R20 - SRI RegistrarFILE/20102S_b.docx · Web viewISO/TS 16949 Surveillance...

R20.102-S ISO/TS 16949 Surveillance and Renewal Planning

IMPORTANT NOTICE (refer to Rules 3.2, Notice of changes by client): According to accreditation body requirements, failure to submit the information in a timely manner, omit materials, or provide inaccurate information, may result in additional time added to the one (1) hour onsite preplanning meeting or initiation of the decertification process.

1Please forward the completed form and attachments to our office via mail, fax, or e-mail:SRI Quality System Registrar, 300 Northpointe Circle, Suite 304, Seven Fields, PA 16046

Tel.: 724-934-9000 • Fax: 724-935-6825E-mail: to your customer care coordinator [first initial+ last name]@sriregistrar.com (e.g., [email protected])

Or: Direct to your assigned Auditor with notice to SRI at time of submittal.

Prior to each scheduled surveillance and renewal/re-registration activity, the ISO/TS 16949 (TS) registered client (organization) shall provide SRI with the following information and documentation (refer to Rules 5.7, Audit planning – all audits). Client must utilize the technical specification (ISO/TS 16949), “Rules” for auditing management systems according to ISO/TS 16949, applicable CSRs, SIs, FAQs, etc., most current editions. This information and documentation is required as indicated in the “Rules”. This information is required prior to the audit and must be received at SRI /submitted to the assigned Lead Assessor ten weeks prior to the scheduled event and accepted by the Lead Assessor at least eight weeks prior to the scheduled event. Failure to submit the information in a timely manner, or to omit materials, may result in additional time added to the one (1) hour onsite preplanning meeting or initiation of the decertification process. A copy of the final audit report may be submitted to the IATF upon request.

Client Information required 10 weeks prior to the surveillance/renewal audit ( refer to Rules 5.7, Audit planning ):

“Client” Put a Check Mark in the Box for the Items Provided. If not provided, please explain why not in the Comments. Please organize your submission in folders 1 through 24, as applicable.1. Documented Statements of a quality policy and quality objectives,2. A quality manual,3. Documented processes,4. Process map showing linkages and interaction of the processes,5. Identification of outsource processes and their linkages and interfaces,6. Identification of remote support functions and their linkages and interfaces,7. Documented linkages between processes and ISO/TS requirements (R20.44TS),8. Identify all IATF OEM, Non IATF OEM and Automotive Customers (See Section 2 for Instructions)9. Current customer performance data since the last audit, (See Section 2 for Instructions)10. Internal performance data since the last audit, (See Section 3)11. Internal audit - Summary of internal system, manufacturing process and product audit conducted since the

last audit1. total number of nonconformities by audit type,2. the classification of each nonconformity,3. the relevant requirement (audit criteria),

12. Management review output/action item list since the last audit,13. Customer Satisfaction summary since the last audit (including a copy of latest customer reports and/or

scorecard),14. Customer Complaint summary since the last audit,15. Identification of any Customer Special Status Conditions since the last audit, (concerning FCA US LLC

(Chrysler) On Status; Ford Q1 Revocation; General Motors New Business Hold, Special Status Notifications),

16. Analysis of internal problems (scrap, nonconforming product, corrective actions, etc.),

17. Changes since the last assessment (refer to Rules 3.2), i.e., Management Systems (MS), equipment, product, processes(s), automotive customer(s), supporting function(s) [refer to Rules 5.5, Supporting activities], employee count, shifts - accreditation body requirements dictate accurate information,

18. If remote sites are audited by another CB, submit all information related to the most recent audit (See Rules 5.5-Option 2). SRI Lead auditor verifies the CB supplying the report is listed on IATF’s website,

ISO/TS 16949 Surveillance and Renewal Planning Form: /tt/file_convert/5eb8bc600827eb4469494a53/document.docx©2015 by SRI Quality System Registrar Form Date: 10/23/15All rights reserved Form Revision: 37

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19. In Language(s) of the audit (Header Page to be completed by client) list all Non-English spoken languages at the site, where English is not spoken by an employee or translation is required. Also identify the employee count by language spoken for the same,

20. Provide Information on the use of consultancy relating to the management system.21. Identify relevant legal obligations / statutory and regulations applicable to the product or

processes.22. FOR RENEWAL: Management System performance over the previous Three Year Cycle:

a. Goals/targets of effectiveness and efficiency for each identified process on the R20.44TS or equivalent over the previous three year period of certification;

b. Summary of Management Review output/action item list;

c. Internal Audit results –1. the total number of nonconformities by audit type,2. the classification of each nonconformity,3. the relevant requirement (audit criteria),

23. FOR RENEWAL: Management system documentation (Level I and II - policies and required procedures) for each site to be audited, including information on linkages and interfaces to any remote support functions and / or outsourced processes.

NOTE: The renewal audit must be completed within three (3) years (+0 days) of the last day on-site of the initial registration or previous renewal audit (refer to Rules 5.1.1, Audit cycle). Timing for the renewal event must be such that the renewal event is completed, adequate time is available to close any cited corrective actions (up to 90 days) and SRI has time (30 days) to convene the Registration Review Panel and make a decision. Accreditation requirements dictate that the renewal certificate be issued prior to the expiry date on the current certificate. Failure to (1) have the renewal event within three (3) years of the initial event or previous renewal event and/or (2) to have the certificate issued prior to the expiry date will result in delisting and the client starting the registration process at Stage 1, not a renewal. This is a requirement of the Accreditation Body and no exceptions can be made for any reason.

24. TRANSFER AUDIT: Audit Reports from the Previous Three Year, Evidence that all Nonconformities issued by the Existing CB for the Site and Remote Support Functions are Closed.

Comments:


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Section 1: P L E A S E P R I N T – to be completed by the client

Completed by Date

Company name

Street address, city, state

Language(s) of the audit (all comprehend - English and Non-English and employee count by language spoken – see Instruction #19)

Non-automotive operations (i.e., machining, painting) and warehouse(s) associated w/ the site

Total # of current employees and temps on-site (all shifts, all processes, all activities)

Employee count changed since last event

Increase Decreased No change

Current # of Shifts and Times (split, dedicated, weekend, etc.)

Shifts changed since last event

Increase Decreased No change

Is there any raw material or components manufactured on-site used in your automotive product:

Based on the information above the SRI Auditor or SRI Office must provide a short written summary/details (below) of any concerns to be investigated. The audit plan must be updated for items requiring immediate action (Language(s), Employee Count Change, Shift Changes) or requiring further investigation on-site. Audit Plan Revision Required No Concerns

Identified

Section 2:Client to complete Customer-Specific Requirements:

Provide a complete list of all your automotive Customers: IATF OEM’s - (IATF members include the following vehicle manufacturers: BMW Group, Chrysler Group, Daimler AG, Fiat Group Automobile, Ford Motor Company, General Motors Company), PSA Peugeot Citroen, Renault SA, Volkswagen AG and the vehicle manufacturers respective trade associations - AIAG (U.S.), ANFIA (Italy), FIEV (France), SMMT (U.K.) and VDA (Germany), go to http://www.iatfglobaloversight for current members; Non IATF OEMS - such as Heavy and light truck Manufacturers non IATF Automotive OEM’s (Volvo, Honda, Nissan, PACCAR, Navistar, etc.); Automotive Customers – Tier 1 and Below Part and Raw Material Suppliers such as Tenneco, Borg Warner, Lear, Dana, etc.

Complete Section 2 by providing a list of your automotive customers identifying the supplier code, where applicable, Customer Performance Goals/Targets, Whether or Not the organization has met the Goal/Target, If no Comment on the actions taken, Customer Performance Since the Last Audit (organizations calculated average since the last audit or customer reported averages and latest month for Quality Performance e.g. PPM, IpB, Discrepant Parts, Delivery Performance – Percent to Schedule, Percent Late, Premium Freight, etc.. ), Customer Complaints since the last audit, Applicable Customer Specific Requirements (date of issue and/or revision level). Please Provide the Customers Scorecards relative to you organizations performance. Where a Topic/Subject or Item is not available, not required indicate Not Applicable N/A.


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http://www.iatfglobaloversight/

If the Customer Performance Goals are not met, Identify the actions taken or being taken, Client Comments, to resolve the issues. (Add attachments if additional space is needed.)

EXAMPLE: Provide a complete list of all your automotive Customers. Where a Topic/Subject or Item is not available, not required indicate Not Applicable N/A in the appropriate area of your list.

Section 2:IATF OEM, non-IATF OEM, Automotive Customers supplier code(s) to meet defined formats (re-confirm) & match provided score (report) card

Score Card Submitted

Customer Performance Goals or Targets for Quality & Delivery

Goal or Target Met?On Status?

Customer Performance Since the last Audit Event & Current Month

Customer Complaints Since the Last Audit

Client Comments

Customer Specific Requirement, date of issue and/or revision level.

XYZBSupplier Code 12345

No Delivery > 81Quality < 12 Discrepant Parts Month

YNOn Status - No

85 Avg11

9 No Scorecard Received. Quality Goal not met for one month. CAR 6 issued & closed. Complaints – 4 pending closure.

XYZB Global Supplier Manual Revision 10/11/2009

Delivery > 81Quality < 12 Discrepant Parts Month

YY

92 Avg0

Section 3, Performance of key processes and applicable RSL:Client to complete - Complete the sections below or provide in a similar format structure using your own list of QMS Processes that match your Quality Manual Description and Interaction of Processes. Identify all product realization processes and the support processes, on-site or remote, (refer to Rules 5.5, Supporting activities) in the organization and enter each below in the Process column. Your process definitions must match between your QM, this document, and the R20.44TS Process Matrix for ISO/TS 16949. Remote support location (RSL) activities must be identified using IATF approved titles (see table below). Identify the physical location where the process is performed in the process location column. If the process is not performed on-site (support is received from another site or location), specify the location (physical address, not mailing address) where it is performed. The Remote Support Location(s), must be audited prior to and in conjunction with a value added site. If the internal metrics of effectiveness and efficiency are not met, complete the client comment column indicating actions taken or being taken by the client. In the # Customer Complaints column, indicate the actual number of complaints for the past year and list the affected process(es). * For a Surveillance Audit the Period for review and submission of information and data for performance Measures and Customer Complaints will be from the last SRI Audit and current month. For a Recertification/Renewal Certification the Period for review and submission of information and data for performance Measures and Customer Complaints will be the current registration period identified on your certificate (see item 22) and the current month. Add attachments if additional space is needed.

IATF Approved Remote Support Location (RSL) Titles (revised by IATF effective 07/01/15)AftersalesCalibration

Continuous ImprovementContract Review

Customer Service DistributionEngineering

Facilities ManagementFinance

Human ResourceInformation Technologies

Internal Audit ManagementLaboratoryLogistics

MaintenanceManagement Review

MarketingPackaging

Policy MakingProcess DesignProduct Design

Product Equipment DevelopmentPurchasing

Quality System ManagementR & DRepairSales

Sequencing

ServicingStrategic Planning

Supplier Management TestingTraining

WarehousingWarranty Management


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Section 3: Process & Location

(Physical, not mailing)

Goal/TargetEffectiveness * see above

Goal/TargetEfficiency* see above

GoalTarget

Met(Effective-

ness)

GoalTarget

Met(Efficiency)

# Customer Complaint * see above

Client Comments

EXAMPLE: Molding

On-site RSL Enter

Address

< 1% Scrap< 100 PPM per quarter

90 % Machine Availability

NoYes

Yes 4 Scrap spike in Jan, Feb, March – CA 635 issued. Apr and May <1%4 customer issues – 3 closed and accepted by the customer, 1 awaiting customer approval.

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address

On-site RSL Enter

Address


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Section 4 - Changes to RSL:

Client to complete - Complete the sections below:Provide a list of any support processes Provided to other sites and/or locations from this facility; or Received From other sites and/or locations that have changed since the last audit event (be sure to include name of the process and address of the site): no change since last audit added, eliminated, changed process name or location, (specify location, change and number of employees). Add attachments if additional space is needed.

Process Name Location (Physical Address)

Provided to Another Location

Received From Another Location

No. of Employees at the Support Location

Type of change

added, eliminated, changed process namechanged location




Have there been any Changes since the last assessment (legal status, commercial status, ownership, organization and management, contact address or location, scope of operations under the certified QMS, IATF subscribing OEM customer Special Status, major changes to the management system and processes, etc.): Yes No – if Yes, explain

Are you still producing product for the automotive industry (refer to Rules 1.0, Eligibility for certification to ISO/TS 16949): Yes No - If no, explain:

CQI-9, Special Process: Heat Treat System Assessment applies: Yes No N/A CQI-11, Special Process: Plating System Assessment applies: Yes No N/ACQI-12, Special Process: Coating System Assessment applies: Yes No N/ACQI-14, Special Process: Customer Centric Warranty Mgmt applies: Yes No N/ACQI-15, Special Process: Welding System Assessment applies: Yes No N/ACQI-17, Special Process: Soldering System Assessment applies: Yes No N/ACQI-23, Special Process: Molding System Assessment applies: Yes No N/A


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Section 5: For SRI Auditor Use only - P L E A S E P R I N T

Company name

Location

Surveillance/Renewal #

Date Readiness Submitted

Date Audit Plan Issued to SRI

SRI Readiness Review - For Completion by the Assigned SRI AuditorCheck (√) the appropriate boxes as to the readiness acceptability. If not acceptable, comments should be added.

Acceptable (yes)

Area of Concern that

Could be Classified as

Nonconformity at the Audit

Summary of Results

Did the Client Supply you with all the required pre-planning information prior to issuing the audit plan (Applicable Items 1 through 21, Sections 1, 2, 3 and 4 of this R20.102-S ISO/TS 16949 Surveillance and Renewal Planning document)

NA No, the Client did not supply all the required information. Information NOT Supplied WILL NOT affect Audit Planning. Time is NOT Required to be added to the preplanning meeting or prior to the opening meeting to evaluate the missing information.

No, the Client did not supply all the required information. Time IS Required to be added to the preplanning meeting or prior to the opening meeting to evaluate the missing information.

1. Documented Statements of a quality policy and quality objectives,

2. A quality manual,3. Documented processes,4. Process map showing linkages

and interaction of the processes,

5. Identification of outsource processes and their linkages and interfaces,

6. Identification of remote support functions and their linkages and interfaces,


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Acceptable (yes)




Summary of Results

Clients list of Key Processes (COPS) in Quality Manual matches:a) Completed Process Matrix or list

for ISO/TS 16949, R20.44TS, or equivalent.

Current customer performance data since the last audit, Customer Satisfaction summary since the last audit (including a copy of latest customer reports and/or scorecard). (see 5.8 - SI 12ctd).

Customer Complaint summary since the last audit.

Identification of any Customer Special Status Conditions since the last audit, (concerning FCA US LLC (Chrysler) On Status; Ford Q1 Revocation; General Motors New Business Hold, Special Status Notifications).

Internal performance data since the last audit (Performance Measures Effectiveness and Efficiency Targets & Goals), and Analysis of internal problems (scrap, nonconforming product, corrective actions, etc.).

Internal audit - Summary of internal system, manufacturing process and product audit conducted since the last audit:a. the total number of

nonconformities by audit type,b. the classification of each

nonconformity,c. the relevant requirement (audit

criteria).

Management review output/action item list since the last audit.


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Acceptable (yes)




Summary of Results

Changes since the last assessment (refer to Rules 3.2), i.e., Management Systems (MS), equipment, product, processes(s), automotive customer(s), supporting function(s) [refer to Rules 5.5, Supporting activities], employee count, shifts - accreditation body requirements dictate accurate information.

If remote sites are audited by another CB, review all information related to the most recent audit (See Rules 5.5-Option 2). SRI Lead auditor verifies the CB supplying the report is listed on IATF’s website.

Access the website to validate information provided: company name, address, structure, other linkages, other support, scope vs what is on the website, additional addresses, etc. vs R20.62, Certificate and Audit Plan.

Information on the use of consultancy relating to the management system.

Relevant legal obligations/regulations applicable to the product or processes.


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Acceptable (yes)




Summary of Results

FOR RENEWAL: Management System performance over the previous Three Year Cycle:a. Goals/targets of effectiveness and

efficiency for each identified process on the R20.44TS or equivalent over the previous three year period of certification;

b. Summary of Management Review output/action item list;

c. Internal Audit results –1. the total number of

nonconformities by audit type,2. the classification of each

nonconformity,3. the relevant requirement (audit

criteria).

FOR RENEWAL: Review the surveillance audit reports from the current audit cycle and identify any areas that need to be prioritized.

FOR RENEWAL: Management system documentation (Level I and II - policies and required procedures) for each site to be audited, including information on linkages and interfaces to any remote support functions and / or outsourced processes.

A complete list of automotive customers (IATF OEM’s, Non ITAF OEMS, Automotive Customers) and their customer-specific requirements (including revision and/or date of issue and any waivers obtained).

The Client is still producing product for the automotive industry?

Based on the information provided and CSR’s all applicable CQI’s are Identified?


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Acceptable (yes)




Summary of Results

TRANSFER AUDIT: Audit Reports from the Previous Three Year, Evidence that all Nonconformities issued by the Existing CB for the Site and Remote Support Functions are Closed.

The SRI auditor comprehends the language(s) indicated. [If no, an interpreter is required and additional mandays are required contact SRI Office Immediately.]

There IS NOT any raw material or components manufactured on-site that is used in the automotive product, Where the Process Is Not Audited to the TS Requirements?

Section 5 Instructions: the SRI Auditor must describe how pre-planning impacted the audit plan and list the issues/concerns to be prioritized:

Missing or Additional Information Required to Be Reviewed During the Onsite Pre Planning Meeting:

Prioritized Issues/Concerns Added to the Audit Plan, (Note: The Priority should be added to the relevant Process(es) or an Action List added supplementing the Audit Plan:

Note: for audit plan development - an audit day (8-hour duration) can be extended only to cover a 3rd Shift (Off-Shift) which operates outside the normal 8-hour work day (normal being 8:00 a.m. to 17:00 p.m.). The additional hours spent auditing the 3rd Shift may not exceed 4 hours per audit (NOT per auditor) [refer to Rules


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5.2.b), Audit days determination]. Each audit plan shall: identify as a minimum (see IATF Rules 5.7.2) a) – g) … and h) identify the date and time when each site will be audited and, if needed, identify the amount of time required to transfer between sites at different addresses. (SI 13ctd 5.7.2)

Where the client fails to supply all the required information it is the responsibility of the auditor to notify SRI Customer Care immediately. Customer Care should attempt to obtain the information up to the week before the deadline date for issuance of the audit plan.

If the client does not submit any of the information required for audit planning then the decertification process shall be initiated and an on-site audit planning session equal to the off-site requirement shall take place.

If there is missing information, not all of the required information is provided, relative to ensuring effective audit planning, the auditor may elect to cover these items at the on-site audit planning session or add time to the on-site audit planning session to cover these items. The decertification process may be initiated by recommendation from the Lead Auditor or at the discretion of SRI. Contact SRI’s Office to initiate the Procedure.

If changes are identified by you or the client prior to the audit, you must contact SRI for a decision. This would include employee counts, scope changes, addition of support functions remote or on-site, language of the audit, etc. changes that would affect the established audit time (e-mail or telephone SRI).

Changes identified by you or the client while on-site that affect audit time or the scope of the audit requires a joint decision considering auditor availability and impact of the change, you must contact SRI immediately for a decision. In any case, changes found while on-site that were not identified by the client prior to the audit will require a corrective action notification to be issued.

Note to CCC and/or Review Authority: Where the auditor has identified “Missing or Additional Information Required to Be Reviewed During the Onsite Pre Planning Meeting” or “Prioritized Issues/Concerns Added to the Audit Plan, (Note: The Priority should be added to the relevant Process(es) or an Action List added supplementing the Audit Plan:” You must verify the audit plan has been revised to include these items. Your initial and date signifies you have reviewed the audit plan for accuracy and completeness: Initial Date:

To be completed by SRI’s Auditor only:Note to auditor: If the client fails to submit the above information, the materials are late or the information is incomplete or provides inaccurate information, the lead auditor is to indicate “Not Ready,” revise the audit plan, and add time, as needed, to the upcoming event. The lead auditor is required to determine the readiness (not ready or ready) of the client within two weeks of receipt. The decertification process may be initiated by recommendation from the Lead Auditor or at the discretion of SRI. Contact SRI’s Office to initiate the Procedure.If an issue has been identified during a review of the surveillance/renewal readiness materials, this issue must be ADDED TO THE AUDIT PLAN and followed up on-site at the scheduled event.

NOT READY - Review at the additional one (1) hour added to the start of the first day (see Rules, 5.7.2.a) . If the standard one (1) hour is inadequate, additional time to be added: hours.SRI Lead Auditor Signature (original required): Date:

READY - Auditor recommends commencing with surveillance or renewal.


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All information (refer to page 1) required for Readiness Review was reviewed and accepted.

SRI Lead Auditor Acceptance Signature (original required): Date:

Section 6: For SRI Veto Use only – to be used for special monitoring

Veto Review: Date:

Topic/Subject Reviewed: Yes NoCustomer Performance Acceptable (Targets Met):Internal Performance Acceptable (Targets Met):Customer Complaints Reviewed (Any Trends, Continual Numerous Poor Performance, Repeat Issues, Increase in Complaints):Where Applicable Three Year (Registration Cycle Performance) Acceptable:Other:Comments:

Items to be Added to the Audit Plan:


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R20 - SRI RegistrarFILE/20102S_b.docx · Web viewISO/TS 16949 Surveillance...

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