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Audits for Remote Locations

Audits for Remote Locations in IATF 16949 and ISO 9001


Audits for Remote Locations within IATF 16949 certificate:

  • Remote supporting functions, such as design, sales, purchasing, and warehouse, shall be included within IATF 16949 certification scope, as required by Clause 1.0 of IATF Rules Ed5.
  • The remote locations (RLs) can be audited by DQS or other Certification Bodies recognized by IATF.
  • The remote location report package include audit plan, audit report, corrective actions and verification actions to issued NCs, without overdue opening nonconformity.
  • The remote location audit report shall describe the relevant supported manufacturing sites, supporting functions, audited interfaces, and Customer Specific Requirements (CSRs).
  • The remote location report package to DQS HK shall be in English or Chinese.
  • The remote location audit reports shall be used by the site as an input for QMS planning and management reviews.
  • Due to confidential requirement, DQS HK may NOT have direct access in system to audit reports for a RL handled by another DQS office.

Audits for Further Locations in ISO 9001 Certificate：

  • When a further location (such as a RL in IATF 16949 certification) is included in an ISO 9001 certification, that location is one of the sites within a multi-site certification according to International Accreditation Forum (IAF) Mandatory Document MD-1.
    (To reduce the complexity of communication, we use the term of Remote Location somewhere in this document for ISO 9001 issues.)
  • The eligibility for a multi-site certification is defined in IAF MD-1, such as a single management system, central function, internal audit programme and centralized management review.
  • IAF MD-1 doesn’t provide a solution to allow the Certification Body (CB) for a site to directly adopt an ISO 9001 audit report by another CB for a further location.
  • For a site certified against ISO 9001 by DQS, if a further location is not audited by DQS, this location shall not be listed in the ISO 9001 certificate issued by DQS for the site.
  • If a certificate is found not aligned with it during audit planning or audit, communication between the CB and the client shall be made to correct it.
  • A possible approach is to include the site only for the ISO 9001 certificate.
     

Audit Timing for Remote Locations

  • A Remote Location may support more than one Manufacturing Site. During Initial Audit of a Manufacturing Site, its Remote Locations are audited no later than that Manufacturing Site.
  • A Remote Location in an existing certificate is then audited according to its established audit cycle.
     
  • For example:
    A Remote Location requires annual audits, the latest Recertification Audit was conducted in Nov 2020, and its annual audit in 2021 and 2022 shall be completed around September.
    The latest Recertification Audit for a Manufacturing Site was conducted in Feb 2021, and its annual audit in 2022 shall be completed around Feb.
    Before the audit to the Manufacturing Site in 2022, the audit report for Remote Location in the former year shall be provided.
     
  • In particular, IATF Rules require that the design function in a Remote Location shall be audited every 12 months.
  • A new Remote Location or a Remote Location with changes shall be audited no later than the associated Manufacturing Site, and the relevant interface will be reviewed during the audit to Manufacturing Site, before the certificate can be modified.
  • For a change to certificate with urgent need between two regular audits, a special audit can be arranged.
  • An audit beyond the required period needs an application to IATF for waiver in advance with justification and a specific audit schedule, but the result is uncertain.
     

Audit days for Remote Locations

  • The rules for the required audit days to a remote location are different between IATF Rules for IATF 16949 and IAF Rules for ISO 9001.
  • IAF MD-1 requires separation of audit days calculation for every location, so the required number of audit days for ISO 9001 is most likely more that for IATF 16949 for a Remote Location.

IATF 16949证书中的外部支持场地的审核：

  • 根据IATF认证规则 (第五版) 条款1.0的要求，外部支持功能，例如设计、销售、采购和仓库，需要被包括在IATF 16949认证范围内。
  • 外部支持场地可以由DQS或IATF认可的另一个认证机构进行审核。
  • 外部支持场地的审核报告文件包需包括审核计划、审核报告、不符合项的纠正措施和验证措施，并且没有过期未关闭的不符合项。
  • 外部支持场地的审核报告应描述相关的受支持的制造场地、支持功能、被审核的接口和顾客特殊要求。
  • 发送给DQS HK的外部支持场地审核报告文件应使用英文或中文。
  • 制造场地应将其外部支持场地的审核报告用作管理体系策划和管理审核的输入之一。
  • 由于保密要求，DQS HK 可能无法在系统直接查看到由另一个 DQS 办公室负责的 外部支持场地的审核报告。

 

ISO 9001证书中的额外场地的审核：

  • 当 ISO 9001 认证中包含一个额外场地 (例如 IATF 16949 认证中的外部支持场地) 时，根据国际认可联盟 IAF 强制性文件MD-1，它是多场地认证中的场地 (site) 之一。 (为了降低沟通的复杂性，在本文有关ISO 9001 认证的某些地方也使用外部支持场地这个术语。)
  • ISO 9001 多场地认证的资格条件在 IAF MD-1 文件中作了规定，例如单一的管理体系、中央功能、统一的内审方案和集中的管理评审等。
  • IAF MD-1 文件未提供一个方案允许主场地的认证机构直接采纳其它认证机构对相关额外场地发行的ISO 9001审核报告。
  • 对于获得DQS的ISO 9001认证的主场地，如果某一额外场地未经DQS审核，则该额外场地不应列在DQS颁发给主场地的ISO 9001证书中。
  • 如果在审核策划或审核过程中发现某证书与此要求不符，DQS与客户之间需沟通更正证书。
  • 其中一种可能的方案是仅将主场地包含在ISO 9001证书中。

 

外部支持场地审核的时间点

  • 一个外部支持场地可能支持多个制造场地。在某制造场地的初次审核时，其外部支持场地不迟于该制造场地进行审核。
    之后，现有证书上的外部支持场地的审核按其既定的审核周期进行。
     
  • 例如:
    某支持场地需要年度审核，最近的再认证审核时候是2020年11月进行，那它在2021和2022年的年度审核也是在11月左右完成。
    某制造场地最近的再认证审核时候是2021年2月进行，那它在2022年的年度审核也是在2月左右完成。
    在2022的制造场地审核前，提交的外部支持场地的审核报告是去年的。
     
  • 特别地，规则要求支持场地的设计功能每12个月进行一次审核。
  • 新增或需要变更的外部支持场所，需要在相关制造场地前完成审核，在制造场地审核时会审查相关接口，才能修改证书。
  • 如果在两次定期审核之间急需证书变更，可以安排特别审核。
  • 超出规则要求期限的审核需要提出理由和审核计划事先向IATF申请特许，但不确定是否可以获批。

 

外部支持场地的审核人天

  • 对于外部支持场地所需的审核人天，适用于IATF 16949 的 IATF (国际汽车工作组) 规则 和 适用于 ISO 9001 的 IAF (国际认可联盟) 规则是不同的。
  • IAF规则文件MD-1要求每个场地独立进行人天计算，这样对外部支持场地来说，ISO 9001 所需的审核人天很可能多于 IATF 16949 。

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