TS16949第四版认可规则10-01.ppt

Rules 4th Edition of TS 16969 第四版认可规则,1,AIAG Shanghai Jolly Ji Tel. 86-21-50272721 Email : ,ONLY FOR REFERENCE Rules for achieving IATF recognition, 4th edition OFFICIAL FILE PLEASE CONNECT TO:,ISO/TS16949第四版(4.0版)认可规则于2014年4月1日全面生效,第四版相对于第三版最大的变化在于： 1.支持场所职能的定义; 2. 取消延伸场所的概念，所有场所都必须单独取证; 3. 允许在一个企业如果汽车产品线具有完全独立的场所、人员和设备，可以申请独立认证，但应经提前三个月向IATF下属办公室申请，并由审核员现场进行一阶段判定符合要求后实施。,国际汽车推动组IATF为了加强TS16949的价值和可信度，提升认证标准，特发布了TS16949认可规则第四版，相对第三版认证规则此次变更内容更多，要求更严，主要变化点及说明如下： 1) 第四版认可规则的使命 a) 增强TS16949认证的价值和可信性,提高门槛; b) 强化监督认证机构签约办公室的TS16949认证活动,增强高层领导介入; c) 强调认证机构否决权和认证决定活动的重要性; d) 关注认证机构、客户和顾客的业绩; e) 吸取第三版认可规则的经验教训，增强IATF成员和监督办公室间的理解和一致性，从而减少变差 。,2) 发布第四版认可规则的起因 a) 第三版任何规则在执行上存在明显的变差。第三版认可规则在2008年10月1日发布。不同认证机构、审核员、甚至监督办公室间有着明显的解释和执行变差。经常需要进行澄清/补救。共发布了22条认可解释、16条常见问题问答。大量的偏差申请更增加了各认证机构和监督办公室间的变差。 b) 顾客的期望在变化。汽车供应渠道的变化引人注目，供应商面对全球竞争和经济挑战，全球化带来强劲的变革。同时,主要相关方期待TS 16949带来更多。符合标准只是基本要求，TS16949认证必须与好的或不断改善的供应商业绩相对应，期待着业绩不好的供应商将不会通过TS16949认证 3) 第四版认可规则的两个期望的结果 a) 供货业绩与TS16949认证相互映证; b) 打消“谁都可获证”的观念。,4) 与第三版认可规则的主要变化 a) 增强认证机构签约办公室作用和职责;认证机构管理评审要求更加规范;完善认证机构内部体系审核和见证审核要求,使其更有意义和价值; b) 审核策划、现场审核实施及审核报告要求更加规范, 增值于认证机构、 客户及IATF; 客户在审核前必须提供所要求的资料; 审核员在现场审核前完成客户资料的评审和审核计划策划; 现场审核首次会议前，审核员验证当前顾客和内部绩效数据，以及当前在线顾客报告和/或顾客记分卡; 审核计划应识别每个待审核制造过程的特定名称和班次，以及顾客特殊要求; c) 第四版认可规则始终强调对顾客的业绩; d) 提升对制造过程审核的重要性,审核更加规范; e) 取消制造现场延伸场所; f) 恢复“汽车专属区域”，但调整了条件; g) 不符合管理更加规范, 增加新的重点和要求; h) 证书暂停决定和要求更加规范。 第四版认可规则将于2014年4月1日全面生效。全面生效意味着所有第四版认可规则要求从2014年4月1日开始得以满足，没有实施的偏差放行。,Strengthening the Value & Credibility of TS 16969 强化TS16949的价值和可信性 “Raising the Bar” “提高门槛”,Rules 4th Edition 第四版认可规则,6,Why a Rules 4th? 为何要有第四版认可规则,Rules 3rd was released on 1st October 2008 第三版认可规则在2008年十月一日发布 Differences in interpretation and execution have been evident across Certification Bodies, Auditors, and even Oversights 不同认证机构,审核员,甚至监督办公室间有着明显的解释和执行差异 Clarification / Remediation was often required 经常需要进行澄清/补救 22 Sanctioned Interpretations were issued发布了22条认可解释 16 Frequently Asked Questions发布了16条常见问题问答 A significant number of waivers were granted to Certification Bodies which added to the variation among CBs and Oversights大量的偏差申请更增加了各认证机构和监督办公室间的变差,7,What Kind of Variation? 有何种变差?,Feedback from CBs and Auditors 来自认证机构和审核员的反馈 Oversight A is tougher / more strict than Oversight B 监督办公室A比监督办公室B严厉/更严格 After a merger/acquisition, when the acquired CB was previously with Oversight A they were able to do things a certain way. Now that theyre part of another CB and linked to a different Oversight, theyre no longer allowed to operate in the same manner. 认证机构并购后新的监督办公室不允许原先监督办公室认可的一些做法 Observations within IATF and Oversight 来自IATF及监督办公室的观察结果 Differences in Rules 3rd interpretations among Oversights and IATF members, i.e., shift auditing of manufacturing processes 不同监督办公室和IATF成员间对第三版认可规则的不同解释, 如,对制造过程不同班次的审核,8,Expectations have Changed 期望在变化,The Automotive Supply Base has changed dramatically 汽车供应渠道的变化引人注目 Suppliers have responded to global competition and significant economic challenges供应商面对全球竞争和经济挑战 The global footprint reflects the dynamic changes 全球化带来强劲的变革 TS certificate growth has been largely in Asia Pacific which now accounts for almost two-thirds of the TS market, with China accounting for over one-third of the global TS market 亚太地区的TS证书量强劲增长约占总量的三分之二,中国的TS证书量已占到三分之一 In response, Key Stakeholders expect more from TS 16949 同时,主要股东们期待TS16949带来更多 Compliance to the Standard is a requirement. its become the price of entry 符合标准是基本要求是市场进入的代价 TS Certification must equate to Good or Improving Supplier Performance TS认证必须与好的或不断改善的供应商业绩相对应 Expectations are that poor performing Suppliers should not be TS Certified 期待着业绩不好的供应商将不会通过TS认证,-,9,How do we know Expectations have Changed? 我们如何知晓期望在变化,TS Stakeholders often ask: TS股东们经常询问: How can a Supplier with a TS compliant Quality Management System be a poor performing supplier? 为什么通过TS质量管理体系认证的供应商业绩如此差? Isnt part of the TS Certification process supposed to assess the effectiveness of the Suppliers Quality Management System? TS认证过程中是否应该评估了供应商质量管理体系的有效性? How does a Suppliers performance to the Customer weigh into the evaluation of the Suppliers Quality Management System effectiveness? 在评估供应商质量管理体系有效性时如何权衡供应商对顾客的业绩? Have you ever had to answer the question, 你是否回答过这个问题, “How did this Supplier get TS Certified?” “这家供应商如何通过的TS认证?”,-,10,“Does Everyone Get Certified?” “是否谁都可以获得认证?”,-,11,How Will Rules 4th Improve TS Value & Credibility? 第四版认可规则如何提升TS价值和可信性,The mission of Rules 4th is to add value and strengthen the credibility in TS Certification 第四版认可规则的使命就是提升价值,增强TS认证可信性 Rules 4th requires stronger oversight of TS Certification activity by CB Contracted Offices and increased engagement of top CB leaders 强化监督认证机构签约办公室的TS认证活动,增强高层领导介入 Rules 4th emphasizes the importance of the CBs Veto Power and Certificate Decision Activities 强调CB否决权和认证决定活动的重要性 The focus on CB, Client, and Customer Performance is strengthened关注认证机构, 客户, 和顾客的业绩 Variation is reduced 减少变异: Rules 3rd lessons learned have been applied 吸取了第三版认可规则的经验教训 Increased understanding and alignment among IATF members and Oversight 增强了IATF成员和监督办公室间的理解和一致性,-,12,What are the Major Changes from Rules 3rd? 与第三版认可规则的主要变化,Roles & Responsibilities of the CB Contracted Office have been strengthened 增强CB签约办公室作用和职责 Management Review requirements are much more prescriptive 管理评审要求更加规范 Improved requirements for the CBs Internal System Audit and Witness Audit processes make them more meaningful and value added 完善CB内部体系审核和见证审核要求,使其更有意义和价值 Audit Planning, On-site Audit Execution, and Audit Report requirements are more prescriptive and more value added to CBs, Clients and the IATF 审核策划,现场审核实施及审核报告要求更加规范, 增值于CB, 客户及IATF Performance to the Customer is emphasized throughout Rules 4th 始终强调对顾客的业绩,-,13,What are the Major Changes from Rules 3rd? 与第三版认可规则的主要变化,The importance of auditing of the Manufacturing Process has been raised and is much more prescriptive 提升对制造过程审核的重要性,审核更加规范 Manufacturing Site Extensions are eliminated 取消制造现场延伸场所 Nonconformity Management is more prescriptive with additional emphasis and requirements 不符合管理更加规范, 增加新的重点和要求 Suspension decisions and the requirements associated with them are more prescriptive 暂停决定和要求更加规范,-,14,How will Rules 4th Raise the Bar? 第四版认可规则如何提高门槛?,Rules 4th puts emphasis on the quality of TS Certification activity (execution and results). 第四版认可规则强调TS认证活动(执行及结果)的质量 “What is measured gets done!” “落实各项测量!” Rules 4th focuses all Stakeholders on performance measurement, and how it affects results. 第四版认可规则关注所有股东对业绩的测量, 以及如何影响相关结果 How did it influence the Audit Plan? 如何影响审核计划? How did it impact the Execution of the Audit Plan? 如何影响审核计划的执行? How did it affect the Veto Power / Certificate Decision? 如何影响否决权 / 认证决定?,-,15,Rules 4th Raises the Bar 第四版认可规则 - 提高门槛,Two expected outcomes: 两个期望的结果: Supply Base performance and TS Certification are aligned 供货业绩与TS认证相互映证 Eliminate the perception that “Everyone gets a Certificate” 打消”谁都可获证”的观念,-,16,When will Rules 4th become Effective? 第四版认可规则何时生效,Rules 4th becomes fully effective on April 1, 2014 第四版认可规则于二零一四年四月一日全面生效 What does this mean? 全面生效意味着: Everyone trained 全员培训完成 All Processes & Procedures updated and implemented 全部过程和程序更新完成并被实施 All Rules 4th Requirements met beginning April 1 所有第四版认可规则要求从四月一日开始得以满足 No implementation waivers 没有实施的偏离放弃,-,17,Rules 4th Auditor Training & Testing 第四版认可规则审核员培训和考试,-,18,New Requirements and Clarifications For Auditor Training & Testing 审核员培训和考试的新要求及说明,Cherie Reiche IAOB Oversight office,Auditor Development Process 审核员开发过程,Proctored ADP testing will continue through 20 December 2013监考ADP考试继续开放到 2013年12月20日 (参见reference CB Communiqu 2013-007) In 2013, we utilized these venues and will add as required in 2014 (starting May 2014 onward) 2013年我们采用了如下考试地点, 2014年将根据需要做相应增加(五月开始):,-,19,20,2013 Proctored ADP sessions 2013监考ADP课程情况,ADP (Requalification) ADP (资格再确认),Per CB Communiqu 2013-007, the IATF will temporarily suspend the proctored assessment testing only for existing credentialed auditors (requalification process) from 21 December 2013 through 30 April 2014. 根据CB公告2013-007, IATF 将从2013年12月21日至2014年4月30日临时暂停针对现行审核员(再确认过程) 的监督评估考试 The temporary suspension of proctored assessments includes existing auditor retake testing as well. 包括补考的审核员 Auditors impacted by the proctored assessment testing suspension will be granted an automatic credential extension of 5 months from their existing expiry date.受影响的审核员将自动获得5个月的延期 Note: Auditors are still allowed and encouraged to undertake training development by utilizing the IATF ADP training modules during this time period. 注: 该期间仍可进入ADP培训模块.,-,21,Credential Extensions Granted 资格有效期延长,Examples of credential extensions for existing credentialed auditors impacted by the 21 December 2013 30 April 2014 suspension of proctored assessment testing: 受影响审核员有效期延长的示例: Auditors are encouraged, as always, to test at least a month or two before their expiry date to allow for retake opportunities. 审核员均需在资格有效期到期前至少一二个月参加考试以便预留补考的机会.,-,22,5 months,23,Rules 4 Training Plan 规则四培训计划,#1,#2,#3,Active auditors in the ADP as of 31 December 2013 must complete the training and initial 1st take of the Quiz by 31 March 2014. 2013年12月31日前有效的审核员必须在2014年3月31日前完成培训和测验,Rules 4 Training/Quiz Modules 规则四培训/测验模块,Available mid-January 2014 on the IATF ADP: 2014年1月中旬就可进入IATF ADP系统: / Email blast will be sent to the active IATF ADP auditors and non-auditor CB Veto Powers once the modules are open as a courtesy reminder 一旦模块完成,现行IATF ADP审核员及非审核员资格的否决权人员都将收到提醒邮件 There is NO cost to the auditor(s) or CB(s) for this training and quiz development opportunity 此项培训和测验没有费用要求,-,24,Rules 4 Training/Quiz 规则四培训/测验,All active auditors(and non-auditor CB Veto Powers) in the IATF ADP (as of 31 December 2013) are required to take both the training and quiz modules by 31 March 2014 (initial take of both modules) 所有IATF ADP有效审核员(按2013年12月31日计算)都需要在2014年3月31日前(首次)完成培训和测验模块 Those auditors are required to achieve “pass” status on the quiz (which is 80% or above) by 30 June 2014 审核员需要在2014年6月30日前达到测验”通过”状态(80%及以上) Quiz has 3 additional retake opportunities (after the initial take) 测验有3次补考机会(首次测验之后) Quiz is unproctored, open book, and can be stopped and started over multiple days 测验为不监考,开卷, 可在多天内停止和开始 If a person fails to successfully pass the quiz (after exhausting the initial and 3 additional retake opportunities), the auditors credentials are subject to deactivation 如果最终不能成功通过测验,资格将被取消.,-,25,Rules 4 Training/Quiz 规则四培训/测验,Auditors (and non-auditor CB veto Powers) entering the IATF ADP (once sponsored by a CB) anytime AFTER 31 December 2013 will have 3 months after being sponsored in the ADP to complete the Rules 4 training and quiz modules (this is their initial take deadline for both modules). 在2013年12月31日后(经CB推荐)进入IATF ADP的审核员(及非审核员资格的CB否决权)将有3个月的时间来完成规则四的培训和测验模块(首次完成这两个模块的截止时间) After a person has completed the initial take of both modules, then within 3 months from that date they will be required to achieve “pass” status on the quiz (including all retakes) 在首次完成这两个模块后, 在后续三个月之内需要达到测验”通过”状态(包括所有补考). Those who do not complete the training and quiz modules within the defined timing are subject to deactivation 在规定时间内无法完成培训和测验模块的人员将会被取消资格.,-,26,Rules 4 Training/Quiz 规则四培训/测验,Example Timing for auditors sponsored in the IATF ADP after 31 December 2013 2013年12月31日后IATF ADP对审核员的时间要求示例,-,27,3 months,3 months,Rules 4 Training/Quiz 规则四培训/测验,Continual personal development (CPD) credit CPD小时积分计算 The Rules 4th training module and Rules 4th quiz module combined are worth six (6) hours of structured CPD 规则四培训和测验模块一起可计算六小时的结构化CPD Once the initial take credit is given, no additional hours can be claimed for retaking the Rules 4th training module or quiz module 初次积分计算后, 补考小时不再计算 Counting these approved structured CPD hours for multiple years is not allowed 不允许跨年计算,-,28,New Auditor (Initial Qualification) 新审核员(初次资格认可),Due to Rules 4th material revisions, the IATF has temporarily suspended the face-to-face training and testing for new auditor candidates (initial qualification process) from end of September 2013 through early January 2014. 由于规则四教材修订, IATF 从2013年9月底至2014年1月初暂停了对新审核员候选人(初次资格认可过程)的面对面培训和考试 The temporary suspension of testing includes new auditor retakes as well. 暂停也同时针对新审核员的补考. Face-to-face training and testing for new auditor candidates (initial qualification process) will be available in early January 2014. 针对新审核员(初次资格认可过程)的面对面培训和考试于2014年1月上旬开始 Note: Due to translation work, some languages will not be available until the end of February 2014. 注: 由于翻译工作量,有些语种的培训将会到2014年2月底才能开始.,-,29,NC Management and Process Approach Training Module Updates 不符合管理和过程方法培训模块更新,Revised materials available mid-May 2014 on the IATF ADP: 修订教材于2014年五月中旬在IATF ADP 可用: / Email blast will be sent to the active IATF ADP auditors and non-auditor CB Veto Powers once the revised modules are open informing auditors to take these 2 revised modules by 31 December 2014 一旦这两个模块修订完成,现行IATF ADP审核员及非审核员资格的否决权人员都将收到提醒邮件以通知审核员在2014年12月31日前完成培训 Again, there is NO cost to the auditor(s) or CB(s) for this additional re-training opportunity 同样, 此项培训没有费用要求,-,30,NC Management and Process Approach Training Module Updates 不符合管理和过程方法培训模块更新,Continual personal development (CPD) credit CPD 小时积分 As previously defined in Rules FAQ 4, CPD credit is allowed for these training modules 如规则FAQ4, 此项培训可获CPD积分 The NC Management training module takes 4 hours to complete, thus is worth 4 hours of structured CPD 不符合管理需4小时培训, 计4CPD小时 The Process Approach training module takes 6 hours to complete, thus is worth 6 hours of structured CPD 过程方法需6小时培训, 计6CPD小时 Once the training module retake credits are given, no additional hours can be claimed for these two modules 重新培训不计积分 Counting these approved structured CPD hours for multiple years is not allowed 不允许跨年计算.,-,31,Rules 4th edition Foreword / Introduction 第四版认可规则 前言/引言,-,32,New Requirements and Clarifications to Rules 4th edition 第四版规则新要求及澄清事项,-,33,Summary of the changes: 变化部分概要: Version dates of cited standards have been removed throughout the Rules 4th Edition 规则四中全面去掉了标准引用的版本年份,Foreword and Introduction 前言和引言,-,34,Public information about the validity of IATF recognized certificates can be found in 有关IATF认可证书的有效性的公共信息可查询网站 Rationale更改原因: To provide a link to the IATF website where any user can check the validity of an ISO/TS 16949 certificate. The user needs to have the IATF number to check certificate validity. The website will only display the companys name, city and country, and if the certificate is valid or not. 提供IATF网址链接, 所有用户都可检查ISO/TS16949证书的有效性. 用户需要知道IATF证书编号来检查证书有效性. 网站将只显示公司名称,所在城市和国家, 以及证书是