Rules 5th Edition Frequently Asked Questions 9 and 10 Released by IATF®

Understanding the IATF Updates by Bob Dornhecker

The IATF® recently released Rules 5th Edition Frequently Asked Questions (FAQs) 9-10


This FAQ released on December 15, 2022, provides guidance and insight on Rules 5th Edition SI 26 that was released earlier in 2022.  As a reminder, Sanctioned Interpretation (SI) 26 is a risk-based scheduling and audit approach required to be applied by the Certification Body (CB).  SI 26 requires the CB to add additional audit time for Tier one suppliers (i.e.: suppliers that ship directly to an IATF® OEM automaker) that has a customer satisfaction issue (i.e.: red score) on the IATF® OEM supplied scorecard.  This additional time varies between 4 hours and 6 hours, based upon the amount of red scores and the number of IATF® OEM automotive customers.

IATF 16949® Tier one (IATF® OEM automaker supplier) site focus: 

Although the guidance of FAQ 9 is presented for the CB, the certified organization could use this guidance to help improve their system and prepare for their next CB audit.  Whenever your customer scorecard identifies a red item, especially if your customer is an IATF® OEM automaker, your organization needs to approach this as a significant development.  You can be sure that the scorecard conditions will be your certification body’s primary focus.

Guidance given by FAQ 9 (including audit trail suggestions) includes:

  1. Ensuring interface focus with support processes (either on site or off site supports)
  2. Ensuring any corrective actions taken are complete, with a root cause and long-term countermeasure that prevents recurrence. Also, the corrective action needs to “read across” to other products and processes (i.e.: actions are applied to other appropriate production lines and process areas).
  3. Systemic investigation to identify similar failure modes-not just focusing on initially identified problems or the problem manufacturing cell
  4. APQP output updates and read across (i.e.: effective change management and updates)
  5. Leadership driving an improvement culture that sustains improvement over time
  6. Internal audits focusing on the actions taken and impact to other areas of the organization
  7. Prevention actions in place and validated.
  8. Standardized processes are updated, and staff is aware of those updates

Of course, having evidence to support the actions taken is necessary to prove the activities to interested parties, including customers, auditors, and top management.

Certification Body focus:

If the organization’s IATF® OEM scorecard(s) show a red condition, the steps outlined above will be utilized by your CB auditor during the audit event.  Remember, Rules 5th edition SI 26 requires the auditor to audit an additional 4-6 hours and the focus of those extra hours will be the list identified above.  The evidence will provide either good assurance that the organization has the problem and systemic issues well under control and have improved their quality system to help prevent another occurrence, or that the organization only focused upon correcting the issue and not applying systemic change.  The risk of a major non conformance grows when the actions taken are more correction (fixing the issue) versus corrective action (fixing the system).

FAQ 10

FAQ 10, released on December 15, 2022, provides guidance and insight on Rules section 3.2, which includes requirements for notification of the certification body of changes to the organization.  For FAQ 10, the focus is upon a certified site moving or relocating to a new physical location.

IATF 16949® certified site focus: 

The impact of this FAQ relates to a site closure and relocation.  If an IATF 16949® certified site has a full physical move after closing the current certified site, then the closed site’s certification will be cancelled, and the new site must conduct a full initial certification (including a readiness review and registration audit).  The certificate can not transfer from one site to a new site.

Certification Body focus:

The FAQ provides the CB with requirements for timing of the certification activities and how to apply a new USI (unique site identifier).  The USI is a specific code for each IATF 16949® registered site and is connected to the site’s address and geographic coordinates.

This insight is provided by simpleQuE consultant and auditor, Bob Dornhecker.  With over 35 years of combined experience in auditing, manufacturing and certification, Bob has an extensive automotive quality background.  Additionally, he has taught and facilitated many quality related training classes for clients and has provided support to companies securing their own ISO/Quality Management Systems certifications.  He also conducts ISO 9001 and IATF 16949® 2nd and 3rd party audits.

SimpleQuE is not associated with the IATF®, IAOB, ANAB®, IAQG®, and is not a certification body. SimpleQuE is an independent consulting, training, and second-party auditing service provider that assists a company on a path to obtain and maintain certification through accredited certification bodies.

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