What Is an Audit?
A process audit is an in-depth audit focused on a single production or development process rather than on the system as a whole. In the automotive sector the VDA 6.3 methodology is its standard instrument, and the result is a percentage score with an A/B/C classification.
Why Is It Done?
The aim is to measure the ability of the process to produce consistent, repeatable output. A system audit asks whether the rules exist; a process audit asks whether those rules actually work in this process.
Who Requests It?
- Automotive OEMs and Tier 1 suppliers
- Buyers commissioning a potential analysis before a new project
- Organisations seeking root cause after a field problem
- Companies running a supplier-development programme
- Manufacturers subjecting their own processes to internal assessment
Audit Criteria
In automotive, the VDA 6.3 question catalogue is the common criterion. In other sectors, IATF 16949 process requirements, a customer specification, or the organisation's own process standards are used. The scoring and downgrading rules are an inseparable part of the criteria.
Audit Scope
- Process inputs: material, information, specification
- Personnel competence and training records
- Machine, equipment and tooling capability
- Definition and control of process parameters
- Alignment with the control plan and FMEA
- Measurement systems and MSA
- Application of statistical process control (SPC)
- Control and segregation of nonconforming product
- Traceability and labelling
- Material flow, handling and storage
- Verification of the process output
- Continuous improvement and the effectiveness of corrective action
Related Standards
- VDA 6.3
- IATF 16949
- ISO 19011
- ISO 9001
Audit Process
- 1Defining the Scope and CriteriaWhat is to be audited and against which criteria is set out in writing: a customer code of conduct, a specification, a standard or a checklist.
- 2Preliminary Information GatheringThe size and activity of the party to be audited, its audit history and any open nonconformities are reviewed.
- 3Audit PlanThe audit date, team and timetable are prepared; the areas to be visited and the roles to be interviewed are planned.
- 4Opening MeetingThe purpose, scope, method and reporting format of the audit are explained; the principles of confidentiality and impartiality are confirmed.
- 5On-site AuditProduction or service areas are walked, records are examined and workers are interviewed. Findings are recorded on the spot.
- 6Classification of FindingsDeterminations are graded according to the classification of the scheme in use (critical / major / minor / observation).
- 7Closing MeetingThe findings are presented to management, their justification is explained and the expectation for corrective action is set out.
- 8Report and Follow-upThe audit report is issued; a corrective action plan is obtained and its close-out is followed up. Where necessary a follow-up audit is carried out.
Findings
The result is a percentage sum of the scores given per question and an A/B/C classification. A low score on certain questions is subject to rules that downgrade the total score; a high total score alone may therefore not be sufficient.
Audit Report
- Details of the audit body, the auditor and the auditee
- Date, duration and scope of the audit
- Criteria or checklist applied
- Areas and processes audited
- Findings and their classification
- Evidence and photographs supporting the findings
- Scoring or rating, where the scheme requires it
- Corrective action plan and close-out status
Limits of the Output
A process audit is not a certification; no certificate is issued as a result. The output is a scored assessment report. The score also relates only to the process audited; it says nothing about other processes at the same facility.
Accreditation
Accreditation differs with the type of audit. Third-party audits underpinning management system certification are carried out under ISO/IEC 17021-1 and those underpinning product certification under ISO/IEC 17065; these scopes are subject to accreditation. First- and second-party audits, and audits governed by a scheme owner's own rules (such as SMETA or amfori BSCI), do not fall within accredited certification; they are conducted following the ISO 19011 guidance and produce a report. EUROLAB holds internationally recognised accreditation under ISO/IEC 17021-1 and ISO/IEC 17065, granted by accreditation bodies that are signatories to the IAF multilateral recognition arrangement; which audits can be offered within accredited scope is confirmed in writing at the quotation stage.
Scope and authorisationsRelated Audits
Frequently Asked Questions
Do I get a certificate from a process audit?
No. VDA 6.3 and similar process audits are methodologies, not certification schemes. The result is a score and findings report; your customer uses this score to determine your supplier status.
What is a potential analysis (P1)?
It is a preliminary assessment carried out before starting with a new supplier or a new project. Its purpose is to see, before an order is placed, whether the supplier has the infrastructure to do the work; the result can directly affect whether you win the business.
Is the audit sampling-based?
Yes. The auditor cannot examine every record and every product; sampling is done to represent the whole. No findings arising from an audit therefore does not mean there is no nonconformity at all; an audit provides assurance, not absolute proof.
Is the audit date announced in advance?
It depends on the scheme and the buyer's policy. Announced, semi-announced (given a time window) and unannounced audits can be used. An unannounced audit aims to prevent records from being prepared for the audit and is becoming increasingly common.