管理體系認(rèn)證審核總結(jié)分析報(bào)告

1、 HYPERLINK / MANAGEMENT SYSTEM CERTIFICATION 治理體系認(rèn)證Audit Summary Report 審核總結(jié)報(bào)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(diǎn):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(hào):3-GE-08-0

2、7-1631Co-Auditor其他審核員:Nil,Certificate Number證書編號(hào):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(bào)告是保密文件,僅限于分發(fā)到審核小組,公司代表, 及SGS辦公室1.1Audit objectives. 審核目的The objectives of this audit were to confirm that the

3、 management system: 本次審核目的是確認(rèn)治理體系: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(shí)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)證范圍Manufacture of stamping an

4、d 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那個(gè)現(xiàn)場(chǎng)有其他支持活動(dòng)嗎？（規(guī)則5.5）所有相關(guān)現(xiàn)場(chǎng)或遠(yuǎn)程場(chǎng)所應(yīng)該在此報(bào)告的1.9章節(jié)部分列出。 FORMCHECKBOX Yes FORMCHECKBOX NoH

5、as this scope been amended as a result of this audit?審核結(jié)束時(shí)認(rèn)證范圍是否有所更改？ FORMCHECKBOX Yes FORMCHECKBOX No1.3Current audit findings and conclusions. 本次審核的發(fā)覺(jué)點(diǎn)及結(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.

6、The audit team therefore recommends that審核小組進(jìn)行了基于過(guò)程的審核. 審核的結(jié)構(gòu)符合審核打算及審核策劃矩陣. 審核小組因此推舉registration to ISO/TS 16949:2009 is ISO/TS16949:2009 認(rèn)證注冊(cè)open status待定狀態(tài) FORMCHECKBOX /awarded獲得 FORMCHECKBOX /continued持續(xù) FORMCHECKBOX /suspended 暫停 FORMCHECKBOX /withdrawn 撤銷 FORMCHECKBOX that letter of conformanc

7、e to ISO/TS 16949:2009 is awarded FORMCHECKBOX 獲得ISO/TS16949:2009符合性證明函Number of non-conformities identified:識(shí)不出的不符合項(xiàng)數(shù)目:Major嚴(yán)峻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 c

8、orrection and corrective action has been implemented to address any nonconformity identified. This review has concluded that:對(duì)上次的審核結(jié)果已進(jìn)行了評(píng)審,特不是針對(duì)已識(shí)不出的不符合項(xiàng)的糾正預(yù)防措施已確保實(shí)施. 該評(píng)審的結(jié)論是: FORMCHECKBOX All findings in the Stage 1 report have been properly addressed 已適當(dāng)解決了第1時(shí)期報(bào)告的所有發(fā)覺(jué)點(diǎn) FORMCHECKBOX Any nonconform

9、ity identified during previous audits has been corrected within 90 days and the corrective action continues to be effective (Rules 5.11). 已在90天內(nèi)糾正了針對(duì)前次審核中識(shí)不出的任何不符合, 且糾正措施持續(xù)有效 (規(guī)則條款5.11). FORMCHECKBOX Any nonconformity identified during previous audits (that have already been 100% resolved with an ac

10、tion 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 plan. 以往審核識(shí)不的任何不符合項(xiàng)（差不多有措施打算并100%解決）現(xiàn)在已全部實(shí)施措施，并在本次審核中得到驗(yàn)證（規(guī)則條款5.11）。在本次審核中驗(yàn)證糾正措施打算所需要的額外時(shí)刻已包括。 FORMCHECKBOX The management system has not adequ

11、ately addressed nonconformity identified during previous audit activities and the specific issue has been re-defined in the nonconformity section of this report.治理體系尚未針對(duì)前次審核中識(shí)不出的不符合采取有效措施, 在本報(bào)告中又再提出了具體的糾正措施要求1.5Audit findings.審核發(fā)覺(jué)點(diǎn)The following key considerations in respect of the organisations mana

12、gement system were assessed:針對(duì)組織治理體系的以下關(guān)鍵部分進(jìn)行了評(píng)估:The management system documentation demonstrated conformity with the requirements of ISO/TS1949:2009 and provided sufficient structure to support implementation and maintenance of the management system.治理體系文件顯示符合ISO/TS16949:2009要求, 并提供足夠的架構(gòu)支持治理體系的實(shí)施與維

13、持 FORMCHECKBOX Yes FORMCHECKBOX NoThe organisation has demonstrated effective implementation and maintenance / improvement of its management system組織已表明能有效實(shí)施與維持/改進(jìn)其治理體系 FORMCHECKBOX Yes FORMCHECKBOX NoThe organisation has demonstrated the established and tracking of appropriate key performance indic

14、ators and/or targets and monitored progress towards their achievement組織表明已建立及跟蹤其適當(dāng)?shù)年P(guān)鍵績(jī)效指標(biāo)/目標(biāo), 并已監(jiān)控進(jìn)展的狀況 FORMCHECKBOX Yes FORMCHECKBOX NoThe internal audit programme has been fully implemented and demonstrates effectiveness towards achieving continuous improvement. Audits have been conducted using pr

15、operly qualified auditors已完整實(shí)施內(nèi)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)行內(nèi)部審核 FORMCHECKBOX Yes FORMCHECKBOX NoThroughout the internal audit process, the management system demonstrated overall conformance with the requirements of ISO/TS16949:2009通過(guò)整個(gè)內(nèi)部審核過(guò)程, 顯示治理體系總體上符合ISO/TS16949:2009要求 FORMCHECKBOX Yes

16、FORMCHECKBOX NoThe management review process demonstrated capability to ensure the continuing suitability, adequacy and effectiveness of the management system治理評(píng)審過(guò)程顯示有能力確保治理體系的適宜性,充分性和有效性. FORMCHECKBOX Yes FORMCHECKBOX NoThe organisation has identified all applicable customer specific requirements組織

17、已識(shí)不了所有有關(guān)的客戶專門要求 FORMCHECKBOX Yes FORMCHECKBOX NoThe client 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)定的要求實(shí)施轉(zhuǎn)換審核。這已在此轉(zhuǎn)換審核前得到驗(yàn)證確認(rèn)。 FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX N/ACertification claims are accura

18、te and in accordance with SGS guidance認(rèn)證申明是準(zhǔn)確的, 符合SGS指南 FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX N/AComments on negative findings: 對(duì)負(fù)面發(fā)覺(jué)點(diǎn)的講明1.6Objective evidence seen by process. 各過(guò)程所見(jiàn)客觀證據(jù)The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix andthe

19、Audit Plan . In performing the audit, various audit trails and linkages were developed, including thefollowing audit trails, followed throughout:審核的具體過(guò)程,活動(dòng)及功能在審核策劃矩陣及審核打算中有詳細(xì)講明. 為完成該次審核, 在整個(gè)審核過(guò)程中, 已設(shè)計(jì)了多種審核思路及聯(lián)接部分, 包括以下審核思路:Business plan, Data analysis, Continual improvement, Internal audit, Manageme

20、nt review :Audit Trail: organization visionsbusiness planningquality policy and objectivesdata analysis performance reviewannual audit planningsystem auditprocess auditsproduct auditsmanagement review inputmanagement reviewimprovement needsimplementing and verifying improvements.Sampled: 2011 yearly

21、 Business Plan and Mid-term Business Plan; quality objective/targets, 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, process a

22、udit reports, product audit reports; weekly/monthly quality meeting 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 rev

23、iewed marketing researchcustomer communicationcustomer requirements review and confirmation quotation and business agreementsproduction planning production scheduling emergency planShipping plandelivery control customer property management complaint handling customer satisfaction assessmentpayments

24、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 Apr. from Do

25、ngfeng Liuzhou Motor Co., Ltd.Process design :Audit Trail: Process KPI reviewed receiving new project founding cross-function team review of customer information and relevant requirements process development planningprocess design inputprocess design outputproject approval processsample making and v

26、erification sample customer approval production trialinitial process capability evaluationcustomer PPAP process releasing mass productionmonitoring process capability ECN controltechnical data control production equipment management facility management.Sampled: the APQP package of product: TP401M3-1

27、101105, TP401M3-3520210C, M43-8405071, were sampled and verified, including special characteristic list, FMEA document, control plan, WI, MSA, PPAP, and process capability study, etc.Production schedule, Production process, Equipment and tooling management :Audit Trail: Process KPI reviewed receivin

28、g production task production schedule and arrangement control plan verification of job setups in-process inspection verification of process capability finished product inspection nonconforming product control Identification and traceability product rework and repair corrective action.Production equi

29、pment run status equipment and tooling list equipment preventive and predictive maintenance plan management of production tooling maintenance status on site maintenance records equipment breakdown handling work environment controlfacilities/infrastructure controlSampled: the product realization proc

30、ess of TP401M3-3703020D, TP401M3-1101105, 8405020B, were 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 s

31、tatus of the equipment HJ-01, YY-02, CNC-01 were sampled 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 material demands cont

32、rolsupplier selectionsupplier QMS developmentsupplier evaluation supplier approval purchasing controlmaterial provided from supplier supplier performance management.incoming material and finished product receiving/releasing managementonsite warehouse management material and product preservation mate

33、rial and product identification account and inventory chemical warehouse validity period of material non-conforming material and product segregation management.Sampled: the major supplier HAICHI, CHENGHENG, YINHONG, were sampled and checked, including qualified supplier list, QMS assessment records

34、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, TP401M3-3703020D, M1021-8405020B, were sampled a

35、nd 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 customer pliant control plan incom

36、ing material and finished product test and inspection planningIncoming material inspection in-process inspection/testfinished product inspection/test layout inspection and functional testing planning and implementing NC product control C/P actions continual improvementdata analysis.Planning of measu

37、ring and monitoring process measuring device list calibration planinner calibration external calibration calibration records MSA plan MSA implementing records non-conforming device control inner lab managementoutsourced lab management.Sampled: incoming material inspection control was reviewed by sam

38、pling and checking the material Q235, QSTE500TM, Q345, including the sampling inspection plan, inspection and testing records, material certificate, etc. finished product inspection control was reviewed by sampling and checking the product TP401M3-1101105, TP401M3-3703020D, M1021-8405020B, including

39、 customer complaint, control plan, inspection instruction, layout inspection and function testing plan, inspection and testing report, non-conformity control and corrective action, the measurement equipment control was reviewed by sampling and checking the measurement device J21199, 110261507, 4-900

40、754, including device used on site, device calibration plan, MSA plan, calibration and MSA report, internal lab and external lab management.HR management, Training management:Audit Trail: Process KPI reviewed Human resources demandsrecruitments training plan pre-job trainingon-job trainingspecial jo

41、b qualificationverification of trainingemployee awarenessemployee motivation and empowerment 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

42、Trail: Document preparationdocument approvaldocument identificationdocument distribution controldocument change controloutsourced document usecustomers engineering specification controlrecords control.Sampled： the document TC/QP-B/0-01, TCS/QD-14-B/0, TCJ/QD-03-B/0, were sampled and checked to verif

43、y the effectiveness of document control.1.7Non-conformities.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

44、 maintenance of corrective action records.對(duì)在該處詳細(xì)列出的不符合, 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(guò)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(chǎng)審核中關(guān)閉識(shí)不出的不符合項(xiàng). 對(duì)不符合事項(xiàng)必須通知該組織.Major

45、non-conformities issued at surveillances require 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)覺(jué)的嚴(yán)峻不符合項(xiàng)要求在20天內(nèi)完成全然緣故分析和措施打算/遏制措施。假如沒(méi)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)峻不符

46、合項(xiàng)應(yīng)該要求在80天內(nèi)完成現(xiàn)場(chǎng)驗(yàn)證工作。Minor non-conformity that is verified without an onsite visit shall be verified at the next audit.輕微不符合項(xiàng)假如是非現(xiàn)場(chǎng)驗(yàn)證的話則必須在下次審核中加以驗(yàn)證。ALL non-conformities must be closed in the IATF database within 90 days (Rule 8.2)所有不符合項(xiàng)必須在90天內(nèi)在IATF數(shù)據(jù)庫(kù)中得到關(guān)閉（規(guī)則條款8.2）。Non-conformity Number不符合項(xiàng)編號(hào)Number

47、編號(hào)1of4 FORMCHECKBOX Major嚴(yán)峻 FORMCHECKBOX Minor輕微Process過(guò)程Process designISO/TS Clause ISO/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(xiàng)陳述Process design process was not implemented effectively.The Requirement 要求 Special characteristicsThe organization s

48、hall identify special characteristics (see 7.3.3 d) and include all 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 customers speci

49、al characteristic symbol or the organizations equivalent 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的專門特性沒(méi)有有效識(shí)不。For the product TP401M3-1101105, TP401M3-3520210C and M43-8405071, the spe

50、cial characteristics were not identified effectively.Non-conformity Number不符合項(xiàng)編號(hào)Number 編號(hào)2of4 FORMCHECKBOX Major嚴(yán)峻 FORMCHECKBOX Minor輕微Process過(guò)程Production processISO/TS Clause ISO/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(xiàng)陳述Production process was n

51、ot implemented effectively.The Requirement 要求 Verification of job setupsJob 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 verifi

52、cation where applicable.NOTE Lastoffpart comparisons are recommended.Objective Evidence 客觀證據(jù)產(chǎn)品TP401M3-3703020D, TP401M3-1101105 和8405020B在2011年4月28日沒(méi)有按程序文件要求執(zhí)行首件確認(rèn)。The job setups Verification of the product TP401M3-3703020D, TP401M3-1101105 and 8405020B在2011 were not implemented on 28 Apr. 2011 as r

53、equired by the procedure.Non-conformity Number不符合項(xiàng)編號(hào)Number 編號(hào)3of4 FORMCHECKBOX Major嚴(yán)峻 FORMCHECKBOX Minor輕微Process過(guò)程Equipment ManagementISO/TS Clause ISO/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(xiàng)陳述Equipment Management Process was not implemented e

54、ffectively.The Requirement 要求 Preventive and predictive maintenanceThe organization shall 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

55、planned maintenance activities,packaging and preservation of equipment, tooling and gauging,availability of replacement parts for key manufacturing equipment,documenting, evaluating and improving maintenance objectives.The organization shall utilize predictive maintenance methods to continually impr

56、ove the effectiveness andthe efficiency of production equipment.Objective Evidence 客觀證據(jù)生產(chǎn)設(shè)備HJ-01, YY-02 和CNC-01沒(méi)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-02 and CNC-01 were not implemented effectively as required by the procedure.Non-conformity Number不符合項(xiàng)編號(hào)Num

57、ber 編號(hào)4of4 FORMCHECKBOX Major嚴(yán)峻 FORMCHECKBOX Minor輕微Process過(guò)程Monitoring and measurement equipment management ISO/TS Clause ISO/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(xiàng)陳述Monitoring and measurement equipment management process was not implemente

58、d 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 carried out and are carried out in a manner that is consistent with the monitoring and measurement requirements