IATF 16949 Types of Audits

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The need
Auditors have a significant role to play in ensuring that business management
systems are implemented and maintained in an effective and efficient way.
The competence of the auditors is therefore essential in ensuring that this

objective is achieved.
The solution
Our training introduces best practice “process approach” auditing techniques.
Rather than focusing purely on system compliance, the process approach to

auditing focusses on the effectiveness of the processes to achieve the required
output to meet all stakeholders expectations.
Risk?
With With
What? who?
We use “Turtle Diagram”
as is a simple tool to plan Input Process Output
and undertake the effective audits.

What
How? Support Results?
Processes
What is Process Approach?
• Organisations need to determine and
manage many linked activities
• These activities can be considered as

processes
• Outputs from one process generally

become inputs to subsequent processes
The process approach involves the systematic definition and

management of processes, and their interactions, so as to achieve the intended
results in accordance with the quality policy and strategic direction of the
organisation.
Process approach - QMS
Input Output
A customer A customer
who has a whose
requirement requirements
are met
Look across organisation
Single Process
Single Process
Inputs Outputs
Input Output
Step Step Step Step Step
1 2 3 4 n
Customer Orientated Processes
Input
A customer
who has a
requirement
COP
Process
Output
A customer
whose
Organisation
requirements
are met
Sequence and Interaction
Input Process Output
Benefits of the Process Approach
• Understanding and consistency in meeting requirements
• Consideration of processes in terms of added value
• The achievement of effective process control
• Improvement of processes based on evaluation of data and information
Process Approach Requirements
determine the processes needed for the quality management
system and their application throughout the organization and shall:
a) determine the inputs required and the outputs expected from PLAN
these processes,
b) determine the sequence and interactions of these processes, PLAN
c) determine and apply the criteria and methods (including

monitoring, measurement and related performance indicators) PLAN
needed to ensure the effective operation and control of these
processes,
d) determine the resources needed for these processes and PLAN

ensure their availability
Requirements are taken from ISO9001 clause 4.4.1
Process Approach Requirements
e) assign the responsibilities and authorities for these processes DO
f) address the risks and opportunities as determined in

DO
accordance with the requirements
g) evaluate these processes and implement any changes needed CHECK

to ensure that these processes achieve the intended results
h) improve the processes and the quality management system ACT
Requirements are taken from ISO9001 clause 4.4.1
Turtle diagram
What Who
Risk
Equipment, tooling, machines People, skills, competence,
analysis! knowledge
How Results
Procedures, instructions, KPIs, effectiveness and
methods efficiency
Support
Processes
Process Approach in Audit planning
N/C
Programme Prepare Audit Findings Reporting
management
Create Turtle Diagram including information on:
Relevant performance indicators/objectives
Management review minutes
Previous audit records
Continuous improvement plans
Procedures, instructions, control plans
IATF 16949, Statutory and regulatory requirements
Customer specific requirements (consider Annex B)
Process Approach in Audit planning
KPI’s should also be used during the audit

planning stage to understand the
measurable objectives, evaluate progress,
monitor trends, review improvements
actions and support decision making.
Effectiveness: Efficiency:
• Planned results achieved which • Planned results achieved verses
result in customer satisfaction resources used, which results in
• (i.e. how the customer would organisation satisfaction
measure a suppliers • (i.e. how an supplier would measure
performance) it’s own internal performance)
Example
Process Audit Preparation "Turtle Diagram"
With What? - (Materials / Equipment) (Risks & Opportunities) With Who? - (Competence / Skills
IATF 6.1.2.2; 6.1.2.3; 8.5.6.1 / Training)
Office/Work place,
Phone, PC, Email, Word, Excel,
Sampling Method; ISO 7.1.2; 7.2; 9.2.2; IATF 7.2.3; 5.3.1; 5.3.2b;
Audit Management Software Changes (IATF16949:2016; Owner
Printer, Paper, Pen, ISO9001:2015;CSRs,QMS, Lead Auditors
Measurmement Equipment Products and Processes; Internal System Auditors
ISO 7.1.3; 7.1.4; 7.1.5.1; Personnel Changes; Manufacturing Process Auditors VDA6.3;
Risks of conducting audit. Product Auditors VDA6.5
Inputs: Process Outputs:

ISO 4.3; IATF4.3.1; 4.3.2; 7.5.1.1 Audit Programme incl. resource,
Quailty Management System Internal Audit System Process Audits,
Scope, System Processes, Manufacturing Process Audits,
Maufacturing Processes and Product Audits incl. Audit Plans,
Products. Audit Reports and 8D Reports).
How? - (Procedures & Methods) (Support What Results? - (Performance

Internal Audit Procedure IATF 9.2.2.1 Processes) Indicators)
List of qualified auditors IATF 7.2.3 ISO 9.1; 9.1.3c&g; 9.2.1c, 4&6; 9.3.3; 10.1; 10.3
Audit Programme ISO 9.2.1; 9.2.2
Problem Solving Effectiveness:
IATF 9.2.2.1; 9.2.2.2; 9.2.2.3; 6.1.2.1;
Audit Plan ISO 9.2.1; HR Effectiveness of Audit Programme:
IATF16949:2016; ISO9001:2015; Number of Non-conformities raised:
IT Number of opportunities for improvemence:
CSRs: VDA6.3; VDA6.5 Calibration
Audit Report ISO 9.2.1; 7.5.3.2.1; No of overdue Audits:
8D Report IATF 10.2.1; 10.2.2; 6.1.2.2 No of overdue Actions:
Control Plans, PFMEAs, IATF 8.5.1.1; Effectiveness Corrective/Preventive Actions:
8.5.6.1.1;
Drawings & Engineering Specifications Efficiency:
IATF 7.5.3.2.2; Cost/plan:
Process Approach in Audit execution
Programme Prepare Audit Findings Reporting
Start with questions about performance, what is

expected, what are the indicators and objectives,
CHECK what is the actual performance ?
ACT How is performance being improved ?
How was the process planned, what methods are

in place to ensure the process is controlled. Does
the process address IATF 16949 and relevant
PLAN customer requirements ?
Is the process being carried out as planned ? Are

DO the methods understood by all involved in the
process ?
Process Approach in Audit execution
Key Performance Indicators (KPI) should be used during the audit, questions
about target setting and performance can help develop audit trials.
Exercise
Select a processes and create a turtle diagram using the A3

template
Link the items you identify back to the requirements of IATF 16949
Feedback your findings to the group
Quiz
Quiz 1/10
Question No 1:
What defines extent and boundaries of an audit?
a) Audit Scope
b) Audit Criteria
c) Audit Findings
d) Audit Conclusions
Hint: only one correct answer
Quiz 2/10
Question No 2:
Which of the following define Audit Criteria?
a) Set of policies and procedures

b) ISO9001:2015 and IATF16949:2016 requirements
c) Applicable Customer Specific Requirements
d) Applicable Statutory and Regulatory Requirements
Hint: more than one correct answer
Quiz 3/10
Question No 3:
Match the correct definition with each type of audit.
Certification
Your
body
1st party
organisation or internal audits
2nd party
Your or external providers or other external
organisation
interested parties (customer audits)
3rd party or
Your Customer certification audits or accreditation,
organisation statutory and regulatory audits.
Quiz 4/10
Question No 4:
Which of the following is a type of internal audit?
a) Quality Management System Audit

b) Supplier Audit
c) Manufacturing Process Audit
d) Product Audit
Quiz 5/10
Question No 5:
Which of the following requires to be audited within three year calendar

period by IATF16949:2016 Standard?
a) all System Processes

b) all Customer Specific Requirements
c) all Manufacturing Processes
d) all Products
Quiz 6/10
Question No 6:
Who is conducting an audit?
a) Auditee
b) Auditor
c) Technical expert
d) Observer
Quiz 7/10
Question No 7:
Which of the following competencies are required IATF16949:2016 for

quality management system auditors?
a) understanding of the automotive process approach for auditing,

including risk-based thinking;
b) technical understanding of the relevant manufacturing processes;
c) understanding product requirements and use of relevant measuring
and test equipment to verify product requirements;
d) understanding of applicable core tool requirements related to the
scope of the audit;
Quiz 8/10
Question No 8:
According to IATF16949:2016 Maintenance of internal auditors

competence should be demonstrated through executing a minimum
number of audits per year, as defined by organisation.
a) True
b) False
Quiz 9/10
Question No 9:
Which of the following findings indicates a requirement has been

effectively implemented but, based on auditor experience and
knowledge, additional effectiveness or robustness might be possible with
a modified approach?
a) Major Non-conformity
b) Minor Non-conformity
c) Opportunity for Improvement
Quiz 10/10
Question No 10:
Which of the following is required for problem solving process by

IATF16949:2016 Standard?
a) Define the Team

b) Define interim containment actions
c) Identify root causes
d) Identify systemic corrective actions
Questions?
Training
• IATF 16949:2016 Lead Auditor Training

• IATF 16949:2016 Internal Auditor Training
• IATF 16949: 2016 Management Awareness Training
• IATF 16949: 2016 Essential Training
• TPM for IATF 16949:2016
• Standard Work for IATF 16949:2016
• Practical Problem Solving for IATF 16949:2016
• Core Tools Certification (APQP, FMEA, MSA, SPC and PPAP) as a 5 day certified
course or as individual 1 day training courses
For more details please speak to your trainer or look online

at www.industryforum.co.uk/training
For further information visit us …
@smmtif
company/industry-forum
www.industryforum.co.uk

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SMMT Industry Forum

The competence of the auditors is therefore essential in ensuring that this

Rather than focusing purely on system compliance, the process approach to

and undertake the effective audits.

• These activities can be considered as

• Outputs from one process generally

The process approach involves the systematic definition and

Look across organisation

Input Process Output

Input Process Output

Input Process Output

• Consideration of processes in terms of added value

• The achievement of effective process control

• Improvement of processes based on evaluation of data and information

b) determine the sequence and interactions of these processes, PLAN

c) determine and apply the criteria and methods (including

d) determine the resources needed for these processes and PLAN

e) assign the responsibilities and authorities for these processes DO

f) address the risks and opportunities as determined in

g) evaluate these processes and implement any changes needed CHECK

h) improve the processes and the quality management system ACT

Requirements are taken from ISO9001 clause 4.4.1

Input Process Output

Create Turtle Diagram including information on:

Relevant performance indicators/objectives

Management review minutes

Previous audit records

Continuous improvement plans

Procedures, instructions, control plans

IATF 16949, Statutory and regulatory requirements

Customer specific requirements (consider Annex B)

KPI’s should also be used during the audit

Inputs: Process Outputs:

How? - (Procedures & Methods) (Support What Results? - (Performance

Start with questions about performance, what is

ACT How is performance being improved ?

How was the process planned, what methods are

Is the process being carried out as planned ? Are

Select a processes and create a turtle diagram using the A3

Feedback your findings to the group

What defines extent and boundaries of an audit?

Hint: only one correct answer

Which of the following define Audit Criteria?

a) Set of policies and procedures

Hint: more than one correct answer

Match the correct definition with each type of audit.

Which of the following is a type of internal audit?

a) Quality Management System Audit

Hint: more than one correct answer

Which of the following requires to be audited within three year calendar

a) all System Processes

Hint: more than one correct answer

Who is conducting an audit?

Hint: only one correct answer

Which of the following competencies are required IATF16949:2016 for

a) understanding of the automotive process approach for auditing,

Hint: more than one correct answer

According to IATF16949:2016 Maintenance of internal auditors

Hint: only one correct answer

Which of the following findings indicates a requirement has been

Hint: only one correct answer

Which of the following is required for problem solving process by

a) Define the Team