.6.3 The supplier's system is fully Deployed through out the facility.
3.6.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

3. Production
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MATERIALS SUMMARY
Item Sub-Section Score
1 Schedule & Capacity Planning
2 Traceability & Lot Control
3 Labeling Practices
4 Inventory Management
5 Packaging
6 Delivery
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
4. MATERIALS
4.1 Schedule & Capacity Planning
4.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
4.1.2 The supplier's system is Adequate:
a. System of Review at Management level.
b. A current production schedule is available.
c. Short term and Long term Capacity planning. (i.e. Short term < 2 wks, Long term monthly)
d. Plans exist to handle significant fluctuations (up and down) in customer schedule.
e. The BOM's are audit regularly to prevent wrong Eng. Levels?

4.1.3 The supplier's system is fully Deployed through out the facility.
4.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

4.2 Traceability & Lot Control

4.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
4.2.2 The supplier's system is Adequate:
a. Formal method of tracking product lots through process from raw material through shipping.
b. Sub-supplier lot codes are recorded.
c. Record Retention duration is met for traceability information.
d. Records are stored in (backed up to) an off-site location.
e.

4.2.3 The supplier's system is fully Deployed through out the facility.
4.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

4.3 Labeling Practices

4.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
4.3.2 The supplier's system is Adequate:
a. System with Controls to protect against Mislabel. (i.e. Point Of Use labeling system).
b. Containers are properly labeled (incoming, WIP, & Finished Goods).
c. Non-conforming or material 'on hold' are clearly identified.
d.

4. Materials
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e.

4.3.3 The supplier's system is fully Deployed through out the facility.
4.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

4.4 Inventory Management

4.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
4.4.2 The supplier's system is Adequate:
a. FIFO used for incoming, WIP, and outgoing material.
b. Organized materials storage areas (5-S).
c. Cycle counts performed periodically.
d. Designated secured locations for quarantine material (e.g., hold, rework, non-conforming)
e. MMOG utilized to assess/improve materials systems.

4.4.3 The supplier's system is fully Deployed through out the facility.
4.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

4.5 Packaging
4.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
4.5.2 The supplier's system is Adequate:
a. Packaging Standards have been approved at LPAS or similar?
b. Packaging and specific protections have been validated for delivered products.
c. Is there packaging WI for all products?
d. Is there a packaging validation to avoid damage containers and their maintenance?
e. If applicable: a back-up mode has been defined in case of packaging shortage and agreed by the customer.

4.5.3 The supplier's system is fully Deployed through out the facility.
4.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

4.6 Delivery
4.6.1 The supplier is able to provide documented Evidence of the system. (Y/N)
4.6.2 The supplier's system is Adequate:
a. ERP system is able to provide ASN and documentation at the moment of shipments?
b. Storage and preparation areas are clearly marked and suitable to prevent risks?
c. Procedures ensured that customer is immediately informed when supply bottle-neck is detected
d. Are Dock Audits performed regularly?
e. In case of non-conforming the shipment is hold and segregated?

4.6.3 The supplier's system is fully Deployed through out the facility.
4.6.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

4. Materials
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ENGINEERING SUMMARY
Item Sub-Section Score
1 Process Planning
2 Variation Reduction
3 Lean Manufacturing
4 Measurement Capabilities
5 Product Integrity
6 Change Control
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
5. ENGINEERING
5.1 Process Planning
5.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
5.1.2 The supplier's system is Adequate:
a. PFMEA's, Control Plans, and Lessons Learned used in planning controls for new processes.
b. DFMEA utilized if design responsible.
c. APQP or similar methodology used to guide/evaluate product and process development.
d. Production approval package (PPAP) has complete information.
e. Product SAFETY related characteristics are identified and controlled.

5.1.3 The supplier's system is fully Deployed through out the facility.
5.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

5.2 Variation Reduction

5.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
5.2.2 The supplier's system is Adequate:
a. Formal pro-active problem solving activities. (i.e. Red X, Six Sigma, Kaizen, etc…)
b. Any method focusing on data collection and pro-active quality/efficiency improvements.
c. Operators are involved in developing improvements.
d.
e.

5.2.3 The supplier's system is fully Deployed through out the facility.
5.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

5.3 Lean Manufacturing

5.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
5.3.2 The supplier's system is Adequate:
a. Designated places for all Materials, Tools, and Equipment. (i.e. 5-S program)
b. Value added Process mapping.
c. Standardized work
d. One Piece Flow with minimal Work In Process.

5. Engineering
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e.

5.3.3 The supplier's system is fully Deployed through out the facility.
5.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

5.4 Measurement Capabilities

5.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
5.4.2 The supplier's system is Adequate:
a. In-house capabilities to measure all critical dimensions and process control parameters.
b. Full dimensional analysis can be contracted.
c. Gauge calibration up to date and R&R acceptable.
d. Existing arrangements for performance testing at accredited laboratories (i.e., ISO 17025)
e.

5.4.3 The supplier's system is fully Deployed through out the facility.
5.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

5.5 Product Integrity

5.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
5.5.2 The supplier's system is Adequate:
a. Safety related product characteristics are identified on drawings, FMEAs, and control plans.
b. ISO 26262 requirements are identified and met.
c. A ‘Product Safety Representative’ has been designated if required by Lear's Customer.
d. Workforce is aware of safety related characteristics and the associated controls.
e. Supplier has Cpk 1.67 or mistake proofing device (100% automated inspection) for SC/CC

5.5.3 The supplier's system is fully Deployed through out the facility.
5.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

5.6 Change Control

5.6.1 The supplier is able to provide documented Evidence of the system. (Y/N)
5.6.2 The supplier's system is Adequate:
a. Provides for internal tracking, review, approval, and communication of changes.
b. Provides for customer notification and approval prior to implementation (see PPAP Section 3).
c. Change notification and approval requirements communicated to sub-suppliers.
d. Prevents the unintended use of obsolete documents; and retention requirements identified.
e. Provides for proper validation of change BEFORE implementation.

5.6.3 The supplier's system is fully Deployed through out the facility.
5.6.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

5. Engineering
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SUPPLIER MANAGEMENT SUMMARY

Item Sub-Section Score
1 Supplier Selection Process
2 Supplier Monitoring
3 Supplier Readiness
4 Supplier Compliance Requirements
5 Business Conduct and Compliance
6
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
6. SUPPLIER MANAGEMENT
6.1 Supplier Selection Process
6.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
6.1.2 The supplier's system is Adequate:
a. Does the supplier have a documented (effective) sub-tier selection process?
b. Procedure include all 5 requirements listed in IATF16949 (8.4.1.2)
c. Does the supplier's sub-tier selection include other criteria acc. IATF16949 - 8.4.1.2?
d. Does the supplier management sub-tier customer directed effectively in accordance with
IATF1694 (8.4.1.3 - where applicable)?

6.1.3 The supplier's system is fully Deployed through out the facility.
6.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

6.2 Supplier Monitoring

6.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
6.2.2 The supplier's system is Adequate:
a. Does the supplier have a documented (effective) sub-tier process (IATF16949 8.4.2.4)?
b. Is there a documented sub-tier second party audit process in accordance with IATF16949 8.4.2.4.1?
c. Is there a documented plan for sub-tier on-site audit for sub-tiers?
d. Does the supplier develop sub-tiers (as appliable) in accordance with IATF16949 8.4.2.5?
e. Is there a control plan for all sub-tier purchased component being received according with drawings/specs?

6.2.3 The supplier's system is fully Deployed through out the facility.
6.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

6.3 Supplier Readiness

6.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
6.3.2 The supplier's system is Adequate:
a. Tool for assessing supplier system capacity.
b. Provides for monitoring of launch readiness. (i.e. PPAP, Run-at-Rate, Launch Containment Plan)
c. Is there a kick-off plan for each sub-tier purchased component?
d. Is there a documented process to meet statutory and regulatory requirements - IATF16949 (8.4.2.2)?

6. Supplier Management
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e. Are all sub-tier suppliers meet the requirements of IATF16949 (8.4.2.3)?

6.3.3 The supplier's system is fully Deployed through out the facility.
6.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

6.4 Supplier Compliance Requirements

6.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
6.4.2 The supplier's system is Adequate:
a. Do all sub-tiers have documented compliance for IMDS requirements of purchased components?
b. Do all sub-tiers have documented compliance for Conflict Mineral requirements of purchased components?
c. Is there a documented process to identify outsourced processes and meet IATF16949 (8.4.2)?
d. Necessary final customer requirements are communicated to sub-suppliers IATF16494 (8.4.3)
e. Is there (if applicable) software development evaluation method to all external suppliers (IATF16949 8.4.2.3.1)?

6.4.3 The supplier's system is fully Deployed through out the facility.
6.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

6.5 Business Conduct and Compliance

6.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
6.5.2 The supplier's system is Adequate:
a. Supplier has included a Code of Conduct and Compliance requirement to sub-suppliers
b. Including: 1. Social Responsibility, 2. Occupational Health and Safety, 3. Diversity, Equity
c. and Inclusion, 4. Human Rights Policy, 5. Fair Competition and Antitrust, 6. Conflicts of
d. Interest and 7. Preventing Bribery and Corruption
e. Supplier monitor the sub-supplier agreement to these requirements

6.5.3 The supplier's system is fully Deployed through out the facility.
6.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

6. Supplier Management
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MAINTENANCE SUMMARY
Item Sub-Section Score
1 Preventive Maintenance
2 Corrective Maintenance
3 Backup and Spare Parts
4 Tooling
5 SC/CC Equipment
6 TPM
Totals
SCORING WORKSHEET
Adequate, Deployed &
Evidence X = N/A (not applicable) Y Yes N No Measure 0 Lacking 1 Average 2 Good
ITEM SECTION SCORE
7. MAINTENANCE
7.1 Preventive Maintenance
7.1.1 The supplier is able to provide documented Evidence of the system. (Y/N)
7.1.2 The supplier's system is Adequate:
a. Supplier has a Preventative Maintenance (PM) Schedule and Updated
b. Completion of maintenance records are up-to-date.
c. On-time completion of maintenance is documented & measured (KPI).
d. Maintenance Work Instructions are available and updated
e. Action plans are defined to improve preventive maintenance performance

7.1.3 The supplier's system is fully Deployed through out the facility.
7.1.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

7.2 Corrective Maintenance

7.2.1 The supplier is able to provide documented Evidence of the system. (Y/N)
7.2.2 The supplier's system is Adequate:
a. Breakdowns are followed and recorded with time duration
b. Breakdowns are measure and monitor by their causes (KPI & Pareto)
c. Action plans are defined to reduce their frequency and duration
d. Supplier building 'Predictive' Maintenance Plan.
e. A Procedure defined how to restart the production after maintenance operation

7.2.3 The supplier's system is fully Deployed through out the facility.
7.2.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

7.3 Backup and Spare Parts

7.3.1 The supplier is able to provide documented Evidence of the system. (Y/N)
7.3.2 The supplier's system is Adequate:
a. Critical spare parts are identified for equipment, tools, etc.
b. Spare part inventory is follow and with max and min quantities
c. If internal resource doesn't allow quick repair, contracts are in place with external supplier
d. Critical equipment have a back up plan (internal or external)

7. Maintenance
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7.3.3 The supplier's system is fully Deployed through out the facility.
7.3.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

7.4 Tooling
7.4.1 The supplier is able to provide documented Evidence of the system. (Y/N)
7.4.2 The supplier's system is Adequate:
a. Tooling is identified with customer property tags
b. Status of tool is clearly visible (Ready/To be Repaired/etc.)
c. Tooling modifications are recorded
d. Tooling lifetime is measured
e.

7.4.3 The supplier's system is fully Deployed through out the facility.
7.4.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

7.5 SC/CC Equipment

7.5.1 The supplier is able to provide documented Evidence of the system. (Y/N)
7.5.2 The supplier's system is Adequate:
a. Preventive maintenance planning is define for all SC/CC equipment
b. SC/CC equipment is validated (or calibrated if required)
c. SC/CC equipment is identified
d. Date of next review is defined and not overdue
e. Maintenance records are available

7.5.3 The supplier's system is fully Deployed through out the facility.
7.5.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

7.6 TPM
7.6.1 The supplier is able to provide documented Evidence of the system. (Y/N)
7.6.2 The supplier's system is Adequate:
a. Supplier has maintenance documented targets (OEE, MTBF, MTTR, PM Fulfillment)
b. There are clear work instructions that define preventive maintenance activities for operators.
c. The first maintenance level is performed in time by the Operators. Operator know which work to do.
d. Maintenance level 1: simple actions performed and easily reachable parts of the machine
e. Maintenance level 2: simple dismantling with tools and spare parts available at workstation

7.6.3 The supplier's system is fully Deployed through out the facility.
7.6.4 The supplier is able to Measure their system to ensure it is meeting their objectives.

7. Maintenance
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Auditor Notes

Note: Mandatory action items for supplier to correct should be in bold text on 'Corrective Actions' worksheet.

Q&A - Question & Answers Notes

1. Is the Supplier EDI capable?

2. Does the Supplier monitor and maintain a Diverse Spend of 6% or more from minority sub-suppliers?

3. Is the Supplier primarily a Tier 1 Supplier?

4. Is the Supplier's annual labor turnover rate at 5% or below?

Auditor Notes
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5. Has the Supplier been placed on Quality controlled shipping in the last year?

6. Does the Supplier have Manufacturing, Industrial and Quality Engineers available?

7. Does the Supplier maintain a clean work environment at the facility?

8. Does the Supplier supply any products which are shipped directly to Lear's customer?
(i.e., Trade Sale Products)

9. Does the Supplier ship product through another facility before shipping to Lear?

10. Does the Supplier produce products for Lear which have any safety (FMVSS) requirements?

11. Does the Supplier insure wood packaging conforms to new international standards?

12. Does the Supplier adhere to all security procedures required by the Customs-Trade Partnership Against

13. Does the Supplier adhere to all security procedures required by AEO (Authorized Economic Operator)?

Auditor Notes
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14. Is the Supplier in compliance with IMDS reporting?

15. Are Material Data Safety Sheets (MSDS) available?

16. Is the Supplier in compliance with Lear's Code of Business Conduct and Ethics?

17. Is the Supplier in compliance with CONFLICT MINERAL reporting?

18. Has the supplier completed the MMOG self-assessment?

19. Has the supplier reviewed information at www.lear.com > Supplier Information > Web Guides?

20. Does the Supplier know and ensure compliance of LEAR requirements?

21. Does the Supplier know and ensure compliance of Customer Specific requirements of OEM’s affected?

22. Does the Supplier know and ensure compliance of Statutory and Regulatory requirements ?

Auditor Notes
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23. Has the Supplier identified operational and financial Risk and opportunities of the supplier chain?

24. If the audit is an IATF compliance audit, Has the “IATF Worksheet” filled?

25. If supplier has Special processes (CQI, …), Are evidences of supplier audits attached?

26. If supplier’s product has Software embedded, Are evidences of market standard compliance ( SPICE, CM

MANAGEMENT
1.1 Metric System

1.2 Key Metric Communication

1.3 Organization Structure

Auditor Notes
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1.4 Business Conduct and Compliance

1.5 Environmental Management

1.6 Loss Prevention

1.7 Risk and Opportunities

QUALITY
2.1 Data Collection Systems

2.2 Rework System

Auditor Notes
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2.3 Error Proofing Implementation

2.4 Customer Feedback

2.5 Customer Satisfaction

2.6 Containment System

2.7 Lear Requirements

2.8 OEM's Customer Specific Requirements & Statutory and Regulatory Requirements

PRODUCTION
3.1 Process Control

Auditor Notes
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3.2 Manufacturing Metrics

3.3 Disciplined Problem Solving

3.4 Training

3.5 Process and Product Improvement

3.6 By-pass control for SC/CC

MATERIALS
4.1 Schedule & Capacity Planning

Auditor Notes
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4.2 Traceability & Lot Control

4.3 Labeling Practices

4.4 Inventory Management

4.5 Packaging

4.6 Delivery

ENGINEERING
5.1 Process Planning

Auditor Notes
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5.2 Variation Reduction

5.3 Lean Manufacturing

5.4 Measurement Capabilities

5.5 Product Integrity

5.6 Change Control

Supplier Management
6.1 Supplier Selection Process

Auditor Notes
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6.2 Supplier Monitoring

6.3 Supplier Readiness

6.4 Supplier Compliance Requirements

6.5 Business Conduct and Compliance

6.6

MAINTENANCE
7.1 Preventive Maintenance

Auditor Notes
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7.2 Corrective Maintenance

7.3 Backup and Spare Parts

7.4 Tooling

7.5 SC/CC Equipment

7.6 TPM

Auditor Notes
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Supplier Closure Duration Auditor
Location Audit Date Yellow 90 Auditor Phone
Representative Rev. Date Red 30 Auditor E-Mail

TARGET CLOSE ACTUAL CLOSE MONTHLY STATUS HISTORY

ITEM # AREA OF CONCERN SCORED DATE
RESP.
DATE
IMPROVEMENT ACTIONS / ACTION PLAN
Oldest Most Recent

Q&A - Questions and Answers 1 2 3 4 5 6

Missing
1. Is the Supplier EDI capable?
Answer

Does the Supplier monitor and maintain a

Missing
2. Diverse Spend of 6% or more from minority
Answer
sub-suppliers?

Missing
3. Is the Supplier primarily a Tier 1 Supplier?
Answer

Is the Supplier's annual labor turnover rate at Missing

4.
5% or below? Answer

Has the Supplier been placed on Quality Missing

5.
controlled shipping in the last year? Answer

Does the Supplier have Manufacturing, Missing

6.
Industrial and Quality Engineers available? Answer

Does the Supplier maintain a clean work Missing

7.
environment at the facility? Answer

Does the Supplier supply any products which

Missing
8. are shipped directly to Lear's customer?
Answer
(i.e., Trade Sale Products)

Does the Supplier ship product through another Missing

9.
facility before shipping to Lear? Answer

Does the Supplier produce products for Lear Missing

10.
which have any safety (FMVSS) requirements? Answer

Does the Supplier insure wood packaging Missing

11.
conforms to new international standards? Answer

Does the Supplier adhere to all security

Missing
12. procedures required by the Customs-Trade
Answer
Partnership Against Terrorism (C-TPAT)?
Does the Supplier adhere to all security
Missing
13. procedures required by AEO (Authorized
Answer
Economic Operator)?

Is the Supplier in compliance with IMDS Missing

14.
reporting? Answer

Are Material Data Safety Sheets (MSDS) Missing

15.
available? Answer

Is the Supplier in compliance with Lear's Code Missing

16.
of Business Conduct and Ethics? Answer

Is the Supplier in compliance with CONFLICT Missing

17.
MINERAL reporting? Answer

Has the supplier completed the MMOG self- Missing

18.
assessment? Answer

Has the supplier reviewed information at

Missing
19. www.lear.com > Supplier Information > Web
Answer
Guides?

Does the Supplier know and ensure compliance Missing

20.
of LEAR requirements? Answer

Does the Supplier know and ensure compliance

Missing
21. of Customer Specific requirements of OEM’s
Answer
affected?

Does the Supplier know and ensure compliance Missing

22.
of Statutory and Regulatory requirements ? Answer

Has the Supplier identified operational and

Missing
23. financial Risk and opportunities of the supplier
Answer
chain?

If the audit is an IATF compliance audit, Has Missing

24.
the “IATF Worksheet” filled? Answer

If supplier has Special processes (CQI, …), Are Missing

25.
evidences of supplier audits attached? Answer

If supplier’s product has Software embedded,

Missing
26. Are evidences of market standard compliance (
Answer
SPICE, CMII. ) attached?
1. MANAGEMENT 1 2 3 4 5 6
1.1 Metric System
1.1.1 Evidence
1.1.2 Adequate
1.1.3 Deployed
1.1.4 Measured
1.2 Key Metric Communication
1.2.1 Evidence
1.2.2 Adequate
1.2.3 Deployed
1.2.4 Measured
1.3 Organization Structure

Corrective Actions
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TARGET CLOSE ACTUAL CLOSE MONTHLY STATUS HISTORY

ITEM # AREA OF CONCERN SCORED DATE
RESP.
DATE
IMPROVEMENT ACTIONS / ACTION PLAN
Oldest Most Recent
1.3.1 Evidence
1.3.2 Adequate
1.3.3 Deployed
1.3.4 Measured
1.4 Business Conduct and Compliance
1.4.1 Evidence
1.4.2 Adequate
1.4.3 Deployed
1.4.4 Measured
1.5 Environmental Management
1.5.1 Evidence
1.5.2 Adequate
1.5.3 Deployed
1.5.4 Measured
1.6 Loss Prevention
1.6.1 Evidence
1.6.2 Adequate
1.6.3 Deployed
1.6.4 Measured
1.7 Risk and Opportunities
1.7.1 Evidence
1.7.2 Adequate
1.7.3 Deployed
1.7.4 Measured
2. QUALITY 1 2 3 4 5 6
2.1 Data Collection Systems
2.1.1 Evidence
2.1.2 Adequate
2.1.3 Deployed
2.1.4 Measured
2.2 Rework System
2.2.1 Evidence
2.2.2 Adequate
2.2.3 Deployed
2.2.4 Measured
2.3 Error Proofing Implementation
2.3.1 Evidence
2.3.2 Adequate
2.3.3 Deployed
2.3.4 Measured
2.4 Customer Feedback
2.4.1 Evidence
2.4.2 Adequate
2.4.3 Deployed
2.4.4 Measured
2.5 Customer Satisfaction
2.5.1 Evidence
2.5.2 Adequate
2.5.3 Deployed
2.5.4 Measured
2.6 Containment System
2.6.1 Evidence
2.6.2 Adequate
2.6.3 Deployed
2.6.4 Measured
2.7 Lear Requirements
2.7.1 Evidence
2.7.2 Adequate
2.7.3 Deployed
2.7.4 Measured

OEM's Customer Specific Requirements &

2.8
Statutory and Regulatory Requirements

2.8.1 Evidence
2.8.2 Adequate
2.8.3 Deployed
2.8.4 Measured
3. PRODUCTION 1 2 3 4 5 6
3.1 Process Control
3.1.1 Evidence
3.1.2 Adequate
3.1.3 Deployed
3.1.4 Measured
3.2 Manufacturing Metrics
3.2.1 Evidence
3.2.2 Adequate

Corrective Actions
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TARGET CLOSE ACTUAL CLOSE MONTHLY STATUS HISTORY

ITEM # AREA OF CONCERN SCORED DATE
RESP.
DATE
IMPROVEMENT ACTIONS / ACTION PLAN
Oldest Most Recent
3.2.3 Deployed
3.2.4 Measured
3.3 Disciplined Problem Solving
3.3.1 Evidence
3.3.2 Adequate
3.3.3 Deployed
3.3.4 Measured
3.4 Training
3.4.1 Evidence
3.4.2 Adequate
3.4.3 Deployed
3.4.4 Measured
3.5 Process and Product Improvement
3.5.1 Evidence
3.5.2 Adequate
3.5.3 Deployed
3.5.4 Measured
3.6 By-pass control for SC/CC
3.6.1 Evidence
3.6.2 Adequate
3.6.3 Deployed
3.6.4 Measured
4. MATERIALS 1 2 3 4 5 6
4.1 Schedule & Capacity Planning
4.1.1 Evidence
4.1.2 Adequate
4.1.3 Deployed
4.1.4 Measured
4.2 Traceability & Lot Control
4.2.1 Evidence
4.2.2 Adequate
4.2.3 Deployed
4.2.4 Measured
4.3 Labeling Practices
4.3.1 Evidence
4.3.2 Adequate
4.3.3 Deployed
4.3.4 Measured
4.4 Inventory Management
4.4.1 Evidence
4.4.2 Adequate
4.4.3 Deployed
4.4.4 Measured
4.5 Packaging
4.5.1 Evidence
4.5.2 Adequate
4.5.3 Deployed
4.5.4 Measured
4.6 Delivery
4.6.1 Evidence
4.6.2 Adequate
4.6.3 Deployed
4.6.4 Measured
5. ENGINEERING 1 2 3 4 5 6
5.1 Process Planning
5.1.1 Evidence
5.1.2 Adequate
5.1.3 Deployed
5.1.4 Measured
5.2 Variation Reduction
5.2.1 Evidence
5.2.2 Adequate
5.2.3 Deployed
5.2.4 Measured
5.3 Lean Manufacturing
5.3.1 Evidence
5.3.2 Adequate
5.3.3 Deployed
5.3.4 Measured
5.4 Measurement Capabilities
5.4.1 Evidence
5.4.2 Adequate
5.4.3 Deployed
5.4.4 Measured
5.5 Product Integrity

Corrective Actions
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TARGET CLOSE ACTUAL CLOSE MONTHLY STATUS HISTORY

ITEM # AREA OF CONCERN SCORED DATE
RESP.
DATE
IMPROVEMENT ACTIONS / ACTION PLAN
Oldest Most Recent
5.5.1 Evidence
5.5.2 Adequate
5.5.3 Deployed
5.5.4 Measured
5.6 Change Control
5.6.1 Evidence
5.6.2 Adequate
5.6.3 Deployed
5.6.4 Measured
6. SUPPLIER MANAGEMENT 1 2 3 4 5 6
6.1 Supplier Selection Process
6.1.1 Evidence
6.1.2 Adequate
6.1.3 Deployed
6.1.4 Measured
6.2 Supplier Monitoring
6.2.1 Evidence
6.2.2 Adequate
6.2.3 Deployed
6.2.4 Measured
6.3 Supplier Readiness
6.3.1 Evidence
6.3.2 Adequate
6.3.3 Deployed
6.3.4 Measured
6.4 Supplier Compliance Requirements
6.4.1 Evidence
6.4.2 Adequate
6.4.3 Deployed
6.4.4 Measured
6.5 Business Conduct and Compliance
6.5.1 Evidence
6.5.2 Adequate
6.5.3 Deployed
6.5.4 Measured
7. MAINTENANCE 1 2 3 4 5 6
7.1 Preventive Maintenance
7.1.1 Evidence
7.1.2 Adequate
7.1.3 Deployed
7.1.4 Measured
7.2 Corrective Maintenance
7.2.1 Evidence
7.2.2 Adequate
7.2.3 Deployed
7.2.4 Measured
7.3 Backup and Spare Parts
7.3.1 Evidence
7.3.2 Adequate
7.3.3 Deployed
7.3.4 Measured
7.4 Tooling
7.4.1 Evidence
7.4.2 Adequate
7.4.3 Deployed
7.4.4 Measured
7.5 SC/CC Equipment
7.5.1 Evidence
7.5.2 Adequate
7.5.3 Deployed
7.5.4 Measured
7.6 TPM
7.6.1 Evidence
7.6.2 Adequate
7.6.3 Deployed
7.6.4 Measured

Corrective Actions
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SUPPLIER BUSINESS PROCESS DESCRIPTIONS ◄
Suppliers to Lear Corporation are required to implement a quality system using the process approach as defined in IATF-16949 and ISO 9001. Lear Corporation recognizes ISO 9001:2015
as the first step toward implementing adequate systems and is required for suppliers that manufacture parts, or provide a service that ends up in the final vehicle assembly.

For suppliers who do not have resources available to support the implementation of a IATF-16949 registered quality system, Lear requires the supplier to document at least the following
business processes: Sales, Development, Manufacturing, Quality, and Delivery. The intent is to ensure critical functions strive to meet the intent IATF-16949 and/or ISO 9001. The
process approach should be used to define the inputs, outputs, and performance indicators (metrics) for each critical process.
MEETING
PERFORMANCE TARGET TARGET? IF NOT MEETING TARGET, ARE ACTION PLANS AVAILABLE?
PROCESS INPUTS OUTPUTS INDICATORS ESTABLISHED? (Yes / No) (Provide a short definition & attach evidence)

IATF Worksheet
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 IATF Document Review ◄

Reference Document
QMS Process Related to Requirement
Requirement (Name / Rev. Level) Lear's Auditor Review Comments
(Process Name)
Or Records
Evidence that scope of the QMS includes applicable remote support functions and
customer specific requirements. Also, if product design is excluded, has justification
been documented in QMS? (4.3)
QMS Documentation (7.5.1):
Examples:
- Process map (or equivalent)

- Process descriptions & interactions

- Quality Policy

- Quality Objectives

- Planning of changes

- Other Documentation (as appropriate)

Includes 4.4, 5.2.1, 6.2 and 6.3

Product Safety (4.4.1.2): Evidence that a documented process is implemented related

to the management of product-safety related products and manufacturing processes
with the organizations QMS.
Evidence that a documented process exists and expanded expectations regarding
Calibration/ verification records have been met and incorporated within the
organizations QMS. (7.1.5.2.1)

Competence of all personnel performing activities affecting conformity to

product and process requirements. Evidence that a documented process exists for
identifying training needs and is incorporated within the organizations QMS (7.2.1)

Evidence that a documented process for Internal Auditors competency requirements

are captured within the QMS and implemented. (7.2.3)
Evidence that a documented process exists for Motivation and empowerment and is
incorporated within the organizations QMS (7.3.2)
Evidence that a documented process exists for review, distribution and implementation
of customer Engineering standards/specification and is incorporated within the
organizations QMS (7.5.3.2.2)

Evidence that a documented process is established for the design and development
of products and services (applies to product and manufacturing process design)
focusing on error prevention and is incorporated within the organizations QMS (8.3.1.1)

Evidence that a documented process for supplier selection has been defined and
implemented within the organizations QMS. (8.4.1.2)
Evidence that a documented process for outsource process control has been defined
and implemented within the organizations QMS (8.4.2.1) (What are the outsourced
processes and how are they controlled?)
Evidence that a documented process for meeting statutory and regulatory
requirements has been defined and implemented within the organizations QMS.
(8.4.2.2)
Evidence that there is a documented process for supplier monitoring incorporated
within the organizations QMS (8.4.2.4)
Evidence that there is a documented process for the expanded criteria for control of
changes incorporated within the organizations QMS (8.5.6.1)
Evidence of a documented process related to Temporary change of process
controls incorporated within the organizations QMS (8.5.6.1.1)
Evidence of a documented process for control of reworked product has been
incorporated into the organizations QMS (8.7.1.4).
Evidence of a documented process control of repaired product has been
incorporated into the organizations QMS (8.7.1.5).
Evidence that a documented process for Nonconforming product disposition has
been incorporated into the organizations QMS (8.7.1.7).

Evidence of a documented process for Internal Audit Program in the organizations

QMS and it follows a risk based approach for the entire organization and has been
updated to consider new specific requirements. (9.2.2.1)

Evidence of a documented process Problem solving has been incorporated within the
organizations QMS (10.2.3).
Evidence of a documented process for Error proofing application and control has been
incorporated within the organizations QMS (10.2.4).
Evidence of a documented process for Continual Improvement has been incorporated
in the organizations QMS (10.3.1)

IATF Document Review

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