SRI Quality System Registrar | A PRI Company

161 Thorn Hill Road • Warrendale, PA • 15086

Telephone: 724-934-9000 • Fax: 724-935-6825 • E-mail: [email protected]

Renewal Audit No: 40

ISO 9001:2015
CONFIDENTIAL
Report
For

THE DOE RUN COMPANY

METALS DIVISION
St. Louis, Boss, and Herculaneum, Missouri
Date of Report: April 4, 2024
Date(s) of Audit: March 11-15, 2024
Number of total mandays scheduled for this audit: 5.5
Number of total mandays actually conducted: 5.5
Audit Team Members (Lead name first): John Griffin
Nonconformances (CAN numbers) issued this audit: None
Nonconformances (CAN numbers) closed this audit: None

TABLE OF CONTENTS
Report Sections: Appendices:
1. Executive Summary 4. Audit Plan Assessment Summary Matrix
2. Auditor Commentary 5. Audit Records Process Summary
3. Auditee Information 6. Report Distribution Corrective Actions List
Opportunities for Improvement
Best Practices Observed

Associate V.P. Certification: Date: April 4, 2024

Edward L. Maschmeier

Ownership of the audit report is maintained by SRI.

Right of perusal by a third party can only be obtained after permission of the audited company.

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Executive Summary

An audit was conducted at the location(s) on the date(s) cited above. The purpose of
this audit was to ensure that the auditee was continuing to maintain a documented and
effective Quality Management System, to meet the organization’s objectives, in
conformance with the Quality Management System requirements. A draft audit report,
consisting of the audit team recommendation (R20.36) and related corrective action
notifications (R20.35), was provided to the organization by the Lead Auditor prior to the
closing meeting.

The audit followed SRI's guidelines and procedures. The scope of the audit was a
review of the scheduled processes and any area(s) of nonconformance cited and/or
remaining open from the previous audit. In preparation for the renewal audit, planning
considered the performance of the Management System over the period of certification
and included a review of the previous surveillance audit reports.

Timing requirements for responding to Corrective Action Notifications are listed on the
second page of the R20.35 form, which is part of the draft audit report.

The recommendation in the draft audit report is any one of the following:

Unconditional: No nonconformances were issued. The registered organization was

able to demonstrate the capability to implement and maintain an effective Management
System, to meet the organization’s objectives and intended results, in conformance with
the Management System requirements.

Conditional: One or more minor nonconformances were issued. The registered

organization was able to demonstrate the capability to implement and maintain an
effective Management System, to meet the organization’s objectives and intended
results, in conformance with the Management System requirements, except where
described in the Corrective Action Notification(s).

Terminated: The audit was stopped before a recommendation could be established.

Failed (IATF audits only): The certificate will be withdrawn.

Registration Withheld or Status Notice (Suspension): One or more major

nonconformances were issued. The organization was unable to demonstrate the
capability to implement and maintain an effective Management System, to meet the
organization’s objectives and intended results, in conformance with the Management
System requirements. For uncertified organizations, no action to issue the initial
certificate will occur until the major nonconformity (s) are closed. For certified
organizations, SRI will determine if the certificate can be maintained or whether a
suspension status or withdrawal of the certificate is warranted. A separate
communication will identify the final decision and communicate how the closure of the
nonconformity (s) will be handled.

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General observations made by the audit team:

• Progress made toward meeting Continual Improvement targets is satisfactory.

• Audit results observed were better than the previous audit activity.

• Marks and logos were found to be in conformance.

• The certificate scope was found to be appropriate.

• CAAT auditing techniques (of any type) were used during this event: No.

• The audit objectives have been fulfilled, and any applicable CAAT methods were
effective in fulfilling audit objectives.

• There were no deviations from the audit plan.

• There were no issues affecting the audit program.

• There were no unresolved issues at the end of the audit.

The audit evidence collected during an audit will inevitably be only a sample of the
information available, partly due to the fact that the audit is conducted during a limited
period of time and with limited resources. Therefore, there is an element of uncertainty
inherent in all audits, and all users of the results of the audit should be aware of this
uncertainty.

The audit team would like to thank all personnel for their hospitality and cooperation
during the audit.

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Auditor Commentary

Based on the audit investigations, interviews, observations, and review of records, the
following comments summarize the audit team’s observations and findings:

Internal Audit Results: The Internal Audit activities associated with the
company's QMS were reviewed for this audit and were
found to follow an established and documented process.
(Internal Audit Policy PCP-471-006, Internal Audit
Planning & execution PCP-PCP-471-007), The
company audit schedule and related audit records were
reviewed for the audit. The schedule revealed that
internal audits of the QMS are conducted 2 times per
year for each key process. (See OFI-3) The records
reviewed indicated that all key process were audited in
2023. There were no NCs written on these audits in
2023.

Management Review The Management Review activities associated with the

Results: company's QMS were reviewed for this audit and were
found to follow an established and documented process.
The company conducts annual reviews of the QMS and
records of the latest MR were reviewed for this audit,
which was conducted on February 12, 2024. The
record, in PowerPoint format was reviewed. Records
indicated that the leadership of the facility was present
for the review and participated in it. The leader was
interviewed for the audit and confirmed that they were
involved in this review and other variations of this review
(on a monthly basis).
The contents of the review appear to meet
requirements, and the QMS goal and objectives that
were reviewed were as follows:
• Customer complaints goal-<2022, actual-3, (Positive
trend noted since 2019)
• Cast Tons per day, goal-> budget, actual 23/52
weeks-met goal,
• Batteries broken per day, goal->budget, actual 25/52
weeks-met goal,
• Refinery issues-goals-<2022 actual-8,
• Traffic issues, goal-<2022, actual-2.

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Corrective/Preventive The Corrective Action activities associated with the
Actions: company's QMS were reviewed for this audit and were
found to follow an established and documented process.
(CAPA procedure-PCP-471-008, Preventative action
PCP-471-015) The company's CAPA log was reviewed
for the audit as well as the latest Management Review
record. These records showed that there were at total of
10 customer related NCs that were managed in the
system in 2023. Of these, 2 were still open and 8 were
completed. The CAPA records showed that a 5-Why
process was used to determine root causes to these
customer issues and implement corrective actions to
prevent recurrence. The records reviewed confirmed
this process was in place and effectively implemented.

Customer Complaints: The Customer satisfaction/complaint activities

associated with the company's QMS were reviewed for
this audit and were found to follow an established and
documented process. (Kaizen process PCP-471-005,
Improvement action process PCP-471-010) The
company's customer complaints were reviewed for the
audit. There were 10 in total, with 3 affecting the
customer due to misidentified materials being shipped to
customers. The Management Review activity
highlighted that a kaizen-type event was used to work
on a bar coding process to prevent the issue of "wrong
content" in shipments. The data for customer complaints
was also reviewed and showed a reduction in
complaints for each year for the past 6 years. The
company had discontinued the use of customer surveys,
but the company has the intention of restarting the
process in the near future.

Complaints were reviewed, and proper investigation and

resolution were observed.

Quality System Changes: There are none.

Areas Identified as 8.3 Design and development of products and services,

Not Applicable: 8.5 Service Provision (Only),
8.5.1.f Validation and Revalidation of Special
Processes,
8.5.3 Property belonging to customers or external
providers

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Results of Documentation The company's documentation related to the ISO 9001
Review: QMS was reviewed for this audit. The company has a
QMS Manual, and its content was reviewed. Required
documents such as the QMS scope, policy, and key
processes / interactions were located and verified as
being under document control. The QMS manual is
supported by some 86 Level 2 documents (PCPs), and
a variety of Level 3 Instructions and Forms (SFs).
The process for controlling and managing the QMS
documentation is described in Procedures (PCP-471-
012-internal), and (PCP-471-002-external). The
evidence reviewed for QMS documentation indicated
that the company's documentation is extensive and far
exceeds the minimum requirements of the ISO 9001
standard.

Regulatory / Statutory Identified statutory or regulatory requirements (i.e.,

requirements identified or those recorded on the R20.62) were reviewed and no
added since the last event: issues were identified.

NAFTA, Radioactive minerals, Conflict minerals

Auditor Comments The Doe Run Metals division/recycling facility located in

(Important Observations, Boss, Missouri, with support locations in Herculaneum
Strengths, Exclusions): and St Louis is in the business of recycling secondary
sources of lead in the form of used batteries. The
business is about 80% tolled and 20% independent. The
primary production operations are separation of
materials being the lead used in batteries, the plastic
casings used to enclose the lead, and the acids in the
battery. The primary recycled material is lead which is
purified and blended into some 38 different alloys or
versions of the finished lead product.
Industries/customers include the battery, ammunition,
and medical industry. The company has been ISO 9001
certified for some 27 years, with 40 third party ISO 9001
audits conducted since the initial certification in 1997.

The QMS is very mature, and the personnel responsible

for the initial certification are still employed by the
company and still on site.

The company's risk issues include the complications

arising from 38 variations of the lead products (alloys),
the safety/human error issues involved in managing and
handling the products, a challenging EMS regulatory
landscape, and fluctuating lead commodity prices.

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Validation of CANs issued None issued at the previous audit event.
during previous activity:

Review of Outsourced There are none.

Processes:

Shifts: No changes in shifts or times were observed.

Reviewed Internal Audit results, off-shift production

management/lead person assignment, customer
complaint, and product and process performance data.

Notable changes Employee count total is now 331 (from 327). There were
(e.g., address, management no other changes at this time.
rep., shifts, scope,
processes, employee count,
etc.):

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R20.62 Auditee Information

Auditee: The Doe Run Company

Metals Division

Corp Office: 1801 Park 270 Drive, Suite 300, St. Louis, MO 63146 Auditee No: 0179-00
881 Main Street, Herculaneum, MO 63048 Auditee No: 0179-01
18594 Highway KK, Boss, MO 65440 Auditee No: 0179-02

Auditee Contacts
Mr. Grant DeShon, Quality Engineer
The Doe Run Company - Metals Division
1801 Park 270 Drive, Suite 300, St. Louis, MO 63146
Tel: 573-538-2706
Email: [email protected]

Audit Event
Renewal: 03/11/2024 - 03/15/2024 Total Mandays: 5.5 (on-site)
John Griffin, Lead Auditor

SRI Audit Operations Coordinator: Maureen Kuczma

Coordinator Phone: 724-934-9000 ext. 617
Coordinator Email: [email protected]

Audit Scope
Standard: ISO 9001:2015 (non-design)
Areas Identified As Not Applicable: 8.3 Design and development of products and services,
8.5 Service Provision (Only), 8.5.1.f Validation and Revalidation of Special Processes, 8.5.3
Property belonging to customers or external providers
Scope: Production of high quality lead, lead alloys, and propylene chips.
SIC Codes: 3341
IAF: 17
NACE Codes: DJ27.4
No. of Employees: 331 Total
Products: Lead Products
Regulatory/Statutory Requirements: Radioactive Materials; Conflict Minerals; NAFTA
Accreditation Mark(s): ANAB, RvA
Registration Approach: Site with location(s)
Certificate Expiration: 04/27/2024
No Shifts: 4
Times of Shifts: 4 crews-A, B, C, D, 5:00am-5:00pm and 5:00pm-5:00am

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Audit Plan

The audit plan, audit team members, and qualifications, representatives, working documents,
audit plan schedule, process matrix, and auditor assignments have been reviewed with the
organizations and are on file with SRI. The final Audit Plan is considered part of the report and
is maintained as an audit record.

Audit Records

Form R20.36: Which shows the registrar confirmation of the audit results was completed,
signed by both parties on-site, returned to SRI, and is on file.

Assessment Narrative: The pre-audit/post audit conference list of attendees and standard
agenda are on file, as is the agenda. The registered company has acknowledged and signed
any corrective action notifications issued at this event.

The SRI Auditor Notes: Auditor notes were captured and returned to SRI, along with the
“Interview Listing” (I8-3), all of which are on file.

Assessment Summary Matrix: The assessment summary matrix was completed by the lead
assessor and indicates the areas in which the selected processes were assessed and the areas
requiring corrective action. If there are several distinct audit tracks or business units, each has
a matrix completed for it. The matrix is provided.

Corrective Actions: If any, are included with this report and summarized in numerical order,
showing the referenced cited standard section, process, a description of the nonconformity, and
the level of severity indicated as "M = Minor" or "H = Hold.” Form R20.35 provides the detailed
nature of the nonconformance.

Opportunities for Improvement: If the lead auditor noted opportunities for improvement (OFIs),
these were provided to the auditee during the post-audit meeting. The opportunities for
improvement are listed.

Report Distribution
Distribution by SRI is only to the auditee, the auditor assigned for the next scheduled audit
event, SRI, and any accreditation body, when requested, where their oversight is required.

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 Assessment Summary

Performance

Processes Assessed Org. Action

Satisfactory Not Identified Unsatisfactory
Plan in Place

Customer Service X

Lab X

Logistics X

Maintenance X

Management X

Poly Chip X

Quality Services X

Refinery X

Sales / Purchasing X

Shipping X

Traffic X

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 Process Summary

Process Comments
Customer Service The Customer Service activities associated with the company's
QMS were reviewed for this audit and were found to follow an
established process. The process for customer service and
meeting customer requirements is managed through the
Corporate Sales group located in St Louis, Missouri. This
group is in contact with Outside Sales who are in direct contact
with the company's customers. Feedback from the customer
concerning pricing, delivery, and quality, are forwarded to the
Boss, Missouri Quality Manager to be addressed in the
company QMS/CAPA process.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

Lab The Lab activities associated with the company's QMS were
reviewed for this audit and were found to follow an established
and documented process. The lab activities are primarily to
provide test data to the refining process as to the condition of
the Lead alloys as they are being adjusted with the proper
amounts of trace elements, and to verify that the products are
at or below maximum levels of trace elements per customer
specifications. Testing also confirms that the final product
meets the spec requirements of the customer. A spectrometer
is used to check elements in the beginning, middle, and final
stages of the adjustments to the elements "assays" to meet
customer requirements. The data from each spectrometer test
is saved in hard and electronic forms and is stored for life.
Upon final spectrometer testing, the data is transferred using
the AS400 system to a certificate of analysis (COA) form to be
sent with the materials to the customer. The spectrometer
operator was very senior and had been with the company for
over 30 years. Operators interviewed during this part of the
audit were extremely competent and aware of the QMS and
their contributions to it.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

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 Process Comments
Logistics The logistics activities at the Herculaneum facility associated
with the company's QMS were reviewed for this audit and were
found to follow an established and documented process.
Currently, the activities at this site are minimal, and the only
materials being shipped from this facility is reverb slag
materials which is a by-product of the refining process. This
product is shipped by truck to the facility and are shipped out
of plant to customers by rail. The movement of materials
between Herculaneum and Boss facilities are coordinated
through the St. Louis corporate group with coordination at the
Boss facility (also see Traffic section of this report). Operators
of the system were interviewed and were found to be
competent and aware of the QMS and their roles in it.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

Maintenance Maintenance activities associated with the company's QMS

were reviewed for this audit and were found to follow an
established and documented process. The PM / Work Order
process was reviewed during the audit. The company uses an
AS 400 software package to generate a series of weekly,
monthly, quarterly, semi, and annual inspections of critical
equipment onsite. The system keeps up with the status of each
inspection (open, closed), and keeps metrics on the overall
usage and the status of the system, tracking scheduled, in
process, completed PMs, PM hours scheduled, confirmed
hours, and overall compliance with the schedule.
Specific metric tracked are: PM hours scheduled-goal 90%,
confirmed hours-goal 90%, and PM compliance->50%. (See
OFI-1) Records are kept of each scheduled activity which are
signed by the technicians and by the maintenance planners.
Metrics are kept and monitored on the system by maintenance
supervision. Interviews and reviews of records verified that this
process was implemented and effective. (See Best Practices-
2)

Metrics: Customer complaints goal-<2022, actual-3, (Positive

trend noted since 2019) cast tons per day, goal-> budget,
actual 23/52 weeks /met goal, batteries broken per day, goal-
>budget, actual 25/52 weeks /met goal. Refinery issues-goals-
<2022 actual-8, Traffic issues, goal-<2022, actual-2.

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 Process Comments
Management The Management / Leadership activities associated with the
company's QMS were reviewed for this audit and were found
to follow an established and documented process. PCP-471-
001) The leader (General Manager) of the organization was
interviewed for the audit. The activities of the leadership
requirements of the QMS (section 5) of the standard were the
basis of the interview. The leader's commitment to the QMS
were discussed and evidence showed that the leadership was
committed to the QMS and actively involved in its function. The
QMS policy was supported by plant goals and objectives, and
resources were sufficient to manage the QMS. Information
concerning the QMS was communicated through the
management team through regular supervisor's meetings as
well as monthly townhall meetings with rank and file
associates. Overall, there was sufficient evidence that the
leadership activities reviewed meet the requirements of
ISO 9001. (See OFI-2)

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

Quality Services The Quality Services activities associated with the company's
QMS were reviewed for this audit and were found to follow an
established and documented process. These series of
processes serve to support the main QMS function which is to
recycle and reuse lead materials. The support areas such as
management review, internal audits, corrective actions, and
customer satisfaction were reviewed during the audit with
results described in other areas of this audit report.

Other support areas audited are as follows:

4.0 The company's context was reviewed for the audit. The
QMS scope was found in the site QA Manual, as well as the
key process flowchart. (See OFI-2)

5.0 The leadership requirements of the QMS were verified by

interviewing the site leader (GM). The policy was reviewed and
was under document control. The org. chart was reviewed and
resources were documented including a new QM who has
been onsite for 3 months at the time of this audit.

6.0 Risk analysis for the QMS was managed through the
management review activity. See (OFI-1), QMS goals and
objectives were reviewed and were found to be managed.
QMS objectives were reviewed for the audit and is covered in
other areas of this report (Management review). (See OFI-2)

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 Process Comments
(Continued) 7.0 Resources-leadership was interviewed for the audit and
presented evidence that indicated that human resources while
slightly below full staffing, are or will be shortly at full staffing.
Training / competency activities were reviewed and indicated
that critical QMS records such as job descriptions, orientation
training, 90 day employee reviews, and ongoing QMS training
was in place. (See OFI-4) Employees and management were
interviewed concerning knowledge and awareness of the QMS
and indicated that is supported monthly by "tool box talks". The
calibrated devices in the QMS (spectrometer and weigh
scales) are controlled with departmental management
systems. All devices were found to be in a state of control.
(See OFI-5) Control of QMS documents and records was
reviewed and was recorded in another area of this report (See-
document review section)

8.0 The operational areas of the QMS-BSN, refinery, logistics,

maintenance, customer support were reviewed for the audit
and are recorded in other areas of this report. (See-Refinery,
lab, poly, traffic, sales, purchasing, logistics, shipping)

9.0 Monitoring and measurement of the QMS-BSN and

refinery were reviewed during the audit. Results of this review
are contained in other sections of the report (See-Lab, refinery,
poly)

10.0 Corrective actions and continual improvements to the

QMS were reviewed for this audit and were covered in other
parts of this report (Corrective action, customer satisfaction)

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

Poly Chip The Poly chip production activities associated with the
company's QMS were reviewed for this audit and were found
to follow an established and documented process. (QAM
Process flowchart pg. 6, Buick resource recycling facility
management system handbook section 3) The Poly chip
production activities associated with the company's QMS (or
BSN) were reviewed for this audit and were found to follow an
established and documented process. This process takes used
batteries and crushes them, separating the lead content from
the casing, collecting the acids and neutralizing them and
processing it to later be treated. The process feeds the battery
stock into series of crushers, the material is put on belts that
separate the lead and plastic. The plastic is blown into trailers
where it is transported to recyclers. The lead is moved to the
reverb and blast furnaces to be refined.
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 Process Comments
(Continued) The crushing process is fully automated; operators observe the
materials moving on belts and check for mixed material
streams. The electronic process control panel shows the
system in use in real time allowing operators to monitor the
material flows, amperages of the motors and other operational
parameters. Adjustments to the process can be made in real
time if non-conforming conditions are found. The operator was
observed and operators interviewed during the audit. Evidence
showed the operators, when interviewed, were competent,
highly skilled and very senior. They were aware of their QMS
and their role in it.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

Refinery The Refinery production activities associated with the

company's QMS were reviewed for this audit and were found
to follow an established and documented process. (QAM
Process flowchart pg. 6, Buick resource recycling facility
management system handbook section 3) Both the blast and
reverb furnaces are used to melt the recycled lead into
liquefied form so that it can be purified and blended into an
alloy that is useable by their customers. The furnaces are
automated with error proofing capabilities', meaning that they
have sensors and cameras that continuously monitor the
process in real time. Monitoring areas include oven temp.,
water temp, O2 flow, materials flow, feed rates, slag and dross
flow. The raw lead, after being separated from the plastic
casings is fed into either the blast furnace or the reverb
furnace. The lead is liquified by heating and poured into
receiving "kettles" (12). The kettles have samples made (3)
that are sent to lab to be spectrometer tested. The
spectrometer tests the elements in the kettle which is mostly
lead but trace amounts of other elements such as Copper, Tin,
Cadmium, Antimony, Zinc and Nickel. The refinery uses
various processes (treatments) to remove and add elements to
make the specific lead alloy required by the customer. These
alloys are documented on a customer spec sheet that follows
each order. The treatments used are all documented in various
procedures in the QMS (PCP-446-020-031) After each
treatment, the kettles are tested until correct levels of each
element are reached. The lead alloy is poured into casting
kettles. 6-9 samples are tested using the spectrometer, and
the data is transferred to a COA, which is signed by the
relevant production authority before pouring the alloy into its
final form (billet, block, or pig). The loading dock packages,
warehouses and loads finished product for shipping. The
AS400 software system scheduled loads for shipment to
ensure on time delivery using an assigned load #.
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 Process Comments
(Continued) The system assigns material lot numbers of materials to be
chosen by its assay alloy data. The system has software error
proofing mechanisms to prevent loaders from selecting the
wrong type of materials to load. The system will also not print a
BOL or COA for the order if the correct condition for the load
have not been met. Non-conforming lots / kettles are
(separated), 100% recyclable and reuseable onsite. Records
were reviewed, the areas were observed, and numerous
employees interviewed that confirmed these processes to be in
place and are effective. Operators interviewed were all very
senior with long work histories with the company. Interviews
indicated that they were competent, aware of their QMS and
their roles in it.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

Shipping The shipping activities at the Herculaneum facility associated

with the company's QMS were reviewed for this audit and were
found to follow an established and documented process.
Currently, the activities at this site are minimal, and the only
materials being shipped from this facility is reverb slag
materials which is a by-product of the refining process. This
product is shipped by truck to the facility and shipped out of
plant to customers by rail. Bills of lading are printed using
people soft software. Slag materials are loaded into super
sacks that are bar coded and weighed. Records of the
weighed materials are attached to the BOL and go with the
shipment. Operators of the system were interviewed and were
found to be competent and aware of the QMS and their roles in
it.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

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 Process Comments
Sales / Purchasing The Sales / Purchasing activities associated with the
company's QMS were reviewed for this audit and were found
to follow an established and documented process. The sales
order creation, review and customer invoicing for the company
are accomplished by the corporate sales group located in St
Louis, Missouri. The records process uses the "people soft"
software package to generate and collect contracts, sales
agreements and invoices for customer orders. The sales
administration group reviews the material order requests and
addresses them as a repeat, new customer or spot orders. The
orders are also separated as toll or non-toll customers. POs
are received by the customer and generate a Contract, stating
the terms of a Sales agreement. The agreement is printed out
as a separate copy, with critical data such as; pricing, delivery
date, configuration values, product #, quantity, and PO
reference #. These items are checked by the creator and
checked again by a secondary person. Each area checked is
marked in color pen and each page is initialed with a colored
pen. Orders are then generated based on the agreement data
and emailed to the plant for production. Any changes to orders
after acceptance are reprinted with changes and re-reviewed
in the same manner. Sales personnel were interviewed and
records reviewed to verify this process is in place and
effective.

The purchasing function at the company was reviewed and

was found to follow a standardized process. Approximately
90+% of processed materials are spent batteries, 80%are
tolled material from their customers. The primary quality
requirement is that this material not be cross contaminated or
contaminated with the unapproved types of batteries such as
lithium. There are other small amounts of trace metals that are
purchased such as cadmium, nickel, antimony etc. These
materials are purchased through a bulk materials supplier.
Certificates of analysis are received to ensure the product
purchased meets minimum specifications. Potential suppliers
are initially evaluated and approved by gathering key
information from the supplier concerning their capabilities
using a company questionnaire. Suppliers are evaluated
quarterly based upon the number of rejected shipments are
received by the Boss plant. A review of this process indicates
that the process in place is effective.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

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 Process Comments
Traffic The traffic activities associated with the company's QMS were
reviewed for this audit and were found to follow an established
and documented process. This process manages the incoming
and outgoing truck shipments for the recycling / refinery facility
in Boss, Missouri. The process checks-in, weighs trucks, and
prepares BOL paperwork for all shipments going into and out
of the facility. The process uses people soft software to
prepare bills of lading. The process also uses forms / data to
manage each load to ensure that it is weighed and loaded
properly (SF-446-013, 430-024) These records along with the
BOL are 100% checked with marks being placed on the BOL
as each detail is reviewed. The process also coordinates with
the corporate group in St Louis concerning inbound and
outbound transit of customer and inter-company materials
(slag, coke,). Training materials were reviewed that define the
processes used in the area (some 300+ PP slides). (See BP-3)
The calibration records for the 2 weigh scales for the trucks
were reviewed and the devices were in a state of calibration.
Records of the BOL and loading checklists for random loads
were reviewed and validated that the process was in place and
was effectively implemented.

Metrics: Customer complaints goal-<2022, actual-3, cast tons

per day, goal-> budget, actual 23/52 weeks /met goal, batteries
broken per day, goal->budget, actual 25/52 weeks /met goal.
Refinery issues-goals-<2022 actual-8, Traffic issues, goal-
<2022, actual-2.

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 Corrective Actions List

No nonconformities were identified during this audit event activity.

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 Opportunities for Improvement

The following Opportunities for Improvement were identified during this audit activity:

Process Description
Quality services OFI-1,3,4,6 The company could consider creating and expanding KPIs
for such support areas as Maintenance (unscheduled downtime) Sales
(% lost sales), Purchasing (Supplier performance YOY) and Shipping
(on time delivery) that encourage continuous improvement.

OFI-3 The company could choose to use some method to identify on

the internal audit schedule which audits have been scheduled, which
have been done, and which have been done and are closed.

OFI-6 The company could consider centralizing control over the

calibration process.

Management OFI-2 The company could use a SWOT analysis or a similar document
to record and identify risk issues for the purpose of creating risk
mitigation activities that are proactive.

Note: Opportunities for Improvement are non-binding.

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 Best Practices Observed

The following Best Practices Observed were identified during this audit activity:

Process Description
Lab BP-1 The customer makes and keeps all production data including
all spectrometer test data in both hard and electronic copy form for
reference as quality record for life.

Maintenance BP-2 The company's AS400 preventative maintenance software

system is robust, comprehensive and generates usable data to
better track and manage a complicated PM system.

Traffic BP-3 The Traffic department has a very comprehensive training

related power point presentation to enable cross training and
capture critical organizational knowledge.

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