Autoliv Standard

Product Traceability – AS004

AUTOLIV STANDARD

Product Traceability

AS004

Distribution to: responsible persons as per Distribution List AS0-02: 16-Dec-2019

Author: Jesse Crookston Approved by: Svante Mogefors

Anders Fallenius

Version: 4.4 Release date: 16-Mar-2021 Pages: 12

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Product Traceability – AS004

Table of Contents
AS004

INTRODUCTION ...................................................................................................................................................... 3
1 PURPOSE ....................................................................................................................................................... 3
2 SCOPE ............................................................................................................................................................ 3
3 RESPONSIBILITIES ....................................................................................................................................... 3
4 DEFINITIONS .................................................................................................................................................. 4
5 PROCEDURE.................................................................................................................................................. 5
5.1 TRACEABILITY SYSTEM REQUIREMENTS ..................................................................................................... 5
5.2 TRACEABILITY CLASSIFICATION LEVELS...................................................................................................... 6
5.3 LOT SIZE DETERMINATION FOR LEVEL 2 PRODUCTS ................................................................................... 7
5.4 PRODUCT MARKING/LABELLING REQUIREMENTS ........................................................................................ 7
5.5 TRACEABILITY DATA COLLECTION AND STORAGE/RETENTION REQUIREMENTS ............................................. 8
5.6 TRACEABILITY DATA RETRIEVAL/RECONCILIATION REQUIREMENTS .............................................................. 9
6 BEST PRACTICES ....................................................................................................................................... 10
6.1 RFID TAGS ............................................................................................................................................ 10
7 REFERENCES .............................................................................................................................................. 10
8 APPENDICES ............................................................................................................................................... 11
8.1 AS004 APPENDIX 1 – TRACEABILITY FLOW CHARTS: ................................................................................ 11
8.1.1 AS004 Appendix 1a – Traceability Flow Chart (Internal Example) .................................................. 11
8.1.2 AS004 Appendix 1b – Traceability Flow Chart (Supplier Example) ................................................. 11
8.2 AS004 APPENDIX 2 – TRACEABILITY CLASSIFICATION LEVELS .................................................................. 11
8.3 AS004 APPENDIX 3 – TRACEABILITY DATA REQUIREMENTS CHART........................................................... 11
8.4 AS004 APPENDIX 4 – PRODUCT LINE TRACEABILITY DATA REQUIREMENTS: .............................................. 11
8.4.1 AS004 Appendix 4A – Traceability Data Requirements AB ............................................................. 11
8.4.2 AS004 Appendix 4B – Traceability Data Requirements PLI ............................................................ 11
8.4.3 AS004 Appendix 4C – Traceability Data Requirements PLW ......................................................... 11
8.4.4 AS004 Appendix 4D – Traceability Data Requirements PLT ........................................................... 11
8.4.5 AS004 Appendix 4F – Traceability Data Requirements PLS (not yet available) ............................. 11
8.5 AS004 APPENDIX 5 – FIRE DRILL PROTOCOL........................................................................................... 11
8.6 AS004 APPENDIX 6 – DATA ACCURACY ASSESSMENT PROTOCOL ............................................................ 11
8.7 AS004 APPENDIX 7 – PRODUCTION LOT SIZE WAIVER SHEET .................................................................. 11
9 MODIFICATION INDEX ................................................................................................................................ 12

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Product Traceability – AS004

Introduction
Autoliv’s mission is to save lives. Accordingly, traceability is a critical element in the
overall Autoliv Product Development System (APDS) and Autoliv Production System
(APS). In the event of a Quality concern, Autoliv’s reputation and future may be
damaged. Thus, our traceability data must be accurate, readily available, and
actionable. The best solution is for Autoliv and its suppliers to have comprehensive
traceability systems that cover the entire supply chain for all of our product families.

Each Autoliv plant shall perform precise containments quickly and accurately. The
speed and accuracy is critical to Autoliv and to our customers.

1 Purpose
The purpose of this standard is to define the minimum requirements of our traceability
systems to assure control of our receiving/manufacturing/shipping/containment
processes and the timely availability of data.

2 Scope
This standard defines the minimum requirements for Autoliv traceability, starting at our
suppliers, through our internal prototype, serial production and service (spares)
production processes, and continuing through the distribution of products to our
customers.

3 Responsibilities
• The Plant Quality Manager (PQM) for each local Autoliv facility (or Quality
responsible at Technical Centers) is responsible that this standard, including all
appendices, is understood and applied within their location.

• Other relevant functions such as IE/Process engineering, IT, Logistics as well as

Project/Production Quality must support the PQM in order to fulfil this standard.

• The Facility Manager is accountable to ensure that PQM have adequate

resources to fulfil this standard.

• Product Line Quality Director is responsible for definition and global alignment of
product line traceability requirements.

• Supplier Quality resources (CSQ, Project SQ) within their respective ownership
areas are responsible for ensuring that our suppliers are compliant with this
standard per the Autoliv Supplier Manual (ASM).

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• Technical Center Manager is responsible for assuring that full traceability is

maintained per this standard for all prototype materials, components, and
assemblies, after Tollgate 1 is completed in the Autoliv Product Development
System (ADPS).

• Product Line Management teams are responsible for determining the minimum
traceability levels for the materials, components, and assemblies that fall within
their product family. They are responsible to maintain the AS004 Appendix 2 &
AS004 Appendix 4 to this standard as their designs and as the production
processes evolve.

4 Definitions
Traceability system documents the genealogy of a final product’s raw materials,
components, and sub-assemblies.
Traceability system includes not only “what” the product contains, but also “where” it
was made, “who” made it, “how” it was made (process information), and “how many”
were made during the same time period.
Traceability system shall have linkages between and ready access to data stored in
line traceability systems, testing systems, maintenance systems, and ERP systems (&
MES) (including the receiving and shipping systems).
Reconciliation is an accounting process used to compare two sets of records to
ensure the figures are in agreement and are accurate. Within the scope of traceability,
reconciliation is confirmation that the recorded product quantities (lot numbers and
individual serial numbers) match with the physical quantities.
Raw material is defined as input material that is typically handled in bulk containers,
coils, rolls, long lengths, etc. Examples include thread, tubing, chemicals, paint, plastic
molding compound, and coils of steel.
Component is defined as discrete input material, such as housings, brackets,
fasteners, electronic components, and embedded software.
Sub-assembly is a combination of raw materials and/or components that stays within
a facility until it is further processed and becomes a finished product ready for
shipment to the next customer. Examples include circuit board assemblies, igniter cup
assemblies, anchor plate assemblies, and cover assemblies.
Finished goods are defined as a product shipped or ready to ship from the producing
facility. Examples are found in the charts that make up AS004 Appendix 2.
Lot is defined as a raw material, component, sub-assembly, and finished goods lots.
Each lot comprises of items that share essentially the same process stream (the same
production line, equipment, incoming materials/components, production date, and so
on). Lot has the same meaning as batch, with lot being the preferred term.

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5 Procedure
5.1 Traceability System Requirements
Autoliv’s traceability systems and our supplier’s systems shall have the following
minimum capabilities:

• Collect and store data from the manufacturing and prototype processes

• Retrieve data and reconcile (to the maximum extent possible) with other sources of
data, such as scrap, testing, shipping, and returns.

• “Top-Down” traceability searches –

• Input: Finish goods or sub assembly lot number, serial number or shipping
information.
• Output: Lot or serial numbers of raw materials and components used in the
finished product, regardless if the product is manufactured as a prototype,
serial production, or service (spare) part.

• “Bottom-Up” traceability searches –

• Input: Lot, serial number, or shipping information of a raw material or
component.
• Output: Assembly lot or serial numbers of the produced finished goods or
sub-assemblies, and information as to whether the items were tested,
scrapped, warehoused, shipped, or returned.

• Containment, via electronic and/or manual means, to protect down-stream

processes and customers from receiving suspect product.

• Serialized Level 1 final assemblies must be scanned prior to packing and the
traceability record for each finished assembly must include (or be connected to) the
finished good container number it was packed in.

• For Level 2 final assemblies there has to be a robust system connecting the
consumed component lot to the finished good packaging box number.

• Provide a robust system link between the manufacturing line traceability system,
testing, and shipping systems, to assure that only product ready to ship is released
to ship.

• There are 2 preferred line traceability systems in Autoliv to be used as the system
of choice whenever possible: ATRAQ & QCT (in some exceptions Man-IT). Any
change from other system must be replaced by one of those preferred systems.

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5.2 Traceability Classification Levels

There are three levels of traceability classification, in order of preference, as follows:

Level 1 is the individual serialization (serial number) for each product produced.
Supporting process information and component serial numbers or lot numbers are
connected to the assemblies’ serial number.

Level 2 is the lot numbering of a group of parts of raw material, component, or finished
product. Mixing of non-critical material or component lots is minimized, but allowed.
Where mixing occurs, the overlap between lots must be recorded in the traceability
records.

For selected critical Level 2 materials and components defined in AS004 Appendix 2,
the production line development objective is no mixing of lot numbers when introduced
into next level serialized sub-assemblies or final assemblies. If there is no alternative
than to have some mixing occur, it shall be recorded and the quantity impacted
defined and minimized.

Level 3 No traceability required, the product or material has no effect on safety

performance. Examples: Shipping boxes, plastic bags, blank bar code label stock, etc.

Apart from recording the component traceability information for each assembly, there
will be other scanning and process control functions performed by the line traceability
systems (Ref: AS004 Appendix 4).

Product Line Management will assign minimum traceability levels in the charts
attached to this standard in Appendix 2. These levels are to be assigned for each of
the generic descriptions of raw materials, components, sub-assemblies, and the final
assemblies found in each of the Autoliv product families.

Autoliv drawing title blocks and Autoliv material specifications will contain the minimum
traceability levels assigned as above. In case of a discrepancy between the applicable
AS004 Appendix 2 and the drawing, the more stringent requirement takes precedence.
If an Autoliv plant or supplier has a request to lower the traceability level on a specific
component, Product Line Management has the responsibility to eliminate
discrepancies by either causing revision to the drawing or to the chart in AS004
Appendix 2.

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5.3 Lot Size Determination for Level 2 Products

For both Autoliv and its suppliers (refer to Autoliv Supplier Manual, ASM), serial
production and prototype lot sizes shall not exceed 24 hours of production and shall
not exceed 20,000 parts or equivalent measure, such as weight, length, volume units,
etc., decided by Product Area SQ Director for external suppliers and by Product Line
Quality Director for internal suppliers.

For rolls of one-piece woven (OPW) products, the maximum lot size is defined as one
woven roll having a maximum total length of 850 meters. For rolls of woven fabric, the
maximum lot size is defined as a roll having a total length of 1000 meters. Any other
reasons for the waiver should be defined by checking the Other check box with an
explanation given.

Any deviation to this requirement must documented in a Production Lot Size Waiver
Sheet (AS004 Appendix 7) and be approved by Autoliv Supplier Quality for external
suppliers and by Product Line Quality Director for internal suppliers.

The desired condition, but not mandatory condition, is that the product lot number
changes with every change point when it occurs within the manufacturing work cell.

5.4 Product Marking/Labelling Requirements

Product marking/labelling should be visible without disassembly of the product, as
practical. The final product marking/labeling shall include Level 1 serial number or
Level 2 lot/batch number.

All packaging and transportation labels or RFID tags for raw materials, components,
sub-assemblies, and final products must meet the label format and data content
requirements defined in AS244 & MPS 135 or in the customer-defined labelling
requirements. All marking or labelling requirements and marking methods for
components with lot or serial number, part number, and other date/shift marks are
specified by the Autoliv drawing. The visible content, format and sequence (i.e syntax)
of the data in the Production Identification Label must be the same as the content,
format and sequence (syntax) in the scannable barcode. This is to ensure that
information scanned is the same as when the physical number on the label is manually
read.

Within Autoliv production lines, temporary in-process labels are acceptable for
assuring First In-First Out (FIFO) processing sequence and for confirming that the
correct and complete operation has occurred at every process. However, it is
mandatory that all of the in-process data gathered via in-process labels be connected
to the final assembly lot or serial number traceability records.

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5.5 Traceability Data Collection and Storage/Retention Requirements

Refer to Appendix 2, 3 & 4 (Traceability Data Requirements) for the minimum
traceability data to be collected by Autoliv and its suppliers.

Traceability data is to be scanned as close as possible to the value-adding operation

or the point & time of use, except where operator safety could be jeopardized. It is not
acceptable to scan Level 2 components only in the warehouse or supermarket. All
material shall be scanned, or by other technical means digitally recorded (e.g. RFID),
in to the assembly or consumption process using the mandatory 2D barcode (AS244)
for Level 2 containers (or boxes) or Level 1 serial numbers for individual parts. If no 2D
barcode is available, it is mandatory to scan, or by other means of recording, all
relevant information to identity the consumed part/material to a specific supplier lot and
supplier box or container number.

Scanning of traceability data or automatic uploads of data shall be used instead of

manual recording. An acceptable exception of scanning is when prototype parts are
manufactured for non-saleable vehicles. While records are ideally collected,
transferred and stored electronically - at a minimum the data of the paper work must
be recorded and kept digitally.

If abnormal conditions occur such that paper records are temporarily needed, the
paper records must be updated into the system such that the paper records are no
longer necessary for retention policy.

When the manufacturing line has product change over to a new build of materials, the
original traceability must be maintained for the component inventory removed from the
work cell. The original containers, labeled with the supplier lot and container number
information, should be used to assure that traceability is maintained, and that future
scanning of the material at the “point & time of use” is accurate. The use of unlabeled
in-process containers or storage locations is not acceptable. Level 2 lot numbers are
not to be mixed within a container.

There must be a link between the production traceability records and shipping records.

The Autoliv traceability system for each new product and associated work cells shall
be defined as part of the Phase 1 Line and Design Workshop, AS100 Autoliv Product
Development System (APDS). Use checklists to perform within AS100 & AS403 to
secure that Traceability for each line is setup according to AS004 including all
appendixes.

Supplier traceability systems must be defined and reviewed by Autoliv Supplier Quality
during the Supplier Advance Product Quality Planning (S-APQP) process and
validated before Production Part Approval Process (PPAP). Any changes to the
supplier traceability system are to be submitted and approved using the PPAP
process.

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When a decision for the storage of traceability data is made, consideration must be
taken to future technologies in both hardware and software. Autoliv’s backup
standards for information technology shall be followed.

Traceability data must be stored according to Autoliv standards (ref: AS303) for
retention of quality records.

The original traceability records must be maintained for any reworked and/or sorted
products or materials.

5.6 Traceability Data Retrieval/Reconciliation Requirements

Traceability data must be available in a user-friendly interface without stopping or
slowing of the production line or facility.

The facility’s traceability system must allow use of standard software for data analysis.

Traceability “fire drills” are mandatory once per year at each facility, including
Technical Centers, to test for adherence to the requirements of this Standard.
Scheduling of the Fire Drills are done at the beginning of the year in coordination with
VP Q & QD for each Division in coordination with Product Line QD.

Best practice, but not mandatory, is that these drills preferably involve more than one
Autoliv facility to confirm the links between our traceability systems and are scheduled
and managed by the Plant Quality Managers or Facility Managers for Technical
Centres. They must include top-down and bottom-up traceability searches (see
Appendix 5 for details), as well as reconciliation of pseudo-suspect product versus the
traceability system records. An executive summary of the results for the fire drills must
be shared in the Traceability Fire Drill database. The complete Fire drill report and
results needs to be shared and resolved within the facility and shared with Product
Line top management to assure corrective actions are promptly addressed.
Appendix 5, Fire Drills Protocol shall be used for this process.

To ensure traceability data is correct, use the traceability Data Accuracy Assessment
protocol in Appendix 6. Data Accuracy Assessments can be done separate from Fire
Drills.

Maximum times for the technical retrieval of routine traceability data from the Autoliv or
supplier plant traceability systems, including all sub-suppliers, are as follows:

Products produced within the last: Plant traceability data accessible

within (maximum time):
30 days 1 hour
12 months 8 hours
12 months and older 24 hours

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6 Best Practices
6.1 RFID Tags
Use of Radio Frequency Identification Device (RFID) tags for component or
subassembly container traceability.

7 References
AS007 Autoliv Standard Change Management
AS100 Autoliv Standard APDS
AS109 Autoliv Standard CAD Drawing and Model Standard
AS244 Autoliv Standard Package and Transport Label
AS303 Autoliv Standard Records and Information Management

MPS135 MPS Standard Finished Product Labelling

ASM Autoliv Supplier Manual www.autoliv.biz

Plant Traceability Systems – self assessment

MES Traceability Functional Requirements

Traceability Fire Drill database See LifeNET/Quality/databases

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8 Appendices
8.1 AS004 Appendix 1 – Traceability Flow Charts:

8.1.1 AS004 Appendix 1a – Traceability Flow Chart (Internal Example)

8.1.2 AS004 Appendix 1b – Traceability Flow Chart (Supplier Example)

8.2 AS004 Appendix 2 – Traceability Classification Levels

8.3 AS004 Appendix 3 – Traceability Data Requirements Chart

8.4 AS004 Appendix 4 – Product Line Traceability Data Requirements:

8.4.1 AS004 Appendix 4A – Traceability Data Requirements AB

8.4.2 AS004 Appendix 4B – Traceability Data Requirements PLI

8.4.3 AS004 Appendix 4C – Traceability Data Requirements PLW

8.4.4 AS004 Appendix 4D – Traceability Data Requirements PLT

8.4.5 AS004 Appendix 4F – Traceability Data Requirements PLS (not yet available)

8.5 AS004 Appendix 5 – Fire Drill Protocol

See the AS004 supporting tools:
Containment Summary Worksheet – see AS063 Appendix A1
5B Fire Drill Action Register
5C Fire Drill Top Down Example
5D Fire Drill Summary Sheet

(5A used to be the containment summary worksheet that now is part of AS063)

8.6 AS004 Appendix 6 – Data Accuracy Assessment Protocol

See the supporting tools:
6A Data Accuracy Assessment – Calculation Worksheet
6B Data Accuracy Assessment – Example Data Accuracy Assessment

8.7 AS004 Appendix 7 – Production Lot Size Waiver Sheet

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9 Modification Index
Version Date / Author Modification Purpose
#
1.0 19-Mar-2001 First version
2.0 8-May-2002
3.0 13-Dec-2012/ Rewritten standard Clarification and
D. Neidert enhancements of
requirements
4.0 8-Jul- Clarification of detailed handling on Traceability Clarification and
2016/Dave demands. enhancements of
Neidert, Updated handling of levels in Appendix 2. Adding requirements
Jesse Appendix 4, 5 & 6.
Crookston
4.1 12-Apr-2019/ • Clarification on Lot sizes for Suppliers. Clarification and
Anders • Updated demands for Fire Drills & reporting. enhancements of
Fallenius/Jess• Removal of ELE references. requirements
e Crookston • Revised AS004 Appendix 5 Fire Drill Protocol
• Revised AS004 Appendix 2 / SB Trace levels
• Added Appendix 5D Fire Drill Summary Sheet
15-Apr-2019 • Removed Appendix 4E (ELE).
4.2 23-Aug-2019 • Added Appendix 7 – Production Lot Size Document and
Mark Newton Waiver Sheet Approve lot sizes
/Bjorn Svard • Update of chapter 5.3 (paragraphs 1, 2, 3), that deviate from
word clarification chapter 5.5 (paragraph 3) AS004 standard
4.3 18-Dec-2019 • Added best practice for use of RFID tags. First sharing of a
• Added link to AS063 Containment checklist best practice for AS
applications.
4.4 16-Mar-2021 • Added Appendix 4F Traceability Data
M. Bäker Requirements PLS

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