管理体系认证审核总结报告

1、 MANAGEMENT SYSTEM CERTIFICATION管理体系认证Audit Summary Report审核总结报告Organisation组织名称:Address组织地址:Standard 标准ISO/TS16949: 2009Representative：组织代表:Mr. 先生Site(s) audited审核地点:EAC/NACE code行业代码EAC: 17; NACE: 28.4Audit date(s)审核日期:2011 Apr. 27-29Lead Auditor主任审核员:Certificate Number证书编号:3-GE-08-07-1631Co-Audit

2、or其他审核员:Nil,Certificate Number证书编号:N/ASupplier code供应商代码This report is confidential and distribution is limited to the audit team, the client representative and the SGS office该报告是文件,仅限于分发到审核小组,公司代表, 与SGS办公室1.1Audit objectives.审核目的The objectives of this audit were to confirm that the management syste

3、m: 本次审核目的是确认管理体系:· 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已有效实施,· is capable of achieving the organisations policy objectives 能达成组织的方针目标1.2Scope of the certification. 认证围Manufacture of stamping

4、 and welding metal parts for automotive driver cab and chassis. 用于汽车驾驶室和底盘冲压焊接零部件的制造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这个现场有其他支持活动吗？（规则5.5）所有相关现场或远程场所应该在此报告的1.9章节部分列出。 Yes NoHas this scope been amen

5、ded as a result of this audit?审核结束时认证围是否有所更改？ Yes No1.3Current audit findings and conclusions. 本次审核的发现点与结论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审核小组进行了基于过

6、程的审核. 审核的结构符合审核计划与审核策划矩阵. 审核小组因此推荐· registration to ISO/TS 16949:2009 is ISO/TS16949:2009 认证注册open status待定状态 /awarded获得 /continued持续/suspended 暂停/withdrawn 撤销· that letter of conformance to ISO/TS 16949:2009 is awarded 获得ISO/TS16949:2009符合性证明函Number of non-conformities identified:识别出的不符合项

7、数目:Major严重0Minor轻微4Client Signature客户签名:Date日期:1.4Previous audit results.以往的审核结果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:对上次的审核结果已进行了评审,特别是针对已识别出的不符合项的纠正预防措施已确保实施. 该评审的结论是:All findings in the Stage 1 report have been properly addressed 已适当解决了第1阶段报告的所有发现点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天纠正了

9、针对前次审核中识别出的任何不符合, 且纠正措施持续有效 (规则条款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. 以往审核识别的任何不符合项（已经有措施计划并100%解决）现在已全部实施措施，并在本次审核中得到验证（规则条款5.11）。在本次审核中验证纠正措施计划所需要的额外时间已包括。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.管理体系尚未针对前次审

11、核中识别出的不符合采取有效措施, 在本报告中又再提出了具体的纠正措施要求1.5Audit findings.审核发现点The following key considerations in respect of the organisations management system were assessed:针对组织管理体系的以下关键部分进行了评估: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.管理体系文件显示符合ISO/TS16949:2009要求, 并提供足够的架构支持管理体系的实施与维持 Yes NoThe organisation has demonstrated effective implementation and maintenance / improvement of its management system组织已表明能有效实施与维持/改进其管理体系 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组织表明已建立与跟踪其适当的关键绩效指标/目标, 并已监控进展的状况 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已完整实施部审核程序, 并表明朝达成持续改进目标的有效性. 已使用适当的合格审核员进行部审核 Yes NoThroughout the internal audit process, the management system demonstrated overall conformance with the requirements of ISO/TS16949:2009通过整个部审核过程, 显示管理体系总体上符合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管理评审过程显示有能力确保管理体系的适宜性,充分性和有效性. Yes NoThe organisation has identified all applicable customer specific requirements组织已识别了所有有关的客户特殊要求 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.客户能够按照IATF认证规则第三版条款7.0规定的要施转换审核。这已在此转换审核前得到验证确认。 Yes No N/ACertification claims are accurate and in accordance with SGS guidance认证申明是准确的, 符合SGS指南 Yes No N/AComments on negative findings: 对

17、负面发现点的说明1.6Objective evidence seen by process. 各过程所见客观证据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:审核的具体过程,活动与功能在审核策划矩阵与审核计划中有详细说明. 为完成该次审核, 在整个审核过程中, 已设计了多种审核思路与联接部分, 包括以下审核思路: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.对在该处详细列

45、出的不符合, 组织必须按照ISO/TS16949:2009有关纠正措施的要求,在其纠正措施过程中进行处理, 包括防止再次发生的措施, 并适当保留纠正措施的记录.Identified non-conformities cannot be closed during the on-site audit. Non-conformities shall be acknowledged by the organisation. 不能在现场审核中关闭识别出的不符合项. 对不符合事项必须通知该组织.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.在监督审核中发现的严重不符合项要求在20天完成根本原因分析和措施计划/遏制措施。如果没有做到这些将导致证书暂停。Major non-conformities should require onsite verification within 80 days.严重不符合项应该要求在80天完成现场验证工作。Minor non-conformity that is

47、 verified without an onsite visit shall be verified at the next audit.轻微不符合项如果是非现场验证的话则必须在下次审核中加以验证。ALL non-conformities must be closed in the IATF database within 90 days (Rule 8.2)所有不符合项必须在90天在IATF数据库中得到关闭（规则条款8.2）。Non-conformity Number不符合项编号Number 编号1of4Major严重Minor轻微Process过程Process designISO/TS

48、 ClauseISO/TS 条款Document reference 参考文件TC/QP-07Document issue status文件版本B0Statement of non-conformity不符合项述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 客观证据产品TP401M3-1101105, TP401M3-3520210C 和M43-8405071的特殊特性没有有效识别。For the product TP401M3-1101105, TP401M3-3520210Cand M43-8405071, the special characteristics were not identified effectively.Non

51、-conformity Number不符合项编号Number 编号2of4Major严重Minor轻微Process过程Production processISO/TS ClauseISO/TS 条款Document reference 参考文件TC/QP-09Document issue status文件版本B0Statement of non-conformity不符合项述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 客观证据产品TP401M3-3703020D, TP401M3-1101105 和8405020B在2011年4月28日没有按程序文件要求执行首件确认。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不符合项编号Number 编号3of4Major严重Mi

54、nor轻微Process过程Equipment ManagementISO/TS ClauseISO/TS 条款Document reference 参考文件TC/QP-09Document issue status文件版本B0Statement of non-conformity不符合项述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、 客观证据生产设备HJ-01, YY-02 和CNC-01没有按程序文件要求执行有效的定期维护保养。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不符合项编号Number 编号4of4Major严重Minor轻微Process过程Monitoring and measurement equipment management IS

58、O/TS ClauseISO/TS 条款7.6Document reference 参考文件TC/QP-10Document issue status文件版本B0Statement of non-conformity不符合项述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