IATF 16949 - Internal Audit Checksheet [PDF]

Zitiervorschau

Sl. No.

Check Sheet No. Check Sheet Name

Rev. No.

Issue Date

1

F/MR/01

Top Management / MR

01

01.01.2020

2

F/MR/02

PRODUCTION

01

01.01.2020

3

F/MR/03

QUALITY

01

01.01.2020

4

F/MR/04

PURCHASE

01

01.01.2020

5

F/MR/05

ENGINEERING

01

01.01.2020

6

F/MR/06

STORE

01

01.01.2020

7

F/MR/07

HUMAN RESOURCE MANAGEMENT

01

01.01.2020

8

F/MR/08

MAINTENANCE

01

01.01.2020

9

F/MR/09

MARKETING

01

01.01.2020

10

F/MR/10

INFORMATION TECHNOLOGY (IT)

01

01.01.2020

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEPTT./ AREA : Top Management / MR AUDITEE(S) : SN

AUDIT DATE TIME START : AUDITOR(S) :

Parameters

IATF Clause

1

Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS

2

Context of the Organization * Internal & External Issues * Addressing of Needs & Expectations of Interested Parties * Relevant Action Plan, review & monitoring

3

4

5

6

7

8

9

10

11

12

13

Observations

6.1

Control of Documented Information * Document Issue, Monitoring & Change Management * Legibility & availability at the point of use

4.1. 4.2

7.5.1

Goal Setting * For sales projection * Infrastructure development plan * Technology development plan * Quality objectives * Cost Goals * Financial goals * Manpower goals * Quality policy & its deployment * Long Term goals/Business Planning *Focus Area

6.2

Sale plan Domestic sales * Export sales * Development sales * Replacement market Resource and facility planning Review of resource and facility planning * Departmental Budget * Contingency Plan & review *Technology Roadmaps

FINISH :

* 6.2

*

Customer Satisfaction assessment * Timely response * Tracking of customer score cards * Adequacy of corrective action * Performance monitoring against targets Employee Motivation & Empowerment * Reward & Award System * Leadership Development * Job roles & responsibility clarity * Employee Engagement survey & monitoring of action plan * Timely Performance appraisal & training opportunities for employees * Corporate Policy deployment like anti-bribery, employee code of conduct, esclation policy

Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy, Company Vision & Mission * Relevent SOPs, Formats & Guidelines of QMS * Internal QMS Audit Plan, Report & Closure * Competent List of internal auditors - QMS

Planning & Management review * Organization Structure * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Management Review as per agenda * Management Review action plan monitoring Lessons Learnt / Kaizen / Improvements * Review of effectiveness of Lessons Learnt * Linkage to company Issues

Communication * Monthly address * Internal communication * CSR awareness to employees * External Communication (Legal, Statuatory & customer communication)

7.1

9.1

7.3

7.3

9.3

10.3

7.4

Any Other Points / Review of Last Audit NC -

Auditee (Sign)

Auditor (Sign)

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEP'T./ AREA : PRODUCTION / TOOLROOM AUDITEE(S) : SN 1

2

3

4

5

6

7

8

9

10

11

12

13

Parameters Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS Production Planning * Daily production plan * Weekly Production Plan * Shift wise production plan * Reaction to Non conformances * Corrective Action Internal Communication * Daily Communication for Quality and production concern on display board. Daily Production Control * Manpower Deployment system * Line rejection record sheet * Stage rejection Chart * M/C Maintenance Monitoring sheet * Review of effectiveness for plan vs. actual production * OEE * Line stoppages and losses monitoring * Production report

Job set-up Verification *Job Setup verification sheet * Trend chart * X-R chart if applicable Availability of documentation for Production Control * Process Flow Chart * Control plan * Work Instructions * Calibrated Monitoring and measuring devices * Bill Of Material * WI for verification after shutdown

Manufacturing rejection and Rework /Repair Control * Tracking of rejection trends * Tracking of rework / repair trend * Instruction for rework / repair * Reaction to Non conformances * Corrective Action

AUDIT DATE TIME START : AUDITOR(S) : IATF Clause

FINISH :

Observations

6.1

8.1

7.4

8.1, 8.5.1.7

8.5.1.3

8.5.1

8.7

Identification and Traceability for * Bought out parts * In process components * Regular Production * Rework Material * Repair Material * Regular samples * Special Samples * Sample after PDI * Finished Product Tooling Management * Tool Life Monitoring * Tool design and monitoring * Tool identification * Tool Storage * Tool duplication / Spare Parts Monitoring Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Skill upgradation

Lessons Learnt / Kaizen / Improvements * Linkage to Productivity improvement * Linkage to Customer feedback * Process Improvement * Product Improvement * Safety Enhancement * Internal /External Audits

8.5.2

8.5.1.6

7.3

6.2, 9.1

10.3

Any Other Points / Review of Last Audit NC -

Auditee (Sign)

Auditor (Sign)

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEPTT./ AREA : QUALITY / STD. ROOM/ CSR AUDITEE(S) : SN Parameters

1 Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS 2 Customer Complaint handling & response * Customer Portals / Score Cards * Customer complaint summary (line / warranty) * Timely response to customer * Adequacy of root cause analysis for reason of occurrence * Adequacy of corrective action * Standardization of actions & horizontal deployement

AUDIT DATE: TIME START : AUDITOR(S) : IATF Clause

10.2

4.3.2

4 Monitoring and measurement of product * Layout Inspection & Functional testing * Lab Scope * Lab personnel competency * Lab Work Instruction * Lab Test Reports

7.1.5.3

6 Process & Product audit * Process audit plan & adherence * Process audit plan & adherence * Tracking of NCR & closure on time 7 Quality Improvement Activities * Tracking of rejection trends (internal & external) * Analysis of data * Reaction to Non conformances * Corrective Action Record (CAR) * List of Pokayoke / H.D 8 Deviation Management * System for authorisation * Recording and retrieval system * Tracking for validity * Tracking for implementation of decided actions and closure of deviation * Temporary change of process control 9 Control of Non Conforming Products * System for authorisation for scrapping parts * Instruction for product disposition * System for authorising use of reworked or salvaged parts * Tracking of rework / repair trend * Instruction for rework / repair

10 Pre-Dispatch Inspection * 100% Adherence * Reaction to Non conformances * Corrective Action 11 Control of Documented Information * Technical documents * Customer standards pertaining to systems * Indian / International standards pertaining to systems * Retrieval time * Retention as per defined periods * List of special Characteristics & product Safety, statutory requirements

12 Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevant SOPs, Formats & Quality Manual 13 Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Skill upgradation 14 Lessons Learnt / Kaizen / Improvements * Linkage to Customer complaints * Linkage to internal and external audits * Linkage to quality issues * Linkage to calibration * Linkage to past failures

Observations

6.1

3 Customer Specific Requirements * Updated CSR Availability / Matrix * Linkage verification of CSR Matrix * Audit of CSR requirement (sample basis)

5 Control of monitoring and measuring devices * Calibration plan * Internal and external calibration records * Assessment of validity of previous test results * Measurement System Analysis(MSA) Plan & Adherence * SPC Plan & Adherence

FINISH :

7.1.5.2, 9.1.1.3

9.2.2.3, 9.2.2.4

10.2, 10.3

8.7.1.1, 8.5.6.1.1

8.7

8.6

7.5

7.3

6.2. 9.1

10.3

15 Any Other Points / Review of Last Audit NC -

Auditee (Sign) Format No: SOP0803/F08

Auditor (Sign) Issue No: 00 dtd: 01.07.17

Page 4 of 11

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEPTT./ AREA : PURCHASE AUDITEE(S) : SN 1

2

3

4

5

6

7

8

Parameters Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS Method of supplier evaluation and re-evaluation * Supplier identification & evaluation * Supplier Visit Report * Supplier Registration Form * Supplier system audit plan * Supplier audit report * Adequacy of root cause analysis against NCR * Adequacy of corrective action * Re-evaluate performance monitoring against target * Approved Supplier List * Confidentiality Agreement

Finalization of Supplier * Quotation * Time plan * Capabilty calculation * Review Customer specific requirement with supplier * Communication of statutory & regulatory, product safety requirements

Cost Finalization * Quotation & Adequecy of PO * Cost Card ( in case of regular production items) * Comparison with other Quotation * Release of purchase order

Development of components and Tooling * Component Drawing & Development request * Prototype component & Inspection Report * Development Plan (Tool, Fixture/gauges) * General purchasing Agreement * Response from supplier (Quotation,time plan,capacity and capability) * Review Customer specific requirement with supplier * Tracking of progress monitoring at supplier end * Tracking of Micro activity from supplier end * Action plan in case of delay * Review & followup of actions

Documents required to be submitted along with samples * Sample Inspection Report * Material Test Report * MSDS ( in case of chemicals/hazardous materials only) Control of Documents and Records * Technical documents * General documents * Availability of Master List * Retrieval time * Definition of retention periods in line with customer requirements * Review of customer specific requirements

AUDIT DATE TIME START : AUDITOR(S) : IATF Clause

Format No. Rev. No. Effective Date

: SOP0803/F08d : 00 : 01.07.2017

FINISH :

Observations

6.1

8.4.1

8.4.1

8.4.1

8.4.1, 8.4.2

8.4.1, 8.4.2

7.5

Contingency plan * Intrepution from Key Suppliers * Checking of Effectiveness

9

Supplier Monitoring * Approved supplier List * Control over outsourced process * Supplier Performance Ranking (Delivery and Quality Monitoring) * Action Plan for low rating / worst suppliers

10

Supplier Satisfaction * Supplier Satisfaction Survey Form * Corrective Action against rating

11

Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS

12

13

14

Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Skill Upgradation Lessons Learnt / Kaizen / Improvements * Linkage to Supplier Audits * Linkage to Performance comparison * Linkage to Internal issues related to purchase.

6.1.3

8.4.2

8.4.2

7.3

5.3, 9.1

10.3

Any Other Points / Review of Last Audit NC -

Format No: SOP0803/F08

Issue No: 00 dtd: 01.07.17

Page 5 of 11

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEP'T./ AREA : NPD / ENGINEERING AUDITEE(S) : SN 1

2

3

3

5

6

7

8

9

10

11

12

13

14

Parameters Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS Process review * Review of PFMEA *proposed modification and their records. Documentation * (PFC's, Work Instructions, One Point Lessons, Pokayoke checklist etc.) * Document control * Special Characteristics * Identification of Product Safety Requirement New Product Development * APQP Matrix * PPAP Documentation * IPC Tag / Control * NPD Status * Risk Analysis for New Development Facility development * Tool trial reports * Tool Validation report * Fixture Drawing * Calibration of Jigs and fixtures * Inspection report * System of codification * History card * Pokayoke implementation * Tool change monitoring Process Design Review *Micro plan & its tracking *Process design input/output review *HVPT trials *Closure of Observations *PPAP documentation & handover Process qualification * Use of appropriate techniques Production capacity evaluation * Cycle time study * Work Chart study * Takt time study Contingency Plans * For production & Toolings * Checking of Effectiveness Change Point Control * P/ECN monitoring log * Team Feasibility & Risk Analysis * Customer Notification & PPAP Approval * Release of P/ECN * 4M Change Management Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations * Skill upgradation from targets Lessons Learnt / Kaizen / Improvements * Linkage to FMEA review * Linkage to Productivity Improvement * Linkage to process Improvement * Linkage to product safety requirements * Key Learnings (TGR/TGW)

AUDIT DATE TIME START : AUDITOR'S) : IATF Clauses 6.1

8.5

8.5 / 4.4.1.2

8.2 / 8.3

7.1.3, 10.3

8.3.3, 8.3.4, 8.3.5

8.3.5.2

7.1.3.1

6.1.2.3

8.5.6

7.3

9.1

10.3

Any Other Points / Review of Last Audit NC -

Observations

FINISH :

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEPTT./ AREA : STORE / DESPATCH AUDITEE(S) : SN Parameters 1 Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS 2 Receipt of material * Receipt of material with Supplier Invoice/Challan with defined packaging. * Documented of good receipt * Guidelines of packing for the Incoming material 3 Material movement and Handling * Incoming Material movement Store to RQC for Inspection * Material movement Incoming to Store after inspection * Material movement Store to shop floor * Material movement Shop floor to store * Material movement store to third party 4 Identification * Identification of goods received * Identification of quality stock * Identification of block stock (Hold material) * Identification of OK material * Identification of rejected material * Identification of Segregated material * Identification of Line rejected material * Identification of Finished product

5 Inventory Management * Buffer stock for consumable Items * Buffer stock for regular production items * Buffer stock for critical Items

6

Material Flow * FIFO system and its Availability

7 Storage * Defined storage area * Preseravation of material * Adherence to Storage rules * Handling of shelf life items and tracking of expiry dates 8 Rejection * Tracking of rejection * Handling of NC items 9 Dispatch * Dispatch Monitoring Plan Vs Actual * Dispatch Identification / Documentation 10 Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS 11 Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Skill upgradation 12 Lessons Learnt / Kaizen / Improvements * Linkage to Customer audits * Linkage to Safety Enhancement * Linkage to FIFO system

AUDIT DATE TIME START : AUDITOR(S) : IATF Clauses

FINISH :

Observations

6.1

8.4.3

8.5.4

8.5.2

8.5.1.7, 8.5.4

7.1.3, 8.5.4

8.5.4

8.7

8.6.1

7.3

8.1, 9.1

10.3

12 Any Other Points / Review of Last Audit NC -

Auditee (Sign)

Auditor (Sign)

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEPTT./ AREA : HR / TRAINING AUDITEE(S) : SN 1

2

3

4

5

6

7

8

9

10

11

Parameters Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS Organization Structure * Departmental & Unit Structure * Competency criteria * Job roles & responsibility clarity Recruitments & Separation * Human resource Need Identification and timely response * Manpower requisition form * Performance assesment & confirmation latter * Induction process * Exit Interview

Training * Induction Training/ Pathsala Training * Training need Identification * Training Calendar for Associates * Training Calendar for Staff * Training History Card * Training Effectiveness Evaluation sheet * On Job Training Records * Associate qualification system adherence * Training Feedback & Analysis * Organization Knowldge Library

Manpower Deployment system * Departmental Skill Matrix * Shop Floor Employees Skill Matrix Work Environment Cleanliness * 5S Audit records for compliance * Review of 5S system * Review of 5S audit checklist Emergency Preparedness and Response process * Contingency plan for labor shortage * Contingency plan for infrastructure disrupttion, recurring natural disaster * Contingency plan for cyber attack on IT systems * Effectiveness monitoring Communication * Internal Communication * External Communication * New Joining, Holiday and other general information Employee Motivation & Empowerment * Reward & Award System / List of employee motivational activities * Employee Engagement survey & monitoring of action plan * Timely Performance appraisal & training opportunities for employees * Corporate Policy deployment like anti-bribery, employee code of conduct, esclation policy

Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Corporate Policy (Anti-bribery), employee code of conduct, etc * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets

12

Lessons Learnt / Kaizen / Improvements

13

* Linkage to Accidents * Linkage to Employee Feedback * Linkage to safety Enhancement Any Other Points / Review of Last Audit NC

AUDIT DATE: TIME START : AUDITOR(S) : IATF Clasuse

Format No. Rev. No. Effective Date

: SOP0803/F08f : 00 : 01.07.2017

FINISH :

Observations

6.1

7.2

7.2

7.2, 7.1.6

7.2

7.1.4

6.1.3

7.4 / SOP 503

7.3.2

7.3

6.2, 9.1

10.3

-

Auditor (Sign)

Auditee (Sign) Format No: SOP0803/F08

Issue No: 00 dtd: 01.07.17

Page 8 of 11

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. :

AUDIT DATE

DEPTT./ AREA : MAINTENANCE

TIME START :

AUDITEE(S) :

AUDITOR'S) :

SN Parameters 1 Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS

IATF Clause

8.5.1.5, 8.5.1.6

3 Breakdown Maintenance * Tracking of Daily Breakdowns * Tracking of special observations * Analysis of reasons for breakdowns * Ppk Value * Updation of Prev. Maintenance check points & Horizontal deployements * Periodic Overhaul Plan & improvements

8.5.1.5, 8.5.1.6

4 Spare Parts management * List of spare parts * Identification of crtical spares * Maintaining the buffer stock

8.5.1.5, 8.5.1.6

5 Contingency Plans * Key Machines / Spare Parts * Checking for Effectiveness

6.1.2.3 * List * Machine * Identification

7 Continual Improvement * MTTR & MTBF Monitoring * Improvement projects for increasing the availabilty of machine. 8 Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS 9 Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Skill upgradation

10 Lessons Learnt / Kaizen / Improvements * Linkage to Customer complaints * Linkage to Machine breakdowns

Observations

6.1

2 Preventive & Predictive Maintenance * List of machine, tools, spares * Preventive Maintenance plan/Schedule * Preventive Maintenance check sheets * Daily Machine Checksheet & Predictive Maintenance Plan & checksheet

6 Machines/equipments of Machines History cards of critical machines

FINISH :

8.5.1.5

8.5.1.5

7.3

6.2, 9.1

10.3

11 Any Other Points / Review of Last Audit NC -

Auditor (Sign)

Auditee (Sign)

Format No: SOP0803/F08

Issue No: 00 dtd: 01.07.17

Page 9 of 11

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. : DEPTT./ AREA : MARKETING AUDITEE(S) : SN 1

2

3

4

5

Parameters Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS

AUDIT DATE TIME START : AUDITOR(S) : IATF Clauses

6.2

Sale plan * Domestic sales * Export sales

6.2

Customer Satisfaction assessment * Timely response * Tracking of customer scorecards

Observations

6.1

Goal Setting * For sales projection * Infrastructure development plan * Technology development plan * Preliminary Market Study * Cost Goals * Financial goals * Manpower goals

Resource and facility planning * Review of resource and facility planning * Departmental Budget

FINISH :

7.1.3

9.1.2

* Adequacy of corrective action * Performance monitoring against targets 6

7

8

9

10

11

Continual Improvement * Ongoing continual improvement initiatives * Tracking of continual improvement projects Quality Management System Awareness * IATF 16949:2016 Standard & CSR * Quality Policy & Company Vision * Relevent SOPs, Formats & Guidelines of QMS

Planning & Performance Monitoring * Defining of Responsibilities & Authorities * Defining of Key Performance Indicators * Tracking of Key Performance Indicators * Triggering of actions to correct deviations from targets * Skill upgradation Business Development * RFQ submission to customer * Feasibility analysis Lessons Learnt / Kaizen / Improvements * Review of effectiveness of Lessons Learnt system * Linkage to company Issues

8.5.1

7.3

6.2. 9.1

8.2

10.3

Any Other Points / Review of Last Audit NC -

Auditee (Sign)

Auditor (Sign)

Internal Audit Checksheet (IATF 16949:2016) AUDIT NO. :

AUDIT DATE

DEPTT./ AREA : Information Technology (IT)

TIME START :

AUDITEE(S) :

AUDITOR'S) :

SN Parameters 1 Risk Analysis & Planning * Identification for Risk Anaysis & planing * Action plan & linkage with QMS

IATF Clause

Observations

6.1

2 Preventive Maintenance * List of IT Equipments * Preventive Maintenance plan/Schedule * Preventive Maintenance check sheets

8.5.1.5, 8.5.1.6

3 Breakdown/ Reported for IT Equipments * Tracking of Daily Issues * Resolution Time Period

8.5.1.5, 8.5.1.6

4 Spare Parts Management * List of spare parts * Identification of crtical spares * Maintaining the buffer stock

8.5.1.5, 8.5.1.6

5 Contingency Plans * Databack Plan & Effectiveness * Anti-virus updation Frequency * Cyber Attack Prevention Policies / Adherance

6.1.2.3

Auditor (Sign)

Auditee (Sign)

Format No: SOP0803/F08

FINISH :

Issue No: 00 dtd: 01.07.17

Page 11 of 11