管理体系认证审核总结报告样本.doc

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1、MANAGEMENT SYSTEM CERTIFICATION 管理体系认证Audit Summary Report 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/NACE code行业代码EAC: 17; NACE: 28.4Audit date(s)审核日期: Apr. 27-29Lead Auditor主任审核员:Certificate Number证书编号:3-GE-08-07-1631Co-Auditor其它审核员

2、:Nil,Certificate Number证书编号:N/ASupplier code供给商代码This report is confidential and distribution is limited to the audit team, the client representative and the SGS office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1.1Audit objectives. 审核目标The objectives of this audit were to confirm that the management system: 此

3、次审核目标是确定管理体系: conforms with all the requirements of ISO/TS16949:符合ISO/TS16949:全部要求 of the organisation has been effectively implemented已经有效实施, is capable of achieving the organisations policy objectives 能达成组织方针目标1.2Scope of the certification. 认证范围Manufacture of stamping and welding metal parts for a

4、utomotive driver cab and chassis. 用于汽车驾驶室和底盘冲压焊接零部件制造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。 Yes NoHas this scope been amended as a result of this audit?审核

5、结束时认证范围是否有所更改？ Yes No1.3Current audit findings and conclusions. 此次审核发觉点及结论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程审核. 审核结构符合审核计划及审核策划矩阵. 审核小组所以推荐

6、 registration to ISO/TS 16949: is ISO/TS16949: 认证注册open status待定状态 /awarded取得 /continued连续 /suspended 暂停 /withdrawn 撤销 that letter of conformance to ISO/TS 16949: is awarded 取得ISO/TS16949:符合性证实函Number of non-conformities identified:识别出不符合项数目:Major严重0Minor轻微4Client Signature用户署名: Date日期:1.4Previous a

7、udit results.以往审核结果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 concluded that: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:All fin

8、dings in the Stage 1 report have been properly addressed 已合适处理了第1阶段汇报全部发觉点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).Any nonconformity identifie

9、d 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 plan. 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

10、核中验证纠正方法计划所需要额外时间已包含。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1.5Audit findings.审核发觉点The following k

11、ey considerations in respect of the organisations management system were assessed:针对组织管理体系以下关键部分进行了评定:The management system documentation demonstrated conformity with the requirements of ISO/TS1949: and provided sufficient structure to support implementation and maintenance of the management system.

12、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 Yes NoThe organisation has demonstrated effective implementation and maintenance / improvement of its management system组织已表明能有效实施和维持/改善其管理体系 Yes NoThe organisation has demonstrated the established and tracking of appropriate key performance indicators and

13、/or targets and monitored progress towards their achievement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 Yes NoThe internal audit programme has been fully implemented and demonstrates effectiveness towards achieving continuous improvement. Audits have been conducted using properly qualified auditors已完整实施内部审核程序,

14、 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 Yes NoThroughout the internal audit process, the management system demonstrated overall conformance with the requirements of ISO/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 Yes NoThe management review process demonstrated capability to ensure the continuing suita

15、bility, adequacy and effectiveness of the management system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. Yes NoThe organisation has identified all applicable customer specific requirements组织已识别了全部相关用户特殊要求 Yes NoThe client is eligible for transfer as stipulated in 3rd Ed IATF Rules 7.0.This was verified prior to the

16、 transfer audit.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。 Yes No N/ACertification claims are accurate and in accordance with SGS guidance认证申明是正确, 符合SGS指南 Yes No N/AComments on negative findings: 对负面发觉点说明1.6Objective evidence seen by process. 各过程所见客观证据The specific processes, activities and fu

17、nctions 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 throughout: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:Business pla

18、n, Data analysis, Continual improvement, Internal audit, Management review :Audit Trail: organization visionsbusiness planningquality policy and objectivesdata analysis performance reviewannual audit planningsystem auditprocess auditsproduct auditsmanagement review inputmanagement reviewimprovement

19、needsimplementing and verifying improvements.Sampled: yearly Business Plan and Mid-term Business Plan; quality objective/targets, DPPM, customer satisfaction, OTD rate, FQC conforming rate, scraped rate; quality loss cost including inner and outer loss cost; yearly annual audit plan, audit checklist

20、, system audit summery report and CAR closed, process audit reports, product audit reports; weekly/monthly quality meeting including improvement needs and verification as meeting memos and reports, yearly management review and management review summary report.Contract review, Product delivery, Servi

21、ce process, CS monitoring :Audit Trail: Process KPI reviewed marketing researchcustomer communicationcustomer requirements review and confirmation quotation and business agreementsproduction planning production scheduling emergency planShipping plandelivery control customer property management compl

22、aint handling customer satisfaction assessmentpayments 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. Part

23、s Purchase Plan in Dec, Mar. and Apr. from Dongfeng Liuzhou Motor Co., Ltd.Process design :Audit Trail: Process KPI reviewed receiving new project founding cross-function team review of customer information and relevant requirements process development planningprocess design inputprocess design outp

24、utproject approval processsample making and verification sample customer approval production trialinitial process capability evaluationcustomer PPAP process releasing mass productionmonitoring process capability ECN controltechnical data control production equipment management facility management.Sa

25、mpled: 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, etc.Production schedule, Production process, Equipment and tooling managemen

26、t :Audit Trail: Process KPI reviewed receiving production task production schedule and arrangement control plan verification of job setups in-process inspection verification of process capability finished product inspection nonconforming product control Identification and traceability product rework

27、 and repair corrective action.Production equipment run status equipment and tooling list equipment preventive and predictive maintenance plan management of production tooling maintenance status on site maintenance records equipment breakdown handling work environment controlfacilities/infrastructure

28、 controlSampled: the product realization process of TP401M3-3703020D, TP401M3-1101105, 8405020B, were 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

29、 of operators, etc. the run and maintenance status of the equipment HJ-01, YY-02, CNC-01 were sampled and checked, including equipment list, maintenance plan, key equipments historical card, repair and maintenance records of the equipments breakdown.Purchase control, Warehouse management :Audit Trai

30、l: Process KPI reviewed material demands controlsupplier selectionsupplier QMS developmentsupplier evaluation supplier approval purchasing controlmaterial provided from supplier supplier performance management.incoming material and finished product receiving/releasing managementonsite warehouse mana

31、gement material and product preservation material and product identification account and inventory chemical warehouse validity period of material non-conforming material and product segregation management.Sampled: the major supplier HAICHI, CHENGHENG, YINHONG, were sampled and checked, including qua

32、lified 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 Mar. and Apr. the incoming material Q235, QSTE500TM, Q345, and the finished product TP401M3-1101105, TP401M3-

33、3703020D, MB, 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 custom

34、er pliant control plan incoming material and finished product test and inspection planningIncoming material inspection in-process inspection/testfinished product inspection/test layout inspection and functional testing planning and implementing NC product control C/P actions continual improvementdat

35、a analysis.Planning of measuring and monitoring process measuring device list calibration planinner calibration external calibration calibration records MSA plan MSA implementing records non-conforming device control inner lab managementoutsourced lab management.Sampled: incoming material inspection

36、 control was reviewed by sampling and checking the material Q235, QSTE500TM, Q345, including the sampling inspection plan, inspection and testing records, material certificate, etc. finished product inspection control was reviewed by sampling and checking the product TP401M3-1101105, TP401M3-3703020

37、D, MB, including customer complaint, control plan, inspection instruction, layout inspection and function testing plan, inspection and testing report, non-conformity control and corrective action, the measurement equipment control was reviewed by sampling and checking the measurement device J21199,

38、, 4-900754, including device used on site, device calibration plan, MSA plan, calibration and MSA report, internal lab and external lab management.HR management, Training management:Audit Trail: Process KPI reviewed Human resources demandsrecruitments training plan pre-job trainingon-job trainingspe

39、cial job qualificationverification of trainingemployee awarenessemployee motivation and empowerment 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

40、:Audit Trail: Document preparationdocument approvaldocument identificationdocument distribution controldocument change controloutsourced document usecustomers engineering specification controlrecords control.Sampled： the document TC/QP-B/0-01, TCS/QD-14-B/0, TCJ/QD-03-B/0, were sampled and checked t

41、o verify the effectiveness of document control.1.7Non-conformities.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:, including actions to prevent recurrence and pro

42、per maintenance of corrective action records.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.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不符合项. 对不符合事项必需通知该组织.Major non-co

43、nformities issued at surveillances require 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。Major non-conformities should require onsite verification within 80 days.严重不符合项应该要求在

44、80天内完成现场验证工作。Minor non-conformity that is verified without an onsite visit shall be verified at the next audit.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。ALL non-conformities must be closed in the IATF database within 90 days (Rule 8.2)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-conformity Number不符合项编号Number 编号1of4Ma

45、jor严重Minor轻微Process过程Process designISO/TS Clause ISO/TS 条款7.3.2.3Document reference 参考文件TC/QP-07Document issue status文件版本B0Statement of non-conformity不符合项陈说Process design process was not implemented effectively.The Requirement 要求7.3.2.3 Special characteristicsThe organization shall identify special

46、characteristics (see 7.3.3 d) and include all 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 customers special characteristic symb

47、ol or the organizations equivalent 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特殊特征没有有效识别。For the product TP401M3-1101105, TP401M3-3520210C and M43-8405071, the special characteristics were not identified effectively.Non-conformity Number不符合项编号Number 编号2of4Major严重Minor轻微Process过程Production processISO/TS Clause ISO/TS 条款7.5.1.3Document reference 参考文件TC