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PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: document.xls
Traceability Audit to SuppliersSQE / SD- Check-list
Supplier: Information to trace: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:
Traceability requirements RemarksAccepable Not Acceptable
Result
Action plan required until:
Second audit required? Yes No
Date / Signature (Benteler) Date / Signature (Supplier)
Description / What to be checked ?
Evaluation (Entry with x)
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?
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 supplier’s 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.
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:
Remark: if the traceability can not be assured, then a detailed report must be written.
Was detected a risk with this lot or batch dimension?
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
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.
First page - page 3 of 14
VDA 6, Part 3 Process AuditOverall Evaluation
Report no.:
Audited company/unit
Auditing company / unit
Auditors
Audited process / product / service
Audit Date
Reason for the audit
Degree of conformity
New audit necessary Yes No
Distributor
Sign and Date audited unit Sign and Date auditor
Remarks to the evaluation:
Remarks to effectiveness check in related preaudit:
Completion of action plan / responsibility / Scheduled date
Questionnaire page 4 of 14
VDA 6.3 Process AuditQuestionnaire
Audited Company:Report no.: Auditor(s): Date:
No. Question Value Notice1 Product Development Planning1.1
1.2
1.3
1.4
1.5
1.6
2 Product Development (Design)2.1
2.2
2.3
2.4
2.5
3 Process Development Planning3.1 Are the product requirements available?
3.2
3.3
3.4
3.5
3.6 Is the process FMEA raised and are improvement measures established?
4 Realizing Process Development4.1
4.2
4.3
4.4
4.5
4.6
Are the customer requirements available?
Is a product development plan available and are the targets maintained?
Are the resources for the realization of the product development planned?
Have the product requirements been determined und considered?
Has the feasibility been determined based on the available requirements?
Are the necessary personnel and technical conditions for the project process planned/available?
Is the design FMEA raised and are improvement measures established?
Is the design FMEA updated in the project process and are the established measures realized?
Is a quality plan prepared?
Are the required releases/qualification records at the respective times?
Are the required resources available?
Is a process development plan available and are the targets maintained?
Are the resources for the realization of serial production planned?
Have the process requirements been determined and considered?
Are the necessary personnel and technical preconditions for the project process planned/available?
Is the process FMEA updated when amendments are made during the project and are the established measures implemented?
Is a quality plan prepared?
Are the required releases / qualification records available at the respective times?
Is a pre-production carried out under serial conditions for the serial release?
Are the production and Inspection documents available and complete?
Are the required resources available?
Questionnaire page 5 of 14
Audited Company:Report no.: Auditor(s): Date:
No. Question Value Notice
B Serial Production5 Suppliers/ Input Material5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
6 ProductionProcess step 1Process step 2Process step 3Process step 4Process step 5
6.1 Personnel / Qualification 1 2 3 4 56.1.1
6.1.2
6.1.3
6.1.4
6.1.5
6.2 Production Material/ Equipment6.2.1
6.2.2
6.2.3
6.2.4
6.2.5
6.2.6
6.2.7
Are only approved quality capable suppliers used?
Is the agreed quality of the purchase parts guaranteed?
Is the quality performance evaluated and are corrective actions introduced when there are deviations from the requirements?
Are target agreements for continual improvement of products and process made and implemented with the suppliers?
Are the required releases for the supplied serial products available and the required improvement measures implemented?
Are the procedures agreed with the customer, regarding customer-supplied products, maintained?
Are the stock levels of input material matched to production needs?
Are input material/internal residues delivered and stored according to their purpose?
Is the personnel qualified for the respective tasks?
Are the employees given responsibility and monitoring the product/process quality?
Are the employees given responsibility and authority for production equipment and environment?
Are the employees suitable to perform the required tasks and is their qualification maintained?
Is there a personnel plan with a replacement ruling?
Are instruments to increase employee motivation effectively implemented?
Are the product-specific quality requirements fulfilled with the production equipment/tools?
Can the quality requirements be monitored effective during serial production with the implemented inspection, measuring and test equipment?
Are the work and inspection stations appropriate to the needs?
Are the relevant details in the production and inspection documents complete and maintained?
Are the necessary auxiliary means available for adjustments?
Is an approval for production starts issued and are adjustment details, as well as deviations recorded?
Are the required corrective actions carried out on schedule and checked for effectiveness?
Questionnaire page 6 of 14
Audited Company:Report no.: Auditor(s): Date:
No. Question Value Notice
6.3 Transport/ Parts Handling/ Storage/Packaging6.3.1
6.3.2
6.3.3
6.3.4
6.3.5
6.4 Fault analysis/Correction/ Continual Improvement6.4.1
6.4.2
6.4.3
6.4.4
6.4.5
6.4.6
6 ProductionProcess step 6Process step 7Process step 8Process step 9Process step 10
6.1 Personnel/ Qualification 6 7 8 9 106.1.1
6.1.2
6.1.3
6.1.4
6.1.5
6.2 Production Material/ Equipment6.2.1
6.2.2
6.2.3
6.2.4
6.2.5
6.2.6
6.2.7
Are the quantities/ Production lot size matched to the requirements and are they purposefully forwarded to the next work station?
Are products/components appropriately stored and are the transport means/packaging equipment tuned to the special properties of the product/ components?
Are rejects, rework and adjustment parts, as well as internal residues strictly separated and identified?
Is the material and parts flow secured against mix ups/ exchanges by mistake and traceability guaranteed?
Are tools, equipment and inspection, measuring and test equipment stored correctly?
Are quality and process data recorded complete and ready to be evaluated?
Are the quality und process data statistically analysed and are improvement program derived from this?
Are the causes of product and process nonconformities analysed and the corrective actions checked for their effectiveness?
Are processes and products regularly audited?
Are product and process subject to continual improvement?
Are target parameters available for product und process and is their compliance monitored?
Are the employees given responsibility and monitoring the product/process quality?
Are the employees given responsibility and authority for production equipment and environment?
Are the employees suitable to perform the required tasks and is their qualification maintained?
Is there a personnel plan with a replacement ruling?
Are instruments to increase employee motivation effectively implemented?
Are the product-specific quality requirements fulfilled with tile production equipment/tools?
Can the quality requirements be monitored effective during serial production with the implemented inspection, measuring and test equipment?
Are the work and inspection stations appropriate to the needs?
Are the relevant details in the production and inspection documents complete and maintained?
Are the necessary auxiliary means available for adjustments?
Is an approval for production starts issued and are adjustment details, as well as deviations recorded?
Are the required corrective actions carried out on schedule and checked for effectiveness?
Questionnaire page 7 of 14
Audited Company:Report no.: Auditor(s): Date:
No. Question Value Notice
6.3 Transport/ Parts Handling/ Storage/Packaging6.3.1
6.3.2
6.3.3
6.3.4
6.3.5
6.4 Fault analysis/Correction/ Continual Improvement6.4.1
6.4.2
6.4.3
6.4.4
6.4.5
6.4.6
7 Customer Service, Customer Satisfaction, Service7.1
7.2
7.3
7.4
7.5
Are the quantities/ Production lot size matched to the requirements and are they purposefully forwarded to the next work station?
Are products/components appropriately stored and are the transport means/packaging equipment tuned to the special properties of the product/ components?
Are rejects, rework and adjustment parts, as well as internal residues strictly separated and identified?
Is the material and parts flow secured against mix ups/ exchanges by mistake and traceability guaranteed?
Are tools, equipment and inspection, measuring and test equipment stored correctly?
Are quality and process data recorded complete and ready to be evaluated?
Are the quality und process data statistically analysed and are improvement program derived from this?
Are the causes of product and process nonconformities analysed and the corrective actions checked for their effectiveness?
Are processes and products regularly audited?
Are product and process subject to continual improvement?
Are target parameters available for product und process and is their compliance monitored?
Are Customer Requirements Fulfilled at Delivery?
Is Customer Service guaranteed?
Are fault analyses carried out when there are deviations from the quality requirements and are improvement measures implemented?
Are fault analysis carried out when there are deviations from the quality requirements and are improvement measures implemented?
Is the personnel qualified für each task?
0 prepared by /erstellt von: date / Datum:
0 revised by / geändert durch: date / Datum:
action plan No. / Maßnahmenplan Nr.: 0
progress / status
Notice / Feststellung Class / Bew. e-mail 25%
50%
75%
100%
1.1 no findings - no actions necessary1.2 no findings - no actions necessary1.3 no findings - no actions necessary1.4 no findings - no actions necessary1.5 no findings - no actions necessary1.6 no findings - no actions necessary2.1 no findings - no actions necessary2.2 no findings - no actions necessary2.3 no findings - no actions necessary2.4 no findings - no actions necessary2.5 no findings - no actions necessary3.1 no findings - no actions necessary3.2 no findings - no actions necessary3.3 no findings - no actions necessary3.4 no findings - no actions necessary3.5 no findings - no actions necessary3.6 no findings - no actions necessary4.1 no findings - no actions necessary4.2 no findings - no actions necessary4.3 no findings - no actions necessary4.4 no findings - no actions necessary4.5 no findings - no actions necessary4.6 no findings - no actions necessary5.1 no findings - no actions necessary5.2 no findings - no actions necessary5.3 no findings - no actions necessary5.4 no findings - no actions necessary5.5 no findings - no actions necessary5.6 no findings - no actions necessary5.7 no findings - no actions necessary5.8 no findings - no actions necessary5.9 no findings - no actions necessary6.1.1 no findings - no actions necessary6.1.2 no findings - no actions necessary6.1.3 no findings - no actions necessary6.1.4 no findings - no actions necessary6.1.5 no findings - no actions necessary6.2.1 no findings - no actions necessary6.2.2 no findings - no actions necessary6.2.3 no findings - no actions necessary6.2.4 no findings - no actions necessary6.2.5 no findings - no actions necessary6.2.6 no findings - no actions necessary6.2.7 no findings - no actions necessary6.3.1 no findings - no actions necessary6.3.2 no findings - no actions necessary6.3.3 no findings - no actions necessary6.3.4 no findings - no actions necessary6.3.5 no findings - no actions necessary6.4.1 no findings - no actions necessary6.4.2 no findings - no actions necessary6.4.3 no findings - no actions necessary6.4.4 no findings - no actions necessary6.4.5 no findings - no actions necessary6.4.6 no findings - no actions necessary6.1.1 no findings - no actions necessary6.1.2 no findings - no actions necessary6.1.3 no findings - no actions necessary6.1.4 no findings - no actions necessary6.1.5 no findings - no actions necessary
VDA 6.3 Process auditActionplan / MaßnahmenplanAuditierter
BereichAuditierter Prozess
Section and ElementNo. / Nr.
Corrective and preventive Actions /Korrektur- und Vorbeugemaßnahmen
Resposibility / Verantwortung
(Name)target date /
Terminactual completion
date
6.2.1 no findings - no actions necessary6.2.2 no findings - no actions necessary6.2.3 no findings - no actions necessary6.2.4 no findings - no actions necessary6.2.5 no findings - no actions necessary6.2.6 no findings - no actions necessary6.2.7 no findings - no actions necessary6.3.1 no findings - no actions necessary6.3.2 no findings - no actions necessary6.3.3 no findings - no actions necessary6.3.4 no findings - no actions necessary6.3.5 no findings - no actions necessary6.4.1 no findings - no actions necessary6.4.2 no findings - no actions necessary6.4.3 no findings - no actions necessary6.4.4 no findings - no actions necessary6.4.5 no findings - no actions necessary6.4.6 no findings - no actions necessary7.1 no findings - no actions necessary7.2 no findings - no actions necessary7.3 no findings - no actions necessary7.4 no findings - no actions necessary7.5 no findings - no actions necessary
comment / Bemerkung
Summary of questions page 12 of 14
VDA 6, Part 3 - Process audit: Summary of the Evaluated QuestionsProduct Development Process / Serial Production
Audited unit Audited processReport No. Date Auditor
A Product development processa) Product development (Design)
.1 .2 .3 .4 .5 .6 .1 .2 .3 .4 .51 Planning 2 Realization
b) Process development.1 .2 .3 .4 .5 .6 .1 .2 .3 .4 .5 .6
3 Planning 4 Realization
B Serial Production.1 .2 .3 .4 .5 .6 .7 .8 .9
5 Suppliers / Input material
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
Process step 2
Process step 3
Process step 4
Process step 5
Process step 6
Process step 7
Process step 8
Process step 9
Process step 10
Assessment of the sub-elements with quality system reference Element B6 (Mean value Steps 1-n)
.1 .2 .3 .4 .5
7 Customer services / satisfaction
Product groups
Process step
Comment: Question is not applicable: entry na
EDE
EPE
EZ
E1
E2
E3
E4
E5
E6
E7
E8
E9
E10
EU1 (%) EU2(%) EU3(%) EU4(%) EPG
EK
Degree of conformity EPG according to product groups Element B6 (%) (Mean value E1 – En)
EPG (%)
Overall degree of conformity EP: EP=EDE+EPE+EZ+EPG+EKNo . of evaluated elements
Summary of results page 13 of 14
VDA 6, Part 3 - Process audit: Summary of the resultsProduct Development Process / Serial Production
Audited unit: Audited process:
Report No.: Date: Auditor:
A Product development process
Evaluation elementsProduct development (Design)Process development
B Serial production
Evaluation elementsSuppliers / Input materialCustomer services / satisfaction
Evaluation of the sub-elements with quality system reference (Mean value Process steps 1-n)
Sub-elementsPersonnel / QualificationProduction material / equipmentTransport / parts handling / StorageFault analysis, corrections, CIP
Conformity %
EDE
EPE
Conformity %
EZ
EK
E1
E2
E3
E4
E5
E6
E7
E8
E9
E10
Degree of conformity (Mean value E1-En) EPG
Conformity %
EU1
EU2
EU3
EU4
0 10 20 30 40 50 60 70 80 90 100
0 10 20 30 40 50 60 70 80 90 100
0 10 20 30 40 50 60 70 80 90 100
Points Comments
10 Full compliance with requirements No comments8
6
4
0 No compliance with requirements
Evaluation of compliance with individual requirements
Predominant compliance with requirements, minor nonconformities
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.
Partial compliance with requirements; more severe nonconformities
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
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.
