) 9) Automotive certification scheme for IATF 16949 ci aa ee Rules for achieving and maintaining IATF recognition 5"Edition . \ 15t November 2016 fe YYContents. GLOBAL OVERVIEW OF THE FIRST 3-YEAR IATF 16949 CERTIFICATION CYCLE FOREWORD orev INTRODUCTION 4.0 ELIGIBILITY FOR CERTIFICATION TO IATF 16949. 2.0 IATF REQUIREMENTS FOR CERTIFICATION BODIES. 2.1 IATF certification body recognition requirements. 2.2 Management of impartiality. 2.3 _IATF contractual requirements. 2.4 —_IATF ongoing recognition requirements. Table 2.4 Witness audits 2.5 Certification body de-recognition process. 2.6 Management system requirements. 2.7 — Management review.. 28 — Cortfication body internal system audits 29 Appeals and complaints E 2.10 Notice of changes by a certfiction body . (30 CERTIFICATION BODY CONTRACT REQUIREMENTS WITH THE CLIENT... 3.1 Certification agreement with client... 3.2 Notice of changes by a client.. 4,0 RESOURCE REQUIREMENTS vse 4.1 Veto power qualification ; 7 42 Application process and criteria for IATF 16949 auditors... 4,3. Auditor qualification process 4.4 Certification body internal witness audit process... 4,5. Maintaining auditor certfcation unm 4.8 Certification body internal system eucitor qualification 5.0 IATF 16949 AUDIT PROCESS GENERAL REQUIREMENTS. x. 5.1 Audit and certificate cycies...... CO Table 5.1 Surveillance interval. Figure 5.1 Audit and Certificate oycle.. 52 Audit day determination Table 5.2 Minimum audit days for intial certification stage 2 audit and recertification audit. 5.3 Audit day determination - corporate audit scheme ... 54 Audit day determination — permitted reductions. 55 Supporting activities 8.6 Establishing the audit team. 5.7 Audit planning ~ all audits | 88 Conduéting onsite audit activites. 58 Audit findings. 5.10 Writing the audit report 5.11. Nonconformity management... 5.12 Certification decision... ‘, 5.13. Certification and certificate issuance .... / 5.14 Letler of cOnfOrMANCE wasn Rules for achieving and maintaining IATF recognition -. Fifth edition for IATF 16940 © 2016 - AIAG, © 2016 — ANFIA, © 2016 —IATF France, 4 (©2016 - SMMT,© 2016 - VDA QMC Allis roserved60 AUDITS... 6.1 Application for IAT 16949 certification 6.2 Application review.. 63 Pre-audit.. 64 Initial audit: ae 65 Stage 1 readiness review activities. 66 Stage 2 autit..... 6.7 Surveillance audit. 6.8 Recertification audit. 7.0 OTHER AUDIT TYPES. 7A Transfer audi... 7.2 Special audits. 8.0 CERTIFICATE DECERTIFICATION PROCESS. 8.1 Initiation of the decsttification process. 8.2 Analysis of situation. 8.3 Certificate suspension deci 84 Verification nnn 8.6 Reinstatement / withdrawal decision 8.6 Certificate reinstatement... 8.7 Certificate withdrawal. 88 The overall decertification process... 9.0, RECORDS REQUIRED OF THE CERTIFICATION BODY .. 9.1 Certification records. 9.2 — Personnel records... 10.0 TERMS AND DEFINITIONS.. ANNEX 1.1 — TABLE FOR VERIFYING THE COMPLETENESS OF THE PROCESS - ORIENTED AUDITING VERSUS IATF 16949 REQUIREMENTS... 58 ANNEX 1.2 — EXAMPLE TABLE FOR VERIFYING THE AUDITING OF MANUFACTURING ON ALL SHIFTS ANNEX 2 ~ AUDIT DAY CALCULATION EXAMPLES. ANNEX 3 — TABLE FOR DOCUMENTING THE OUTPUT OF THE AUDIT PLANNING PROCESS. ANNEX 4 ~ ELIGIBILITY CRITERIA FOR THE CERTIFICATE STRUCTURE .. 7 x Rules for achieving and maintaining iATF recognition —- Fifth edition for ATE 16940 ‘© 2016 - AIAG, © 2016 — ANFIA, © 2016 — IATF France, ©2016 - SMMT,© 2016 - VDA QMC fe