管理體系認(rèn)證審核總結(jié)報告

1、 MANAGEMENT SYSTEM CERTIFICATION管理體系認(rèn)證Audit Summary Report審核總結(jié)報告Organisation組織名稱:Address組織地址:Standard 標(biāo)準(zhǔn)ISO/TS16949: 2009Representative：組織代表:Mr. 先生Site(s) audited審核地點:EAC/NACE code行業(yè)代碼EAC: 17; NACE: 28.4Audit date(s)審核日期:2011 Apr. 27-29Lead Auditor主任審核員:Certificate Number證書編號:3-GE-08-07-1631Co-Audit

2、or其他審核員:Nil,Certificate Number證書編號:N/ASupplier code供應(yīng)商代碼This report is confidential and distribution is limited to the audit team, the client representative and the SGS office該報告是文件,僅限于分發(fā)到審核小組,公司代表, 與SGS辦公室1.1Audit objectives.審核目的The objectives of this audit were to confirm that the management syste

3、m: 本次審核目的是確認(rèn)管理體系:· conforms with all the requirements of ISO/TS16949:2009符合ISO/TS16949:2009的所有要求· of the organisation has been effectively implemented已有效實施,· is capable of achieving the organisations policy objectives 能達(dá)成組織的方針目標(biāo)1.2Scope of the certification. 認(rèn)證圍Manufacture of stamping

4、 and welding metal parts for automotive driver cab and chassis. 用于汽車駕駛室和底盤沖壓焊接零部件的制造Does this site have Supporting Activities? (Rule 5.5)All relevant sites or remote locations shall be listed in section 1.9 of this report這個現(xiàn)場有其他支持活動嗎？（規(guī)則5.5）所有相關(guān)現(xiàn)場或遠(yuǎn)程場所應(yīng)該在此報告的1.9章節(jié)部分列出。 Yes NoHas this scope been amen

5、ded as a result of this audit?審核結(jié)束時認(rèn)證圍是否有所更改？ Yes No1.3Current audit findings and conclusions. 本次審核的發(fā)現(xiàn)點與結(jié)論The audit team conducted a process based audit. The structure of the audit was in accordance with the Audit Plan and the Audit Planning Matrix. The audit team therefore recommends that審核小組進(jìn)行了基于過

6、程的審核. 審核的結(jié)構(gòu)符合審核計劃與審核策劃矩陣. 審核小組因此推薦· registration to ISO/TS 16949:2009 is ISO/TS16949:2009 認(rèn)證注冊open status待定狀態(tài) /awarded獲得 /continued持續(xù)/suspended 暫停/withdrawn 撤銷· that letter of conformance to ISO/TS 16949:2009 is awarded 獲得ISO/TS16949:2009符合性證明函Number of non-conformities identified:識別出的不符合項

7、數(shù)目:Major嚴(yán)重0Minor輕微4Client Signature客戶簽名:Date日期:1.4Previous audit results.以往的審核結(jié)果The results of the last audit of this system have been reviewed, in particular to assure appropriate correction and corrective action has been implemented to address any nonconformity identified. This review has conclude

8、d that:對上次的審核結(jié)果已進(jìn)行了評審,特別是針對已識別出的不符合項的糾正預(yù)防措施已確保實施. 該評審的結(jié)論是:All findings in the Stage 1 report have been properly addressed 已適當(dāng)解決了第1階段報告的所有發(fā)現(xiàn)點Any nonconformity identified during previous audits has been corrected within 90 days and the corrective action continues to be effective (Rules 5.11). 已在90天糾正了

9、針對前次審核中識別出的任何不符合, 且糾正措施持續(xù)有效 (規(guī)則條款5.11).Any nonconformity identified during previous audits (that have already been 100% resolved with an action plan) have now been fully implemented & verified at this visit (Rule 5.11)Include additional time if required at this visit to verify corrective action

10、plan. 以往審核識別的任何不符合項（已經(jīng)有措施計劃并100%解決）現(xiàn)在已全部實施措施，并在本次審核中得到驗證（規(guī)則條款5.11）。在本次審核中驗證糾正措施計劃所需要的額外時間已包括。The management system has not adequately addressed nonconformity identified during previous audit activities and the specific issue has been re-defined in the nonconformity section of this report.管理體系尚未針對前次審

11、核中識別出的不符合采取有效措施, 在本報告中又再提出了具體的糾正措施要求1.5Audit findings.審核發(fā)現(xiàn)點The following key considerations in respect of the organisations management system were assessed:針對組織管理體系的以下關(guān)鍵部分進(jìn)行了評估:The management system documentation demonstrated conformity with the requirements of ISO/TS1949:2009 and provided sufficien

12、t structure to support implementation and maintenance of the management system.管理體系文件顯示符合ISO/TS16949:2009要求, 并提供足夠的架構(gòu)支持管理體系的實施與維持 Yes NoThe organisation has demonstrated effective implementation and maintenance / improvement of its management system組織已表明能有效實施與維持/改進(jìn)其管理體系 Yes NoThe organisation has de

13、monstrated the established and tracking of appropriate key performance indicators and/or targets and monitored progress towards their achievement組織表明已建立與跟蹤其適當(dāng)?shù)年P(guān)鍵績效指標(biāo)/目標(biāo), 并已監(jiān)控進(jìn)展的狀況 Yes NoThe internal audit programme has been fully implemented and demonstrates effectiveness towards achieving continuou

14、s improvement. Audits have been conducted using properly qualified auditors已完整實施部審核程序, 并表明朝達(dá)成持續(xù)改進(jìn)目標(biāo)的有效性. 已使用適當(dāng)?shù)暮细駥徍藛T進(jìn)行部審核 Yes NoThroughout the internal audit process, the management system demonstrated overall conformance with the requirements of ISO/TS16949:2009通過整個部審核過程, 顯示管理體系總體上符合ISO/TS16949:200

15、9要求 Yes NoThe management review process demonstrated capability to ensure the continuing suitability, adequacy and effectiveness of the management system管理評審過程顯示有能力確保管理體系的適宜性,充分性和有效性. Yes NoThe organisation has identified all applicable customer specific requirements組織已識別了所有有關(guān)的客戶特殊要求 Yes NoThe clien

16、t is eligible for transfer as stipulated in 3rd Ed IATF Rules 7.0.This was verified prior to the transfer audit.客戶能夠按照IATF認(rèn)證規(guī)則第三版條款7.0規(guī)定的要施轉(zhuǎn)換審核。這已在此轉(zhuǎn)換審核前得到驗證確認(rèn)。 Yes No N/ACertification claims are accurate and in accordance with SGS guidance認(rèn)證申明是準(zhǔn)確的, 符合SGS指南 Yes No N/AComments on negative findings: 對

17、負(fù)面發(fā)現(xiàn)點的說明1.6Objective evidence seen by process. 各過程所見客觀證據(jù)The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix andthe Audit Plan . In performing the audit, various audit trails and linkages were developed, including thefollowing audit trails, followed thr

18、oughout:審核的具體過程,活動與功能在審核策劃矩陣與審核計劃中有詳細(xì)說明. 為完成該次審核, 在整個審核過程中, 已設(shè)計了多種審核思路與聯(lián)接部分, 包括以下審核思路:Business plan, Data analysis, Continual improvement, Internal audit, Management review :Audit Trail: organization visionsàbusiness planningàquality policy and objectivesàdata analysisà performan

19、ce reviewàannual audit planningàsystem auditàprocess auditsàproduct auditsàmanagement review inputàmanagement reviewàimprovement needsàimplementing and verifying improvements.Sampled: 2011 yearly Business Plan and Mid-term Business Plan; quality objective/targ

20、ets, DPPM, customer satisfaction, OTD rate, FQC conforming rate, scraped rate; quality loss cost including inner and outer loss cost; 2011 yearly annual audit plan, audit checklist, system audit summery report and CAR closed, processaudit reports, product audit reports; weekly/monthly quality meetin

21、g including improvement needs and verification as meeting memos and reports, yearly management review and management review summary report.Contract review, Product delivery, Service process, CS monitoring :Audit Trail: Process KPI reviewed àmarketing researchàcustomer communicationàcu

22、stomer requirements review and confirmation àquotation and business agreementsàproduction planningàproduction schedulingàemergency planàShipping planàdelivery control à customer property management àcomplaint handling àcustomer satisfaction assessment

23、4;payments control.Sampled: the auto customer: Dongfeng Liuzhou Motor Co., Ltd, Customer satisfaction status was assessed once a year, the customers thought this organization was satisfactory. The customers P/O were reviewed when it was received, e.g. Parts Purchase Plan in 2010 Dec, 2011 Mar. and A

24、pr. from Dongfeng Liuzhou Motor Co., Ltd.Process design :Audit Trail: Process KPI reviewed àreceiving new project à founding cross-function team à review of customer information and relevant requirementsà process development planningàprocess design inputàprocess design

25、outputàproject approval processàsample making and verification àsample customer approval àproduction trialàinitial process capability evaluationàcustomer PPAP processà releasing mass productionàmonitoring process capability àECN controlàtechnical dat

26、a control àproduction equipment management àfacility management.Sampled: the APQP package of product: TP401M3-1101105, TP401M3-3520210C, M43-8405071, were sampled and verified, including special characteristic list, FMEA document, control plan, WI, MSA, PPAP, and process capability study,

27、etc.Production schedule, Production process, Equipment and tooling management :Audit Trail: Process KPI reviewed à receiving production task àproduction schedule and arrangement àcontrol planàverification of job setupsà in-process inspection à verification of process ca

28、pability à finished product inspection à nonconforming product control à Identification and traceability à product rework and repair à corrective action.Production equipment run status à equipment and tooling list à equipment preventive and predictive maintenance p

29、lan àmanagement of production toolingà maintenance status on site à maintenance records à equipment breakdown handling à work environment controlàfacilities/infrastructure controlSampled: the product realization process of TP401M3-3703020D, TP401M3-1101105, 8405020B, we

30、re checked, including production schedule, control plan and WI, job setups, in-process quality control, finished product inspection, packaging, non-conforming product handling, capability and awareness of operators, etc. the run and maintenance status of the equipment HJ-01, YY-02, CNC-01 were sampl

31、ed and checked, including equipment list, maintenance plan, key equipments historical card, repair and maintenance records of the equipments breakdown.Purchase control, Warehouse management :Audit Trail: Process KPI reviewed à material demands controlàsupplier selectionàsupplier QMS d

32、evelopmentàsupplier evaluation àsupplier approvalà purchasingcontrolàmaterial provided from supplier àsupplier performance management.incoming material and finished product receiving/releasing managementàonsite warehouse management àmaterial and product preservatio

33、n à material and product identification à account and inventory à chemical warehouse à validity period of material à non-conforming material and product segregation management.Sampled: the major supplier HAICHI, CHENGHENG, YINHONG, were sampled and checked, including qualifi

34、ed supplier list, QMS assessment records of qualified supplier, performance of supplier evaluated once a year, the purchasing control status was checked by reviewing the purchase plan in 2011 Mar. and Apr. the incoming material Q235, QSTE500TM, Q345, and the finished product TP401M3-1101105, TP401M3

35、-3703020D, M1B, were sampled and checked, including preservation, identification, inventory, and non-conforming material and product segregation.Product monitoring and measurement, NC product control, C/P action, Monitoring and measurement equipment management :Audit Trail: Process KPI reviewed 

36、4; customer pliant à control plan à incoming material and finished product test and inspection planningàIncoming material inspectionàin-process inspection/testàfinished product inspection/testà layout inspection and functional testing planning and implementing àNC

37、product control àC/P actionsà continual improvementàdata analysis.Planning of measuring and monitoring processà measuring device list àcalibration planàinner calibrationàexternal calibrationà calibration records à MSA plan à MSA implementing records

38、à non-conforming device control àinner lab managementàoutsourced lab management.Sampled: incoming material inspection control was reviewed by sampling and checking the material Q235, QSTE500TM, Q345, including the sampling inspection plan, inspection and testing records, material cert

39、ificate, etc. finished product inspection control was reviewed by sampling and checking the product TP401M3-1101105, TP401M3-3703020D, M1B, including customer complaint, control plan, inspection instruction, layout inspection and function testing plan, inspection and testing report, non-conformity c

40、ontrol and corrective action, the measurement equipment control was reviewed by sampling and checking the measurement device J21199, 110261507, 4-900754, including device used on site, device calibration plan, MSA plan, calibration and MSA report, internal lab and external lab management.HR manageme

41、nt, Training management:Audit Trail: Process KPI reviewed àHuman resources demandsàrecruitmentsà training plan àpre-job trainingàon-job trainingàspecial job qualificationàverification of trainingàemployee awarenessàemployee motivation and empowermentà

42、; employee relation management.Sampled: Employee Mr. ZHOU, Mr. SHU, Ms. LUO were sampled and checked so as to verify the effectiveness of planning and implementing training.Document and records control :Audit Trail: Document preparationàdocument approvalàdocument identificationàdocume

43、nt distribution controlàdocument change controlàoutsourced document useàcustomers engineering specification controlàrecords control.Sampled： the document TC/QP-B/0-01, TCS/QD-14-B/0, TCJ/QD-03-B/0, were sampled and checked to verify the effectiveness of document control.1.7Non-co

44、nformities.不符合Non-conformities detailed here shall be addressed through the organisations corrective action process, in accordance with the relevant corrective action requirements of ISO/TS16949:2009, including actions to prevent recurrence and proper maintenance of corrective action records.對在該處詳細(xì)列

45、出的不符合, 組織必須按照ISO/TS16949:2009有關(guān)糾正措施的要求,在其糾正措施過程中進(jìn)行處理, 包括防止再次發(fā)生的措施, 并適當(dāng)保留糾正措施的記錄.Identified non-conformities cannot be closed during the on-site audit. Non-conformities shall be acknowledged by the organisation. 不能在現(xiàn)場審核中關(guān)閉識別出的不符合項. 對不符合事項必須通知該組織.Major non-conformities issued at surveillances require

46、root cause analysis & action / containment within 20 days.Failure to do so will result in suspension in certificate.在監(jiān)督審核中發(fā)現(xiàn)的嚴(yán)重不符合項要求在20天完成根本原因分析和措施計劃/遏制措施。如果沒有做到這些將導(dǎo)致證書暫停。Major non-conformities should require onsite verification within 80 days.嚴(yán)重不符合項應(yīng)該要求在80天完成現(xiàn)場驗證工作。Minor non-conformity that is

47、 verified without an onsite visit shall be verified at the next audit.輕微不符合項如果是非現(xiàn)場驗證的話則必須在下次審核中加以驗證。ALL non-conformities must be closed in the IATF database within 90 days (Rule 8.2)所有不符合項必須在90天在IATF數(shù)據(jù)庫中得到關(guān)閉（規(guī)則條款8.2）。Non-conformity Number不符合項編號Number 編號1of4Major嚴(yán)重Minor輕微Process過程Process designISO/TS

48、 ClauseISO/TS 條款Document reference 參考文件TC/QP-07Document issue status文件版本B0Statement of non-conformity不符合項述Process design process was not implemented effectively.The Requirement 要求 Special characteristicsThe organization shall identify special characteristics (see 7.3.3 d) and include a

49、ll special characteristics in the control plan, comply with customer specified definitions and symbols, and identify process control documents including drawings, FMEAs, control plans, and operator instructions with the customer's special characteristic symbol or the organization's equivalen

50、t symbol or notation to include those process steps that affect special characteristics.Objective Evidence 客觀證據(jù)產(chǎn)品TP401M3-1101105, TP401M3-3520210C 和M43-8405071的特殊特性沒有有效識別。For the product TP401M3-1101105, TP401M3-3520210Cand M43-8405071, the special characteristics were not identified effectively.Non

51、-conformity Number不符合項編號Number 編號2of4Major嚴(yán)重Minor輕微Process過程Production processISO/TS ClauseISO/TS 條款Document reference 參考文件TC/QP-09Document issue status文件版本B0Statement of non-conformity不符合項述Production process was not implemented effectively.The Requirement 要求 Verification of job setups

52、Job setups shall be verified whenever performed, such as an initial run of a job, material changeover, job change.Work instructions shall be available for setup personnel. The organization shall use statistical methods of verification where applicable.NOTE Lastoffpart comparisons are recommended.Obj

53、ective Evidence 客觀證據(jù)產(chǎn)品TP401M3-3703020D, TP401M3-1101105 和8405020B在2011年4月28日沒有按程序文件要求執(zhí)行首件確認(rèn)。The job setupsVerification of the product TP401M3-3703020D, TP401M3-1101105and 8405020B在2011 were not implemented on 28 Apr. 2011 as required by the procedure.Non-conformity Number不符合項編號Number 編號3of4Major嚴(yán)重Mi

54、nor輕微Process過程Equipment ManagementISO/TS ClauseISO/TS 條款Document reference 參考文件TC/QP-09Document issue status文件版本B0Statement of non-conformity不符合項述Equipment Management Process was not implemented effectively.The Requirement 要求 Preventive and predictive maintenanceThe organization shall

55、identify key process equipment and provide resources for machine/equipment maintenance and develop an effective planned total preventive maintenance system. As a minimum, this system shall include the following- planned maintenance activities,- packaging and preservation of equipment, tooling and ga

56、uging,- availability of replacement parts for key manufacturing equipment,- documenting, evaluating and improving maintenance objectives.The organization shall utilize predictive maintenance methods to continually improve the effectiveness andthe efficiency of production equipment.Objective Evidence

57、 客觀證據(jù)生產(chǎn)設(shè)備HJ-01, YY-02 和CNC-01沒有按程序文件要求執(zhí)行有效的定期維護(hù)保養(yǎng)。The regular maintenance of the production equipment HJ-01, YY-02and CNC-01 were not implemented effectively as required by the procedure.Non-conformity Number不符合項編號Number 編號4of4Major嚴(yán)重Minor輕微Process過程Monitoring and measurement equipment management IS

58、O/TS ClauseISO/TS 條款7.6Document reference 參考文件TC/QP-10Document issue status文件版本B0Statement of non-conformity不符合項述Monitoring and measurement equipment managementprocess was not implemented effectively.The Requirement 要求7.6 Control of monitoring and measuring devicesThe organization shall determine the monitoring and measurement to be undertaken and the monitoring and measuring devices needed to provide evidence of conformity of product to determined requirements (see 7.2.1).The organization shall establish processes to ensure that monitoring and measurement can be car