National Engineering

Industries Limited

Supplier Quality
Manual

5 Edition – Aug-2021
th

National Engineering Industries Limited

Khatipura Road, Jaipur-302006
Website : www.nbcbearings.com
 Supplier Quality Manual

CEO Message:
Dear NEI Partner,
Amidst changes in global economies, technologies, government regulations, relative prices, and market
dynamics, the task of strategic analysis and planning in Automotive Supply Chain has become increasingly
tense with uncertainty. As a result of this, planners now must prepare for the most fundamental transformation
that their industry has ever seen.
The uncertainties have surpassed the conventional issues that automakers faced in past, such as identifying
the products that will be popular in years to come, focusing on regions that will generate the strongest growth
and investing in technologies that will appeal to customers. Today we are faced with much bigger challenges in
terms of future of Industry and its convergence. These challenges include risks due to increasing level of
national and international competition, industry transformation, new regulations and consolidation of
automotive platforms.
At NEI our mission is to provide competitive advantages and address above challenges faced from customers
by selecting, developing and managing suppliers who are capable of delivering best products in terms of
Quality, Delivery, Cost and Features, & are willing to support NEIL in its endeavor of business excellence.
In support of the strateg “ROBUST SUPPLIERS FOR FLEXIBLE SOLUTIONS”, our effort is directed towards
selecting the best suppliers based on capability and performance. Once selected, our goal is to work with these
suppliers to develop a strong, long-term, structured relationship with them.
We expect our suppliers to be committed to a ZERO DEFECT APPROACH and be specially focused on (i)
Controls of processes (ii) Adhere statutory and legal requirements and (iii) have a risk contingency plan to
demonstrate this commitment through:
• Delivering fully conforming parts or products
• On time delivery
• Adherence to approved processes and requirements
• Pro-active risk management.
This document cascaded to you us intended to serve as a reference to better understand our requirements and
your role in the shared responsibility to deliver the best quality with least risk.
We encourage our suppliers to certify their parts for Direct On Line (DOL). This translates into zero line
rejections and warranty rejections. Needless to say this should be achieved at competitive cost.
With your commitment to participate as a Robust & Flexible Supplier, we will succeed in our mission to meet the
challenges enveloping our industry through 'Growth Through Partnership'.

With Best Regards,

Rohit Saboo
President & CEO
NEIL, Jaipur
 NEIL Supplier Quality Manual Revision History

Sr. No. Revision No. Revision Year

01 Released 2008

02 Second Edition 2012

03 Third Edition 2016

04 Fourth Edition 2019

05 Fifth Edition 2021

 Table of Contents
S. No. Content Page
1. Abbreviation & Definition 1
2. NEIL's Policies 1
3. Introduction of Supplier Quality Manual 2
4. How to use this document 2
5. Supplier Code of Conduct 2
6. NEIL General Requirements 3
6.1 Quality Management System 3
6.1.1 IATF Requirement 3
6.2 Resource Management 3
6.3 Material and Process Specifications 3
6.4 Commercial Requirements 4
6.5 Laboratory Requirements 4
6.6 Statutory and Legal Requirements 4
6.6.1 CTO/ CTE requirements 4
6.7 Health and Safety Requirements 5
6.7.1 Safety Preparedness (Fire Risk Assessment) 5
6.8 Control of Sub-suppliers 5
6.9 Control of Special Characteristics 5
6.10 Control of Special Processes 5
6.11 Internal Auditing 5
6.12 Record Retention 5
6.13 Change Management 6
6.14 Material and Process / Product Deviation 6
6.15 Layout Inspection 6
6.16 Handling, Preservation, Storage and Inventory 6
6.17 Identification and Traceability 7
6.18 Counterfeit Parts
6.19 Product Safety
6.20 Appointment of management representative
6.21 Configuration management
6.22 Risk Assessment
7. NEIL Specific Requirements for Supplier Selection, Approval and Monitoring Process 7
7.1 New Supplier Selection Criteria 7
7.2 Supplier Self Evaluation 7
7.3 Onsite Supplier Assessment Audit 7
7.4 Contingency Plan & Risk Assessment 8
7.5 Initial Product Control (IPC) 8
7.6 Annual Surveillance Process Audit 9
7.7 Anti-Rust Application 9
7.8 Verification of Purchased Parts 9
 Table of Contents
S. No. Content Page

Table of Contents
REDUCE REUSE RECYCLE ........................................................................................................ 24
Annexure – 1 ................................................................................................................................... 26
Annexure – 1.A ................................................................................................................................ 28
Annexure – 2 ................................................................................................................................... 30
Annexure – 3 ................................................................................................................................... 31
Annexure – 4 ................................................................................................................................... 32
Annexure – 5 ................................................................................................................................... 33
NATIONAL ENGINEERING INDUSTRIES LIMITED ........................................................................ 33
SELF EVALUATION FORM FOR SUPPLIERS ................................................................................ 33
FOR OFFICE USE ONLY ................................................................................................................ 35
Annexure – 6 ................................................................................................................................... 36
Annexure – 7 ................................................................................................................................... 40
Annexure – 8 ................................................................................................................................... 41
Annexure – 9 ................................................................................................................................... 42
Annexure – 10 ................................................................................................................................. 51
Annexure – 11 ................................................................................................................................. 52
Annexure – 12 ................................................................................................................................. 53
Annexure – 14 ................................................................................................................................. 55
Quality Agreement.......................................................................................................................................... 55
We hereby confirm that we have received and understood the NEIL “Supplier Quality Manual– 5th
Edition.” ........................................................................................................................................... 56

Annexure 13 - 4M Change
Annexure 14 - Quality Agreement
8. Acknowledgment
1. (a) Abbreviations
NEIL National Engineering Industries Ltd.
AAR Appearance Approval Report
APQP Advanced Product Quality Planning (AIAG Reference Manual)
BOM Bill of Materials
Cp/Cpk Capability Index
DFMEA Design Failure Mode Effects Analysis
NC Non-Conformity
NPD New Product Development
PFMEA Process Failure Mode Effects Analysis
PPAP Production Part Approval Process
PPM Parts Per Million
PSW Part Submission Warrant
RFQ Request for Quotation
SPC Statistical Process Control
SDD Supplier Development Department
SQA Supplier Quality Assurance
SQM Supplier Quality Manual
(b) Definition
Supplier: The companies which either directly supply their own material or processes NEIL supplied
material.
New Product (In view of the supplier development perspective) :
(i) A product is considered a New Product, if the bearing being manufactured is a new model for NEIL.
(ii) If supplier has to supply a product of different shape from his regular supply to NEIL, then it is
considered a New Product.
(iii) If a Supplier does a particular operation for the first time, then also the product supplied by him is
considered a New Product.

2. NEIL Policies
a. Quality Policy
NEIL is committed to design, develop, manufacture and supply products to customers as per their
requirements and strive to provide customer delight through value added products, continual
improvement and employee involvement.

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 b. Environmental Policy
NEIL, manufacturer of bearings, is committed to demonstrate environmental friendly product by
complying applicable EHS legal & other requirements, prevention of pollution, injury & ill health of our
employees in entire value chain with proactive environment, health and safety strategies through
continual improvement & optimizing resource consumption.
3. Introduction of Supplier Quality Manual
a. Purpose
• To provide an overview of this manual
• To define the document control methods being followed
• To make Interaction structure of NEIL with the Supplier clear.
b. Objectives
• The objective of NEIL SQM is to work with suppliers to achieve and maintain compliance to all
requirements and promote the continuous improvement of suppliers.
• With the acceptance of a NEIL purchase order, the supplier agrees to all specification
(Annexure - 12) requirements within the NEIL SQM.
• This document is a supplement to and doesn't replace or alter conditions covered by purchase agreement.
• Suppliers should maintain the record as per annexure - 14.
c. Scope
This Manual is applicable to all suppliers providing Direct Material to NEIL and its subsidiaries.
4. How to use this document
The target of this document is to synthesize and communicate our suppliers towards the NEIL
Quality and safety requirements to ensure the quality of supplied parts.
The latest valid version of this Supplier Quality Manual is available on NEIL website
www.nbcbearings.com
Important: -Suppliers shall retain this SQM readily available at their manufacturing locations all the
times. It shall be provided to NEIL representative as and when required. Supplier is solely
responsible for retaining latest revision of this manual.
To confirm latest revision of this manual, visit NEIL website time to time.
5. Supplier Code of Conduct
NEIL expects the highest standards of ethical conduct in all of our endeavors. Supplier shall always be
ethical in every aspect ofits business, including relationships, practices, sourcing, and operations:-
a. Business Integrity
Supplier shall not engage in corruption, extortion, embezzlement, or bribery to obtain an unfair or
improper advantage. A supplier must promptly report to NEIL SD Deptt if it believes that someone
working at or for NEIL (whether or not a NEIL employee) has committed an illegal or dishonest act, or
an act that causes, or is substantially likely to cause, harm to people or property or company

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 reputation or suspected violations of this code.
b. Human Rights
Supplier shall ensure Freedom of Association and Anti-Discrimination and Fair Treatment to all its
employees. Working Hours, Rest Days, Wages and Benefits shall be as per Govt. rules and
regulations. Suppliers shall ensure that no underage labor (less than 18 years) has been employed in
the production or distribution of their goods or Services.
c. Working Environment
Suppliers shall ensure that all workers receive communication and training on emergency planning
and safe work practices. In addition, suppliers shall have systems to prevent, detect and respond to
potential risks to the safety, health and security of all employees.
d. Environment Protection
Supplier shall implement a systematic approach to identify, manage, reduce, and responsibly
dispose of or recycle hazardous substance. Supplier shall implement a systematic approach to
identify, control, and reduce water, noise and other kind of pollutions produced by its operations.
Note: - NEIL will assess its suppliers' compliance with this Code, and any violations of this Code may
jeopardize the supplier's business relationship with NEIL, up to and including termination.
6. NEIL General Requirements
6.1 Quality Management System
Supplier shall have a documented quality system and agree to onsite assessments.
ISO 9001:2015 certification is required, at a minimum, for all NEIL suppliers. However, NEIL may
demand 16949:2016 certification from its suppliers if its customers’ demands.
In addition, NEIL expects suppliers to work towards the goal of achieving compliance to the latest
IATF 16949:2016, AS 9100 standards and RDSO / AAR approval in case of Railway Bearing
Components.

6.1.1 IATF Requirement

Supplier shall have documented quality systems as per IATF requirements. As NEI initiative, NEI
may demand its supplier quality management system up-gradation from ISO: 9001 to IATF
16949:2016.
• All 10 clauses are to be implemented.
• Automotive approach
• Product safety
• Risk Management
• Continual improvements
• Competency
etc. are few major points to be focused during transition phase.

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6.2 Resource Management
Supplier is expected to optimal utilization of resources in effective and efficient way like manpower,
financial, goods, equipment’s. Supplier shall establish well defined procedure for resource
management. It shall include -
1. Preservation and conservation of natural resources like water, electricity etc.
2. Well trained and qualified personnel.
3. Well defined training procedure including On Job Training.
6.3 Material and Process Specifications
Supplier must produce NEIL products of the specified material and to the process specifications. The
understanding shall be based on NEIL approved drawings or standards.
Any deviation from the required specifications is not acceptable otherwise/unless there is no written
approval from NEIL.

6.4 Commercial Requirements

At the end of every month, suppliers have to furnish the loan amount statement giving details of
balance material in hand. In case of any shortfall in the loan A/C, the material cost and processing cost
incurred by NEIL thereon, shall be debited to suppliers and will be recovered from the supplier's
account.
6.5 Laboratory Requirements
Internal Laboratory: -
There shall be a defined and systematic Laboratory Scope for the laboratory that includes its
capability to perform the required inspection, test or calibration services and they must be traceable
upto NABL (National Accreditation Board for Laboratories).
This laboratory scope shall be included in the quality system documentation. Accreditation to
ISO/IEC 17025 is recommended for internal laboratories but not mandatory. The laboratory shall
specify and implement, as a minimum, technical requirements for -
• Adequacy of the laboratory procedures
• Competency of laboratory personnel
• Testing procedures of products
External Laboratory: -
• There shall be a defined and systematic Laboratory Scope for the laboratory that includes its
capability to perform the required inspection, test or calibration services.
• The laboratory shall be accredited to ISO/IEC 17025 or NABL (National Accreditation Board for
Laboratories).

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6.6 Statutory and Legal Requirements
Suppliers must ensure that following requirements, whichever applicable, are being fulfilled at their
end -
• Valid consent to operate from State Pollution Control Board.
• Meet all requirements of 'The Factory act – 1948'.
• System for receipt, storage, handling and disposal of hazardous materials.
• Display of 6'X4' board containing information for hazardous materials at main gate.
• Complying with the requirements of 'Central Motor Vehicle Rules – 1989', pertaining to the
transportation of hazardous materials.
• Supplier must abide by the GST rules and regulations, and maintain the necessary records as per
GST rules. Supplier shall comply the documentation requirement for issue and supply of materials as
per GST rule “Job Work Under GST”.
• Job workers are required to return “Goods” within 1 Year from date of Challan and comply with
provision of E-way Bill.
• Violation and noncompliance shall be supplier's responsibility and any liability arising thereof shall
be to supplier's account.
• Supplier must cover all ESI, EPF etc. as required under law and applicable under statutory conditions
of supplies and government law, as may be in force from time to time.
• Procure Mineral from Conflict free sources: Suppliers shall not procure material from any sources
which are prohibited as per law of land.
• Fair Competition: supplier shall desist from any unfair or anti – competitive trade practices like Cartel
etchant report the same to NEI in event of any such situation.
• Conflict of interest: Suppliers must avoid any conflict of interest between them and the company
or its officials dealing with the suppliers.
• Human Rights: NEI is committed to respecting Human Rights of all its stake holders and further
expects the same from all of its suppliers in true letter and spirit. Suppliers shall not employ Child
labour, forced labour or indulge in any form of human trafficking.
• Diversity and inclusion: NEI encourages diversity and inclusion and also wishes to be associated
with the suppliers who adhered to the same and do not discriminate basis race, color, religion,
caste, or any other classification prohibited by law.
• Confidential information : Supplier including its representative if any while working with or dealing
with NEI may have access to confidential know how of NEI, would not share the same or be known
to competitors of NEI or any other person or Corporate. NEI shall be at liberty to take action against
supplier as a result of any such breach.
• Third party representation : the supplier shall not be authorised to use NEI brand or represent as
NEI associate without prior written permission from NEI
• INTELLECTUAL PROPERTY (The supplier shall not infringe NEI confidential and proprietary
information / technology which comes to its knowledge during course of business), Supplier shall
also not supply any material to NEI which violates any other entity Trade Mark or licenses.
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6.6.1 CTO/ CTE requirements
Supplier shall ensure the Consent to Established (CTE) & Consent to Operate (CTO) certification
from Local Government Authority. NEI may demand this certificate if its customer demands.

6.7 Health and Safety Requirements

Supplier shall adhere to following health and safety requirements:
• Design of manufacturing process shall be such that it has minimum potential risks to employees.
• Use of PPE (Personal Protective Equipment’s) like helmets, goggles, safety shoes.
• Ensure availability of Emergency exits, Emergency hooters and Fire extinguishers etc.
• Ensure safe and sound working environment in factory premises.

6.7.1 Safety Preparedness

Suppliers shall ensure safety of components, employees, assets & environment in his plant ,
Supplier shall ensure regular self-assessment on all kind of potential risks detection & prevention
related to all components, employees ,assets & environment. NEI has the authority to audit
suppliers on safety Preparedness at any time.
Note- NEI Customer can visit sub supplier at any time for safety audits with prior information.

6.8 Control of Sub-suppliers

Suppliers shall have effective controls and monitoring over their sub-suppliers. Suppliers have the
responsibility for managing all Process and Process Approval for their Sub -suppliers.
Also Supplier has to conduct regular Audits at certain frequency in order to improve & develop their
Sub-supplier & to meet the Quality objectives of complete Supply Chain.

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 In any case, Supplier have the full responsibility for
Quality Assurance for their Sub-suppliers.

NEIL and its customers reserve the right to directly onsite assess sub-supplier's processes.
6.9 Control of Special Characteristics
Suppliers shall identify special characteristics specified in NEIL drawing. If not provided in drawing, it
is the sole responsibility of supplier to identify these characteristics as per Annexure -1.
These characteristics have to be incorporated in PFD, Control Plan and PFMEA and action plans to
be decided for the same.
Suppliers must have to achieve more than 1.33Cpk, in case of not achieved put Poka-Yoke or
100% Inspection for Special Characteristic.
6.10 Control of Special Processes
Supplier shall establish a documented system to control 'Special Processes' like heat treatment,
casting, forging, bonding, phosphating, protective coatings, and welding etc.
Where outsourced processes are used, the supplier must retain full responsibility for ensuring that
the work performed meets all specified quality requirements.
Note- Special process to be approved by NEI (NEI customer can visit at supplier location with
prior information for approval).
Supplier shall conduct internal audits at planned intervals to determine effectiveness of Quality
Management System. Records of the audits and their observations with actions shall be maintained.
Internal audits shall cover Quality Management System Audit, Process Audit and Product Audits.
Internal audits shall cover all processes, activities and shifts, Products and shall be scheduled
according to an Annual Plan.
6.11 Record Retention
Suppliers shall maintain all quality records for minimum of Three years unless otherwise specified in
NEIL SQM and agreed to NEIL. These records shall be stored in an environment that doesn't allow
document deterioration and are readily accessible upon request by NEIL representative.
It is also expected that the supply chain records pertaining to NEIL products shall be retained in the
same manner.
6.12 Change Management
Supplier shall ensure effective system for change management. Once a part is approved, request for
changes in sub supplier, location, method, process, 4M (annexure-13), delivery method & packaging etc. that
may affect fit, form or function of parts shall be recorded and informed to NEIL SID or Logistics or both
according to the 4-M Change Notification. NEIL holds the right to hold or reject the material if this
process found to be skipped.
Suppliers must also make sure for their own entire supply chain the supplier will need to notify the
change and ultimately NEIL SDD will determine if a PPAP (as per Annexure-2) is required.
Changes shall not be implemented prior to the receipt of written approval from NEIL.
Note-VERBAL REQUESTS WILL NOT BE ACCEPTED.

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6.13 Material and Process/ Product Deviation
A Supplier shall not knowingly ship products that deviate from the drawing, specification limits or
Design intent without prior written authorization from the NEIL SID. If such a condition exists, the
Supplier may petition the NEIL SID, in writing, to allow shipment of the product under a written
nonconformance deviation.
The written request shall be submitted through NEIL SID along with following information –
• Part Number and latest engineering change Note
• Quantity of parts affected
• Specifications involved
• Statistical analysis of the non-confirming characteristic(s), as applicable
• A statement of the requested deviation
• The containment plan to be implemented
• Corrective & Preventive action to be taken along with the timeline for
implementation.
If requested by the NEIL SID, the Supplier must send samples of such nonconforming items to NEIL
for evaluation. The cost of shipping, inspection, and testing to determine the potential acceptability of
such product will be charged to the Supplier.
6.14 Layout Inspection
Supplier shall submit layout inspection report(covering all the dimensions and specifications
declared in NEIL drawing -
• While submitting samples (for Measurement Alignment)
•· While submitting PPAP lot
• When there is any change in material, machine, method or location (as per NEIL demand)
• As and when required by NEIL or its customers
6.15 Handling, Preservation, Storage and Inventory
NEIL requires that all material shall be clean and free from any kind of contamination including chips /
debris etc. Supplier shall arrange such kind of arrangement that no material is placed on shop oor
directly. Supplier shall ensure rust, dust, dirt and damage free preservation and storage of parts.
Supplier shall preserve the material at all stages of process in such a way that material does not
affected by atmospheric conditions or any other reasons for ditoriating the quality of the material or
product.
Supplier shall ensure the Inventory level as per the guidance of NEIL Purchase Department and also
First in First out (FIFO) throughout the whole process.
6.16 Identification and Traceability
Product traceability is a NEIL and its customer's requirement. Suppliers shall have to introduce an
effective system to incorporate identification and traceability in their system along with a documented
procedure. Suppliers must provide unique identification of product batches / lots or individual
component / parts as required. The components should be traceable up to the raw material.

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6.17 Counterfeit Part
An unauthorized copy, imitation, substitute, or modified part (e.g., material, part, component), which
is knowingly misrepresented as a specified genuine part of an original or authorized manufacturer.
In case of counterfeit parts supplied by supplier.
A. All material will be scraped at NEI
B. Supplier will be whole sole responsible to bear all the expenses in case of material recall.
C. Supplier will be blacklisted in NEI.
D. And all the expenses in case of material recall situation shall be bear by supplier
Prevention of counterfeit parts
A. Quarantine and reporting of suspect or detected counterfeit parts.
B. Verification and test methodologies to detect counterfeit parts
C. Monitoring of counterfeit parts reporting from external sources
D. Training of appropriate persons in the awareness and prevention of counterfeit parts
6.18 Product Safety
The state in which a product is able to perform to it’s designed or intended purpose without causing
unacceptable risk of harm to persons or damage to property.
6.19 Appointment of Management Representative

Top management shall appoint a specific member of the organization’s management, identified as
the management representative, who shall have the responsibility and authority for oversight of the
above requirements. The management representative shall have the organizational freedom and
unrestricted access to top management to resolve quality management issues.
6.20 Configuration Management

The organization shall plan, implement, and control a process for configuration management as
appropriate to the organization and its products and services in order to ensure the identification
and control of physical and functional attributes throughout the product lifecycle.
This process shall:
a. control product identity and traceability to requirements, including the implementation of identified
changes
b. ensure that the documented information (e.g., requirements, design, verification, validation and
acceptance documentation) is consistent with the actual attributes of the products and services.
6.22 Risk Assessment

The organization shall plan, implement, and control a process for managing operational risks to
the achievement of applicable requirements, which includes as appropriate to the organization
and the products and services
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7. NEIL Specific Requirements for Supplier Selection, Approval and Monitoring Process
7.1 New Supplier Selection Criteria
A new supplier interested in NEIL business must pass through following criteria: -
1. ISO 9001:2008 registration
2. Spare capacity or plan to enhance the same
3. Fulfillment of govt. regulation
4. Production & Inspection Facilities
7.2 Supplier Self Evaluation
Once a supplier passes above mentioned criteria, it will be provided a 'Self Evaluation Form' (as per
Annexure-5) to submit it to NEIL SDD after completely filling it with essential supportive documents.
Supplier has to fill all the details and sign the document.
Existing suppliers will be provided the Self Evaluation Form at the time of re-approval audit.
7.3 Onsite Supplier Assessment Audit
When a supplier submits SEF along with supportive documents, NEIL SDD, Logistics & Finance
department will study the same and decides for Onsite Assessment Audit, if found suitable.
This Audit will be conducted by NEIL SDD, Logistics and other deptt. (If required).
The major focus areas are:
• Quality
• Capacity
• Delivery
• Compliance ( Legal , Finance , Environment & Safety etc. )
The assessment will be conducted by a NEIL representative(s) and will verify the existence of a
Quality Management System and the disciplines necessary to meet standard and NEIL requirements
(as per Annexure-6 ).

At the same time specific Process Audit and Supplier Risk Assessment (a-nnexure7) also will
be done by NEIL audit team. Supplier has to submit the action plan for each No-conformity raised
during Audits and close the same within the agreed (between NEIL & Suppler) specified time with
appropriate evidences.
If the Supplier falls in “A” or “B” Category in Supplier Assessment, Process Audit and also working at
“Low Risk” level , the Supplier will be considered as “Accepted” Supplier.
Once the Supplier is “Accepted“, Supplier has to take PPAP (as per Annexxure 2) the guidance of
NEIL SDD & Logistics. If the PPAP approval done by NEIL, then only the Supplier will by declared as
“Approved Supplier” for next 3 years.
“C” Category Supplier will be Re-audited after 6 months (after improvements done by Supplier).
“D” Category Supplier will not be entertained again within next 2 years.

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 NEIL reserves the right to re-assess current suppliers prior to placement of new business, as a result
of a supplier's quality performance, when there is a change in the supplier's facility, a change in
ownership, a significant change in the nature of the product previously supplied.
In case of customer approved or recommended suppliers , initial Supplier Approval Process will not
be followed, but other Supplier related activities will be done same as per NEIL Supplier Development
& Appraisal procedure. In this case information related to Supplier performance will be shared with
Customer (as per demand) and final decision will be taken by Customer.
7.4 Contingency Plan & Risk Assessment
Supplier shall develop a contingency plan for potential catastrophes disrupting deliveries to NEIL,
and inform NEIL immediately (on the same day) in the event of an actual disaster.
Contingency plan shall be made available to NEIL (a
Asnp
nerxure-7 ).
Supplier has to assess & make contingency plan on the following Risk –
• Capacity (Spare Capacity, Key Machine & Equipment Failure, Labor Shortage & Labor strike,
Utility Interruptions etc.)
• Capability
• Legal , Financial & Costing
• Logistics
• Natural Disaster etc.
7.5 Initial Product Control (IPC)
Supplier shall have an effective system to ensure control over initial supplies of a new development.
Supplier shall identify first three lots of supplies with a tag or marking highlighting the parts under IPC.
Lots under IPC shall be submitted with layout inspection report or Process Capability report
suggested by NEIL SDD.
If the NEIL product Quality requirement (refer layout inspection report or Process Capability report)
does not meet then number of lots for IPC can be increased.
7.6 Annual Surveillance Process Audit
Once a supplier qualifies NEIL assessment process and listed in Approved Supplier List, Supplier is
liable to annual surveillance audits conducted as per below mentioned categories based on previous
Financial year Supplier Quality Rating by NEIL SQA team:-
'A' Category Suppliers Once in a year
'B' Category Suppliers Twice in a year
'C' Category Suppliers Thrice in a year
Supplier has to submit the action plan for each Non-conformity raised during Audit and close the
same within the agreed (between NEIL & Suppler) specified time with appropriate evidences.
NEIL & its Customer reserves the Right to conduct the Audit with or without prior information
to the Supplier at any point of time and it is Supplier's responsibility to co-operate in whole
audit with positive manner.

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7.7 Anti Rust Application
NEIL requires that finish turned , stamped and ground parts shall be 100% oiled in all seasons. HP
Rustop-173 shall be applied on finish turned parts, HP Rustop-275 shall be applied on finish ground &
stamped parts and use of greasing on axle box family shall be as per NEIL recommendations.
Supplier has to take written approval from NEIL for any change in oil used. Dip oiling methodology to
be followed for all kind of oiling processes. Drawing and / or Purchase Order requirements may apply
as and when required.

7.8 Verification of Purchased Parts

NEIL or its customers reserve the Right to verify the process and product at Supplier's and Sub-
supplier's manufacturing facilities directly with or without prior information. Suppliers must allow on-
site product or process verification by NEIL or its customers.
7.9 Control of NC Parts and Supplier Corrective Action Report
The organization shall have processes and systems in place to prevent shipment of non-conforming
products to NEIL facilities. For non-conforming products supplied to NEIL, including those that
reached at NEIL's customer, the Supplier must cover all costs to correct the non-conformance.
If product is found to be non-conforming at NEIL as Lot or Line Rejection / Customer / Warranty
complaints, the supplier is expected to provide the resources necessary to contain, evaluate, sort and
/ or scrap the non-conforming product.
In the event of a quality issue related to a supplier's products, the supplier will be required to provide a
written corrective action report in the SCAR (Annexure-3 ) format within 7 (seven) days.
A Non-Conformance Report in Supplier Corrective Action Report (SCAR) format shall be issued to
the supplier when NEIL detects non-conforming product. The supplier's initial response including
containment plan, shall be provided to NEIL SQA team within 24 hours (one working day) from the
date, the supplier receives notification of the non-conformance.
The SCAR will be sent to supplier through e-mail.
NEIL and the supplier shall determine if the product can be inspected to remove defects from the “lot”
that has been contained. It will be determined whether product is sorted on site or returned to the
supplier. If it is determined that inspection alone cannot detect the defect, the product will be returned
to the supplier or scrapped as agreed.
If the product is needed for urgent production at NEIL, the supplier shall send his Inspection Team to
NEIL for inspection, or agree to the use of a third party inspection with the cost of inspection borne by
the supplier.
A written corrective and preventive action in SCAR must be sent to the NEIL SQA team within
7(seven) days.
Supplier shall implement all the action written in SCAR within the specified time at their end and
regularly monitor the effectiveness for the same.
NEIL or its customers reserve the Right to check and verify at Supplier end the
implementation and effectiveness of the action taken against any Quality issue raised in past
at any point of time with or without prior information & NEI Customers warranty claims to be
born by supplier.

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7.10 Controlled Shipping
Controlled shipping is a demand of NEIL SQA team, that a supplier put in place a redundant
inspection process at the supplying location to 100% sort for a specific and specified non-
conformance to isolate NEIL from receipt of non-conforming parts / materials. The redundant
inspection must be in addition to the normal process controls. Implementation criteria for controlled
shipping -
• Repetitive Issue
• Supplier's current controls are not sufficient to ensure conformance to requirements
• Major disruptions
• Quality concern at OEM and / or in the field
Exit criteria for controlled shipping:
•· Three batches or Thirty consecutive days (Whichever is longer) of data (from implementation of
corrective action) which verifies that the normal production controls are effective for controlling
the discrepancy identified in the controlled shipping activity.
Volume to be determined by NEIL SQA team where suppliers use batch processes.
Supplier to submit the following documents to NEIL SQA team –
• Documentation showing root cause was identified and validated.
• Documentation indicating that corrective action was implemented and validated.
• Copies ofall documentation revised as required (Control Plan, PFMEA, operator instructions etc.).
• Documentation indicating that production is as per specifications for three batches or Thirty
consecutive days.
NEIL SQA team approval must be given prior to supplier stopping controlled shipping. An audit by
NEIL SQA team may be required prior to approval.

7.11 Supplier Evaluation and Supplier Performance Rating (SPR)

Suppliers will be monitored on monthly basis to assess their performance by evaluating SPR (Supplier
Performance Rating) taking Quality and Delivery aspects in to consideration as per below formula -
SPR = (0.75 X QR) + (0.25 X DR)
QR (Quality Rating) Weightage - 75%
DR (Delivery Rating) Weightage - 25%
On the basis of above Rating (Detailed criteria isAnenxepxluarinee -1d) iS
n uppliers are
Categorized in “A”, “B” & “C” categories. Supplier will get the feedback from NEIL SQA team on time to
time for their further improvements in the form of Supplier Rating Score Card (as per Annexure-8 ).
7.12 Direct on Line (DOL) Implementation
NEIL always encourages their Suppliers to get DOL (Direct On Line) Certificate from NEIL. DOL parts
will be validated as per NEIL DOL procedure .Once a supplier is chosen by NEIL for DOL program,
supplier shall actively participate in program to achieve decided goals and targets (explained to the
Supplier in program as per NEI DOL requirements) for proper understanding.

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 7.13 Low Performing Suppliers
NEIL regularly monitors the performance of its suppliers with the methodology of Supplier
Performance Rating formulation. Suppliers continuously poor performing will be considered as Low
Performing Suppliers.
Low Performing Suppliers shall have to submit a detailed action plan to improve their performance to
NEIL SQA tem .Failure to meet or act upon NEIL requirements may result in the loss of existing and/or
future NEIL business.
7.14 Prevention of Restricted Substances and Materials
Prohibited and restricted materials according to IMDS (International Material Data Sheet) must not
be used by the Suppliers. All components and contained substances must be declared in the IMDS
system, if required by NEIL or its customers.

Suppliers shall comply with List of Prohibited and Declarable Substances as per Std. No.
RMSD00169549 (Annexure-9) for hazardous material usage and disposition.

7.14.1 List of additional Hazardous material (Prohibited Substance) other than mentioned in NEI
Supplier Quality Manual eddition-3 (Annexure - 9)

Suppliers shall ensure to take care of listed Hazardous material (Prohibited Substance) not to be
used in entire Supply Chain mentioned in NEI Supplier Quality Manual eddition-3 (Annexure - 9)

Whenever any revision or amendment will be done in supplier quality manual, e-mail will be sent to all
suppliers to check the amendment on NEI’s website i.e. www.nbcbearings.

7.15 NEIL Supplied Property

All tools, gauges, patterns, fixtures, machines, test or inspection equipment belonging to NEIL, or
their customers, will be permanently marked to clearly show that they are Property of NEIL (ISO/TS
16949 clause 7.5.4.1), or the customer. Supplier is responsible for maintenance of all equipments
paid for or supplied by NEIL.
When equipment not used in production must be kept in a fireproof location and stored separately
from production.
Measuring equipment supplied by NEIL must be included in the suppliers own calibration system.
When the agreement and the manufacturing expire, if nothing else agreed, the equipment must be
returned to NEIL. The supplier doesn't have the right to scrap equipment without NEIL's permission. If
required by NEIL, the equipment shall be available for inspection.

7. NEIL specific Requirements for Supplier Selection, Approval and Monitoring Process:
7.16 NEI’S Customer Specific requirement
Any specific requirement of NEI's customer given for Tier-2 suppliers shall be implemented by
suppliers.

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8. Advanced Product Quality Planning (APQP)
The goal of APQP is to explain and monitor the development process of any product with NEIL &
suppliers.
This applies to all suppliers manufacturing NEIL parts/products and has to be submitted to NEIL on
demand.
The purpose of APQP timing chart or Product Development Plan (asAp ne
nrexure-10) is to provide a
schedule of the manufacturing and control activities necessary to assure the quality of parts during
PPAP lot production.
Suppliers are required to prepare the timing chart at the time of New Product Development. The
schedule should span the time between the issuance of the production drawing and PPAP approval.
Supplier Responsibility
• The supplier should create, maintain and submit an APQP timing plan (as per Ann)eaxn
udre-10
Part Feasibility Report (as per Annexure-11) before start of the part development.
• The timing of the various activities of the timing chart at supplier end must meet NEIL's
requirements.
• All the related departments within the supplier must have consensus on the timing plan before
submission to NEIL SDD team. In addition, the supplier's top management is responsible for
monitoring this plan to achieve milestones as scheduled.
• NEIL SDD team will review and confirm the supplier's activities.
Request for any adjustments will be negotiated between the supplier and NEIL SDD team.
• The supplier must review the timing plan status periodically and any revision must be intimated to
NEIL SDD team. The supplier must re-submit the updated timing plan in consultation with NEIL
SDD team.
9. Failure Mode Effect Analysis (FMEA) and Control Plan (CP)
FMEA -
Suppliers with product design responsibility shall develop a Design FMEA in accordance with, NEIL-
specified requirements. A single Design FMEA may be applied to a family of similar parts or materials.
Suppliers shall develop a Process FMEA in accordance with, NEIL-specified requirements. A single
Process FMEA may be applied to a process manufacturing a family of similar parts or materials.
Supplier shall follow the latest edition of FMEA (DFMEA & PFMEA) of “AIAG Reference Manual”.
Control Plan -
The Supplier shall have a Control Plan that takes into account the output from the FMEA and defines
all methods used for process monitoring and control of special product/process characteristics. A
single control plan may apply to a group or family of products that are produced by the same process.
Note : NEIL may demand part specific FMEA and Control Plan as and when required.
Supplier shall follow the latest edition of Control Plan of “AIAG Reference Manual”.

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10. Statistical Process Control and Measurement System Analysis
Supplier shall identify special characteristics (critical and safety) from NEIL drawing or (as per
Annexure1 ) and include these characteristics in FMEA and Control Plan by marking in relevant column.
Supplier shall Perform Process Capability studies for all special characteristics and measurement
system analysis for all instruments and gauges used in inspection. Suppliers will submit these studies
to NEIL on regular basis.
NEIL expects its suppliers to work with more than 1.67Cpk, less than 10% GRR & 100%
inspection (As per NEI or NEI Customer requirement) for special characteristics.
11. Production Part Approval Process (PPAP)
A PPAP (ansexeure-2) is required for each product or product family intended to be supplied
first time to NEIL. PPAPs may also be necessary if there are any changes that affect the product. The
supplier will need to notify the change and ultimately NEIL SDD will determine if a PPAP is required.
Typical changes include, material, product, equipment (e.g., SPM to CNC or manual to transfer line),
facility, supplier or location changes just to name a few.
Production Test Run (Run at Rate)
NEIL and its Customers reserve the right to witness or attend a full production test run (PPAP batch
run). The Production Test Run is conducted to assure the capability and capacity of the specific
production line. The scope and extent of the Production Test Run is decided for each specific case.
Level 3 PPAP (as per latest edition of AIAG reference manual) is required for all submissions. PPAPs
are to be submitted directly to the NEIL SDD (as per Annexure-2)
12. Continuous Improvement
The supplier shall promote and implement a continuous improvement philosophy applying proven
methodologies and processes. These methods and processes shall be used throughout the supplier
organization to continually improve the quality, delivery, cost of products and service of supplier.
Continuous improvements are viewed as an essential aspect of maintaining a competitive position
for both the supplier and NEIL. The supplier shall endeavor to provide continuous improvement
suggestions to NEIL.
13. Packaging Requirements
a. Purpose
The Packaging is an important aspect of overall quality of the Product. To achieve this, NEIL has
drafted all packaging requirements in this manual.
b. Scope
This packaging guideline is the contractual basis for delivery of parts to NEIL. It constitutes a
supplement to the general conditions of “Purchase Order”. This guideline applies to all “Direct
Materials” shipped to NEIL including mass production parts.
Note: - For parts with large dimensions or unusual geometries, special packaging must be used
(especially for Railway and Large Diameter Bearing components).

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c. Objective
Its aim at developing a rationalized packaging system based on the safe and continuous ow of
material from the supplier to the work place, taking all qualitative, environmental and economic
aspects into consideration.
The goal of the packaging system is based on the criteria of Flexibility, Lowest Cost, Protection of
Goods and Safe Delivery.
d. Supplier's Responsibilities
The supplier is responsible for the development of a “fit-for-purpose” packaging systems which
are in accordance with the requirements of product.
It is the responsibility of suppliers to design and develop packaging to withstand the given
transportation mode. NEIL may assist with the design, however, accepts no responsibility for
non-performance. Once the packaging method has been approved, the supplier may not
change without prior written approval from NEIL.
The supplier is expected to identify and eliminate wasteful packaging practices on an ongoing
basis. With reduction or elimination as the first priority, the hierarchy of waste elimination is -
REDUCE REUSE RECYCLE
Parts must arrive at NEIL without Damage, Rust / Corrosion, or Contamination.
e. Packaging Agreement
Packaging related requirements and discussions shall begin during APQP activities. All
requirements shall be finalized prior to PPAP submission.
On the basis of the packaging guideline, the supplier draws up a packaging proposal and
forwards it to NEIL. If the supplier already has an existing packaging procedure document, the
same can be forwarded.
Current suppliers of current material should continue to supply the material as long as they
minimally meet the intent of this document.
f. Packed Quantity
Standard packaging quantities shall be based on ergonomic standards. It is the supplier's
responsibility to determine the packaged quantities.
Packed Weight: - Weight limit per carton (including contents) for incoming materials to be
handled manually must not exceed 20 Kg. Exceptions must be approved by NEIL.
g. Anti-Corrosive Packaging
All machined, bright finished or other critical surfaces that are sensitive to corrosion require
sufficient corrosion protection. In particular, casting, forging, semi finished parts such as races &
rollers, complete finish parts such as cages / retainers, rollers etc. are highly sensitive to
corrosion and require special protection.
Use anti-corrosive packaging to protect parts from corrosion, dust, moisture, abrasion or any
other damage that is detrimental to the appearance or function of the part.

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 Where applicable, suppliers are recommended to use VCI materials, such as VCI film or VCI
paper. Oil or waxed paper may be used whenever the use of VCI materials is not appropriate.
Before delivery, consignment should be examined to ensure that all parts are properly preserved,
wrapped, covered or sealed and packed. Any damaged consignment must be replaced.
Parts that are susceptible to corrosion must be packed in a dry noncorrosive environment for the
duration of shipment and storage, for a minimum of 6 months.
h. Labeling and Identification
Documentation for each shipment is the responsibility of the supplier and shall be complete and
legible. The supplier is to provide all necessary customs and other documents such aBsil,
Dimensional & Metallurgical Inspection report etc.
Incoming material shall be identified by the supplier with a non-handwritten, identification label.
Provision shall be made on the package system for the material identification and its contents.
14. NEIL's Supplier Termination Policy
In case supplier underperforms stated guidelines to be followed.
Supplier supplies will be stopped to NEIL, when it is evident that any of the below stated
conditions holds true after allowing reasonable time for improvement.
1. Supplier falls in “C” Category for continuously 6 months.
2. Supplier does not take measures in subsequent batches of parts to reduce the non conformity at
Receiving / Shop / Customer end as per agreed specific action plan between SID & Supplier.
3. Supplier does not respond timely for segregating the NG parts at NEIL / Transit / Supplier end.
4. Supplier has sub let the Critical & Final operation to other supplier without written consent of
NEIL.
• In case alternate supplier with spare capacity is available,
• Reduce SOB with existing supplier and give 25% SOB to new supplier in 2nd month if no
improvement seen in 1st month from existing supplier.
• Monitor performance of both the suppliers.
• If existing supplier is improving retain SOB, after monitoring 2nd & 3rdmonth's performance.
•
nd rd
If existing supplier is deteriorating consecutively in 2 & 3 month SOB should be tapered
down to Zero in 4 months.
• For single source poor performing supplier, alternate capable supplier to be developed by
SDD & Logistics on fast track before stopping the supplies.
(Time period will depend on criticality of items)
In order to improve the performance, specific training to be provided to the supplier thru SDD,
action plan to be taken from the supplier.

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 Annexure – 1

1. CALCULATION OF SUPPLIER PERFORMANCE RATING

1.1 Two factors - Delivery & Quality , are to be taken into account for Supplier
performance rating. Respective weightages are as follows :-
Weightage for Delivery (Wd) 0.20
Weightage for Cast (Wc) 0.05
Weightage for Quality (Wq) 0.75
1.2 Evaluation
Each supplier is evaluated in terms of above factors in the following manner :
1.2.1 Delivery Rating (DR) is calculated as:
Total quantity received
Delivery Performance Rating (DPR) = ---------------------------------- 100
Total quantity scheduled
Premium Freight Rating (PFR) = 2% per incident
DELIVERY RATING (DR) = DPR - PFR
* Delivery rating is calculated based on mutually agreed lead time with supplier.
* Improvement plan with respect to Delivery Rating (DR) is made & monitored by
Respective Logistics
1.2.2 Cast Rating (CR) is calculated as:
1.2.3 Quality Rating (QR) is calculated as:
1) Input Material Quality (QA) Weightage 55% of QR
No. of Lot Accepted
a) Inspection Rating (QA1) = -------------------- 100 ( weightage 25% of QR)
Total No. of Lot Inspected
b) NEI Shop Complaint Rating (QA2) = 10, if shop complaint = 0 ( weightage 20% of QR)
5, if shop complaint = 1
3, if shop complaint = 2
0, if shop complaint > 1
c) NEI Line Rejection Rating (QA3) = 0 if Line Rejection > predefined value (weightage 20% of QR)
20 if Line Rejection < predefined value
(as per Annexure 1.A)
d) Customer Line Rejection Rating ( QA4 ) = -25 , if any issue reported from Customer
0 , if no issue reported from Customer
Input Material Quality ( QA ) = QA1 + QA2 + QA3 + QA4
2) Resolution Response (QB) Weightage 15% of QR
a) Timely & Quality Response Rating (QB1) = 0, if NO SCAR Submission ,Poor Quality of
SCAR (weightage 10% of QR)
5, if SCAR Submission timely but poor
quality of SCAR
10 if SCAR submitted timely and good quality
of SCAR [as per Annexure 1.B]
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 b) Reoccurrence of issue Rating (QB2) = 0 if issue reoccurred within 3 months(weightage 5%of QR)
5 if issue does not reoccurred in 3 months
Resolution Response (QB) = QB1 + QB2
3) Process Capability (QC) Weightage 5% of QR
Process capability Rating = 0, if Cpk < 1.33
2, if 1.33 ? Cpk < 1.67
5, if Cpk ? 11.67
[as per Annexure 1.C]
4) Internal Rejection (QD) Weightage 5% of QR
Internal Rejection Rating = 0 if current month Internal rejection PPM > Last 3 month
Average Internal Rejection PPM
= 5 if current month Internal rejection PPM < Last 3 month
Average Internal Rejection PPM
= OR Internal rejection < 1000 PPM
5) 4M Change notification (QE) Weightage 5% of QR
4M Change notification Rating = 0 if 4M change monthly notification is not submitted.
= 5 if 4M change monthly notification is submitted with
evidence (If evidences are required)
[as per Annexure 1.D]
6) Measurement Capability (QF) Weightage 5% of QR
Measurement Capability Rating = 0 if defined machine as per supplier product
category is not available with supplier
=
5 if defined machine as per supplier product category is
available with supplier
[as per Annexure 1.E]
QUALITY RATING (QR) = QA + QB + QC + QD + QE + QF
1.2.4 MQR
2. SUPPLIER RATING :-
Supplier Rating is calculated as follows :

SUPPLIER RATING (SR) = (Delivery Rating (DR) x Wd) + Cast Rating (CR) +
(Quality Rating (QR) x Wq)
3. CLASSIFICATION OF SUPPLIERS :-
a) On the basis of QR the suppliers are classified as below :
Rating Obtained Rating
Above 80% A
61% ~ 80% B
<60% C
b) On the basis of above Supplier Rating (SR), the suppliers are classified as below :
Rating Obtained Rating
Above 94% A
85% ~ 94% B
<85% C
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 Annexure – 1.A
(1) If process capability value submitted for more than one parameter the least of all will be considered.
(2) Process Capability of Significant (For NEI) and/or Major (For Customer) characteristics defined to be
submitted with every Lot.
(3) If process capability of any particular parameter is demanded by NEI, the process capability value of the
same will be considered.
(4) If process capability of any particular parameter is not demanded by NEI, the process capability will be
considered as per below table.
(5) Process capability report to be submitted through mail before 2nd of next month.

Category Process Capability Parameter

Inner Bore Size
Outer OD Size
Cage(Steel , Nylon and Claw type) Inner diameter
Ball Ball diameter
Wear Ring Bore Size
Clamping Plate OD Size
Inner Thrust Collar Bore Size
Inner Thrust Collar Distance Piece Width Size / OD Size
Outer Thrust Collar OD Size / Bore Size
Thrower Cover OD Size
Axle Box Housing Bore Size
Adapter Bore Size
Bush Nylatron OD Size
End Cover OD Size
Cap Screws Length / Major Dia
Rollers Length
Hex Head Nut Width Size / Minor Dia
Side Frame Key Bolt Length
Inner Distance Piece Width Size
Outer distance piece Width Size
Outer Spacing piece Width Size
Plain Cover OD Size
Backing Ring Bore Size
End Cap Bore Size
Narrow Jaw Adapter Bore Size
LABYRINTHRING.X-134-3 OD Size
Thrower OD Size
Brass Cage PCD
Steel Cage Bore Dia

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 Seal OD
Loose Lip Bore Size
Angle Ring OD Size
Cone Bore Size
Pinner Bore Size
Spacer Width Size
Side Frame Key (RDSO) Hole distance from Lug
Cup OD Size
Locking Plate Hole Dia
Lip Inner Bore Size
Roller OD Size
Annexure – 1.B
(1) 4M change monthly report (QAF/P/QA/011/1041/Rev. 0) will be submitted to NEI in defined format.
(2) 4M change monthly report to be submitted through mail before 2nd of next month in duly signed scanned
copy.
(3) Annexure – 1.C
Measurement Capability
Category Critical measurement Equipment
Turned Race(For BB, TRB and RB) Contracer
Cage(Steel , Nylon and claw type) Video measuring machine
Ball Roundness & Roughness measurement equipment ,
Noise testing , Electronic comparator
Roller(For TRB & RB) Contracer
Retainer(Brass & Steel)(For TRB & RB) Contracer
Axle Box CMM
Wear ring Roundness & Roughness measurement equipment
Backing Ring , thrower (For RB) Contracer
Cap Screw , Thrust collar , distance piece (For RB) Profile projector

Annexure – 2.D
Measurement capability rating criteria for the supplier defined in clause 3.5

Category Minimum required measurement capabilities Advanced Measurment Capabilities

Forging (BB, TRB & RB) Microscope, Hardness Testing Machine, Grain Flow Measurment Capibility Spectrometer
Turning (BB, TRB & RB) Microscope, Hardness Testing Machine, Grain Flow Measurment Capibility Spectrometer
Casting Spector Meter, Microscope, Hardness Testing Machine, Sand Testing Facility NDT Testing
Raw Material (Bar, Spectroscope, Microscope, Hardness Testing Machine, Jominy Equipment, SEM, XRD, Auto UT, Immersion Ultrasonic
Tube & Wire Rod) C, S, O, H2 Analyzer, Macro Etching, Tensile Testing

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 Annexure – 2
List of PPAP Documents
The requirement associated with the relevant submission level can be found in the following table.
Unless defined otherwise by the customer in the order,the supplier should generally follow Submission Level 3.

Submission Level
Requirement
Level 1 Level 2 Level 3 Level 4 Level 5

1 Design Record R S S * R
For Proprietary Components/Details R R R * R
For all Component Details R S S * R
2 Engineering Change Documents (if any) R S S * R
3 Customer Engineering Approval (if required) R R S * R
4 Design FMEA R R S * R
5 Process Flow Diagrams R R S * R
6 Process FMEA R R S * R
7 Control Plan R R S * R
8 Measurement System Analysis Studies R R S * R
9 Dimensional Results R S S * R
10 Material, Performance Tests Results R S S * R
11 Ini?al Process Studies R R S * R
12 Qualified Laboratory Documenta?on R S S * R
13 Appearance Approval Report (AAR) (if S S S * R
Applicable)
14 Sample Product R S S * R
15 Master Sample R R R * R
16 Checking Aids R R R * R
17 Records of Compliance
R R S * R
With Customer Specific Requirements
18 Part Submission Warrant (PSW) S S S S R
Bulk Material Checklist S S S S R

S = The organiza?on shall submit to the customer and retain a copy of records or
documenta?on items at appropriate locations.
R = The organiza?on shall retain at appropriate locations make available to the customer upon
request.
* = The organization shall retain at appropriate locations and submit to the customer upon
request.

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 Annexure – 3
Form no. QAF/M/014/032226/Rev.6

Supplier Corrective Action Report (8D)

Basic Information :
Part No. Report No.
Supplier Drg. No./Rev.
Batch No./Ch. No. Date of Rejection
Step 1: Team Members
Name Title Mobile No.

Step 2 : Description of Non Conformity

Specification Observation Remarks

Step 3: Short Term Corrective Action (Interim Action)

Action Resp. Date Remarks

Disposition of Available Material

Location Total Qty Rejected Qty Finish Date Resp. Remarks
NEI's Customer End
NEI Shop
NEI Store
NEI's Supplier End
Step 4 : Root Cause(s) Analysis :
Process Sequence :

Why Why Analysis :

Stage Why Why Why Why Why

Generation

Detection

Step 5 : Corrective Action & Standardisation

Stage Root Cause Action Resp. Target Date

Generation

Detection
Specific Document Updated :
Remarks (specify document if tick mark on
Document Tick mark Revision date
others)
PFMEA
Control plan
PFD
Work Instruction

Others(Maintenance check
sheet,Setting approval etc.)

Step 6 : Corrective Actions Implementation and Effects Confirmation

Monitoring for 3 lots
Lot Batch/Ch. No. Qty. Date Remarks
1
2
3
Step 7 : Horizontal Deployment
Description Resp. Target Date Remarks

Step 8: Closing Remarks and Lessons

Team Congratulated.

Submi†ed by : Submission Date :

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 Annexure – 4
Formno. QAF/I/QA/104/933/rev.0

Supplier Name & Logo Layout Inspec?on Report - Supplier

Date of
Part No. Part Name Drg. No / Rev. No. Inspec?on
Tick one of the three---> Sample PPAP lot Regular lot
Measuring Observa?on
Drg.
S.No. Characteris?cs Method / Min Max 1 2 3 4 5 Disposi?on Status
Dimension
Equipment Supplier NEI Supplier NEI Supplier NEI Supplier NEI Supplier NEI Supplier NEI
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

Supplier Supplier NEI

Prepared By Verified By Approved By

Note : 1. Submit Layout Inspec?on report along with Dwg. Having balloning for all characteris?cs coming in S.No.
2. Pls submit these samples with repot duly No. aligned on component to NEI.

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 Annexure – 5
Form no. QAF/Q/000/041602/REV. 2

NATIONAL ENGINEERING INDUSTRIES LIMITED

Khatipura Road, JAIPUR-302 006 (Rajasthan)
Phones: (0141) 2223221, FAX: (0141) 2222259 / 2221926

SELF EVALUATION FORM FOR SUPPLIERS

"Confidential"
o Self Evaluation Form for Suppliers for the approval of

1. NAME OF THE SUPPLIER :

2. ADDRESS :
WORKS : OFFICE :

FAX: FAX:
EMAIL: EMAIL:
MOBILE : MOBILE:

3. SSI-UNIT (Yes/No) : ________ REG. NO.__________________DT.____________________

(If Yes, give Reg. No.& Date)
4. MEMBERSHIP :-
a) Sales Tax No.& Dt .:
b) Directorate of Ind.:
Reg. No.& Date :
5. NATIONAL/INTERNATIONAL
CERTIFICATION :
(Give details with validation period)
6. NAME(S) OF PROPRIETOR/
PARTNERS/DIRECTORS:
7. ANY ONE OF ABOVE IS :
RELATED TO OUR EMPLO- :
YES.(If Yes, please give details)
8. CONTACT PERSON(S) : WORKS OFFICE
(Name) :
(Designation) :
9. * MAJOR CUSTOMERS :
10. * PRODUCT(S) :

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11. CAPITAL WORTH : FIXED RS. WORKING RS.
(As on previous Financial year)
12. TURNOVER AS ON PREVIOUS FINANCIAL YEAR (Rs.in Lacs p.a.) : BY SALES RS.
JOB WORK RS.
* (Provide Balance sheet, Profit & Loss A/c of last 2 Financial years)
13. PRODUCTION CAPACITY: UTILIZED SPARE
14. AUTHORISED :
DEALER/DISTRIBUTOR :
OF ANY FIRM.(If Yes,give details)
15. DEALING WITH N.E.I. :
DIRECTLY/ THROUGH AGENT/ DEALER.
16. *GIVE DETAILS OF YOUR :
(DEALERS/DISTRIBUTORS) :
NEAREST TO N.E.I. :
17. NO.OF EMPLOYEES : COMM.STAFF: TECH.STAFFF : WORKMEN
18. *TECHNICAL BACKGROUND :
OF PEOPLE IN CHARGE OF:
MFG.& QUALITY (Qlfn.& Experience)
19. DETAILS OF COLLABRA- :
TION (If any)/SOURCE :
OF TECHNICAL KNOW-HOW :
20. *MACHINERY, INSPECTION :
AND MEASURING INSTRU- :
MENTS.(Make & model,:
quantity, year of purchase & any special accessories etc.)
21. Details of applicable Safety and Environmental regulation restricted, toxic, hazardous materials followed or
not.
22. INTRODUCED BY :
UNDERTAKING
We hereby undertake to intimate immediately N.E.I. Ltd., any changes in the constitution of our Company
as and when the change is effected.

Date : Signature
(Name & Designation)
* Attach additional sheets wherever required.
Note: Strike out whichever is not applicable.

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 FOR OFFICE USE ONLY

1. Criterion for Supplier Assessment :

a) QMS Certification -

b) Financial Status -

c) Spare Capacity -

d) Technical Collaboration -

e) Other if any -

2. On the basis of above criterion the Supplier is Approved / Not Approved for
Assessment Audit for -

3. Sender of Self Evaluation Form from NEI to Supplier :

Date : D.H.(S.D.deptt.)

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 Annexure – 6
Form no. QAF/Q/000/041601/REV.6
SUPPLIER ASSESSMENT CHECK SHEET
The Supplier is to be assessed for :
SUPPLIER NAME : AUDIT DATE :
ADDRESS:
AUDITEES DESIGNATION EMAIL ID AUDITOR

Supplier Capacity & Details :

1. Turnover ( Previous Financial Year) 8. Total No. of employees
2. Total land area 9. Total no. of Staff
3. Total built-up area 10. Total no. of workmen
4. Total no. of m/cs (including type) 11. No. of Technical staff
5. Type of products manufactured 12. Production capacity (Tons)
6. Heat Treatment Facilities (if any) 13. Production capacity (Nos.)
7. No. of mfg. locations 14. Working hours & shifts
0 - Unsatisfactory 1 - Need Improvement 2 - Good
SCORE
HEAD S.N. AUDIT POINTS AUDIT OBSERVATION
0 1 2

A Organization Structure
Does Supplier have the structured organization set-up . Is there any
Q 1
Organization chart with role & responsibility ?
Does Supplier have defined responsibilities for taking actions against quality
Q 2
problems at customer end ?
B Capacity Estimation
Is the growth trend of the company positive in last 3-4 Yrs.Is there any future
C 3
expansion plan to increase turnover?
What is the range of products that Supplier can manufacture ? Is there range
Q 4
flexibility ?
Is there any spare capacity available presently ? If not , How much time Supplier
C 5
will take to meet NEI requirement ?
Does the Supplier have the basic facilities for manufacturing & measurement the
Q 6
products?

Does the Supplier have adopted latest technology machines for manufacturing
Q 7 & measurement the products?
Is there any plan for updating of existing technology ?

C 8 What is the per shift production capacity for the specific (NEI) job?

C Finance / Cost / Logistics

Co 9 Does the Supplier have the audited accounts for previous 2 years ?

Co 10 Does the Supplier established pricing flexibility in contract with the customers ?

Does the Supplier analyze reasons for delivery failures, if any, and take
D 11
necessary actions to ensure supply reliability to customers ?
D 12 Is the organization in Industrial area for easy transportation?

D 13 Is the labour Permanent or Contract basis?

Does the organization have contingency plan to avoid Production & Delivery
D 14
failure?
Does the Organization maintains minimum Inventory level for
D 15
Raw & Finished material?
Co 16 Does the Supplier take proactive approach for Cost reduction ?

Co 17 Is the Supplier capable to estimate the Product & Process costing ?

Co 18 Does the Supplier take Projects for Cost Saving in different areas ?
Does the Supplier monitor the Cost Saving & give reward to concerned employ
Co 19
to motivate them ?
Co 20 Does the Supplier transfer a part of savings to the Customers ?
D Communication Systems

Co 21 Is there any Telephone ( landline + mobile), Fax & E-mail facility ?

Is there adequate communication system , for communicating with sub Suppliers
Co 22
?

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 E Quality Management system & Environment system certifications
Does the Supplier have any Quality system certification , e.g. ISO9001 ,
Q 23
TS16949 etc.? Its expiry date ?
Does the Supplier have a Quality Policy & is being properly implemented
Q 24
through Policy deployment in various areas?
Does the Supplier follow the APQP Process during New Product Development.
Q 25
?
Does the Suppler have defined procedures of Document control,Records
Q 26 procedure, Internal audit, Control of non-conformance,Correctuve action &
Preventive action ?
Does the Supplier have any Environment system certification e.g. ISO14001 ?
Co 27
Its expiry date ?
F Control of input material from Sub Supplier

Q 28 Does any Receiving Inspection system exist & adhered ? Is it sample inspection
or 100% Inspection ?
Does the Supplier have the List of approved supplier & are they have adequate
Q 29
gauging system to ensure product quality ?
Is there separate identified Receiving inspection area with important work
Q 30 instructions (e.g. visual standards , special characteristics controls etc.)
displayed ?
Is there Receiving Inspection Control Plans ? & Does record the Inspection
Q 31
results ?
G Education & Training

Q 32 Is there any well defined procedure for education and training of employees ?

Q 33 Is there the System exists to identify the training needs of each employee ?

Is there any training calendar & training material for the financial year for the
Q 34
required operator ?
Is there any System to prepare Skill Matrix of all employees and review it at
Q 35
regular intervals ?
H Process & Product Control during manufacturing
Does the Sypplier has the Process Flow chart & control plan for each
Q 36
component ?

Q 37 Is there complete alignment among PFD->PFMEA->CP->Work Instruction ?

Is there a list of all Work Instructions available in the organization & displayed at
Q 38
appropriate locations ?
Is the Control Plan adherence evident ?
Q 39 Are the SC/CC Parameters addressed in the Control Plan / FMEA & identified
actions accordingly.
Does the Supplier control the process through regular Process Capability Studies
Q 40
(SPC) & maintain the records for future references ?
Is the plant layout as per the process flow chart , with minimum material
Q 41
movement ?
Is there the System exists to conduct Process & Product Audits and record
Q 42
results and actions for non-conformities ?
Does the Supplier implemented Process quality check sheets, Setting approval
Q 43 check sheets and First & Last piecs inspection system ? Does the operator fill
them regularly ? And maintain the records ?

Is there any daily check sheet for operators , indicating the points which he has
Q 44
to check on machine & gauges , before starting the machine ?

Does the Supplier use Run chart on the machines to find out the size band within
Q 45
which the product is being mnufactured & maintain the machine on mean ?

Is there any System for material handling & preservation from Raw material receipt
Co 46 or lifting from NEI to finish material storage (throught the company) and delivered to
NEI including packaging.
Does the Supplier have special focus & legular verification/ validation system on
Q 47 special processes like MPI, Grade sorting, Auto checking, Heat Treatment and any
type of coating etc.
Does the Supplier has the effective System to manage any type of changes in
Q 48 process / product / sub Supplier / location etc., at its own or sub Supplier end and
maintain records & inform to NEI ?
Are the gauges & masters stored properly & area is properly protecetd from
Q 49
environmental conditions with racks & cabinates etc. ?

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 I Document and Drawing control & Display

Is there defined a procedure to update latest drawings received from NEI /

Q 50
Customer & maintain revision history of all documents ?

Is there defined retention period for all quality records as per Customer
Q 51
requirement ?

Does the Supplier display Work instructions , Drawings , processing conditions ,

Q 52 control plans , one-point lessons , Special characteristics etc. at appropriate
locations.?
Does the Supplier maintain the records of all NEI feed back & record send to NEI like
Q 53 Score Card, SCAR, SPC reports, Layout Inspection Report, PPAPs & improvement
Plans etc.
J Tool Management

Q 54 Is there a list of critical tools & spares & maintain inventory of critical tools & spares ?

Does the Supplier has the System of drawing & identification of all Toolings & Job
Q 55 wise Tooling Chart system ?

Does the Supplier use standard tools ? & established tool life and change tools
Q 56
accordingly ? Are the records maintained for tool change ?

Q 57 Does the Supplier have a proper Tool Inspection & rectification System with records?

Is there any System to verify the condition of tool holders on your machines , at
Q 58 regular intervals ?
Is the tool storage area properly protecetd from environmental conditions with racks
Q 59
& cabinates etc. ?
K Identification system
Are there well defined areas duly identified , for Raw Material storege, Receiving
Q 60 Inspection , Pre-dispatch Inspection , Rejection , OK & in-process material
storage etc.?
Are there identified bins for Scrap & rework , on each machine ? Are the
Q 61
identification labels being used , to avoid mixing ?
Does the Supplier is well aware of maintaining Traceability System throught the
Supply chain in scope.
Q 62
- Traceability to be maintained batch / heat wise.
- Material to be identified by Tag or Route Cards.

Q 63 Does the Supplier have the fool proof System to follow FIFO System ?

L Control of non-conforming product

Does the Supplier uses locked boxes for Scrap ? Is responsibility defined for
Q 64 finalizing the rejections ? What is the frequency of finalizing rejections and their
disposal ?
Does the Supplier analyze rejections (Internal/External) for root causes , and
Q 65
implement actions like fool-proofing etc. , to minimize?
Does the Supplier maintain rejection (Internal/External) trends & display them on
Q 66
shop floor for awareness purpose ?

M Control of gauges & measuring equipments

Has the Supplier defined calibration & MSA frequency for each gauge &
Q 67
measuring instrument & adhered with the defined frequency ?
Does the Supplier uses hard masters ? And maintain their calibration frequency
Q 68
from recognize agencies?
Q 69 Are the calibration due date marked on gauges & masters ?

N Control of Dispatch system

Does the Supplier has the dispatch audit & inspection system like Quality,
Q 70
Quantity, Identification tag or label etc. verification?
Q 71 Is there proper area, oiling & packing system exist before dispatch ?

O Maintenance of machines
Does the Supplier have a dedicated team & System to carry out the Preventive
Q 72
Maintence System ?

Q 72 Is there any preventive maintenance schedule of machines , and adhere to it ?

Does the Supplier use check sheets for preventive maintenance , and maintain
Q 74
records ?

Q 75 Is there a System to track unscheduled break downs with actions ?

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 P Working environment (EHS) & 5 'S' Activities
Is the illumination level at all inspection & working areas sufficient , as per
Q 76
standards ?

Q 77 Is the disposition of chips from machines timely and properly done ?

Co 78 Do the operators clean their machines before starting ?

Does the operators/supervisors ensure that all material is kept at its desired
Co 79 place , with proper identification , at the end of shift , and no piece is lying in
machine bed ?
Is there any hazardous material coming during the process, if yes then
Co 80
dispassion of the same is on satisfactory level ?
Co 81 Is there any child labor in the company ?
Is there any unsafe condition in the company , if yes then safety measures are
Co 82
taken on satisfactory level ?
Q Substance of Concern (SOC) Management System
Does the supplier have a system to check SOC as per GADSL, REACH and
Co 83
ELV - ROHS - 2 for hazardous substance ?
Does the supplier had latest revision substance of concern (SOC) list as per
Co 84
GADSL ?
Does the supplier has declaration from their suppliers for ROHS-2 for hazadous
Co 85
substance ?
Total no. of points in each category =
Net Audit Score =

* Score related to Quality ( Q )

* Score related to Capacity ( C )
* Score related to Delivery ( D )
* Score related to Compliance ( Co )
( Legal , Finance ,Cost , Environment & Safety etc. )

Total Net Score =

1 Supplier is : Not Accepted Accepted Date :

2 PPAP Approval :

PO No. of PPAP Lot Assembly

Date of Lot receipt & Insp. RI Status Approval status & Date
PPAP Lot Qty. status

STANDARD REMARKS :-

1. Top Management commitment :

2. Technical Capability :

GENERAL REMARKS :-

DH - Logistics DH - SD Deptt.

Supplier Categorization Standard:-

Audit Rating Category Description of Category

81% & Above A Supplier is approved
71% to 80% B Supplier is approved , but has to implement improvement points to achieve 'A' Category
61 to 70% C Not approved - Has to be re-audited , after implementation of improvement points
60% & Below D Not approved

* Supplier has to achieve minimum (71%) score in individual heads for approval.

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 Annexure – 7
Form no. QAF/I/QA/184/877/Rev. 0

Supplier Risk Assessment

Supplier Name : Date-
S.No. Type of Risk Risk Impact Contingency Plan Verified Risk level
A Capacity

1 Spare Capacity

Key Machine &

2 High
Equipment Failure
Labour Shortage &
3
Labour strike

4 Utility Interruptions

B Capability High

Legal , Financial &

C High
Costing

D Logistics High

E Natural Disaster High

Conclusion :
Analysis done by :

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Annexure – 8

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 Annexure – 9

Standard For Prohibited And Declarable Substances

Std. No. RMSD00169549

1) PURPOSE:
To set forth the restrictions on distribution of hazardous (prohibited and declarable) substances.
2) SCOPE: The standard deals with substances or materials which must not be used, which must be declared
subjected to requirements according to
• Legal requirements
• Customer requirements
• Internal NEI requirements.
3) DEVIATION AND REJECTION :
Any deviation from this specification must be approved by NEI Chief Metallurgist and Quality Head.
Non conformance to this specification or to any authorized deviation shall be cause of rejection.
4) DEFINITIONS :
Substances : Chemical elements or Chemical compounds as they occur naturally or as they produced , including
the auxiliary agents which are added in order to stabilize the compounds and impurities which are caused by
manufacturing.
Preparations : Mixtures and solutions which consists of two or more substances.
Articles : Items which gets its specific and final shape and properties as per design during production which
satisfies its function for the intended purpose to a greater degree than chemical composition.
Production Materials: Material (substances/articles/preparations) which remain in NEI products or which will
remain NEI products.
Operating and auxiliary materials: Substances and preparations which are necessary for the production process
but do not remain in NEI products. e.g. coolants, lubricants incl. additives, anti corrosion agents.

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5) List of Prohibited Substances :

Ex-
Substance/ Limit value
CAS No. Affected application cem- Legal regulations
substance group (wt.%)
tions
Electrical and electronic equipment and components; metal, glass and ceramic parts
Lead 7439-92-1 Electrical and electronic 0.1 yes EU RoHS
equipment CH Chem RRV App.
Cadmium 7440-43-9 Electrical and electronic 0.01 yes EU RoHS
Cadmium compounds equipment CH Chem RRV App.
Metal surface coating n.d. yes EU REACH App. XVII
CH Chem RRV App. 2.9,
2.16(2)
DK Statutory Order
Zinc layers 0.025 CH Chem RRV App.
Mercury 7439-97-6 Electrical and electronic 0.1 yes EU RoHS
Mercury compounds equipment
All applications n.d. yes CH Chem RRV App. 1.7
NL Decree 9 September
1998
Hexavalent Electrical and electronic 0.1 yes EU RoHS
chromium (CrVI) equipment CH Chem RRV App.
Polybrominated Electrical and electronic 0.1 yes EU RoHS
biphenyls (PBBs) equipment CH Chem RRV App. 1.9
Polybrominated
diphenyl- ethers
Octabromodiphenylether 32536-52-0 All applications 0.1 EU REACH
(OBDE)
Pentabromodiphenyl 32534-81-9
- ether (PeBDE)
Batteries and accumulators
Lead 7439-92-1 Fixed batteries6) 0.1 yes CH Chem RRV App. 2.15

Cadmium 7440-43-9 Portable batteries and 0.002 yes EU 2006/66/EC

accumulators
Zinc-carbon batteries 0.015 CH Chem RRV App. 2.15
Fixed batteries6) 0.015 yes
Mercury 7439-97-6 Batteries and accumula- 0.0005 yes EU 2006/66/EC
tors
Fixed batteries6) 0.000 5 CH Chem RRV App. 2.15
Button cells and batteries 2 EU 2006/66/EC
composed of button cells CH Chem RRV App. 2.15
Alkali-manganese batte- 0.000 5 yes CH Chem RRV App. 2.15
ries
Zinc-carbon batteries 0.000 5 CH Chem RRV App. 2.15

Substance/ CAS No. Affected application Limit value Ex- Legal regulations 2)
substance group (wt.%) 1) cem-
tions
Plastics and rubber parts, wire insulation, coats of lacquer

36
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Polybrominated biphenyls Electrical and electronic 0.1 yes EU RoHS
(PBBs) equipment CH Chem RRV App. 1.9
Polybrominated diphenyl-
ethers (PBDEs)
Octabromodiphenylether 32536-52-0 All applications 0.1 EU REACH App. XVII
(OBDE)
Pentabromodiphenyl- 32534-81-9
ether (PeBDE)
Short-chain chlorinated Sealing compounds 1.0 CH Chem RRV App. 1.2
paraffins (C10-C13 ) Plastics and rubber
Lead and lead com- Paints andvarnishings 0.01 yes CH Chem RRV App. 2.8
pounds
Cadmium and cadmium Pigments in plastics 0.01 yes EU REACH App. XVII
compounds Stabilized vinyl chloride 0.01 yes CH Chem RRVApp. 2.9,
polymers and copolymers DK Statutory Order No.
(e.g.PVC) limit values 0.0075%
Paints and varnishings 0.01 yes CH ChemRRV App. 2.8
Insulating materials
Asbestos 1332-21-4 All applications 0.1 (total) yes EU REACH App. XVII
4) n.d. yes CH Chem RRV App. 1.6
see below
Man-made vitreous (sili- Articles for heat and noise 0.1 (total) yes DE Chem VerbotsV
cate) fibres reduction in building con-
with random orientation struction including techni-
with oxide of sodium, cal insulation and for ven-
potassium, calcium, tilation systems
magnesium and barium
content >18 % by mass
Other materials (e.g. wood)
Arsenic compounds Wood n.d. yes EU REACH App. XVII
Formaldehyd 50-00-0 Holzwerkstoffe 0,1 ml/m3 ja DE Chem Verbo
(spezielles AT tsV BGBl.
Prüfverf.) SE Nr.
Creosote 8001-58-9 Wood and wooden mate- n.d. yes EU REACH App. XVII
Rials
Pentachlorophenol (PCP) 87-86-5 All applications 0.000 5 yes EU REACH App. XVII
Pentachlorophenol, so- 131-52-2 (total)
dium salt
Other PCP salts and
compounds
Coolants, insulating gases and liquids, fire extinguishing agents
CFCs and halons 5)
see below All applications n.d. EU 1005/2009
US CAA (42 USC 7671 et
CH seq.)
Chem RRV App. 1.4,
HCFCs Use in cooling and air- n.d. yes EU 1005/2009
conditioning devices
FCs Fire protection systems n.d. EU Regulation No.
and fire extinguishers 842/2006
FCs Non-confined direct- n.d. EU Regulation No.
HFCs evaporation systems con- 842/2006
taining refrigerants
Cooling and air condition- n.d. yes AT BGBl. Nr. 447/2002
ing equipment

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FCs One component foams n.d. yes EU Regulation No.
HFCs 842/2006
Sulfur hexa uoride (SF6 ) 2551-62-4

Substance/ CAS No. Affected application Limit value Ex- Legal regulations2)
substance group (wt.%) 1) cem-
tions
HFCs Cooling plants, heat n.d. DK Statutory Orderno. 552
pumps, air conditioning of 2
plants (comfort cooling) July 2002
and dehumidifiers with
charges 10 kg
HCFCs (C1to C3) All applications n.d. yes CH Chem RRV App. 1.4,
HBrFCs (C1to C3) 2.3, 2.9-
Methyl bromide 74-83-9 12
Sulfur hexa uoride (SF6) 2551-62-4 Insulating and quenching n.d. AT BGBl. Nr. 447/2002
gas in electrotechnical
systems and appliances up
to 1 kV (over 1kV obli-
gation to report)
Low voltage plants (1kV) n.d. DK Statutory Order no. 552
of 2
All applications (over 1 kg n.d. yes CH Chem RRV App. 1.5
obligation to report in cases
of exceptions)
Polychlorinated biphenyls 1336-36 - 3 All applications 0.005 yes EU REACH App. XVII
(PCBs) (total)
Polychlorinated terphe-n 61788 -33-8 n.d. CH ChemRRV App. 1.1,
yls (PCTs) 2.14
Monomethyltetrachlorod- i 76253-60-6
phenylmethane (Ugilec
141)
Monomethyldichlorod-i
phenylmethane (Ugilec
121 or21)
Monomethyldibromod-i 99688-47-8
phenylmethane (DBBT)
Polychlorinated biphenyls 1336-36-3 Not totally enclosed 0.05 yes US TSCA (15 USC 2605)
(PCBs) + 40 CFR761
Halogenated biphenyls, All applications n.d. CH Chem RRV App. 1.1
terphenyls,naphthalenes
Halogenated aromatic Capacitors and transfor- 0,05/0,005 CH Chem RRV App. 2.14
compounds mers (mono-/
polyhalo-
genated)
Per uorooctane sulfonic All applications 0.1 yes EU REACH App. XVII
acid and its metal salts,
halides, amides, and other
derivatives includ- ing
polymers (PFOS)
Packaging
Heavy metals (lead, Packaging and packaging 0.01 (total) EU 94/62/EC
cadmium, hexavalent components CH Chem RRV App. 2.16(4)
chromium, mercury)
Cleaning agents

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 Aliphatic CHCs s. u.3) All applications 0.1 (total) yes EU REACH App. XVII
CH Chem RRV App. 1.3
1,1,1-Trichloroethane 71-55-6 All applications n.d. CH Chem RRV App. 1.4
Tetrachloromethane 56-23-5
Notes

1) "n.d.“ means that no limit value is defined by the legislation.

2) Country codes according to ISO 3166

Chem Verbots V German chemicals prohibition ordinance (Chemikalienverbotsverordnung)

CAA Clean Air Act

KIFS Swedish National Chemicals Inspectorate´s Regulations (Kemikalieinspektionens föreskrifter)

REACH Regulation 1907/2006 of the European Parliament and the Council concerning the Registration,

Evaluation,Authorisation and Restriction of Chemicals

RoHS Directive of the European Parliament and the Council on the restriction of the use of certain

hazardous substances in electrical and electronic equipment (Directive 2002/95/EC)

SFS Swedish Code of Statutes (Svensk författningssamling)

ChemRRV Swiss ordinance on reduction of chemical risks (Chemikalien-Risikoreduktions- Verordnung)

TSCA Toxic Substances Control Act

6) List of Declarable substances :

Code Substance/substance CAS No. Typicalapplications Limit Reference of
group value the limit value
(% w/w)
Electrical and electronic components; metal, glass and ceramic parts
100 Arsenic 7440-38-2 Lead and copper alloys, metal 0.1 Application
Arsenic compounds adhesives, soft soldersg,lasses,
semiconductors
200 Beryllium 7440-41-7 Contact and spring materials, 0.1 Application
Beryllium compounds copper alloys, high- temperature
materials,ceramics, glasses

300 Lead 7439-92-1 Solders, hybrid circuits, 0.1 Homogeneous

Leadcompounds ceramics, glasses material
400 Cadmium 7440-43-9 Contact coatings, hard and 0.01 Homogeneous
Cadmium compounds soft solders, glasses material
500 Chromium (VI) compounds Anti-corrosion coatings 0.1 Homogeneous
material
600 Mercury 7439-97-6 Discharge lamps, relays, 0.1 Homogeneous
Mercurycompounds switches material
700 Polybrominated biphenyls Flame-protected plastics in 0.1 Homogeneous
(PBBs) components and printed circuit material
boards

39
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11
800 Polybrominated Flame-protected plastics in 0.1 Homogeneous
diphenylethers (PBDEs), in components and printed circuit material
particular 32534-81-9 boards
-Pentabromodiphenylether
(PentaBDE) 32536-52-0
-Octabromodiphenylether
(OctaBDE) 1163-19-5
-Decabromodiphenylether
(DecaBDE)
900 Radioactive substances Measuring devices, Inten- Application
dischargers tionally
added
Plastics and rubber parts, wire insulation, coats o f lacquer
700 Polybrominated biphenyls Flame-protected plastics 0 Homogeneous
(PBBs) material
800 Polybrominated Flame-protected plastics Homogeneous
diphenylethers (PBDEs), in material
particular 32534-81-9
-Pentabromodiphenylether
(PentaBDE) 32536-52-0
-Octabromodiphenylether
(OctaBDE) 1163-19-5
-Decabromodiphenylether
(DecaBDE)
1000 Hexabromocyclododecane 25637-99-4 Flame-protected plastics 0.1 Article
(HBCCD), including all major 3194-55-6
diastereoisomers: (134237-50-6)
-Alpha-HBCCD (134237-51-7)
-Beta-HBCCD (134237-52-8)
- Gamma-HBCCD
1100 Other brominated ame Flame-protected plastics 0.1 Application
retardants than PBBs,
PBDEsandHBCCD
1200 Antimony trioxide 1309-64-4 Flame-protected plastics 0.1 Application
containing brominated ame
retardants, laser-writable
plastics

Code Substance/substance CAS No. Typicalapplications Limit Reference of

group value the limit value
(% w/w)
1300 Dibutyl phthalate (DBP) 84-74-2 Plasticized plastics, particularly 0.1 Article
PVC
1400 Diisobutyl phthalate (DIBP) 84-69-5 Plasticized plastics, particularly 0.1 Article
PVC
1500 Bis (2-ethylhexyl) phthalate 117-81-7 Plasticized plastics, particularly 0.1 Article
(diethylhexylphthalate, DEHP) PVC

1600 Benzyl butyl phthalate (BBP) 85-68-7 Plasticized plastics, particularly 0.1 Article
PVC
1610 1,2-Benzenedicarboxylic acid, 68515-42-4 Plasticized plastics, particularly 0.1 Article
di-C7-11-branched and linear PVC
alkyl esters
[di(heptyl, nonyl, undecyl)
phthalate, DHNUP]

1
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1620 1,2-Benzenedicarboxylic acid, 71888-89-6 Plasticized plastics, particularly 0.1 Article
di-C6-8-branched alkylesters, PVC
C7-rich
(diisoheptyl phthalate, DIHP)
1650 Bis(2- methoxyethyl) 117-82-8 Plasticized plastics, particularly 0.1 Article
phthalate PVC
1700 Short-chain chlorinated Plasticized and ame- protected 0.1 Article
paraffins (C10-C13) plastics, rubber and sealing
Otherchlorinated paraffins compounds
1800 Tris (2-chloroethyl) phosphate 115-96-8 Plasticized and ame- protected 0.1 Article
(TCEP) plastics, ame-protected paints
and varnishes
1900 Polycyclic aromatic Plasticized or dyed plastics, 0.02 Application
hydrocarbons (PAHs, rubber-like materials
creosote)
Dyed or stabilized plastics, coats of lacquer, enam els and related materials
2000 Lead chromate 7758-97-6 Pigmented paints and 0.1 Article
varnishes,anti-corrosion
coatings
2100 Lead chromate molybdate 12656-85-8 Pigmented plastics and paints 0.1 Articl
sulfate red (C.I. Pigment
Red104)
2200 Lead sulfochromate yellow 1344-37-2 Pigmented plastics and paints 0.1 Article
(C.I. Pigment Yellow 34)
300 Other Lead compounds Pigmented plastics and other 0.1 Homogeneous
materials, stabilized plastics (in material
particular PVC)
400 Cadmium compounds Pigmented plastics and other 0.01 Homogeneous
materials, stabilized plastics (in material
particular PVC)
500 Chromium (VI) compounds Pigmented plastics and other 0.1 Homogeneous
materials material
2300 Azo colourants and azo Dyed plastics, textiles and 0.1 Application
dyes which can form leather articles
carcinogenic aromatic
amines
2350 Bis (tributyltin) oxide 56-35-9 Antifouling paints for ships and 0.1 Article
cooling towers
Insulating materials
2400 Asbestos 1332-21-4 Insulating materials in 0.1 Application
buildings, industrial systems
andappliances

Code Substance/substance CAS No. Typical applications Limit Reference of

group value the limit value
(% w/w)
2500 Man-made vitreous (silicate) Insulating materials in 0.1 Application
fibres with random orientation buildings, industrial systems
with oxides ofsodium, and appliances
potassium, calcium,
magnesium and barium content
> 18 % by mass

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2600 Aluminosilicate, refractory High-temperature insulating 0.1 Article
ceramic fibres materials in buildings,
industrial systems and
appliances
2700 Zirconia aluminosilicate, High-temperature insulating 0.1 Article
refractory ceramic fibres materials in buildings,
industrial systems and
appliances
Other materials (e.g. wood)
2750 Acrylamide 79-06-1 Grouting 0.1 Application
100 Arsenic compounds Biocide-treatedwood 0.1 Application
2800 Formaldehyde 50-00-0 Wooden materials 0.1 Application
ml/m3
2900 Pentachlorophenol (PCP) 87-86-5 Fungicide-treated wood, 0.0005 Application
Pentachlorophenol, sodium 131-52-2 textiles and leather articles
salt
Other PCP salts and
compounds
2350 Bis (tributyltin) oxide 56-35-9 Fungicide-treate wood, 0.1 Article
textiles and leather articles
2950 Bis (2-methoxyethyl) ether 111-96-6 Electrolytes in lithium batteries, 0.1 Article
solvent in printing inks and
sealants
2960 1,2-Dimethoxyethane 110-71-4 Electrolytes in lithium batteries, 0.1 Article
(ethylene glycol dimethyl solvent in printing inks and
ether,EGDME) sealants
2970 1,2-Bis (2- methoxyethoxy) 112-49-2 Electrolytes in lithium batteries, 0.1 Article
ethane solvent in printing inks and
(TEGDME, triglyme) sealants
Coolants, insulating gases and liquids, fire exting uishing agents
3000 CFCs and halons Aerosols, coolants, fire 1.0 Application
extinguishing agents,
insulating foams
3100 HCFCs Coolants 1.0 Application
3200 FCs Coolants, fire extinguishing 1.0 Application
agents
3300 HFCs Coolants, insulating foams 1.0 Application
3400 HBr FCs (C1 bis C3) Fire extinguishing agents 1.0 Application
3500 Sulfur hexa uoride (SF6) 2551-62-4 Insulating and quenching gas in 0.1 Application
electrotechnical systems,
appliances and components
3600 Polychlorinated biphenyls Insulating agents in transformers, 0.005 Application
(PCBs) hydraulic uids, heat
Polychlorinated terphenyls transmission uids
(PCTs)
Polychlorinated
naphthalenes (PCNs)
3700 Per uorooctane sulfonic acid Fire-fighting foams 0.1 Application
and its metal salts, halides,
amides, and other derivates
including polymers
(per uorooctane sulfonates,
PFOS)

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 Code Substance/substance CAS No. Typical applications Limit Reference of
group value the limit value
(% w/w)
Packaging
3800 Cobalt (II) chloride 7646-79-9 Blue silica gel in desiccant 0.1 Article
bags (package insert)
3900 Boric acid 10043-35-3 Flame retardant in wood, paper, 0.1 Article
11113-50-1 cotton and other plant- derived
materials
3950 Diboron trioxide 1303-86-2 Flame retardant in wood, paper, 0.1 Article
cotton and other plant- derived
materials
4000 Disodium tetraborate, 1330-43-4 Flame retardant in wood, paper, 0.1 Article
anhydrous cotton and other plant- derived
materials
4100 Tetraboron disodium 12267-73-1 Flame retardant in wood, paper, 0.1 Article
heptaoxide, hydrate cotton and other plant- derived
materials
4200 Lead, cadmium, hexavalent Packaging and packaging 0.01 Application
chromium,mercury components (total)
Explanatory notes: Reference of the limit value:

 Application” means that the limit value of the substance refers to the material or part where this substance is contained
to achieve an intended functionality, as exemplarily given by the typical applications.
 Article”means that the limit value refers to the supplied article (device, component or product part) as a whole.
 Homogeneous material”is defined as material that cannot be mechanically disjointed into different materials.The term
"homogeneous" means "of uniform composition throughout". Examples of homogeneous materials are individual
types of plastics, ceramics, glass, metals,alloys, resins and coatings.

Reference Standards :
 REACH : Regulation 1907/2006 of the European Parliament and the Council concerning the Reg- istration,
Evaluation, Authorisation and Restriction of Chemicals
 RoHS : Directive of the European Parliament and the Council on the restriction of the use of certain hazardous
substances in electrical and electronic equipment (Directive 2002/95/EC)

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 Annexure – 10

Form no. QAF/P/QA/011/857/Rev. 0

Product Development Plan (Supplier APQP)

Part Name: Part No.: Category: Project Kick Off Date:

Customer Name: NEI, Jaipur Team NEI: Team Supplier:

Window Person: Window Person:

Supplier Name: Contact No. Contact No.

Email- Id: Email-Id:

Sr. Target Completion Weekly Monitoring
Activity Responsibility Status Remarks
No. Date Date W-1 W-2 W-3 W-4 W-5 W-6 W-7 W-8 W-9 W-10 W-11
Plan
1 Receiving NEI Drawings & RFQ
Actual
Plan
2 Feasibility Review
Actual
Plan
3 Quota?on Submission to NEI
Actual
Plan
4 Spec Review Mee?ng With NEI
Actual
Plan
6 Order Confirma?on by NEI
Actual
Plan
7 Tools Drg. Prepara?on
Actual
Plan
8 Tools development
Actual
Development of inspec?on Plan
9
facili?es and gauges Actual
Plan
10 Prepara?on of PFD & PFMEA
Actual
Plan
11 Prepara?on of Control Plan
Actual
Plan
12 Sample Submission to NEI
Actual
Sample approval & Plan
13
clearance by NEI Actual
Process Valida?on/ PPAP Plan
14
Audit by NEI Actual
Plan
15 PPAP Lot Submission to NEI
Actual
Plan
16 NEI Approval and PSW sign off
Actual
NEI feed back and con?nuous Plan
17
improvement Actual

Prepared By:- Approved By:- Approved By NEI :-

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 Annexure – 11
Form no. QAF/P/QA/011/878/Rev. 0

Part Feasibility Report

CUSTOMER NAME : DATE :
SUPPLIER NAME : PART NAME / No. :

"Feasibility Considerations
Our product planning team has considered the following question, not intended to be all-inclusive in performing feasibility evaluation. The drawings and / or specification
provided have been used as a basis for analyzing the ability to meet all specified requirements. All ""No"" answers are supported with attached comments identifying our
concerns and/ or proposed changes to enable us to meet the specified requirements."

S.No. Yes No Consideration

1 Is product adequately defined (application requirements, etc.) to enable feasibility evaluation?

2 Can Engineering Performance Specifications be met as written?

3 Can product be manufactured to tolerances specified on drawing?

4 Is measurement system acceptable? e.g. Gauge R&R < 10%

5 Is there adequate capacity to produce product?

6 Is there Raw Material availability to produce product?

7 Does the design allow the use of efficient material handling techniques?

Can the product be manufactured without incurring any unusual:

• Costs for capital equipment?
8
• Costs for tooling?
• Alternative manufacturing methods?

9 Is statistical process control required on product?

10 Is statistical process control presently used on similar product?

11 Are the processes in control and stable?

12 Are Cpk’s > 1.67

13 Other Issue

14

15
16
Remarks (if any) :
Conclusion:
Feasible Product can be produced as specified with no reveision
Feasible Change recommended
Not Feasible Design revision to produce product within the specified requirements.

Sign-Off

Team Member /Title/Date Team Member /Title/Date

Management Quality

Team Member /Title/Date Team Member /Title/Date

Production Purchase & Store

Team Member /Title/Date Team Member /Title/Date

Maintenance Tool Room

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 Annexure – 12

Form no. QAF/P/QA/011/1358/Rev. 0

NATIONAL ENGINEERING INDUSTRIES LTD.

JAIPUR

Specification Review Meeting with Supplier

Supplier: Date

Name Signature Name Signature

Supplier NEI
Rep. Persons

Subject : Discussion on Drawing, Tolerance, Specification, Basic Manufacturing Process ,

Inspection / Test method & CSR if any for …………………………………………………………………
S.N. Description Resp. Sch./Inf.

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 Form no. QAF/P/QA/011/1041/Rev. 0
National Engineering Industries Limited
Supplier's 4M Change Notification Monthly Report
Supplier Code Supplier Name Month
Change NEI approval Document to be submitted to NEI
Required
Change implementation Document
Change document
SN Modification( Reason of change date(date on submission Change details Internal recording document at supplier end Not Remark
Item Requied PPAP PDI MSA Other submitted(
Yes / No) which change Date required
Yes/ No)
was done)
1 Extra shift working Attendance record N - - - -
2 Quality represenative change - Y - - - Mail ID, Contact no.
Man
3 Accident to operator Accident register N - - - -

PPAP[PSW + To be mentioned in PDI

Different Spec. / Grade / Supplier(in case raw Material (physical Double sampling in PDI for next Sheet + PSW +
4 - Y -
material is not supplied by NEI) + chemical) test three lots at vendor end Material(physical + chemical
result + TC] )test result + TC
Material

Route change(in case raw material is supplied PPAP[PSW + To be mentioned in PDI

by NEI)(Forging to tube or vice versa) or Double sampling in raw material Material (physical Double sampling in PDI for next Sheet + PSW +
5 Y -
Different Raw material supplier(in case raw dimensional inspection + chemical) test three lots at vendor end Material(physical + chemical
material is supplied by NEI) result + TC] )test result + TC

Re setting approval of added or removed Double sampling in PDI sheet for

Any temporary change in process or process
6 process and double sampling in hourly Y - parameters related to process - -
flow - Unplanned change
inspection sheet change at vendor end

Permanent change in process or process flow

Double sampling in PDI for next
7 For example : SPM to CNC,manual to transfer - Y PPAP - -
three lots
press.
Measurement method change like disc
Double sampling in PDI sheet for
checking to contracer,profile projector to video MMS(Measuring method
8 - Y - parameters related to changed MSA to be reviewed

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47
Method measuring machine,manual to automtic standard) to be reviewed
measurement
checking

9 Packaging system change - Y - - - Change details

Revised control plan and

Inspection frequency change(sampling plan or revised check sheet with
10 - Y - - -
change in time) training record for new
change

Tool life monitoring &

Permanent process paramater change such as standardization
speed, feedrate,clamping pressure, tool Double sampling in setting approval of
Double sampling in PDI for the Cpk study report for 1st Lot.
11 signature(Angle , Radius or VNMG to TNMG , added or removed process and double Y - -
parameter that has been changed Process Condition Chart,
tool material change , tool supplier change),ram sampling in hourly inspection sheet
Control Plan , Checksheet
pressure,ram speed
Updation

Double sampling in hourly inspection for the

parameter of which poka yoke was
12 Addition or removal of poka yoke removed. In case of addition the sampling N - - - -
would rermain same.Poka Yoke List
updation with monitoring.
Manufact
13 uring Change in manufacturing location - Y PPAP - - -
location

Note : In case of no change (1) In case of any change , fill reason of change , change date and
write"NO" in above column. document submission date .

Signature
Designation Quality Head Plant Head CEO/MD
Name
Note : (1) For point no.6,8 Information to be given on same day through mail to SQA team.
(2) For point no. 4,5,7,13 approval to be taken by submitting process change approval request form to SID team through PPAP approval.
(3) For point no 9 , information to be given to SQA and logistics team through mail .
(4)For monthly notification to NEI , Supplier has to notify before 2nd working day of next month. Duly Sighned Scanned Copy.(Working days exclude Sunday and festivals)

1
 Form no. QAF/P/QA/011/1362/Rev. 0

Annexure – 14

Quality Agreement

Supplier Name & Address

With reference to continuous improvement at NEI supplier, this agreement is valid from
on the basis of the year _____________the average rejection PPM of the supplier at NEI is (As per below
table).
1

Month Apr May Jun Jul Aug Sept Oct Nov Dec Jan Feb Mar Avg

PPM

It has been mutually agreed by supplier & NEI that supplier is committed to reduce the rejection PPM by %
in the year of .
To achieve this PPM target supplier’s efforts with proactive approach and NEI SQA team support will
be appreciated.
The agreement will be revised on .

NEI Supplier
(Signature) (Signature)

(Name) (Name)

SQA:
Title: Title:

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To be returned by Supplier via email or by post to NEIL SDD :

We hereby confirm that we have received and understood the NEIL “Supplier Quality Manual– 5th
Edition.”

We understand that this manual defines the overall requirements which NEIL expect from its
Suppliers.

We agree to strive to meet these requirements,in all our facilities working and our product.

We understand that it is our responsibility to ensure that only the latest revision of this Manual is used
by periodically checking the NEIL website for revisions and updates.

We understand that it is our responsibility to deploy this Manual in the current and future facilities
working and NEIL products.

The latest revision can be obtained from the NEIL website :www.nbcbearings.com

Supplier Name :

Date & Signature :

(Signature & Name of Supplier with Stamp)

1
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1
Notes
Notes
Notes
Notes
Notes
Notes
Notes
Notes
Notes
Notes