管理体系认证审核总结报告样本

MANAGEMENTSYSTEMCERTIFICATION管理体系认证AuditSummaryReport审核总结汇报Organisation组织名称:Address组织地址:Standard标准ISO/TS16949:Representative：组织代表:Mr.先生Site(s)audited审核地点:EAC/NACEcode行业代码EAC:17;NACE:28.4Auditdate(s)审核日期:Apr.27-29LeadAuditor主任审核员:CertificateNumber证书编号:3-GE-08-07-1631Co-Auditor其它审核员:Nil,CertificateNumber证书编号:N/ASuppliercode供给商代码Thisreportisconfidentialanddistributionislimitedtotheauditteam,theclientrepresentativeandtheSGSoffice该汇报是保密文件,仅限于分发到审核小组,企业代表,及SGS办公室审核目标Theobjectivesofthisauditweretoconfirmthatthemanagementsystem:此次审核目标是确定管理体系:conformswithalltherequirementsofISO/TS16949: 符合ISO/TS16949:全部要求oftheorganisationhasbeeneffectivelyimplemented 已经有效实施,iscapableofachievingtheorganisation’spolicyobjectives 能达成组织方针目标Manufactureofstampingandweldingmetalpartsforautomotivedrivercabandchassis.用于汽车驾驶室和底盘冲压焊接零部件制造DoesthissitehaveSupportingActivities?(Rule5.5)Allrelevantsitesorremotelocationsshallbelistedinsection1.9ofthisreport这个现场有其它支持活动吗？（规则5.5）全部相关现场或远程场所应该在此汇报1.9章节部分列出。FORMCHECKBOXYesFORMCHECKBOXNoHasthisscopebeenamendedasaresultofthisaudit?审核结束时认证范围是否有所更改？FORMCHECKBOXYesFORMCHECKBOXNoTheauditteamconductedaprocessbasedaudit.ThestructureoftheauditwasinaccordancewiththeAuditPlanandtheAuditPlanningMatrix.TheauditteamthereforerecommendsthatregistrationtoISO/TS16949:isISO/TS16949:认证注册openstatus待定状态FORMCHECKBOX/awarded取得FORMCHECKBOX/continued连续FORMCHECKBOX/suspended暂停FORMCHECKBOX/withdrawn撤销FORMCHECKBOXthatletterofconformancetoISO/TS16949:isawardedFORMCHECKBOX取得ISO/TS16949:符合性证实函Numberofnon-conformitiesidentified: ClientSignature用户署名: Date日期:1.4 Previousauditresults.以往审核结果Theresultsofthelastauditofthissystemhavebeenreviewed,inparticulartoassureappropriatecorrectionandcorrectiveactionhasbeenimplementedtoaddressanynonconformityidentified.Thisreviewhasconcludedthat:对上次审核结果已进行了评审,尤其是针对已识别出不符合项纠正预防方法已确保实施.该评审结论是:FORMCHECKBOXAllfindingsintheStage1reporthavebeenproperlyaddressed已合适处理了第1阶段汇报全部发觉点FORMCHECKBOXAnynonconformityidentifiedduringpreviousauditshasbeencorrectedwithin90daysandthecorrectiveactioncontinuestobeeffective(Rules5.11).已在90天内纠正了针对前次审核中识别出任何不符合,且纠正方法连续有效(规则条款5.11).FORMCHECKBOXAnynonconformityidentifiedduringpreviousaudits(thathavealreadybeen100%resolvedwithanactionplan)havenowbeenfullyimplemented&verifiedatthisvisit(Rule5.11)

Includeadditionaltimeifrequiredatthisvisittoverifycorrectiveactionplan.以往审核识别任何不符合项（已经有方法计划并100%处理）现在已全部实施方法，并在此次审核中得到验证（规则条款5.11）。在此次审核中验证纠正方法计划所需要额外时间已包含。FORMCHECKBOXThemanagementsystemhasnotadequatelyaddressednonconformityidentifiedduringpreviousauditactivitiesandthespecificissuehasbeenre-definedinthenonconformitysectionofthisreport.管理体系还未针对前次审核中识别出不符合采取有效方法,在本汇报中又再提出了具体纠正方法要求1.5 Auditfindings.审核发觉点Thefollowingkeyconsiderationsinrespectoftheorganisation’smanagementsystemwereassessed:针对组织管理体系以下关键部分进行了评定:ThemanagementsystemdocumentationdemonstratedconformitywiththerequirementsofISO/TS1949:andprovidedsufficientstructuretosupportimplementationandmaintenanceofthemanagementsystem.管理体系文件显示符合ISO/TS16949:要求,并提供足够架构支持管理体系实施和维持FORMCHECKBOXYesFORMCHECKBOXNoTheorganisationhasdemonstratedeffectiveimplementationandmaintenance/improvementofitsmanagementsystem组织已表明能有效实施和维持/改善其管理体系FORMCHECKBOXYesFORMCHECKBOXNoTheorganisationhasdemonstratedtheestablishedandtrackingofappropriatekeyperformanceindicatorsand/ortargetsandmonitoredprogresstowardstheirachievement组织表明已建立及跟踪其合适关键绩效指标/目标,并已监控进展情况FORMCHECKBOXYesFORMCHECKBOXNoTheinternalauditprogrammehasbeenfullyimplementedanddemonstrateseffectivenesstowardsachievingcontinuousimprovement.Auditshavebeenconductedusingproperlyqualifiedauditors已完整实施内部审核程序,并表明朝达成连续改善目标有效性.已使用合适合格审核员进行内部审核FORMCHECKBOXYesFORMCHECKBOXNoThroughouttheinternalauditprocess,themanagementsystemdemonstratedoverallconformancewiththerequirementsofISO/TS16949:经过整个内部审核过程,显示管理体系总体上符合ISO/TS16949:要求FORMCHECKBOXYesFORMCHECKBOXNoThemanagementreviewprocessdemonstratedcapabilitytoensurethecontinuingsuitability,adequacyandeffectivenessofthemanagementsystem管理评审过程显示有能力确保管理体系适宜性,充足性和有效性.FORMCHECKBOXYesFORMCHECKBOXNoTheorganisationhasidentifiedallapplicablecustomerspecificrequirements组织已识别了全部相关用户特殊要求FORMCHECKBOXYesFORMCHECKBOXNoTheclientiseligiblefortransferasstipulatedin3rdEdIATFRules7.0.

Thiswasverifiedpriortothetransferaudit.用户能够根据IATF认证规则第三版条款7.0要求要求实施转换审核。这已在此转换审核前得到验证确定。FORMCHECKBOXYesFORMCHECKBOXNoFORMCHECKBOXN/ACertificationclaimsareaccurateandinaccordancewithSGSguidance认证申明是正确,符合SGS指南FORMCHECKBOXYesFORMCHECKBOXNoFORMCHECKBOXN/ACommentsonnegativefindings:对负面发觉点说明1.6 Objectiveevidenceseenbyprocess.各过程所见客观证据Thespecificprocesses,activitiesandfunctionsreviewedaredetailedintheAuditPlanningMatrixandtheAuditPlan.Inperformingtheaudit,variousaudittrailsandlinkagesweredeveloped,includingthefollowingaudittrails,followedthroughout:审核具体过程,活动及功效在审核策划矩阵及审核计划中有具体说明.为完成该次审核,在整个审核过程中,已设计了多个审核思绪及联接部分,包含以下审核思绪:Businessplan,Dataanalysis,Continualimprovement,Internalaudit,Managementreview:AuditTrail:organizationvisionsbusinessplanningqualitypolicyandobjectivesdataanalysisperformancereviewannualauditplanningsystemauditprocessauditsproductauditsmanagementreviewinputmanagementreviewimprovementneedsimplementingandverifyingimprovements.Sampled:yearlyBusinessPlanandMid-termBusinessPlan;qualityobjective/targets,DPPM,customersatisfaction,OTDrate,FQCconformingrate,scrapedrate;qualitylosscostincludinginnerandouterlosscost;yearlyannualauditplan,auditchecklist,systemauditsummeryreportandCARclosed,processauditreports,productauditreports;weekly/monthlyqualitymeetingincludingimprovementneedsandverificationasmeetingmemosandreports,yearlymanagementreviewandmanagementreviewsummaryreport.Contractreview,Productdelivery,Serviceprocess,CSmonitoring:AuditTrail:ProcessKPIreviewedmarketingresearchcustomercommunicationcustomerrequirementsreviewandconfirmationquotationandbusinessagreementsproductionplanningproductionschedulingemergencyplanShippingplandeliverycontrolcustomerpropertymanagementcomplainthandlingcustomersatisfactionassessmentpaymentscontrol.Sampled:theautocustomer:DongfengLiuzhouMotorCo.,Ltd,Customersatisfactionstatuswasassessedonceayear,thecustomersthoughtthisorganizationwassatisfactory.Thecustomer’sP/Owerereviewedwhenitwasreceived,e.g.PartsPurchasePlaninDec,Mar.andApr.fromDongfengLiuzhouMotorCo.,Ltd.Processdesign:AuditTrail:ProcessKPIreviewedreceivingnewprojectfoundingcross-functionteamreviewofcustomerinformationandrelevantrequirementsprocessdevelopmentplanningprocessdesigninputprocessdesignoutputprojectapprovalprocesssamplemakingandverificationsamplecustomerapprovalproductiontrialinitialprocesscapabilityevaluationcustomerPPAPprocessreleasingmassproductionmonitoringprocesscapabilityECNcontroltechnicaldatacontrolproductionequipmentmanagementfacilitymanagement.Sampled:theAPQPpackageofproduct:TP401M3-1101105,TP401M3-3520210C,M43-8405071,weresampledandverified,includingspecialcharacteristiclist,FMEAdocument,controlplan,WI,MSA,PPAP,andprocesscapabilitystudy,etc.Productionschedule,Productionprocess,Equipmentandtoolingmanagement:AuditTrail:ProcessKPIreviewedreceivingproductiontaskproductionscheduleandarrangementcontrolplanverificationofjobsetupsin-processinspectionverificationofprocesscapabilityfinishedproductinspectionnonconformingproductcontrolIdentificationandtraceabilityproductreworkandrepaircorrectiveaction.Productionequipmentrunstatusequipmentandtoolinglistequipmentpreventiveandpredictivemaintenanceplanmanagementofproductiontoolingmaintenancestatusonsitemaintenancerecordsequipmentbreakdownhandlingworkenvironmentcontrolfacilities/infrastructurecontrolSampled:theproductrealizationprocessofTP401M3-3703020D,TP401M3-1101105,8405020B,werechecked,includingproductionschedule,controlplanandWI,jobsetups,in-processqualitycontrol,finishedproductinspection,packaging,non-conformingproducthandling,capabilityandawarenessofoperators,etc.therunandmaintenancestatusoftheequipmentHJ-01,YY-02,CNC-01weresampledandchecked,includingequipmentlist,maintenanceplan,keyequipments’historicalcard,repairandmaintenancerecordsoftheequipments’breakdown.Purchasecontrol,Warehousemanagement:AuditTrail:ProcessKPIreviewedmaterialdemandscontrolsupplierselectionsupplierQMSdevelopmentsupplierevaluationsupplierapprovalpurchasingcontrolmaterialprovidedfromsuppliersupplierperformancemanagement.incomingmaterialandfinishedproductreceiving/releasingmanagementonsitewarehousemanagementmaterialandproductpreservationmaterialandproductidentificationaccountandinventorychemicalwarehousevalidityperiodofmaterialnon-conformingmaterialandproductsegregationmanagement.Sampled:themajorsupplierHAICHI,CHENGHENG,YINHONG,weresampledandchecked,includingqualifiedsupplierlist,QMSassessmentrecordsofqualifiedsupplier,performanceofsupplierevaluatedonceayear,thepurchasingcontrolstatuswascheckedbyreviewingthepurchaseplaninMar.andApr.theincomingmaterialQ235,QSTE500TM,Q345,andthefinishedproductTP401M3-1101105,TP401M3-3703020D,MB,weresampledandchecked,includingpreservation,identification,inventory,andnon-conformingmaterialandproductsegregation.Productmonitoringandmeasurement,NCproductcontrol,C/Paction,Monitoringandmeasurementequipmentmanagement:AuditTrail:ProcessKPIreviewedcustomerpliantcontrolplanincomingmaterialandfinishedproducttestandinspectionplanningIncomingmaterialinspectionin-processinspection/testfinishedproductinspection/testlayoutinspectionandfunctionaltestingplanningandimplementingNCproductcontrolC/Pactionscontinualimprovementdataanalysis.PlanningofmeasuringandmonitoringprocessmeasuringdevicelistcalibrationplaninnercalibrationexternalcalibrationcalibrationrecordsMSAplanMSAimplementingrecordsnon-conformingdevicecontrolinnerlabmanagementoutsourcedlabmanagement.Sampled:incomingmaterialinspectioncontrolwasreviewedbysamplingandcheckingthematerialQ235,QSTE500TM,Q345,includingthesamplinginspectionplan,inspectionandtestingrecords,materialcertificate,etc.finishedproductinspectioncontrolwasreviewedbysamplingandcheckingtheproductTP401M3-1101105,TP401M3-3703020D,MB,includingcustomercomplaint,controlplan,inspectioninstruction,layoutinspectionandfunctiontestingplan,inspectionandtestingreport,non-conformitycontrolandcorrectiveaction,themeasurementequipmentcontrolwasreviewedbysamplingandcheckingthemeasurementdeviceJ21199,,4-900754,includingdeviceusedonsite,devicecalibrationplan,MSAplan,calibrationandMSAreport,internallabandexternallabmanagement.HRmanagement,Trainingmanagement:AuditTrail:ProcessKPIreviewedHumanresourcesdemandsrecruitmentstrainingplanpre-jobtrainingon-jobtrainingspecialjobqualificationverificationoftrainingemployeeawarenessemployeemotivationandempowermentemployeerelationmanagement.Sampled:EmployeeMr.ZHOU,Mr.SHU,Ms.LUOweresampledandcheckedsoastoverifytheeffectivenessofplanningandimplementingtraining.Documentandrecordscontrol:AuditTrail:Documentpreparationdocumentapprovaldocumentidentificationdocumentdistributioncontroldocumentchangecontroloutsourceddocumentusecustomer’sengineeringspecificationcontrolrecordscontrol.Sampled：thedocumentTC/QP-B/0-01,TCS/QD-14-B/0,TCJ/QD-03-B/0,weresampledandcheckedtoverifytheeffectivenessofdocumentcontrol.1.7 Non-conformities.不符合Non-conformitiesdetailedhereshallbeaddressedthroughtheorganisation’scorrectiveactionprocess,inaccordancewiththerelevantcorrectiveactionrequirementsofISO/TS16949:,includingactionstopreventrecurrenceandpropermaintenanceofcorrectiveactionrecords.对在该处具体列出不符合,组织必需根据ISO/TS16949:相关纠正方法要求,在其纠正方法过程中进行处理,包含预防再次发生方法,并合适保留纠正方法统计.Identifiednon-conformitiescannotbeclosedduringtheon-siteaudit.Non-conformitiesshallbeacknowledgedbytheorganisation.不能在现场审核中关闭识别出不符合项.对不符合事项必需通知该组织.Majornon-conformitiesissuedatsurveillancesrequirerootcauseanalysis&action/containmentwithin20days.Failuretodosowillresultinsuspensionincertificate.在监督审核中发觉严重不符合项要求在20天内完成根本原因分析和方法计划/遏制方法。假如没有做到这些将造成证书暂停。Majornon-conformitiesshouldrequireonsiteverificationwithin80days.严重不符合项应该要求在80天内完成现场验证工作。Minornon-conformitythatisverifiedwithoutanonsitevisitshallbeverifiedatthenextaudit.轻微不符合项假如是非现场验证话则必需在下次审核中加以验证。ALLnon-conformitiesmustbeclosedintheIATFdatabasewithin90days(Rule8.2)全部不符合项必需在90天内在IATF数据库中得到关闭（规则条款8.2）。Non-conformityNumber不符合项编号Number编号1of4FORMCHECKBOXMajor严重FORMCHECKBOXMinor轻微Process过程ProcessdesignISO/TSClauseISO/TS条款Documentreference参考文件TC/QP-07Documentissuestatus文件版本B0Statementofnon-conformity不符合项陈说Processdesignprocesswasnotimplementedeffectively.TheRequirement要求SpecialcharacteristicsTheorganizationshallidentifyspecialcharacteristics(see7.3.3d)and includeallspecialcharacteristicsinthecontrolplan, complywithcustomerspecifieddefinitionsandsymbols,and identifyprocesscontroldocumentsincludingdrawings,FMEAs,controlplans,andoperatorinstructionswiththecustomer'sspecialcharacteristicsymbolortheorganization'sequivalentsymbolornotationtoincludethoseprocessstepsthataffectspecialcharacteristics.ObjectiveEvidence客观证据产品TP401M3-1101105,TP401M3-3520210C和M43-8405071特殊特征没有有效识别。FortheproductTP401M3-1101105,TP401M3-3520210CandM43-8405071,thespecialcharacteristicswerenotidentifiedeffectively.Non-conformityNumber不符合项编号Number编号2of4FORMCHECKBOXMajor严重FORMCHECKBOXMinor轻微Process过程ProductionprocessISO/TSClauseISO/TS条款Documentreference参考文件TC/QP-09Documentissuestatus文件版本B0Statementofnon-conformity不符合项陈说Productionprocesswasnotimplementedeffectively.TheRequirement要求VerificationofjobsetupsJobsetupsshallbeverifiedwheneverperformed,suchasaninitialrunofajob,materialchangeover,jobchange.Workinstructionsshallbeavailableforsetuppersonnel.Theorganizationshallusestatisticalmethodsofverificationwhereapplicable.NOTELastoffpartcomparisonsarerecommended.ObjectiveEvidence客观证据产品TP401M3-3703020D,TP401M3-1101105和8405020B在4月28日没有按程序文件要求实施首件确定。ThejobsetupsVerificationoftheproductTP401M3-3703020D,TP401M3-1101105and8405020B在werenotimplementedon28Apr.asrequiredbytheprocedure.Non-conformityNumber不符合项编号Number编号3of4FORMCHECKBOXMajor严重FORMCHECKBOXMinor轻微Process过程EquipmentManagementISO/TSClauseISO/TS条款Documentreference参考文件TC/QP-09Documentissuestatus文件版本B0Statementofnon-conformity不符合项陈说EquipmentManagementProcesswasnotimplementedeffectively.TheRequirement要求PreventiveandpredictivemaintenanceTheorganizationshallidentifykeyprocessequipmentandprovideresourcesformachine/equipmentmaintenanceanddevelopaneffectiveplannedtotalpreventivemaintenancesystem.Asaminimum,thissystemshallincludethefollowingplannedmaintenanceactivities,packagingandpreservationofequipment,toolingandgauging,availabilityofreplacementpartsforkeymanufacturingequipment,documenting,evaluatingandimprovingmaintenanceobjectives.Theorganizationshallutilizepredictivemaintenancemethodstocontinuallyimprovetheeffectivenessandtheefficiencyofproductionequipment.ObjectiveEvidence客观证据生产设备HJ-01,YY-02和CNC-01没有按程序文件要求实施有效定时维护保养。TheregularmaintenanceoftheproductionequipmentHJ-01,YY-02andCNC-01werenotimplementedeffectivelyasrequiredbytheprocedure.Non-conformityNumber不符合项编号Number编号4of4FORMCHECKBOXMajor严重FORMCHECKBOXMinor轻微Process过程MonitoringandmeasurementequipmentmanagementISO/TSClauseISO/TS条款7.6Documentreference参考文件TC/QP-10Documentissuestatus文件版本B0Statementofnon-conformity不符合项陈说Monitoringandmeasurementequipmentmanagementprocesswasnotimplementedeffectively.TheRequirement要求7.6ControlofmonitoringandmeasuringdevicesTheorganizationshalldeterminethemonitoringandmeasurementtobeundertakenandthemonitoringandmeasuringdevicesneededtoprovideevidenceofconformityofproducttodeterminedrequirements(see7.2.1).Theorganizationshallestablishprocessestoensurethatmonitoringandmeasurementcanbecarriedoutandarecarriedoutinamannerthatisconsistentwiththemonitoringandmeasurementrequirements.Wherenecessary