IATF16949审核员指南.docx

IATFAuditorGuideforIATF169494thEditionMay2019IiItrOdIICtiOIlTheAutomotiveQualityManagementSystemStandard.IATF16949,alongwithapplicableautomotivecustomerspecificrequirements.ISO9001:2015requirements,andISO9000:2015definesthefundamentalqualitymanagementsystemrequirementsforautomotiveproductionandrelevantservicepartsorganizations.RulesforAchievingandMaintainingIATFRecognition.5thEditionforIATF16949,hereinreferredtoas"Rules",placestheresponsibilityforthedevelopmentandmaintenanceofauditorcompetencyupontheCertificationBodyemployingorsponsoringtheauditorasdefinedwithinRules5thEditionclauses4.2to45.ToassisttheCertificationBodies,IATFGlobalOversighthavepublishedtheIATFAudrtorGuideforIATF16949.PurposeThepurposeoftheGuideistodefinethelogicalactivitiesandrequiredauditorcompetenciesintheIATF16949auditprocess.TheGuideamplifiestheRulesandshouldbeunderstoodinconjunctionwithRules.ThisguideisnotintendedtoreplacetheRulesorcoveralltheRulesrequirements.SummaryofMainChangesThis4theditionalignstheessentialauditorcompetencyrequirementstotheIATF3rdPartyAuditorTraining&Evaluationprocess.NonconformitymanagementhasbeenaddedasanessentialauditorcompetencyincludingguidanceonwritingandStructunngnonconformitiesActivitynumber20focusesontheauditingofthetopmanagementprocesses,movingawayfromthepreviousdefinitionofatopmanagementmeeting.AuditingcustomerspecificrequirementsandcoretoolshasbeenexpandedtodefineknowledgeandcompetencyrequirementsaroundFailureModeandEffectsAnalysis(FMEA),MeasurementSystemAnalysis(MSA),StatisticalToolsandControlPlan.RelatedReferencesForfurtherinformationontheIATFscheme,pleasevisitandsubscribetotheIATFGlobalOversightWebsiteatWWWjatfglob3IoVerSighLOIg.FromhereyoucanaccessSanctionedInterpretabons(Sis)andFrequentlyAskedQuestions(FAQs)onboththeIATF16949standardandtheRulesforAchievingandMaintainingIATFRecognition.IATFOEMcustomerspecificrequirementsandquickreferenceguidesanddetailsoftheIATFapprovedCertificationBodies.AddibonalusefulinformationcanalsobefoundinISO/IEC17021andISO19011.Allrightsreserved£»2019AIAG.C2019ANFIA.C2019IATFFrance,©2019SMMT©2019VDAHoWtUSetheGIlideSections1-8oftheRuleshavebeendividedinto32activitiesintheGuide.TheGuidehastwomaincomponents:agraphicrepresentationofthecertificationauditprocessandatablethatdefinescompetenciesforeachactivity.TheTableThetableheadingsare: ActivityNumber-From1to32 ActivityUndertaken Competency-Thedefinitionofcompetencyisthedemonstratedabilitytoapplyknowledgeandskills."Foreachactivity,therefore,competencyispresentedas:Knowledge-theauditorshouldbeabletodemonstratetheirknowledge(eitherfrommemoryorknowingwheretoreference)ofthesubjectmatterforeachactivitySkills-theauditorshouldbeabletoperformeachdefinedactivityduringanaudit.SomecompetencieswillappearunderseveralactivitiesTheActivitiesrepresentthemajorstepsintheauditprocessasdescribedintheRules.TheCompetenciesarenotexhaustive.IndevelopingthecompetenciesinputwastakenfromIATFexperiencefromCertificationBodywitnessauditsandofficeassessments,auditortrainingandevaluation.IATFOEMconcerninvestigations,andrespondingtoquestionsfromthestakeholdersintheIATF16949scheme.CertificationBodiesareencouragedtousethisGuideinassessing,developingandmaintainingthecompetencyoftheirauditors.Ahhoughthisguidewasprimarilydesignedforuseby3rdpartyauditors,itcanalsobeusedasausefulreferencedocumentforinternalorsecondpartyauditors.ADrightsreservedO2019AIAG.©2019ANFIA.©2019IATFFrance.©2019SMMT,©2019VDAPlIrPOSeoftheSeCtiOil31.ATFbelievefurtherguidanceisrequiredbothfortheCertificationBodiesandtbeirauditorsintermsofEssential&Generalcompetenciesneededtoperformaneffectiveautomotiveprocessapproachauditincorporatingriskbasedthinking.Thedefinitionoftheautomotiveprocessapproachincorporatingriskbasedthinkingis:Ibundertakeanauditaccordingtotheorganization'sprocessdefinitionincludingsequenceandinteractionsandtoquestionrisks,opportunitiesandperformanceagainsttheobjectives/measuresdefined,withfocusontheprocesseswhichdirectlyimpactthecustomer.ThepurposeofSection3.1(EssentialAuditingCompetencyCriteria)istodefinethecompetenciesrequiredagainstthefivecriteria;detailedbelow1. ProcessApproachincorporatingriskbasedthinking,focusonperformance,prioritization,andanalysisandsynthesisofdata2. CustomerSpecificRequirementsincludingcoretools3. Knowledge&AppllcaboaofIATF169494. Knowledge&ApplicationoftheIATFRules5. NonconformitymanagementThepurposeofSection3.2(GeneralAuditingCompetencyCriteria)istoprovideguidanceonafurthersevencriteria:detailedbelow1. InterviewingTechniques2. TimeManagement3. TeamCommunication4. Confidentiality5. ConflictManagement6. CulturalDiversity7. PolicyDeploymentAllrightsreserved£>2019AIAG.©2019ANFIA.©2019IATFFrarvce,©2019SMMT.O2019VDASection1-Stage1ReadinessReviewandOffsiteAuditPlanningStage 1 Readiness ReviewAD lights reserved © 2019 AIAG, 2019 ANFIA. ©2019 IATF France. © 2019 SMMT, n 2019 VDASection 1 -Stage1ReadinessReview&OffsiteAuditPlanningCompetencyisthedemonstratedabilitytoapplyknowledgeandskillsActivityNoActivityUndertakenKnowledge(ableto.)Skills(ableto.>>1.ObtainmaterialsforStage1ReadinessReview-DescribetheRulesrequirementsrelatedtotheStage1ReadinessReview.,VerifythatalloftherequireddocumentationhasbeenobtainedfromtheOrganizabonwithinthe1or2daysoftheReadinessReview.IdentifymissinginformationnotprovidedbytheorganizationduringtheReadinessReview.2.VerifyquotationinformationDescribetheRulesrequirementsrelatedtoquotationinformation:oNumberofsitesThetotalnumberofemployeesonsite(includingpermanent,parttime,conlract,averagenumberofdailyworkersfortheprevioussix(6)monthperiodandtemporaryemployees)SupportfunctionsLanguage(三)ofauditCurrentcertificationsShiftpatternsProductsandservicesProductdesignresponsibility二PropOSedscopeListofcustomers,Explainthecnleriaforthecalculationofauditdays.,Describetheeffectofnon-automoliveproductsandpersonnelonthequotationandhowtheaudittimeisplannedandspent.IdentifyanychangessincethequotationandcommunicatetotheorganizationandtheCertificabonBody.-Verifytheinformationusedforauditdaycalculationandresolveanydiscrepancies.Allrightsreserved<£)2019AtAG.0如19ANFIA.©2019IATFFrance,02019SMMT.O20WVDAActivityNoActivityUndertakenKnowledge(ableto)Skills(ableto.)3.Confirmthatprocessesshowingsequenceandinteractionincludingkeyindicatorsandperformancetrendsforautomotiveproductionfromtheprevious12monthsminimum,havebeendetermined Describewhataprocessis. Describehowprocessesinteractandhowinteractionscanbeshownwithinaqualitymanagementsystem. Describewhatismeantbytheautomotiveprocessapproachversusanelemental,departmentalorfunctionalapproach. DescribewhatCOiistrtutesarisktothecustomer. Defineprocesseffectivenessandefficiency. Describehowkeyindicatorsandperformancetrendsdatacouldbemeasured. DescnbehowaLetterofConformancecouldbeapplicableforsiteswithfessthan12monthsautomotiveproductionperformancedata. Verifytheorganizabon,sprocesses,includingsequenceandinteractions,aredefined. Verifythatoutsourcedprocesseshavebeenidentifiedbytheorganizationandincludedwithinthequalitymanagementsystem. Verifytheorganizationhaskeyindicatorsandperformancetrenddatafromautomotiveproductioncoveringtheprevious12months.4.Confirmifsupportingfunctionsexist;andwhereapplicable,otherCertificationBodyreportsareavailable,Defineasupportingfunctiononsiteorremote.-Describehowsupportingfunctionscanbeidentifiedwithinthequalitymanagementsystem.DescnbetheRulesrequirementsrelatedtomultipleCertificationBodies. Verifythatanyonsrteorremotesupportfunctionshavebeenidentjedwithintheorganization'squalitymanual,includingsequenceandinteraction. VerifythatanyotherCertificationBody(ies)is/arecurrentlyIATFrecognized.,DeterminethatthereportsfromotherCertificationBody(ies)containtheminimumrequiredinformation,andthattheproductscopehasbeencoveredinrelationtothesite.AHngtitsreserved©2019AIAG.2019ANFIA,©2019IATFFrance.©2019SMMT.O2019VDAActivityNo.ActivityUndertakenKnowledge(ableto.)Skills(ableto.)5.ConfirmtheorganizationhasimplementedasystemwhoseprocessesaddressalltherequirementsofIATF16949-Describewhataprocessis.,Describehowprocessesinteractandhowinteractionscanbeshownwithinaqualitymanagementsystem.,Describewhatismeantbytheautomotiveprocessapproachversusanelemental,departmentalorfunctionalapproach,Describehowriskandopportunitycanbeincorporatedinthequalitymanagementsystemprocesses.,Defineprocesseffectivenessandefficiency.,Descnbethedifferencebetweenanobjectiveandatarget. Descnbehowsupportingfunctionscanbeidentifiedwithinthequalitymanagementsystem. DescnbehowtheorganizationcandemonstratethattheirprocessesmeetallrequirementsofIATF16949.,VerifythattheorganizationhaspresentedevidencethattheirqualitymanagementsystemprocessesaddressalltherequirementsofIATF16949.Allrightsreserved',?2019AIAG,©2019ANFtA<£>2019IATFFrance,G2019SMMT.©2019VDAActivityNoActivityUndertakenKnowledge(abletoSkills(ableto.)6.ConfirmaqualitymanualisavailableforeachsiteIobeaudited-DescribetheminimumcontentofaqualitymanualasdefinedW汕inIATF16949.DescribetheRulesStage1ReadinessReviewrequirementsfortheorganizationtohaveaqualitymanual. Verifythateachoftheorganizationssiteshasaqualitymanual. VerifythatthequalitymanualmeetstheminimumcontentasdefinedinIATF16949. VerifythequalitymanualaddressesallthedocumentedprocessrequirementsinIATF16949. Verifythatinteractionswrthsupportfunctionsonsiteandremoteareaddressedinthequalitymanual. Verifythatthescopedefinedinthequalitymanualaccuratelymatchestheorganization'sautomotivebusinessactivitiesandproposedscopeofcertification. Verifythattheorganizationhasdetermif>edrisksandOppcxtunities. Verifythatanyexclusionidentifiedforcertificationisstatedinthequalitymanual7.Confirmtheorganizationhasalistofqualifiedinternalauditors,Describetherequirementsforinternalauditorqualification(system,manufacturingprocessandproduct)asdefinedwithinIATF16949andanyapplicablecustomerspecificrequirements. Verifythelistofinternalauditors. Verifytheorganizationsprocessforinternalauditorqualificationaddressesqualitysystem,manufacturingprocessandproductaudits. Verifytheorganizationsprocessforauditorcompetencedevelopment. Veritythatthefullcycleofinternalauditshavebeenundertakenbyqualifiedinternalauditors.MrightsreservedQ2019AIAG.©2019ANFIA.©2019(ATFFrance,O2019SMMT,C2019VDAActivityNoActivityUndertakenKnowledge(ableto.)Skills(ableto.)8.Confirmthecustomerspecificrequirementstobeincludedintheaudit Describewhatacustomerspecificrequirementis. DescribetheIATFrequirementsrelatedtocustomerspecificrequirements. Describethedrfferencebetweenacustomerspecificrequirementandacustomerrequirement.,Describehowtheorganizationcanlocatecurrentcustomerspecificrequirements.,Describehowtheauditorcanlocatecurrentcustomerspecificrequirements.-Veritytheorganizationhasadefinedprocessfortheidentificationandimplementationofcustomerspecificrequirements.-Determinefromthelistofcustomerswhichcustom&rshavecustomerspecificrequirements.,Verifytheorganizationhasaprocesstoensurethecurrentrevisionlevelofcustomerspecificrequirementsareavailable.,CaptureIATFOEMsuppliercodesoftheorganizationmanufacturingsitewtiereapplicable.9.Confirmcustomercomplaintsummaryandresponses,scorecardsandspecialstatusifapplicable,DefinetheIATF16949requirementrelatedtocustomersatisfactionmeasurement.-Describewhatismeantbycustomerscorecards.,Describehowtheauditorlocatescustomerscorecards,performancereportsandcomplaintsstatus.,DescribehowcustomerperformancedatacaninfluencetheresultofaStage1ReadinessReview.,Describetheimpactofanycustomerspecialstatus(e.g.GMNewBusinessHold,ControlledShippingandFORDQlRevocation)ontheStage1ReadinessReviewdecision. Verifytheorganizationhasadefinedprocessformanagementofcustomersatisfactionandcomplaintdata. Determinefromthelistofcustomers,whichcustomersissuecustomersatisfactionandcomplaintstatusreportsorscorecards. Verifythattheorganizationhasaccessedandreviewedthecurrentreportsandscorecards Reviewcustomersatisfactionandcomplaintstatusinformation,whereapplicable,directlyinIhecustomerportal.,VerifycustomerCommunicabononcomplaintsandperformanceconcernscomplieswithrelevantcustomerspecificrequirements.Allrightsreserved',?2019AIAG.©2019ANFtA<£>2019IATFFrance,02019SMMT.©2019VDAActivityNoActivityUndertakenKnowledge(ableto.)Skills(ableto)10.ConfirmevidenceofonefullcycleofinternalauditstoIATF16949followedbyamanagementreviewareavailable Definethedifferencebetweensystem,manufacturingprocess,andproductaudits. Describewhatismeantbyafullcycleofinternalaudits. Describethedifferencebetweenaprocessapproachandanelemental,departmentalorfunctionalapproachforinternalaudits. Describethekeyelementsofaneffectiveinternalauditprocess. Describethepurposeofmanagementreview. DescribetheminimuminputandoutputrequirementsformanagementreviewasdefinedwithmIATF16949. Describewhatshouldinfluencethefrequencyofmanagementreview. Verifythat12monthsinternalauditandmanagementreviewdataexists. Verifythatacompletecycleofinternalauditsofthedefinedprocessesintheorganizationsqualitymanagementsystemareavailable Verifythatinternalauditsareprioritizedbaseduponrisk,internalandexternalperformancetrendsandcriticalityoftheprocess(es). Verifyallmanufacturingprocesshavebeenauditedcoveringallshifts. Verifyevidenceofproductauditsareavailable. Verifycustomerspecificrequirementshavebeenaddressedinthefullcycleofinternalaudrtsundertaken(eg.VDA6.3) Verifytheorganizationhasaneffectiveprocessforaddressinginternalauditfindings. VerifythatthemanagementreviewrecordscoverallIATF16949requirements.11Al)ngtsreservedQ2019AIAG.©2019ANFlA.©2019IATFFrance.©2019SMMT,2019VDAActivityNoActivityUndertakenKnowledge(ableto.)Skills(abeto.)11.Determinetheappropriatescopeofcertification DescribewhaltheeligibilityrequirementsforIATF16949certificationare. Descnbethedifferencebetweenproductandprocessdesignresponsibility. DescribewhatarepermissibleexclusionsrelatedtoIATF16949.,Describewhatisanacceptablescope(includingwheretheorganizationhasautomotiveandnon-automotiveproductsoracorporateauditscheme). VerifytheorganizationmeetstheeligibilityrequirementsforIATF16949certification. Verifythescopeofcertificationandwherenecessarycommunicatetotheorganizationwhytheproposedcertificationscopeisnotacceptable. Verifythatanyapplicablesupportfunctions(onsiteorremote)areincludedwithintheproposedscopeofcertification.12.Determinetheorganization'sreadinessDescnbetheRulesrequirementsrelatedtotheStage1ReadinessReview.,DescribereasonswhyanorganizationmaybedeemednotreadyfortheStage2SiteAudit Analysethedataobtainedthroughactivities2to11anddeterminetheorganizationsreadinessfortheStage2SiteAudit. Note:Theterm"Stage2SiteAudit,'includestheauditofsiteandsupportingfunctionsonsiteorremote.13.PreparetheStage1Re