IATF 16949:2016 Auditor Assessment (Rev: 1.1)

ISO 9001 / IATF 16949 QUALITY SYSTEM REQUIREMENTS

Note. Where relevant, questions refer to the applicable clause of ISO 9001:2015 and/or IATF 16949.

1) Which of the following are NOT defined by ISO 9001:2015 as a Quality management principle?

a) customer focus
b) leadership
c) engagement of people
d) mutually beneficial supplier relationships
e) improvement
f) system approach to management
g) relationship management
h) Neither (d) nor (f) are defined as a quality management principle.

2) When considering the Context of the organisation as required by ISO 9001,

a) a SWOT analysis must be used;
b) relevant external and internal issues must be determined;
c) the PESTLE approach must be used;
d) Porter’s Five-forces should be used.

3) Risk-based thinking as described in ISO 9001 requires that an organisation

a) eliminates all risks which have been identified;
b) implements preventive actions for each risk identified;
c) takes action to address risks and opportunities, proportionate to the potential impact on products and services.

4 ) With reference to the requirements for Preservation,

a) the condition of product in stock must be assessed at least once within each 12-month period;
b) the condition of product in stock shall be assessed at appropriate planned intervals;
c) it is only mandatory to check the condition of product in stock where a shelf-life is specified.

5) To satisfy the requirements for Continual improvement, a company must use the Six Sigma methodology. Is this statement

a) true?
b) false?

6) In respect of Problem solving activities, an organisation

a) must use the 8D process unless otherwise agreed with the customer;
b) must review, and where necessary, update appropriate documented information;
c) must use the `five-whys’ technique to determine root cause;
d) None of the above are correct.

7) In order to achieve a satisfactory Environment for the operation of processes, the following arrangements are required:

a) implementation of the 5S in production areas;
b) periodic housekeeping audits, with a review by management;
c) waste disposal facilities to be accessible to all employees;
d) None of the above are mandatory.

8) The requirements for Competence — on-the-job-training

a) do not apply to contract or agency personnel;
b) include regulatory or legislative requirements;
c) require that persons whose work can affect quality are informed about the consequences of nonconformity to customer requirements;
d) Only (b) and (c) are correct.

9) For which of the following quality system elements is a documented procedure mandated?

a) Control of documented information
b) Product safety
c) Contingency plans
d) Layout inspection and functional testing
e) None of the above – there are no explicit requirements for procedures.

10) An Internal laboratory facility must be accredited to ISO/IEC 17025 (or equivalent). Is this statement

a) true?
b) false?

11) For which of the following quality system elements is a documented process mandated?

a) Continual improvement
b) Problem-solving
c) Supplier monitoring
d) Error-proofing
e) Engineering specifications
f) All of the above require a documented process.

12) With regard to Quality objectives,

a) top management must ensure that quality objectives are defined, established, and maintained to meet customer requirements;
b) top management must ensure that quality objectives are defined, established, and maintained for relevant functions, processes, and levels throughout the organisation;
c) the requirements of interested parties must be considered when the organisation establishes its quality objectives and related performance targets;
d) All of the above are correct.

13) The requirements for controlling Appearance items include

a) the need for appropriate resources including lighting for evaluation,
b) masters for colour, grain, gloss, metallic brilliance, texture, distinctness of image, and haptic technology, as appropriate;
c) an annual eyesight test for all personnel assessing visual characteristics such as grain, colour, etc.
d) Only (a) and (b) are correct.

14) In respect of Customer satisfaction, the organisation must include incidents of premium freight. Is this statement

a) true?
b) false?

15) In respect of Responsibility and authority for product requirements and corrective actions, production operations across all shifts must

a) include independent inspectors;
b) include personnel from the quality department;
c) be staffed with personnel in charge of, or delegated responsibility for, ensuring conformity to product requirements;
d) include trained internal quality auditors.

16) Methods for Error-proofing must

a) include the testing of error-proofing devices for failure or simulated failure;
b) be determined after product approval;
c) be used in each production process;
d) be included on the skills matrix.

17) The Control of Suspect product requires that

a) suspect product is placed in a bonded store pending disposition;
b) all appropriate manufacturing personnel receive training for containment of suspect and nonconforming product;
c) suspect product is controlled in a similar manner to non-conforming product;
d) suspect product is reworked to the latest specification;
e) Only (b) and (c) are correct.

18) Regarding the Verification of job set-ups,

a) job set-ups must be verified whenever performed;
b) there must be documented information available for set-up personnel;
c) the organisation must use statistical methods where applicable;
d) All of the above are correct.

19) Organisation manufacturing feasibility

a) requires a multi-disciplinary approach;
b) is required when there is manufacturing or product technology new to the organisation;
c) is required only during design and development;
d) None of the above are correct;
e) Only (a) and (b) are correct.

20) Contingency plans are required

a) only in respect of events which potentially contravene legislation;
b) for continuity of supply in case of events such as utility interruptions, labour shortage;
c) only to address potential environmental disasters.

21) The organisation must have a process for Employee motivation and empowerment to achieve

a) quality objectives and make continual improvements;
b) the greatest possible production volumes;
c) the best financial results possible.

INTERNAL AUDIT PRACTICE

*** Note. Some questions in this section do not directly relate to ISO 9001 / IATF 16949

22) Internal audit programme requires that internal audits shall cover the entire quality system. Is this statement

a) true?
b) false?

23) Internal auditor competency requires that

a) internal auditors are trained in accordance with BS EN ISO 19011;
b) internal auditor competency complies with any applicable customer-specific requirements;
c) Neither of the above are correct.

24) According to BS EN ISO 19011 Personal behaviour, an auditor should be

a) friendly
b) argumentative;
c) observant;
d) communicative;
e) All of the above.

25) When interviewing personnel during an audit, the auditor should ask

a) only leading questions which suggest to the auditee the expected answer;
b) only closed questions which enable the auditee to respond with a short answer;
c) open questions (what, where, when, how, etc.) where appropriate, to obtain detailed information about the process or activity.

26) According to ISO 9001 and IATF 16949 Management review inputs, which of the following must be included as an input to management review

a) cost of poor quality
b) measures of process effectiveness
c) results of audits
d) All of the above are correct
e) Only (a) and (c) are correct.

27) The requirements for internal quality audit require that Product audit

a) must be carried out by the same personnel who manufactured/assembled the product;
b) must be carried out at least once during each production shift;
c) must be carried out at appropriate stages of production and delivery;
d) may be carried out only on finished product (dock audit).

28) When auditing the IATF 16949 system,

a) the IATF Automotive Process Approach should be adopted;
b) use of a turtle diagram is mandatory;
c) the audit should focus on the clauses of the relevant procedure;
d) a standard checklist must be used.

29) Internal auditors

a) may audit their own work provided that they accurately report the findings;
b) shall not audit their own work (impartiality is required).

30) To address a nonconformity arising from an audit, corrective action should

a) be directed only at the specific objective evidence found during the audit;
b) be determined following the identification of the root cause of the concern;
c) be implemented to address the root cause of the concern;
d) Only (b) and (c) are correct.

CORE TOOLS AND TECHNIQUES

Note. Where stated, some questions in this section relate to the AIAG core tools manuals (APQP, FMEA, MSA, SPC, & PPAP).

Some questions relate directly to IATF 16949.

Advanced Product Quality Planning (APQP) and Production Part Approval Process (PPAP)

31) AIAG APQP manual. Which of the following activities is generally regarded as a key element of APQP?

a) Multidisciplinary team
b) Identification of special characteristics
c) Feasibility reviews
d) All of the above.

32) IATF 16949. In respect of Product Approval Process, the organisation must

a) use the AIAG Production Part Approval Process (PPAP);
b) use a process defined by the organisation;
c) conform to a product and manufacturing process approval process defined by the customer.

33) According to the AIAG PPAP Manual, which level of PPAP is designated as the default level?

a) Level 1
b) Level 2
c) Level 3
d) Level 4
e) Level 5

34) Which of the following statements is NOT correct?

a) A key aim of APQP is to promote early identification of required changes;
b) APQP is a mandatory requirement of IATF 16949;
c) According to IATF 16949, a supplier must use a product approval procedure which is recognised by the customer;
d) A key aim of APQP is to provide a quality product on time at the lowest cost.

35) AIAG PPAP manual. Is a process flow diagram required as part of the PPAP documentation / records?

a) Yes
b) No

Failure Mode and Effects Analysis (FMEA) and Control Plan

36) AIAG FMEA manual. When applying the technique of FMEA,

a) the Risk Priority Number (RPN) may be used to identify where improvement action is required;
b) As a priority, the team should always consider improvement action for Severity ratings of 9 or 10;
c) Both of the above are correct.

37) According to IATF 16949 Design and development planning an FMEA may be carried out successfully by either a multi-disciplinary team, or a competent individual. Is this statement

a) true?
b) false?

38) According to IATF 16949, within the process of product realisation, a control plan is mandatory

a) only at the production stage;
b) during both the pre-launch and the production stages;
c) as for (b) above, and also at the prototype stage when required by the customer;
d) None of the above are correct; a control plan is actually not mandatory.

39) According to IATF 16949, Special characteristics must be identified on risk analyses (FMEA) and control plans using (as applicable) either the customer’s symbols, or the organisation’s equivalent symbol / notation. Is this statement

a) true?
b) false?

40) According to IATF 16949 Control plan,

a) a control plan is required to incorporate information from the design risk analysis, process flow diagram, and manufacturing process risk analysis (e.g. PFMEA);
b) control plans should be developed at the system, subsystem, component and/or material level;
c) the control plan must be reviewed and updated when there is a change to the FMEA;
d) All of the above are correct;
e) Only (b) and (c) are correct.

Measurement Systems Analysis (MSA)

41) According to IATF 16949 Measurement system analysis, a measurement system is acceptable if the variation is

a) less than 10% of product tolerance;
b) no greater than 30% of the process variation;
c) between 10% and 30% of product tolerance;
d) None of the above are correct; IATF 16949 does not specify evaluation criteria for MSA.

42) IATF 16949 Measurement system analysis, requires that as a minimum measurement system studies must include

a) a repeatability and reproducibility study (gauge R & R study);
b) each type of measurement system identified in the control plan;
c) revalidation of each study at intervals of no greater than 12 months.

43) AIAG MSA manual. A measurement system study should involve personnel

a) who are the most skilled in using that particular measurement system;
b) who have been specially selected, to ensure that a range of levels of skill are represented in the study;
c) who have been selected from amongst the normal users of the measurement system;
d) None of the above are correct.

44) AIAG MSA manual. Measurement system studies

a) can be applied to attribute gauging activities (‘go / no-go’ gauges);
b) can be applied to instruments which have a measurement scale (e.g. micrometer, digital calliper);
c) Neither of the above are correct;
d) Only (a) and (b) are correct.

45) AIAG MSA manual. When carrying out a gauge R&R measurement study,

a) more than one appraiser (operator), should be involved in the study;
b) the measurement device should be confirmed as calibrated, and in good working order before commencing the study;
c) Both of the above are correct.

Statistical Process Control (SPC) and Process Capability

46) According to IATF 16949 Identification of statistical tools and Application of statistical concepts,

a) appropriate statistical tools must be determined during advanced quality planning;
b) statistical tools must be included in the control plan;
c) basic statistical concepts must be understood only by production personnel;
d) basic statistical concepts must be understood by employees involved in the collection, analysis, and management of statistical data.
e) All of the above are correct;
f) Only (a), (b) and (d) are correct.

47) AIAG SPC manual. The main purpose of an SPC control chart is to

a) accept or reject the product in relation to the specification;
b) monitor the stability (consistency) of the process;
c) signal the presence of special causes of variation;
d) Only (b) and (c) are correct.

48) AIAG SPC manual. Decision rules used to interpret control charts include

a) a single point beyond a control limit;
b) a run of seven consecutive points, all increasing or decreasing;
c) a run of seven consecutive points, all above or all below the centre line of the chart;
d) any non-random pattern;
e) All of the above are correct.

49) AIAG SPC manual. Which of the following control charts is designed for charting attribute (counted) data?

a) p chart
b) c chart
c) np chart
d) u chart
e) All of the above charts are designed for attribute data.

50) IATF 16949 Monitoring and measurement of manufacturing processes requires that

a) as a minimum, production personnel are competent in the use of an X-bar & R control chart;
b) a Cpk of at least 1.33 is necessary to demonstrate capability;
c) a pareto chart is used to analyse customer complaints and returns;
d) None of the above are correct;
e) Only (a) and (c) are correct.