Information
IATF 16949:2016 Internal Audit
-
Organization name
-
audit year - number
-
process audited
-
Machine
-
Shift
-
Audit begins
-
Audit ends
-
Lead auditor
-
Auditor trainee
Pre audit planning and notes
-
Spring/Summer 2020: During pandemic, slitter and blanker production was limited and limited personnel were allowed onsite so internal audits during this time were postponed.
-
Internal auditors use the following to prepare for the audit : Objective ( determine conformity to the standards), Scope (evaluate process steps, inputs and outputs), Method (work instructions, auditee interviews, sampling documents), Process Approach (multiple customer oriented processes within the QMS), Risk Based Thinking (determine effects of uncertainty, actions leading to nonconformances and opportunities presented by process improvements)
-
Before audit, review the relevant clauses within the standards for the question contained in the audit, the Quality Procedures, Work Instructions and make a copy of the APQP documents. Review prior audits of the area from P Drive and any previous internal audit nonconformances- observe whether the issue recurs during this audit
-
When recording information for the audit, do NOT need to refer to the actual employee name in the audit report(and let them know that)- use T/M (1), T/M (2), T/M (3) etc- You DO need their actual name to check training records. Review the flowchart, FMEA and control plan for area audited. Take a control plan or flowchart to line and ask for feedback as you walk the process.
-
At the bottom of each response, there is space for notes and to insert a picture taken from the camera.
-
The majority of the audit will be with Team Members and Team Leaders. The questions are grouped by the job of the person on the floor and those who aren't normally on the line. Start with what area you are auditing to select machine and team.
-
This is a living document and will be updated based on auditor feedback. Therefore it's is best to always start from the TAI safetyculture.io website.
What area are you auditing
-
machine (select one of the choices)
-
Team (select one of the choices)
Questions for people who may not be on the floor during audit
-
This section only needs to be interviewed ONCE during a the 2 team audit, (i.e. if you are doing A/C, just have these questions answered once) When preparing to interview the following- we don't want all the auditors to ask the same person all the questions in the audit sections for (G/L and up and PC and QC/product)- so check with as many people as possible in the group to avoid having one person to answer the same questions from 5 different people. You could coordinate among the auditors on who they are planning to interview
-
In the rest of the audit, the job title of suggested interviewee is in (parenthesis) after the question. Tried to spread out the questions among the whole team
-
To see G/L and above (G/L, supervisor, manager, GM) questions select YES
-
6.1.2.3 Verify contingency plans are prepared for continuity of supply in the event of: fire, key equipment failures, utility interruptions, labor shortages, infrastructure disruptions, natural disasters, force majeure.
-
6.2 Verify how operations provides persons necessary to consistently meet customer, applicable statutory and regulatory requirements for the QMS including the necessary processes. [i.e.employment and labor laws] [i.e. tracking heat lots and mill certs]. Generally LRTC covers those topics. Confirm that operations is aware of customer complaints/returns/concerns. Ask about a recent return or rework
-
6.2 Verify method for determining and evaluating goals and objectives.
-
7.1 Ask how the capabilities and constraints on internal resources are considered for this area
-
7.1.4 Verify how TAI provides and maintains the environment for the operation physical (temperature, heat, humidity, light, airflow, hygiene, noise)
-
7.1.4 Verify how TAI determines, provides and maintains an environment for the operation psychological (stress-reducing, burnout prevention, emotionally protective)
-
7.1.4 Verify how TAI determines, provides and maintains an environment for the operation social (non-discriminatory, calm, non-confrontational
-
7.2 Ask how operations determine the necessary competence of people doing work that affects quality performance and customer satisfaction.
-
8.3.3.2, 8.3.5.1 Verify manufacturing process design inputs include:Targets for productivity, process capability, timing and cost plus consider product handling/ergonomic requirements
-
8.3.5.1 Product handling and ergonomic requirements
-
To see QC/Product (Chris, Todd and their team) questions select YES
-
6.1.2.1 Verify risk analysis includes, at a minimum, lessons learned from product recalls, product audits, field returns and repairs, complaints, scrap and rework. (QC/product)
-
8.7.1.1 Verify who signs/approves customer and mill concessions and where the document is saved
-
8.7.1.4 Verify documented process for rework confirmation and verify that customer authorization is obtained prior to processing or disposiiton
-
8.7.1.5 Verify documented process for repair confirmation. (i.e. customer request/approval, quality/product sign off, slitterblanker management sign off, traceability.
-
8.7.1.7 Ask if there is a customer notification if nonconforming product or material has been shipped. (QC/Product)
-
9.1.2 Verify TAI monitors customer's perception/satisfaction based on delivered part quality performance (QC/Product)
-
9.1.2 Verify that TAI monitors customer's perception/ satisfaction based on performance indicator such as customer disruptions (QC/Product)
-
10.2 Ask if there have been RCA/customer complaints for past 3 months for area audited and look at documented information that provides evidence of the nature of a nonconformity found and any subsequent actions taken and were the corrective actions effective in preventing recurrence. (QC/Product)
-
To see QC/Process questions (Steve or Marsha) select YES
-
7.1.3.1 Verify evaluation of manufacturing feasibility and evaluation of capacity planning as inputs into Management Review (ask QC/Process)
-
7.1.5 Verify how TAI ensures that the resources provided are suitable for the specific type of monitoring and measurement activities being undertaken in audited area and that they are maintained to ensure continued reliability.
-
8.5.1.1 Verify the control plans shall be reviewed and updated: when any change occurs affecting product, manufacturing process, measurement, logistics, supply sources, production volume changes or risk analysis or If TAI determines it has shipped nonconforming product to the customer or after a customer complaint and implementation of the associated corrective action (as applicable)
-
9.1.1.1 Reaction plans and escalation process when acceptance criteria are not met are noted on control plans. (QC/Process)
-
To see PC questions, select YES
-
8.5.1.7 Verify production is scheduled to meet customer orders/demands such as JIT
-
8.5.1.7 Verify production scheduling is supported by an information system
Operations and Auditor floor questions: these are suggested groupings, if you need to interview others to cover the clauses, that's OK- just tried to split up the questions around the process from staging to putting away material
-
To see Auditor questions select YES
-
6.2 Are targets for Goals and Objectives in that area being met? (Auditor) (take picture or notes for the numbers)
-
7.1.1 Verify premises are in a state of order, cleanliness and repair- if 5S needed, add note (Auditor)
-
7.1.1 Verify plant layout is suitable for manufacturing, material handling and value-added use of floor space (upon conclusion of floor audit) (Auditor) (add notes)
-
7.1.3 Any OSHA violations in last 3 months? (see board outside cafeteria entrance) (Auditor)
-
7.1.3 If any safety concerns found, add note (Auditor)
-
7.1.5 Check documented information that shows evidence daily recording of instrument verification. (auditor- take pictures)
-
8.3.1 Verify how manufacturing process design is focused on error prevention rather than detection. Find something within the audit which has been "error-proofed". (Auditor)
-
8.5.1 Verify the implementation of actions to prevent human error (i.e. poke yoke, visual locations, checklist, emergency stops, templates, document control, ...) (Auditor- document this and take pictures)
-
8.5.1.1 In order to evaluate the accuracy of flowchart or control plan, walk a part of the process and note any discrepancies. (Auditor)
-
8.5.1.2 Verify standardized work documents are: Verify standardized work documents include rules for operator safety. (Auditor- and document with pictures)
-
8.5.1.2 Verify standardized work documents are: Record two document number and revision from line to compare to online number and version. (Auditor)
-
8.5.1.3 Ask what each member of the team's quality checks are and determine if work instructions were followed (Auditor use quality gate chart that shows what colors refer to who checks)- document your findings and take pictures
-
9.2.2.3 Observe shift handover. Looking for evidence issues that effect customer product or efficient operation of equipment are discussed (Auditor)
-
To see Team Leader questions select YES
-
4.3.2 Verify documented information of changed work instructions or processes and ask how relevant personnel are made aware of those changes. (T/L)
-
6.2 For the Goals and Objectives in that area, ask how are they measured (T/L)
-
6.2 Ask how are the Goals and Objective targets communicated beyond the numbers on the board. (T/L)
-
7.1.5 Ask how operations determines the validity of previous measurements through documentation if a gage is found to be defective during verification. Verify what actions are taken. (T/L)
-
7.2 Ask how operations works to attain necessary employee competence and how to evaluate the effectiveness of that training. (T/L)
-
7.2 Verify the procedure for on-the-job training, written and work instruction review, for full time, VWF (temps) and new hires. (T/L)
-
8.5.1.2 Verify standardized work documents are: Communicated to and understood by the employees who are responsible for performing the work. (T/L)
-
8.5.1.6 {Blanking and CTL} Verify customer-owned tools and equipment are permanently marked in a visible location (T/L)
-
8.5.1.6 {Blanking and CTL} Verify system implemented to monitors these activities- computer based or paper charts (T/L)
-
8.5.6.1.1 Verify alternate method is documented for temporary change of process controls (SPR)(i.e. job order notes) (T/L)
-
8.5.6.1.1 Verify standard work instructions are created for alternative control methods. (Temporary change of process controls (SPR)(T/L)
-
8.7.1.7 Verify nonconforming product is rendered unusable prior to disposal (Ask floor personnel how this is currently done or might be done- both blanks and slit coil) (T/L)
-
10.2.1 Ask about procedure when finding a nonconformity, including hearing customer complaints and what actions are taken action to control and correct it in the future. (T/L)
-
To see uncoiler questions select YES
-
4.3.2 Verify that customer-specific requirements are verified before beginning production. (Uncoiler)
-
6.1.2.1 Ask what actions used in process in the area to prevent problems.(Uncoiler)
-
6.1.2.1 Verify for setups, that checks are done and verified on slitter before running coil or first-off blank dimension before beginning before running blanker and after re-starts (ask how to measure) (Setups for slitter) (Main operator for blanker/CTL)
-
7.1.5 Ask how measurement instruments are identified (i.e reference number on gage) (Uncoiler)
-
7.1.5 Ask how lineside gages are safeguarded from damage and deterioration. Write down gage number and calibration due date to verify with quality. (Uncoiler)
-
7.3 Ask Team member about their contribution to the effectiveness of the QMS, (including the benefits of improved performance) and what would happen if they did NOT follow requirements. (Uncoiler)
-
8.5.1.3 Verify what checks are performed by operator. (Uncoiler)
-
8.5.2 Verify controls on unique ID/Traceability: Ask how mill tags are checked against job order. (uncoiler)
-
8.7 verify appropriate action is taken for nonconforming products such as obtaining authorization for acceptance with concession form (attached to job order). (uncoiler)
-
To see Setup for Slitter (recipe for Blanker) questions select YES
-
7.3 Ask for Team Member to show you where Quality Policy is displayed near work area. (Setup)
-
7.3 The quality policy by asking what it means to them. (Setup)
-
7.3 Ask what the Quality objectives mean to Team member (refer to back of Quality Policy card) (Setup)
-
8.5.1 Verify the use of competent persons, including any required qualification. (i.e. ask what training they have had, level etc ) (Setups)
-
8.5.1.3 Verify how to to do setups on slitter / recipe on blanker and how are they verified (Setups)
-
8.5.1.3 Verify what type of documentation is used by set-up personnel / recipe input on blanker(setups)
-
8.5.1.6 How is slitter knife wear monitored (Slitter only)? When is the knife taken out of service? (Setups)
-
To see Main Operator questions select YES
-
4.3.2 Ask to see where customer requirements are shown (i.e. job orders tolerances) and how to know if the material is exposed, needs SPR, Green Tag/Orange Tag? What are steps to verify correct coil is selected. (Main Operator)
-
4.3.2 Verify through retained documented evidence of customer-authorized waiver of above requirements. (Main Operator)
-
6.1.2.1 Verify for setups, that checks are done and verified before running coil or first-off blank dimension before beginning before running blanker and after re-starts (ask how to measure) (Setups for slitter) (Main operator for blanker/CTL)
-
6.1.2.2 Ask what was the last quality alert for the area and where you could see it (Main Operator)
-
8.5.1 Verify the operator has documented information that defines the characteristics of the products to be produced, the services to be provided or the activities to be performed. (Main Operator)
-
8.5.1.2 Verify standardized work documents are: Accessible for use at the designated work area. (Main Operator)
-
8.5.1.4 For Blanking and CTL- what first piece inspection/measurements are done and where recorded. (Main Operator)
-
8.5.2 Verify controls on unique ID/Traceability: How are nonconforming and/or suspect product identified (main operator)
-
8.5.4.1 Verify controls on unique ID/Traceability: For Blanking and CTL ask how partial pallets are stored/recorded to insure FIFO shipment. (Main operator)
-
8.7.1.1 How are personnel trained to handle product with unidentified or suspect status and is it classified and controlled as nonconforming product. (main operator)
-
9.1, 9.1.2,Verify operations adherence: Ask to see records of actual measurement values and/or test results for data (main operator)
-
To see Recoiler (slitter) and conveyance operator (blanker and CTL) questions select YES
-
8.1 What was the last time team member had "abnormal situation", what was done and how was it resolved. (Recoiler)
-
7.3 Visually observe or ask how management promotes quality and technological awareness. (Recoiler)
-
8.5.1 Verify the implementation of monitoring and measuring activities at appropriate stages to verify that criteria for control of processes or outputs, and acceptance criteria for products and services, have been met. (i.e. in-process inspection) (Recoiler)
-
8.4 Verify that outputs that do not conform to requirements are identified and controlled. (i.e. finish coil width on slitter , top piece of pallet on blanker is out of tolerance) (Recoiler)
-
10.3 Verify with team member what kaizen activities occur and look for documents or verbal evidence of recent ones. (Recoiler)
-
to see Packing questions select YES
-
Ask who the relevant INTERNAL interested parties to this process would be. (i.e. for slitter, what is the next step in the flow) (Packing)
-
Verify how they might determine the relevant needs and expectations of interested INTERNAL party (Packing)
-
4.3.2 What are packaging (not loading) requirements necessary for customer's use- compare to online or chart or packaging book. (Packing)
-
8.3.5.2.1 Verify manufacturing process design output includes When was last time operator referred to work instructions and where are the most up to date versions located. (Packing)
-
8.3.5.2.1 Verify how labeling requirements for shipping are obtained (tags). (Packing)
-
8.5.2 Verify controls on unique ID/Traceability: Ask how finish tags are attached to correct coil (slitter) or pallet (blanker/CTL). (packing)
-
8.5.2 Verify controls on unique ID/Traceability: How does TAI segregate nonconforming and/or suspect product (packing)
-
8.5.4.1 Verify controls on unique ID/Traceability: Verify rewind weights recorded properly for restock coils in system and labeled for slitter. (packing) and for blanking/CTL as how tag is reprinted
-
8.7 verify appropriate action is taken for nonconforming such as segregation or containment of products. (packing)
-
To see Maintenance questions select YES
-
8.3.5.2.1 Verify manufacturing process design ouput includes Tooling and equipment for production , including capability studies of equipment. (Maintenance)
-
8.5.1.6 Is slitter or CTL tooling sent offsite for maintenance , or is it done by trained TAI maintenance? (Maintenance)
-
-
8.5.1.6 Tool and die identification, such as asset number; the status, such as production/ repair/ disposal; ownership; and location. (Maintenance)
Training Records (fill out when floor audit completed)
7.2a Training records
-
Employee name (1) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (2) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (3) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (4) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (5) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (6) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (7) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
Employee name (8) to verify training
-
Is person on the training matrix
-
Has the person been trained on the task they were performing
-
If additional persons were interviewed, fill in notes
Additional notes
-
Any additional comments put here:
Sign Off
Sign Off
-
I, the undersigned, have completed this internal audit in an accurate manner. I have attached evidence as required and declare this audit complete.
-
Full name and signature of auditor
