The document provides information about changes to the ISO/TS 16949 Rules 4th Edition from Charles Blair, the Automotive Program Manager for DQS-UL Group. Some key changes include increased focus on process performance, tracking customer complaints, auditing shift transitions, and ensuring all processes are covered across all shifts. The rules also clarify audit planning requirements, nonconformity management, and certificate structure/content. Clients can expect impacts in areas like audit preparation, conduct, nonconformity management, and certification.

1. Amendment
ISO/TS - Rules 4th Edition
Charles Blair
Automotive Program Manager US & CN
January 3 2014
DQS –UL Group

2. Questions
Please save any questions to the end of the presentation. I will address
any questions or concerns you may have as soon as possible.
Charles Blair, Charles.E.Blair@us.dqs-ul.com
I will not be able to offer any suggestions on implementation plans or
consult in any way.
I will be able to answer any Accreditation concerns and how the new
Rules may affect your organization
Each Client is responsible to have a copy of the R4 document
DQS –UL Group

3. Section 1.0 – Eligibility for Certification to ISO/TS 16949
Foreword and Introduction
DQS –UL Group
• Public information about the validity of IATF
recognized certificates can be found at
www.iatfglobaloversight.org.
• ISO/TS 16949 defines the quality management
system requirements for a client providing
design and development, production and, when
relevant, assembly, installation, and services
(see the definition of “Manufacturing” for the
list of services) of automotive-related products.

4. Background
While UL-DQS certified clients are required to meet
the TS16949 Specification, certification bodies like
UL-DQS are required to meet the rules.
The TS Rules govern certificates, contracts between
certification bodies and suppliers, audit length,
timing and conduct, and auditor qualification.
The new rules go into effect April 1, 2014.
DQS –UL Group

5. Why change the rules?
Changes to the rules
are geared mainly
toward changing the
behavior of certification
bodies to ensure that
all automotive suppliers
worldwide are held to
the same high
standards.
DQS –UL Group

6. What should I expect?
Clients
can
expect
impact on
the
following:
• Audit Preparation
• Audit Conduct
• Nonconformity
Management
• Certificate Content and
Certification Structure
DQS –UL Group

7. Audit Preparation
The following are required to be provided to the lead auditor in
advance of the audit:
• The clients quality management system documentation, including evidence about
conformity to the ISO/TS16949 requirements and showing linkages to any remote
support locations and or outsourced processes (Typical evidence is the quality manual)
• Customer and internal performance data since the previous audit.
• Customer satisfaction and complaint summary since the last audit
• Identification of any customer special status condition since the previous audit (i.e. Q1
Probation or revocation, CS1 or CS2, New Business Hold)
• Notification of any new customers since the last audit
• Results of internal audits.
We now have a new form we will be asking you to help us complete.
DQS –UL Group

8. Audit Conduct
In addition to completing our new form,
you can expect a one hour meeting before
the opening meeting to ensure that any
changes since the audit plan was prepared
are accounted for in the audit plan.
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9. Audit Conduct – Expect More Focus Here
More focus on tracking
customer complaints
through to updates in
control plans, FMEA’s and
auditor evaluation of
effective implementation
For all processes assessed
the auditors will need to
document in the report a
summary of the process
performance against
targets and action plans
where targets are not
met. Tip: To ensure a
smooth audit – make sure
all of your process
owners are prepared to
talk about their
measures, goals and
action plans.
Auditing of shift transition
and overlap
Focus on ensuring all
processes are covered on
all shifts during the three
year cycle – all audits will
continue to cover all shifts
– but now coverage across
the processes must also
be tracked.
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10. Nonconformity Management
Any rewritten minor
nonconformity will become
a major nonconformity and
a major nonconformity will
be written against the
corrective action process.
Tip – Verify your prior audit
nonconformities
yourselves thoroughly
before the next audit.
DQS –UL Group

11. Details on the changes
Copies of the TS rules
can be purchased from
aiag.org. The following
slides provide more
details on the changes.
DQS –UL Group

12. Section 1.0 – Eligibility for Certification to ISO/TS 16949
Client
Customer-specified
production parts
• The entire entity (including all related manufacturing sites and
remote supporting locations) applying for ISO/TS 16949 certification.
• ISO/TS 16949 is applicable to all sites of a client where customerspecified production parts and/or service parts are manufactured.
• Parts that are an integral part of a vehicle. The only customerspecified parts that do not meet this requirement but are to be
included are the following: fire extinguisher, car jacks, and floor
mats.
Manufacturing
• The process of making or fabricating production materials,
production of service parts, assemblies, or heat treating, welding,
painting, plating, or other finishing services of automotive-related
parts” (see ISO/TS 16949, section 3.1).
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Site
• The location at which value-added manufacturing processes occur
(see ISO/TS 16949, section 3.1). Fabless sites are not eligible for
ISO/TS 16949 certification (see section 10.0).

13. Section 1.0 – Eligibility for Certification to ISO/TS 16949
Service parts
• Replacement parts manufactured to OEM specifications that are
procured or released by the OEM for service-part applications
including remanufactured parts.
Aftermarket
parts
• Replacement parts not procured or released by the OEM for service
part applications that may or may not be produced to original
equipment specifications. Sites manufacturing only aftermarket
parts are not eligible for ISO/TS 16949 certification.
Supporting
function
• An onsite or remote facility at which non-production processes occur
and that supports one or more manufacturing site(s) of the same
client.
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Automotive
• Includes the following: Passenger Cars, Light Commercial Vehicles,
Heavy Trucks, Buses, Motorcycles, and to exclude the following:
Industrial, Agricultural, Off-Highway (Mining, Forestry, Construction,
etc.). Aftermarket parts are excluded.

14. Section 1.0 – Eligibility for Certification to ISO/TS 16949
“Subscribing customer” is no longer
used in the IATF Rules but replaced by
“automotive customer.”
When determining product design
responsibility, the certification body
shall allow two options:
• The scope of ISO/TS 16949 audits/
certification shall include all manufacturing
and all ISO/TS 16949 requirements.
• Even if an automotive customer of the client –
whether subscribing to ISO/TS 16949 or not –
does not specifically require e.g. control plans
or FMEAs, the certified client has to
implement the requirements of ISO/TS 16949.
This is the standard and the requirements the
client is certified to.
• 1) Client responsibility, including outsourced
design, or
• 2) Customer responsibility.
• If the client provides evidence that it is not
design responsible, the certification body
shall exclude ISO/TS 16949, 7.3 Product
Design from the client’s audit scope
DQS –UL Group

15. Section 1.0 – Eligibility for Certification to ISO/TS 16949
Site Extensions
Site extensions as
defined previously in CB
Communiqué 2008-002
will no longer exist as
part of the ISO/TS 16949
Certification Scheme.
Existing manufacturing
site extensions will need
to transition to a single
site between April 1,
2014 and April 1, 2015
using the process
described in CB
Communiqué 2013-006.
IATF will withdraw, and
make obsolete, the
current possibility to
include site extensions
effective April 1, 2014.
Clients with current Site
Extensions should direct
?’s to Hoss Parandeh, VP
of Sales & Marketing
•Hoss.Parandeh@us.dqsul.com
•Office 847-279-3336
•Cell 847-502-1521
DQS –UL Group

16. 3.0 – Certification body contract requirements with the client
Summary of the changes:
3.1 d) and e) Changed the requirement from “shall authorize …” to “cannot
refuse”
The contract between the certification body and the client shall address the
following items:
• d) the client cannot refuse the presence of an IATF representative or their delegates,
• e) the client cannot refuse the request of the certification body to provide the final report to
the IATF,
Added in 3.1 that the audit team shall be knowledgeable in the legally
enforceable agreement with the client
Added in 3.2 the failure by the client to inform the certification body of a
change may result in withdrawal of the client’s ISO/TS 16949 certificate
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These statements shall clearly appear in the contract with the client.
Therefore, all contracts shall be updated with the new wording.

17. 3.0 – Certification body contract requirements with the client
The contract between the certification body and the client shall address
the following items:
g) consultants to the client cannot be
physically present at the client's site during
the audit or participate in the audit in any
way.
• Reason for the change: SI1 of Rules 3rd
edition has been reworded to make clear
that consultant cannot physically
participate to the audit, but also in any
other way, using technology such as:
• videoconference,
• e-mails,
• sms …
Failure by the client to inform the
certification body of a change is considered
a breach of the legally enforceable
agreement and may result in the
withdrawal of the client's ISO/TS 16949
certificate by the certification body.
• Reason for the change: Stronger
requirement to allow the certification
bodies to take punitive action if the client
fails to notify the certification body of an
important change.
DQS –UL Group

18. 5.1 – Audit and Certificate cycle
Summary of the changes:
Clarified the target date for scheduling of recertification audits to ensure all certification bodies
and Oversight offices have the same understanding.
The consequences are now clear for not scheduling and conducting the recertification audit
within the timing requirements (-3 months / +0 days).
Added the requirement “recertification decision shall be made before expiration of the existing
certificate” from Figure 5.1 into section 5.1.2 - Certificate cycle. This now makes the requirement
clear for the certification body and the client.
The last day of the first recertification audit shall not exceed three (3) years (-3 months / +0
days) from the last day of the initial stage 2 audit. If timing is exceeded, the client shall start over
with an initial certification audit.
The last day of the subsequent recertification audit shall not exceed three (3) years (-3 months /
+0 days) from the last day of the previous recertification audit. If timing is exceeded, the client
shall start over with an initial certification audit.
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• Even if the closing meeting target date for the recertification audit falls on a weekend or during a holiday

19. 5.2 – Audit day determination
In determining the number of audit days…
An audit day is
typically a full normal
working day of 8
hours. A half of an
audit day is typically a
working day of four
(4) hours.
Each audit shall
include auditing on all
shifts
• An exception to the eight (8) hour working day is when third shift
work is being covered – see section 5.2 b).
• An exception to the eight (8) hour working day is on Day 1 when the
audit day shall be nine (9) hours. Section 5.7.2 a) requires the
auditor to schedule a minimum of 1 hour to verify changes at the
client’s site. The hour is in addition to the normal 8 hour day.
• Expect a later start time for Audits to cover a 2nd shift operation.
• 5.8 n). Multiple shift patterns shall be audited at each audit.
• The minimum audit time in manufacturing shall be a minimum of
one-third of the total audit days.
• For 1.5 audit days (equal to 12 hours), the minimum amount of time
auditing manufacturing should be 4 hours.
DQS –UL Group

20. 5.2 – Audit day determination
Split Employee Count
Section 5.2 (h): if a portion of the site is dedicated to automotive,
then the headcount from that portion can be used to determine
audit time when the following conditions are met:
• approval from the relevant Oversight office is received prior to implementation,
• all automotive manufacturing processes are physically separated from nonautomotive manufacturing (e.g. separate building, permanent barrier in between
auto and non-automotive lines/machines, etc.),
• personnel working in the automotive manufacturing process areas are completely
dedicated,
• all support activity personnel are included in the headcount,
• Note: If automotive mfg processes are integrated on the manufacturing floor with
non-automotive mfg processes, then this requirement cannot be applied.
DQS –UL Group

21. 5.2 – Audit day determination
Split Employee Count: If client meets 5.2 h) then
Certification body shall submit the “IATF Audit Day Reduction”
application form and a waiver form to the appropriate
Oversight office for approval PRIOR to implementing the
reduced headcount for audit day calculation purposes.
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• No grandfathering is allowed. Previously approved sites will
have to resubmit new paperwork.
• Copy of the IATF Audit Day Reduction application form shall
be made available to the auditor during audit planning to
ensure the approved conditions are still met.
• Auditors are required per 5.10 l) to include a written summary
validating that the current conditions in the approved IATF
Audit Day Reduction application form are still in place.

22. 5.2 – Audit day determination
When a client’s scope changes…when do you go on site
for a special audit vs. waiting for the next audit?
It depends upon how
much has changed
(e.g. management,
people, processes,
quality management
system, etc.).
It depends on when
you were notified of
the change by the
client (e.g. 2 months
before the next audit
or 10 months before
the next audit?).
If the next audit is less
than six (6) months
from date of
notification, review
the changes at the
next scheduled audit.
If the next audit is
greater than six (6)
months, then conduct
a special audit (see
Rules 7.2).
DQS –UL Group

23. 5.5 – Remote support location
In situations where remote supporting functions support many sites and these
sites are audited by more than one certification body, the client has two options:
Option 1: Each certification body audits the same remote supporting location(s).
Option 2: A certification body may accept the audit by another certification body of
the remote supporting locations subject to the following conditions being met prior to
each audit.
1. The audit covered the complete product scope of those functions,
consistent with the process-based audit approach,
2. The report given to the client by the CB who audits the remote support
location has to identify the scope that was covered, describe the
interfaces that were audited, and list the manufacturing sites it supports
(see section 5.10)
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24. 5.5 – Remote support location
Option 2 - Continued
3) The client provides…, prior to the site audit, a copy
of audit plan, audit report, all findings, all corrective
actions, & all verification actions by the other CB.
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• The CB (or their lead auditor)receiving the report has to be able to
read or translate the documents to confirm the audit covered the
scope of the functions supporting this site (see item 2) and to
confirm the interfaces were audited (see item 4).
• It is not acceptable just to store the documents created by the
other CB or to accept information in a language that cannot be
understood by the CB.
• The Remote Location documentation must be in a language
understood by the auditor.

25. 5.5 – Remote support location
Option 2 - Continued
4) The information (in the audit report) confirms that all the
interfaces between the remotes supporting location and the site were
audited…
• Note: Deleted from Rules 3rd edition words “…during the stage 1 readiness review…”
5) Verification of the client’s corrective actions was conducted by the
CB that audited the remote supporting location. Copies of all onsite
verification activities reports shall be provided by the client to the CB.
When any of the conditions cannot be met (items 1-5), the CB shall
notify the client and go back to Option 1.
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26. 5.7.1 – Audit planning (Client)
The certification body shall have a process to ensure that audit planning is
completed prior to the start of the onsite audit.
• a) the client’s quality management system
documentation, including evidence about conformity
to ISO/TS 16949 requirements and showing the
linkages and interfaces to any remote support
functions and/or outsourced processes.
• Process map and/or quality manual has to clearly
identify the linkage to remote support location and
outsourced processes or the auditor shall write a
nonconformance!
• A Current Organizational Process Map will be
required by the next scheduled Audit including
detailed references to remote functions as well as
an outsourced processes.
DQS –UL Group
Audit
planning is a
very critical
step in the
audit process
and is very
important to
the IATF.

27. 5.7.1 – Audit planning (Client)
The client shall provide …
Customer and
internal
performance
data since the
previous audit,
Customer
satisfaction
and complaint
summary since
the previous
audit,
including a
copy of the
latest
customer
reports and/or
scorecards,
Identification
of any
customer
special status
condition since
the previous
audit,
Notification
about any new
customers
since the
previous audit,
Results of
internal audits
and
management
review since
the previous
audit.
Note: For
recertification
audits, the
information
provided by
the client
(section 5.7.1,
items b) – f)
shall be
collected for
the period of
certification
(i.e. 3 years)
and analyzed
prior to
developing the
audit plan (see
section 6.8.1 –
Recertification
audit
activities).
DQS –UL Group

28. 5.7.2 – Audit plan
The certification body shall undertake an analysis of the
required information provided by the client to determine
critical areas to be prioritized based upon risk to the customer,
performance trends, and criticality of the process(es). b
• Includes a review of the client’s website to validate the information provided
(i.e. organization structure, customer, support activities, scope of certification,
use of the IATF logo, etc.).
A summary of the client’s performance, the result of the
analysis, and identified priorities shall be recorded and retained
as part of the audit record (see Annex 3) as minimum content.
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29. 5.7.2 – Audit plan
The content of the audit plan ( Agenda ) shall…
Identify the name of client’s
processes to be audited.
• Each activity in the plan shall
reference the client’s process name
and/or number
• Generic activity names can be used,
as long as, the client’s process(es)
name(s) or number(s) are identified
Identify when the interactions
with remote support functions
will be audited.
• Example: Purchasing (client’s
process AE 192) – including remote
support interactions with Korea
Where all of the required
information in 5.7.1 a – f is not
provided by the client prior to
audit plan issuance, time shall
be allocated to collect & review
the missing information prior
to the start of the opening
meeting w/ the site
management team or the
decertification process shall be
initiated (see section 8.1 g).
• Can be included as part of the one
(1) hour for verification of changes.
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30. 5.8 – Conducting on site audit
Each onsite audit shall include the assessing and evaluating …
• Review of IATF OEM customer performance reports
online is covered during the verification of changes prior
to the opening meeting (5.7.2 a).
• Customer complaints and client’s responses for all
customers is reviewed in detail during the appropriate
process activity on the agenda. Prioritize the IATF OEMs.
• Auditors need to take good notes, the final audit report
requires a written summary of client’s performance to
IATF OEM customers and information on actions
implemented when performance was not met ( 5.10 e).
• The client’s process for gathering, communicating, and
implementing customer-specific requirements. Priority
shall be given to IATF OEM members.
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Customer
complaints and
the client’s
responses (for
recertification
see section 6.8),
including a
review of the
applicable IATF
OEM customer
performance
reports online.

31. 5.8 – Conducting on site audit
Each onsite audit shall include the assessing and evaluating …
All shifts where it occurs, including an
appropriate sample of the shift changeover.
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• For the stage 2, recertification, and transfer
audits, all manufacturing processes shall be
audited on each shift. Sampling of shifts and
processes is not allowed.
• At the subsequent surveillance audit cycle, all
manufacturing processes shall be audited on
each shift

32. Auditing on all shifts
Initial, Recertification, or Transfer Audit Example

On each of the 3 shifts, each of the manufacturing processes were audited. The
auditor recorded the line or machine audited in each process on each shift.
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33. Auditing on all shifts
Surveillance Audit Example

As you can see, all manufacturing processes were audited at the annual surveillance
audit, but not every process was audited on every shift.
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34. Auditing on all shifts
The Audit Team Has to:
Audit all
manufacturing
processes
(Stamping, Welding,
Heat Treatment,
Painting &
Assembly) and all
shifts
Include inputs from
the review of
internal and
external
performance data to
make decisions on
where to go and
which
lines/machines are a
priority.
Decide how “deep”
to audit a certain
machine,
workstation, line,
etc. in each of the
manufacturing
processes.
Decide based on
experience whether
to go back to the
same line/machine
on another shift to
verify what was
learned on current
shift or to audit a
different
line/machine on the
next shift.
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35. 5.9 – Audit findings
Reason for the change:
Observation and feedback through Office Assessments, Witness
Audits, and IATF OEMs has shown us that:
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• The level of detail in the objective evidence in many cases is
insufficient or poorly written to enable anyone (other than
the auditor) to really determine the categorization of
nonconformity.
• Too many times witness auditors observe a closing meeting
where the managing director accepts the 4 majors and
numerous minor nonconformities, then turns to the witness
auditor and states the only reason the auditor raised them
“this time” was because he/she was being witnessed.

36. 5.9 – Audit findings
Reason for the change:

The level of nonconformities written at witnessed audits vs non-witnessed audits are
significantly different
- average of 8 per audit compared to 2.74,
- 17% major compared to 4%, and
- 1% audits with zero NCs raised compared to 16%.
This does not provide Value & Credibility to the CB’s, auditor, client, IATF OEM or the
scheme.

6
nc / audit
5
4
3
2
1
0
China
Korea
India
USA
Germany Japan
Thailand Mexico
Brazil
Italy
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16%
14%
12%
10%
8%
6%
4%
2%
0%

37. 5.9 – Audit findings
Summary of the changes:



Additional requirements regarding objective evidence content.
Clarification regarding the impact of terminating audits due to major nonconformities.
IATF is questioning if the # of audits with zero NCR’s is an indicator of soft grading or
are the clients really that good?
45%
Percent of Audits with Zero Nonconformances
39%
40%
35%
31%
30%
27%
25%
22%
20%
20%
18%
15%
19%
15%
15%
10%
7%
5%
China
Korea
India
USA
Germany
Japan
Thailand
Mexico
Brazil
Italy
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0%

38. 5.9 – Audit findings
Example of Major NCR with quantifiable data The additional objective evidence
provided now lets the auditor make a justified categorization. Other people reading the
nonconformity (i.e. veto powers) can also more readily understand the justification of the
categorization.
Nonconformity: The
gauge calibration
system is not fully
effective.
Requirement: ISO/TS
16949:, 7.6(a) states
that “… measurement
equipment shall be
calibrated or verified
at specified intervals
…”
Objective Evidence:
Gage XF 102, a digital
caliper, being used in
work cell 4 was found
out of calibration (over
due by 3 months). 9
other gauges were
checked and found to
be in calibration. The
product is not tested
after work cell 4 prior
to delivery to the
customer
DQS –UL Group

39. 5.10 – Writing the audit report
Summary of the changes:
Written audit reports
• Required for each site and remote
support locations.
• Closing meeting report required
with NCR’s, OFI’s &
recommendation
• Final Report within 15 days
• Requires client signature or
written acknowledgement of
receipt
New content for the audit report –
see 5.10
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• b) total number of employees on
site,
• c) list of all automotive customers
• e) summary of client‘s
performance to IATF OEM
• g) completion of Annex 1.2 table
for manufacturing processes on all
shifts
• k) descibing the interactions with
remote support locations
• l) validation of the current
employees dedicated to
automotive conditions (5.2 h)
• n) copy of final audit plan.

40. 5.10 – Writing the audit report
The final audit report shall …contain the following information:
List of all automotive customers whose requirements were audited during audit cycle.
• Required to keep a running history over the 3 year period of which automotive customer requirements
were audited.
List of all automotive customers and, if applicable, the latest date of their CSR’s.
• List all automotive customer names (OEMs, tier 1, tier 2, tier 3, etc.).
• If the customer does not have CSR’s – show it as “Not Applicable”.
Summary of client’s performance (i.e. product quality, delivery, and special status) to
IATF OEM customers & info on actions implemented when performance not met.
• Often IATF OEMs have read CB audit reports for their problem suppliers and find little detail in the reports
explaining the client’s performance or what actions (and effectiveness of actions) have been taken by the
client when performance was not meeting their expectations.
• Paragraph(s), not a single sentence or a single statement
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41. 5.10 – Writing the audit report
The final audit report shall …contain the following information:
Summary of audited processes (see table in Annex 1.1). …and
written information on the performance of each process audited.
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• Complete Annex 1.1. Renumbered from Rules 3rd edition
• For each of the client’s processes…auditor needs to provide
written information on the objectives, targets planned for the
year, and current status of the client’s performance and what
was investigated when performance did not reach the targets
and if any nonconformities were issued against the process.
• The expectation is that each process have a defined goal and
the summary have details on the progress of the goal and
specific actions taken if the goal has not been met
• This list of processes should align to the processes in the audit
plan (see 5.7.2).

42. 5.10 – Writing the audit report
The final audit report shall…contain the following information:
If a remote support location is included as part of
this (site audit) report, the report shall include their
address, their function(s), a list of sites it
supports, and a written description of the
interactions that were audited for the support
location.
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• Functions listed for the remote support location
(e.g. purchasing, warehousing, management, etc.)
shall match the list of functions in the IATF DB –
see section 5.13 of this presentation for the
current list.

43. Observation and feedback
through Office & Witness Audits
indicated the process was
inconsistently applied. IATF
believes in may cases this had led
to ineffective nonconformity
management by both clients &
CB’s, i.e. major nonconformities
100% resolved, no onsite followup prior, 100% resolved has been
adopted as the standard approach
for all nonconformities by some
CB’s.
Introduction of client
responsibilities including
submission timing requirements
of 60 calendar days.
Redefined CB responsibilities.
Introduction of impact of failure
to close within 90 calendar days.
Clarification regarding the use of
100% resolved.
Mandatory onsite verification for
major nonconformities and
related requirements.
DQS –UL Group
The requirements needed further
enhancement to drive the right
process and achieve the benefits
of effective problem solving
through nonconformity
management.
Summary of the changes
Reason for the change:
5.11 – NC management

44. 5.11.2 CB Responsibility
CB shall require client to submit within 60 calendar days of the closing meeting of the site
audit, evidence of the following:
• implemented correction,
• root cause including methodology used, analysis, and results,
• implemented systemic corrective actions to eliminate each nonconformity, including consideration of the impact to
other similar processes and products,
• verification of effectiveness of implemented corrective actions.
CB shall review the submitted information and make a decision regarding acceptability
within a maximum of ninety (90) calendar days from the closing meeting of the site audit.
If found acceptable, the nonconformity shall be closed and the CB shall verify effective
implementation of the identified corrective actions at the next audit
Note: Next audit is understood to be the next scheduled audit (surveillance or
recertification).
DQS –UL Group

45. 5.11.2 - CB responsibility
If found not acceptable
• The CB shall resolve the outstanding issues with the client within a maximum of ninety (90)
calendar days from the closing meeting of the audit.
• If resolution cannot be completed, the final audit result shall be considered failed and the
IATF database shall be updated. The certification decision shall be negative and the client
shall start over with an initial certification audit.
• The current valid certificate shall be immediately withdrawn
5.11.2 - 100% resolved: In exceptional case(s) where the implementation of
corrective actions cannot be completed within a maximum of ninety (90)
calendar days from the closing meeting of the site audit, the CB shall
consider the nonconformity open but 100% resolved.
The expectation is that if it takes more than 90 days to resolve, why was
the Finding not identified as a Major Nonconformance.
DQS –UL Group

46. 5.11.1 – Nonconformity Management
Exceptional Case Examples: Allowed Where the Corrective Action includes:
A new piece of equipment (machine, testing or handling equipment) is required and the lead time for delivery / installation is more than
90 days.
A new IT system is required and the delivery / installation is more than 90 days.
Building of a new facility has been identified i.e. warehouse and the build phase is more than 90 days.
A problem is found with information on drawings or specifications and maybe the company has 2000 to update. It may not be
practical to update all within the 90 days. In this case we would look for good containment and a plan for updating (maybe it will
be updated when the drawing/spec is next used in production), but this could take for example 1 year to complete.
A problem is found in a design process, where the process/procedure may be updated, but evidence of full implementation may not be
until the next project is instigated, which could be more than 90 days.
DQS –UL Group

47. 5.11.2 - 100% resolved
Conditions for allowing
a) containment of the condition to prevent risk to the customer has been
taken, including a review of the systemic impact on the client’s process,
b) documented evidence of an acceptable action plan, instructions, and
records to demonstrate the elimination of the nonconformity
condition, including a review of the systemic impact on the client’s process,
c) scheduled onsite follow-up audit based on the accepted action plan and
prior to the next audit, (Note this is an additional audit before the next
scheduled surveillance or recertification audit)
d) in situations where 100% resolution has been determined, the CB shall
maintain records of the justification.
DQS –UL Group

48. 5.11.3 - Onsite verification
A major nonconformity shall require onsite verification of the corrective action within a maximum of 90
calendar days from the closing meeting of the site audit.
If the accepted corrective action plan for a major nonconformity is found not effectively
implemented, the audit result shall be considered failed, the IATF database shall be updated, and the
certificate withdrawn (see 8.4)
Onsite verification of the corrective action for a minor nonconformity within a maximum of 90 calendar
days from the closing meeting of the site audit is at the discretion of the CB based on knowledge &
experience.
If the accepted corrective action plan for a minor nonconformity is found not effectively implemented, a
new major nonconformity shall be issued against the corrective action process (TS 8.5.2) & the previous
minor nonconformity reissued as a major nonconformity. Immediate Suspension is initiated.
CB shall issue a supplemental report to the client after verification of corrective action is
complete, which shall include the verification details of each nonconformity.
DQS –UL Group

49. 5.13 – Certificate issuance
The content of the certificate shall…
• b) include only all design and manufacturing activities for automotive-related
products and services meeting the applicability of ISO/TS 16949
To ensure consistency, certificate scope statements shall be stated as:
• “design and manufacturing of widgets”,
• “manufacturing of widgets” or “manufacturer of widgets”
• “assembly, heat treat, welding, plating, painting, etc. of widgets”
• Shall not include: For the auto
industry, Development, Sales, Engineering, Servicing, Warehousing, Sequencing, etc.
DQS –UL Group

50. 5.13 – Certificate issuance
The content of the certificate shall ...
Include in the appendix the remote supporting
functions that are part of the quality
management system and have been audited.
DQS –UL Group
• Remote support location will no longer be allowed on the
front page of certificate. Has to be included in an appendix.
• Complete address and functions
• The functions shall match the list identified in the IATF
database. No longer use the function names provided, or
requested, by the client.
• If a remote supporting function supports more than one
site, it shall appear on each site certificate.

51. Current List of Support Functions
from IATF DB
DQS –UL Group

52. 5.13 – Certificate issuance
The content of the certificate shall…
k)
Include the IATF logo in equal prominence with the certification body logo on each
certificate page. Client logos are not permitted on the certificate.
l)
Not include CB membership logos on the certificate (e.g. IQ NET, etc.).
o)
Not reference other standards for which the CB is not recognized by IATF (i.e. ISO
9001).
o)
Existing certificates bearing the client logos, CB membership logos, site
extensions, or with support functions names that do not match the IATF Database
list have to be updated between 1 April 2014 – 1 April 2015.
DQS –UL Group

53. Questions ?
DQS –UL Group