VDA 6.

3 POTENTIAL ANALYSIS

FOR CLIENT:
Client Company Name

AT:
Client Supplier/Factory Name
REPORT NUMBER:
XXX000000000MA3
AUDIT DATE:
00/00/0000
 VDA 6.3 POTENTIAL ANALYSIS Rev.
GENERAL INFORMATION 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

A. Factory/Supplier Information

Supplier Information

Supplier Name (EN) ABC Enterprise Co., Ltd.

O
Supplier Name (Local) ABC實業股份有限公司

Supplier Address (EN) xyz Street

O T
H
Supplier Address (Local) xzy 街道

Supplier Contact Person Mr. Contact

E P
Front Gate (Photo)

PL
Contact Number +111-111-1111

M
Contact E-mail xxxxx@factory.com

Company Website http://www.google.com/

Year Established
(DD/MM/YYYY)
14/8/2019
S A
Business License No. 123456789

Type of Ownership Individual/Sole Proprietor

TO
Type of Service Provided OEM Service and Other Services

H O
Size of Production Area (m²) 25455

E P
Reception or Audit meeting room (Photo)

PL
Size of Warehouse Area (m²) 4000

Business Hours 08:00 AM ~ 5:00 PM Shift/Day 1 Shift

Business Days Monday To Saturday

AM
Annual Sales Turnover USD 48,000,000
S
THE RESULTS OF THIS REPORT REFLECT THE FINDINGS OF PRO QC INTERNATIONAL AT THE TIME AND PLACE OF SERVICE ONLY BASED ON AVAILABLE EVIDENCE. THIS REPORT DOES NOT
RELEASE THE VENDOR OR MANUFACTURER FROM CONTRACTUAL OBLIGATIONS TO MAINTAIN COMPLIANCE WITH ANY PARTICULAR STANDARD OR DELIVER CONFORMING GOODS OR SERVICES.
REMOTE SERVICES ARE PERFORMED BASED ON THE ISO 9001 AUDITING PRACTICES GROUP’S GUIDANCE ON REMOTE AUDITS. PRO QC INTERNATIONAL SHALL NOT BE HELD LIABLE FOR ANY
DEFECTIVE CONDITIONS BEYOND THOSE CLEARLY DETECTABLE WITHIN THE LIMITS OF THE SPECIFIC SERVICES RENDERED, INCLUDING BUT NOT LIMITED TO THE IMPACT OF THE REMOTE
NATURE OF REMOTE SERVICES ON FINDINGS. NO WARRANTY IS MADE AS TO THE RELIABILITY OF THIS REPORT BEYOND THOSE EXPRESSLY AGREED UPON BETWEEN PRO QC AND ITS CLIENT.
THIRD PARTIES SHALL INDEMNIFY, RELEASE AND HOLD PRO QC FROM ANY LIABILITY, LOSS OR DAMAGES ARISING FROM RELIANCE ON THIS REPORT.

Pro QC Personnel

Mr./Mrs. Mark Su Title: Auditor (On-site)

Mr./Mrs. Antonio Perez Title: Technical Supervisor / Auditor (Job Reviewer) Email: xxxxx@proqcinternational.com

Mr./Mrs. Steven Pandey Title: Project Coordinator Email: xxxxx@proqcinternational.com

Supplier Personnel Participating During Audit

Mr./Mrs. Mr. James Tseng Title: Sales Manager Email: xxxxx@factory.com

Mr./Mrs. Ms. A Huang Title: Sales Representative Email: xxxxx@factory.com

Mr./Mrs. Mr. M Lin Title: Engineering (R&D) Email: xxxxx@factory.com

Mr./Mrs. Mr. F Teng Title: Administration Management (HR) Email: xxxxx@factory.com

Mr./Mrs. Mr. H Ho Title: Sales Representative Email: xxxxx@factory.com

Mr./Mrs. Ms. A Lee Title: Production Manager Email: xxxxx@factory.com

Mr./Mrs. Mr. D Kuo Title: QA Manager Email: xxxxx@factory.com

Mr./Mrs. Ms. Jiang Title: Purchase Manager Email: xxxxx@factory.com

Mr./Mrs. Mr. John Su Title: H&S Manager Email: xxxxx@factory.com

Mr./Mrs. Ms. Stefany Lee Title: Legal Representative Email: xxxxx@factory.com

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 2/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
GENERAL INFORMATION 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

Name cards

TO TO TO
P HO P HO P HO
L E L E L E
P P P
M M M
SA Photo 1
SA Photo 2
SA Photo 3

TO TO TO
P HO P HO P HO
L E L E L E
P P P
M M M
SA Photo 4
SA Photo 5
SA Photo 6

Business License & Others Photos

O TO
O T O
H
E PH E P
NO PHOTO

P L PL
M AM
S A S
Business License Others - Tax payment record

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 3/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
GENERAL INFORMATION 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

B. Certificates

Certificates (Dropdown List) Certified Body Certificate Number Valid From Valid To

ISO 9001 ABC ABC 110011002200 2018-05-30 2021-05-29

IATF 16949 CBA CBA 110011002200 2018-06-26 2021-06-25

ISO 14001 BCA BCA 110011002200 2019-08-25 2022-08-25

ISO 13485 ACB ACB 110011002200 2020-10-06 2023-10-06

Certificates Photos

TO TO
H O H O
E P E P
PL PL
AM AM
S S
ISO 9001 IATF 16949

TO TO
H O H O
E P E P
PL PL
AM AM
S S
ISO 14001 ISO 13485

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 4/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
GENERAL INFORMATION 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

C. Employee Information

Key Personnel
Position Name Email Position #

General Manager 柯XX - Ko XX xxxxx@factory.com Total # of Employees 389

Sales Manager 李XX - Li XX xxxxx@factory.com Total # of IQC Inspectors 12

R&D Manager 王XX - Wang XX xxxxx@factory.com Total # of IPQC Inspectors 5

Purchasing Manager 蔣XX - JiangXX xxxxx@factory.com QA & QC Total # of OQC Inspectors 3

Team
Production Manager 曾XX - Zeng XX xxxxx@factory.com Total # of Auditors/SQE 3

Quality Manager 楊XX - Yang XX xxxxx@factory.com Total # Machine maintenance personnel 213

H&S Manager 李XX - Li XX xxxxx@factory.com Total # of Lab Technicians 42

Other [Write Dep. Manager] 黃X- Huang XX xxxxx@factory.com Total # of Production & Assembly Operators 49

C. Component Information

Part information Manufacturing Process Flow

PART NAME Spur gear/ Helical gear Process 1 Turning - 車床
P/N: Gearbox Process 2 Drilling - 鑽孔
DRAWING REV: N/A Process 3 Slotting - 拉鍵
RELEASE DATE N/A Process 4 Gear Hobbing - 滾齒
Part Picture Process 5 Surface Grinding - 平面研磨
Process 6 Internal Cylindrical Grinding - 孔內研磨
Process 7 Gear Grinding - 齒面研磨
Process 8 Gearbox Assembling - 齒輪箱組裝
Process 9 -- END --
Process 10
Process 11
Process 12
Process 13
Process 14
Process 15
Process 16
Process 17
Process 18

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 5/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
SCORING & AUDIT SCOPE 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

AUDIT SCOPE

The intent of the VDA 6.3 Potential Analysis is to provide a high level assessment of the supplier's quality system, and their ability to deliver systematic product and service quality. The
result of the report shall highlight the strengths and weaknesses of the supplier, and provide the necessary information for the client to make informed decisions on business viability
and subsequent follow-up actions with the supplier.

SCORING GUIDELINES
Overall rating Assessment Remarks

Barred Supplier
l More than 14 Yellow Items and More than 1 Red Item Nomination is not possible

Controlled Supplier
l Maximum 14 Yellow Item and None Red Nomination is conditionally possible

Approved Supplier
l Maximum 7 Yellow Item and None Red Nomination is possible

Not Applicable
l IF more than 4 "N/A" Items, Risk Rating is Not Applicable

AUDIT RESULT
Not Applicable

Project, Product, Process RED YELLOW GREEN N/A RATING

Project 1 4 10 22 0 RED

AUDIT SUMMARY

ABC Enterprise Co., Ltd. was founded in the Year 1960; In the Year 2016; it expanded its operations to the current audit location, there are two sub-divisions in the existing factory
address; the leading product portfolio is manufacturing Gears and Gear Box for Plastic Injection and other similar types of machines.

Factory maintains multiple ERP Software Systems such as PLM, SFT to support the manufacturing process, management, and Control.

On-site Assessment report has Nonconformity’s that are part of this assessment report as Corrective Action Plan. However few points need an immediate focus and are as follows:

1. Project team working matrix is evident, but its adherence such is missing from the start of any new project to handover to manufacturing.
2. The factory ISO 9001:2008 renewal is overdue, and the factory claims to re-certify in the current year 2022.
3. No Special Characteristic concept to Quality Control items in technical drawings and Risk Management documents.
4. No Root Cause Analysis methodology is in place.

Overall: the factory has a well-established manufacturing process and enough in-house testing equipment (Including CMM, Hardness Testers, Klingelnberg - Precision Measuring
Canter - P 100/P 100 L) to validate manufactured gears as per customer drawings, applicable standards, and requirements. However, there are gaps and areas to improve on the
Quality Management System as multiple procedures are obsoleted and not following as currently practiced activities.

For more details about the Audit and corrective action plan, please refer to the Audit recommended corrective actions, CAPA table, and audit checklist results.

RECOMMENDED CORRECTIVE ACTIONS

1 The factory needs to follow the written down procedure from conceptualizing stage to handover to in-house manufacturing.

2 The factory must review current practices against the written and documented procedures and establish a corrective action plan for all the gaps identified.

3 The factory needs to enhance the concept of Special Characteristic of Quality Control items in the quality and technical documentation.

4 The factory needs to establish Problem Analysis Tools for Problem Solving to close gaps in the manufacturing procedure and lessons learned.

5 The factory needs to create a new supplier evaluation procedure to ensure alignment with the company quality goals and minimize risks.

FACTORY COOPERATION FACTORY ORGANIZATION FACTORY CONDITION

GOOD AVERAGE AVERAGE

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 6/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
CORRECTIVE ACTION PLAN 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

The corrective action table below is intended to assist Pro QC’s clients in following up with the audited factory regarding the Non-Conformance (NC) and Opportunity For Improvement (OFI).

The listed NC and OFI are extracted from the audit report and it is factory’s responsibility in completing the Corrective Action Plan (CAP). Once the factory completed the CAP, it is highly recommended that the client go on-site to validate the implemented action, or alternatively, assign Pro QC’s team for on-site validation. Please contact your Pro QC account manager or visit us at www.proqc.com for assistance.

C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable

Responsible Person
COMPLETION Note if management agree
CORRECTIVE ACTION PLAN Verification Evidence and Comments
QUESTIONNAIRE FINDINGS PHOTO SCORE RECOMMENDED to the Finding, and STATUS
(To be complete by the factory) Detail of corrective actions taken
TIMESCALE document name of
responsible person

P2 PROJECT MANAGEMENT

There is a document Product Design & Development Procedure (P-C-02)

in place (See photo 1). However, there is no Cross Function team definition
Is project management established with a project
P2.1 in this document. 1 YELLOW PENDING
organization?
R&D department is responsible for product development tasks.

Is there a project plan and has this been agreed with the There is no project Gantt chart available.
P2.3 3 YELLOW PENDING
customer? The factory has confirmed Purchase Order with the customer. (See photo 3)

Although the factory has documented procedure Design & Development

Is the advanced product quality planning implemented
P2.4
within the project and monitored for compliance?
Procedure (P-C-02), and flow chart defined in 5.1 (See photo 4), the factory
only presented Project Demand Apply Form (See photo 5), Gear Box
Design Check List, and customer specification for this project, there is no
2,4,5 RED PENDING
Project Plan and feasibility study.

The factory actual project activity does not follow the documented
procedure defined.

There is a documented procedure Suppliers Relationship Management

Are the procurement activities of the project implemented Procedure (P-M-07) that defines suppliers management. (See photo 14)
P2.5 6 YELLOW PENDING
and monitored for compliance?
However, there is no new suppliers evaluation record.

P3 PLANNING THE PRODUCT AND PROCESS DEVELOPMENT

Is the feasibility comprehensively evaluated according to
P3.2
the product and process requirements?
The factory only conducts Gear Box Design Check List as a feasibility study
to evaluate required resources and capability by the R&D team. (See photo
- YELLOW PENDING
2)
However, there is no Project Team Evaluation record in place.

P4 IMPLEMENTATION OF THE PRODUCT AND PROCESS DEVELOPMENT

The factory has documented procedure Design & Development Procedure

(P-C-02), flow chart defined in clause 5.1. (See photo 4)

Are the actions which were defined in the product and
P4.1
process development phases implemented?
However, the factory only conducts Project Demand Apply Form, Gear Box
4 YELLOW PENDING
Design Check List and customer specification for this project, there is no
Project Plan, feasibility study.
factory actual project activity does not follow the documented procedure
defined.

P5 SUPPLIER MANAGEMENT

There is a documented procedure Suppliers Relationship Management

Are only approved/released and quality-capable suppliers Procedure (P-M-07) that defines suppliers management. (See photo 14)
P5.1 6 YELLOW PENDING
used?
However, there is no new suppliers evaluation record.

P6 PROCESS ANALYSIS / PRODUCTION

P6.1 WHAT GOES INTO THE PROCESS? (PROCESS INPUT)
P6.2 ARE ALL PRODUCTION PROCESS CONTROLLED? PROCESS MANAGEMENT

The factory could not answer the auditor question referring to "special
P6.2.3 Are special characteristics managed in the production? characteristic", auditee only can answer the item mark with tolerance on the - RED PENDING
drawing are key inspection items.

There is a non-conformity management procedure described in document

Inspection, Package and Warehouse Management Procedure (P-C-07)
5.3. (See photo 13)

The factory manages NCF by ERP system, the NCF record is in place. (See
P6.2.4 Are non-released and / or defective parts managed? 13, 20 YELLOW PENDING
photo 20)

However, when Auditor interviewed the auditee QA section manager he

did not aware where is the procedure described. Plant Director answered
the documented procedure described.

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 7/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
CORRECTIVE ACTION PLAN 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

The corrective action table below is intended to assist Pro QC’s clients in following up with the audited factory regarding the Non-Conformance (NC) and Opportunity For Improvement (OFI).

The listed NC and OFI are extracted from the audit report and it is factory’s responsibility in completing the Corrective Action Plan (CAP). Once the factory completed the CAP, it is highly recommended that the client go on-site to validate the implemented action, or alternatively, assign Pro QC’s team for on-site validation. Please contact your Pro QC account manager or visit us at www.proqc.com for assistance.

C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable

Responsible Person
COMPLETION Note if management agree
CORRECTIVE ACTION PLAN Verification Evidence and Comments
QUESTIONNAIRE FINDINGS PHOTO SCORE RECOMMENDED to the Finding, and STATUS
(To be complete by the factory) Detail of corrective actions taken
TIMESCALE document name of
responsible person

P6.3 WHAT FUNCTIONS SUPPORT THE PROCESS? (PERSONNEL RESOURCES)

P6.4 WHAT MEANS ARE USED TO IMPLEMENT THE PROCESS? (MATERIAL RESOURCES)

The factory only has Gear Box Design Check List in place, no detailed
manufacture machine capability evaluation to determine which machine is
Can the product-specific requirements from the customer be
P6.4.1 for production. - YELLOW PENDING
met with the manufacturing equipment?
This activity has been assigned by R&D in SFT (Shop Floor Tracking)
system.

P6.5 HOW EFFECTIVE IS THE PROCESS BEING CARRIED OUT? EFFECTIVENESS, EFFICIENCY, WASTE AVOIDANCE

In the case of deviations from product and process There is not any root causes analysis methodology such as Why why
P6.5.1 requirements, are the causes analyzed and the corrective analysis, 3W1H…etc, performed by the factory to deal with in-process - RED PENDING
actions checked for effectiveness? quality issues.

P6.5.2 Are processes and products audited regularly? There is not any process or product audit conducted by the factory. - RED PENDING

P6.6 WHAT SHOULD THE PROCESS PRODUCE? (PROCESS RESULT / OUTPUT)

P7 CUSTOMER CARE / CUSTOMER SATISFACTION / SERVICE

The factory Quality Management System certificate was ISO 9001: 2008
which is an overdue certificate. (See photo 32)
Are all requirements related to QM-System, product, and
P7.1 32 YELLOW PENDING
process fulfilled?
However, there are PLM, ERP, SFT systems to support and manage
product manufacture activities.

There is a customer quality complaint 8D report provided for review during

If there are deviations from quality requirements, are failure the audit. (See photo 38)
P7.4 analysis carried out and corrective actions implemented 34 YELLOW PENDING
effectively? Note: If the customer does not have additional requests the factory will use
a basic Non-confirmative sheet.

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 8/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
AUDIT CHECKLIST 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

l Not Applicable l
Approved Supplier l Controlled Supplier l Barred Supplier
QUESTIONNAIRE FINDINGS PHOTO SCORE
P2 PROJECT MANAGEMENT

There is a document Product Design & Development Procedure (P-C-02)

in place (See photo 1). However, there is no Cross Function team definition
Is project management established with a project
P2.1 in this document. 1 YELLOW
organization?
R&D department is responsible for product development tasks.

Are all resources required for the project implementation The factory conducts Gearbox design checklist to evaluate required
P2.2 2 GREEN
planned and available and changes reported? resources and capabilities. (See photo 2)

Is there a project plan and has this been agreed with the There is no project Gantt chart available.
P2.3 3 YELLOW
customer? The factory has confirmed Purchase Order with the customer. (See photo 3)

Although the factory has documented procedure Design & Development

Is the advanced product quality planning implemented
P2.4
within the project and monitored for compliance?
Procedure (P-C-02), and flow chart defined in 5.1 (See photo 4), the factory
only presented Project Demand Apply Form (See photo 5), Gear Box
Design Check List, and customer specification for this project, there is no
2,4,5 RED
Project Plan and feasibility study.

The factory actual project activity does not follow the documented
procedure defined.

There is a documented procedure Suppliers Relationship Management

Are the procurement activities of the project implemented Procedure (P-M-07) that defines suppliers management. (See photo 14)
P2.5 6 YELLOW
and monitored for compliance?
However, there is no new suppliers evaluation record.

The factory has documented procedure Design & Development Procedure

Is change management within the project ensured by the (P-C-02) that defines in clause 5.9 Design Change procedure.
P2.6 7 GREEN
project organization? There is a PLM system for ECN approval and management system
platform. (See photo 7)

There is a document Quality Manual (QM-01) in place, the factory has an

Is there an escalation process established and is this
P2.7 organization chart. (See photo 8) 8~9 GREEN
effectively implemented?
Job function and responsibility are defined in Chapter 2. (See photo 9)

P3 PLANNING THE PRODUCT AND PROCESS DEVELOPMENT

There is QC Engineering Data Sheet (See photo 10) that defines product
process flow. The factory implemented a PLM system function for R&D
Are the specific product and process requirements
P3.1 product drawing management. 10~11 GREEN
available?
ERP system for Product Specification management, employees can access
related data in PLM and ERP system. (See photo 11)

Is the feasibility comprehensively evaluated according to
P3.2
the product and process requirements?
The factory only conducts Gear Box Design Check List as a feasibility study
to evaluate required resources and capability by the R&D team. (See photo
- YELLOW
2)
However, there is no Project Team Evaluation record in place.

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 9/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
AUDIT CHECKLIST 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

l Not Applicable l Approved Supplier l Controlled Supplier l Barred Supplier

QUESTIONNAIRE FINDINGS PHOTO SCORE
P4 IMPLEMENTATION OF THE PRODUCT AND PROCESS DEVELOPMENT
The factory has documented procedure Design & Development Procedure
(P-C-02), flow chart defined in clause 5.1. (See photo 4)

Are the actions which were defined in the product and
P4.1
process development phases implemented?
However, the factory only conducts Project Demand Apply Form, Gear Box
4 YELLOW
Design Check List and customer specification for this project, there is no
Project Plan, feasibility study.
factory actual project activity does not follow the documented procedure
defined.

The factory implemented a PLM system for the R&D team to create BOM list
as per Product Specification.
Are the material resources available and suitable to ensure
P4.2 - GREEN
the start of serial production?
The factory Production has an ERP system that reflects the BOM list from
the PLM system for manufacture materials definition.

Are the required approvals and releases for the product and There is QC Engineering Data Sheet that contains Process flow and
P4.3 12 GREEN
process development available? process requirements. There is QC Control Plan in place. (See photo 12)

P5 SUPPLIER MANAGEMENT

There is a documented procedure Suppliers Relationship Management

Are only approved/released and quality-capable suppliers Procedure (P-M-07) that defines suppliers management. (See photo 14)
P5.1 6 YELLOW
used?
However, there is no new suppliers evaluation record.

Are the customer's requirements taken into account in the The factory has an ERP system that reflects the BOM list and specifications
P5.2 11 GREEN
supply chain? as per customer Product Specification. (See photo 11)

The factory conducts materials incoming inspection as per documented

procedure Inspection, Package and Warehouse Management Procedure
Are the necessary releases available for purchased
P5.3 (P-C-07). 13 GREEN
products and services?
IQC record is in place. (See photo 13)

The factory performs incoming inspections for purchased parts and

Is the agreed upon quality of purchased products and implements non-conformity procedures if detected non-conformity parts.
P5.4 14 GREEN
services ensured?
IQC record in place. (See photo 14)

The incoming parts are delivered in a well-protected package and after

P5.5 Are incoming goods delivered and stored appropriately? receiving will be stored in the materials warehouse, protected from damage 15 GREEN
or contamination. (See photo 15)

P6 PROCESS ANALYSIS / PRODUCTION

P6.1 WHAT GOES INTO THE PROCESS? (PROCESS INPUT)

After product qualification is approved by the customer, the R&D team will
Has the project been transferred from development to serial deploy the BOM list, Product Specification in PLM, ERP, and SFT system
P6.1.1 12, 16~17 GREEN
production and is a reliable start guaranteed? (See photo 16), and Working Instructions (See photo 17), QC Control Plan
(See photo 12) for Production reference.

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 10/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
AUDIT CHECKLIST 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

l Not Applicable l Approved Supplier l Controlled Supplier l Barred Supplier

QUESTIONNAIRE FINDINGS PHOTO SCORE
P6.2 ARE ALL PRODUCTION PROCESS CONTROLLED? PROCESS MANAGEMENT

Are the specification of the control plan complete and have There is a QC Control Plan in place to manage manufacturing procedures.
P6.2.1 12 GREEN
they been effectively implemented? (See photo 12)

There is a documented procedure Manufacture Process Control &

Does a repeat release for the restart of production take Inspection Procedure (P-C-05) that defines the in-process parts inspection
P6.2.2 18~19 GREEN
place? procedure. (See photo 18)
The in-process check record is in place. (See photo 19)

The factory could not answer the auditor question referring to "special
P6.2.3 Are special characteristics managed in the production? characteristic", auditee only can answer the item mark with tolerance on the - RED
drawing are key inspection items.

There is a non-conformity management procedure described in document

Inspection, Package and Warehouse Management Procedure (P-C-07)
5.3. (See photo 13)

The factory manages NCF by ERP system, the NCF record is in place. (See
P6.2.4 Are non-released and / or defective parts managed? 13, 20 YELLOW
photo 20)

However, when Auditor interviewed the auditee QA section manager he

did not aware where is the procedure described. Plant Director answered
the documented procedure described.

P6.3 WHAT FUNCTIONS SUPPORT THE PROCESS? (PERSONNEL RESOURCES)

There is a documented procedure Manpower Management Procedure (P-

M-04) that defines employees' training policy. (See photo 21)
P6.3.1 Are the employees able to fulfill their given tasks? 21~22 GREEN
Employee training is in place. (See photo 22)

There is a documented procedure Manpower Management Procedure (P-

P6.3.2 Are the necessary personnel resources available? M-04) defines in clause 9.1 the job function work skill requirements. (See 21 GREEN
photo 21)

P6.4 WHAT MEANS ARE USED TO IMPLEMENT THE PROCESS? (MATERIAL RESOURCES)

Can the product-specific requirements from the customer be
P6.4.1
met with the manufacturing equipment?
The factory only has Gear Box Design Check List in place, no detailed
manufacture machine capability evaluation to determine which machine is
for production. - YELLOW
This activity has been assigned by R&D in SFT (Shop Floor Tracking)
system.

There is a documented procedure Equipment Management Procedure (P-

Is the maintenance of the manufacturing equipment and S-01) that describes equipment maintenance procedures. (See photo 23)
P6.4.2 24~25 GREEN
tools controlled? There are equipment daily check and maintenance records in place. (See
photo 24~25)

There is a documented procedure Inspection equipment Calibration

Can the quality requirements be effectively monitored with Procedure (P-S-03) that defines the inspection equipment calibration
P6.4.3 26~27 GREEN
the measurement and testing facilities in use? procedure. (See photo 26)
Inspection equipment calibration reports are in place. (See photo 27)

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 11/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
AUDIT CHECKLIST 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

l Not Applicable l Approved Supplier l Controlled Supplier l Barred Supplier

QUESTIONNAIRE FINDINGS PHOTO SCORE

The workstations space is plenty, the layout is well organized. (See photo
Are the work and inspection stations appropriate for the
P6.4.4 28) 28~29 GREEN
needs?
The inspection room has temperature and humidity control. (See photo 29)

P6.5 HOW EFFECTIVE IS THE PROCESS BEING CARRIED OUT? EFFECTIVENESS, EFFICIENCY, WASTE AVOIDANCE

In the case of deviations from product and process There is not any root causes analysis methodology such as Why why
P6.5.1 requirements, are the causes analyzed and the corrective analysis, 3W1H…etc, performed by the factory to deal with in-process - RED
actions checked for effectiveness? quality issues.

P6.5.2 Are processes and products audited regularly? There is not any process or product audit conducted by the factory. - RED

P6.6 WHAT SHOULD THE PROCESS PRODUCE? (PROCESS RESULT / OUTPUT)

Are products / components stored in an appropriate manner

Most of the Gear Box products are stored in wooden pallets and packed
P6.6.1 and are transport facilities / packing arrangements suitable 30 GREEN
with a wooden crate to prevent any damage. (See photo 30)
for the special characteristics of the products / components?

The factory conducts Finished good product inspection as per documented

procedure Inspection, Package and Warehouse Management Procedure
Are customer requirements met at the delivery of the final
P6.6.2 (P-C-07). 31 GREEN
product?
OQC record is in place. (See photo 31)

P7 CUSTOMER CARE / CUSTOMER SATISFACTION / SERVICE

The factory Quality Management System certificate was ISO 9001: 2008
which is an overdue certificate. (See photo 32)
Are all requirements related to QM-System, product, and
P7.1 32 YELLOW
process fulfilled?
However, there are PLM, ERP, SFT systems to support and manage
product manufacture activities.

There is a documented procedure Customer complaint and return

P7.2 Is customer service guaranteed? management procedure (P-S-05) that defines the customer service 33 GREEN
procedure. (See photo 33)

The factory claims the product supply lead time is 5 weeks and defined in
P7.3 Is the supply of parts guaranteed? - GREEN
Purchase Order confirmation with the customer.

There is a customer quality complaint 8D report provided for review during

If there are deviations from quality requirements, are failure the audit. (See photo 38)
P7.4 analysis carried out and corrective actions implemented 34 YELLOW
effectively? Note: If the customer does not have additional requests the factory will use
a basic Non-confirmative sheet.

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 12/20
 VDA 6.3 POTENTIAL ANALYSIS Rev.
FACTORY PHOTOS 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 1 - Product Design & Development Procedure (P-C-02) Photo 2 - Gear box design check list

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 4 - Product Design & Development Procedure (P-C-02) - Departments Inputs and
Photo 3 - Purchase Order
Output (Activities are not followed consistently)

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 5 - Project Demand Apply Form Photo 6 - Suppliers Relationship Management Procedure (P-M-07)

VDA 6.3 Potential Analysis

TO By: Antonio P. Reviewed by: Eugene T.

TO 13/20
 P P
M M
SA SA
VDA 6.3 POTENTIAL ANALYSIS Rev.
FACTORY PHOTOS 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 7 - Product lifecycle management (PLM) Photo 8 - Organization Chart

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 9 - Quality Manual (QM-01) Chapter 2 - Job function and responsibility Photo 10 - QC Engineering Data Sheet

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 11 - ERP Photo 12 - QC Control Plan

VDA 6.3 Potential Analysis

TO By: Antonio P. Reviewed by: Eugene T.

TO 14/20
 P P
A M A M
S S
VDA 6.3 POTENTIAL ANALYSIS Rev.
FACTORY PHOTOS 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 13 - Inspection, Package and Warehouse Management Procedure (P-C-07) Photo 14 - IQC record

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 15 - Materials warehouse Photo 16 - Shop Floor Tracking (SFT)

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 17 - Working Instructions Photo 18 - Manufacture Process Control & Inspection Procedure (P-C-05)

VDA 6.3 Potential Analysis

TO By: Antonio P. Reviewed by: Eugene T.

TO 15/20
 P P
M M
SA SA
VDA 6.3 POTENTIAL ANALYSIS Rev.
FACTORY PHOTOS 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 19 - IPQC record Photo 20 - NCF record

TO TO
H O H O
E P E P
PL PL
A M A M
S S
Photo 21 - Manpower Management Procedure (P-M-04) Photo 22 - Training record

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 23 - Equipment Management Procedure (P-S-01) Photo 24 - Equipment daily check record

VDA 6.3 Potential Analysis

TO By: Antonio P. Reviewed by: Eugene T.

TO 16/20
 P P
M M
SA SA
VDA 6.3 POTENTIAL ANALYSIS Rev.
FACTORY PHOTOS 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 25 - Equipment maintenance record Photo 26 - Inspection equipment Calibration Procedure (P-S-03)

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 27 - Calibration report Photo 28 - Workshop area

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 29 - Inspection room temperature and humidity control Photo 30 - Product storage method

VDA 6.3 Potential Analysis

TO By: Antonio P. Reviewed by: Eugene T.

TO 17/20
 P P
A M VDA 6.3 POTENTIAL ANALYSIS
A M Rev.

S SUPPLIER NAME
Client Supplier/Factory Name
FACTORY PHOTOS
S AUDIT DATE
00/00/0000
REPORT NUMBER
XXX000000000MA3
6

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 31 - OQC record Photo 32 - ISO 9001:2008 certificate

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 33 - Customer complaint and return management procedure (P-S-05) Photo 34 - Customer template 8D report

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 35 - Workshop area view Photo 36 - Workshop area view

VDA 6.3 Potential Analysis

TO By: Antonio P. Reviewed by: Eugene T.

TO 18/20
 P P
M M
SA SA
VDA 6.3 POTENTIAL ANALYSIS Rev.
FACTORY PHOTOS 6
SUPPLIER NAME AUDIT DATE REPORT NUMBER
Client Supplier/Factory Name 00/00/0000 XXX000000000MA3

TO TO
H O H O
E P E P
PL PL
M M
SA SA
Photo 37 - Inspection Room Photo 38 - Finished good warehouse

VDA 6.3 Potential Analysis By: Antonio P. Reviewed by: Eugene T. 19/20
END OF REPORT

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