Traceability Audit to Suppliers
SQE / SD- Check-list
Supplier:
Supplier SAP-Number:
Supplier DUNS-Number:
Supplier's Plant Location:
Participants from Supplier:
Benteler's SQE / SD or Auditor:
Date:
Traceability requirements
1. The Supplier is responsible for the traceability Defined accuracy of containment: marking of single parts
and proper marking of the product during all
phases of production and delivery.
The traceability must be assured for all
components.
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.
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
3. Is it ensured the traceability of critical
parameters through all the phases of the
productive process?
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.
5. Is it guarranteed the traceability for reworked
components or parts going out of the normal
process flow?
6. Is it guarranteed the traceability for parts going To check the supplier's procedure about the
out for additional process (e.g. subcontrated
processes like washing, coating, paintig, plating) processes. The material flow chart could help to identify
7. Does the supplier use labels according to the
Benteler regional specification?
Lot or batch dimension used by the supplier in
order to assure traceability under the same
identification:
Was detected a risk with this lot or batch
dimension?
Date / Signature (Benteler)
PU_38_Supplier-Traceability Check-List.xlt / 5660 / June 2009 / File: 380590938.xls
Information to trace:
Part number:
Expedition date:
Bar code serial nr.
Delivery note:
Production date:
Batch-number:
Description / Evaluation (Entry with x)
What to be checked ? Remarks
Accepable Not Acceptable
(serial traceability) or batch traceability on container
base, per shift, week, day etc.
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.)
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?
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
Benteler's identification submitted to the supplier . How
the identification of the parts / material match with
Benteler's identifications after processing.
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.
management of product going out for additional
the places where the material goes out and return to the
intern process flow.
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.
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 (Supplier)
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:

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 3 of 14

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

No. Question Value 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?

Questionnaire page 4 of 14
Audited Company:
Report no.:
Auditor(s):
Date:

No. Question Value Notice

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 14
Audited Company:
Report no.:
Auditor(s):
Date:

No. Question Value Notice

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 14
Audited Company:
Report no.:
Auditor(s):
Date:

No. Question Value Notice

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 für each task?

Questionnaire page 7 of 14
 VDA 6.3 Process audit
Auditierter
Actionplan / Maßnahmenplan
0 prepared by /erstellt von: date / Datum:
Bereich
Auditierter
0 revised by / geändert durch: date / Datum:
Prozess
action plan No. / Maßnahmenplan Nr.: 0
progress / status

Resposibility /

100%
Section and Element Corrective and preventive Actions / target date / actual completion

25%

50%

75%
Notice / Feststellung Class / Bew. Verantwortung e-mail
No. / Nr. Korrektur- und Vorbeugemaßnahmen Termin date
(Name)
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
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
comment / Bemerkung
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
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 E 1 – En)
Product groups
Process step

EPG (%)

E DE + E PE+ EZ +E PG +E K
Overall degree of conformity EP: E P=
No . of evaluated elements
Comment: Question is not applicable: entry na

Summary of questions page 12 of 14

 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
0 10 20 30 40 50 60 70 80 90 100
Evaluation elements %
Product development (Design) EDE

Process development EPE

B Serial production
Conformity
Evaluation elements % 0 10 20 30 40 50 60 70 80 90 100

Suppliers / Input material EZ

Customer services / satisfaction EK

E1

E2

E3

E4

E5

E6

E7

E8

E9

E10

Degree of conformity (Mean value E1-En) EPG

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

Conformity
Sub-elements % 0 10 20 30 40 50 60 70 80 90 100

Personnel / Qualification EU1

Production material / equipment EU2

Transport / parts handling / Storage EU3

Fault analysis, corrections, CIP EU4

Summary of results page 13 of 14

 Evaluation of compliance with
Points
individual requirements
10 Full compliance with requirements
8 Predominant compliance with
requirements, minor nonconformities
Comments
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.

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.