R20.55IATF IATF 16949 Documentation Review

R20.
55IATF IATF 16949 Documentation Review
The client (organization) applying for certification or transitioning to IATF 16949:2016 shall provide SRI with the
following and documentation for each certified manufacturing site and supporting function(s) on-site or remote. This
form must be completed by the client and submitted along with supporting information. This information is
required prior to the audit and should be received at SRI /submitted to the assigned Lead Assessor ten weeks prior
to the scheduled event and accepted by the Lead Assessor at least eight weeks prior to the scheduled event. It
applies to both manufacturing sites and remote support locations (RSLs). The on-site transition audit shall not
begin until the minimum required information for the off-site documentation review has been submitted and
reviewed by the SRI Auditor.
1Please forward the completed form (Microsoft WORD preferred) and attachments to our office via e-mail:
E-mail: to your customer care coordinator [first initial+ last name]@sriregistrar.com (e.g., smazur@sriregistrar.com)
Or: Direct to your assigned Auditor with notice to SRI at time of submittal.
PLEASE P R I N T – To be completed by the client

Completed by Date
Company name
Street address, city,
state
Auditee (SRI certificate
number):
Contact’s name and
phone number:
Contact’s e-mail
address:
Scope of Certification:
Product design (Product design not to be confused with Process Design and Development)
exclusion (includes
subcontracted design):
Remote support location(s) Name, address, and number of employees (including full time, part
for Certification and time, contractors, temporary, subcontractors on-site)
Extended Sites
IATF 16949 Documentation Review Form Date: 10/17/17

©2017 by SRI Quality System Registrar Form Revision: 4
All rights reserved Page: 1 of 9
Form: Document1
Remote support location(s) Name, address, and number of employees (including full time, part
for Certification and time, contractors, temporary, subcontractors on-site)
Extended Sites
Where a support function (on-site or remote) has not completed a transition audit to IATF 16949:2016, a
complete Gap Analysis for each manufacturing site and support function/location (on-site or remote) is
required. Note: A complete gap analysis must be available at the manufacturing site’s audit – in a situation
where the organization does not provide the gap analysis and detailed action plan, the audit at the
manufacturing site shall be considered Failed [refer to IATF transition strategy revision 4 (or most current
revision), transition audit requirements section (approx. pages 8 and 9), and transition strategy FAQ 12
(approx. page 16)] and the site shall be required to undertake a full initial audit.
SRI Auditor to Complete

Clause Item Requirement Submitted Verify Accepted
Yes No N/A On-Site Yes No
Gap Organization to Is there a complete Gap Analysis for
Analysis complete prior to each: (Applicable only to Manufacturing
documentation Sites Receiving or Providing Support
review activities and the support locations.)
 Manufacturing site and any
 Remote support function/ location
Gap Organization to To close the gaps between current
Analysis complete prior to quality management system and the new
documentation requirements – is there an action plan?
review
 Timing
 Key Milestones
 Responsibilities
 Status
Part I: Documentation – An off-site documentation review shall be conducted prior to the transition audit. This
off-site documentation review shall include as a minimum a review of the client’s quality management system
Form: Document1
documentation (i.e., quality manual and procedures), including the evidence of conformity to IATF 16949
requirements for each certified manufacturing site and supporting function(s) on-site or remote.
Note: if the organization does not provide the minimum required information, the on-site transition audit shall
not begin. It is at the discretion of SRI to schedule additional audit time on-site to conduct an in-depth review
of the documentation provided by the client prior to the audit. (***See last page to add time.) The on-site
transition audit shall not begin until the minimum required information for the off-site documentation
review has been submitted and reviewed by the SRI Auditor.
Organization to SRI Auditor to Complete

complete –
Clause Requirement Submitted Accepted
quality manual Verify
reference Yes No On-Site Yes No
7.5.1.1 a) The scope of the quality
management system including
details of and justification for
any exclusions (ISO 2015 –
4.3);
7.5.1.1 b) Documented processes
established for the quality
management system, or
reference to them;
7.5.1.1 c) The organization’s processes
and their sequences and
interactions (input and outputs),
including type and extent of
control of any outsourced
processes;
7.5.1.1 d) A document (i.e., matrix)
indicating where within the
organization’s quality
management system their
customer-specific requirements
are addressed.
7.5.1.1 Organization to The format and structure of the
complete, when quality manual:
applicable, If a series of documents are used,
Quality Manual then a list shall be retained of the
as a list of documents that comprise the
documents quality manual of the organization.
Instructions for the below table: If a requirement is listed in black font, it is part of the minimum required
information needed for the off-site documentation review. Requirements listed in red font indicate not required
to be submitted prior to the on-site audit and verification can be conducted on-site.

Form: Document1
Various Requirement – Black font is required for
complete –
clauses off-site doc review. Red font is not required
documented Submitted Accepted
of IATF to be submitted prior to the on-site audit, Verify
information verification will be done on-site.
16949 Yes No On-Site Yes No
source
4.4.1.2 Product safety
5.2.2 Quality Policy (ISO 2015)
5.3.1 Organizational roles,
responsibilities, and authorities –
these assignments shall be
documented
6.1.2.1 Documented information as
evidence of the results of risk
analysis
6.1.2.2 Preventive action – process
to lessen the impact of negative
effects or risk.
6.1.2.3 Contingency plans
6.2.2.1 (6.2.1 ISO 2015) Quality
objectives and planning to achieve
them – quality objectives to meet
customer requirements are defined,
7.1.5.2.1 (7.1.5.1 ISO 2015)
Calibration/verification records
7.1.5.3.1 Internal laboratory – shall
have a defined scope.
7.2.1 Competence – supplemental
7.2.3 Internal auditor competency
7.3.1 Awareness – documented
information that demonstrates that all
employees are aware…
7.3.2 Employee motivation and
empowerment
7.5.3.2.1 Record retention policy
7.5.3.2.2 Engineering specification
8.3.1.1 Design and development
8.3.2.3 Development of product with
embedded software – the
organization shall use a process for
quality assurance….
8.3.3.1 Product design input –
process to deploy information gained
from previous design projects,
8.3.3.3 Special characteristics –
process to identify special
characters,
Form: Document1
complete –
source
8.3.4.1 Monitoring – measurements
at specified stages during the design
and development of products and
processes...shall be defined,
8.3.4.4 Product approval process
8.4.1 evaluation, selection,
monitoring of performance re-
evaluation of external suppliers (ISO
2015)
8.4.1.2 Supplier selection process
8.4.2.1 (8.4.2 ISO 2015) Type and
extent of control – supplemental
(outsourced process)
8.4.2.2 Statutory and regulatory
requirements
8.4.2.4 Supplier monitoring
8.4.2.4.1 Second party audits –
second part audit process…
Documented criteria for determining
need, type, frequency, and scope of
second party audits.
8.5.1 (ISO 2015) Control of
production and service provisions –
defines characteristics of products,
services, or activities to be
performed.
8.5.1.2 Standardized work –
operation instructions and visual
standards – included within rules for
operator safety.
8.5.1.3 Verification of job set-ups –
documented information for set-up
personnel.
8.5.1.4 Verification after shutdown –
define necessary actions to ensure
product compliance…
8.5.1.5 Total productive maintenance
– documented total productive
maintenance system.
8.5.2.1 Identification and traceability
– documenting traceability plans.

Form: Document1
complete –
source
8.5.5.1 Feedback of information from
service – process for communication
of information on service concerns…
8.5.6.1 Control of changes
supplemental
8.5.6.1.1 Temporary changes – if
alternate methods used
8.7.1.4 Control of rework product
8.7.1.5 Control of repaired product
8.7.1.7 Nonconforming product
disposition
9.1.2 (ISO 2015) determine the
methods for obtaining, monitoring,
and reviewing customer satisfaction.
9.2.2.1 Internal audit program
10.2.3 Problem solving
10.2.4 Error-proofing
10.2.5 Warranty management
process – when the organization is
required to provide warranty… The
organization shall implement a
warranty management process.
10.3.1 Continual improvement
Part II: Additional information – evidences about conformity to IATF 16949 requirements.

Clause Item Requirement Submitted Accepted
Yes No Yes No
See IATF Organization to A document (i.e., matrix) indicating where
OEM complete – within the organization’s quality management
CSRs customer system their customer-specific requirements
specific are addressed.
requirements

Form: Document1
Clause Item Requirement Submitted Accepted
Yes No Yes No
9.3.2.1 / Organization to A complete new management review against
9.3.3.1 provide – IATF 16949:2016. This may be accomplished
evidence of a through the combination of a previous
complete management review in compliance with the
management ISO/TS 16949:2009 requirements and a
review and supplement management review in compliance
review results with the additional requirements of IATF
16949:2016
9.2.2 Organization to A complete internal system audit against IATF
provide – 16949:2016 prior to the transition audit
evidence of a conducted by an IATF-recognized certification
complete internal body.
system audit and
This should be demonstrated through a
audit results
complete full system audit against IATF
16949:2016. However, at the time of the
transition audit, this may be accomplished
through the combination of a previous system
audits with the ISO/TS 16949:2009
requirements and a supplement system audits
in compliance with the additional requirements
of IATF 16949:2016
As required in 7.5.1.1 d) – List of IATF OEM Customer Information
SRI Auditor to
Organization to Complete - IATF OEM Customers
Complete
Included in QMS
IATF OEM Supplier Code Customer Specific Requirement
Yes No
GM
Ford
FCA USA
LLC
VW
Daimler /
Mercedes
FCA Italy
SpA
Renault
PSA
BMW

Form: Document1
SRI Auditor Comments:
To be completed ONLY by the SRI Auditor:

SRI Lead Auditor Name:
Off-site Review Date:
*** It is the responsibility of the SRI Auditor to complete the R20.102S “IATF 16949 Surveillance and Renewal Planning”
record and identify the results of the off-site documentation review and pre-planning event. If additional review time on-
site is needed to review documentation, the SRI Auditor shall revise the audit plan to conduct an additional in-depth
review of the documentation provided by client prior to the start of the first day of the audit. This additional documentation
review shall not be a part of the required one (1) hour pre-planning meeting.
SRI Guidelines for where the documentation has not been submitted or the submitted documentation does not meet the
minimum requirement:
1. The on-site transition audit shall not begin until the minimum required information for the off-site documentation
review has been submitted and reviewed by the SRI Auditor.
2. Documentation has been submitted for off-site review but does not address all the requirements. The auditor has
determined that the missing requirements may be addressed in other documentation - One (1) hour to four (4) hours
should be added.
***If required, additional audit time on-site prior to the start of the first day of the audit
[list specific number of hour(s)]:
On-site Review Date (if required):
COMMENTS:

Form: Document1
On-Site Review and Verification:
Remote Support Version of Std. Completion If audited to Version of Std. of If Transition to

Function Audited to at this Date of ISO/TS last Internal Audit IATF 16949
(Received from): event Audit at 16949, what of Function has not been
(ISO/TS 16949:2009 RSL is planned (ISO/TS 16949:2009 completed did
or IATF 16949:2016 - Transition or IATF 16949:2016 - client provide
check one for each Date to check one for each a documented
function) IATF 16949 function) GAP Analysis*
YES NO
ISO/TS 16949 ISO/TS 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
IATF 16949 IATF 16949
*Documented GAP Analysis shall include a current up-to-date action plan with timing, responsibilities assigned,
and implementation status to IATF 16949:2016
COMMENTS:

Form: Document1

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R20.

55IATF IATF 16949 Documentation Review

PLEASE P R I N T – To be completed by the client

IATF 16949 Documentation Review Form Date: 10/17/17

SRI Auditor to Complete

Organization to SRI Auditor to Complete

IATF 16949 Documentation Review Form Date: 10/17/17

IATF 16949 Documentation Review Form Date: 10/17/17

SRI Auditor to Complete

IATF 16949 Documentation Review Form Date: 10/17/17

As required in 7.5.1.1 d) – List of IATF OEM Customer Information

IATF 16949 Documentation Review Form Date: 10/17/17

To be completed ONLY by the SRI Auditor:

Off-site Review Date:

On-site Review Date (if required):

IATF 16949 Documentation Review Form Date: 10/17/17

Remote Support Version of Std. Completion If audited to Version of Std. of If Transition to

IATF 16949 Documentation Review Form Date: 10/17/17

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