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1、IATFAuditorGuideforIATF169494thEditionMay2019IiItrOdIICtiOIlTheAutomotiveQualityManagementSystemStandard.IATF16949,alongwithapplicableautomotivecustomerspecificrequirements.ISO9001:2015requirements,andISO9000:2015definesthefundamentalqualitymanagementsystemrequirementsforautomotiveproductionandrelev
2、antservicepartsorganizations.RulesforAchievingandMaintainingIATFRecognition.5thEditionforIATF16949,hereinreferredtoasRules,placestheresponsibilityforthedevelopmentandmaintenanceofauditorcompetencyupontheCertificationBodyemployingorsponsoringtheauditorasdefinedwithinRules5thEditionclauses4.2to45.Toas
3、sisttheCertificationBodies,IATFGlobalOversighthavepublishedtheIATFAudrtorGuideforIATF16949.PurposeThepurposeoftheGuideistodefinethelogicalactivitiesandrequiredauditorcompetenciesintheIATF16949auditprocess.TheGuideamplifiestheRulesandshouldbeunderstoodinconjunctionwithRules.Thisguideisnotintendedtore
4、placetheRulesorcoveralltheRulesrequirements.SummaryofMainChangesThis4theditionalignstheessentialauditorcompetencyrequirementstotheIATF3rdPartyAuditorTraining&Evaluationprocess.NonconformitymanagementhasbeenaddedasanessentialauditorcompetencyincludingguidanceonwritingandStructunngnonconformitiesActiv
5、itynumber20focusesontheauditingofthetopmanagementprocesses,movingawayfromthepreviousdefinitionofatopmanagementmeeting.AuditingcustomerspecificrequirementsandcoretoolshasbeenexpandedtodefineknowledgeandcompetencyrequirementsaroundFailureModeandEffectsAnalysis(FMEA),MeasurementSystemAnalysis(MSA),Stat
6、isticalToolsandControlPlan.RelatedReferencesForfurtherinformationontheIATFscheme,pleasevisitandsubscribetotheIATFGlobalOversightWebsiteatWWWjatfglob3IoVerSighLOIg.FromhereyoucanaccessSanctionedInterpretabons(Sis)andFrequentlyAskedQuestions(FAQs)onboththeIATF16949standardandtheRulesforAchievingandMai
7、ntainingIATFRecognition.IATFOEMcustomerspecificrequirementsandquickreferenceguidesanddetailsoftheIATFapprovedCertificationBodies.AddibonalusefulinformationcanalsobefoundinISO/IEC17021andISO19011.Allrightsreserved2019AIAG.C2019ANFIA.C2019IATFFrance,2019SMMT2019VDAHoWtUSetheGIlideSections1-8oftheRules
8、havebeendividedinto32activitiesintheGuide.TheGuidehastwomaincomponents:agraphicrepresentationofthecertificationauditprocessandatablethatdefinescompetenciesforeachactivity.TheTableThetableheadingsare: ActivityNumber-From1to32 ActivityUndertaken Competency-Thedefinitionofcompetencyisthedemonstratedabi
9、litytoapplyknowledgeandskills.Foreachactivity,therefore,competencyispresentedas:Knowledge-theauditorshouldbeabletodemonstratetheirknowledge(eitherfrommemoryorknowingwheretoreference)ofthesubjectmatterforeachactivitySkills-theauditorshouldbeabletoperformeachdefinedactivityduringanaudit.Somecompetenci
10、eswillappearunderseveralactivitiesTheActivitiesrepresentthemajorstepsintheauditprocessasdescribedintheRules.TheCompetenciesarenotexhaustive.IndevelopingthecompetenciesinputwastakenfromIATFexperiencefromCertificationBodywitnessauditsandofficeassessments,auditortrainingandevaluation.IATFOEMconcerninve
11、stigations,andrespondingtoquestionsfromthestakeholdersintheIATF16949scheme.CertificationBodiesareencouragedtousethisGuideinassessing,developingandmaintainingthecompetencyoftheirauditors.Ahhoughthisguidewasprimarilydesignedforuseby3rdpartyauditors,itcanalsobeusedasausefulreferencedocumentforinternalo
12、rsecondpartyauditors.ADrightsreservedO2019AIAG.2019ANFIA.2019IATFFrance.2019SMMT,2019VDAPlIrPOSeoftheSeCtiOil31.ATFbelievefurtherguidanceisrequiredbothfortheCertificationBodiesandtbeirauditorsintermsofEssential&Generalcompetenciesneededtoperformaneffectiveautomotiveprocessapproachauditincorporatingr
13、iskbasedthinking.Thedefinitionoftheautomotiveprocessapproachincorporatingriskbasedthinkingis:Ibundertakeanauditaccordingtotheorganizationsprocessdefinitionincludingsequenceandinteractionsandtoquestionrisks,opportunitiesandperformanceagainsttheobjectives/measuresdefined,withfocusontheprocesseswhichdi
14、rectlyimpactthecustomer.ThepurposeofSection3.1(EssentialAuditingCompetencyCriteria)istodefinethecompetenciesrequiredagainstthefivecriteria;detailedbelow1. ProcessApproachincorporatingriskbasedthinking,focusonperformance,prioritization,andanalysisandsynthesisofdata2. CustomerSpecificRequirementsinclu
15、dingcoretools3. Knowledge&AppllcaboaofIATF169494. Knowledge&ApplicationoftheIATFRules5. NonconformitymanagementThepurposeofSection3.2(GeneralAuditingCompetencyCriteria)istoprovideguidanceonafurthersevencriteria:detailedbelow1. InterviewingTechniques2. TimeManagement3. TeamCommunication4. Confidentia
16、lity5. ConflictManagement6. CulturalDiversity7. PolicyDeploymentAllrightsreserved2019AIAG.2019ANFIA.2019IATFFrarvce,2019SMMT.O2019VDASection1-Stage1ReadinessReviewandOffsiteAuditPlanningStage 1 Readiness ReviewAD lights reserved 2019 AIAG, 2019 ANFIA. 2019 IATF France. 2019 SMMT, n 2019 VDASection 1
17、 -Stage1ReadinessReview&OffsiteAuditPlanningCompetencyisthedemonstratedabilitytoapplyknowledgeandskillsActivityNoActivityUndertakenKnowledge(ableto.)Skills(ableto.1.ObtainmaterialsforStage1ReadinessReview-DescribetheRulesrequirementsrelatedtotheStage1ReadinessReview.,Verifythatalloftherequireddocume
18、ntationhasbeenobtainedfromtheOrganizabonwithinthe1or2daysoftheReadinessReview.IdentifymissinginformationnotprovidedbytheorganizationduringtheReadinessReview.2.VerifyquotationinformationDescribetheRulesrequirementsrelatedtoquotationinformation:oNumberofsitesThetotalnumberofemployeesonsite(includingpe
19、rmanent,parttime,conlract,averagenumberofdailyworkersfortheprevioussix(6)monthperiodandtemporaryemployees)SupportfunctionsLanguage(三)ofauditCurrentcertificationsShiftpatternsProductsandservicesProductdesignresponsibility二PropOSedscopeListofcustomers,Explainthecnleriaforthecalculationofauditdays.,Des
20、cribetheeffectofnon-automoliveproductsandpersonnelonthequotationandhowtheaudittimeisplannedandspent.IdentifyanychangessincethequotationandcommunicatetotheorganizationandtheCertificabonBody.-Verifytheinformationusedforauditdaycalculationandresolveanydiscrepancies.Allrightsreserved)2019AtAG.0如19ANFIA.
21、2019IATFFrance,02019SMMT.O20WVDAActivityNoActivityUndertakenKnowledge(ableto)Skills(ableto.)3.Confirmthatprocessesshowingsequenceandinteractionincludingkeyindicatorsandperformancetrendsforautomotiveproductionfromtheprevious12monthsminimum,havebeendetermined Describewhataprocessis. Describehowprocess
22、esinteractandhowinteractionscanbeshownwithinaqualitymanagementsystem. Describewhatismeantbytheautomotiveprocessapproachversusanelemental,departmentalorfunctionalapproach. DescribewhatCOiistrtutesarisktothecustomer. Defineprocesseffectivenessandefficiency. Describehowkeyindicatorsandperformancetrends
23、datacouldbemeasured. DescnbehowaLetterofConformancecouldbeapplicableforsiteswithfessthan12monthsautomotiveproductionperformancedata. Verifytheorganizabon,sprocesses,includingsequenceandinteractions,aredefined. Verifythatoutsourcedprocesseshavebeenidentifiedbytheorganizationandincludedwithinthequalit
24、ymanagementsystem. Verifytheorganizationhaskeyindicatorsandperformancetrenddatafromautomotiveproductioncoveringtheprevious12months.4.Confirmifsupportingfunctionsexist;andwhereapplicable,otherCertificationBodyreportsareavailable,Defineasupportingfunctiononsiteorremote.-Describehowsupportingfunctionsc
25、anbeidentifiedwithinthequalitymanagementsystem.DescnbetheRulesrequirementsrelatedtomultipleCertificationBodies. Verifythatanyonsrteorremotesupportfunctionshavebeenidentjedwithintheorganizationsqualitymanual,includingsequenceandinteraction. VerifythatanyotherCertificationBody(ies)is/arecurrentlyIATFr
26、ecognized.,DeterminethatthereportsfromotherCertificationBody(ies)containtheminimumrequiredinformation,andthattheproductscopehasbeencoveredinrelationtothesite.AHngtitsreserved2019AIAG.2019ANFIA,2019IATFFrance.2019SMMT.O2019VDAActivityNo.ActivityUndertakenKnowledge(ableto.)Skills(ableto.)5.Confirmtheo
27、rganizationhasimplementedasystemwhoseprocessesaddressalltherequirementsofIATF16949-Describewhataprocessis.,Describehowprocessesinteractandhowinteractionscanbeshownwithinaqualitymanagementsystem.,Describewhatismeantbytheautomotiveprocessapproachversusanelemental,departmentalorfunctionalapproach,Descr
28、ibehowriskandopportunitycanbeincorporatedinthequalitymanagementsystemprocesses.,Defineprocesseffectivenessandefficiency.,Descnbethedifferencebetweenanobjectiveandatarget. Descnbehowsupportingfunctionscanbeidentifiedwithinthequalitymanagementsystem. Descnbehowtheorganizationcandemonstratethattheirpro
29、cessesmeetallrequirementsofIATF16949.,VerifythattheorganizationhaspresentedevidencethattheirqualitymanagementsystemprocessesaddressalltherequirementsofIATF16949.Allrightsreserved,?2019AIAG,2019ANFtA2019IATFFrance,G2019SMMT.2019VDAActivityNoActivityUndertakenKnowledge(abletoSkills(ableto.)6.Confirmaq
30、ualitymanualisavailableforeachsiteIobeaudited-DescribetheminimumcontentofaqualitymanualasdefinedW汕inIATF16949.DescribetheRulesStage1ReadinessReviewrequirementsfortheorganizationtohaveaqualitymanual. Verifythateachoftheorganizationssiteshasaqualitymanual. Verifythatthequalitymanualmeetstheminimumcont
31、entasdefinedinIATF16949. VerifythequalitymanualaddressesallthedocumentedprocessrequirementsinIATF16949. Verifythatinteractionswrthsupportfunctionsonsiteandremoteareaddressedinthequalitymanual. Verifythatthescopedefinedinthequalitymanualaccuratelymatchestheorganizationsautomotivebusinessactivitiesand
32、proposedscopeofcertification. VerifythattheorganizationhasdetermifedrisksandOppcxtunities. Verifythatanyexclusionidentifiedforcertificationisstatedinthequalitymanual7.Confirmtheorganizationhasalistofqualifiedinternalauditors,Describetherequirementsforinternalauditorqualification(system,manufacturing
33、processandproduct)asdefinedwithinIATF16949andanyapplicablecustomerspecificrequirements. Verifythelistofinternalauditors. Verifytheorganizationsprocessforinternalauditorqualificationaddressesqualitysystem,manufacturingprocessandproductaudits. Verifytheorganizationsprocessforauditorcompetencedevelopme
34、nt. Veritythatthefullcycleofinternalauditshavebeenundertakenbyqualifiedinternalauditors.MrightsreservedQ2019AIAG.2019ANFIA.2019(ATFFrance,O2019SMMT,C2019VDAActivityNoActivityUndertakenKnowledge(ableto.)Skills(ableto.)8.Confirmthecustomerspecificrequirementstobeincludedintheaudit Describewhatacustome
35、rspecificrequirementis. DescribetheIATFrequirementsrelatedtocustomerspecificrequirements. Describethedrfferencebetweenacustomerspecificrequirementandacustomerrequirement.,Describehowtheorganizationcanlocatecurrentcustomerspecificrequirements.,Describehowtheauditorcanlocatecurrentcustomerspecificrequ
36、irements.-Veritytheorganizationhasadefinedprocessfortheidentificationandimplementationofcustomerspecificrequirements.-Determinefromthelistofcustomerswhichcustom&rshavecustomerspecificrequirements.,Verifytheorganizationhasaprocesstoensurethecurrentrevisionlevelofcustomerspecificrequirementsareavailab
37、le.,CaptureIATFOEMsuppliercodesoftheorganizationmanufacturingsitewtiereapplicable.9.Confirmcustomercomplaintsummaryandresponses,scorecardsandspecialstatusifapplicable,DefinetheIATF16949requirementrelatedtocustomersatisfactionmeasurement.-Describewhatismeantbycustomerscorecards.,Describehowtheauditor
38、locatescustomerscorecards,performancereportsandcomplaintsstatus.,DescribehowcustomerperformancedatacaninfluencetheresultofaStage1ReadinessReview.,Describetheimpactofanycustomerspecialstatus(e.g.GMNewBusinessHold,ControlledShippingandFORDQlRevocation)ontheStage1ReadinessReviewdecision. Verifytheorgan
39、izationhasadefinedprocessformanagementofcustomersatisfactionandcomplaintdata. Determinefromthelistofcustomers,whichcustomersissuecustomersatisfactionandcomplaintstatusreportsorscorecards. Verifythattheorganizationhasaccessedandreviewedthecurrentreportsandscorecards Reviewcustomersatisfactionandcompl
40、aintstatusinformation,whereapplicable,directlyinIhecustomerportal.,VerifycustomerCommunicabononcomplaintsandperformanceconcernscomplieswithrelevantcustomerspecificrequirements.Allrightsreserved,?2019AIAG.2019ANFtA2019IATFFrance,02019SMMT.2019VDAActivityNoActivityUndertakenKnowledge(ableto.)Skills(ab
41、leto)10.ConfirmevidenceofonefullcycleofinternalauditstoIATF16949followedbyamanagementreviewareavailable Definethedifferencebetweensystem,manufacturingprocess,andproductaudits. Describewhatismeantbyafullcycleofinternalaudits. Describethedifferencebetweenaprocessapproachandanelemental,departmentalorfu
42、nctionalapproachforinternalaudits. Describethekeyelementsofaneffectiveinternalauditprocess. Describethepurposeofmanagementreview. DescribetheminimuminputandoutputrequirementsformanagementreviewasdefinedwithmIATF16949. Describewhatshouldinfluencethefrequencyofmanagementreview. Verifythat12monthsinter
43、nalauditandmanagementreviewdataexists. Verifythatacompletecycleofinternalauditsofthedefinedprocessesintheorganizationsqualitymanagementsystemareavailable Verifythatinternalauditsareprioritizedbaseduponrisk,internalandexternalperformancetrendsandcriticalityoftheprocess(es). Verifyallmanufacturingproc
44、esshavebeenauditedcoveringallshifts. Verifyevidenceofproductauditsareavailable. Verifycustomerspecificrequirementshavebeenaddressedinthefullcycleofinternalaudrtsundertaken(eg.VDA6.3) Verifytheorganizationhasaneffectiveprocessforaddressinginternalauditfindings. Verifythatthemanagementreviewrecordscov
45、erallIATF16949requirements.11Al)ngtsreservedQ2019AIAG.2019ANFlA.2019IATFFrance.2019SMMT,2019VDAActivityNoActivityUndertakenKnowledge(ableto.)Skills(abeto.)11.Determinetheappropriatescopeofcertification DescribewhaltheeligibilityrequirementsforIATF16949certificationare. Descnbethedifferencebetweenpro
46、ductandprocessdesignresponsibility. DescribewhatarepermissibleexclusionsrelatedtoIATF16949.,Describewhatisanacceptablescope(includingwheretheorganizationhasautomotiveandnon-automotiveproductsoracorporateauditscheme). VerifytheorganizationmeetstheeligibilityrequirementsforIATF16949certification. Veri
47、fythescopeofcertificationandwherenecessarycommunicatetotheorganizationwhytheproposedcertificationscopeisnotacceptable. Verifythatanyapplicablesupportfunctions(onsiteorremote)areincludedwithintheproposedscopeofcertification.12.DeterminetheorganizationsreadinessDescnbetheRulesrequirementsrelatedtotheS
48、tage1ReadinessReview.,DescribereasonswhyanorganizationmaybedeemednotreadyfortheStage2SiteAudit Analysethedataobtainedthroughactivities2to11anddeterminetheorganizationsreadinessfortheStage2SiteAudit. Note:ThetermStage2SiteAudit,includestheauditofsiteandsupportingfunctionsonsiteorremote.13.PreparetheStage1Re
