JOHN DEERE SPECIAL PROCESS AUDIT FOR STEEL MILLS

(MUST BE COMPLETED BY AN APPROVED STEEL MILL SPECIAL PROCESS AUDITOR)

Supplier Name: Audit Date(s):

Supplier Number: Supplier Representative(s):

Supplier Address:

Supplier Telex Number:

Supplier E-Mail: Supplier Fax Number:
Audit Team Leader: Audit Team Members:
Principle Products (John Deere Commodity Codes):

Date of Last John Deere Assessment or Survey (if any):

Process(es) / Product(s) Audited:
Hot Rolling Mill

Note: Secure copy of certification(s) if not provided in advance

Quality System Certification, Registrar, and Date of Certificate Expiration (ISO, QS, SO/TS, etc.):

Environmental System Certification, Registrar & Date of Expiration (ISO 14001):

Health & Safety System Certification, Registrar & Date of Expiration (ISO 18001):

Supplier Contact(s): Position: Phone:

Rating Score ** Ability to meet requirement in question:

Does Not Comply 0 Requirement is not met. There is no evidence of implementation or documentation (major non-conformance).
Requirement is partially met but there are major inconsistencies in implementation or documentation (major nonconformance).
Does Not Comply 1
Requirement is met but there are minor inconsistencies in implementation or documentation, or is in the early phases and only
Interim / Full Approval 2 preliminary evidence of implementation effectiveness exists (minor nonconformance).

Full Approval 3 Requirement is met and effectively implemented and fully documented.
Requirement is "world class" in terms of scope and implementation or it shows major signs of significant improvement over the last
Full Approval 4
12 months which is meaningful to the Customer.
*** The question with the lowest score in a section determines compliance of that entire section. ***
** A supplier must have a score of 2 or greater on each of the questions to be acceptable.

Score each question using a 0 to 4 point scale, where 4 is the best possible score.

Processes Available and Reviewed Notes Yes/No

Iron Making

Steel Making and Casting

Rolling

Post Rolling Processing (i.e. Cold Drawing)

Special Process Audit - Steel Mill Page 1 of 12 Printed: 09/08/2020

 A. Primary Melting
# Question Score

Does Mill do Iron Making? Does Mill produce Pig Iron?

How much iron does facility produce? (Per batch? How many batches a year?)

What are the inputs for producing iron?

1 How are inputs and the process being monitored and documented?

Is there evidence that the data being documented are used in more than a monitoring
capacity? Is there evidence of Statistical Process Controls being used?

Is evidence present that indicates personnel know the interaction of the inputs, and their
effect on final product?

What is general age of equipment being used? Is equipment checked regularly? What
automation is present? Are calibrations conducted? What maintenance is conducted?
2
What investments are planned in primary iron operations in next 5 years?

What Process is used for melting of steel?

How much steel is produced? (Per heat? Heats per year?)

How are inputs and the process being monitored and documented?
Scrap Steel -
How is scrap yard managed?
Is scrap monitored for radiation?
How are different kinds of scrap organized?
Describe overall Scrap Yard cleanliness.
Temperature (What temperature is charge held at?)
3 Alloying
Any done prior to move to ladle?
How is chemistry of charge targeted to meet product?
Slag Composition
Other items?

Is there evidence that the data being documented are used in more than a monitoring
capacity? Is there evidence of Statistical Process Controls being used?

Is evidence present that indicates personnel know the interaction of the inputs, and their
effect on final product?

What is the Refractory Practice used for Primary Steel Making? (Acidic, Basic)

What is the preventative maintenance practice for Refractory (# of heats, calendar)?

4
When preventative maintenance on refractory is conducted, is a partial relining or full
relining conducted?

Describe the process used to approve the release of material from primary melting to the
ladle.
5
How long after a charge of material is released to the ladle is a new charge started?

What is general age of equipment being used? Is equipment checked regularly? Are
calibrations conducted? What maintenance is conducted?
6
What investments are planned in primary melt operations in next 5 years?

Section Score:
Section Compliance: (Complies = No questions scored less than 2) NOT SCORED

Special Process Audit - Steel Mill Page 2 of 12 Printed: 09/08/2020

 B. Ladle/Secondary Metallurgy
# Question Score

How is charge transferred from Primary Melt to Ladle?

7
Can charge maintain temperature after coming from Melt to Ladle?

Is charge vacuum degassed at Ladle? Describe process. What parameters are

monitored?
Gas used
Temperature
Pressure
Time

How is charge stirred when in ladle?

8
How are gas levels in the charge analyzed?

What other inputs and the process being monitored and documented?
Shroud Gas
Refractory Used
Temperature
Composition

Describe the grain refinement/killing process.

What elements are used for grain refinement? How is this monitored and documented?

How is the composition (including residual elements, sulfur, bismuth, and calcium for QL-
9 3 and QL-4 materials) of the melt monitored/controlled to ensure proper composition at
time of pour? What testing is completed and documented?

How are Elements for alloying Added?

Describe how slag is used.

What is the slag composition?

10 How is slag used to improve the charge?

How is slag kept out of product?

Is there evidence that there is data being collected and documented?

Is there evidence that the data being documented are used in more than a monitoring
capacity? Is there evidence of Statistical Process Controls being used?
11
Is evidence present that indicates personnel know the interaction of the inputs, and their
effect on final product?

What is general age of equipment being used? Is equipment checked regularly? Are
calibrations conducted? What maintenance is conducted?
12
What investments are planned in primary melt operations in next 5 years?

Section Score:
Section Compliance: (Complies = No questions scored less than 2) NOT SCORED

C. Pouring & Casting

Special Process Audit - Steel Mill Page 3 of 12 Printed: 09/08/2020

 # Question Score

How does material get from ladle to tundish/caster?

What characteristics are monitored/controlled at tundish?

Gas Shroud
13 Liquid Steel/Material Level
Slag Chemistry
Slag Level
Presence of Gases (i.e. Hydrogen)

How is steel cast (Ingot, Continuous)?

What parameters are monitored/documented?

Casting Speed
Gas Shroud
Flow of Steel
Strand dimensions
Mold Level
Stirring
14 Straightening
Oscillation
Cutoff Torches
Nozzle conditions (potential of debris from submerged entry nozzles falling into cast
product)
Is Automation present?

What billet sizes is mill capable of making?

Is there evidence of Statistical Process Controls being used? Is there evidence that the
data being documented are used in more than a monitoring capacity?
15 Is evidence present that indicates personnel know the interaction of the inputs, and their
effect on final product?

How is billet marked for traceability from caster?

16 (Billet->Strand->Internal Spec->Customer Spec)

17 How is product monitored/controlled during transition from one grade to another?

Special Process Audit - Steel Mill Page 4 of 12 Printed: 09/08/2020

 What inline inspection is used for monitoring product?
UT?
18 MT?

How are inspectors trained and certified?

Does inspection mark discrepant material? How?

19 How is discrepant material handled?

What rework is conducted?

20 Is reworking documented? How is rework tied to product?

By Piece Number?
By Heat Lot?

How are scrapped billets handled?

21
What percent of billets are scrapped?

What is general age of equipment being used? Is equipment checked regularly? Are
calibrations conducted? What maintenance is conducted?
22
What investments are planned in primary melt operations in next 5 years?

Section Score:
Section Compliance: (Complies = No questions scored less than 2) NOT SCORED

Special Process Audit - Steel Mill Page 5 of 12 Printed: 09/08/2020

 D. Post Casting Operations
# Question Score

Does billet come to rolling mill direct from caster?

Is steel reheated prior to rolling?

23
How is reheat process monitored? What are the reheat inputs?
Time
Temperature

24 Is controlled cooling available? How is controlled cooling process monitored?

What products can be made at mill?

Bar (what cross section shapes)?
Plate?
Sheet?
25 Tube?

What are Dimensional (size, straightness, flatness) Capabilities?

How are these dimensions Monitored?

26 How is reduction ratio determined/monitored?

How is rolling process monitored? What inputs are monitored? What Automation is
present?
Time
27 Temperature
Surface Finish (Seams, Scratches, Cracks) and Scale Control
Cropping
Coiling

What is general age of equipment being used in rolling operations? Is equipment

28 checked regularly? Are calibrations conducted? What maintenance is conducted? How is
tooling monitored to ensure proper material size and surface finish?

Special Process Audit - Steel Mill Page 6 of 12 Printed: 09/08/2020

 What post rolling operations are available?
Cold Rolling?
Mechanical forming of Tube?
Heat Treatment (i.e. Furnace Annealing, Quench and Tempering)?
Turning?
Pickle and Oil?
Coating of Steel (i.e. Aluminization, Galvanization, Paint)

What variables are monitored and controlled in the post rolling operations on site
(examples listed below)?
Cold Rolling
29 Rolling Speeds, Temperatures, Rolling Pressures, Cooling Rates
Mechanical Drawing of Tube
Drawing Speeds, Temperatures, concentricity
Heat Treatment (i.e. Furnace Annealing, Quench and Tempering)
Load size temperature, time, atmosphere controls
Turning
Dimensions, surface finish
Pickle and Oil
Surface cleanliness, surface finish, pickling bath parameters
Coating of Steel (i.e. Aluminization, Galvanization, Paint)
Surface Cleanliness, Surface Finish, coating parameters

How is product marked for traceability from post rolling operations?

30 (Form (bar, plate sheet)->Billet->Strand->Internal Spec->Customer Spec)

Is there evidence of Statistical Process Controls being used? Is there evidence that the
data being documented are used in more than a monitoring capacity?
31 Is evidence present that indicates personnel know the interaction of the inputs, and their
effect on final product?

What is general age of equipment being used? Is equipment checked regularly? Are
32 calibrations conducted? What maintenance is conducted?

Section Score:
Section Compliance: (Complies = No questions scored less than 2) NOT SCORED

Special Process Audit - Steel Mill Page 7 of 12 Printed: 09/08/2020

 E. Ordering/Traceability/Inspection/Lab Practices
# Question Score

What products and grades is mill capable of making?

How does mill collect customer orders?
How are products specified through production processes?
33 How are customer specifications integrated into Internal Specifications? (Internal vs.
Customer Specifications)
How does mill determine what grades are produced when?

How is final material marked to ensure traceability? By Heat? Bundle? Piece?

34 How is final product stored? How is final product sent to customer? Are there concerns
about age hardening for products being purchased?

Is there a Metallurgical Lab Onsite? What does Lab Staff Consist of (# of personnel,
35 training/background)? Where onsite are labs located?

Laboratory Equipment; Describe lab capabilities

Chemical analysis
Hardenability
Hardness checking
Metallographic Capabilities
Grain Size evaluated to which standard?
36 Inclusion Ratings - How are these determined?
NDT equipment and technician
Failure analysis capability
Scanning Electron Microscope (SEM)
Macro Etch (Necessary to test to JDQ 89)
End Quenching/Jominy Testing (For Hardenability)
Other Equipment

37 Can Lab process all products that could be sold to John Deere?

38 How are samples selected for analysis?

What inspection is done to ensure steel meets applicable requirements for

39 microstructure, including grain size?

40 What inspection is done to ensure steel meets applicable requirements for composition?

What inspection is done to ensure steel meets applicable requirements for steel
41 cleanliness?

What inspection is done to ensure steel meets applicable requirements for steel
42 soundness?

What inspection is done to ensure steel meets applicable requirements for physical
43 properties? (UTS, YS, etc.)

Special Process Audit - Steel Mill Page 8 of 12 Printed: 09/08/2020

 How does mill ensure that correct, up to date standards are being used for inspection
44 and certification of product?

45 How are analyses linked to customer specifications?

How is equipment responsible for monitoring characteristics maintained? Describe age of

46 equipment and any evidence of Preventative Maintenance and long term equipment/lab
planning

Are all examinations documented? Where/How? Is exam data used to monitor process
47 results for noticeable changes and/or for continuous improvement activities? Is there
evidence of Statistical Process Controls being used?

Is material capability being determined and monitored? What is the reaction plan if
material is found to be to be not capable? What is the reaction plan if material is found to
48 be non-conforming during inspection? Found by customer? What corrective action
systems are in place?

Section Score:
Section Compliance: (Complies = No questions scored less than 2) NOT SCORED

Special Process Audit - Steel Mill Page 9 of 12 Printed: 09/08/2020

 Audit Summary
Category Section Score Compliance
Primary Melting NOT SCORED
Ladle/Secondary Metallurgy NOT SCORED
Pouring & Casting NOT SCORED
Post Casting Operations NOT SCORED
Ordering/Traceability/Inspection/Lab Practices NOT SCORED
Overall Audit Score 0.0
Total Applicable Score 0.0
Final Audit Score (%) NOT SCORED

# Strengths

# Major Non-conformances NCCA Number

# Minor Non-conformances NCCA Number

# Opportunities for Improvement

# Restrictions and Conclusions

Special Process Audit - Steel Mill Page 10 of 12 Printed: 09/08/2020

 JOHN DEERE JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE

CHANGE HISTORY
Date Division Who Made Changes
11/1/2009 A&T Eric Johnson
4/1/2013 90 Mitchell Hunt
4/10/2014 90 Mitchell Hunt
8/18/2014 90 Mitchell Hunt
10/2/2014 90 Mitchell Hunt
E JDS-G223 SUPPLIER QUALITY SYSTEM QUESTIONNAIRE

CHANGE HISTORY
Reason for Change
New Release, SPA for Steel Mill
New Form - Steel Mill SPA
Updated Scoring Format
Formatting Fixes. Reorganization of Questions
Formula Fixes