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					                                            AUDIT READINESS SELF-CHECK
                                                   ISO/TS 16949 : 2002
Organisation



According to the Automotive Certification Scheme for ISO/TS 16949:2002 Second Edition – May 05, 2004, the organisation
shall provide various documentation to the audit team for review, and for use in planning the audit (see also IATF Guidance
to ISO/ TS 16949: 2002). This Checklist helps the Organisation planning for Certification Audit according to ISO/TS
16949:2002 to determine their readiness for certification and to complete their documentation before presenting them to
MOODY INTERNATIONAL CERTIFICATION for Stage 1 Audit (Readiness Review). If you find out that any of your
comments is negative or showing that the requirements are not completely fulfilled, please contact Moody local office to
agree on mutual action.

Documents to be     Reference               Checklist (Self-Check)                                          Comments
reviewed
1 Design and        .....................   Requirements: Only Product Design may be excluded.              If the scope of the quality
  Development                               Description of Justification for exclusion must be verified.    management system and / or
  responsibility                            For product design responsibility determination only            exclusion of product design with
                                            following options are permitted:                                justification is not clearly defined,
                                            - There is no exclusion in the quality management               then readiness cannot be confirmed.
                                               system. Product Design is the organisation
                                               responsibility (incl. subcontracted design)
                                               In the case of subcontracted design, it has to be verified
                                               that both organisation and design subcontractors have
                                               appropriate capability to meet clause 7.3 requirements
                                               in its totality, including interfaces between organisation
                                               and subcontractors
                                            - Product Design requirements in Sec. 7.3 of ISO/TS
                                               16949:2002 are excluded as the Product Design is the
                                               customer responsibility.
                                               Justification of exclusion must be clearly described in
                                               the documentation. Production Process development
                                               requirements in Sec. 7.3 cannot be excluded

                    Design and            Does the scope of quality management system include                  yes, the documented scope includes
                    Development clear definition of Product Design Responsibility and in                      clear definition of product design
                    Procedure No. case of exclusion of product design, the justification of                   responsibility respectively
                                          such exclusion?                                                     exclusion:
                    .....................
                                                                                                                    We have no exclusion:
                    Rev. ............                                                                                   Product Design is our
                                                                                                                        Responsibility
                    Issue Date:
                    ...................                                                                                 Product Design is
                                                                                                                        subcontracted under our
                                                                                                                        responsibility
                                                                                                                   Product Design is excluded
                                                                                                                being Customer responsibility.
                                                                                                                Justification of exclusion is
                                                                                                                described in the quality manual.
                                                                                                              no, the scope and / or exclusion of
                                                                                                              product design with justification is
                                                                                                              not clearly defined, we shall verify
                                                                                                              before inviting for readiness review




                                                                                                                                     Page 1 of 7
                                       AUDIT READINESS SELF-CHECK
                                             ISO/TS 16949 : 2002
Organisation


Documents to be        Reference       Checklist (Self-Check)                                       Comments
reviewed
2 Process approach     -------------   Requirements: The processes needed for the quality           If the quality management system is
                                       management system and their application throughout the       not based on process approach with
                                       organisation shall be identified. The sequence and           control of linkage between the
                                       interaction as well as the criteria and methods needed to    processes and interactions and if the
                                       ensure that both the operation and control of these          process performance indicators are
                                       processes are effective shall be determined. The processes   not defined, then the QM-system is not
                                       shall be monitored, measured, analysed and supported         yet ready for certification.
                                       through availability of resources and information. Actions
                                       necessary to achieve planned results and continual
                                       improvement of these processes shall be implemented.
                                       (Clause 4.1)

2.1 Process Model or -------------     Did we define our process model or process map showing          yes       no
   Process Map,                        the sequence and interaction of processes?
   Sequence and
                                       (Sequence and interaction may be shown by a process
   Interaction of
                                       map, flow diagram or other means)
   Processes

2.2 Process            -------------   Did we identify the processes needed for the quality            yes       no
   description                         management system (management Process, Core or main
                                       processes and supporting processes) and their application
                                       throughout the organisation including input, output and
                                       performance indicators?

                                       To enable adequate presenting the processes Moody form
                                       Excel Sheet ”Customer Process Information” shall be
                                       filled-in.

2.3 Fulfilment of   -------------      Did we identify the processes needed for the quality            yes       no
   Processes to                        management system (management Process, Core or main
   ISO/TS16949:2002                    processes and supporting processes) and their application
   requirements                        throughout the organisation including input, output and
                                       performance indicators?

                                       To enable presenting the fulfilment of processes to the
                                       ISO/TS 16949:2002 requirements the form Excel sheet
                                       “Customer Process Information”.

2.4 Outsourced         -------------   Did we identify and ensure control over the outsourced          yes       no
   processes                           processes in our quality management system?
                                       Requirements: Control over outsourced processes shall be
                                       ensured and identified within the quality management
                                       system. This shall not absolve the organisation of the
                                       responsibility of conformity to customer requirements.
                                       (Clause 4.1)




                                                                                                                             Page 2 of 7
                                               AUDIT READINESS SELF-CHECK
                                                     ISO/TS 16949 : 2002
Organisation


Documents to be          Reference             Checklist (Self-Check)                                          Comments
reviewed
                                               Requirements: The quality management system
3 QM-System              ...................
                                               documentation shall include documented statement of a           If any answer below is “no”, then
  Documentation                                                                                                readiness cannot be confirmed.
                                               quality policy and quality objectives, a quality manual,

                                               Documented procedures required ISO/TS 16949:2002,
                                               documents needed to ensure the effective planning,
                                               operation and control of the processes, and records
                                               required by ISO/TS 16949:2002. (Clause 4.2.1)

3.1 Quality Manual       Quality               Is the scope of our Quality Management System included            yes, the scope of our quality
                         Manual No.            in the Quality Manual?                                            management system, products and
                         ...................                                                                     processes are included in the
                                               Is the type of manufacturing process defined?:                    manual
                         Rev.............
                                               Applicability: Production materials, Production or service         no, the scope is not clearly defined,
                         Issue Date:           parts, assemblies and/or Heat treating, welding, painting,        we shall verify before inviting for
                                               plating or other finishing services for automotive.               readiness review
                         ...................

3.2 Documented           Procedure             Requirements: Documented procedures required by                 If any answer below is “no”, then
    Procedures           No. / Rev.            ISO/TS 16949:2002 may be included or referenced in the          readiness cannot be confirmed.
                                               quality manual. (Clause 4.2.2)

3.2.1 Document           -------------         Is a documented procedure for document control available?          yes       no
      Control                                  (Clause 4.2.3)

3.2.2 Records Control    -------------         Is a documented procedure for records control available?           yes       no
                                               (Clause 4.2.4)

3.2.3 Training needs /   -------------         Did we establish and maintain a documented procedure for           yes       no
      personnel                                identifying training needs and achieving competence of all
      competence                               personnel performing activities affecting product quality?
                                               (Clause 6.2.2.2)

3.2.4 Internal system,   -------------         Are the responsibilities and requirements for planning and         yes       no
      process and                              conducting internal system, process and product audits, for
      product audits                           follow-up activities and for reporting results and
                                               maintaining records defined in a documented procedure?
                                               Does the procedure consider increasing the audit
                                               frequency when internal/external non-conformities or
                                               customer complaints occur? (Clause 8.2.2)

3.2.5 Control of non-    -------------         Are the controls and related responsibilities and authorities      yes       no
      conforming                               for dealing with non-conforming product defined in a
      product                                  documented procedure? (Clause 8.3)

3.2.6 Corrective         -------------         Did we establish a documented procedure to define the              yes       no
      action                                   requirements for reviewing non-conformities and for
                                               implementing, verifying and recording results of corrective
                                               action taken? (Clause 8.5.2)

3.2.7 Preventive         -------------         Did we establish a documented procedure to define the              yes       no
      action                                   requirements for determining potential non-conformities
                                               and their causes and for implementing, verifying and
                                               recording results of preventive action taken? (Clause 8.5.3)




                                                                                                                                         Page 3 of 7
                                           AUDIT READINESS SELF-CHECK
                                                 ISO/TS 16949 : 2002
Organisation


Documents to be            Reference       Checklist (Self-Check)                                      Comments
reviewed
3.3 Process                Process or      Requirements: Process descriptions required by ISO/TS       If any answer below is “no”, then
    description       or   Procedure       16949:2002 may be included or referenced in the quality     readiness cannot be confirmed.
    Procedures             No. / Rev.      manual or as separate flow chart, etc.

                                           (Clause 4.2.2)

3.3.1 Handling of          -------------   Do we have a process to assure the timely review,              yes       no
      customer                             distribution and implementation of all customer
      engineering                          engineering standards/ specs. and changes based on
      standards/                           customer-required schedule?
      specification
                                           (Clause 4.2.3.1)

3.3.2 Employee             -------------   Do we have a process to motivate employees to achieve          yes       no
      motivation and                       quality objectives, to make continual Improvements, and
      empowerment                          to create an environment to promote innovation.?
                                           (Clause 6.2.2.4)

3.3.3 Control and          -------------   Do we have a process to control and react to changes that      yes       no
      Reaction to                          impact product realisation?
      changes
                                           (Clause 7.1.4)

3.3.4 Assuring quality -------------       Do we have a process to assure the quality of purchased        yes       no
      of purchased                         product?
      product
                                           (Clause 7.4.3.1)

3.3.5 Continual            -------------   Did we define a process for Continual Improvement?             yes       no
      Improvement                          (Clause 8.5.1.1)

3.3.6 Problem solving      -------------   Do we have a defined process for problem solving leading       yes       no
      process                              to root cause identification and elimination?
                                           (Clause 8.5.2.1)

3.3.7 Rejected product -------------       Do we have a process to:                                       yes       no
      test/analysis                        - analyse parts rejected by the customer,
                                           - initiate corrective action to prevent recurrence,
                                           - minimise the cycle time of this process,
                                           - keep records of the analysis and make them available
                                              upon request?
                                           (Clause 8.5.2.4)




                                                                                                                               Page 4 of 7
                                         AUDIT READINESS SELF-CHECK
                                               ISO/TS 16949 : 2002
Organisation


Documents to be          Reference       Checklist (Self-Check)                                         Comments
reviewed
4. Complete Internal     -------------   Requirements: Internal audits shall be conducted at        If any answer below is “no”, then
   Audits for the last                   planned intervals to determine whether the QM system       readiness cannot be confirmed.
   12 Months                             conforms to the planned arrangements, to the established
                                         QM system, to ISO/TS 16949:2002 requirements and to
                                         determine if the system is effectively implemented and
                                         maintained. Auditors shall not audit their own work. Audit
                                         records shall be maintained (Clause 8.2.2)

4.1 Internal System     -------------    Is the internal system audit planning for the last 12 Months     yes      no
    Audits for the last                  and are the next planned audits based on process
    12 Months                            approach? (Clause 8.2.2, 8.2.2.1, 8.2.2.4)

                                         Did the internal system audits cover all system, functions,      yes      no
                                         processes, shifts, customer requirements? (Clause 8.2.2,
                                         8.2.2.1)

                                         Have the internal System audits (for the last 12 Months)         yes      no
                                         been performed as planned and the results recorded in
                                         audit reports? (Clause 8.2.2, 8.2.2.1)

4.2 Complete Internal -------------      Have the internal process audits been planned and                yes      no
    Process Audits for                   performed on each manufacturing process to determine its
    the last 12 Months                   effectiveness and are the results recorded in audit reports?
                                         (Clause 8.2.2, 8.2.2.2)

4.3 Complete            -------------    Are internal product audits planned at a defined frequency       yes      no
    Internal Product                     to verify conformity to all specified requirements? (Clause
    Audits for the last                  8.2.2, 8.2.2.2)
    12 Months
                        -------------    Have the internal product audits been performed at               yes      no
                                         different stages of production and at delivery and are
                                         records maintained? (Clause 8.2.2, 8.2.2.1, 8.2.2.4)

4.4 Auditor              -------------   Are the internal auditors trained and qualified to perform       yes      no
    Qualification &                      internal ISO/TS 16949:2002 and independent from the
    Independence                         audited area? (Clause 8.2.2)

4.5 Corrective           -------------   Have corrective actions been proposed and taken without          yes      no
    actions                              delay to eliminate detected non-conformities and their
                                         causes? (Clause 8.2.2)

4.6 Follow-up            -------------   Have Follow-up activities been performed including the           yes      no
    activities                           verification of the actions taken and the reporting of
                                         verification results to the management for review.
                                         corrective actions been proposed and taken without delay
                                         to eliminate detected non-conformities and their causes?
                                         (Clause 8.2.2)

                         -------------   Have all non-conformities raised during the internal audits      yes      no
                                         been closed out? (Clause 8.2.2)

4.7 Review               -------------   Have the audit results been reviewed by the management           yes      no
                                         and recorded in the last management review confirming
                                         the closing out of all non-conformities? (Clause 8.2.2, 5.6)




                                                                                                                           Page 5 of 7
                                                AUDIT READINESS SELF-CHECK
                                                      ISO/TS 16949 : 2002
Organisation


Documents to be          Reference              Checklist (Self-Check)                                         Comments
reviewed
5. Qualified Internal    ....................   Requirements: Personnel performing specific assigned           If any answer below is “no”, then
   Auditors                                     tasks shall be qualified, as required, with a particular       readiness cannot be confirmed.
                                                attention to the satisfaction of customer requirements.
                                                The organisation shall have internal auditors who are
                                                qualified to audit the requirements of ISO/TS 16949:2002.
                                                (Clause 6.2.2.2, 8.2.2)

5.1 List of Internal     ....................   Do we have records showing the approved internal auditors           yes         no
    Auditors                                    according to ISO/TS 16949/2002, their positions in the
                                                organisation and their qualification?

5.2 Qualification        ....................   Did our internal auditors attend ISO/TS 16949/2002 course           yes         no
    Records                                     held by a recognised ISO/TS 16949/2002 auditor /
                                                recognised institute?

                         ....................   Are complete training records and certification of internal         yes         no
                                                auditors regarding ISO/TS 16949/2002 requirements
                                                maintained and made available?

6. Management            ....................   Requirements: Top Management shall review the                  If any answer below is “no”, or a part
   Review for the last                          organisation’s quality management system, at planned           of the requirements is not fulfilled, or
   12 months                                    intervals, to ensure its continuing suitability, adequacy      records as evidence are missing, then
                                                and effectiveness. This review shall include all               readiness cannot be confirmed.
                                                requirements of the QM system and its performance trends
                                                as an essential part of the continual improvement process
                                                and assessing opportunities for such improvement. The
                                                review shall also include the need for changes to the QM
                                                system, incl. the quality policy and monitoring of quality
                                                objectives and the regular reporting and evaluation of the
                                                cost of poor quality. Records from management reviews
                                                shall be maintained. (Clause 5.6, 5.6.1)

6. 1 Input of the        ....................   Does the input to management review include all the
    Management                                  following information (as a minimum)?:
    Review in the last                          a) Results of audits (all non-conformities are closed out?),   a)         yes          no
    12 months                                   b) customer feedback,                                          b)         yes          no,
                                                c) process performance and product conformity,                 c)         yes          no
                                                d) status of preventive and corrective actions,
                                                e) follow-up actions from previous management reviews,         d)         yes          no
                                                f) changes that could affect the quality management            e)         yes          no
                                                    system, and                                                f)         yes          no
                                                g) recommendations for improvement
                                                i) analysis of actual and potential field-failures and their   g)         yes          no
                                                    impact on quality, safety or the environment               i)         yes          no
                                                j) measurements at specified stages of design &                j)         yes          no
                                                    development including quality risks, costs, lead-times,
                                                    critical paths and others, as appropriate as well as
                                                    analysis and reporting of the summary results.
                                                (Clause 5.6.2, 5.6.2.1, 7.3.4.1)

6. 2 Output of the       ....................   Does the output to management review include decisions
    Management                                  and actions related to?:
    Review in the last                          a) Improvement of the effectiveness of the QM system           a)         yes          no
    12 months                                      and its processes (corrective actions completed?)
                                                b) improvement of product related to customer                  b)         yes          no,
                                                   requirements, and
                                                c) resource needs                                              c)         yes          no
                                                d) evidence of the achievement of the quality objectives
                                                                                                               d)         yes          no
                                                   specified in the business plan, and customer satisfaction
                                                   with product supplied
                                                e) evaluation of performance trends as a part of the           e)         yes          no
                                                   continual improvement process



                                                                                                                                        Page 6 of 7
                                                  AUDIT READINESS SELF-CHECK
                                                        ISO/TS 16949 : 2002
Organisation


Documents to be            Reference               Checklist (Self-Check)                                     Comments
reviewed
7. Key Indicator           ....................    Requirements: Automotive Certification scheme for          If any answer below is “no” or if the
   Trends for the last                                                                                        trends are available only for less that
                                                   ISO/TS 16949:2002 and IATF Guidance to ISO/ TS
   12 Months                                                                                                  12 months, then readiness cannot be
                                                   16949: 2002)                                               confirmed.
Records and evidence ....................          Are sufficient trends for the following key indicator at
of the trends                                      least for the last 12 months available and evaluated?
                                                   a) Customer satisfaction trends,                           a)         yes         no
(statistics, diagrams,
graphics, etc. for at                              b) Trends of employee motivation/awareness,                b)         yes         no,
least the last 12                                  c) Quality cost trends including poor quality costs,       c)         yes         no
months)                                            d) Product realisation trends (operational                 d)         yes         no
                                                      performance, productivity, on-time delivery, etc)       e)         yes         no
                                                   e) Supplier performance trends
                                                   f) Continual improvement issues                           f)          yes         no
                                                   g) Specific trend requirements or results of the customer g)          yes         no
                                                   i) Other trends affecting the quality management system i)            yes         no
                                                      performance
8. Customer                ....................    Requirements: Automotive Certification scheme for          If the answer below is “no” or if no
   complaint status                                ISO/TS 16949:2002 and IATF Guidance to ISO/ TS             sufficient evidence is available, then
                                                   16949: 2002)                                               readiness cannot be confirmed.

Complaint log,             ....................    Are records and evidence of customer satisfaction and           yes         no
reports, statistics,                               complaints status available, including customer reports,
diagrams, etc.                                     field returns and scorecards or any other applicable
                                                   customer evaluation or degrading for example
Time of handling                                   Containment, Business-Hold, Q1-Revocation, etc.?
claims
8. Customer specific       ....................    Requirements: Automotive Certification scheme for          If the answer below is “no” or if no
   requirements                                    ISO/TS 16949:2002 and IATF Guidance to ISO/ TS             sufficient evidence is available, then
                                                   16949: 2002). It is mandatory to identify the specific     readiness cannot be confirmed.
                                                   requirements of each customer. These can be QS-9000,
                                                   PPAP, VDA 2, VDA 6.3, 6.5, Quality agreements,
                                                   customer specifications, norms, etc.....
                           ....................    Are the specific requirements of each customer                  yes         no
                                                   identified?

Key Customers              Products                     Supplier   Customer specific requirements
                           supplied                      code




Results of the Self-Check:
We have checked each of the above requirements for readiness

     We are 100% ready. Moody Certification can                                 Open issues will be first completed. We shall inform Moody
     perform the readiness review (Stage 1 Audit)                               Certification as soon as all questions are positively answered
                                                                                and when we are 100% ready.

Date:                                             Name:                                  Position:




                                                                                                                                       Page 7 of 7

				
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