An ISO9001 audit was conducted of Chemetall Company and identified several findings. More than 15 minor findings were identified. Key issues included incorrect process flow diagrams, lack of document control, unstable temperature monitoring in warehouses, lack of safety stock evaluations for raw materials, no defined process for handling non-conforming products, poor traceability of products and raw materials, and lack of training records to demonstrate operator competence on process changes. Corrective actions were assigned to address each non-conformance by the due date of June 30, 2015.

1. SUMMARY OF ISO9001 AUDIT
CHEMETALL COMPANY
BBT-T-300, 17.06.2015

2. SUMMARY OF ISO9001 AUDIT
GENERAL VIEW
BBT-T-300,17-06-2015 Page 2
Audit area ISO9001 statistics view
–1 Major Finding
–More than 15 Minor Findings
–Between 5 and 15 Minor Findings
–Less than 5 Minor Findings
Audit Evaluation
1 1
4
1
7.Process & production4.QMS 6.Resource 8.Measurement
FindingFrequency
ISO Items
Requirement
fulfilled Recommendation Finding Finding Deviation
Process critical
deviation
A B C D E F
Process
requirements
fulfilled; continuous
review can be
proven.
Process requirements
fulfilled; Some
improvement
opportunities have been
identified.
Process requirements
fulfilled;
Links, input / output not
completely defined or
some other minor fault.
Process
requirements not
completely fulfilled;
Potential negative
effect on process /
product quality.
Process requirements
not fulfilled;
Measured negative
effect on process /
product quality.
Process requirements not
fulfilled;
Requirements / properties of
the product is not ensured.
2 4 1
A B C D E F
Audit leading by
Participants
Zhu Jiaxin(BBT-543)
1.Masud (BBT-T-300)
2.Hu Jiancheng(BBT-T-31)
3.Gao Guangrui(BBT-732)
4.Wu Xiaolin(BBT-541)
Chemetall Company

3. SUMMARY OF ISO9001 AUDIT
AUDIT OUTCOMES
BBT-T-300,17-06-2015 Page 3
Status Audit Found Ref. Item 7.5.2 Validation of process for
production
There is a product process flow diagram for every products, and it is easy to get onsite, meanwhile make sure
production to realize, but during the audit, a kind of flow diagram of pretreatment liquid is wrong, and needto
be optimized right now. For flow diagram, the sequence of feeding raw material should be fixed, not wrote on
production sheet by manual or any operator.
Visual view:
Corrective action
taken By:
Zhu Cheng
Chengzhu@chemetall-cn.com
Due Date 30.6.2015
Feeding raw materials not tothe sequence Temp big deviation 0-80°C
F

4. SUMMARY OF ISO9001 AUDIT
AUDIT OUTCOMES
BBT-T-300,17-06-2015 Page 4
Status Audit Found Ref. Item 4.2.3 Control of the document
According tothe ISO requirements, Organizations must ensure the changes and the current version status
before using it as well as documents remain legible and readily identifiable.
Documents control Procedure CCM/QP-4.2.3-01 is available. During the audit, there are so many documents
found that are out of control. Document are wrote by different departments which is not involved to quality
system & not released by quality department.
Visual view:
Corrective action
taken By:
Feng Qingqing
qingqingfeng@chemetall-cn.com
Due Date 30.6.2015
E
Documents not release by quality side and
don’t have the version status

5. SUMMARY OF ISO9001 AUDIT
AUDIT OUTCOMES
BBT-T-300,17-06-2015 Page 5
Status Audit Found Ref. Item 7.5.5 Control of the production
According tothe ISO requirement organization shall preserve the product during internal processing and
delivery tothe intended destination in order to maintain conformity to requirement. Preservation shall
included identification,packaging,storage and protection.
For the PT raw materials requirement temp is 10-30⁰C but in the warehouse monitoring of thetemp is not
stable. Only one temp record gauge is available in the warehouse which is don’t have calibration label ,no
hygrometer and records. There are also some power and caustic soda flakes in warehouse, so it is necessary
to control temperature and humidity.
Production finished goods and incoming goods together are storage together without proper identification &
Traceability. Not clearly mentioned the requirement of the max. and minimum stock capacity of product.
Visual view:
Corrective action
taken By:
Zhu Cheng
Chengzhu@chemetall-cn.com
Due Date 30.6.2015
E
Monitoring temp is not stables and humidity
is not in measurement
Product and
incoming good
are not storage
properly

6. SUMMARY OF ISO9001 AUDIT
AUDIT OUTCOMES
BBT-T-300,17-06-2015 Page 6
Status Audit Found Ref. Item 7.4.1 Purchasing process
According tothe ISO requirement, Organization shall ensure that purchased product conforms to specified
purchase requirements. Supplier and purchased product shall be dependent upon the effect of the
purchased product and shall evaluate and select suppliers based ontheir ability to supply product in
accordance withthe organization requirement.
During the audit for the purchasing process found that phosphoric acid(2J-2/806) is out of safety stock and
don’t evaluated for arrival leading time of raw materials. Monthly basis checking of goods has been
implemented but after checking don’t have the evaluation or action plan for the order of incoming goods.
Corrective action
taken By:
Lu Xueying
xueyinglu@chemetall-cn.com
Due Date 30.6.2015
E
Safety stocks is out of tolerance but no
effective realization
No evaluation results and
action

7. SUMMARY OF ISO9001 AUDIT
AUDIT OUTCOMES
BBT-T-300,17-06-2015 Page 7
Status Audit Found Ref. Item 8.3 Control of the non-
conforming product
According tothe ISO requirement, Organization shall ensure that product which does not conform to product
requirements is identified and controlled to prevent its unintended use or delivery as well as also mentioned
related responsibilities and authorities for dealing withthe product.
During the audit found that , in warehouse don’t have the specific area and specific process for the control of
the non-conformities and no responsibilities that’s take actionto eliminate the detected non-conformity.
Corrective action
taken By:
Feng Qingqing
qingqingfeng@chemetall-cn.com
Due Date 30.6.2015
E
Status Audit Found Ref. Item 7.5.3 Identification and
traceability
1.Identication and traceability for the products and raw materials was not good and traceability don’t have the
unique format and color which can verified the different condition of the product. Inthe warehouse storage
identification is not control by the any proper system as well as in warehouse no implement of KANBANto
monitor the status of the warehouse .
Corrective action
taken By:
Zhu Cheng
Chengzhu@chemetall-cn.com
Due Date 30.6.2015
D

8. SUMMARY OF ISO9001 AUDIT
AUDIT OUTCOMES
BBT-T-300,17-06-2015 Page 8
Status Audit Found Ref. Item 6.2 Training & awareness
According tothe ISO requirement, Organization shall determine necessary competence for personal
performing work and evaluate the effectiveness of the actions taken. All records of education,training,skill
should be properly stored and protected.
During the audit found that for the phosphating process dosing sequence has been updated and relevance
activity has been updated but don’t have the proper training evidence relevance tothe process quality
objectives .Don’t mentioned the operator working scope and operator qualification approval as well asthe
operator training plan regarding tothe work needs.
Corrective action
taken By:
Feng Qingqing
qingqingfeng@chemetall-cn.com
Due Date 30.6.2015
D

9. THANKYOU FORYOUR ATTENTION.
Page 9BBT-T-300,17-06-2015