SUPPLIER AUDIT CHECKLIST Entity: Section 1 Receiving raw inputs, materials, semi-finished products and accessory parts to warehouse,

warehouse managements, release of inventories for production Scores No Criteria Condition of warehouse premises (lighting, heating), availability of restricted areas. Availability of job descriptions for 3 1 0 Good 3 Satisfactory 1 Unsatisfactor y 0 Notes

storekeepers, warehouse loaders, and other manual workers of a warehouse and observance of these job descriptions. Availability (and observance) of approved layout of warehouse and its marking by sectors (areas): by kinds of inventories, by particular features of storage, by arrival, availability of hold area for raw inputs and materials Availability of approved regulatory

documents in respect of conditions for 4 storage, handling, and keeping of raw inputs and materials Guidelines, extracts from Specifications, GOSTs, and etc. Availability of specific instrumentation for 5 maintenance of storage conditions 3 2 0 (temperature, humidity) Guidelines on corrective actions in case of detection of incompliance with storage 6 requirements. Existence of procedure for prevention of release of inadequate materials 7 for production. Availability of adjustment of specific storage equipment conditions for (air 3 1 0 4 2 0 3 2 0

dryer/humidifier, air conditioner) Positioning system and status identification 8 system (non-defective/defective) for 3 2 0 necessary kind of raw input/material Existence of a list of approved suppliers for each group of inventories Existence of a list of items subject for receiving inspection. Establishing criteria 10 pursuant to which products of a supplier shall be come subject for receiving inspection. Availability of equipment, instrumentation, 11 and approved reference samples with valid expiry date necessary for the receiving inspection Procedure governing dealing with supplier of inadequate products. Availability and keeping of necessary 3 1 0 3 2 0 4 2 0

12

accompanying documents for arriving raw 13 inputs and materials; correctness of such documents; keeping quality certificates for arriving raw inputs. Availability of necessary 14 packaging 3 1 0

materials, crating, pallets and etc. ensuring safety of products during storage and transportation within the facility. Availability of necessary loading and and

15

unloading

equipment

(automated

manual) and its condition. 16 17 18 Personnel: skills, availability of schedules for job training. Availability of consignment warehouses at the sites of Purchasers. Availability of buffer warehouse. Level of apprehension stock by at the 3 2 3 1 1 1 0 0 0

personnel 3 1 0

19

participating in the audit of the questions

being asked (level of skills). Results of the assessments Maximum possible score Scores according received to

55

results

of

the

assessment Note: Where it is impossible to assess a particular criterion, average score shall be used in the assessment (50 % of maximum score)

Entity: Section 2 Production Scores No Criteria Good Satisf actory Unsat isfact ory Notes

Organisation of work places of production personnel: Availability of necessary regulatory documents: - operating instructions (availability, visualisation, 1 accessibility); - manuals on operation (maintenance) o equipment; - process parameters cards; - control plan or process worksheets. Visualisation of methods of performing operations (correct incorrect). Visualisation of defects Availability of control samples at workplaces Organisation of workplaces (5S technique) Existence and compliance with production plan at workplace (shift, daily, monthly). Performance of preliminary analysis of product technical specifications to identify key characteristics, parameters of operating procedures affecting them and control techniques. Performing FMEA process, comparison of actual 7 operating procedures with conclusions made according to results of FMEA process. Quality Management Plan in respect of manufactured products and its reflection in operating guidelines. Recording process control results in accordance with Quality Management Plan and procedure of corrective 9 actions in case of deviations from norm of the operating procedures in the course of analysis of the data received. Application of statistical methods for control of production process. Compliance of measurement process documents. equipment and 4 2 0 5 4 0 4 3 0 5 4 0

2 3 4 5

2 3 2 2

1 1 1 1

0 0 0 0

10

11

instrumentation at workplaces with requirements of

Compliance of equipment used for manufacture of 12 products with requirements of standard technical documents. Clutter of Condition manufacturing of equipment premises, and tooling workplaces, repair, 4 2 0

13 14

passages and driveways. maintenance, and identification plates. Maintenance and repair of equipment and tooling Existence of and compliance with maintenance plans and schedules of preventive and planned repairs. Personnel: skills, work load, number of shifts,

2 5

1 2

0 0

15

16

availability of interchange matrix and schedules for job training. Identification of work in progress to establish the level

17

of process step and compliance with process documents (non-defective/defective). Availability of hold area responsible person,

18

accounting for, compliance with schedule (moving in moving out) minimisation of access of unauthorised persons. Regulations on performing works on making good in

19

case any defects are detected in the process of product manufacture. Analysis of quantities and causes for internal spoilage

20

in order to perform corrective actions and to assess their efficiency. Personnel awareness of quality of manufactured

21

products, quantities of incompliant products, claims from consumers, orders and instructions of management (information stands, personnel meetings) Metrological Support existence of the service. Calibration of measurement equipment contracts with certified centres. Existence of and compliance with schedule of calibration (attestation) of measurement equipment. Recording of measurement equipment. Identification of measurement equipment and instrumentation calibration date tag, responsible person, inventory number. Availability of buffer stock

22

23

Level of apprehension by personnel participating in the audit of the questions being asked (level of skills). Maximum score Scores possible received

3 75

Results of the assessments

according to results of the assessment Note: Where it is impossible to assess a particular criterion, average score shall be used in the assessment (50 % of maximum score)

Entity:

Section 3

Finished products handling: storage, packaging, dispatch, transportation

Scores No Criteria Compliance with schedules of delivery of 1 finished goods agreed upon products with in 3 1 0 5 4 0 consumers. Marking of 2 Good Satisfactory Unsatisfactor y Notes

despatched

accordance with specifications and supply contract. Availability and condition of area for packing and storage of finished products. Availability of regulatory documents on storage and of maintenance finished of storage that conditions products that

prevent their damage. Presence of conditions 5

prevent 3 1 0

spoilage of finished products during storage period at warehouse. Monitoring of storage periods. Use of FIFO principle. Organisation of workplaces for packagers

of finished products and for warehouse personnel. Availability of operating instructions, materials, and instruments Analysis of occurrence of defects of

finished

products

during

packing,

8 9

shipping, and unpacking. Use of crating for finished goods, as agreed upon with consumer. Issue of necessary regulatory

3 4

1 2

0 0

accompanying documents. Personnel: skills, work load, number of shifts, availability of interchange matrix and schedules for job training. Availability and condition of necessary loading and unloading equipment and trucks ( lift trucks, electric trucks, trolleys,

10 11

2 2

1 1

0 0

palettes, overhead cranes, and etc.). Collection and removal of household and industrial wastes. Maximum Results assessments of possible score received the Scores according to results of the

12

2 35

assessment Note: Where it is impossible to assess a particular criterion, average score shall be used in the assessment (50 % of maximum score)

Entity: Section 4 Quality management system Scores N o. Criteria Good Satisf actory Unsat isfact ory Notes

Existence of certified Quality Management System (availability of current fundamental documents and 1 compliance with them) / Existence of plan for establishing Quality Management System and preparation for its certification (in case of having no QMS certificate) Monitoring of customer claims, development and implementation of corrective actions Internal audit of QMS, assessment of efficiency of activities implemented in accordance with results of the audit. Organisation of receiving inspection: the receiving 4 inspection is organised in accordance with requirements of documented procedure Equipment of control points (posts): existence of and 5 compliance with operating instructions; visualisation of defects; availability and keeping of regulatory documents Availability of certified technological laboratories or agreements with third party specialised institutions Monitoring of quality of manufactured products, spoilage analysis and systematic solution of problems in case any differences are detected Visualisation of information on stands about quality of manufactured products. Personnel awareness. Availability of feedback in respect of customer claims, development of corrective actions according to results of the claims Systematic informing of consumer about any changes 10 in manufacturing process, used raw inputs and materials, and places of manufacture of products Working with suppliers in respect of quality: system of assessment, holding audits, development of suppliers 4 1 0 2 1 0 5 2 0 5 2 0

11

Personnel: skills, work load, number of shifts, 12 availability of interchange matrix and schedules for job training. 13 Level of apprehension by personnel participating in the audit of the questions being asked (level of skills). Maximum Results of the assessments score Scores possible received 3 1 0 2 1 0

45

according to results of the assessment

SUPPLIER QUESTIONNAIRE 1) General information about the supplier

Full name of the supplier: ______________________________________________________________ Details (tel., fax, web site, E-mail)

______________________________________________________________ ________________________________________________________________________________

Registered patents for products: please, attach copies (if any)

Whether you possess exclusive rights for sale of products? (For intermediaries. Please, specify names of the products and manufacturer)

Consumer references about products: please, attach copies (if any). 2) Principal suppliers of raw inputs and materials

List of principal kinds of raw inputs and materials: _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ ___________________________________________________________ Whether assessment of Suppliers is performed?

Yes

No

Whether the Supplier requests product certificates and/or Quality Management System of its suppliers?

Yes

No

Existence of receiving inspection of the products arrived

Yes Monitored

No parameters (major):

_______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ ___________________________________________________________

Availability of Supplier (sub-supplier) certificates: for products (quality certificate)

Yes

No

For quality management system (ISO 9001)?

Yes

No

3) Quality Management System (Environmental Management System, Occupational Health and Safety Management System) Existence of Quality Directorate (Quality Service) and its major functions: _______________________________________________________________________________________ _______________________________________________________________________________________ _______________________________________________________________________________________ ___________________________________________________________

Existence of certified quality management system (ISO 9001)

Yes

No

If yes: Please, attach copy of the certificate

If No: Programme for establishing Quality Management System and preparation for its certification (please, attach)

Yes

No Planned time of the certification

________________________________________________________________________________

Existence of certified environmental management system (ISO 14001)

Yes

No

Existence of Occupational Health and Safety Management System (OHSAS 18001)

Yes

No

Existence of product control and of process under approved technological processes, and documenting quality data

Yes

No

Existence of final product control and testing in accordance with approved technological processes, and documenting quality data

Yes

No

Existence of certified laboratories (experts) and equipment ensuring monitoring and testing of products

Yes

No

List

of

core

laboratory

equipment:

_______________________________________________________________________________________ _________________________________________________________________________ Whether calibration of measurement equipment is performed on a regular basis (in accordance with schedule)?

Yes

No

Identification and/or backtracking from final products to components and materials used

Yes

No

Existence of procedure for management of inconsistencies emerging in the course of manufacture of products

Yes

No

Whether analysis of efficiency of adjustment activities is performed?

Yes

No

Existence of effective measures to the benefit of UC RUSAL in respect of the issued claims

Yes 4) Production capacities

No

Existence of Equipment Maintenance and Repair System

Yes

No

Existence of equipped repair base and of trained personnel for servicing production equipment to the full extent

Yes

No

Availability of warehousing premises that ensure storage of products in accordance with requirements

Yes 5) Customer satisfaction

No

Existence of documented system for designing products and for confirmation of output design data to requirements of the Customer

Yes

No

Existence of documented system for management of registration and consideration of claims (notices) of customers

Yes 6) Additional information about the company

No

Please, include any additional information in this section characterising the company as prospective and reliable partner _______________________________________________________________________________________ _________________________________________________________________________ 7) Contact details of the person responsible for completion of the questionnaire Please, specify name, position, contact telephone, e-mail ________________________________________________________________________________ Position / name / (Signature / seal)