跟踪验证报告
Organization
| 组织名称 | ||||
| Address 地址 | ||||
| Representative 组织代表 | Last site audit date(s) 上次现场审核日期 | Feb 26-27, 2018 2018年2月26-27日 | ||
| Follow up audit date 跟踪审核日期 | Man-days performed 执行的审核人天 | On site: 现场 | Off site: 非现场 | |
| Auditor审核员 | Carlos JIN | Yes | ||
| Special on site audit date to close NCs 100% resolved 关闭100% 解决不符合项的现场特殊审核日期 | N/A | Man-days performed 执行的审核人天 | On site: 现场 | |
| Auditor审核员 | ||||
1.Objectives目的
The objective of this follow-up activity is to follow the IATF16949 de-certification process as per rules 5th edition, see section 8.
本次跟踪活动的目的是为了符合IATF16949 审核规则第5版第中规定的认证退出流程。
Client responsibility客户职责
SGS shall require the client to submit, within a maximum of sixty (60) calendar days from the closing meeting of the site audit, evidence of the following;
SGS 应要求客户现场审核末次会议后最迟60个日历天内提交以下证据
a)Implemented correction, 已实施的纠正
b)Root cause, including methodology used, analysis, and results
根本原因分析, 包括使用的方法,分析和结果
c)Implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to other similar processes and products
已实施的为消除每个不符合项所采取的系统性的纠正措施,包括考虑了对其他类似过程和产品的影响
d)Verification of effectiveness of implemented corrective actions
对纠正措施有效性的验证
For Major nonconformities 对于严重不符合项
The certified client shall determine root cause & implement corrections (containment) & submit to the auditor within 15 calendar days from the end of the site audit.
认证客户应该在现场审核结束日起15个日历天内确定根本原因，实施纠正行动，并提交给审核员。
Any Major non-conformity will result in the client certificate being placed in suspension. As per rules 5th edition see 8.3. Certificate suspension is a temporary status not exceeding 110 calendar days which results in either the reinstatement or withdrawal of the certificate. During suspension, the IATF16949 certificate remains valid and is still recognized by the IATF.
根据规则第5版8.3 ,任何严重不符合项将会导致客户证书暂停。证书暂停是一个临时状态不超过 110
日历日，会导致证书的恢复或撤回。在暂停期间， IATF16949 证书有效仍然被IATF认可。
Certification body responsibility 认证机构职责
Audit team member shall review the evidence & make a decision regarding acceptability within a maximum of ninety (90) calendar days from the closing meeting.
审核组成员须确认证据并在末次会议后的90个日历日内决定其可接受性。
If acceptable, the non-conformitie(s) shall be closed.
如果可以接受，不符合项将被关闭。
If found not acceptable, the audit team member shall resolve the outstanding issues with the client within ninety (90) calendar days from the closing meeting.
如果不可以接受，审核组成员将和客户一起在末次会议后的90个日历内解决遗留事项。
In exceptional case(s) when nonconformity is open but 100% resolved with justification, action plan completion dates & agree follow-up audit date on site prior to the planned next visit by SGS Auditor.
特殊情况为当不符合项在有理由的开放但100% 解决时，行动计划完成日期以及达成一致的下一次审核前由SGSs审核员实施的现场验证审核日期。
If resolution cannot be completed, the final audit result shall be considered failed & the certificate shall be immediately withdrawn. The client shall start over with an initial certification audit (stage 1 + stage 2).
如果再解决不能完成，最终审核结论须考虑为失败以及证书须立即撤回。 客户须开始一个初次认证审核（第一阶段+第二阶段）
For minor non-conformities reviewed off-site, the corrective actions shall be verified at the next planned audit with additional time added to the Audit Plan to confirm effectiveness of the action implemented. If corrective action found NOT to be effectively implemented a new major Non-Conformity shall be issued against the clients corrective action process and the previous Non-Conformity reissued as a major
对于非现场确认的轻微不符合项， 纠正措施须在下次审核的审核计划中增加额外的时间验证措施实施的有效性。 如果纠正措施无效，一个新的纠正活动过程的严重不符合项须被提出，另外上一次不符合上升为严重不符项，
Onsite verification现场验证
A major nonconformity shall require onsite verification of the corrective action plan & shall be completed within a maximum of ninety (90) calendar days from the closing meeting.
| 一个严重不符合项须要一个现场验证，纠正措施必须在末次会议后最大90个日历日内完成。 |
The organization has addressed the identified nonconformities
组织已处理了识别的不符合项
Yes / No / 100% resolved with on site special audit required
| 100% resolved with on site special audit required 100% 解决需要一次现场特殊审核 | |
| The audit team recommends that, based on the results of this follow-up activity certification can be: 审核组根据本次跟踪活动的结果，作出推荐，认证证书： | |
| Recommended获得推荐/ Continued 持续有效/ Continued with 100% resolved action plan received for verification during an onsite special audit prior to the next planned visit. 持续有效，已收到100%解决的措施计划，在下次审核前安排一次现场特殊审核作验证 Withheld 不准予 | |
For Major NC only, action plan with containment actions within 15 days, maximum due dd-mm-yyyy
只针对 严重不符合项，遏制措施及行动计划在15天内完成，最迟限期日-月-年
Evidence of implemented correction, root cause analysis + methodology, systematic corrective actions and effectiveness, and verification of effectiveness within 60 days, maximum due 2018-4-27
纠正措施的证据，根本原因分析+ 有方法的系统的纠正措施以及有效性验证在最大60天内完成，最迟期限 27日4月2018年
On-site Special Audit within 90 days, maximum due dd-mm-yyyy
90天内的现场特殊审核，最迟期限 日-月-年
Note: The above timings shall also take into consideration certificate expiry dates, including VETO review, when planning
备注：以上时间在策划时须考虑证书的有效日期，包括否决权评审。
Non-conformity Number
| 不符合项编号 | Number 编号 | 1 | of | 5 | Classification 类别 | Major 严重 Minor 轻微 |
| Process过程 | Customer feedback handling | IATF Clause IATF 条款 | 10.2.3 | |||
| QMS Document reference QMS 参考文件 | XX-QP-10 | Document issue 文件版本 | A0 | |||
| Statement of nonconformity 不符合项陈述 | Customer feedback handling was not always effective. | |||||
| CSR or IATF Requirement CSR 或IATF要求 | 10.2.3 Problem solving 10.2.3 问题解决 The organization shall have a documented process(es) for problem solving including: 组织应有形成文件的问题解决过程，包括： a) defined approaches for various types and scale of problems (e.g., new product development, current manufacturing issues, field failures, audit findings); a) 用于各种类型和规模的问题（如：新产品开发、当前制造问题、使用现场失效、审核发现）的明确方法； b) containment, interim actions, and related activities necessary for control of nonconforming outputs (see ISO 9001, Section 8.7); b) 控制不符合输出所必要的遏制、临时措施及相关活动（见ISO 9001第8.7条）； c) root cause analysis, methodology used, analysis, and results; c) 根本原因分析、采用的方法、分析及结果； d) implementation of systemic corrective actions, including consideration of the impact on similar processes and products; d) 系统性纠正措施的实施，包括考虑相似的过程和产品的影响； e) verification of the effectiveness of implemented corrective actions; e) 对已实施纠正措施有效性的验证； f) reviewing and, where necessary, updating the appropriate documented information (e.g., PFMEA, control plan). f) 对适当形成文件的信息（如：PFMEA，控制计划）的评审，必要时进行更新； | |||||
| Objective Evidence 客观证据 | For the customer complaint of product appearance issue on Apr 5,2017, the PFMEA and control plan were not reviewed. 对于2017年4月5日顾客关于产品外观的投诉，没有评审PFMEA和控制计划。 | |||||
| Justify classification minor or major 严重或轻微分类的理由 | It was a minor nc due to no similar issues were found. | |||||
| Auditor raising NC 提出不符合项的审核员： | Carlos JIN | |||||
客户完成
Containment/Corrections within 15 days:
| 15天内的遏制/纠正 | 立即按要求对2017年4月5日顾客关于产品外观的投诉，评审PFMEA和控制计划。 |
| Root cause including methodology used, analysis, and results: 根本原因分析包括使用的方法,分析和结果 | WAY1？责任人员在顾客针对外观投诉后，认为影响不大，所以没有评审PFMEA和控制计划； WAY2？公司针对顾客投诉的处理标准不是很系统，未界定清楚； WAY3？公司《客户投诉处理办法》未详细规定顾客投诉后，无论投诉的内容如何，都需要针对PFMEA和控制计划评审，更新更显； 注意：所有的原因分析，都要回归到程序文件。只能说程序文件没有要求到位，不能说有要求，但是没做好，不能说：员工意识不到位，员工没有做好，没有按要求做等。最终只能说是程序文件的问题。 |
| implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to other similar processes and products: 已实施的为消除每个不符合项所采取的系统性的纠正措施,包 括考虑了对其他类似过程和产品的影响 | 1.已修正程序文件， 2.客诉8D已重新分析 3.FMEA/CP已更新 4.上述文件已培训 将上述证据作为插件插入：1程序文件，2修改后的8D，3更新后的FMEA/CP，4培训记录和培训效果调查。 |
| verification of effectiveness of implemented corrective actions 对纠正措施有效性的验证 | 验证结果说明 |
| To be completed by SGS Auditor 由SGS审核员完成 | |
| Conclusion Acceptable 结论可以接收 | Yes是 / No否 / 100% resolved with on site special audit required 100% 解决安排一个特殊审核 |
| Objective evidence reviewed by SGS Auditor: SGS审核员评审的客观证据 | |
| For Major non-conformities client corrections (containment) 对于严重不符合项，客户纠正（遏制措施） | |
| In exceptional case(s) when nonconformity is open but 100% resolved explain justification, action plan completion dates特殊情况下，不符合项处于开放但100%解决时，解释理由，措施计划的完成日期。 | |
| Agree follow-up audit date on site prior to the next visit by SGS Auditor SGS审核员同意的在下次审核前的现场验证审核日期 | |
| Evidences checked at the additional on site audit to close NCs previously considered 100% resolved 额外的现场审核确认的证据以关闭上次认为的100% 解决的不符合项 | |
Non-conformity Number
| 不符合项编号 | Number 编号 | 2 | of | 5 | Classification 类别 | Major 严重 Minor 轻微 |
| Process过程 | Purchasing control | IATF Clause IATF 条款 | 8.4.2.2 | |||
| QMS Document reference QMS 参考文件 | XX-QP-12 | Document issue 文件版本 | A0 | |||
| Statement of nonconformity 不符合项陈述 | The control of statutory and regulatory requirements to supplier was not conducted effectively always. | |||||
| CSR or IATF Requirement CSR 或IATF要求 | 8.4.2.2 Statutory and regulatory requirements The organization shall document their process to ensure that purchased products, processes, and services conform to the current applicable statutory and regulatory requirements in the country of receipt, the country of shipment, and the customer-identified country of destination, if provided. | |||||
| Objective Evidence 客观证据 | For painting supplier Xusheng, lack of evidence proved applicable statutory and regulatory requirements were identified and controlled. 对于喷涂供应商“XX”，缺少证据表明确定并管控了相关法律法规要求。 | |||||
| Justify classification minor or major 严重或轻微分类的理由 | It was a minor nc due to no relevant effect raised for it. | |||||
| Auditor raising NC 提出不符合项的审核员： | Dennis ZHENG | |||||
客户完成
Containment/Corrections within 15 days:
| 15天内的遏制/纠正 | |
| Root cause including methodology used, analysis, and results: 根本原因分析包括使用的方法,分析和结果 | |
| implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to other similar processes and products: 已实施的为消除每个不符合项所采取的系统性的纠正措施,包 括考虑了对其他类似过程和产品的影响 | |
| verification of effectiveness of implemented corrective actions 对纠正措施有效性的验证 | |
| To be completed by SGS Auditor 由SGS审核员完成 | |
| Conclusion Acceptable 结论可以接收 | Yes是 / No否 / 100% resolved with on site special audit required 100% 解决安排一个特殊审核 |
| Objective evidence reviewed by SGS Auditor: SGS审核员评审的客观证据 | |
| For Major non-conformities client corrections (containment) 对于严重不符合项，客户纠正（遏制措施） | |
| In exceptional case(s) when nonconformity is open but 100% resolved explain justification, action plan completion dates特殊情况下，不符合项处于开放但100%解决时，解释理由，措施计划的完成日期。 | |
| Agree follow-up audit date on site prior to the next visit by SGS Auditor SGS审核员同意的在下次审核前的现场验证审核日期 | |
| Evidences checked at the additional on site audit to close NCs previously considered 100% resolved 额外的现场审核确认的证据以关闭上次认为的100% 解决的不符合项 | |
| 不符合项编号 | Number 编号 | 3 | of | 5 | Classification 类别 | Major 严重 Minor 轻微 |
| Process过程 | Purchasing control | IATF Clause IATF 条款 | 8.4.2.3 | |||
| QMS Document reference QMS 参考文件 | XX-QP-12 | Document issue 文件版本 | A0 | |||
| Statement of nonconformity 不符合项陈述 | Supplier quality development was not conducted effectively always. | |||||
| CSR or IATF Requirement CSR 或IATF要求 | 8.4.2.3 Supplier quality management system development The organization shall require their suppliers of automotive products and services to develop, implement, and improve a quality management system certified to ISO 9001, unless otherwise authorized by the customer [e.g., item a) below, with the ultimate objective of becoming certified to this automotive QMS standard. Unless otherwise specified by the customer, the following sequence should be applied to achieve this requirement: | |||||
| Objective Evidence 客观证据 | For supplier Xusheng, lack of evidence proved the QMS development objective and plan were determined. 对于供应商“XX”，缺少证据表明建立体系开发的目标及计划。 | |||||
| Justify classification minor or major 严重或轻微分类的理由 | It was a minor nc due to the performance of this supplier for automobile parts were 100%, the risk was low. | |||||
| Auditor raising NC 提出不符合项的审核员： | Dennis ZHENG | |||||
客户完成
Containment/Corrections within 15 days:
| 15天内的遏制/纠正 | |
| Root cause including methodology used, analysis, and results: 根本原因分析包括使用的方法,分析和结果 | |
| implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to other similar processes and products: 已实施的为消除每个不符合项所采取的系统性的纠正措施,包 括考虑了对其他类似过程和产品的影响 | |
| verification of effectiveness of implemented corrective actions 对纠正措施有效性的验证 | |
| To be completed by SGS Auditor 由SGS审核员完成 | |
| Conclusion Acceptable 结论可以接收 | Yes是 / No否 / 100% resolved with on site special audit required 100% 解决安排一个特殊审核 |
| Objective evidence reviewed by SGS Auditor: SGS审核员评审的客观证据 | |
| For Major non-conformities client corrections (containment) 对于严重不符合项，客户纠正（遏制措施） | |
| In exceptional case(s) when nonconformity is open but 100% resolved explain justification, action plan completion dates特殊情况下，不符合项处于开放但100%解决时，解释理由，措施计划的完成日期。 | |
| Agree follow-up audit date on site prior to the next visit by SGS Auditor SGS审核员同意的在下次审核前的现场验证审核日期 | |
| Evidences checked at the additional on site audit to close NCs previously considered 100% resolved 额外的现场审核确认的证据以关闭上次认为的100% 解决的不符合项 | |
| 不符合项编号 | Number 编号 | 4 | of | 5 | Classification 类别 | Major 严重 Minor 轻微 |
| Process过程 | Monitoring and Measuring Resource Management监视和测量资源管理 | IATF Clause IATF 条款 | 7.1.5.1.1 | |||
| QMS Document reference QMS 参考文件 | XX-QP-08 | Document issue 文件版本 | A0 | |||
| Statement of nonconformity 不符合项陈述 | The MSA of monitoring and measuring resource management process had not always been conducted effectively. | |||||
| CSR or IATF Requirement CSR 或IATF要求 | 7.1.5.1.1 Measurement systems analysis Statistical studies shall be conducted to analyse the variation present in the results of each type of inspection, measurement, and test equipment system identified in the control plan. The analytical methods and acceptance criteria used shall conform to those in reference manuals on measurement systems analysis. Other analytical methods and acceptance criteria may be used if approved by the customer. ...... | |||||
| Objective Evidence 客观证据 | No evidences proved that the MSA for product BQ-DC low case had been conducted per requirement, such as MSA for several dimensions. 无证据证明BQ-DC下壳体产品的测量系统分析已根据要求进行, 例如针对部分尺寸的测量系统分析。 | |||||
| Justify classification minor or major 严重或轻微分类的理由 | 1.It was justified as minor nonconformity for it was a single lapse observed in following the process. 2.Related measurement devices used for production of product BQ-DC low case had been calibrated per requirement. No immediately risk to customer. | |||||
| Auditor raising NC 提出不符合项的审核员： | Jeo TSAO | |||||
客户完成
Containment/Corrections within 15 days:
| 15天内的遏制/纠正 | |
| Root cause including methodology used, analysis, and results: 根本原因分析包括使用的方法,分析和结果 | |
| implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to other similar processes and products: 已实施的为消除每个不符合项所采取的系统性的纠正措施,包 括考虑了对其他类似过程和产品的影响 | |
| verification of effectiveness of implemented corrective actions 对纠正措施有效性的验证 | |
| To be completed by SGS Auditor 由SGS审核员完成 | |
| Conclusion Acceptable 结论可以接收 | Yes是 / No否 / 100% resolved with on site special audit required 100% 解决安排一个特殊审核 |
| Objective evidence reviewed by SGS Auditor: SGS审核员评审的客观证据 | |
| For Major non-conformities client corrections (containment) 对于严重不符合项，客户纠正（遏制措施） | |
| In exceptional case(s) when nonconformity is open but 100% resolved explain justification, action plan completion dates特殊情况下，不符合项处于开放但100%解决时，解释理由，措施计划的完成日期。 | |
| Agree follow-up audit date on site prior to the next visit by SGS Auditor SGS审核员同意的在下次审核前的现场验证审核日期 | |
| Evidences checked at the additional on site audit to close NCs previously considered 100% resolved 额外的现场审核确认的证据以关闭上次认为的100% 解决的不符合项 | |
Non-conformity Number
| 不符合项编号 | Number 编号 | 5 | of | 5 | Classification 类别 | Major 严重 Minor 轻微 |
| Process过程 | Manufacturing | IATF Clause IATF 条款 | 8.5.1.3 | |||
| QMS Document reference QMS 参考文件 | XX-QP-16 | Document issue 文件版本 | A0 | |||
| Statement of nonconformity 不符合项陈述 | The machining of manufacturing process had not always been conducted effectively. | |||||
| CSR or IATF Requirement CSR 或IATF要求 | 8.5.1.3 Verification of job set-ups The organization shall: a)verify job set-ups when performed, such as an initial run of a job, material changeover, or job change that requires a new set-up; ...... | |||||
| Objective Evidence 客观证据 | No evidences proved that first article inspection for machining of product BQ-DC low case on Feb. 27, 2018 had been conducted per requirement, such as lack of inspection of roughness. 无证据证明2018年2月27日产品BQ-DC下壳体的机加工的首件检验已根据要求进行，例如缺少粗糙度的检验。 | |||||
| Justify classification minor or major 严重或轻微分类的理由 | 1.It was justified as minor nonconformity for it was a single lapse observed in following the process. 2.On-site check indicated that roughness of the production lot was acceptable. | |||||
| Auditor raising NC 提出不符合项的审核员： | ||||||
客户完成
Containment/Corrections within 15 days:
| 15天内的遏制/纠正 | |
| Root cause including methodology used, analysis, and results: 根本原因分析包括使用的方法,分析和结果 | |
| implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to other similar processes and products: 已实施的为消除每个不符合项所采取的系统性的纠正措施,包 括考虑了对其他类似过程和产品的影响 | |
| verification of effectiveness of implemented corrective actions 对纠正措施有效性的验证 | |
| To be completed by SGS Auditor 由SGS审核员完成 | |
| Conclusion Acceptable 结论可以接收 | Yes是 / No否 / 100% resolved with on site special audit required 100% 解决安排一个特殊审核 |
| Objective evidence reviewed by SGS Auditor: SGS审核员评审的客观证据 | |
| For Major non-conformities client corrections (containment) 对于严重不符合项，客户纠正（遏制措施） | |
| In exceptional case(s) when nonconformity is open but 100% resolved explain justification, action plan completion dates特殊情况下，不符合项处于开放但100%解决时，解释理由，措施计划的完成日期。 | |
| Agree follow-up audit date on site prior to the next visit by SGS Auditor SGS审核员同意的在下次审核前的现场验证审核日期 | |
| Evidences checked at the additional on site audit to close NCs previously considered 100% resolved 额外的现场审核确认的证据以关闭上次认为的100% 解决的不符合项 | |
现场审核首/末次会议出席名单
| Name姓名 | Position / Function 职务/功能 | Opening 首次 | Closing 末次 |
| dd-mm-yyyy | dd-mm-yyyy | ||
| Yes / No? 是/否 | Yes / No? 是/否 | ||
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