管理体系认证审核总结报告

M A N A G E M E N T S Y S T E M C E R T I F I C A T I O N管理体系认证

A u d i t S u m m a r y R e p o r t审核总结报告

T h i s r e p o r t i s c o n f i d e n t i a l a n d d i s t r i b u t i o n i s l i m i t e d t o t h e a u d i t t e a m,t h e c l i e n t r e p r e s e n t a t i v e a n d t h e S G S o f f i c e 该报告是文件,仅限于分发到审核小组,公司代表, 及SGS办公室

1.1A u d i t o b j e c t i v e s.审核目的

The objectives of this audit were to confirm that the management system: 本次审核目的是确认管理体系:

?conforms with all the requirements of ISO/TS16949:2009 符合ISO/TS16949:2009的所有要求?of the organisation has been effectively implemented 已有效实施,

?is capable of achieving the organisation’s policy objectives能达成组织的方针目标

1.2S c o p e o f t h e c e r t i f i c a t i o n.认证围

Manufacture of stamping and welding metal parts for automotive driver cab and chassis.

用于汽车驾驶室和底盘冲压焊接零部件的制造

Y e s N o 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

这个现场有其他支持活动吗？（规则5.5）

所有相关现场或远程场所应该在此报告的1.9章节部分列出。

Y e s N o Has this scope been amended as a result of this audit?

审核结束时认证围是否有所更改？

1.3C u r r e n t a u d i t f i n d i n g s a n d c o n c l u s i o n s.本次审核的发现点及结论

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的审核. 审核的结构符合审核计划及审核策划矩阵. 审核小组因此推荐

?registration to ISO/TS 16949:2009 is

ISO/TS16949:2009 认证注册

open status待定状态/awarded获得/continued持续/suspended 暂停/withdrawn 撤销

?that letter of conformance to ISO/TS 16949:2009 is awarded

获得ISO/TS16949:2009符合性证明函

Number of non-conformities identified:

识别出的不符合项数目:

Major严重0 Minor轻微 4

C l i e n t S i g n a t u r e客户签名:

D a t e日期:

1.4P r e v i o u s a u d i t r e s u l t s.以往的审核结果

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:

对上次的审核结果已进行了评审,特别是针对已识别出的不符合项的纠正预防措施已确保实施. 该评审的结论是:

All findings in the Stage 1 report have been properly addressed 已适当解决了第1阶段报告的所有发现点

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天纠正了针对前次审核中识别出的任何不符合, 且纠正措施持续有效 (规则条款5.11).

Any nonconformity identified 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. 以往审核识别的任何不符合项（已经有措施计划并100%解决）现在已全部实施措施，并在本次审核中得到验证

（规则条款5.11）。在本次审核中验证纠正措施计划所需要的额外时间已包括。

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.

管理体系尚未针对前次审核中识别出的不符合采取有效措施, 在本报告中又再提出了具体的纠正措施要求1.5A u d i t f i n d i n g s.审核发现点

The following key considerations in respect of the organisation’s management system were assessed:

针对组织管理体系的以下关键部分进行了评估:

The management system documentation demonstrated conformity with the

requirements of ISO/TS1949:2009 and provided sufficient structure to

support implementation and maintenance of the management system.

管理体系文件显示符合ISO/TS16949:2009要求, 并提供足够的架构支持管理体系

的实施与维持

Y e s N o

The organisation has demonstrated effective implementation and

maintenance / improvement of its management system

组织已表明能有效实施与维持/改进其管理体系

Y e s N o

The organisation has demonstrated the established and tracking of

appropriate key performance indicators and/or targets and monitored

progress towards their achievement

组织表明已建立及跟踪其适当的关键绩效指标/目标, 并已监控进展的状况

Y e s N o

The internal audit programme has been fully implemented and demonstrates

effectiveness towards achieving continuous improvement. Audits have been

conducted using properly qualified auditors

已完整实施部审核程序, 并表明朝达成持续改进目标的有效性. 已使用适当的合格

审核员进行部审核

Y e s N o

Throughout the internal audit process, the management system

demonstrated overall conformance with the requirements of

ISO/TS16949:2009

通过整个部审核过程, 显示管理体系总体上符合ISO/TS16949:2009要求

Y e s N o

The management review process demonstrated capability to ensure the

continuing suitability, adequacy and effectiveness of the management

system

管理评审过程显示有能力确保管理体系的适宜性,充分性和有效性.

Y e s N o

The organisation has identified all applicable customer specific

requirements

组织已识别了所有有关的客户特殊要求

Y e s N o

The client is eligible for transfer as stipulated in 3rd Ed IATF Rules 7.0.

This was verified prior to the transfer audit.

客户能够按照IATF认证规则第三版条款7.0规定的要施转换审核。这已在此转换审核前得到验证确认。Y e s N o

N/A

Certification claims are accurate and in accordance with SGS guidance 认证申明是准确的, 符合SGS指南Y e s N o

N/A

Comments on negative findings: 对负面发现点的说明

1.6O b j e c t i v e e v i d e n c e s e e n b y p r o c e s s.各过程所见客观证据

The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and

the Audit Plan . In performing the audit, various audit trails and linkages were developed, including the

following audit trails, followed throughout:

审核的具体过程,活动及功能在审核策划矩阵及审核计划中有详细说明. 为完成该次审核, 在整个审核过程

中, 已设计了多种审核思路及联接部分, 包括以下审核思路:

Business plan, Data analysis, Continual improvement, Internal audit, Management review :

Audit Trail: organization visions business planning quality policy and objectives data analysis performance review annual audit planning system audit process audits product audits management review input management review improvement needs implementing and

verifying improvements.

Sampled: 2011 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; 2011 yearly annual audit plan, audit checklist, 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, Service process, CS monitoring :

Audit Trail: Process KPI reviewed marketing research customer communication customer requirements review and confirmation quotation and business agreements production planning production scheduling emergency plan Shipping plan delivery control customer property management complaint handling customer satisfaction assessment payments control.

Sampled: the auto customer: Dongfeng Liuzhou Motor Co., Ltd, Customer satisfaction status was assessed once a year, the cu stomers thought this organization was satisfactory. The customer’s P/O were reviewed when it was received, e.g. Parts Purchase Plan in 2010 Dec, 2011 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 planning process design input process design output project approval process sample making and verification sample customer approval production trial initial process capability evaluation customer PPAP process releasing mass production monitoring process capability ECN

control technical data control production equipment management facility management.

Sampled: 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 management :

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

control facilities/infrastructure control

Sampled: the product realization process of TP401M3-3703020D, TP401M3-1101105, 8405020B, were checked, including production schedule, control plan and WI, job set-ups, in-process quality control, finished product inspection, packaging, non-conforming product handling, capability and awareness of operators, etc. the run and maintenance status of the equipment HJ-01, YY-02, CNC-01 were sampled and checked, includ ing equipment list, maintenance plan, key equipments’ historical card, repair and maintenance records of the equipments’ breakdown.

Purchase control, Warehouse management :

Audit Trail: Process KPI reviewed material demands control supplier selection supplier QMS development supplier evaluation supplier approval purchasing control material provided from supplier supplier performance management.

incoming material and finished product receiving/releasing management onsite warehouse management 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 qualified 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 2011 Mar. and Apr. the incoming material Q235, QSTE500TM, Q345, and the finished product

TP401M3-1101105, TP401M3-3703020D, M1B, 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 customer pliant control plan incoming material and finished product test and inspection planning Incoming material inspection in-process inspection/test finished product inspection/test layout inspection and functional testing planning and implementing NC product control C/P actions continual improvement data analysis.

Planning of measuring and monitoring process measuring device list calibration plan inner calibration external calibration calibration records MSA plan MSA implementing records non-conforming device control inner lab management outsourced lab management.

Sampled: incoming material inspection 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, TP401M3-3703020D, M1B, 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, 110261507, 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 demands recruitments training plan pre-job training on-job training special job qualification verification of training employee awareness employee 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 :

Audit Trail: Document preparation document approval document identification document

distribution control document change control outsourced document use customer’s engineering specification control records control.

Sampled： the document TC/QP-B/0-01, TCS/QD-14-B/0, TCJ/QD-03-B/0, were sampled and checked to verify the effectiveness of document control.

1.7N o n-c o n f o r m i t i e s.不符合

Non-conformities detailed here shall be addressed through the or ganisation’s corrective action process, in accordance with the relevant corrective action requirements of ISO/TS16949:2009, including actions to prevent recurrence and proper maintenance of corrective action records.

对在该处详细列出的不符合, 组织必须按照ISO/TS16949:2009有关纠正措施的要求,在其纠正措施过程中进行处理, 包括防止再次发生的措施, 并适当保留纠正措施的记录.

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的不符合项. 对不符合事项必须通知该组织.

Major non-conformities issued at surveillances require root cause analysis & action /

containment within 20 days. Failure to do so will result in suspension in certificate.

在监督审核中发现的严重不符合项要求在20天完成根本原因分析和措施计划/遏制措施。如果没有做到这些将导致证书暂停。

Major non-conformities should require onsite verification within 80 days.

严重不符合项应该要求在80天完成现场验证工作。

Minor non-conformity that is verified without an onsite visit shall be verified at the next audit.

轻微不符合项如果是非现场验证的话则必须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)

所有不符合项必须在90天在IATF数据库中得到关闭（规则条款8.2）。