SOP-0001 Internal Audit

4.1 General Requirements (Q.M.S.) (5)

Start 5.5.2 Management Represen tative (98)
8.2.2 Internal Audit (559, 560, 561)
▪ ISO/TS-16949 (2002) Technical Specification 4.2.1 DaimlerChrysler Specific Requirements -
▪ ISO-14001 Environm ental Standard 4.2.1.9 Internal Quality Au dits (L . 121-22)
▪ Relevant environm ental Legislation and Regulations 4.2.1.9.1 Layered Process Audits (L 121 & 122)
4.2.4 Control of Records ▪ Company X Management Operating System
4.3.2 Legal & Other Requirements (15)
6.2.2.2 Train ing (L.153) ▪ Metrics DASHBOARD – Process Performance Metrics
8.2.2.5 Internal Auditor 4.4.1 Structure & Responsibility (L. 31,32)
▪ Daim lerChrysler Customer-Specific Requirements 4.5.1 Monitoring & Measurement (76)
Qualification (L .581)
▪ Legal and other requirements to which the company 4.5.5 Internal Audit
4.4.2 Training subscribes
4.5.4 Records
Management Representative (ISO/TS 16949 or ISO 14001) oversees the
v List of Trained Auditors (F-0327) implementation of the internal audit of the
Respective Lead Auditor upd ate s Company X Management Operating System (M.O.S.) at planned intervals (no
List of Traine d Auditors less than annually) to monitor, measure and verify compliance to relevant
v Trained Internal
company, customer, reference standard and legal/regulatory requirements and
Auditor Records to ensure that the system is effectively implemented and maintained
v List of trained v Audit Schedule
Yes Auditors (F-0327) v Audit KOI & Metrics
v List of Trained Auditors (F-0327)
v List of Auditors Exper ience (F-0326)
v Competence & Effectiveness
Matrix(F-1184) Lead Auditor (ISO/TS 1 6949 or ISO 14001 ) 6.2.2.2 Train ing (L.153)
8.2.2 Internal Audit (L. 564)
Trainee maintains tea m of qu alified auditors 8.2.2.5 Internal Auditor
and en sur es that the Te am collective ly, h as the experience & Qualification (L . 580, 581)
qua lifie d?
expertise n ecessary to ensure effe ctive system audit, and is an 4.4.2 Training
No ade quate cross-section al r epresentation of the compa ny to
v Training
Requiremen ts ensure impartiality a nd o bjectivity of a udit • Revised List of Trained
v ISO/TS 16949 & ISO
14001 Training Auditors (F-0327)
Materials • List of Auditors
H.R. Dept., Dept. Mgrs . Experience (F-0326)
Depart ment
and /or respective Management Re p
Managers
• conduct or arr ange for suitable Internal Aud itor Enough
iden tify suitable
Trainin g to me et qua lification crite ria, No qualified auditors to ensure
candid ates to
• verify qual ifications & maintain record s of trainin g receive Auditor
impartiality?
(per SOP-0005 Employee Competence,
Empowerment and Motivation)
Trainin g
v Certificate of
completion
v Employee Training Yes
Records
v ISO/TS-16949 Technical Specification
v ISO-14001 Environmental Management
System 4.5.5 Internal Audit
v Company X Management Operating System
• ISO/TS 16949 Quality System Assessment
8.2.2 Internal Audit (562, 563, 564, 565, 566)
Check List
8.2.2.4 Internal Audit Plans (L.577, 578, 579, 581)
v Non-conformance Records (per SOP-0013)
v Customer complaints
v Internal Audit Records
v External Audit Records Respective Lead Auditor ann ually p lans an d d eve lops a n Inte rnal Audit Schedule
v Non-conformances identified via and Audit Check Sheets per WI-052 5 ( M.O .S . Internal Audit) and en sur es:
F-1192 Audits and Inspections • all M.O .S. processes, across all sh ifts if a pplicable, are audited
v Action Plans from Managem ent Review • all manufactu ring processe s & activiti es are aud ite d to determine effective ness
v List of Trained Auditors (F-0327) • the status and impor tan ce of the processes, cu stomer compl aints and previou s audi t results are considered in determinin g the aud it
v List of Auditors’ Experience (F-0326)
frequen cy of individu al a reas . When customer complaints , inte rnal metrics o r field failures result, the Qual ity Man ager w ill
v Internal Audit Schedule (F-0321)
• Audit Worksheet (F-1134) determine the appro priate system to invoke and determine if an interim increased fre quency is wa rranted in the are as of, QA
• Lead Audit Check List (F-0330) Ana lysts audi ts, Lab Au dits or Limited Scop e S yste m aud its ( per, as applicabl e WI-004 4 P roduc t Audit, WI-009 4 Asse mbly QA
Doc k Audit, WI-008 5 S ub-Assem bly Quality Doc k Audit & First Off, F-014 3 Asse mbly Daily First Off Forms; WI-040 0
Program Program Function Effort Test ing. Layered P roces s Audits - WI-079 1. If increa sed freque ncy is req uired to b e
perman ent, the asso cia ted Work Inst ructions and Control Plan will be updated .
• Limited scope au dits are sched uled as p art of the ann ual audit schedu le a nd whe n r equested by Depart ment Managers, pe r
WI-027 7 Lim ited Scope Audit
• aud itor s are qual ified an d d o n ot aud it th eir own work, au dit materials a re assembled & org anized for au dito rs (per WI-035 0
Desktop f or G athering Inf ormation for Inte rnal Auditors Binders),
• and the objecti vity an d impa rtial ity o f th e a udit pr oce ss is maintained .
v Daily Product Audit Forms (F-0080)
v Assembly Daily Fir st Off For ms (F-143)
v Dock Audit Data Entry to System (F-0171
v Daily Stamper Crusher Pan 1 st Off Audits (F-1103)
v Electronic Action Item Database CAR/PAR
v RS Effort Data Record Sheet Front Seat (F-0868)
8.2.2.1 Quality Management System v Control Plan
Audit (571)

4.5.5 Internal Aud it

No

v Internal Audit Schedule (F-0321)

v Lead Audit Check List (F-0330)
v Audit Worksheet (F-1134)
v Audit Check Sheets (0313)
v Automotive Inter nal Assessment
Checklists and Schedule
All app roved? Yes A
v Audit Worksheet (F-1134)
v Audit Check Sheets (F-0313)
v Internal Audit Schedule (F-0321)
v Lead Audit Check List (F-0330)
 SOP-0001 Internal Audit
v Intern al Audit Agend a (F-0320)
v Intern al Audit Schedule (F-0321)
v Responsibility Matrix (F-1131) A
v Applicable Procedural Flow Chart
• Applicable Work Instructions
v Previous audit record s
v ISO 14001 Cross-Reference Matrix (F-0848) Respective Lead Auditor convenes Opening Meeting,
v Audit Worksheet (F-1134) oversees audit, and with trained Auditors,
v Audit Check Sheet
• Limited Scope Audit Check Sheet (F-0684) implements Internal Audit Schedule (per WI-0525
v M.O.S. Audit Report (F-0314)
v Personnel Interviewed (F-0316)
M.O.S. Internal Audit or WI-0277 Limited Scope
v Telepho ne listing (J:/IT Dept/Telep hone List) Audit) ensuring that all safety rules are respected and
protective equipment used, as required.
v Audit Worksheet (F-1134)
v Audit Check Sheets
v Personnel Interview ed (F-0316)
v Attendance List (F-0661)
v Audit Worksheet v Objective evidence as needed
v Audit Check Sheets v Audit Binders
(FCD -0313)
v Perso nnel Interviewed (F-
0316)
Respective
Lead Auditor
& Management Reps review audit
findings with Audit Team and prepares
Audit Corrective Action
Requests v M.O.S. Aud it Report (F- 8.2.2 Internal audit (Manag ement responsible
0314) for the area…)
v Audit Corrective Action 8.5.2 Corrective Action
Request (F-0315) 8.5.3 Preventive Action
5.5.1.1 Respon sibility for Qu ality
(93) v Audit Corrective Action 4.5.3 Nonconformance & Corrective &
Request (F-0315) Preventive Action
v M.O.S. Internal Audit Summary
Report (F-0314) Respective Lead Auditor assigns CAR or PAR in
Respective Lead Auditor convenes Management Action Item Database to
Members and Auditors for review of Audit findings Department Managers, who are responsible for
and observations and to identify timing ensuring (per SOP-0005 Corrective &
requirements for follow-up audits relating to any Preventive Action and Continual
Corrective Action Requests issued v Attendance List Improvement) that
(F-0769) • all detecte d n on-conformitie s are add ressed in a
v M.O.S. Audit manne r ap propria te to the magnitude of the
Report (F-0314)
prob lem a nd commensurate with the imp act
encoun ter ed, and
• elimina ted in a timely manner
• corrective acti ons ar e re cor ded
Non- v CAR/PAR
conformances Yes v Limited Scope
identified? Audit Report

v CAR or PAR in
Action Item
Database
Respective Lead Auditor
4.1 General Requirements (7) 4.1.1 Records Retention
5.1 Management Commitment (60, 64, 67) (Internal Audit records retained
reviews all Corrective Action Requests No
5.6.1 General (108, 109, 110)
5.6.1.1 Qual. Mgm’t Syst. Performance (112, 113)
minimum o f 3 years) (64) and oversees re-audits to ensure
5.6.2 Review Input (119, 120, 122, 123, 124, 125, 127) verification of actions taken and
5.6.3 Review Output (128, 129, 130, 131, 132) No 4.2.4 Control of Reco rds
8.2.2 Internal Audit (566) resultant effectiveness
8.5.1 Continual Improvement (660)
v M.O.S. Internal Audit
4.4.1 Structure & Responsibility (L.33) 4.5.4 Records Summary Report (F-
4.4.2 Management Represen tative reporting to 0314)
Management (L.31) v M.O.S. Internal Audit v Audit CAR/PAR
4.5.1 Monitoring & Measurement
Summary Report (F-0314) completed
4.5.3 Nonconformance & Corrective & Preventive Action
(80)
4.5.5 Internal Audit Respective Lead Auditor
• M.O.S. Audit Summary Repor t / Metrics
closes outstanding Corrective
• Metrics DASHBOARD – Process Performance Metrics Action Requests, updates All CAR’s
• M.O.S. Bi-weekly Management Review Agendas and ensures that all audit Yes satisfactorily
(Quality F-0623 & Environmental F-0852)
• Changes to documentation
records are retained as required completed?
(per WI-0204 Maintaining the Audit
Evidence Binder)
Respective Management Representative collates, v M.O.S. Internal Audit Summary Report (F-
0314)
C reviews and analyzes data generated by internal v Audit Evidence Binder recor ds:
and external Audits and resultant CARs (per SOP- - Audit Schedule
0004 Monitoring, Measurement and Analysis) - Updated Auditing Experience Matrix
- Responsibility Matrix
and conducts bi-weekly meetings with - Audit Check Sheet
Management Team to report status of issues and - List of Trained Auditors
make recommendations for changes or v M.O.S. Audit Summary Repor t - M.O.S. Audit Report (Exec. Summar y)
v QSI CAR/PAR database - Closed-out C.A.R.’s/P.A.Rs
improvements to the M.O.S. (per SOP-0003
v Meeting Agenda & Summary
Business Planning & Management Review)

Go to B
SOP-0001 Internal Audit

4.2 Environmental Policy

4.4.1 Structure & Responsibility
4.6 Management Review

4.1 General Requirements (Q.M.S.)

4.2.1(d) Documents to ensure effectiveness
5.1 Management commitment
5.3 Quality Policy (76)
5.4.1 Quality Objectives - Su pplemental (88)
5.4.2 QMS Planned & Implemented
5.6.1 General (Management Review) (107, 108, 109, 110)
5.6.1.1 Quality Management System Performance (112, 113,
114, 115, 116)
5.6.2 Review Input (119, 120, 122, 123, 124, 125, 127)
5.6.3 Review Output (128, 129, 130, 131, 132)
6.1 Provision of Resources (134, 135, 136, 137)
B
• M.O.S. Audit Summary Repor t
• Projected Resources requirements
v Meeting Agenda
• External Audit Plans
• External Audit Results
• Annual Report on Quality (including Cost of
Poor Quality & relevant KOI’s)
• Metrics DASHBOARD – Process Respective Management Rep
Perfor mance Metrics meets with Management Team monthly
• Annual Report on Environment (KOI’s) (per SOP-0003 Business Planning & Management Review) to review
• M.O.S. Policy Statem ent
v Monthly KOI KOI’s relating to the Company X Management Operating System and to assess:
• if the system is effectively implemented & maintained
• if the system continues to be suitable & adequate to support business, quality, safety, &
environmental objectives and its integrity is maintained when changes are planned or
implemented
• current Policy Statement & objectives
• opportunities and recommendations for changes or improvements to product and
M.O.S. effectiveness and the need for resources
• the need for documentation changes (per SOP-0005 Corrective/Preventive
Action & Continual Improvement) and ensures that
records of reviews are maintained
v Management Review Meeting
Minutes
• Resour ce Requirem ents
8.5.2 Corrective Action
8.5.3 Preventive Action
4.5.3 Nonconformance &
Corrective & Preventive Action

Actions
Yes
No identified?

8.2.3 Monitoring &

Measurement of Processes
4.5.1 Monitoring &
Measurement

• M.O.S. Audit Summary Repor t

• Projected Resources requirements
v Meeting Agenda Resources
• External Audit Plans Required?
• External Audit Results
(skills, technology,
v Monthly KOI
Management Team financial)
continues to monitor performance of the
Company X Management Operating System for compliance
Yes
with relevant company, customer, reference standards,
No
environmental legislation and regulations
(per SOP-0004 Monitoring & Measurement
and Analysis) 6.1 Provision of
Resources (60, 65)

v Resour ce 4.4.1 Structure &

Requirements Responsibility

Go to C
Senior Management commits resources
Respective
necessary to implement and maintain the M.O.S.
Department
and continually improve its effectiveness and to
Manager ensures
enhance customer satisfaction by meeting
implementation of
customer requirements (per SOP-0003
action plan
Business Planning & Management Review)
v Departmental
Budgets
End v Approved
Implementation Plans