SUPPLIER AUDIT REPORT

GENERAL INFORMATION:
SAP vendor No.:
Company Name:
Company Address:

Contact Person: Function:

No. of Employees:

Commodity(-ies):
Mfg. Process(-es):

QMS Certificate(-s): ISO 9001 Certificate No.: Valid till:

IATF 16949 Certificate No.: Valid till:
ISO 14001 Certificate No.: Valid till:
Other: Certificate No.: Valid till:
Certificate No.: Valid till:

Last Audit Result: Classification: Score: Audit Date:

AUDIT INFORMATION: Choose

audit type!

Audit Purpose: Initial audit new source existing source Audit Type: QMS & Process audit
Surveillance audit
Follow up audit
Other:

Audit Reason/ Criteria:

Audit Scope

Lead Auditor: Function:

Audit Team: Function:
Function:
Function:

Supplier's Rep.: Function:

Function:
Function:

AUDIT SUMMARY:
1
Categories: Score: 100% Audit Date:
1 General requirements n/a 80% Duration:
6 60%
2
2 Design and development of products and processes n/a
40%
3 Supplier management n/a 20%
4 Process analysis / Production n/a 0%
5 Product Safety Management n/a
6 Customer support / Customer satisfaction / Service n/a
Overall score: n/a 5 3

Err:520 Err:520
4
Evaluation & Assessment Matrix:
Result [%] Classification Description of the classification
score ≥ 85 A Quality-capable
70 ≤ score < 85 B Conditionally quality-capable
score < 70 C Not quality-capable

Strengths:

Opportunities:

AUDIT CONCLUSION:
### Err:520 Err:520
Team Decision: ✘ Approved ✘ Conditional Approval ✘ Not approved

Comments:

Auditor signature Date Supplier Signature Date

 AUDIT QUESTIONNAIRE Company:
Audit Date:
Note: Questions involving special risks are identified by an asterisk (*). In
such cases, deviations from requirements are classified more severely!

NO. QUESTION SCORE AUDIT FINDING(-S) CA

1. General requirements Score: n/a

1.1 * Are the customer requirements regarding Quality Management System ensured? n/a Enter explanation
1.2 Is there a system to track customer, applicable statutory and regulatory requirements? n/a Enter explanation
Are they communicated through the organization?
1.3 Does the organization comply with EHS requirements? Are they being reviewed n/a Enter explanation
regularly and maintained?
1.4 * Have the materials used for supplied product been declared to the customer? Are the n/a Enter explanation
reports available and submitted as requested?
1.5 Are there any program defined, driving Continuous Improvement? Is the performance n/a Enter explanation
measured and verified?
1.6 Has the financial risk been evaluated and financial stability secured? n/a Enter explanation
1.7 Are the various means of security assured inside the organization? n/a Enter explanation
1.8 * Are the labor and ethics policies and social responsibility ensured? Does it comply with n/a Enter explanation
customer Code of Conduct?

2. Design and development of products and processes Score: n/a

2.1 Is a project management established within the organization? Are tasks, n/a Enter explanation
responsibilities and authorities specified for the team leader and team members?
2.2 * Are the product and process requirements available? Has the manufacturing feasibility n/a Enter explanation
been assessed according to the product and process requirements?
2.3 Has the risk assessment (FMEA) been drawn up? Is it up-dated and are corrective n/a Enter explanation
actions laid down?
2.4 Are the resources required for the project implementation planned and available? n/a Enter explanation
2.5 Is there a project plan that meets customer requirements/ milestones? Has it been n/a Enter explanation
agreed with the customer and regularly reviewed?
2.6 Does project planning include activities for purchased products and services? Are they n/a Enter explanation
implemented and monitored for compliance?
2.7 * Is change management within the project ensured? Are the responsible personnel n/a Enter explanation
clearly defined and involved in change control?
2.8 Is there an escalation process established within the project management organization n/a Enter explanation
and is it implemented effectively?
2.9 * Are the necessary evidence and releases available for the various phases? Is the n/a Enter explanation
transfer of the project to mass production controlled in order to secure safe product
launch?

3. Supplier management Score: n/a

3.1 * Are only approved and quality-capable suppliers selected and used? Are the quality n/a Enter explanation
agreements available with suppliers?
3.2 Are the customer requirements taken into account in the supply chain? n/a Enter explanation
3.3 * Are the necessary releases available for the purchased products and services? n/a Enter explanation
3.4 * Is the quality of the purchased products and services ensured? Are the actions defined n/a Enter explanation
in case of deviation?
3.5 Are personnel qualified for the various tasks and are responsibilities defined? n/a Enter explanation

4. Process analysis / Production Score: n/a

4.1 Are incoming goods stored appropriately and are suspect/ block material separated n/a Enter explanation
and its status identified?
4.2 Are the necessary identifications/ records/ approvals available for the incoming n/a Enter explanation
materials?
4.3 * Are all the relevant details listed in the production and inspection documents are in n/a Enter explanation
accordance with production control plan? Are operations checked and data logged?
4.4 Can the product requirements be satisfied with the production facilities used? n/a Enter explanation
4.5 * Are significant characteristics controlled in production? n/a Enter explanation
4.6 Are setup parts, production scrap or rework parts are identified and kept separately? Is n/a Enter explanation
the flow of materials secured against mixing?
4.7 Are the operators able to carry out their allotted tasks and are their qualifications kept n/a Enter explanation
up-to-date?
4.8 Is there a personnel employment plan? n/a Enter explanation
4.9 Are the maintenance of production facilities/ machinery/ tools properly controlled? n/a Enter explanation
4.10 * Can the quality requirements be monitored effectively with the test, inspection and n/a Enter explanation
measurement equipment?
4.11 Are tools, equipment and test / inspection equipment stored correctly? n/a Enter explanation
4.12 Are target requirements set for product and process? n/a Enter explanation
4.13 * In the case of deviations from product and process requirements, are the causes n/a Enter explanation
analyzed and the corrective actions checked for effectiveness?
4.14 Are processes and products audited regularly? n/a Enter explanation
4.15 Are finish products packed and stored appropriately? Are the necessary records and n/a Enter explanation
releases available?
4.16 * Are changes to the product or process in serial production tracked and documented? n/a Enter explanation

5. Product Safety Management Score: n/a

5.1 * Does the organization/ plant has Product Safety Policy in place? Is there a product n/a Enter explanation
safety representative with defined responsibilities and authorities?
5.2 Is there training program for product safety? Does it cover customer effects and n/a Enter explanation
product liability?
5.3 Are product safety issues managed through the 8D process? n/a Enter explanation
5.4 Does the supplier use lessons learned based on product safety incidents and are these n/a Enter explanation
considered when developing new products and/or processes?
5.5 * Is there a procedure to review and validate customer drawing/ specification n/a Enter explanation
requirements related to product safety? Are the inputs cascaded down within supplier
base?
5.6 Are product safety characteristics identified in core documents, such as Process Flow n/a Enter explanation
Chart, PFMEA, Control Plan, Work Instructions, etc.? Is a special symbol used for
identification?
5.7 Is there a documented process to maintain all information related to traceability n/a Enter explanation
(material, machine, process and operator)?

6. Customer support / Customer satisfaction / Service Score: n/a

6.1 Are customer requirements regarding product and process fulfilled and is customer n/a Enter explanation
service guaranteed?
6.2 * Is the supply of parts ensured? Are possible risks identified and reaction plan n/a Enter explanation
introduced?
6.3 * In case of deviations from quality requirements, are failure/ defect analysis carried out n/a Enter explanation
and corrective actions implemented effectively?
6.4 Are personnel qualified for the various tasks and are responsibilities defined? n/a Enter explanation
 Company:
ASSESSMENT MATRIX Audit Date:

Level of
compliance [%]
1.1* 1.2 1.3 1.4* 1.5 1.6 1.7 1.8*
1 General requirements n/a n/a n/a n/a n/a n/a n/a n/a E1 n/a

2.1 2.2* 2.3 2.4 2.5 2.6 2.7* 2.8 2.9*

2 Design and development of products and processes n/a n/a n/a n/a n/a n/a n/a n/a n/a E2 n/a

3.1* 3.2 3.3* 3.4* 3.5

3 Supplier management n/a n/a n/a n/a n/a E3 n/a

4.1 4.2 4.3* 4.4 4.5* 4.6 4.7 4.8 4.9 4.10* 4.11 4.12 4.13* 4.14 4.15 4.16*
4 Process analysis / Production n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a E4 n/a

5.1* 5.2 5.3 5.4 5.5* 5.6 5.7

5 Product Safety Management n/a n/a n/a n/a n/a n/a n/a E5 n/a

6.1 6.2* 6.3* 6.4

6 Customer support / Customer satisfaction / Service n/a n/a n/a n/a E6 n/a

Overall compliance EG:

Classification:
Total points awarded for the relevant questions 0 Reasons for down-grading from "A" to "B" despite the achievement level: Decision
EG [%] n/a n/a At least one process element < 70% no
Total possible number of points for the relevant questions 0 At least one (*) question scored 4 points no
At least one question scored 0 points Err:520

Downgraded to:
### Reasons for down-grading to "C" despite the achievement level:
At least one process element < 60%
Decision
no
At least one (*) question scored 0 points no
At least 2/3 of questions must be answered for each evaluated process element and sub element Down grading rules must be applied to the classification results (A, B. C). This must be checked by the auditor!

level achieved 60% 70% 80% 90% 100%

[%]
Assessment elements
General requirements 1 n/a

Design and development of products 2 n/a

and processes
Supplier management 3
n/a

Process analysis / Production 4

n/a

Product Safety Management 5

n/a

Customer support / Customer 6

n/a
satisfaction / Service
 IMPROVEMENT PROGRAM/ Company:
ACTION PLAN Audit Date:

IMMEDIATE DUE ACTUAL EFFECTI-

ITEM NO. AUDIT FINDING(-S) SCORE ROOT CAUSE(-S) CORRECTIVE ACTION(-S) RESPONSIBLE
ACTION DATE DATE VENESS
 AUDIT QUESTIONNAIRE Company:
Audit Date:
Note: Questions involving special risks are identified by an asterisk (*). In
such cases, deviations from requirements are classified more severely!

NO. QUESTION SCORE AUDIT FINDING(-S) CA

Minimum questions to be answered: 5

P2 Project Management General Questions answered: 0 / 7
Score: n/a

2.1 Is a project management established with a project organization? n/a Enter explanation
2.2 Are all resources required for the project implementation planned and available and are n/a Enter explanation
changes reported?
2.3 Is there a project plan and has this been agreed with the customer? n/a Enter explanation
2.4 Is the advanced product quality planning implemented within the project and monitored n/a Enter explanation
for compliance?
2.5 * Are the procurement activities of the project implemented and monitored for n/a Enter explanation
compliance?
2.6 * Is change management within the project ensured by the project organization? n/a Enter explanation
2.7 Is there an escalation process established and is this effectively implemented? n/a Enter explanation

Process
Product
Minimum questions to be answered: 4 (product)
Questions answered: 0 / 5
P3 Planning the Product & Process Development Minimum questions to be answered: 4 (process)
Score: n/a
Questions answered: 0 / 5

3.1 Are the specific product and process requirements available? n/a n/a Enter explanation
3.2 * Is the feasibility comprehensively evaluated according to the product and process n/a n/a Enter explanation
requirements?*
3.3 Are the activities for the product and process development planned in detail? n/a n/a Enter explanation
3.4 Are the activities planned for customer care / customer satisfaction / customer service n/a n/a Enter explanation
and field failure analysis?
3.5 Have the necessary resources been taken into account for the product and process n/a n/a Enter explanation
development?

Process
Product
Minimum questions to be answered: 4 (product)
Questions answered: 0 / 6
P4 Implementation of the Product & Process Development Minimum questions to be answered: 6 (process)
Score: n/a
Questions answered: 0 / 8

4.1 * Are the actions from the product and process development plans implemented? n/a n/a Enter explanation
4.2 Are personnel resources available and are they qualified to ensure the start of the n/a n/a Enter explanation
serial production?
4.3 Are the material resources available and suitable to ensure the start of the serial n/a n/a Enter explanation
production?
4.4 * Are the required approvals and releases for the product and process development n/a n/a Enter explanation
available?
4.5 Are the manufacturing and inspection specifications derived from the product and n/a n/a Enter explanation
process development and are they implemented?
4.6 Is a performance test carried out under series conditions for the series release? n/a n/a Enter explanation
4.7 Are the processes established for securing customer care / customer satisfaction / n/a n/a Enter explanation
customer service as well as the field failure analysis?
4.8 * Is there a controlled method for the product handover from development to serial n/a n/a Enter explanation
production?

Minimum questions to be answered: 5

P5 Supplier Management General Questions answered: 0 / 7
Score: n/a

5.1 Are only approved and quality-capable suppliers used? n/a Enter explanation
5.2 Are customer requirements taken into account in the supply chain? n/a Enter explanation
5.3 Have target agreements for supplier performance been agreed upon and n/a Enter explanation
implemented?
5.4 * Are the necessary releases/approvals available for purchased products and services? n/a Enter explanation
5.5 * Is the agreed upon quality of the purchased products and services ensured? n/a Enter explanation
5.6 Are incoming goods delivered and stored appropriately? n/a Enter explanation
5.7 Are personnel qualified for their respective tasks and are responsibilities defined? n/a Enter explanation
Minimum questions to be answered for each step: 17
Process Questions answered PS1: 0 / 26
P6 Process Analysis / Production Questions answered PS2: 0 / 26
Score: n/a
steps
Questions answered PS3: 0 / 26

6.1 What goes into the process? (Process input)

0
6.1.1 Has the project been transferred from development to serial production and is a reliable n/a n/a n/a Enter explanation
start guaranteed?
6.1.2 Are the necessary quantities/production batch sizes of incoming materials available at n/a n/a n/a Enter explanation
the agreed upon time and at the correct storage location/work-station?
6.1.3 Are incoming materials stored appropriately and are the means of transport/packing n/a n/a n/a Enter explanation
facilities suitable for the special characteristics of the incoming materials?
6.1.4 Are the necessary identifications/records/releases available and allocated appropriately n/a n/a n/a Enter explanation
to the incoming materials?
6.1.5 * Are changes to the product or process in the course of serial production tracked and n/a n/a n/a Enter explanation
documented?

6.2 Are all production process controlled? (Process management)

0
6.2.1 Are the requirements of the control plan complete and have they been effectively n/a n/a n/a Enter explanation
implemented?
6.2.2 Does a repeat release for the restart of production take place? n/a n/a n/a Enter explanation
6.2.3 * Are special characteristics managed in the production? n/a n/a n/a Enter explanation
6.2.4 * Are non-approved and/or defective parts managed? n/a n/a n/a Enter explanation
6.2.5 Is the flow of materials and parts secured against mixing/wrong items? n/a n/a n/a Enter explanation

6.3 What functions support the process? (Personnel resources)

0

0
6.3.1 * Are the employees able to fulfil their given tasks? n/a n/a n/a Enter explanation
6.3.2 Do the employees know their responsibilities and authority in the monitoring of the n/a n/a n/a Enter explanation
product and process quality?
6.3.3 Are the necessary personnel resources available? n/a n/a n/a Enter explanation

6.4 What means are used to implement the process? (Material resources)
0

0
6.4.1 * Can the product-specific requirements from the customer be met with the n/a n/a n/a Enter explanation
manufacturing equipment?
6.4.2 Is the maintenance of the manufacturing equipment and tools controlled? n/a n/a n/a Enter explanation
6.4.3 * Can the quality requirements be effectively monitored with the measurement and test n/a n/a n/a Enter explanation
facilities in use?
6.4.4 Are the work and inspection stations appropriate for the needs? n/a n/a n/a Enter explanation
6.4.5 Are tools, equipment and test equipment stored properly? n/a n/a n/a Enter explanation
How effective is the process being carried out? (Effectiveness, efficiency, waste
6.5
avoidance)

0
6.5.1 Are there targets set for the manufacturing process? n/a n/a n/a Enter explanation
6.5.2 Is quality and process data collected in a way that allows analysis? n/a n/a n/a Enter explanation
6.5.3 * In the case of deviations from product and process requirements, are the causes n/a n/a n/a Enter explanation
analyzed and the corrective actions checked for effectiveness?
6.5.4 Are processes and products audited regularly? n/a n/a n/a Enter explanation

6.6 What should the process produce ? (Process result (output))

0
6.6.1 Do the quantities/production batch sizes match needs and are they systematically n/a n/a n/a Enter explanation
directed to the next process step?
6.6.2 Are products/components stored in an appropriate manner and are transport n/a n/a n/a Enter explanation
facilities/packing arrangements suitable for the special characteristics of the
products/components?
6.6.3 Are the necessary records/releases retained? n/a n/a n/a Enter explanation
6.6.4 * Are the customer requirements met at the delivery of the final product? n/a n/a n/a Enter explanation

Minimum questions to be answered: 4

P7 Customer Care / Customer Satisfaction / Service General Questions answered: 0 / 5
Score: n/a

7.1 Are all requirements related to QM System, product and process fulfilled? n/a Enter explanation
7.2 Is customer service guaranteed? n/a Enter explanation
7.3 * Is the supply of parts guaranteed? n/a Enter explanation
7.4 * If there are deviations from quality requirements or complaints, are failure analyses n/a Enter explanation
carried out and corrective actions implemented effectively?
7.5 Are personnel qualified for their respective tasks and are responsibilities defined? n/a Enter explanation
 Company:
ASSESSMENT MATRIX Audit Date:

A Development Level of
P2 Project Management compliance [%]
2.1 2.2 2.3 2.4 2.5* 2.6* 2.7
n/a n/a n/a n/a n/a n/a n/a EP2 n/a

P3 Planning the Product & Process Development

Product Process
3.1 3.2* 3.3 3.4 3.5 3.1 3.2* 3.3 3.4 3.5 3.1 3.2* 3.3 3.4 3.5
n/a n/a n/a n/a n/a EPdP n/a n/a n/a n/a n/a n/a EPcP n/a n/a n/a n/a n/a n/a EP3 n/a

P4 Implementation of the Product & Process Development

Product Process
4.1* 4.2 4.3 4.4* 4.5 4.6 4.7 4.8* 4.1* 4.2 4.3 4.4* 4.5 4.6 4.7 4.8* 4.1* 4.2 4.3 4.4* 4.5 4.6 4.7 4.8*
n/a n/a n/a n/a n/a n/a n/a n/a EPdR n/a n/a n/a n/a n/a n/a n/a n/a n/a EPcR n/a n/a n/a n/a n/a n/a n/a n/a n/a EP4 n/a

B Serial production
5.1 5.2 5.3 5.4* 5.5* 5.6 5.7
P5 Supplier Management n/a n/a n/a n/a n/a n/a n/a EP5 n/a

P6 Process Analysis / Production

3. Process 5. Effectiveness of 6. Process result/
1. Process input 2. Process management 4. Material resources 7. Transport and part handling
support the process output
6.1.1 6.1.2 6.1.3 6.1.4 6.1.5* 6.2.1 6.2.2 6.2.3* 6.2.4* 6.2.5 6.3.1* 6.3.2 6.3.3 6.4.1* 6.4.2 6.4.3* 6.4.4 6.4.5 6.5.1 6.5.2 6.5.3* 6.5.4 6.6.1 6.6.2 6.6.3 6.6.4* 6.1.2 6.1.3 6.1.4 6.2.4 6.2.5 6.6.1 6.6.2 6.6.3
Process step 1:
n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a E1 n/a n/a n/a n/a n/a n/a n/a n/a n/a
Process step 2:
n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a E2 n/a n/a n/a n/a n/a n/a n/a n/a n/a
Process step 3:
n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a E3 n/a n/a n/a n/a n/a n/a n/a n/a n/a

Assessment of sub-elements in the process analysis (mean value stages 1 - n)

6.1.1 6.1.2 6.1.3 6.1.4 6.1.5* 6.2.1 6.2.2 6.2.3* 6.2.4* 6.2.5 6.3.1* 6.3.2 6.3.3 6.4.1* 6.4.2 6.4.3* 6.4.4 6.4.5 6.5.1 6.5.2 6.5.3* 6.5.4 6.6.1 6.6.2 6.6.3 6.6.4* 6.1.2 6.1.3 6.1.4 6.2.4 6.2.5 6.6.1 6.6.2 6.6.3
n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a EP6 n/a n/a n/a n/a n/a n/a n/a n/a n/a

Eu1 n/a Eu2 n/a Eu3 n/a Eu4 n/a Eu5 n/a Eu6 n/a Eu7 n/a

7.1 7.2 7.3* 7.4* 7.5

P7 Customer Care / Customer Satisfaction / Service n/a n/a n/a n/a n/a EP7 n/a

Overall compliance EG:

Classification:
Total points awarded for the relevant questions 0 Reasons for down-grading from "A" to "B" despite the achievement level: Decision
EG [%] n/a n/a At least one process element P2-P7 (P6.1-P6.7 included) or sub-element E1-En < 80% no
Total possible number of points for the relevant questions 0 At least one (*) question scored 4 points Err:520
At least one question scored 0 points Err:520

Downgraded to:
### Reasons for down-grading to "C" despite the achievement level:
At least one process element P2-P7 or sub-element E1-En < 70%
Decision
no
At least one (*) question scored 0 points Err:520
At least 2/3 of questions must be answered for each evaluated process element and sub element Down grading rules must be applied to the classification results (A, B. C). This must be checked by the auditor!
 level achieved 60% 70% 80% 90% 100% level achieved 60% 70% 80% 90% 100%

Assessment elements / Assessment

[%] [%]
Process steps sub-elements
Project Management P2 n/a 1. Process input EE1 n/a

Planning the Product & Process P3 n/a 2. Process management EE2 n/a
Development
Implementation of the Product & P4 n/a 3. Process support EE3 n/a
Process Development
Supplier Management P5 n/a 4. Material resources EE4 n/a

Process Analysis / Production P6 n/a 5. Effectiveness of the process EE5 n/a

Customer Care / Customer P7 n/a 6. Process result/ output EE6 n/a

Satisfaction / Service
n/a 7. Transport and part handling EE7 n/a

n/a

n/a
 IMPROVEMENT PROGRAM/ Company:
ACTION PLAN Audit Date:

IMMEDIATE DUE ACTUAL EFFECTI-

ITEM NO. AUDIT FINDING(-S) SCORE ROOT CAUSE(-S) CORRECTIVE ACTION(-S) RESPONSIBLE
ACTION DATE DATE VENESS