45337558 audit skills

8/12/2019 45337558 Audit Skills

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Registration Management Committee (RMC)

Auditor Training and Workshop

Minneapolis, MN

July 303!, "00#

W$%C&M$'W$%C&M$'Amerias Aerospae uality *roupAmerias Aerospae uality *roup

AA*AA*

Registration Management CommitteeRegistration Management Committee

RMCRMC

Auditor Training and Workshop +essionAuditor Training and Workshop +ession

Minneapolis, MNMinneapolis, MN

July 303!, "00#July 303!, "00#

alue Added Aerospae Auditingalue Added Aerospae Auditing

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

-aul .ardiman/ +MMT ndustry 1orum-aul .ardiman/ +MMT ndustry 1orum

• uali2ied Mehanial $ngineer uali2ied Mehanial $ngineer

• Work $periene in the automoti4e andWork $periene in the automoti4e andaerospae supply hainaerospae supply hain

• $periened auditor/ +& #00!, +#000, and$periened auditor/ +& #00!, +#000, and

+&5T+ !6#7#+&5T+ !6#7#

• Assisted organi8ations 9ith implementingAssisted organi8ations 9ith implementingA+#!00, +&5T+!6#7# (or :oth)A+#!00, +&5T+!6#7# (or :oth)

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

AT1 +&5T+!6#7# +heme +truture

IATF Original Members

PSA Renault

Fiat

GM FORD

VW AG BMW GroupChrsler

SMMT AIAG VDA A!FIA FI"V

O"M

!ational SupplierOrgani#ations

Global O$ersight O%%i&es

SMMT IAOB VDA'(MC A!FIA IATF Fran&e

Global O$ersight S&heme Management Responsibilities

IATF ' Database

Organi#ation

au)it *&erti%i&ate

)ata + au)itor* ,itness

au)it )ata

Administer the 0AT1 de2ined registration s(heme

Daimler AG

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Role o2 &4ersightRole o2 &4ersight

• Certification Body applicationsCertification Body applications

• Office AssessmentOffice Assessment

• Witness AuditsWitness Audits

• IATF database managementIATF database management

• Provide Interpretations and Guidance on te application trougProvide Interpretations and Guidance on te application trougte issuing of !anctioned Interpretations "!I# and Fre$uentlyte issuing of !anctioned Interpretations "!I# and Fre$uently

As%ed &uestions "FA&#' As%ed &uestions "FA&#'

• (onitor Certification Body Activities(onitor Certification Body Activities"including IATF O)( input#"including IATF O)( input#

• &ualify certification body auditors&ualify certification body auditors

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Auditor *uide to +&5T+!6#7#

1irst $ditionApril "00#

Available for purchase www.smmt.co.uk (£15, $23)

http://www.smmt.co.uk/

http://www.smmt.co.uk/

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

$ssential auditing riteria$ssential auditing riteria

• -roess Approah-roess Approah

*emonstrates priority is given to $uestioning te organisation+s identification of*emonstrates priority is given to $uestioning te organisation+s identification of

processes, teir se$uence and interactions, and performance against te ob-ectives .processes, teir se$uence and interactions, and performance against te ob-ectives .

measures defined, /it focus on te processes /ic directly impact te customermeasures defined, /it focus on te processes /ic directly impact te customer

• Customer, regulatory, industry re;uirementsCustomer, regulatory, industry re;uirements

*emonstrates tat tese re$uirements are integrated into a process based audit'*emonstrates tat tese re$uirements are integrated into a process based audit'

)ffectively audit te organisation+s process for gatering, communicating and)ffectively audit te organisation+s process for gatering, communicating and

implementing tese re$uirements'implementing tese re$uirements'

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#


• -rioritisation-rioritisation

*emonstrates priority is given to $uestioning te process ob-ectives*emonstrates priority is given to $uestioning te process ob-ectives

and performance, and focus on issues tat ave te greatest impactand performance, and focus on issues tat ave te greatest impact

on te customer on te customer

• 1ous on per2ormane1ous on per2ormane

Identifies issues.trails around te organisation+s process for settingIdentifies issues.trails around te organisation+s process for setting

ob-ectives. targets, /at plans are in place to ensure targets are met,ob-ectives. targets, /at plans are in place to ensure targets are met,

and corrective action plans /ere ob-ectives.targets are not beingand corrective action plans /ere ob-ectives.targets are not being

metmet

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#


• <no9ledge5Appliation o2 A+#!00, A+#!!0 and<no9ledge5Appliation o2 A+#!00, A+#!!0 and

A+#!"0 re;uirements (and assoiated heklists)A+#!"0 re;uirements (and assoiated heklists)

*emonstrates %no/ledge and application of te*emonstrates %no/ledge and application of te

re$uirements /itin a process based auditre$uirements /itin a process based audit

• Analyse and +ynthesi8e dataAnalyse and +ynthesi8e data

*emonstrates te ability to collect and analyse data,*emonstrates te ability to collect and analyse data,and dra/ accurate conclusions based upon te data'and dra/ accurate conclusions based upon te data'

!yntesi0e isolated but connected data in order to!yntesi0e isolated but connected data in order to

dra/ conclusions'dra/ conclusions'

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Workshop agendaWorkshop agenda

• *etermining te audit scope and e1clusions*etermining te audit scope and e1clusions

• Identification of processes and teir interactionsIdentification of processes and teir interactions

• Auditing of processes to verify effectiveness "and Auditing of processes to verify effectiveness "and

efficiency#efficiency#

2 Focusing on areas of significanceFocusing on areas of significance

2 Time (anagementTime (anagement

• Auditing Top (anagement Auditing Top (anagement 2 Case studyCase study

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

+ope and elusions+ope and elusions

•3evie/ case study3evie/ case study

Te customer is paying for te tooling, and is alsoTe customer is paying for te tooling, and is also

purcasing tooling from Alba Gear Inc to assist tem inpurcasing tooling from Alba Gear Inc to assist tem inteir assembly processteir assembly process

•Wat /ould be an appropriate scope for A!4566Wat /ould be an appropriate scope for A!4566

registration7registration7

•Wat /ould be permissible e1clusions7Wat /ould be permissible e1clusions7

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Conlusion/ +ope and elusionsConlusion/ +ope and elusions

• Where any o2 the re;uirements annot :e appliedWhere any o2 the re;uirements annot :e applieddue to the nature o2 the organi8ation and itsdue to the nature o2 the organi8ation and itsproduts, this an :e onsidered 2or elusionproduts, this an :e onsidered 2or elusion

• Where elusions are made, laims o2 on2ormityWhere elusions are made, laims o2 on2ormityto this international standard are not aepta:leto this international standard are not aepta:leunless these are limited to re;uirements 9ithunless these are limited to re;uirements 9ith

lause =, and as suh elusions do not a22etlause =, and as suh elusions do not a22etthe organisation a:ility, or responsi:ility, tothe organisation a:ility, or responsi:ility, topro4ide produt that meets ustomer andpro4ide produt that meets ustomer andapplia:le statutory and regulatory re;uirementsapplia:le statutory and regulatory re;uirements

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

A+#!00A+#!000>" -roess Approah0>" -roess Approah

This nternational +tandard promotes theThis nternational +tandard promotes the

adoption o2 a proess approah 9henadoption o2 a proess approah 9hende4eloping, implementing and impro4ing thede4eloping, implementing and impro4ing thee22eti4eness o2 a ;uality management system, toe22eti4eness o2 a ;uality management system, toenhane ustomer satis2ation :y meetingenhane ustomer satis2ation :y meetingustomer re;uirements>ustomer re;uirements>

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Continual mpro4ement o2 theuality Management +ystem

Customers

Re;uirements

(anagement

responsibility

(easurement,

analysis and

improvement

Product

reali0ation

3esource

(anagement

Customers

+atis2ation

ProductOutputInput

alueadding ati4ities

n2ormation 2lo9

C ( C)

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

A+#!00 7>! *eneral Re;uirementsA+#!00 7>! *eneral Re;uirements

Te organi0ation sallTe organi0ation sall

a'a' determine te processes needed for te $ualitydetermine te processes needed for te $ualitymanagement system and teir application trougoutmanagement system and teir application trougout

te organi0ation "see 5'8#,te organi0ation "see 5'8#,

b'b' determine te se$uence and interaction of tesedetermine te se$uence and interaction of tese

processes,processes,c'c' determine criteria and metods needed to ensure tatdetermine criteria and metods needed to ensure tat

bot te operation and control of tese processes arebot te operation and control of tese processes are

effective,effective,

R i t ti M t C itt (RMC)

8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

A+#!00 7>! *eneral Re;uirementsA+#!00 7>! *eneral Re;uirements

Te organi0ation sallTe organi0ation sall

d'd' ensure te availability of resources and informationensure te availability of resources and informationnecessary to support te operation and monitoring ofnecessary to support te operation and monitoring of

tese processes,tese processes,

e'e' monitor, measure /ere applicable, and analyse tesemonitor, measure /ere applicable, and analyse tese

processes, andprocesses, andf'f' implement actions necessary to acieve plannedimplement actions necessary to acieve planned

results and continual improvement of tese processes'results and continual improvement of tese processes'


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

?e2ining -roesses?e2ining -roesses

• A process e1ists as interrelated actions to meet a need A process e1ists as interrelated actions to meet a need

2 It is a 9set of interrelated or interacting activities /icIt is a 9set of interrelated or interacting activities /ic

transforms inputs into outputs:transforms inputs into outputs:

2 Inputs to a process are generally outputs of oterInputs to a process are generally outputs of oterprocessesprocesses

• Te individual or group of individuals tat ave a need areTe individual or group of individuals tat ave a need are

commonly referred to as te 9customer: of tat processcommonly referred to as te 9customer: of tat process

2 A customer is an 9organi0ation or person tat receives te A customer is an 9organi0ation or person tat receives te

; result of a process;:; result of a process;:


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

N-@T

Customer /o

as a need

&@T-@T

Customer /o

as a need met

nput

+tep

!

+tep

"

+tep

3

+tep

NB

&utput


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

PLANNINGDepartment preparemedium term

plan

Set up theproductionprogram

plancapacities

organizeplanningoperation

Set upbudget

SALESDepartment

Visitprospective

customers

manageorders

negotiatecontract

forecastsales

nderstandre!uirements

P"#D$%I#NDepartment

Suppl&

#perator maintenance

'anufacture

Inspection

S(IPPINGDepartment

Approvetransporters

$ontroldeliver&!ualit&

#rganizedeliver&

'anage stoc) input

Negotiatesuppliercontract

GENE"AL 'ANAGE'EN%

Methods

3emote!upporting

Function

Customer

receives

product

Customer

needs

product

-lan to audit interation 9ith support proesses

Design *Development

"e!uirementDefinition *

$ommunicate

"is)+Determine *$ommunicate

$onfiguration$ontrol

V * VApproach

Producibilit&


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Customer &rientated -roessesCustomer &rientated -roesses

customer oriented process n° 2


customer oriented process n° n


C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

S

Customer &rientated -roess/ Focus on meeting e1ternal customer needs

&rgani8ation


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

denti2iation o2 proessesdenti2iation o2 proesses

• Brainstorm in your groups to identify < processes in a typicalBrainstorm in your groups to identify < processes in a typicalaerospace tier one supplier /ere tere is interaction /it anaerospace tier one supplier /ere tere is interaction /it ane1ternal customer e1ternal customer

• *efine inputs.outputs*efine inputs.outputs

• Is tere a se$uence in /ic te processes can be ordered7Is tere a se$uence in /ic te processes can be ordered7

• *iscuss in your groups*iscuss in your groups

• Feedbac%Feedbac%


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Customer

(ar%et Analysis .

&rgani8ation

Customer

Customer

Customer

Customer

Customer

Customer

Bid . Tender

Contract revie/

Product andProcess *esign

Product and Process=erification > =alidation

Production

planning

*elivery

Payment

Warranty . !ervice

Post !ales .CustomerFeedbac%

Customer

Customer Customer

I #I

I

I

I

I

I

I

I

I

#

#

#

#

#

#

#

#

#

R+<'

R+<'R+<'

R+<'


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Management -roessesManagement -roesses





C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

S

management processes

Management proesses/ tey ensure continuous improvement of all processes

by determining ob-ectives, planning improvements to reac ob-ectives, and

analy0ing and revie/ing data' Tey interact /it all oter processes


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July DE, FDDG





C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

Ssupport processes

+upport proesses/ tey allo/ te oter processes to /or% by supplying te

re$uired resources, and contribute to ris% control


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Management and +upport -roessesManagement and +upport -roesses





C

U

S

T

O

M

E

R

S

C

U

S

T

O

M

E

R

Ssupport processes

management processes


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

C8 ? *esign and development product.process

C@ ? Production and delivery

C ? *ealing /it customer complaints

C5 ?isten to te mar%et and ma%e a $uote

C

U

S

T

O

M

E

RS

C

U

S

T

O

M

E

R

S

M1 :Define and deploy the strategy

S1Managesuppliers

S2Manage skills

S3Manage

equipment

S4Managecomputersystems


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Te organi0ation sall?Te organi0ation sall?

e'e' monitor, measure /ere applicable, and analy0e tesemonitor, measure /ere applicable, and analy0e tese

processes, andprocesses, and

f' implement actions necessary to acieve planned results andf' implement actions necessary to acieve planned results and

continual improvement of tese processes'continual improvement of tese processes'

A+#!00 H>7>! uality o:Ieti4esA+#!00 H>7>! uality o:Ieti4es

Top management sall ensure tat $uality ob-ectives,Top management sall ensure tat $uality ob-ectives,

including tose needed to meet re$uirements for productincluding tose needed to meet re$uirements for product

are establised at relevant functions and levels /itin teare establised at relevant functions and levels /itin te

organi0ation' Te $uality ob-ectives sall be measurableorgani0ation' Te $uality ob-ectives sall be measurable

and consistent /it te $uality policyand consistent /it te $uality policy

A+#!00 7>! *eneral re;uirementsA+#!00 7>! *eneral re;uirements


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

-roess -er2ormane-roess -er2ormane

$22eti4eness $tent to 9hih planned ati4ities are

reali8ed and planned results ahie4ed

$22iieny Relationship :et9een results ahie4ed and

the resoures used

&rgani8ation satis2ation

Customer satis2ation

+oure/ +&#000/ "00H


8/12/2019 45337558 Audit Skills




Minneapolis, MN

July 303!, "00#

Competene a9areness and training

0 M - A C T

-lanning

0 N 1 % @ $ N C $

Kusiness

-lan

&

K

J$

C

T

$

+

-

&

%

C

L


8/12/2019 45337558 Audit Skills


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


Minneapolis, MN

July 303!, "00#

-roess per2ormane

measures met

-ro:lem auses onern

in higher le4el proess

-roess 2ailed to meet

spei2ied o:Ieti4es

Top (anagement

!op floor


8/12/2019 45337558 Audit Skills


g g ( )


Minneapolis, MN

July 303!, "00#

-roess -er2ormane-roess -er2ormane

Wit your previously identified customer orientatedWit your previously identified customer orientated

processes, define possible measures of processprocesses, define possible measures of process

effectiveness and efficiency an organi0ation migteffectiveness and efficiency an organi0ation migt

use'use'


8/12/2019 45337558 Audit Skills


g g ( )


Minneapolis, MN

July 303!, "00#

+trategy

Risk analysis

-lanning the

ati4ities

?eisions

Re4ie9

in2ormation

mpro4ement

Reporting

Collet and

analyse data

&perations and

reording

Top management

-roess o9ners

-oliy

&:Ieti4es

Resoures

-artiipants

yle approah to auditing

Top management

-roess o9ners

-artiipants


8/12/2019 45337558 Audit Skills


g g ( )


Minneapolis, MN

July 303!, "00#

C

+tart 9ith a ;uestions a:out per2ormane, 9hat is

epeted 2rom the proess, 9hat are the o:Ieti4es5measures, 9hat is the atual per2ormane

A .o9 is per2ormane o2 the proess :eing impro4ed

?o

s the proess :eing arried out as planned Are the

systems understood :y all in4ol4ed in the proess

-

.o9 9as the proess planned, 9hat systems are in

plae to ensure the proess is ontrolled> ?oes the

proess address the A+#!00 and rele4ant ustomer

re;uirements


8/12/2019 45337558 Audit Skills


g g ( )


Minneapolis, MN

July 303!, "00#

With W.AT

")&DIP()ET.

IE!TAATIOE!#

With W.&

"T3AIEIEG,

EOW)*G),

!I!#

R$)@

0R$M

$NT+

+AT0+1ACT0&N

N-@T &@T-@T

-R&C$++

.&W

"IE!T3DCTIOE!,

P3OC)*D3)!

()TO*!#

Customer Wo

as a Eeed

Customer Wo

as a Eeed (et

IECD*IEG

!DPPO3T

P3OC)!!)!

+tart With

-er2ormane


8/12/2019 45337558 Audit Skills



Minneapolis, MN

July 303!, "00#

$erise/ Audit o2 Top Management$erise/ Audit o2 Top Management

3evie/ te case study3evie/ te case study

*iscuss in your groups /at $uestions /ould you*iscuss in your groups /at $uestions /ould you

/ant to as% top management in te surveillance/ant to as% top management in te surveillanceauditaudit

o/ do te $uestions lin% to A!4566o/ do te $uestions lin% to A!4566

o/ /ould you prioriti0e your $uestionso/ /ould you prioriti0e your $uestionsFeedbac% to groupFeedbac% to group


8/12/2019 45337558 Audit Skills



Minneapolis, MN

July 303!, "00#

Audit o2 top managementAudit o2 top management

• +eek e4idene o2 ustomer 2ous+eek e4idene o2 ustomer 2ous

• uestion ho9 ;uality o:Ieti4es ha4e :een esta:lisheduestion ho9 ;uality o:Ieti4es ha4e :een esta:lished

• uestion ho9 the ;uality o:Ieti4es ha4e :eenuestion ho9 the ;uality o:Ieti4es ha4e :een

deployeddeployed

• uestion on ho9 per2ormane against the ;ualityuestion on ho9 per2ormane against the ;uality

o:Ieti4es is re4ie9edo:Ieti4es is re4ie9ed

• uestion 9hat ation is taken 9hen o:Ieti4es are notuestion 9hat ation is taken 9hen o:Ieti4es are not

metmet


8/12/2019 45337558 Audit Skills



Minneapolis, MN

July 303!, "00#

ConlusionsConlusions

• &rgani8ations should de2ine their proesses&rgani8ations should de2ine their proesses

• &rgani8ations should de2ine ho9 they measure&rgani8ations should de2ine ho9 they measurethe e22eti4eness and e22iieny o2 their proessesthe e22eti4eness and e22iieny o2 their proesses

• Audits should 4eri2y the M+ an onsistentlyAudits should 4eri2y the M+ an onsistentlypro4ide produts that meet ustomer as 9ell aspro4ide produts that meet ustomer as 9ell asstatuary and regulatory re;uirementsstatuary and regulatory re;uirements

• 1ous on per2ormane'1ous on per2ormane'

• Thank youThank you

45337558 audit skills

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