he internal audit is one of the key functions for maintaining excellence within a QMS (Quality Management System), If you have a QMS that is IATF 16949 certified, then you will understand the importance of the internal audit function in both getting the QMS ready for audit, and maintaining the standards of performance after the audit itself. As one of the key functions within the QMS, the internal audit can identify gaps in performance or processes. It can also identify non-compliance with legislation and the standard itself. Given this, the effectiveness of the internal audit often depends on the expertise, knowledge, and eye for detail of the person appointed to conduct the audit. Besides a documented process for verifying the competency of internal auditors and referring to ISO 19011, internal auditors, as well as process and product auditors, should be able to demonstrate competence in Understanding of the automotive process approach for auditing, including risk-based thinking, Understanding of customer-specific requirements, Understanding of applicable ISO 9001 and IATF 16949 requirements related to the scope of the audit, Understanding of the applicable core tools related to the scope of the audit, Understanding how to plan, perform, report and close out the audit findings.
Clause 7.2.3 Internal auditor competency
The organization shall have a documented process to verify that internal auditors are competent, taking into account any requirements defined by the organization and customer-specific requirements. For additional guidance on auditor competencies, refer to ISO 19011. The organization shall maintain a list of qualified internal auditors. Quality management system auditors ,manufacturing process auditors, and product auditors must demonstrate the following minimum competencies: a) understanding of the automotive process approach for auditing, including risk-based thinking; b) understanding of applicable customer-specific requirements; c) understanding of applicable ISO 9001 and IATF 16949 requirements related to the scope of the audit; d) understanding of applicable core tool requirements related to the scope of the audit; e) understanding how to plan, conduct, report, and close out audit findings. At a minimum, manufacturing process auditors shall demonstrate technical understanding of the relevant manufacturing process(es) to be audited, including process risk analysis (such as PFMEA) and control plan. At a minimum ,Product auditors shall demonstrate competence in understanding product requirements and use of relevant measuring and test equipment to verify product conformity. If the organization’s personnel provide the training to achieve competency, documented information shall be retained to demonstrate the trainer’s competency with the above requirements. Maintenance of and improvement in internal auditor competence shall be demonstrated through executing a minimum number of audits per year, as defined by the organization and maintaining knowledge of relevant requirements based on internal changes (e.g., process technology, product technology) and external changes (e.g., ISO 9001, IATF 16949, core tools, and customer specific requirements).
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In this clause, it is important to note that if the organization’s personnel provide the training to achieve internal auditor competency, records shall exist to show the instructor’s competency with the internal auditor requirements. In addition, a documented process will verify internal auditors are competent with regard to any of the organization’s and/or customer-specific requirements. (ISO 19011 is a good reference and provides detailed guidance for auditing management systems.) Automotive quality management system auditors shall also have the following minimum competencies and understanding of these key elements: the automotive process auditing approach and risk-based thinking, applicable ISO 9001 and IATF 16949® requirements, applicable customer-specific requirements (CSRs), core tool requirements, planning, conducting, reporting, and closing out audit findings. At a minimum, manufacturing process auditors need to have a technical understanding of the relevant manufacturing process(es) to be audited (including process risk analysis (such as PFMEA) and control plan), and product auditors must demonstrate competence in understanding product requirements, measurement, and conformity. Maintenance of and improvement of auditor competence are demonstrated through:
- executing a minimum number of audits per year, as defined by the company
- maintaining knowledge of relevant requirements
- internal changes: process technology, product technology
- external changes: ISO 9001, IATF 16949®, AIAG® Core Tools, and CSRs
Internal auditors play a crucial role in ensuring compliance with the requirements of the IATF 16949:2016 standard, which is specifically focused on quality management systems for automotive production and relevant service parts organizations. To effectively perform internal audits in this context, auditors should possess the following competencies:
- Knowledge of IATF 16949:2016: Internal auditors must have a thorough understanding of the requirements and key concepts of the IATF 16949:2016 standard. This includes knowledge of the core quality management principles, the structure of the standard, and the specific automotive industry requirements.
- Quality Management System (QMS) expertise: Auditors should have a solid understanding of quality management systems, including the ISO 9001 standard upon which IATF 16949 is based. They should be familiar with the various components of a QMS, such as document control, record keeping, internal audit processes, corrective actions, and continual improvement.
- Automotive industry knowledge: It is important for internal auditors to be familiar with the automotive industry, its specific terminology, processes, and best practices. This knowledge helps auditors better understand the context in which the QMS operates and allows them to assess conformity effectively.
- Audit planning and execution: Competent auditors should have the ability to plan and conduct effective audits. This includes developing an audit plan, defining audit objectives and scope, preparing checklists, and conducting interviews and document reviews to gather evidence. Auditors should also possess good communication and interpersonal skills to effectively engage with auditees.
- Process approach and risk-based thinking: IATF 16949:2016 emphasizes the process approach and risk-based thinking in quality management. Auditors need to understand how these concepts apply to the organization being audited and evaluate the effectiveness of process controls and risk management practices.
- Data analysis and problem-solving: Internal auditors should be capable of analyzing data and identifying trends or patterns that may indicate potential non-conformities or areas for improvement. They should also be skilled in problem-solving techniques to assist auditees in addressing any identified issues.
- Ethical conduct and confidentiality: Auditors must uphold high ethical standards, maintaining objectivity, impartiality, and confidentiality throughout the audit process. They should avoid conflicts of interest and ensure that audit findings are reported accurately and without bias.
- Continuous learning and development: As the IATF 16949 standard evolves and new industry practices emerge, auditors need to stay updated with the latest requirements and developments. This may involve attending training courses, participating in professional development activities, and engaging in networking opportunities within the field.
It is important to note that organizations may have specific competency requirements for their internal auditors beyond these general guidelines. Therefore, it is advisable to consult the specific organization’s policies, procedures, and any additional training or certification programs they may have in place for their auditors.
The qualification/training requirements may vary for the different types of audits required by this standard. You must define the minimum qualification/training requirements for internal auditors for each type of audit :
- Personnel performing QMS audits or manufacturing process audits must have adequate training on – the requirements of the IATF 16949 standard; training on the automotive process to auditing; audit practices and audit experience as defined by ISO 19011 and IATF guidance; QMS processes and their interaction; customer requirements and applicable regulatory requirements. Also review specific internal auditor training requirements at OEM customer or IATF websites.
- Personnel performing product audits must have training on – production and delivery processes; audit practices and techniques; product specific customer requirements and applicable regulatory requirements. Product specific auditors do not necessarily need training on the requirements of the IATF 16949 Standard.
Customers are likely to require internal auditors to at least have taken an Internal Auditor Training Course that meets the requirements of ISO 19011 but are unlikely to require Lead Auditor Registration. Process audits requires the auditor to have at least two years’ practical experience in process management in the automotive industry and to have performed at least three process audits with the support of a technical expert from the process area. For product audits several technical and human characteristics of the auditor are:
- Knowledge of the purpose of the product audit
- Product and quality specific knowledge
- Use of inspection, measuring, and test specifications
- Mastery of inspection, measuring, and test techniques
- Knowledge of handling of nonconformities
- Evaluating products
- Reporting skills
- Physical suitability (eye sight test etc.)
- Good intelligence
- Good intuition
- Personnel reliability
- Practical experience in manufacturing
- Knowledge of production processes and of their application
- Knowledge of and access to information about customer expectations
