I. The System
What to look for in the system.
Regarding system practices, the system is viewed through these lenses: ISO 9001 (DQS)—note that IATF 16949 is an automotive-sector-specific supplement requiring conformance with all ISO 9001:2015 requirements; an organization cannot be certified to IATF 16949 without also meeting ISO 9001 standards; Market Access (Code of China)—GB/T 47292.2-2026 “Good Manufacturing Practices for Lithium-ion Batteries – Part 2: Battery Material Control” requires enterprises to specify quality management system (QMS) levels for various material suppliers and establish supplier access evaluation mechanisms; evaluation criteria must cover financial status, technical capability, QMS capability, project management capability, traceability management, and change management; System (Douyin)—ISO 9001 assessment focuses on whether the supplier has a QMS in place, clear responsibilities, document control, change management, and closed-loop issue resolution (viewing the system as the foundation and processes as the workshop floor); Certification (Yuanchuangli)—supplier access standards, review systems, and capability assessments covering production capacity, technical proficiency, and QMS, as well as verifying ISO 9001 certification; Review (CNCA)—regulations on standardizing management system certification activities require certification bodies to assemble audit teams based on the competence and impartiality needed to achieve audit objectives, with teams including at least one full-time auditor; System (Excellence Quality Think Tank)—system audits focus on whether the supplier’s QMS complies with standards such as ISO 9001 or IATF 16949. In summary, the system is evaluated through six perspectives: ISO 9001, Market Access, System, Certification, Review, and System—ensuring a comprehensive assessment.
II.
Audit
What to look for in an audit.
Process—VDA 6.3 focuses on whether a specific production line and process can consistently yield compliant products (laypeople audit certificates, while experts audit processes; when auditing a power battery pack supplier, don’t just ask for procedure documents); On-site—A&S Power (on-site inspection of a battery supplier’s factory to verify that the cell production and testing processes backing a quote are genuine and repeatable; walking the line, tracing units to cell batches, observing end-of-line tests, and cross-referencing certificates with the actual product); Opening Meeting—Yuanchuangli Documents (confirming the audit’s purpose, scope, criteria, agenda, participants, and schedule; methods include interviews, observation, and document review; gathering relevant information and evidence); Planning—Yuanchuangli Documents (defining the specific on-site audit workflow; setting objectives to verify quality management, production efficiency, and operational compliance; determining the scope, including production floors and warehouses); Follow-up—Excellence Quality Think Tank (supplier auditing is a core activity in supplier development under IATF 16949; identifying potential risks for early intervention before issues escalate; providing primary data for supplier classification and performance evaluation to support the full lifecycle management—selection, development, retention, and phase-out); Ad-hoc—LG Energy Solution (conducting unscheduled evaluations of suppliers’ quality assurance capabilities and improvement programs alongside regular assessments)—The “Six Aspects” of auditing: Process, On-site, Opening Meeting, Planning, Follow-up, and Ad-hoc; ensuring a comprehensive audit across these six areas.
III.
Key Points
What to focus on regarding key points.
Key focus areas for implementation: Three Elements (An audit finding must contain three elements: a statement of nonconformity, a reference to the requirement, and objective evidence; without all three, the finding will be rejected by the IATF/CB process); IQC (Incoming Quality Control acts as the firewall protecting the assembly line; many weak suppliers merely count boxes at the receiving dock and call it IQC—a recipe for disaster for lithium batteries); PPAP (If you require PPAP from your customers, you typically must also require it from your critical component suppliers or conduct equivalent production part approval processes); Control Plan (Control plans must be updated in sync with FMEA—Failure Mode and Effects Analysis—to cover all critical processes; process audits must address elements such as personnel, equipment, materials, methods, the environment, and measurement); Data (Retroactively collect quality data from the past year, such as defect rates and customer complaint records; these will be closely scrutinized during certification audits); BMS (Observe the configuration of the BMS and the testing of its protection and balancing functions; see the battery operate with its PCS and respond to commands; verify the functionality of communication ports and protocols). In summary, the six key areas to examine are: Three Elements, IQC, PPAP, Control Plan, Data, and BMS. Ensure these six areas are thoroughly addressed.
IV.
Checklist
What to look for in the checklist.
Based on checklist best practices, here are the six key areas to examine: 17-Point Check—A&S Power (BESS Supplier Audit 17-Point Checklist to avoid project failures exceeding $1 million; on-site verification that cell production testing processes are authentic and repeatable—A&S Power); Leakage—TYCORUN (100% leak testing after sealing, not just sampling; 100% voltage resistance and self-discharge screening after formation; batch-level capacity distribution data available upon request—TYCORUN); Traceability—LeanManufacturing (maintained and updated Approved Supplier List/ASL; sampling plans aligned with ANSI/ASQ Z1.4; traceability systems linking raw materials to suppliers—LeanManufacturing); Records—MapTrack (valid and current ISO 9001 or IATF 16949 certification; quality policy objectives and management review evidence available; quality records retained in a legible and retrievable format—MapTrack); Certificates—HIZN (review production processes: pack assembly, cell sorting/matching, laser welding, BMS installation, functional testing, aging, and final inspection; inquire which stages are in-house vs. outsourced; identify approved cell suppliers—HIZN); Samples—Topway (Sample Testing—never skip this step; order pre-production samples for independent third-party testing to verify capacity, cycle life, and safety features—Topway)—The six-point checklist covers: 17-point check, leakage, traceability, records, certificates, and samples.
V.
Trends
What to look for regarding trends.
Regarding trend practices, here is how trends are viewed: Periodic Assessments—LG Energy Solution (operates a comprehensive Supplier Quality Assurance System that regularly assesses the quality management level of all suppliers; key criteria include customer requirements and global standards; the scope covers supplier quality management systems and processes); Scorecards—The Standards Navigator (formal supplier scorecards tracking metrics such as PPM defect rates, on-time delivery, and responsiveness are required; underperforming suppliers must undergo development plans); Process Audits—Quality Excellence Think Tank (for most manufacturing enterprises, process audits offer the best cost-performance ratio, sitting between system audits…); Certifications—ESZONEO (certifications and compliance, including ISO 9001 or IATF 16949 quality management, IEC/UL safety certifications, RoHS/REACH compliance, and ESG credentials).
