Audit Skills

5/20/2018 Audit Skills

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Registration Management Committee (RMC)

Auditor Training and Workshop

Minneapolis, MN

July 30-31, 2009

WELCOME!Americas Aerospace Quality Group

AAQG

Registration Management CommitteeRMC

Auditor Training and Workshop Session

Minneapolis, MN

July 30-31, 2009

Value Added Aerospace Auditing


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Minneapolis, MN

July 30-31, 2009

Paul Hardiman: SMMT Industry Forum

Qualified Mechanical Engineer

Work Experience in the automotive andaerospace supply chain

Experienced auditor: ISO 9001, QS-9000, and

ISO/TS 16949

Assisted organizations with implementingAS9100, ISO/TS16949 (or both)


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Minneapolis, MN

July 30-31, 2009

IATF ISO/TS16949 Scheme Structure

IATF Original Memb ers

PSA Renau lt

Fiat

GMFORD

VW AGBMW GroupChrysler

SMMTAIAG VDAANFIA FIEV

OEM

National Supplier

Organizat ions

Global Oversight Off ices

SMMTIAOB VDA-QMCANFIA IATF France

Global Oversight Scheme Management Responsibi l i t ies

IATF -

Database

Organizat ion

audit &

cert if icatedata / auditor

& wi tness

audit data

Administer the IATF defined registration scheme

Daimler AG


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Minneapolis, MN

July 30-31, 2009

Role of Oversight

Certification Body applications

Office Assessment

Witness Audits

IATF database management

Provide Interpretations and Guidance on the application throughthe issuing of Sanctioned Interpretations (SI) and Frequently

Asked Questions (FAQ).

Monitor Certification Body Activities(including IATF OEM input)

Qualify certification body auditors


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Minneapolis, MN

July 30-31, 2009

Auditor Guide to ISO/TS16949

First EditionApril 2009

Available for purchase www.smmt.co.uk(15, $23)
http://www.smmt.co.uk/http://www.smmt.co.uk/


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Minneapolis, MN

July 30-31, 2009

Essential auditing criteria

Process Approach

Demonstrates priority is given to questioning the

organisations identification of processes, their sequence

and interactions, and performance against the objectives /measures defined, with focus on the processes which

directly impact the customer

Customer, regulatory, industry requirementsDemonstrates that these requirements are integrated into a

process based audit. Effectively audit the organisations

process for gathering, communicating and implementing

these requirements.


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Minneapolis, MN

July 30-31, 2009


Prioritisation

Demonstrates priority is given to questioning the

process objectives and performance, and focus on

issues that have the greatest impact on the customer

Focus on performance

Identifies issues/trails around the organisations

process for setting objectives/ targets, what plans arein place to ensure targets are met, and corrective

action plans where objectives/targets are not being

met


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Minneapolis, MN

July 30-31, 2009


Knowledge/Application of AS9100, AS9110 and

AS9120 requirements (and associated checklists)

Demonstrates knowledge and application of the

requirements within a process based audit

Analyse and Synthesize data

Demonstrates the ability to collect and analyse data,and draw accurate conclusions based upon the data.

Synthesize isolated but connected data in order to

draw conclusions.


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Minneapolis, MN

July 30-31, 2009

Workshop agenda

Determining the audit scope and exclusions

Identification of processes and their interactions

Auditing of processes to verify effectiveness (and

efficiency)

Focusing on areas of significance

Time Management

Auditing Top Management Case study


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Minneapolis, MN

July 30-31, 2009

Scope and exclusions

Review case study

The customer is paying for the tooling, and is also

purchasing tooling from Alba Gear Inc to assist them intheir assembly process

What would be an appropriate scope for AS9100

registration?

What would be permissible exclusions?


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Minneapolis, MN

July 30-31, 2009

Conclusion: Scope and exclusions

Where any of the requirements cannot be applieddue to the nature of the organization and itsproducts, this can be considered for exclusion

Where exclusions are made, claims of conformityto this international standard are not acceptableunless these are limited to requirements withclause 7, and as such exclusions do not affect theorganisation ability, or responsibility, to provideproduct that meets customer and applicablestatutory and regulatory requirements


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Minneapolis, MN

July 30-31, 2009

AS91000.2 Process Approach

This International Standard promotes the

adoption of a process approach whendeveloping, implementing and improving theeffectiveness of a quality management system, toenhance customer satisfaction by meetingcustomer requirements.


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Minneapolis, MN

July 30-31, 2009

Continual Improvement of theQuality Management System

Customers

Requirements

Management

responsibility

Measurement,

analysis and

improvement

Product

realization

Resource

Management

Customers

Satisfaction

ProductOutputInput

Value-adding activities

Information flow

R i t ti M t C itt (RMC)


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Minneapolis, MN

July 30-31, 2009

AS9100 4.1 General Requirements

The organization shall

a. determine the processes needed for the qualitymanagement system and their application throughout

the organization (see 1.2),

b. determine the sequence and interaction of these

processes,c. determine criteria and methods needed to ensure that

both the operation and control of these processes are

effective,



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Minneapolis, MN

July 30-31, 2009

AS9100 4.1 General Requirements

The organization shall

d. ensure the availability of resources and informationnecessary to support the operation and monitoring of

these processes,

e. monitor, measure where applicable, and analyse these

processes, andf. implement actions necessary to achieve planned

results and continual improvement of these processes.



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Minneapolis, MN

July 30-31, 2009

Defining Processes

A process exists as interrelated actions to meet a

need

It is a set of interrelated or interacting activities

which transforms inputs into outputs Inputs to a process are generally outputs of other

processes

The individual or group of individuals that have aneed are commonly referred to as the customer of

that process

A customer is an organization or person that

receives the result of a process



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Minneapolis, MN

July 30-31, 2009

INPUT

Customer who

has a need

OUTPUT

Customer who

has a need met

Input

Step

1

Step

2

Step

3

Step

N

Output



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Minneapolis, MN

July 30-31, 2009

PLANNING

Department

prepare

medium term

plan

Set up the

production

program

plan

capacities

organize

planning

operation

Set up

budget

SALES

Department

Visit

prospective

customers

manage

orders

negotiate

contract

forecast

sales

Understand

requirements

PRODUCTION

Department

Supply

Operator

maintenance

Manufacture

Inspection

SHIPPING

Department

Approve

transporters

Control

delivery

quality

Organize

delivery

Manage stock

input

Negotiate

supplier

contract

GENERAL MANAGEMENT

Methods

Remote

Supporting

Function

Customer

receives

product

Customer

needs

product

Plan to audit interaction with support processes

Design &

Development

Requirement

Definition &

Communicate

Risk -Determine &

Communicate

Configuration

Control

V & VApproach

Producibility



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Minneapolis, MN

July 30-31, 2009

Customer Orientated Processes

customer oriented process n2


customer oriented process nn


C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

S

Customer Orientated Process: Focus on meeting external customer needs

Organization



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Minneapolis, MN

July 30-31, 2009

Identification of processes

Brainstorm in your groups to identify 5 processes in atypical aerospace tier one supplier where there isinteraction with an external customer

Define inputs/outputs

Is there a sequence in which the processes can beordered?

Discuss in your groups

Feedback



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Minneapolis, MN

July 30-31, 2009

Customer

Market Analysis /

Organization

Customer Customer

Customer

Customer Customer

Customer

Bid / Tender

Contract review

Product andProcess Design

Product and ProcessVerification & Validation

Production

planningDelivery

Payment

Warranty / Service

Post Sales /CustomerFeedback

Customer

CustomerCustomer

I OI

I

I

I

I

I

I

I

I

O

O

O

O

O

O

O

O

O

RISK!

RISK!RISK!

RISK!



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Minneapolis, MN

July 30-31, 2009

Management Processes





C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

S

management processes

Management processes: they ensure continuous improvement of all processes

by determining objectives, planning improvements to reach objectives, and

analyzing and reviewing data. They interact with all other processes



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Minneapolis, MN

July 30-31, 2009





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U

S

T

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E

R

S

C

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T

O

M

E

R

Ssupport processes

Support processes: they allow the other processes to work by supplying the

required resources, and contribute to risk control



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Minneapolis, MN

July 30-31, 2009

Management and Support Processes





C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

Ssupport processes

management processes



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Minneapolis, MN

July 30-31, 2009

C2 : Design and development product/process

C3 : Production and delivery

C4 : Dealing with customer complaints

C1 :Listen to the market and make a quote

C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

S

M1 :Define and deploy the strategy

S1Managesuppliers

S2Manage skills

S3Manage

equipment

S4Managecomputersystems



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Minneapolis, MN

July 30-31, 2009

The organization shall:

e. monitor, measure where applicable, and analyze

these processes, and

f. implement actions necessary to achieve plannedresults and continual improvement of these

processes.

AS9100 5.4.1 Quality objectives

Top management shall ensure that quality objectives,

including those needed to meet requirements for product

are established at relevant functions and levels within the

organization. The quality objectives shall be measurable

and consistent with the quality policy

AS9100 4.1 General requirements



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Minneapolis, MN

July 30-31, 2009

Process Performance

Effectiveness = Extent to which planned activities are

realized and planned results achieved

Efficiency = Relationship between results achieved and

the resources used

Organization satisfaction

Customer satisfaction

Source: ISO9000: 2005



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eg st at o a age e t Co ttee ( C)


Minneapolis, MN

July 30-31, 2009

`

Competence awareness and training

Planning

Business

Plan

O

B

JE

C

T

I

V

E

S

P

O

LI

C

Y



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g g ( )


Minneapolis, MN

July 30-31, 2009

Process performance

measures met

Problem causes concern

in higher level process

Process failed to meet

specified objectives

Top Management

Shop floor



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g g ( )


Minneapolis, MN

July 30-31, 2009

Process Performance

With your previously identified customer orientated

processes, define possible measures of process

effectiveness and efficiency an organization might

use.



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g g ( )


Minneapolis, MN

July 30-31, 2009

Strategy

Risk analysis

Planning the

activities

Decisions

Review

information

Improvement

Reporting

Collect and

analyse data

Operations and

recording

Top management

Process owners

Policy

Objectives

Resources

Participants

V cycle approach to auditing

Top management

Process owners

Participants



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g g ( )


Minneapolis, MN

July 30-31, 2009

C

Start with a questions about performance, what is

expected from the process, what are the objectives/measures, what is the actual performance?

A How is performance of the process being improved?

Do

Is the process being carried out as planned? Are the

systems understood by all involved in the process?

P

How was the process planned, what systems are in

place to ensure the process is controlled. Does the

process address the AS9100 and relevant customer

requirements?



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Minneapolis, MN

July 30-31, 2009

With WHAT?

(EQUIPMENT/

INSTALLATIONS)

With WHO?

(TRAINING,KNOWLEDGE,

SKILLS)

REQU

IREMENTS

SATISFACTION

INPUT OUTPUT

PROCESS

HOW ?

(INSTRUCTIONS,

PROCEDURES

METHODS

)

Customer Who

has a Need

Customer Who

has a Need Met

INCLUDING

SUPPORT

PROCESSES

Start With

Performance



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Minneapolis, MN

July 30-31, 2009

Exercise: Audit of Top Management

Review the case study

Discuss in your groups what questions would you

want to ask top management in the surveillanceaudit

How do the questions link to AS9100

How would you prioritize your questionsFeedback to group



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Minneapolis, MN

July 30-31, 2009

Audit of top management

Seek evidence of customer focus

Question how quality objectives have been

established

Question how the quality objectives have been

deployed

Question on how performance against the quality

objectives is reviewed

Question what action is taken when objectives

are not met



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Minneapolis, MN

July 30-31, 2009

Conclusions

Organizations should define their processes

Organizations should define how they measurethe effectiveness and efficiency of theirprocesses

Audits should verify the QMS can consistentlyprovide products that meet customer as well as

statuary and regulatory requirements

Focus on performance!

Th k

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