Traceability Audit to Suppliers

SQE / SD- Check-list

Supplier: Information to tr
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:

Description / Evaluation (Entry with x)

Traceability requirements What to be checked ?
Accepable Not Acceptable
1. The Supplier is responsible for the traceability Defined accuracy of containment: marking of single parts
and proper marking of the product during all (serial traceability) or batch traceability on container
phases of production and delivery. base, per shift, week, day etc.

The traceability must be assured for all Are the materials and products identified (labels,
components. datecode etc.) and is the status clearly visible (blocked,
rework, released etc.)?
Does exist a flow diagram showing the traceability
flow?

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 552832344.xlsx

2. The supplier shall ensure full traceability of Is the traceability ensured according to the traceability
items supplied by him through the implementation reference number after?. Is it ensured also after
of appropriate technical and organisational repacking procedures?
measures. For example documentation of:
-traceability reference number
The possibility of establishing the origin of -quantity per packaging unit
primary material and the supplier’s production -material No.
data at any time must be guaranteed. -material descrip

The supplier shall guarantee traceability of all

delivery note numbers stated (identity code, ...)
for all individual stages within the production
phases.

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 Is the information stored according to legal requirements,
product (ODETTE) and check the traceability at customer requirements and internal procedures? How is
supplier's facility tracking the product flow until the information stored?. Is the storage-place protected
raw material including the traceability of against fire?
parameters
3. Is it ensured the traceability of critical Supplier's means of storage information regarding
parameters through all the phases of the parameters, for example: electronic files (hard disc),
productive process? 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 Benteler's identification submitted to the supplier . How
by Benteler are to be machined or processed, the the identification of the parts / material match with
supplier must guarantee that his products can be Benteler's identifications after processing.
traced back to the specific delivery note / batch or
serial numbers submitted by Benteler.

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 552832344.xlsx

5. Is it guarranteed the traceability for reworked How the components return to the normal flow, which
components or parts going out of the normal controls are implemented and how these components or
process flow? 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 To check the supplier's procedure about the
out for additional process (e.g. subcontrated management of product going out for additional
processes like washing, coating, paintig, plating) 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 Clear identification of each packaging unit including the
Benteler regional specification? 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 Result

order to assure traceability under the same
identification:

Was detected a risk with this lot or batch Action plan required until:
dimension?
Second audit required? Yes No

Date / Signature (Benteler)

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 552832344.xlsx

Information to trace:

Remarks

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 552832344.xlsx

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 552832344.xlsx
Remark: if the traceability can not be
assured, then a detailed report must be
written.

Date / Signature (Supplier)

PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 552832344.xlsx

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
 VDA 6, Part 3 Process Audit
Overall Evaluation
Report no.:

Audited company/unit

Auditing company / unit

Auditors

Audited process / product / service

Audit Date

Reason for the audit

Degree of conformity

Remarks to the evaluation:

Remarks to effectiveness check in

related preaudit:

First page - page 8 of

Completion of action plan /
responsibility / Scheduled date
New audit necessary Yes No

Distributor

Sign and Date audited unit Sign and Date auditor

First page - page 9 of

 VDA 6.3 Process Audit
Questionnaire
Audited Company:
Report no.:
Auditor(s):
Date:

No. Question
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)

Questionnaire page 10 of
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?

Questionnaire page 11 of
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?

B Serial Production
5 Suppliers/ Input Material

Questionnaire page 12 of
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

Questionnaire page 13 of
 Process step 3
Process step 4
Process step 5
6.1 Personnel / Qualification
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?

Questionnaire page 14 of
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?

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

Questionnaire page 15 of
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
6.1.1 Are the employees given responsibility and monitoring the product/process quality?

Questionnaire page 16 of
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?

Questionnaire page 17 of
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?

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?

Questionnaire page 18 of
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 für each task?

Questionnaire page 19 of
Value Notice

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6 7 8 9 10

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Auditierter Bereich 0

Auditierter Prozess 0

Section and Element

Notice / Feststellung Class / Bew.
No. / Nr.

1.1 no findings -
1.2 no findings -
1.3 no findings -
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1.6 no findings -
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6.4.1 no findings -
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6.1.1 no findings -
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6.1.4 no findings -
6.1.5 no findings -
6.2.1 no findings -
6.2.2 no findings -
6.2.3 no findings -
6.2.4 no findings -
6.2.5 no findings -
6.2.6 no findings -
6.2.7 no findings -
6.3.1 no findings -
6.3.2 no findings -
6.3.3 no findings -
6.3.4 no findings -
6.3.5 no findings -
6.4.1 no findings -
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6.4.3 no findings -
6.4.4 no findings -
6.4.5 no findings -
6.4.6 no findings -
7.1 no findings -
7.2 no findings -
7.3 no findings -
7.4 no findings -
7.5 no findings -
 VDA 6.3 Process audit
Actionplan / Maßnahmenplan
prepared by /erstellt von:

revised by / geändert durch:

action plan No. / Maßnahmenplan Nr.: 0

Resposibility /
Corrective and preventive Actions / target date /
Verantwortung e-mail
Korrektur- und Vorbeugemaßnahmen Termin
(Name)
no actions necessary
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 date / Datum:

date / Datum:

progress / status

100%
actual completion
25%

50%

75%
comment / Bemerkung
date
VDA 6, Part 3 - Process audit: Summary of the Evaluated Questions
Product Development Process / Serial Production
Audited unit Audited process
Report No. Date Auditor

A Product development process

a) Product development (Design)
.1 .2 .3 .4 .5 .6 .1 .2 .3 .4 .5
1 Planning 2 Realization EDE
b) Process development
.1 .2 .3 .4 .5 .6 .1 .2 .3 .4 .5 .6
3 Planning 4 Realization EPE

B Serial Production
.1 .2 .3 .4 .5 .6 .7 .8 .9
5 Suppliers / Input material EZ

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
E1
Process step 2
E2
Process step 3
E3
Process step 4
E4
Process step 5
E5
Process step 6
E6
Process step 7
E7
Process step 8
E8
Process step 9
E9

Summary of questions page 39 of

Process step 10
E10

Assessment of the sub-elements with quality system reference Element B6 (Mean value Steps 1-n)

EU1 (%) EU2(%) EU3(%) EU4(%) EPG

.1 .2 .3 .4 .5

7 Customer services / satisfaction EK

Degree of conformity EPG according to product groups Element B6 (%) (Mean value E1 – En)
Product groups EP
Process step
G
EPG (%)

Overall degree of conformity EP:

Comment: Question is not applicable: entry na

Summary of questions page 40 of

 VDA 6, Part 3 - Process audit: Summary of the results
Product Development Process / Serial Production

Audited unit: Audited process:

Report No.: Date: Auditor:

A Product development process

Conformity
Evaluation elements %
Product development (Design) EDE

Process development EPE

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

B Serial production
Conformity
Evaluation elements %
Suppliers / Input material EZ

Customer services / satisfaction EK

E1

E2

E3

E4

E5

E6

E7

E8

E9

E10

Degree of conformity (Mean value E 1-En) EPG

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

Summary of results page 41 of

Evaluation of the sub-elements with quality system reference (Mean value Process steps 1-n)

Conformity
Sub-elements %
Personnel / Qualification EU1

Production material / equipment EU2

Transport / parts handling / Storage EU3

Fault analysis, corrections, CIP EU4

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

Summary of results page 42 of

 Evaluation of compliance with
Points Comments
individual requirements
10 Full compliance with requirements No comments
8 Predominant compliance with Deviation from target but without effect on function. A
requirements, minor nonconformities process problem which may potentially lead to a
product nonconformance but which is hardly claimed
by the internal/ external customer.

6 Partial compliance with requirements; A process problem which may potentially lead to a
more severe nonconformities product nonconformance and which is not accepted by
the majority of all internal/ external customers.
Examples: apparent optical defect, rework at internal
4 Unsatisfactory compliance with customer. A claim is also to be expected from
requirements, major nonconformities customers with a critical attitude

0 No compliance with 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.