Auditing IATF 16949:2016 Clause 9.0 - Performance Evaluation

by Walt Prystaj

Auditing Clause 9 of IATF 16949:2016, which focuses on Performance Evaluation, involves evaluating how the organization monitors, measures, analyzes, and evaluates the effectiveness of its Quality Management System (QMS). Below is a detailed guide for auditing Clause 9.

Clause 9: Performance Evaluation

9.1 Monitoring, Measurement, Analysis, and Evaluation
• 9.1.1 General:
o The organization must determine what needs to be monitored and measured, the methods, timing, and responsible parties, to ensure the QMS achieves its intended outcomes.
Audit Approach:
o Review how the organization determines key performance indicators (KPIs) and metrics.
o Verify that monitoring and measurement methods align with customer-specific requirements (CSRs).
o Check whether trends in performance data are regularly analyzed.
Questions to Ask:
o What metrics do you monitor to evaluate the effectiveness of your QMS?
o How do you ensure the accuracy of your monitoring and measurement methods?
Common Non-Conformances:
o Metrics not aligned with QMS objectives or customer expectations.
o Lack of defined methods or tools for data collection and analysis.
• 9.1.2 Customer Satisfaction:
o Organizations must monitor customer perceptions and ensure methods for collecting and analyzing customer satisfaction data are established.
Audit Approach:
o Review customer satisfaction data and analysis reports.
o Verify the methods used to gather feedback (e.g., surveys, complaints, or meetings).
o Check how the organization responds to negative feedback or declining satisfaction.
Questions to Ask:
o What tools or methods do you use to collect customer satisfaction data?
o How do you address and resolve negative feedback from customers?
Common Non-Conformances:
o Lack of systematic approach to collecting or analyzing customer feedback.
o Failure to act on declining satisfaction trends.
• 9.1.3 Analysis and Evaluation:
o The organization must analyze data to evaluate conformity, the effectiveness of the QMS, and opportunities for improvement.
Audit Approach:
o Review trend analysis, internal audits, and management review inputs.
o Verify that the organization uses data to identify opportunities for improvement.
Common Non-Conformances:
o Data analysis not performed or not linked to decision-making.
o Lack of documentation for trend analysis or evaluation.

9.2 Internal Audit
• Requirement:
o The organization must conduct internal audits at planned intervals to ensure the QMS conforms to:
 The organization’s requirements.
 The IATF 16949:2016 standard.
 Effective implementation and maintenance of the QMS.
Audit Approach:
o Review the internal audit plan, schedule, and criteria to ensure it aligns with the QMS scope.
o Check audit records for evidence of planning, execution, findings, and corrective actions.
o Verify that qualified and independent personnel perform internal audits.
Questions to Ask:
o How is the internal audit schedule developed and updated?
o What criteria and methods are used to conduct internal audits?
o How are audit findings communicated and addressed?
Common Non-Conformances:
o Inadequate frequency or scope of internal audits.
o Failure to address audit findings or take corrective actions.
o Lack of competency or independence of internal auditors.

9.3 Management Review
• 9.3.1 General:
o Top management must review the QMS at planned intervals to ensure its continuing suitability, adequacy, and effectiveness.
9.3.2 Management Review Inputs:
o The review must include inputs such as:
 Status of actions from previous reviews.
 Performance of the QMS (e.g., audit results, process performance, customer satisfaction, nonconformities).
 External and internal issues relevant to the QMS.
Audit Approach:
o Review management review meeting minutes, agendas, and records.
o Verify that the review includes all required inputs.
Questions to Ask:
o What is the frequency of management reviews?
o How do you determine and prioritize inputs for management reviews?
9.3.3 Management Review Outputs:
o Outputs must include decisions and actions related to:
 Improvement of the QMS and its processes.
 Resource needs.
 Strategic alignment.
Audit Approach:
o Verify outputs of management reviews, such as documented actions and follow-ups.
o Check whether review outputs are communicated to relevant parties.
Questions to Ask:
o How are decisions from management reviews implemented and tracked?
o Can you provide examples of actions taken as a result of management reviews?
Common Non-Conformances:
o Missing required inputs or outputs in management reviews.
o Lack of evidence that actions from reviews are implemented and monitored.

Auditor's Checklist for Clause 9
Area Audit Focus
Monitoring and Measurement Are KPIs aligned with QMS objectives, and are data collection methods defined and followed?
Customer Satisfaction Are methods for measuring customer satisfaction effective and responsive to feedback?
Analysis and Evaluation Is data analyzed for trends, and are findings used to improve processes and the QMS?
Internal Audit Are audits planned, conducted, and followed up effectively, and are auditors competent?
Management Review Are reviews comprehensive, timely, and leading to actionable outcomes for improvement?

Common Findings and Recommendations
1. Findings:
o Ineffective monitoring or lack of actionable KPIs.
o Inadequate or infrequent internal audits.
o Management reviews missing critical inputs or not resulting in measurable actions.
2. Recommendations:
o Enhance data collection and analysis processes to focus on relevant QMS metrics.
o Develop a robust internal audit program with competency-based training for auditors.
o Ensure management reviews are comprehensive, with clear documentation of decisions and actions.
Auditing Clause 9 thoroughly ensures that the organization effectively evaluates and improves its QMS performance, ensuring sustained compliance and customer satisfaction.