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Automotive InternalAuditor Pocket Guide
Process Auditing toISO/TS 16949:2002
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Also available from ASQ Quality Press:
ISO/TS 16949:2002: Quality SystemsAutomotive Suppliers
Particular Requirements for the Application of ISO 9001:2000ISO/TS
Integrating QS-9000 with Your Automotive Quality System,
Third EditionD. H. Stamatis
Six Sigma for the Office: A Pocket Guide
Roderick A. Munro
Failure Mode and Effect Analysis: FMEA from Theory to
Execution, Second EditionD. H. Stamatis
Six Sigma for the Shop Floor: A Pocket Guide
Roderick A. Munro
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Automotive InternalAuditor Pocket Guide
Process Auditing toISO/TS 16949:2002
Roderick A. Munro
ASQ Quality PressMilwaukee, Wisconsin
8/12/2019 Guia Bolsillo Auditor Interno Automotriz
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American Society for Quality, Quality Press, Milwaukee 53203 2004 by ASQAll rights reserved. Published 2004
Printed in the United States of America12 11 10 09 08 07 06 05 04 5 4 3 2 1
Library of Congress Cataloging-in-Publication Data
Munro, Roderick A.Automotive internal auditor pocket guide : process auditing to ISO/TS
16949:2002 / Roderick A. Munro.p. cm.
Includes bibliographical references and index.
ISBN 0-87389-617-3 (soft cover, spiral bound : alk. paper)1. Automobile industry and tradeQuality controlStandards
Handbooks, manuals, etc. 2. Automobile industry and tradeAuditingStandardsHandbooks, manuals, etc. I. Title.
TL278.5.M86 2004338.4'7629222'0685dc22 2004002513
Copyright Protection Notice for the ISO/TS 16949:2002 Standard: Portionsof this standard are paraphrased. For the official language, please refer to
the standard itself. Requests pertaining to ISO/TS 16949:2002 should besubmitted to the American National Standards Institute (ANSI).
All rights reserved. No part of this book may be reproduced in any form or byany means, electronic, mechanical, photocopying, recording, or otherwise,without the prior written permission of the publisher.
ISBN 0-87389-617-3
Publisher: William A. TonyAcquisitions Editor: Annemieke Hytinen
Project Editor: Paul OMaraProduction Administrator: Randall BensonSpecial Marketing Representative: Matt Meinholz
ASQ Mission: The American Society for Quality advances individual,organizational, and community excellence worldwide through learning,quality improvement, and knowledge exchange.
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Printed on acid-free paper
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To my mother, Georgina Antoniette Munro, who
left this plane of existence during the final stages
of this book. Although she did not see this work
completed, she promised to be with me always.
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Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Chapter 1 History of Automotive Auditing . . . . . . . 1
Military Standard 8959 . . . . . . . . . . . . . . . . . . . 1SPEAR and Q-101 . . . . . . . . . . . . . . . . . . . . . . 2
Pentastar, Q-1, and Targets for Excellence . . . . . 3
Automotive Core Tools . . . . . . . . . . . . . . . . . . . 5
QS-9000: 1994, 1996, 1998 . . . . . . . . . . . . . . . 6
ISO/TS 16949:1999, 2002 . . . . . . . . . . . . . . . . 7
Whats Next . . . . . . . . . . . . . . . . . . . . . . . . . . 10Internal Auditor Responsibility . . . . . . . . . . . . . . 10
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Chapter 2 Automotive Internal Auditor
Qualifications and Background Information . . . . . 15
ISO 19011:2002 (BSR/ISO/ASQ Q19011-2002)
Guidelines for quality and/or environmentmanagement system auditing . . . . . . . . . . . 16
Internal Auditor Selection . . . . . . . . . . . . . . . . . 18
International Automotive Task Force . . . . . . . . . 20
viivii
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International Automotive Oversight Bureau
(IAOB) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Automotive Certification Scheme forISO/TS 16949:2002Rules for Achieving
IATF Recognition . . . . . . . . . . . . . . . . . . . . 22
IATF Guidance to ISO/TS 16949:2002 . . . . . . . . 24
Quality System Assessment Checklist
Checklist to ISO/TS 16949:2002 . . . . . . . . . 24
Customer-Specific Requirements
(Dated Materials) . . . . . . . . . . . . . . . . . . . . 25
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Chapter 3 Introduction to Process Auditing . . . . . . 31
Element Auditing . . . . . . . . . . . . . . . . . . . . . . . 31
Process Auditing . . . . . . . . . . . . . . . . . . . . . . . 33
Process Mapping . . . . . . . . . . . . . . . . . . . . . . . 37Identifying Measurables . . . . . . . . . . . . . . . . . . 38
Link Policies and Procedures . . . . . . . . . . . . . . 40
Identify Interaction Between Processes . . . . . . . 41
Make a Judgment About System
Effectiveness . . . . . . . . . . . . . . . . . . . . . . . 42
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43Chapter 4 Automotive Audit Approach . . . . . . . . . . 45
PlanDoStudyAct . . . . . . . . . . . . . . . . . . . . . 46
Customer-Oriented Process . . . . . . . . . . . . . . . 50
Audit Inputs/Outputs . . . . . . . . . . . . . . . . . . . . 54
The Octopus Model . . . . . . . . . . . . . . . . . . . . . 56
Critical Process Elements . . . . . . . . . . . . . . . . . 58Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Chapter 5 Audit Preparation . . . . . . . . . . . . . . . . . . 63
Collect/Develop Flowcharts . . . . . . . . . . . . . . . 64
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Identifying Customer Information . . . . . . . . . . . . 65
Develop an Audit Strategy . . . . . . . . . . . . . . . . 66
Customize Your Audit CustomerFocus Checklist . . . . . . . . . . . . . . . . . . . . . 68
The Turtle Model . . . . . . . . . . . . . . . . . . . . . . . 69
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Chapter 6 Conducting the Audit . . . . . . . . . . . . . . . 73
Questions (Matrix) . . . . . . . . . . . . . . . . . . . . . . 73
IATF Focus Clauses . . . . . . . . . . . . . . . . . . . . . 75Data Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 77
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Chapter 7 Automotive Standard
ISO/TS 16949:2002 . . . . . . . . . . . . . . . . . . . . . . . . 81
4.0 Quality Management System . . . . . . . . . . . . 84
5.0 Management Responsibility . . . . . . . . . . . . . 896.0 Resource Management . . . . . . . . . . . . . . . . 98
7.0 Product Realization . . . . . . . . . . . . . . . . . . 107
8.0 Measurement, Analysis and Improvement . . 144
Annex AControl Plan . . . . . . . . . . . . . . . . . . . 163
Automotive Core Tools . . . . . . . . . . . . . . . . . . . 164
Chapter 8 Follow-Up . . . . . . . . . . . . . . . . . . . . . . . . 171
Environmental, Safety, and Health . . . . . . . . . . . 171
Corrective Action Reports . . . . . . . . . . . . . . . . . 172
Preventive Action Reports . . . . . . . . . . . . . . . . 174
Audit Closure . . . . . . . . . . . . . . . . . . . . . . . . . 175
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
Chapter 9 Automotive Case Studies . . . . . . . . . . . . 179
A: Casting Area . . . . . . . . . . . . . . . . . . . . . . . . 179
B: Roll Play of Customer Rejection . . . . . . . . . . 182
C: Internal Audit Program . . . . . . . . . . . . . . . . . 183
Contents ix
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Chapter 10 Next Steps . . . . . . . . . . . . . . . . . . . . . . . 187
Practice, Practice, Practice . . . . . . . . . . . . . . . . 187
Additional Training If Needed . . . . . . . . . . . . . . 188Certification (Internal versus External) . . . . . . . . 189
Quality Management Principles . . . . . . . . . . . . . 190
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Appendix A Analysis of Case Studies . . . . . . . . . . . 193
Appendix B ASQ Certified Quality Improvement
AssociateBody of Knowledge . . . . . . . . . . . . . . 201
Appendix C ASQ Certified Quality Auditor
Body of Knowledge . . . . . . . . . . . . . . . . . . . . . . . 203
Appendix D Resources . . . . . . . . . . . . . . . . . . . . . . . 207
Glossary and Acronyms . . . . . . . . . . . . . . . . . . . . . . 209Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
x Contents
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Preface
Welcome to the Automotive Internal AuditorPocket Guide. This book is designed as a ref-erence manual for conducting internal audits to
ISO/TS 16949:2002 using the new process approach.It does not cover all the aspects of how to conduct
internal audits, as there are many training pro-
grams and books available that cover the proce-
dures of internal auditing in depth. This pocket
manual is designed to help and assist internal
auditors planning and performing process auditswith ideas, tips, suggestions, and so on, to become
more effective as an auditor and satisfy the audit
customers (top management, auditees, and exter-
nal customers).
The ISO/TS 16949:2002 standard requires
more participation on the part of everyone in theorganization and requires top management to be
directly involved with the auditing process.
Another keynote that will be discussed is the need
to identify customers (internal and external) for
xi
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the various processes and to collect tangible data
on customer satisfaction.
This book is a continuation of a series of worksstarted by the author referred to as QUIT
Quality in Training. It is hoped that through
this ongoing series people will be helped in find-
ing joy in the work that they do, leading to health-
ier, happier lives.
In the Zen Buddhist text The Art of Living, itstates:
The Master in the art of living makes lit-
tle distinction between his work and his
play, his labor and his leisure, his mind
his body, his education and his recre-ation, his love and his religion. He hardly
knows which is which. He simply pur-
sues his vision of excellence in whatever
he does, leaving others to decide whether
he is working or playing. To him he is
always doing both.
xii Preface
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Acknowledgments
Although some people have asked for a com-plete reference guide for automotive internalauditors, it was felt that a pocket guide to high-
light some of the more important items would bemore useful to those who are on the floor doing
internal audits. To this end, this book has been
developed from comments and suggestions of
hundreds of participants in classes dealing with
automotive internal auditing. I would like to
thank all of them and a number of instructorswho have worked with the author to discuss areas
for continual improvement in internal auditing,
including David Lusk, Joe Kausek, George Moura-
dian, Norma Simons, and Dr. Dean Stamatis.
I would also like to thank ASQ Quality Press
for their time and efforts to help this pocket guidebecome a reality. Especially Annemieke Hytinen,
Acquisitions Editor, and Paul OMara, Project
Editor. Their help has been most valuable in
xiii
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ensuring that this pocket guide will be useful to
automotive internal auditors.
Finally, a personal thank-you to Dr. ElizabethJ. Rice-Munro, who spent countless hours coach-
ing me and saying shut off that TV to help
ensure that this product was produced.
xiv Acknowledgments
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1
History ofAutomotive Auditing
The automotive industry has been activelyauditing suppliers for more than 40 years, butthe history of auditing goes back centuries. Thefocus of this book will be current practice for
the process approach to the ISO/TS 16949:2002
and its related support documents (core tools, cus-
tomer specific requirements, rules, guidelines, and
so on). The auditor would do well to have a basic
understanding of how the current auditing sys-tem came to be and what is expected in the auto-
motive industry.
MILITARY STANDARD 8959
During World War II, the entire manufacturing
component of industry turned to the war effort.
People who had never seen the inside of manu-
facturing plants were brought in to replace the
1
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men who went off to fight. With the loss of skilled
works, many techniques were developed to assist
in ensuring that product was the best that it couldbe for the men on the front lines. During this
time, the U.S. government was looking for a way
to ensure that suppliers delivered consistently
good quality parts. A practice of auditing was
developed and was combined in 1956 in the first
Military (Mil) Specification (Std) 8959 (Marash,Berman, and Flynn 2003).
SPEAR AND Q-101
The automotive industry came under the Mil-Std
8959A and also wanted to monitor suppliers. Ford
Motor Company (Ford) and General Motors Cor-
poration (GM) started officially auditing suppliers
in 1964 with the release of their standards Q-101
and Supplier Performance and Evaluation Report(SPEAR), respectively. Chrysler Corporation and
American Motors followed a few years later with
their own versions of the programs.
During the late 1960s and throughout the 1970s,
the automotive industry developed the practice of
conducting yearly audits on suppliers differentlyfrom other industries auditing practices (for exam-
ple, aerospace and nuclear fields). In the automo-
tive industry, the common practice was to have
supplier quality assurance (SQA) auditors spend
2 Chapter One
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one day reviewing each plant regardless of how
large the operation was. This sometimes left time
for the auditor to conduct only a bench audit.Other auditors may have found themselves being
distracted by suppliers who had things they
wanted to hide from the customer.
Simultaneously, in Europe auditing of suppliers
was becoming widespread. The English especially
moved forward with their British Standard (BS)5750, which became a national standard used by
many organizations from schools and hospitals to
manufacturing plants. It was this standard that
the International Organization for Standardiza-
tion (ISO) used as the first draft of ISO9001:1987.
PENTASTAR, Q-1, AND TARGETS
FOR EXCELLENCE
Back in the United States, the automotive origi-
nal equipment manufacturers (OEMs) were being
challenged to coordinate some of the multiple
demands being put on suppliers. In the late
1970s, Chrysler, Ford, and GM (the Big Three)
along with a number of suppliersformed a not-for-profit organization to work on standards to be
used in the U.S. automotive industry. This group
was called the Automotive Industry Action Group
(AIAG) and was based in Southfield, Michigan.
History of Automotive Auditing 3
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The first task that the AIAG worked on was to
standardize how bar coding (a new technology at
that time for labeling shipping containers) wouldbe used in the industry. Up to that point, it
appeared as if each of the Big Three would have
to develop separate technologies, which would
have caused a profound mess for suppliers.
Then in 1979, the National Broadcasting Com-
pany (NBC) aired a show narrated by LloydDobyns called If Japan Can . . . Why Cant We.
It originally aired very late at night, but some
executives from both Ford and GM saw the show.
They became very curious about someone named
Dr. W. Edwards Deming and wanted to know moreabout what he had taught the Japanese. Remem-
ber that the perception was, at that time, that the
Japanese had taken the U.S. automotive industry
by storm in the mid to late 1970s! Each company
requested that NBC rebroadcast the show during
prime time and circulated memos within eachcompany directing that employees should watch
the program. Many did, and Deming started vis-
iting both Ford and GM.
It was during this time (early 1980s) that the
big three started developing their award programs.
Ford started its Q1 Award (which is different fromthe Q-101 supplier survey, Ford thus having two
processes) around 1981; GM followed by replac-
ing its SPEAR audits with the Target for Excel-
lence Award, and Chrysler developed the Pentastar
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Award. The SQA at each company worked with
the purchasing departments to monitor suppliers
and grant awards to those who could meet thehigh levels established by each company.
The rate of quality improvement increased
greatly in the United States during the mid to late
1980s. Ford even used a new group called Supplier
Quality Improvement (SQI) to work with suppliers
in the earliest phases of programs. This initiativeproved so effective at preventing issues at launch
that it was integrated with the SQA in 1995 to
create the Supplier Technical Assistant (STA),
which is used today. During the early 1990s at least
one leading bank tried to benchmark Fords Q1program to understand what the automotive indus-
try was doing to make such great improvements.
AUTOMOTIVE CORE TOOLS
One of Demings first requests of the two auto-
motive giants was that they should set up vigor-
ous training programs for suppliers based on
quality. This request led to each company devel-
oping and requiring training by company employ-
ees and suppliers in statistical process control(SPC). By the late 1980s, suppliers were request-
ing that this process be standardized. Thus, AIAG
was given the task to start work on standardizing
quality-related tools. The first manual to come out
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wasMeasurement Systems Analysis (MSA) in 1990
followed by Statistical Process Control in 1992.
The same team had worked on both books and theAIAG realized that to create more books, they
would need more development teams. Thus, three
more projects were started, which resulted in:
Production Part Approval Process (PPAP) in 1993,
Failure Mode and Effects Analysis (FMEA) in
1993, and Advance Product Quality Planningand Control Plans (APQP) in 1994. Three of the
manuals were updated in 1995: MSA, PPAP, and
FMEA. Today these five books make up the core
quality tools that are required in the U.S. auto-
motive industry. At the time of this writing, thecurrent editions included: SPC 1992, APQP 1994,
PPAP (3rd) 1999, FMEA (3rd) 2001, and MSA
(3rd) 2002. You may want to check the AIAG Web
site at www.aiag.org to ensure that you have the
most recent copy available.
QS-9000: 1994, 1996, 1998
With the worldwide release of the ISO 9000
Series in 1987, and the United States effort to
commonize standards starting with the MSA in1990 and SPC in 1992, a call came out from sup-
pliers (during a joint conference sponsored by the
AIAG and American Society for Quality [ASQ]
Automotive Division) to standardize the OEM
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audit programs. Executives of the automotive
industry and AIAG started looking at this possi-
bility, and the Supplier Quality RequirementsTask Force (SQRTF) was given the task to com-
bine the three programs, Chryslers Pentastar,
Fords Q-101, and GMs Targets for Excellence,
into one program. The first draft was called Qual-
ity System Requirements and was circulated for
internal OEM review in early 1994. It wasrenamed Quality Systems Requirements QS-9000
and released in August of 1994. It used the same
auditing scheme as ISO 9001:1994 (also having
just been updated) and registrars (third-party
independent organizations controlled by appointedgroups through ISO) began auditing suppliers to
the new automotive standard.
The use of ISO 9001:1994 for industry-specific
standards was quickly adopted by other groups
(aerospace, telecommunications, and others). The
European automotive community also starteddeveloping individual standards based on the ISO
requirements for their suppliers.
ISO/TS 16949:1999, 2002
The next challenge was for the global automotive
industry to devise one standard to replace the vari-
ety of national standards. How about developing a
single global standard under the ISO that went
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beyond the requirements of ISO 9001:1994 that
was specific to the industry? The United States
and European automotive manufacturers devel-oped the International Automotive Task Force
(IATF). This group started working toward a
commonized U.S./Europe standard. Membership
in IATF included: BMW, DaimlerChrysler, Fiat,
Ford Motor Company, General Motors (including
Opel Vauxhall), PSA Peugeot-Citroen, RenaultSA, and Volkswagen along with respective trade
associationsAIAG (U.S.), ANFIA (Italy), FIEV
(France), SMMT (U.K.), and VDA (Germany).
Up to this point the ISO had resisted develop-
ing industry-specific standards and wanted tostay with general standards for global applica-
tions. However, given the size of the worldwide
automotive industry, the ISO gave in to this
request and the first ISO technical specification
(TS) 16949 came out in 1999. This standard was
based primarily on the QS-9000 and the GermanVDA 6. An oversight board was created to be a
link between ISO and the IATF, which was called
the International Automotive Oversight Bureau
(IAOB). It is this group that approves registrars
for the 16949 standard. The next release of the
ISO 9000 series occurred in 2000, and the IAOBstarted on the next revision of the 16949, which
was released in 2002.
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In reference to ISO/TS 16949:2002, the ISO
states: The document is a common automotive
quality system requirements catalog based onISO 9001:2000, AVSQ (Italian), EAQF (French),
QS-9000 (U.S.), and VDA6.1 (German) auto-
motive catalogs. This document, coupled with
customer-specific requirements, defines quality
system requirements for use in the automotive
supply chain.The IATF oversees 16949, the number ISO has
given to the global automotive community for
their work. In working with the standard and the
registration process:
. . . the IATF has developed a commonregistration scheme for supplier third-
party registration to the ISO/TS 16949.
The registration scheme includes third-
party auditor qualifications and common
rules for consistent global registration.
Some of the benefits of the IATF regis-
tration scheme include:
Improved product and process quality
Additional confidence for global
sourcing Reassignment of supplier resources
to quality improvement
History of Automotive Auditing 9
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Common quality system approach
in the supply chain for supplier/
subcontractor development andconsistency
Reduction in multiple third-party
registrations.
WHATS NEXT
The next challenge that faces the IAOB is to get
truly global acceptance of 16949. Up to this point,
it has been primarily the United States and
Europe that use 16949 widely. The Japanese haveagreed in principle, but have not gone so far as
requiring suppliers to register. Also, you may
notice that the standards full title is ISO/TS
16949:2002. The TS stands for technical specifi-
cation and under ISO rules is only good for three
years with one extension. Thus, with the first
release in 1999 and the second in 2002, the year
2005 will become an important year, as we will be
looking at another possible update of ISO 9001
and the full status of ISO 16949. If the IAOB
does not gain full agreement by all the automo-tive OEMs by that time, then there is a possibil-
ity that 16949 could be withdrawn and we could
be facing a return to each OEM requiring its own
program for supplier qualifications worldwide!
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INTERNAL AUDITOR
RESPONSIBILITY
As an internal auditor, you should be aware of the
status of the standards so you can talk about
what is current if requested by your management
or an external auditor. The primary Web sites to
help you stay updated include: www.aiag.org,
www.iaob.org (it has been suggested that this site
be visited weekly) and www.iso.ch/iso/en/ISOOnline.
openerpage.
While using this pocket guide, the internal
auditor should take note of the following:
Top management should be using theeight quality management system
principles to manage the organization.
ISO/TS 16949:2002 certificates that are
issued by registrars are site specific.
However, if you are part of a largercompany and one of the other certificates
goes down, then your plant will lose its
certificate as well.
The U.S. and European OEMs all use
the ISO/TS 16949:2002 standard, but inEurope, things are done slightly differently,
which this book does not cover.
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IAOB has identified the top six witness
audit issues raised in the United States as:
Readiness review incomplete (by top
management).
Not auditing to the process approach.
Lack of auditing either the customer-
specific requirements or core tool. (Note:the customer-specific requirements
will soon include the major tier-one
organizations, which are being planned
to be found at www.aiag.org.)
Failure to audit all levels/activities ofthe organization.
Failure to audit all shifts in operation.
Failure to write clear, complete findings.
Process identification.
Customer identification.
SUMMARY
All processes must have an output; otherwise,they need to be eliminated as waste! Thus, the
person(s) who receives the output of a process
can be called the customer(s). So, customers can
be internal to your plant or external. They could
12 Chapter One
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also be identified as the person(s) who will ulti-
mately use your product in some final assembly
that they buy for personal use. These customerscould be anyone who receives reports, parts, serv-
ices, or anything else a process may deliver. It is
expected in the ISO/TS 16949:2002 standard that
data will be collected on how well the customers
are satisfied with the outputs of the process. Thus,
top management will need to identify the keyprocesses (using both macro and micro process
maps) to identify which customers data will be
sought from to compile a satisfaction measure-
ment. These customer satisfaction measures are
to be collected on an ongoing basis and correlatedwith existing process measures with the intent of
showing continual improvement over time.
History of Automotive Auditing 13
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Index
*Page numbers in italics refer to tables and figures.
A
acceptance criteria, 110acceptance process, 113accidents, OSHA-reportable, 112advance product quality planning and control plan (APQP),
16465manual, 6
advanced quality planning, 1089
American Motors, 2analysis of data, 15758.See also data analysisanalysis of potential failure, 97appearance items, 154
APQP team, 109audit,
defined by standard, 1718evaluating, 17577
external, 62goal, 53internal, 62
conducting, 7379preparing for, 6371
output, 56planning, 4750
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audit closure, 175audit focus, 73audit frequency, 148, 151audit matrix, 6668audit program, maintaining effective, 1618audit reports, 4243, 56, 6061, 69audit strategy, 6668audit training, additional, 188auditing,
element-based, 15process approachbased, 15
auditing certification, 18990auditing guidelines, 1618auditors, selecting, 1617, 1820, 29audits, different types, 6668automotive auditing, history, 113automotive core tools, 16469
Automotive Industry Action Group (AIAG), 3
automotive internal auditor planning matrix, 7071
B
bar coding, 34bench audit, 3black box suppliers, 115British Standard 5750, 3
C
calibration/verification records, 14142certification of auditor, 18990change control, 111characteristics, special, 119Chrysler Corporation, 2, 3
award program, 4cleanliness of premises, 107communication, internal, 95competence, 99, 100compliance audit, 68confidentiality, 110confidentiality statement, 110
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contingency plans, 106continual change, 50, 84continual improvement, 56, 84, 109, 15960.See also
improvementcontinual improvement of the organization, 159continual improvement projects, 85control plan, 13132
elements, 16364phases, 163
corrective action, 85, 16062corrective action impact, 161corrective action reports, 29, 43, 56, 69, 17275cost of poor quality calculations, 92customer-approved sources, 129customer communication, 11415customer complaints, 91, 106customer data, 66customer designated special characteristics, 112
customer feedback, 131customer focus, 9091customer focus checklist, 6869customer information, 6566, 156customer measurables, 108customer needs, 106
satisfying, 84customer, notifying of nonconforming product, 156
customer-oriented process, 5054customer property, 138customer-related processes, 11215customer representative, 105customer requirement information, 89customer satisfaction, 13, 33, 35, 39, 42, 73, 8283
commitment to, 89data analysis, 38
data collecting, 43evaluating, 43monitoring and measuring, 14647personnels awareness of, 101
customer satisfaction information, 120customer satisfaction trends, 131, 151customer-specific measurables, identifying, 39
Index 219
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customer-specific requirements, 2529, 109customer waiver, 157customers, 12
identifying, 65, 95internal, 91
D
DaimlerChrysler Customer-Specific Requirements, 26data,
collecting, 6061use of, 158
data analysis, 7779.See also analysis of datadata analysis of customer satisfaction, 38data collection (audit findings) and analysis, 7475defect, 154delivery, 46Deming, W. Edwards, 4
design and development,changes, 117, 127inputs, 11719outputs, 11921planning, 11516review, 12223
validation, 12427verification, 12324
design requirements, 117design responsibility, 107design techniques, 1023designs, poor, 114discrepancies, 32, 154documentation, 8586documents, control of, 8788
E
element auditing, 3132.See also element-based auditingelement-based auditing, 15.See also element auditingemployee feedback, 89employee information, 102employee motivation, 104
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employee safety, 106employee suggestion program, 93employee surveys, 90engineering specifications, 88engineers, 103environmental compliance, 172, 177environmental management system internal auditor, 177equipment failure, 106equipment specifications, 140error-proofing, 161evidence-based process approach auditing, 17external auditors, rules, 24
F
failure mode and effects analysis (FMEA), 16667manual, 6
failures, preventing, 97
feedback of information from service, 13536field returns, 106first-in-first-out, 139first-in-still-here, 139flowcharts, 37
collecting/developing, 6465follow-up process, 17178Ford Motor Company, 2, 3
award programs, 4Ford Motor Company Customer-Specific Requirements,2627
G
General Motors Corporation, 2, 3award program, 4
General Motors Customer Specifics, 2829global standard, 7goals, measurable, 91governmental regulations, 109governmental regulatory requirements, 128gray box suppliers, 115guidance document, 24
Index 221
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H
health and safety, 172, 178
human resources, 99104
I
IATF Guidance to ISO/TS 16949:2002, 24identification of product, 13738improvement, 15963.See also continual improvement
continual quality system, 46
management involvement, 56manufacturing process, 160sustained, 46
improvement opportunities, 42, 44improvements, making, 34information boards, 3839information, missing, 66infrastructure, 105
inputs, 58interactions, 86
unplanned, 41internal audit plans, 15051internal audit process, 5556, 62internal audit program, 14849internal audit programs, guidance document, 24internal audit reports, 90
internal auditor continual improvement, 188internal auditor, general guidelines, 24internal auditor qualification guidelines, developing,
1820internal auditor qualifications, 151internal auditor responsibility, 1012internal auditor training, 1820
conducting, 20internal auditors, important definitions, 2223internal communication, 95internal customers, 91International Automotive Oversight Bureau (IAOB), 8, 2122
members, 21
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International Automotive Task Force (IATF), 89, 2022members, 21original membership, 8registration, 9
International Organization for Standardization (ISO), 3in-vehicle position, 136inventory, 139ISO 9000 Series, worldwide release, 6ISO 9001:1987, 3
original intent, 3132ISO 9001:1994, 7ISO/TS 16949, 89, 21, 2229
checklist, 25customer-specific requirements, 2529global acceptance, 10guidance document, 24rules book, 2224
ISO/TS 16949:2002, high focus clauses, 7677
ISO/TS 16949:2002 process identification tool,34
J
job descriptions, 100job setups, 133
K
Kano model, 159
L
labeling, 4laboratory personnel, 100laboratory requirements,
external, 143internal, 14243
lack of constancy, 38last-in-first-out, 139learning interventions, 101
Index 223
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M
macro process map, 41
major nonconformity, 23management audit, 68management commitment, 8990management of production tooling, 13435management representative, 9495management responsibility, 1617, 18, 2930, 36, 39, 58, 78
customer focus, 9091management commitment, 8990
management review, 9598planning, 9293process efficiency, 90quality policy, 91responsibility, authority, and communication, 9395
management review, 42, 44, 56, 9598managerial control, 36manuals, U.S. automotive industry, 56
manufacturing process, 62manufacturing process audit, 14950manufacturing process design, 118manufacturing process design output, 121manufacturing process improvement, 160manufacturing processes, monitoring and measurement,
15253manufacturing standard, 45
measurables,customer-specific, 39identifying, 3840
measurement, analysis and improvement, 14463analysis of data, 15758improvement, 15963monitoring and measurement, 14654nonconforming product, 15457
measurement boards, 92measurement error, 168measurement plan, 140measurement process, improving, 40measurement systems analysis (MSA), 141, 16869
manual, 6, 168
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measurements, 59method of, 59
Military Specification 8959, 2Mil-Std 8959A, 2minor nonconformity, 2324monitoring and measuring devices, control of, 14043
calibration/verification records, 14142laboratory requirements, 14243measurement system analysis, 141
N
needs assessment, 113nonconforming product, 110
control of, 15457nonconformities, 2324non-value-added processes, 40
O
obsolete stored parts, 139octopus diagram, 41, 57octopus model, 5616949 standard.See ISO/TS 16949original equipment manufacturers, 3, 191
standardizing the audit programs, 67
OSHA-reportable accidents, 112outputs, 58
P
part submission warrant, 126parts,
marked, 155obsolete, 139
Pentastar Award, 4personnel safety, 106plandocheckact, 3334
process model, 35plandostudyact, 33, 4650
Index 225
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planning, 9293, 105predictive maintenance, 133preservation of product, 139preventive action, 85, 89, 93, 16263preventive action reports, 29, 39, 41, 43, 66, 69, 17475preventive maintenance, 133problem prevention, 174problem solving, 16061, 173process,
basic components, 64basic foundations, 5455
process activity (transformation), 60process approach-based auditing, 15.See also process auditingprocess audit, 67process auditing, 3336.See also process approachbased
auditingprocess auditing method, 59process controlling, 44
process controls, 58process efficiency, 90process elements, critical, 5861process managing, 44process mapping, 3738process maps,37, 52, 57
levels, 57process output, review, 33
process requirements 5253process resources, 58processes, linked, 4142processes, monitoring and measurement, 15153product, 58, 62
launching, 164monitoring and measurement, 15354
product approval process, 12627
product audit, 6667, 150product design input, 117product design skills, 1023product liability laws, 154product quality, incoming, 130product realization, 59
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control of monitoring and measuring devices, 14043customer-related processes, 11215design and development, 11527planning of, 10711production and service provision, 13039purchasing, 12730
product safety, 106product storage, 139production and service provision,
control of, 13036customer property, 138identification and traceability, 13738preservation of product, 139
validation of processes for, 13637Production Part Approval Process (PPAP) manual, 6, 165production personnel, 121production scheduling, 135production tooling, customer-owned, 138
production tools, 13435production validation testing, 124program validation process, 125prototype program, 126prototypes, planning for, 125purchased product, verification of, 12930purchasing,
information, 129
process, 12729verification of purchased product, 12930
Q
Q1 Award, 4Q-101, 2Q-101 supplier survey, 4
QCD+E, 96quality,
products/services, 84responsibility for, 94
quality function deployment, 3940quality management principles, 19091
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quality management system, 62accountability, 90control of documents, 8788control of records, 8889documentation requirements, 8586general requirements, 8485quality manual, 8687
quality management system audit, 149quality management system failure mode and effects analysis,
98quality management system performance, 9697quality management system planning, 93quality manual, 84, 8687quality objectives, 9293quality, part, 46quality policy, 91quality-related tools, standardizing, 56Quality System Assessment Checklist, 25
Quality System Requirements, 7Quality System Requirements QS-9000, 7
R
records, control of, 8889records retention system, 8889registrars,
guidance document, 24ISO/TS 16949:2002 audit, 2224, 7677policies and procedure, 21qualified, 21rules, 24
registration audit, 37, 77rejected product test/analysis, 16162requirements related to product,
determination of, 11213review of, 11314
resource management, 58cleanliness of premises, 107human resources, 99104infrastructure, 105
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plant, facility, and equipment planning, 1056provision of resources, 9899work environment, 106
review cycles, yearly, 87review input, 9798review output, 98reworked product, control of, 156Rice and Munro Training Evaluation Model, 100root causes, 173Rules for Achieving IATF Recognition, 2224
S
safety issues, 172safety items, 105score boards, 92, 157service agreement, 136setup personnel, 133
SPEAR audits, 4SQDCME, 39, 92, 96standards, industry-specific, 8statistical analysis, 39statistical concepts, 14546statistical data analysis, 78statistical process control (SPC), 5, 16768
manual, 6
statistical process display, 167statistical tools, 14445storage of product, 139supplier disruptions, 46supplier monitoring, 130Supplier Performance and Evaluation Report (SPEAR), 2supplier plants, internal audit programs, 24supplier quality assurance auditors, 2, 4
Supplier Quality Improvement, 5Supplier Quality Requirements Task Force, 7Supplier Technical Assistant, 5suppliers,
customer-approved, 129problems with, 84
Index 229
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survey results, past, 90surveys, employee, 90system audit, 67system effectiveness, 4243
T
Target for Excellence Award, 4technical specification, 8, 10traceability, 13738training evaluation, 101training, internal auditor, 1820training needs assessment, 103training on the job, 103training, personnel, 99training program, evaluating, 100training programs for suppliers, 5training records, 102
turtle diagram, 52, 56, 69
V
visitors, 110
W
warranty reduction, 46waste reduction, 160work environment, 106work instructions, 132written report, 175
Z
zero defects, 110
230 Index