Traceability Audit to Suppliers

SQE / SD- Check-list

Supplier:
Supplier SAP-Number: Part number:
Supplier DUNS-Number: Expedition date:
Supplier's Plant Location: Bar code serial nr.
Participants from Supplier: Delivery note:
Benteler's SQE / SD or Auditor: Production date:
Date: Batch-number:
Accepable Not Acceptable
1. The Supplier is responsible for the traceability
and proper marking of the product during all
phases of production and delivery.
Defined accuracy of containment: marking of single
parts (serial traceability) or batch traceability on
container base, per shift, week, day etc.
The traceability must be assured for all
components.
Are the materials and products identified (labels,
datecode etc.) and is the status clearly visible (blocked,
rework, released etc.)?
Does exist a flow diagram showing the traceability flow?
Is the traceability ensured according to the traceability
reference number after?. Is it ensured also after
repacking procedures?
For example documentation of:
-traceability reference number
-quantity per packaging unit
-material No.
-material descrip
Does the supplier follow the first in - first out principle?
(identification of material, identification of storage
locations etc.)
Traceability Test: Pick up a label of finished
product (ODETTE) and check the traceability at
supplier's facility tracking the product flow until
raw material including the traceability of
parameters
Is the information stored according to legal
requirements, customer requirements and internal
procedures? How is the information stored?. Is the
storage-place protected against fire?
3. Is it ensured the traceability of critical
parameters through all the phases of the
productive process?
Supplier's means of storage information regarding
parameters, for example: electronic files (hard disc),
Documentation of parameters on supplier's official
forms and storage of these documents in safe places in
order to ensure the traceability of paremete
4. Where parts/materials submitted or provided
by Benteler are to be machined or processed,
the supplier must guarantee that his products
can be traced back to the specific delivery note /
batch or serial numbers submitted by Benteler.
Benteler's identification submitted to the supplier . How
the identification of the parts / material match with
Benteler's identifications after processing.
5. Is it guarranteed the traceability for reworked
components or parts going out of the normal
process flow?
How the components return to the normal flow, which
controls are implemented and how these components
or batches are identified. Material flow chart could be
checked in order to identified exactly the places where
the material goes out of the process.
6. Is it guarranteed the traceability for parts
going out for additional process (e.g.
subcontrated processes like washing, coating,
paintig, plating)
To check the supplier's procedure about the
management of product going out for additional
processes. The material flow chart could help to identify
the places where the material goes out and return to the
intern process flow.
7. Does the supplier use labels according to the
Benteler regional specification?
Clear identification of each packaging unit including the
traceability reference number (or with a reference to it),
which must be according to the requirements (e.g.
VDA/Odette, AIAG labels etc.) of the Benteler plant
receiving the product / material.
Lot or batch dimension used by the supplier in
order to assure traceability under the same
identification:
Result Remark: if the traceability can not be
assured, then a detailed report must be
written.
Action plan required until:
Second audit required? Yes No
Date / Signature (Benteler) Date / Signature (Supplier)
Information to trace:
Remarks
Was detected a risk with this lot or batch
dimension?
Traceability requirements
Description /
What to be checked ?
Evaluation (Entry with x)
2. The supplier shall ensure full traceability of
items supplied by him through the
implementation of appropriate technical and
organisational measures.

The possibility of establishing the origin of
primary material and the suppliers production
data at any time must be guaranteed.

The supplier shall guarantee traceability of all
delivery note numbers stated (identity code, ...)
for all individual stages within the production
phases.

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 246670598.xls.ms_office
This excel-sheet generates all report pages for the process audit
according to VDA 6.3
Date, audited unit, audited process, auditor and report no. can only
be inputted in the questionnaire , they are generated automatically in
all other sheets.
[Yellow highlighted fields have to be filled manually!!!]
The product-oriented grouping of single process steps to "product
groups" can be done in the "Summary of questions". This has to be
evaluated manually.
The evaluation of the questions must be filled in the questionnaire.
The first page and the action plan can be filled by additional contents.
na = not assessed, not applicable
Report no.:
Audited company/unit
Auditing company / unit
Auditors
Audited process / product / service
Audit Date
Reason for the audit
Degree of conformity 100.0
Remarks to the evaluation:
Remarks to effectiveness check in
related preaudit:
Completion of action plan /
responsibility / Scheduled date
New audit necessary Yes No
Distributor
Sign and Date audited unit



Sign and Date auditor
VDA 6, Part 3 Process Audit
Overall Evaluation


First page - page 3 of 12
Audited Company:
Report no.:
No. Question Notice
1 Product Development Planning
1.1 Are the customer requirements available?
1.2 Is a product development plan available and are the targets maintained?
1.3 Are the resources for the realization of the product development planned?
1.4 Have the product requirements been determined und considered?
1.5 Has the feasibility been determined based on the available requirements?
1.6 Are the necessary personnel and technical conditions for the project process planned/available?
2 Product Development (Design)
2.1 Is the design FMEA raised and are improvement measures established?
2.2 Is the design FMEA updated in the project process and are the established measures realized?
2.3 Is a quality plan prepared?
2.4 Are the required releases/qualification records at the respective times?
2.5 Are the required resources available?
3 Process Development Planning
3.1 Are the product requirements available?
3.2 Is a process development plan available and are the targets maintained?
3.3 Are the resources for the realization of serial production planned?
3.4 Have the process requirements been determined and considered?
3.5 Are the necessary personnel and technical preconditions for the project process planned/available?
3.6 Is the process FMEA raised and are improvement measures established?
4 Realizing Process Development
4.1 Is the process FMEA updated when amendments are made during the project and are the established
measures implemented?
4.2 Is a quality plan prepared?
4.3 Are the required releases / qualification records available at the respective times?
4.4 Is a pre-production carried out under serial conditions for the serial release?
4.5 Are the production and Inspection documents available and complete?
4.6 Are the required resources available?
VDA 6.3 Process Audit
Questionnaire
Auditor(s):
Date:
Value
10
Questionnaire page 4 of 12
Audited Company:
Report no.:
No. Question Notice
Auditor(s):
Date:
Value
B Serial Production
5 Suppliers/ Input Material
5.1 Are only approved quality capable suppliers used?
5.2 Is the agreed quality of the purchase parts guaranteed?
5.3 Is the quality performance evaluated and are corrective actions introduced when there are deviations from
the requirements?
5.4 Are target agreements for continual improvement of products and process made and implemented with
the suppliers?
5.5 Are the required releases for the supplied serial products available and the required improvement
measures implemented?
5.6 Are the procedures agreed with the customer, regarding customer-supplied products, maintained?
5.7 Are the stock levels of input material matched to production needs?
5.8 Are input material/internal residues delivered and stored according to their purpose?
5.9 Is the personnel qualified for the respective tasks?
6 Production
Process step 1
Process step 2
Process step 3
Process step 4
Process step 5
6.1 Personnel / Qualification 1 2 3 4 5
6.1.1 Are the employees given responsibility and monitoring the product/process quality?
6.1.2 Are the employees given responsibility and authority for production equipment and environment?
6.1.3 Are the employees suitable to perform the required tasks and is their qualification maintained?
6.1.4 Is there a personnel plan with a replacement ruling?
6.1.5 Are instruments to increase employee motivation effectively implemented?
6.2 Production Material/ Equipment
6.2.1 Are the product-specific quality requirements fulfilled with the production equipment/tools?
6.2.2 Can the quality requirements be monitored effective during serial production with the implemented
inspection, measuring and test equipment?
6.2.3 Are the work and inspection stations appropriate to the needs?
6.2.4 Are the relevant details in the production and inspection documents complete and maintained?
6.2.5 Are the necessary auxiliary means available for adjustments?
6.2.6 Is an approval for production starts issued and are adjustment details, as well as deviations recorded?
6.2.7 Are the required corrective actions carried out on schedule and checked for effectiveness?
Questionnaire page 5 of 12
Audited Company:
Report no.:
No. Question Notice
Auditor(s):
Date:
Value
6.3 Transport/ Parts Handling/ Storage/Packaging
6.3.1 Are the quantities/ Production lot size matched to the requirements and are they purposefully forwarded
to the next work station?
6.3.2 Are products/components appropriately stored and are the transport means/packaging equipment tuned
to the special properties of the product/ components?
6.3.3 Are rejects, rework and adjustment parts, as well as internal residues strictly separated and identified?
6.3.4 Is the material and parts flow secured against mix ups/ exchanges by mistake and traceability
guaranteed?
6.3.5 Are tools, equipment and inspection, measuring and test equipment stored correctly?
6.4 Fault analysis/Correction/ Continual Improvement
6.4.1 Are quality and process data recorded complete and ready to be evaluated?
6.4.2 Are the quality und process data statistically analysed and are improvement program derived from this?
6.4.3 Are the causes of product and process nonconformities analysed and the corrective actions checked for
their effectiveness?
6.4.4 Are processes and products regularly audited?
6.4.5 Are product and process subject to continual improvement?
6.4.6 Are target parameters available for product und process and is their compliance monitored?
6 Production
Process step 6
Process step 7
Process step 8
Process step 9
Process step 10
6.1 Personnel/ Qualification 6 7 8 9 10
6.1.1 Are the employees given responsibility and monitoring the product/process quality?
6.1.2 Are the employees given responsibility and authority for production equipment and environment?
6.1.3 Are the employees suitable to perform the required tasks and is their qualification maintained?
6.1.4 Is there a personnel plan with a replacement ruling?
6.1.5 Are instruments to increase employee motivation effectively implemented?
6.2 Production Material/ Equipment
6.2.1 Are the product-specific quality requirements fulfilled with tile production equipment/tools?
6.2.2 Can the quality requirements be monitored effective during serial production with the implemented
inspection, measuring and test equipment?
6.2.3 Are the work and inspection stations appropriate to the needs?
6.2.4 Are the relevant details in the production and inspection documents complete and maintained?
6.2.5 Are the necessary auxiliary means available for adjustments?
6.2.6 Is an approval for production starts issued and are adjustment details, as well as deviations recorded?
6.2.7 Are the required corrective actions carried out on schedule and checked for effectiveness?
Questionnaire page 6 of 12
Audited Company:
Report no.:
No. Question Notice
Auditor(s):
Date:
Value
6.3 Transport/ Parts Handling/ Storage/Packaging
6.3.1 Are the quantities/ Production lot size matched to the requirements and are they purposefully forwarded
to the next work station?
6.3.2 Are products/components appropriately stored and are the transport means/packaging equipment tuned
to the special properties of the product/ components?
6.3.3 Are rejects, rework and adjustment parts, as well as internal residues strictly separated and identified?
6.3.4 Is the material and parts flow secured against mix ups/ exchanges by mistake and traceability
guaranteed?
6.3.5 Are tools, equipment and inspection, measuring and test equipment stored correctly?
6.4 Fault analysis/Correction/ Continual Improvement
6.4.1 Are quality and process data recorded complete and ready to be evaluated?
6.4.2 Are the quality und process data statistically analysed and are improvement program derived from this?
6.4.3 Are the causes of product and process nonconformities analysed and the corrective actions checked for
their effectiveness?
6.4.4 Are processes and products regularly audited?
6.4.5 Are product and process subject to continual improvement?
6.4.6 Are target parameters available for product und process and is their compliance monitored?
7 Customer Service, Customer Satisfaction, Service
7.1 Are Customer Requirements Fulfilled at Delivery?
7.2 Is Customer Service guaranteed?
7.3 Are fault analyses carried out when there are deviations from the quality requirements and are
improvement measures implemented?
7.4 Are fault analysis carried out when there are deviations from the quality requirements and are
improvement measures implemented?
7.5 Is the personnel qualified fr each task?
Questionnaire page 7 of 12
Auditierter Bereich 0 prepared by /erstellt von: date / Datum:
Auditierter
Prozess
0 revised by / gendert durch: date / Datum:
action plan No. / Manahmenplan Nr.: 0
Section and
Element
No. / Nr.
Notice / Feststellung Class / Bew.
Corrective and preventive Actions /
Korrektur- und Vorbeugemanahmen
Resposibility /
Verantwortung
(Name)
e-mail
target date /
Termin 2
5
%
5
0
%
7
5
%
1
0
0
%actual completion
date
comment / Bemerkung
1.1 no findings - no actions necessary
1.2 no findings - no actions necessary
1.3 no findings - no actions necessary
1.4 no findings - no actions necessary
1.5 no findings - no actions necessary
1.6 no findings - no actions necessary
2.1 no findings - no actions necessary
2.2 no findings - no actions necessary
2.3 no findings - no actions necessary
2.4 no findings - no actions necessary
2.5 no findings - no actions necessary
3.1 no findings - no actions necessary
3.2 no findings - no actions necessary
3.3 no findings - no actions necessary
3.4 no findings - no actions necessary
3.5 no findings - no actions necessary
3.6 no findings - no actions necessary
4.1 no findings - no actions necessary
4.2 no findings - no actions necessary
4.3 no findings - no actions necessary
4.4 no findings - no actions necessary
4.5 no findings - no actions necessary
4.6 no findings - no actions necessary
5.1 no findings - no actions necessary
5.2 no findings - no actions necessary
5.3 no findings - no actions necessary
5.4 no findings - no actions necessary
5.5 no findings - no actions necessary
5.6 no findings - no actions necessary
5.7 no findings - no actions necessary
5.8 no findings - no actions necessary
5.9 no findings - no actions necessary
6.1.1 no findings - no actions necessary
6.1.2 no findings - no actions necessary
6.1.3 no findings - no actions necessary
6.1.4 no findings - no actions necessary
6.1.5 no findings - no actions necessary
6.2.1 no findings - no actions necessary
6.2.2 no findings - no actions necessary
6.2.3 no findings - no actions necessary
6.2.4 no findings - no actions necessary
6.2.5 no findings - no actions necessary
6.2.6 no findings - no actions necessary
6.2.7 no findings - no actions necessary
6.3.1 no findings - no actions necessary
6.3.2 no findings - no actions necessary
6.3.3 no findings - no actions necessary
6.3.4 no findings - no actions necessary
6.3.5 no findings - no actions necessary
6.4.1 no findings - no actions necessary
6.4.2 no findings - no actions necessary
6.4.3 no findings - no actions necessary
6.4.4 no findings - no actions necessary
6.4.5 no findings - no actions necessary
6.4.6 no findings - no actions necessary
6.1.1 no findings - no actions necessary
6.1.2 no findings - no actions necessary
6.1.3 no findings - no actions necessary
6.1.4 no findings - no actions necessary
6.1.5 no findings - no actions necessary
6.2.1 no findings - no actions necessary
6.2.2 no findings - no actions necessary
progress / status
VDA 6.3 Process audit
6.2.3 no findings - no actions necessary
6.2.4 no findings - no actions necessary
6.2.5 no findings - no actions necessary
6.2.6 no findings - no actions necessary
6.2.7 no findings - no actions necessary
6.3.1 no findings - no actions necessary
6.3.2 no findings - no actions necessary
6.3.3 no findings - no actions necessary
6.3.4 no findings - no actions necessary
6.3.5 no findings - no actions necessary
6.4.1 no findings - no actions necessary
6.4.2 no findings - no actions necessary
6.4.3 no findings - no actions necessary
6.4.4 no findings - no actions necessary
6.4.5 no findings - no actions necessary
6.4.6 no findings - no actions necessary
7.1 no findings - no actions necessary
7.2 no findings - no actions necessary
7.3 no findings - no actions necessary
7.4 no findings - no actions necessary
7.5 no findings - no actions necessary
A Product development process
a) Product development (Design)
.1 .2 .3 .4 .5 .6 .1 .2 .3 .4 .5
1 Planning 10 2 Realization E
DE
100
b) Process development
.1 .2 .3 .4 .5 .6 .1 .2 .3 .4 .5 .6
3 Planning 4 Realization E
PE
B Serial Production
.1 .2 .3 .4 .5 .6 .7 .8 .9
5 Suppliers / Input material
E
Z
6 Production ( Evaluation per process step)
6.1 Personnel/Qualification 6.2 Production material / Equipment 6.3 Transport/Parts handling 6.4 Fault analysis / Corrections / CIP
.1 .2 .3 .4 .5 .1 .2 .3 .4 .5 .6 .7 .1 .2 .3 .4 .5 .1 .2 .3 .4 .5 .6
Process step 1
E
1
Process step 2
E
2
Process step 3
E
3
Process step 4
E
4
Process step 5
E
5
Process step 6
E
6
Process step 7
E
7
Process step 8
E
8
Process step 9
E
9
Process step 10
E
10
Assessment of the sub-elements with quality system reference Element B6 (Mean value Steps 1-n)
E
U1
(%) E
U2
(%) E
U3
(%) E
U4
(%) E
PG
.1 .2 .3 .4 .5
7 Customer services / satisfaction
E
K
Degree of conformity E
PG
according to product groups Element B6 (%) (Mean value E
1
E
n
)
E
PG
(%)
Overall degree of conformity E
P
:
Comment: Question is not applicable: entry na
Audited process
Product Development Process / Serial Production
VDA 6, Part 3 - Process audit: Summary of the Evaluated Questions
Report No. Date Auditor
100.0
Product groups
Process step
Audited unit
elements evaluated of . No
E E E E E
E
K PG Z PE DE
P
+ + + +
=
Summary of questions page 10 of 12
A Product development process
Evaluation elements
Product development (Design)
E
DE 100
Process development
E
PE
B Serial production
Evaluation elements
Suppliers / Input material
E
Z
Customer services / satisfaction
E
K
E
1
E
2
E
3
E
4
E
5
E
6
E
7
E
8
E
9
E
10
Degree of conformity (Mean value E
1
-E
n
)
E
PG
Evaluation of the sub-elements with quality system reference (Mean value Process steps 1-n)
Sub-elements
Personnel / Qualification
E
U1
Production material / equipment
E
U2
Transport / parts handling / Storage
E
U3
Fault analysis, corrections, CIP
E
U4
Conformity
%
Conformity
%
Product Development Process / Serial Production
VDA 6, Part 3 - Process audit: Summary of the results
Report No.:
Conformity
%
Audited unit:
Date: Auditor:
Audited process:
0 20 40 60 80 100
0 20 40 60 80 100
0 20 40 60 80 100
Summary of results page 11 of 12
Comments
A process problem which may potentially lead to a
product nonconformance and which is not accepted
by the majority of all internal/ external customers.
Examples: apparent optical defect, rework at internal
customer. A claim is also to be expected from
customers with a critical attitude
Unsatisfactory compliance with
requirements, major nonconformities
8
6
4
Evaluation of compliance with
individual requirements
A process problem which may potentially lead to a
product nonconformance and which will surely be
claimed by all internal/ external customers. Examples:
safety risk, missing work steps, damages causing
functional disturbances. Rework at internal customer.
Points
No comments
Deviation from target but without effect on function. A
process problem which may potentially lead to a
product nonconformance but which is hardly claimed
by the internal/ external customer.
0
Full compliance with requirements
Predominant compliance with
requirements, minor nonconformities
Partial compliance with requirements;
more severe nonconformities
No compliance with requirements
10