Quality documentation pack for a first shipment

Why the first shipment needs its own pack

A production shipment usually travels with a certificate of conformity, a packing list and perhaps a dimensional report. The first shipment is different. It is the moment when the buyer finds out whether the approved sample and the running process are the same thing. The pack is the evidence that ties the parts in the box to the drawing, the material and the tests that were agreed.

That is why the first pack is wider than later ones. It includes the first article report, the material certificates for the lots actually used, the special process records and the test results. On later shipments the same documents may be available on request. On the first, they should be in the box or attached to the same email as the invoice.

Design and revision records

Start with the drawing revision that the parts were made to. It should match the revision on the purchase order and on the first article report. If a deviation or concession was agreed, include the signed document, not a reference to a conversation. If the drawing changed during the run, say which parts were made before and after the change.

Include the ballooned drawing where the first article report uses one, so the characteristic numbers can be followed. Where the customer supplied a specification or a standard, cite the revision used. A pack that references the correct drawing number but the wrong revision is worse than no pack, because it looks complete.

Material and traceability records

Each material certificate should be traceable to the lot that shipped. That means the heat number for steel or the cast number for aluminium, the coil or strip lot for copper alloys, and a route from that number to the parts in the box. A certificate for a grade that matches the drawing but a heat that went into a different order does not close the trace.

The certificate type matters. An inspection certificate 3.1 to EN 10204 is issued by the manufacturer's independent inspection function and states the results of the specified tests. A 2.2 certificate is a statement of compliance without test results. If the drawing or the customer asks for 3.1, a 2.2 certificate does not satisfy it, however similar the wording looks.

• Mill or foundry certificate with heat, cast or lot number.
• Chemical composition and mechanical properties where specified.
• Route from the certificate lot to the shipped lot, usually a works order or traveller.
• RoHS and REACH declarations where the customer requires them.
• Certificate for any purchased component or sub-assembly that carries a rating.

Process and special process records

Plating, heat treatment, welding, brazing and coating are special processes, because the result cannot be confirmed by inspecting the part alone. The pack should include the process certificate, the specification and the revision it was run to, and the test results that the specification requires. For plating, that usually means thickness readings with positions and an adhesion check.

Where a process is run in house, the record is the process log: bath analysis, temperature, time, oven chart or weld parameters. Where it is subcontracted, the subcontractor's certificate belongs in the pack, with the lot reference that links it to the parts. A certificate with no lot reference is a brochure, not a record.

Conformance and test records

The first article report is the centre of the pack. It should show the balloon numbers, the nominal and tolerance, the measured value, the gauge and the decision, with the drawing revision in the header. For characteristics verified by certificate, cite the certificate against the number. A report that says pass without a measured value is a claim, not a record.

Add the functional test results that the drawing or the customer asked for: pull, torque, resistance, leak, dielectric or life. State the sample size and the acceptance rule. If a test was not performed because it is a destructive type reserved for the first article, say so and attach the result from that article rather than leaving the line blank.

The certificate of conformity

The certificate of conformity is the supplier's declaration that the goods meet the purchase order and the drawing. It should name the part number, the drawing revision, the order or lot, the quantity, the applicable specification and the date. It should be signed by a person with the authority to make the declaration, with a name and a role, not only a company stamp.

Keep the wording specific. A certificate that declares conformity to all applicable requirements without naming them is weak evidence. A certificate that names the drawing revision and the standard, and states that the records are on file and available on request, gives the buyer something to hold.

Assembling the pack as a release gate

Build the pack before the goods are packed, not after they arrive at the port. An index sheet listing every document, its revision and its file name turns a folder of PDFs into something a goods-in inspector can check in minutes. Number the pages if the pack is printed, and keep one master copy against the lot.

The gate is simple: no index, no release. Check that the drawing revision, the material lot and the first article numbers agree across the documents. Confirm that the special process certificates carry the same lot reference as the parts. Then sign the pack off against the checklist and keep it for the retention period agreed with the customer.

• Index sheet with document names, revisions and page counts.
• Drawing revision consistent across order, report and certificate.
• Material lot traceable from certificate to shipped parts.
• Special process certificates with specification revision.
• Signed certificate of conformity with name and role.
• Retention period and storage location recorded.