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SMMT Industry Forum

Process Approach in Auditing


The need

Auditors have a significant role to play in ensuring that business management

systems are implemented and maintained in an effective and efficient way.

The competence of the auditors is therefore essential in ensuring that this

objective is achieved.


The solution

Our training introduces best practice “process approach” auditing techniques.

Rather than focusing purely on system compliance, the process approach to

auditing focusses on the effectiveness of the processes to achieve the required

output to meet all stakeholders expectations.

We use “Turtle Diagram”

as is a simple tool to plan

and undertake the effective audits.

Process

Support Processes

How?

Input

With What?

Risk? With who?

Output

What Results?


What is Process Approach?

• Organisations need to determine and

manage many linked activities

• These activities can be considered as

processes

• Outputs from one process generally

become inputs to subsequent processes

The process approach involves the systematic definition and management of processes, and their interactions, so as to achieve the intended

results in accordance with the quality policy and strategic direction of the organisation.


Process approach - QMS

Input A customer who has a

requirement

Output A customer

whose requirements

are met

Look across organisation


Single Process

Single Process

Inputs

Outputs

Input Output Step

1 Step

2 Step

3 Step

4 Step

n


Customer Orientated Processes

COP Process

Input A customer who has a

requirement

Output A customer

whose requirements

are met

Organisation


Sequence and Interaction

Input Process Output




Benefits of the Process Approach

• Understanding and consistency in meeting requirements

• Consideration of processes in terms of added value

• The achievement of effective process control

• Improvement of processes based on evaluation of data and information


Process Approach Requirements

determine the processes needed for the quality management

system and their application throughout the organization and shall:

a) determine the inputs required and the outputs expected from

these processes,

b) determine the sequence and interactions of these processes,

c) determine and apply the criteria and methods (including

monitoring, measurement and related performance indicators)

needed to ensure the effective operation and control of these

processes,

d) determine the resources needed for these processes and

ensure their availability

PLAN

PLAN

PLAN

PLAN

Requirements are taken from ISO9001 clause 4.4.1


Process Approach Requirements

e) assign the responsibilities and authorities for these processes

f) address the risks and opportunities as determined in

accordance with the requirements

g) evaluate these processes and implement any changes needed

to ensure that these processes achieve the intended results

h) improve the processes and the quality management system

DO

CHECK

ACT

DO

Requirements are taken from ISO9001 clause 4.4.1


Turtle diagram

What

Equipment, tooling, machines

Results

KPIs, effectiveness and efficiency

Who

People, skills, competence, knowledge

How

Procedures, instructions, methods

Process Input Output

Support

Processes

Risk analysis!


Process Approach in Audit planning

Prepare Audit Findings Reporting N/C

management Programme

Create Turtle Diagram including information on:

Relevant performance indicators/objectives

Management review minutes

Previous audit records

Continuous improvement plans

Procedures, instructions, control plans

IATF 16949, Statutory and regulatory requirements

Customer specific requirements (consider Annex B)


Process Approach in Audit planning

KPI’s should also be used during the audit

planning stage to understand the

measurable objectives, evaluate progress,

monitor trends, review improvements

actions and support decision making.

Effectiveness:

• Planned results achieved which

result in customer satisfaction

• (i.e. how the customer would

measure a suppliers

performance)

Efficiency:

• Planned results achieved verses

resources used, which results in

organisation satisfaction

• (i.e. how an supplier would measure

it’s own internal performance)


Example

`

Process Audit Preparation "Turtle Diagram"

Outputs:Audit Programme incl. resource, System Process Audits, Manufacturing Process Audits, Product Audits incl. Audit Plans, Audit Reports and 8D Reports).

Inputs:ISO 4.3; IATF4.3.1; 4.3.2; 7.5.1.1Quailty Management System Scope, System Processes, Maufacturing Processes and Products.

How? - (Procedures & Methods)Internal Audit Procedure IATF 9.2.2.1 List of qualified auditors IATF 7.2.3 Audit Programme ISO 9.2.1; 9.2.2IATF 9.2.2.1; 9.2.2.2; 9.2.2.3; 6.1.2.1; Audit Plan ISO 9.2.1; IATF16949:2016; ISO9001:2015; CSRs: VDA6.3; VDA6.5Audit Report ISO 9.2.1; 7.5.3.2.1; 8D Report IATF 10.2.1; 10.2.2; 6.1.2.2Control Plans, PFMEAs, IATF 8.5.1.1; 8.5.6.1.1; Drawings & Engineering SpecificationsIATF 7.5.3.2.2;

What Results? - (Performance Indicators)

ISO 9.1; 9.1.3c&g; 9.2.1c, 4&6; 9.3.3; 10.1; 10.3 Effectiveness:

Effectiveness of Audit Programme:Number of Non-conformities raised: Number of opportunities for improvemence:No of overdue Audits:No of overdue Actions:Effectiveness Corrective/Preventive Actions:

Efficiency: Cost/plan:

With Who? - (Competence / Skills / Training)

ISO 7.1.2; 7.2; 9.2.2; IATF 7.2.3; 5.3.1; 5.3.2b; Owner Lead Auditors Internal System Auditors Manufacturing Process Auditors VDA6.3; Product Auditors VDA6.5

With What? - (Materials / Equipment)

Office/Work place,Phone, PC, Email, Word, Excel, Audit Management SoftwarePrinter, Paper, Pen,Measurmement EquipmentISO 7.1.3; 7.1.4; 7.1.5.1;

Process

Internal Audit

(Support Processes)

Problem SolvingHRIT

Calibration

(Risks & Opportunities)IATF 6.1.2.2; 6.1.2.3; 8.5.6.1

Sampling Method; Changes (IATF16949:2016; ISO9001:2015;CSRs,QMS, Products and Processes;

Personnel Changes;Risks of conducting audit.


Process Approach in Audit execution

Prepare Audit Findings Reporting Programme

Start with questions about performance, what is expected, what are the indicators and objectives, what is the actual performance ?

How is performance being improved ?

How was the process planned, what methods are in place to ensure the process is controlled. Does the process address IATF 16949 and relevant customer requirements ?

Is the process being carried out as planned ? Are the methods understood by all involved in the process ?

PLAN

DO

CHECK

ACT


Process Approach in Audit execution

Key Performance Indicators (KPI) should be used during the audit, questions

about target setting and performance can help develop audit trials.


Exercise

Select a processes and create a turtle diagram using the A3

template

Link the items you identify back to the requirements of IATF 16949

Feedback your findings to the group


Quiz


Quiz 1/10

Question No 1:

What defines extent and boundaries of an audit?

a) Audit Scope

b) Audit Criteria

c) Audit Findings

d) Audit Conclusions

Hint: only one correct answer


Quiz 2/10

Question No 2:

Which of the following define Audit Criteria?

a) Set of policies and procedures

b) ISO9001:2015 and IATF16949:2016 requirements

c) Applicable Customer Specific Requirements

d) Applicable Statutory and Regulatory Requirements

Hint: more than one correct answer


Quiz 3/10

Your

organisation

Your

organisation

Your

organisation

Customer

Certification

body 1st party

or internal audits

2nd party

or external providers or other external

interested parties (customer audits)

3rd party or

certification audits or accreditation,

statutory and regulatory audits.

Question No 3:

Match the correct definition with each type of audit.


Quiz 4/10

Question No 4:

Which of the following is a type of internal audit?

a) Quality Management System Audit

b) Supplier Audit

c) Manufacturing Process Audit

d) Product Audit



Quiz 5/10

Question No 5:

Which of the following requires to be audited within three year calendar

period by IATF16949:2016 Standard?

a) all System Processes

b) all Customer Specific Requirements

c) all Manufacturing Processes

d) all Products



Quiz 6/10

Question No 6:

Who is conducting an audit?

a) Auditee

b) Auditor

c) Technical expert

d) Observer



Quiz 7/10

Question No 7:

Which of the following competencies are required IATF16949:2016 for

quality management system auditors?

a) understanding of the automotive process approach for auditing,

including risk-based thinking;

b) technical understanding of the relevant manufacturing processes;

c) understanding product requirements and use of relevant measuring

and test equipment to verify product requirements;

d) understanding of applicable core tool requirements related to the

scope of the audit;



Quiz 8/10

Question No 8:

According to IATF16949:2016 Maintenance of internal auditors

competence should be demonstrated through executing a minimum

number of audits per year, as defined by organisation.

a) True

b) False



Quiz 9/10

Question No 9:

Which of the following findings indicates a requirement has been

effectively implemented but, based on auditor experience and

knowledge, additional effectiveness or robustness might be possible with

a modified approach?

a) Major Non-conformity

b) Minor Non-conformity

c) Opportunity for Improvement



Quiz 10/10

Question No 10:

Which of the following is required for problem solving process by

IATF16949:2016 Standard?

a) Define the Team

b) Define interim containment actions

c) Identify root causes

d) Identify systemic corrective actions



Questions?


Training

• IATF 16949:2016 Lead Auditor Training

• IATF 16949:2016 Internal Auditor Training

• IATF 16949: 2016 Management Awareness Training

• IATF 16949: 2016 Essential Training

• TPM for IATF 16949:2016

• Standard Work for IATF 16949:2016

• Practical Problem Solving for IATF 16949:2016

• Core Tools Certification (APQP, FMEA, MSA, SPC and PPAP) as a 5 day certified

course or as individual 1 day training courses

For more details please speak to your trainer or look online

at www.industryforum.co.uk/training


For further information visit us …

@smmtif

company/industry-forum

www.industryforum.co.uk

smmt industry forum your workshop title goes here · iatf 16949, statutory and regulatory...

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