Information
-
Document No.
-
Audit Title
-
Client / Site
-
Key Processes: (1..2..3..)
-
Conducted on
-
Prepared by
-
Location
-
Personnel
Explanation
Relationship between System, Process and Product Audit
-
System, process and product audits represent a selection of the audit types available; however, this listing does not claim to be exhaustive. Comparison of the audit types : Audit Type / Subject / Purpose
System Audit
---> Quality System
---> Assessment of the completeness and effectiveness of the basic requirements.
Process Audit
---> Product development process / Serial production
---> Service development process / Providing the service
---> Assessment of the quality capability for specific products/product groups and their processes
Product Audit
---> Products or services
---> Assessment of quality characteristics
Process audits may be initiated, e.g., for the following reasons: decreasing process quality, customer complaints, and changes in the production sequence, - process insecurities, cost reductions, internal request.
Process audits can be applied internally and externally across the full quality cycle in the following areas: Marketing, Development, Purchasing (Product/Service), Production/Service Provision, Sales/Commissioning, Customer Service/Services, Recycling
Individual Evaluation of the Questions and Process Elements
-
Each question is evaluated with regard to the respective requirements and their consistent achievement in the product development process (service process) and the serial production (service). The evaluation can result in 0, 4, 8, 10 points for each question, whereby the proven compliance with the requirements is the measure for awarding points. For a grading under 10 points corrective actions with deadlines have to be determined.
Evaluation of compliance with individual requirements
10 - Full compliance with requirements
8 - Predominant compliance with requirements; minor nonconformities *
6 - Partial compliance with requirements; more severe nonconformities
4 - Unsatisfactory compliance with requirements, major nonconformities
0 - No compliance with requirements
(*) Predominant means, that more than ¾ of all requirements have proven to be effective and no special risk is given.
The degree of conformity EE of a process element is calculated from:
Sum of all points awarded for the respective questions
EE [%] = ------------------------------------------------------------------- x 100%
Sum of all possible points of the respective questions
Downgrading Rules
-
Downgrade from A to B despite an overall score of > 90%
> Process elements P5 to P7, achievement level < 80%
> At least one question assessed as 4 points
> At least one question assessed as 0 points
Downgrade from A or B to C despite an overall score of > 80%
> Process elements P5 to P7, achievement level < 70%
> At least one question assessed as 0 points
Serial Production
OVERALL GRADE
-
Grade. % Description of the grading
A 90 to 100 Full compliance.
B 70 to less than 90 Partial compliance
C less than 70 No compliance -
OVERALL GRADE DECISION
-
Downgrade
-
SUMMARY / RECOMMENDATIONS:
Overall degree of conformity in %
P 5 Supplier Management
-
5.1* Are only approved/released and quality-capable suppliers selected?
-
Add media
-
5.2 Are the customer's requirements taken into account in the supply chain? Is the quality of purchased parts assured?
-
Add media
-
5.3 Have target agreements for delivery performance been agreed with suppliers and put into operation?
-
Add media
-
5.4* Are the necessary approvals/releases available for the out‐sourced products and services?
-
Add media
-
5.5* Is the quality of the out‐sourced products and services ensured?
-
Add media
-
5.6 Are incoming goods stored appropriately?
-
Add media
-
5.7 Are personnel qualified for the various tasks and are responsibilities defined?
-
Add media
P 6 Process Analysis Serial Production
P 6-1 Process Input
-
6.1.1* Has the project been transferred from development to serial production?
-
Add media
-
6.1.2 Are the necessary quantities / production batch sizes of incoming materials available at the right time and at the right place (stores; work‐station)?
-
Add media
-
6.1.3 Are incoming materials stored appropriately and are transport facilities / packing arrangements suitable for the special characteristics of the incoming materials?
-
Add media
-
6.1.4 Are the necessary identifications / records / approvals available and allocated appropriately to the incoming materials?
-
Add media
-
6.1.5 Are changes to the product or process in the course of serial production tracked and documented?
-
Add media
P 6-2 Work Content / Process Sequences
-
6.2.1* Are all the relevant details listed in the production and test/inspection documents, based on the production control plan?
-
Add media
-
6.2.2 Are production operations checked / approved and are setting data logged?
-
Add media
-
6.2.3* Can the customer's specific product requirements be satisfied with the production facilities used?
-
Add media
-
6.2.4* Are significant characteristics controlled in production?
-
6.2.5 Are scrap, rework and setting parts kept separate and identified?
-
6.2.6 Is the flow of materials and parts secured against mixing / wrong items?
P 6-3 Personnel Support
-
6.3.1 Are operators given responsibility and authority to monitor the quality of product and process?
-
6.3.2* Are the operators able to carry out their allotted tasks and are their qualifications kept up‐to‐date?
-
6.3.3 Is there a personnel employment plan?
P 6-4 Material Resources
-
6.4.1 How are the maintenance and overhaul of production facilities / tools controlled?
-
6.4.2* Can the quality requirements be monitored effectively with the test, inspection and measurement facilities employed?
-
6.4.3 Are the work‐stations and test/inspection areas suitable for requirements?
-
6.4.4 Are tools, equipment and test/inspection facilities stored correctly?
P 6-5 Process Effectiveness Level
-
6.5.1 Are target requirements set for product and process?
-
6.5.2 Are quality and process data logged in such a way that they can be assessed?
-
6.5.3* In the case of deviations from product and process requirements, are the causes analysed and the corrective actions checked for effectiveness?
-
6.5.4* Are processes and products audited regularly?
P 6-6 Process Result / Output
-
6.6.1* Are the customer's requirements met in terms of product and process?
-
6.6.2 Are quantities / production batch sizes aligned with requirements and are they forwarded to the next process stage in a targeted manner?
-
6.6.3 Are products / components stored in an appropriate manner and are transport facilities / packing arrangements suitable for the special characteristics of the products / components?
-
6.6.4 Are the necessary records / releases carried out and stored appropriately?
P 7 Customer Support / Customer Satisfaction / Services
-
7.1* Are the customer's requirements satisfied regarding QM system, product (on delivery) and process? <br>
-
7.2. Is customer support ensured?
-
7.3* Is the supply of parts ensured?
-
7.4 If there are deviations from quality requirements, are failure analyses carried out and corrective actions implemented effectively?
-
7.5 Is there a process which ensures that analysis of defective parts is carried out?
-
7.6 Are personnel qualified for the various tasks and are responsibilities defined?
Action Deck
ACTION DECK:
-
P 5 Supplier Management
P5 #
-
Action:
-
By Whom:
-
By When:
-
P 6 Process Analysis Serial Production
P6 #
-
Action:
-
By Whom:
-
By When:
-
P 7 Customer Support / Customer Satisfaction / Services
P7 #
-
Action:
-
By Whom:
-
By When:
SIGNATURES
-
AUDITOR(S)
AUDITOR#
-
Add signature
-
AUDITEE(S)
AUDITEE#
-
Add signature
