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Qu alit Qual ity y Ma Mana nage gemen mentt in the Automotive Industry P r o c e ss Au d i t
P ar t 3
Product Development Process / Serial Production Service Development Process / Providing the Service
3 t r a P 6 e m u l o V A D V
2 nd completely revised edition, June 2010
Process Audit
Product Devel Product Developmen opmentt Proces Process s / Seria Seriall Produc Production tion Service Development Development Process / Prov Providing iding the Servic Service e
Process Audit
Product Devel Product Developmen opmentt Proces Process s / Seria Seriall Produc Production tion Service Development Development Process / Prov Providing iding the Servic Service e
2nd completely revised edition, June 2010
Verband der Automobilindustrie e.V. (VDA)
Process Audit
Product Devel Product Developmen opmentt Proces Process s / Seria Seriall Produc Production tion Service Development Development Process / Prov Providing iding the Servic Service e
2nd completely revised edition, June 2010
Verband der Automobilindustrie e.V. (VDA)
Preface
Greater demands in the whole chain of customer and supplier processes present the quality management of companies with new and ever more complex tasks. Higher expectations of products require robust processes which must be secure throughout the entire manufacturing and supply chain. The time between the concept of a new product and its manufacture is becoming ever shorter and this means that work processes in all the various areas of the company need to operate in parallel to an ever greater degree. This in turn places greater demands on the organisations involved, their work processes and their personnel. Organisational processes must therefore be continually monitored and improved so that they are secure and, if deviations occur, to use appropriate control loops to introduce corrective measures. An important instrument in the monitoring of processes is the process audit. This is an integral part of the VDA strategy : "Quality standard for the German automotive industry (VDA 6)" as can be seen from the following illustration. QUALITY STANDARD OF THE GERMAN AUTOMOTIVE INDUSTRY (VDA 6)
VDA 6
VDA 6 QMsystem audit VDA 6 QMsystem audit Part 1 Products Part 2 Services
Quality audit
VDA 6 Process audit Part 3 Serial production / Services
VDA 6 Part 7
VDA 6 QMsystem audit Part 4 Production equipment Process audit Production equipment
Fundamentals VDA 6 Product audit (material and nonmaterial) Part 5
There is agreement between automobile manufacturers and suppliers on the execution of audits in accordance with this publication.
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Contents
Page
Preface
3
1
Introduction
7
2 2.1 2.2 2.3
Guidance on the use of a process audit Area of application for a process audit Limits of a process audit – potential analysis Identifying process risks (risk analysis)
8 8 9 9
3 3.1 3.2
Requirements regarding auditors Auditor qualifications Code of behaviour for auditors
11 11 12
4 4.1 4.2 4.3 4.4 4.5 4.6 4.7
The audit process Audit programme Audit contract Preparation Execution Assessment Presentation of results Final evaluation and closure
13 14 16 19 24 27 29 32
5
Potential analysis ( Process element P1) Objective and purpose of the potential analysis Preconditions Preparation Operational sequence of a potential analysis
35 35 35 35 36
5.1 5.2 5.3 5.4 6 6.1 6.2 6.2.1 6.2.2
Assessment Assessing the potential analysis Assessing a process audit for material products Assessing the individual questions Assessing subelements in the process analysis of production and generic baselines 6.2.3 Overall assessment 6.2.4 Assessing product groups and process stages 6.3 Assessing service processes 6.3.1 Individual assessment of questions & process elements
37 37 39 39 40 41 42 43 43
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6.3.2 Overall assessment of the audit result 6.3.3 Classification 7
6
Usi sing ng th the e que uest stio ionn nnai aire re (process elements P2 to P7)
44 45
47
8 8.1 8.2 8.3 8.4 8. 4 8.5 8.6 8.7 8.8
Questionnaire Questionnaire overview Project management (P2) Planning the product & process development (P3) Carr Ca rry ying ou outt th the e pr prod oduc uctt & pr pro oce cess ss de dev vel elop opme ment nt (P (P4) 4) Supplier management (P5) Serial production (P6) Custo Cu stome merr sup suppo port rt,, cus custom tomer er sa sati tisfa sfacti ction on,, ser servi vice ce (P (P7) 7) Services (PD)
49 49 54 60 66 75 82 112 119
9 9.1 9.2 9.3
Assessment forms & overviews (examples) Process audit for material products Process audit for services Potential analysis
144 144 150 151
10 10.1 10.2 10.3
Best Practice / Lessons Learned Exampl ple e of info form rma ati tio on pro rov vide ded d by th the e su sup pplier Assessment guidelines Data stores
161 161 170 172
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Technical terms
175
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Downloads
176
1
Introduction
The established Audit Standard VDA 6.3 1998 has been completely revised. The objective was to reorganize the process audit, making it more precise and adapting it to changing requirements in the automotive industry. Processes must be analysed in such a way that risks and weaknesses are detected in the work processes and in their interfaces. Part A of th Part the e 19 1998 98 is issu sue e ha has s be been en fu full lly y re revi vise sed d an and d ex expa pand nded ed to in incl clud ude e further process elements such as potential analysis and project management. The contents of Part B of the 1998 issue have been made more precise and expanded with the aim of achieving maximum repeat recognition. The rules for determining classification levels have been extended, questions with pa part rtiicu cula larr pr pro odu duct ct and pr proc oces ess s ri risk sks s ar are e ide dent ntiifi fied ed by (* (*)) an and d th the e classification levels have been reduced to A, B and C. In additi tion on to th the e ques esti tio ons set out in th thiis VDA 6.3 pub ubllica cati tion on,, it is recom rec omme mende nded d tha thatt da datab tabas ases es be es esta tabl blis ishe hed d in or order der to pr prov ovid ide e ad adeq equa uate te support for relev relevant ant product and proce processspeci ssspecific fic requir requirements ements.. Other assessment methods (such as software assessments using Automotive SPICE) are useful, depending on the product and can be used as supplementary supplem entary system systems. s. Expl Explicit icit questi questions ons regardi regarding ng envi environmenta ronmentall protecti protection on and an d he heal alth th & sa safe fety ty at wor ork k ar are e no nott co cov ver ered ed,, as th thes ese e ha hav ve th thei eirr ow own n monitoring systems, including standards covering requirements. A further objective in drawing up this new issue was to take account of exis ex istin ting g VD VDA A pu publ blic icati ations ons,, in pa part rtic icul ular ar "M "Matu aturi rity ty le leve vell ass assur uran ance ce fo forr new parts" and "Robust production process (RPP)“.
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Guid Gu idan ance ce on th the e us use e of a pr proc oces ess s au audi ditt
2.1
Area Are a of of appl applica icatio tion n for for a proc process ess aud audit it
Process audits can be used internally as well as externally throughout the entire product life cycle. The list of questions is constructed in such a way that it can be used for small and mediumsized companies as well as for large concerns. As can be seen from Fig. 1, the way of looking at the product life cycle in the supply chain varies according to different phases. Issue contract Cutomer
Preselect suppliers; Potential analysis
Def. and Draft, Product & process development
SOP
Quotation process (contract review)
Def. and Draft, Product & process development
Receive contract
Supplier
Fig. 1:
Implementation Product / process development
Preselect suppliers; Potential analysis
Serial production
Customer service After Sales
SOP
Issue contract
Receive contract Organisation
Implementation Product / process development
Serial production
Customer service (AfterSales)
Issue SOP contract
Phases of the product life cycle in the supply chain
Fig. 2 show Fig. shows s how individu individual al ques questio tions ns rega regardi rding ng pro proces cess s el eleme ements nts can be alig al igne ned d wi with th th the e pr prod oduc uctt li life fe cy cycl cle, e, in inde depe pende ndent nt of th the e pos posit itio ion n wi with thin in th the e sup su pply ch cha ain. This illustra rattion may var ary y, depending on the sp spe eci ciffic organisation. Receive contract Quotation process (contract review)
Def. and Draft, Product & process development
Issue contract Preselect suppliers; Potential analysis
SOP
Implementation Product / proc Product process ess development
Serial production
Customer service (After Sales)
P1 Allocation of questions
P2 P3 P4 P5 P6 P7
P1: Potential analysis (new)
P5: Supplier management
P2: Project management (new)
P6: Process anal ysis / production
P3:: Pl P3 Plan anni ning ng th the e pr prod oduc uctt & pr proc oces ess s de deve velo lopm pmen entt
P7:: Cu P7 Cust stom omer er su supp ppor ort, t, cu cust stom omer er sa sati tisf sfac acti tion on,, se serv rvic ice e
P4: Carrying out product product & process development development
Fig. 2: 8
Allocation of process elements to th the e product life cycle
2.2
Limits of a process audit potential analysis
As will be seen from Fig. 2, an analysis of potential (P1) can be carried out before a project is launched. In this, a process audit of reduced scope can be used to assess potential suppliers who are suitable as serial production suppliers. Because these are merely potential suppliers, the audit must be based on other processes / products which should be comparable with the product to be supplied. The analysis of potential can likewise be accepted by all parties, where the products and technologies are comparable (see Section 5).
2.3
Identifying process risks (risk analysis)
In a process audit, the effect of the individual processes on the product is decisive and the assessment must therefore be made from the standpoint of the product risks involved. For this reason, the potential risks within the process must be determined as early as the preparations for the audit (see also Section 4.3), so that they may be assessed adequately in the process audit itself. One method of determining the product risk is the "turtle" model : see Fig. 3.
What material facilities are used to carry out the process ?
What functions / areas / persons support the process ?
Material resources
Process support
Equipment; facilities
Training, knowledge, ability, authority
What goes into the process ?
I
PS1
O
Input
Interface
Process Process stage stage PS2
Output
I
PS3
O
Interface
How does the process operate ?
Work content Control of execution : instructions, procedures, methods
Fig. 3:
What is the intended result of the process ?
How effectively is the process carried out ?
Level of effectiveness Performance indicators
"Turtle" model
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Firstly an explanation is given of what "input" is converted into an "output" by the process. This is expanded by considering the following questions :
how does the process operate ? (work content) what functions/areas/personnel support the process ? (process support) what means are employed to carry out the process " (material resources) how effectively is the process executed (level of effectiveness)
In a second stage the potential risks arising from these questions are determined. These potential risks must then be evaluated in the audit, to ensure that they are assured to a reasonable degree.
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Requirements regarding auditors
3.1
Auditor qualifications
The quality of the results of an audit is influenced critically by the qualifications of the auditors. The qualification criteria for auditors are as follows : Internal process auditor Carrying out internal process audits with no interfaces to outside suppliers or customers : Technical requirements Basic knowledge of quality management (familiarity with current regulations and standards) and knowledge of the specific product/ processes. Certification of successful participation in a VDA 6.3 training course. Career experience At least 3 years' industrial experience, preferably in manufacturing companies in the automobile industry, including at least one year in quality and/or process management. Process auditor in the supply chain Carrying out internal and external process audits with interfaces to outside suppliers or customers. Technical requirements Wellgrounded knowledge of quality and process management, as well as knowledge of the specific product/ processes. Certification of an auditor qualification (e.g., based on EOQ systems). Certification of successful participation in a VDA 6.3 training course.
Career experience At least 5 years' industrial experience, preferably in manufacturing companies in the automotive industry, including at least 2 years in quality and/or process management.
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3.2 3. 2
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Code Co de of be beha havi viou our r for for au audi dito tors rs
Process audit Process auditors ors must exerci exercise se their profe professiona ssionall capabi capabiliti lities es and their judgement, taking account of the law and maintaining the principles of honesty honest y and plain dealing. Process auditors must continue Process continue to devel develop op their technical technical expertise expertise and maintain their knowledge of the latest developments. Process Proce ss au audi dito tors rs mu must st be beha have ve at al alll ti time mes s in su such ch a ma mann nner er th that at the stand sta ndin ing g an and d rep reput utat atio ion n of th the e or orga gani nisa sati tion on (t (the he com compa pany ny)) are no nott placed in jeopar jeopardy. dy. Process auditors auditors must not accept contracts contracts which represent represent a confli conflict ct of interests in regard to their contractual duties. P Pro roce cess ss au audi dito tors rs un unde dert rtak ake e to mai aint ntai ain n st stri rict ct se secr crec ecy y re rega gard rdin ing g confi con fide dent ntia iall in info form rmat atio ion n (f (for or ex exam ampl ple, e, kno know who how) w) wh which ich th they ey hav have e gain ga ined ed in th the e co cour urse se of th thei eirr pr pro ofes essi sion onal al ac acti tiv viti ties es.. Th Thiis du duty ty of confidentiality does not apply where the law requires information to be divulged. Process auditors Process auditors must not use in a dish dishone onest st man manner ner the inf inform ormati ation on they have gained in the course of their activities, neither to their own advantage nor to the advantage of third parties.