IATF - International Automotive Task Force: Rules For Achieving and Maintaining IATF Recognition IATF Rules 5 Edition

IATF - International Automotive Task Force
Rules for achieving and maintaining IATF Recognition, 5th Edition --- Sanctioned Interpretations (SIs)

Rules for achieving and maintaining IATF Recognition
IATF Rules 5th Edition – Sanctioned Interpretations
The Rules for achieving and maintaining IATF Recognition 5th Edition for IATF 16949 (“Rules 5th Edition”) was
published in November 2016 and is effective 1 January 2017. The following Sanctioned Interpretations were
determined and approved by the IATF. Unless otherwise indicated, Sanctioned Interpretations are appli cable upon
publication.
Revised text is shown in blue.
A Sanctioned Interpretation changes the interpretation of a rule or a requirement which itself then becomes the basis
for a nonconformity.
SI 1 issued in June 2017, effective 1 July 2017.

SI 2-5 issued in October 2017, effective 1 October 2017.
SI 6-7 issued in November 2018, effective 12 November 2018.
SI 8 issued in October 2019, effective 1 November 2019.
SI 1 revised and reissued in October 2019, effective 1 January 2020.
www.iatfglobaloversight.org Page 1 of 29
SI 9-10 issued in May 2020, effective 1 June 2020.
SI 2 revised and reissued in August 2020, revisions effective 1 January 2021.
SI 11-21 issued in August 2020, effective 1 January 2021.
SI 11 & 14 revised and reissued in December 2020, effective 1 January 2021.
SI 22-25 issued in December 2020, effective 1 January 2021.
SI 2 revised and reissued in February 2021, effective 1 March 2021
SI 26-28 issued in February 2021, effective 30 June 2021
SI 9 &10 revised and reissued in June 2021
SI 20 revised and reissued in June 2021, effective 1 July 2021
SI 29 issued in June 2021, effective 1 July 2021
NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

The certification body shall have a process for selecting new auditor candidates for admission into
the IATF auditor qualification process. The contracted office of the sponsoring certification body shall
submit for each candidate a completed application form and relevant supporting information to the
relevant IATF Oversight office for approval and access to the IATF auditor qualification process.
The auditor candidate shall meet the following selection criteria:
a) is qualified according to ISO/IEC 17021 and the relevant accreditation body rule to perform
ISO 9001 audits;
b) has conducted at least six (6) ISO 9001 third-party audits in manufacturing industries, with
at least three (3) as audit team leader;
Note: Automotive manufacturing first- or second-party system auditing experience may be
considered.
c) has knowledge of automotive core tools; and
1 Application process
d) has four (4) years full time appropriate practical experience (including two (2) years
dedicated to Quality Assurance and/or Quality Management activities) in within the past
Revised and criteria for IATF fifteen (15) ten (10) years in an automotive manufacturing organization. Meeting the
16949 auditors applicability of IATF 16949 (see section 1.0).1
4.2
NOTE: Experience in industries with similar scopes of applicability (e.g., Aerospace,
Telecommunications, Rail, Industrial Off-Road equipment, etc.) in chemical,
electrical, or metallic commodities may be considered.1
e) shall observe a minimum of one (1) complete IATF 16949 third-party audit (excluding
special audits) with a minimum duration of two (2) days before attending the New
Auditor Training and Evaluation process 2
Rationale for change:

1
Allow for additional automotive auditor capacity to support the IATF 16949:2016 transition.
(Issued June 2017)
Increase the auditor’s knowledge and experience of the IATF scheme prior to attending the
2
New Auditor Training and Evaluation process. (Modified October 2019)

It may become necessary for the certification body to conduct special audits of certified clients:
- to investigate performance complaints (see section 8.1 a) and 8.1 b);
- in response to changes to the client’s quality management system (see section 3.2);
- significant changes at the client’s site;
- as a result of a suspended certificate (see section 8.3);
- to verify the effective implementation of identified corrective actions for major
nonconformities (see section 5.11.4);
- to verify the effective implementation of identified corrective actions for nonconformities
considered open accepted2 open 3 but 100% resolved (see section 5.11.3 c);
- to verify the implemented corrective actions are showing improvement in the
achievement of the customer performance indicator(s)1;
- as a result of a withdrawn certificate (see section 8.7).
2 Special audits
7.2 Special audits shall not be terminated.
Revised
The certification body shall issue a written report for each special audit (see section 5.10
and 5.11.4) including any identified nonconformity (see section 5.9). 2
A special audit and the reason for the special audit shall be entered into the IATF database within
twenty (20) calendar days from the closing meeting of the audit. A special audit of a remote
supporting function shall not be entered into the IATF database.
The certification body shall make known to the client in advance the conditions under which these
special audits are to be conducted.

1
The IATF has seen situations where a certification body issues a major nonconformance to a
client for not achieving their customer’s performance indicators (i.e. delivery and/or quality) or
due to an IATF OEM special status condition. The certification body suspends the client’s IATF
16949 certificate and conducts an onsite special audit. During the onsite special audit, the
certification body can verify effective implementation of the identified corrective actions, but not

enough time has passed to see the actions have led to the achievement/improvement of the
customers performance indicator(s). This new requirement gives the certification body flexibility
to revisit the client’s site within a reasonable timeframe after the first special audit to verify
sustainable improvement in the customer reports/scorecards. (Issued October 2017)
2
Aligned 100% resolved terminology with that used by CARA.
Clarified that each special audit requires an audit report to be issued to the client and the special
report is created using the IATF CARA (Common CB Audit Report Application) tool.
Included last three paragraphs of section 7.2 that were missing from the original SI. (Issued August
2020)
3 (Issued February 2021)

Administrative change to revert to the original terminology

Once granted access to the IATF auditor qualification process, the new auditor candidate shall
demonstrate technical competence through successful completion of the IATF mandatory face -to-
face initial qualification process. Upon successful completion of the initial qualification process , the
auditor will be issued an IATF certification body auditor identification card, and the sponsoring
certification body will be issued a certificate that shall have a two (2) year validity period to formally
allow the auditor to conduct audits for the certification body.
The certification body shall ensure that the auditor enters the online IATF auditor
development process within sixty (60) days of the initial qualification.
Initial qualification Rationale for change:

3 process The issuance of the auditor certificate demonstrates qualification rendering the auditor card
4.3.1 redundant. Auditor candidates are now required to enter the IATF ADP prior to the initial face to
face qualification instead of entering within sixty (60) days after initial qualification.

The certification body shall ensure that the auditor completes the initial knowledge and application
assessments in the online IATF auditor development process within two (2) years of the initial
qualification.
Upon successful completion of the requalification process, the auditor will be issued a new IATF
Requalification certification body auditor identification card, and the sponsoring certification body will be issued
4 process a certificate to formally allow the auditor to continue to conduct audits for the certification body.
4.3.2
The issuance of the auditor certificate demonstrates qualification rendering the auditor card
redundant.
The certification body shall enter the information about each audited support function (i.e.
audited location name, audit dates, auditor name(s) and audit days for each auditor) in the
comment field under a manufacturing site’s audit. If a remote support function supports more
than one manufacturing site, the certification body shall enter the audit information under a
single manufacturing site. The information shall be in the specified format, in English.

To clarify the process for entering the audits of remote support locations into the IATF database
to ensure consistency between certification bodies and to streamline the current process
Supporting observed.
5 activities
5.5

Each certification body shall have a process for the continuing approval and rejection of each
sponsored auditor, which shall include the following provisions:
a) monitoring and control of the IATF auditor development process, including assessment
results and development progress;
b) ongoing monitoring and measurement of the performance and continuing development,
which shall include:
- timeliness of final audit report submission (see section 5.10);
- timeliness of final audit report submission which includes the decision regarding the
acceptability of client nonconformities (see section 5.11.3);
- results of certification decision (see section 5.12);
- results of IATF witness audits;
- individual nonconformity analysis;
- results of certification body internal witness audits;
Maintaining auditor
6 certification - results of post-audit surveys;
4.5 - feedback from clients and their customers
c) completion of the minimum number of audits and audit day requirements (see section 4.5.1);
d) completion and approval of the minimum CPD (continuing personal development) hours (see
section 4.5.2);
e) records (a) – (d) above for all sponsored auditors shall be maintained at the contracted office.
If an acceptable level of performance is not achieved or maintained, the certification body shall
define what actions shall be implemented to improve the auditor’s performance.
The certification body shall notify the relevant Oversight office if fraudulent activity is
discovered related to a sponsored auditor.
The IATF can issue a warning to, suspend, or permanently withdraw the credentials of an
IATF 16949 auditor due to performance. In such cases, the certification body shall
immediately limit, or cease, the use of the IATF 16949 auditor. While in suspension, an IATF
16949 auditor shall not perform any IATF 16949 audits. If the IATF 16949 auditor’s credent ials
are withdrawn, the auditor shall be turned inactive by both the relevant Oversight office and

the certification body.
To improve the criteria certification bodies shall use to monitor and measure the performance
of their auditors and to require their process to define an acceptable level of performance for
IATF 16949 auditors. Also, to explain the IATF can impose sanctions against any IATF 16949
qualified auditor based on their performance or if fraudulent activity is discovered.
“Customer-specified production parts” shall be understood as parts that are an integral part of a
vehicle. The only customer-specified parts that do not meet this requirement but are to be included
Eligibility for are the following: fire extinguisher, car jacks, and floor mats, owner’s manuals, and warning triangles
Certification to IATF and reflective vest.
7 16949
1.0
Same as the warning triangles, most national regulation / standards require reflective vest for
the vehicle.
The certification body shall appoint at least one auditor from the stage 2 audit team to participate
in each surveillance audit of the three (3) year audit cycle.
Note: If a different audit team member is appointed for a surveillance audit, the CB does
not need approval from the relevant Oversight office if the auditor rotation is due to
circumstances, such as:
- termination, resignation, or loss of CB sponsorship;
- inactivation of the auditor in the ADP and IATF Database;
Establishing an - conflict of interest with the client;
8 audit team - personal issues (such as medical situations, death, etc.);
5.6 - force majeure.
If auditor rotation is required due to a conflict of interest between the CB auditor and the client,
Oversight wants to be notified through the waiver approval process.
This document has been originated published2 by the International Automotive Task Force
(IATF), whose original members consist of the following eight (8) OEMs: BMW Group, FCA
US LLC1, Daimler AG, FCA Italy Spa 2 Ford Motor Company1, Geely Group2, General
Motors, Jaguar Land Rover (JLR) Limited1, Groupe1 PSA Group, Groupe Renault
Group2, Stellantis (ex FCA), Stellantis (ex PSA)2, and Volkswagen AG and the following
five (5) National Automotive Industry Associations2: ANFIA, AIAG, FIEV, SMMT, and VDA.
In October 2019, IATF welcomed Jaguar Land Rover (JLR) Limited as a new OEM member
9 of the IATF. 1 2
Foreword All other paragraphs in the Foreword are unchanged by this SI.
Revised
1Align the IATF OEM company names with the most current names, add JLR as a new
member, and combine FCA into one company in line with the IATF website member list.
2Add Geely Group as a new member and align the OEM list with the forming of Stellantis,
renaming of Renault Group and alignment of National Automotive Industry Association title
with the published name.
Each onsite audit (stage 2, surveillance, recertification, and transfer) shall include the assessing
and evaluating of at least the following
a)…j)
k) information and evidence about the customer-specific requirements, including customer-
specific quality management system requirements audited. The customer-specific
Conducting onsite requirements shall be sampled for effective implementation over the three (3) year audit
10 audit activities cycle and specific records of the requirements audited shall be retained. Priority shall be
Revised 5.8 given to customer-specific requirements issued by the IATF OEM members (BMW
Group, FCA US LLC1, Daimler AG, FCA Italy Spa1, 2 Ford Motor Company1, Geely
Group 2, General Motors, Jaguar Land Rover (JLR) Limited 1, Groupe1 PSA Group,
Groupe Renault Group 2, Stellantis (ex FCA), Stellantis (ex PSA), 2 and Volkswagen
AG);
Note: These IATF OEM customer specifics could be published as IATF OEM
specifics, contract terms, service level agreements, SQA procedures, etc.

l)…r)
All other paragraphs in section 5.8 remain unchanged by this SI.
1
Align the IATF OEM company names with the most current names. Incorporate JLR into
this Rules requirement.
2
Incorporate Geely Group, name change following the formation of Stellantis and renaming
of Renault Group into this Rules requirement.
The audit team shall use the IATF CARA (Common Audit Report Application) reporting tool
when creating a draft and/or final audit report 1. All mandatory fields shall be completed.2
The audit team shall analyze all information and audit evidence gathered during the audit and
agree on the audit conclusion. The certification body shall issue a written audit report (draft or final)
to the client at the closing meeting of each site or remote support location. The draft audit report
shall include a description of all nonconformities, opportunities for improvement (see section 5.9),
and the audit team recommendation to the certification body decision function. In situations where
major nonconformities are issued, the audit team shall inform the client of the required next steps
and timings of the certificate decertification process, as applicable.
Writing the audit
report The certification body shall issue the final audit report within fifteen (15) calendar days of each
11 5.10
audit with the link to the IATF CARA Nonconformity (NC) management application. The final
Revised audit report shall be acknowledged (e.g., with a handwritten signature, dated email, etc.) by
the client management representative.
The final audit report shall be based on relevant guidance provided in ISO 17021 and
contain the following information:
a) scope, products, and a list of all automotive customers whose requirements were
audited during the audit cycle;
b) total number of employees on site, including permanent, part time, contract, the
average number of daily workers, and temporary employees. For a single site with an
extended manufacturing site certificate structure, the total number of employees at
each site shall be identified separately;

c) list of all automotive customers and, if applicable, the latest date of their customer-
specific requirements;
d) list of IATF OEM supplier codes of the client manufacturing site;
e) summary of the client’s performance (i.e., product quality, delivery, an d special
status) to the IATF OEM customers and written information on actions implemented
when performance has not been met;
f) summary of audited processes (see table in Annex 1.1) and written information on the
performance of each process audited (i.e., defined objectives, targets, and current
performance), including a written description of interactions with supporting /
supported processes at other site(s) and/or remote location(s) that were audited;
g) summary of manufacturing processes audited (see table in Annex 1.2);
h) nonconformities and opportunities for improvement as evidenced during the audit
process;
i) name of the audit team and any technical expert or translator used, where relevant;
j) cross-references of nonconformities to both the relevant clause of IATF 16949 and
the client’s quality management system;
k) if a remote support location is included as a part of this report, the report shall
include their address, their functions, a list of the sites it supports, and a written
description of the interactions that were audited;
l) written summary regarding the validation of the conditions in Rules 5.2.h being met,
as applicable;
m) the audit team recommendation to the certification body decision function;
n) a copy of the final audit plan (see section 5.7.2); and
o) for a single site with an extended manufacturing site certification structure, the report
shall include the complete address of all sites, including the identification of the main
manufacturing site and the complete scope of the certification covering all sites. The

report shall include the justification for the single site with extended site certification
structure and validation of current conditions (see section 5.8 r).
The final audit report for a remote support location shall also include a list o f the sites it
supports and a written description of the interactions that were audited. 1
1
The details of the report have been deleted since all the report content will be managed
automatically with the release of the IATF Common Audit Report Application (CARA).
2
To ensure Certification Bodies understand there are mandatory content requirements in the
CARA audit report.

The audit team shall record both conformity and, when detected, nonconformity with audit criteria
to support the certification decision process (see section 5.12).
The audit team shall identify and report any nonconformity and its supporting audit evidence to
the client using the IATF Nonconformity (NC) Management form inside the CARA (Common
Audit Report Application) tool. When nonconformities are identified, the audit team shall
classify each nonconformity as either major or minor according to the definitions in section 10.0.
Identified nonconformities shall not be reported as opportunities f or improvement and shall not be
closed during the audit.
A nonconformity shall be documented in three four distinct parts:
1. a statement of nonconformity;
2. the requirement, or specific reference to the requirement;
3. the objective evidence that supports the statement of nonconformity; and justifies the
nonconformity classification
Audit Findings 4. justification for the nonconformity classification.
12 5.9
Note: A nonconformity may cover more than one “shall” requirement within the same IATF
16949 clause.
The audit team shall not recommend to the client specific solutions to address the identified
nonconformities. In case of conformity, it is at the discretion of the certification body to allow
the audit team to identify any positive aspect or any opportunities for improvement may be
identified (see section 10.0).
Updated to align with the release of the IATF CARA (Common CB Audit Report Application)
tool. Note modified because CARA does not allow more than one IATF clause to be selected
for each NC.

5.11 Nonconformity management
The client and the certification body have responsibility for managing the effective closure of
nonconformities as detailed below. The IATF CARA Nonconformity (NC) Management form
and application tool shall be used to exchange the responses between the CB audit team
and the client for each nonconformity.
5.11.1 Client responsibility for a major nonconformity

The certification body shall require the client to submit, within a maximum of twenty (20) calendar
days from the closing meeting of the site audit, evidence of the following:
Nonconformity a) implemented correction;
management
5.11, b) root cause including methodology used, analysis, and results;
The certification body shall require the client to submit, within a maximum of sixty (60) calendar days
Client responsibility from the closing meeting of the site audit, evidence of the following:
for a major
c) implemented systemic corrective actions to eliminate each nonconformity, including
13 nonconformity consideration of the impact to other similar processes and products;
5.11.1, and
d) verification of effectiveness of implemented corrective actions.
Client responsibility
for a minor 5.11.2 Client responsibility for a minor nonconformity
nonconformity The certification body shall require the client to submit, within a maximum of sixty (60) calendar days
5.11.2 from the closing meeting of the site audit, evidence of the f ollowing:
a) implemented correction;
b) root cause including methodology used, analysis, and results;
c) implemented systemic corrective actions to eliminate each nonconformity, including
consideration of the impact to other similar processes and products;
d) verification of effectiveness of implemented corrective actions.
Updated to incorporate the use of the IATF CARA (Common CB Audit Report Application)

and IATF CARA NC management tool. Rules 5.11.1 and 5.11.2 remain unchanged by the
implementation of CARA.
The certification body shall review the submitted information in the IATF CARA Nonconformity
form provided by the client 1 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 considered as accepted and 2 closed and the
certification body shall verify the effective implementation of the identified corrective actions at the
next audit (see section 5.2 and 5.11.5), unless a special audit was conducted (see section 5.11.4
and 7.2).
If found not acceptable, the certification body 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 nonconformity shall be considered as rejected. The1 final audit
result shall be considered failed and the IATF database shall be updated accordingly1. The
certification decision shall be negative (see section 5.12 a-d) and the client shall start over with an
initial certification audit (stage 1 readiness review and stage 2). The current valid certificate shall
Certification body be immediately1 withdrawn.
14 responsibility In exceptional case(s) where the implementation of corrective actions cannot be completed within
Revised 5.11.3 a maximum of ninety (90) calendar days from the closing meeting of the site audit, the certification
body shall consider the nonconformity open 1 accepted open 2 but 100% resolved when the
following conditions have been met:
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 special audit based on the accepted action plan and prior to the next
audit (see section 7.2);
d) in situations where 100% resolution has been determined, the certification body shall
maintain records of the justification.

The certification body shall verify the effective implementation of the identified corrective actions at
the next audit (see section 5.2).
1
and IATF CARA NC management tool. Update 100% resolved terminology since in CARA
term is “accepted but 100% resolved”, not the current term of open, but 100% resolved.
2
Administrative change to revert to the original terminology
5.11.4 Onsite verification of a major nonconformity
In cases of a major nonconformity, the certification body shall conduct an onsite special audit (see
section 7.2) for the verification of the corrective action and shall complete the special audit within a
maximum of ninety (90) calendar days from the closing meeting of the site audit.
In cases where the accepted corrective action plan for a major nonconformity is found to be not
effectively implemented, the audit result shall be considered failed, the IATF database shall be
updated, and the certificate withdrawn (see section 8.4).
Onsite verification of a The certification body shall issue a supplemental special audit report to the client after
major nonconformity verification of corrective action is complete, which shall include the verification details of each
5.11.4 nonconformity.
15 and 5.11.5 Onsite verification of a minor nonconformity

Onsite verification of the corrective action for a minor nonconformity within a maximum of ninety
Onsite verification of a (90) calendar days from the closing meeting of the site audit is at the discretion of the certification
minor nonconformity body based on knowledge and experience.
5.11.5 In cases where the accepted corrective action plan for a minor nonconformity is found to be not
effectively implemented, a new major nonconformity shall be issued against the corrective action
process (see IATF 16949, section 10.2) and the previous minor nonconformity reissued as a major
nonconformity.
The certification body shall issue a supplemental special audit report to the client after
verification of corrective action is complete, which shall include verif ication details of each
nonconformity.
and IATF CARA NC management tool.
The certification body shall have a documented process for determining the minimum number of
audit days, and for each client the certification body shall determine the days needed to plan and
accomplish a complete and effective audit of the client’s management system.
The certification body shall use table 5.2 to determine the minimum audit days for the initial
certification stage 2 audit and for each surveillance audit. Table 5.2 shall be used to determine the
minimum audit days for a recertification audit. The total number of audit days determined by the
certification body and the justification for the determination shall be recorded for each audit.
Audit day In determining the number of audit days, the certification body shall consider, among other things,
determination the following aspects:
16 5.2 a) … f)
g) within the total audit days, a maximum of 10% 15% may be allocated to writing the audit
report;
h) … q).
Updated to align with the use of the IATF CARA (Common CB Audit Report Application) and
IATF CARA NC management tool. Rules 5.2 a) – f), h) – q) and Table 5.2 remain
unchanged.
The certification body shall maintain records on the audit and other certification activities for all
clients, including all organizations that submitted applications and all clients audited, certified, or
with certification suspended, withdrawn, or cancelled.
Certification records
The certification body shall maintain the following records:
17 9.1
a) application information, including quotation, audit days, and audit day fee;
b) initial, surveillance, recertification, and transfer and special audit reports, including
evidence that all requirements of IATF 16949 are addressed by the client’s processes;

c) for remote support locations audited by another certification body, the audit plan, audit
report, all findings, all corrective actions, and all verification actions conducted by the other
certification body;
d) … q).
tool.
Annex 1.1 – Table for verifying the completeness of the process - oriented auditing
versus IATF 16949 requirements
Annex 1.1
18
Note: An equivalent version of Annex 1.1 table is embedded into the IATF CARA (Common
CB Audit Report Application) tool and required to be completed in CARA.
Equivalent version of Annex 1.1 table is embedded into the new IATF CARA (Common CB
Audit Report Application) tool.
Annex 1.2 – Example table for verifying the auditing of manufacturing on all shifts
Annex 1.2 For this example, shift times are:

19 • shift 1 (6.00 a.m. – 2.00 p.m.)
• shift 2 (2.00 p.m. – 10.00 p.m.)
• shift 3 (10.00 p.m. – 6.00 a.m.)
Note 1: The certif ication body shall indicate which shif t was audited f or each manuf acturing
process at each audit of the three (3) year audit cycle.
Note 2: An equivalent version of Annex 1.2 table is embedded into the IATF CARA
(Common CB Audit Report Application) tool and required to be completed in CARA.
Equivalent version of Annex 1.2 table is embedded into the new IATF CARA (Common CB
Audit Report Application) tool.
The certification body may issue a letter of conformance after:
a) the client is able to supply the information required for the stage 1 readiness review (see
Letter of conformance section 6.5), including internal and external performance data and one full cycle of internal
20 decision audits and management review but not twelve (12) months of internal audits and
Revised 5.14.1 performance data;
b) the relevant site has completed an initial audit (stage 1 readiness review and stage 2) using
the IATF CARA (Common Audit Report Application) tool1 with no open nonconformity;
and

c) approval by the veto power (see section 4.1).
The certification body shall enter all the required audit data in the IATF database within
twenty (20) calendar days from the closing meeting of the stage 2 site audit. This information
shall be in the specified format, in English.
The certification body shall inform the client of the decision and issue the Letter of
Conformance to the client. The Letter of Conformance information shall be entered in the
IATF database within seven (7) calendar days of the decision and shall be in the specified
format, in English. The Letter of Conformance shall be uploaded into the IATF database
within twenty (20) calendar days of entering the Letter of Conformance information. 2
1
tool.
2
Updated to align with the new programming change in the IATF Database requiring stage 2
audits for a Letter of Conformance (LoC) and the LoCs information to be entered into the
IATF Database.
10.0 TERMS AND DEFINITIONS
Positive aspect
A positive aspect is a strength/good practice observed within the client Quality Management
System by the CB auditor whilst undertaking an IATF 16949 audit.
TERMS AND
21 DEFINITIONS
10.0
Created a new definition to align with the release of the IATF CARA (Common CB Audit
Report Application) tool which allow for positive aspects to be recorded.

A nonconformity can be issued at either an office assessment, a witness audit, or as a special
nonconformity due to performance-related issues, complaints received from IATF members, or any
violation of these “Rules”.
The certification body shall follow the requirements of the IATF CB Problem-solving Manual
to address any nonconformities issued to them by their relevant Oversight office.
When nonconformities are issued, the certification body shall undertake immediate investigation
of the problem and risk-based analysis of the situation. The analysis (problem investigation)
shall include a review of the nonconformity and its impact across all of the certification body´s
regional offices, all auditors, and all audited clients.
For major nonconformities, this the problem investigation and analysis shall include lead to the
identification and definition of problem statement(s), corrections, (containment) containment
action(s) as necessary and be completed within a maximum of twenty (20) calendar days from the
issue date of the nonconformity and submitted to the relevant IATF Oversight office.
Within a maximum of ninety (90) calendar days from the issue date of the nonconformity, the
certification body shall submit evidence of the following analysis (problem investigation),
Nonconformity
correction (if necessary), root cause analysis, systemic corrective actions, and verification
22 Management of effective implementation to the relevant IATF Oversight office for approval:
2.4.3
- problem investigation (for minor nonconformities);
- identification and definition of problem statement(s) (for minor nonconformities);
- correction and containment action(s) as necessary (for minor nonconformities);
- root cause analysis (for major and minor nonconformities);
- corrective action(s) (for major and minor nonconformities) and
- verification of effective implementation of corrective action(s) (for major and minor
nonconformities).
The relevant IATF Oversight office shall verify the effective implementation of the corrective actions
taken. Verification may occur at a special audit, at the next office assessment, or at a witness audit.
When a certification body cannot provide evidence of implemented corrective actions or a major
nonconformity cannot be closed within ninety (90) calendar days from the issue date of the
nonconformity, the relevant IATF Oversight office shall initiate the certification body de-recognition
process (see section 2.5) and perform special monitoring activities, unless the relevant IATF
Oversight office has granted extension of the timing requirements under exceptional and
justified circumstances.

IATF reserves the right to undertake additional activities (e.g., special witness audits or office
assessments) in response to corrective action follow-up or based upon performance.
Note: “Based upon performance” shall be understood as direct requests from IATF OEM members
to undertake an audit that is to be witnessed by the relevant IATF Oversight office.
To add a reference to the published IATF CB Problem-solving Manual, designed to improve
the timeliness and acceptability of the certification body responses to nonconformities issued
by the relevant IATF Oversight office and reworded to align the Rules with its requirements.
The certification body´s contracted office shall be responsible for establishing a documented process
for effective nonconformity management, including corrective and preventive action plans. This
process shall be initiated following customer complaints, internal complaints, internal witness and
system audits, and external audits, and shall include specific requirements for the management
Management system of nonconformities issued by the relevant IATF Oversight office (see section 2.4.3).
23 requirements All other paragraphs in section 2.6 remain unchanged by this SI
2.6
To clarify that, the certification body shall include specific requirements for the management
of nonconformities issued by the relevant IATF Oversight office, in its documented
nonconformity management process.
The input shall include information specific to all offices involved in the IATF 16949 certification
process and shall include information related to:
a) fulfillment of objectives;
b) results of internal and external audits, including timeliness, and effectiveness of corrective
Review Inputs actions and performance data relating to acceptability and timeliness of problem-
24 2.7.1 solving responses to nonconformities issued by the relevant IATF Oversight office;
c) feedback from clients, interested parties, and IATF OEMs;
d) number, timeliness, and status of appeals and complaints;
e) summary of issues found during monthly IATF database accuracy checks (see section 9.1);

f) status of IATF database KPIs;
g) status and results of certification decisions;
h) status of auditors meeting the continued personal development (CPD) requirement;
i) status and results of internal witness audits;
j) analysis of number and classification of nonconformities (i.e., major/minor) raised per audit
and actions to address evidence of soft auditing and soft grading;
k) analysis of waiver requests;
l) status of preventive and corrective actions;
m) feedback from the committee for safeguarding impartiality;
n) internal or external changes that could affect the management system;
o) status of actions from previous management reviews.
Objectives of the IATF CB Problem-solving Manual include the improvement of the
timeliness and acceptability of the certification body responses to nonconformities issued by
the relevant IATF Oversight office. It is therefore necessary that the certification body
includes the relevant performance data as an input in its management review and initiate
appropriate improvement actions when required.

The certification body shall have a process to determine the competence required for each function
involved in the IATF 16949 certification activities appropriate to each geographic area in which it
operates. The certification body shall determine the means for the demonstration of competence
prior to carrying out specific functions, including but not limited to:
a) persons with veto power;

b) IATF 16949 auditor (including applicants);
c) IATF database entry personnel;
d) internal witness auditor;
Resource
25 Requirements e) internal system auditor;
4.0 f) technical expert;
g) personnel involved in the nonconformity management process (see section
2.4.3).

To ensure that the certification body determines the competence requirements and provide
appropriate training for any personnel involved in the nonconformity management process to
address the nonconformities issued by the relevant IATF Oversight office.
a) ... p) and all other paragraphs of section 5.2 remain unchanged
q) when the total number of employees on site changes prior to or during the audit, the
minimum number of audit days shall be recalculated. If the minimum number of audit days
Audit day increases or decreases, the change shall be applied to the current audit. A record shall be
26 determination – maintained.
5.2 r) when the client does not meet the IATF OEM quality and/or delivery targets specified
in the IATF OEM scorecard(s), the certification body shall increase the total audit
days by the hours listed in the table below. The increased audit time shall be used to
review the corrective actions associated with the IATF OEM quality and/or delivery

targets not being met and the associated risk to similar processes / products. The
only exception is if the client can provide evidence of effective implementation of the
corrective actions for the quality and/or delivery performance issues, then no
increase is applied. This increased audit time shall be determined after all permitted
reductions have been applied, but before the rounding per 5.2 p). The increase shall
be applied to the current audit.
Number of IATF OEM customers where quality and/or

delivery targets are not being met
Number of 1 – 2 IATF OEMs 3 or more IATF OEMs
employees
< 500 4 hours 6 hours
500 - 3000 5 hours 7 hours
> 3000 6 hours 8 hours
Table of minimum audit hours added to the normal audit days
Note 1: The increase in audit days applies only to surveillance, transfer or recertification
audits.
Note 2: This requirement does not apply if the audited organization is an IATF OEM.
Note 3: In a Corporate audit scheme, the increase in audit days applies only to the
manufacturing site(s) where the IATF OEM quality and/or delivery targets are not being
met.
To support risk-based audit day calculation methodology, the IATF has decided to implement
changes for certified organizations. This allows the certification body to dedicate more time to
focus on performance issues that have posed a risk to the organization’s customers, in
support of IATF Rules 5th Edition requirements 5.8 h).

The certification body shall undertake an analysis of the required information (see section 5.7.1)
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).
The analysis may result in an adjustment to the audit days (see 5.2 r).
The remainder of 5.7.2 remains unchanged

To support risk-based audit day calculation methodology, the IATF has decided to implement
27 Audit plan – changes for certified organizations. This update to the Audit Plan section is in support of the
5.7.2 new section 5.2 r, per SI 26.
ANNEX 3 – TABLE FOR DOCUMENTING THE OUTPUT OF THE AUDIT PLANNING

PROCESS
Table for Documenting

the Output of Audit
28 Planning Process
Annex 3

To align the audit planning output with the risk-based audit day calculation methodology in
Rules 5.2 r) and use of remote audits per the IATF COVID-19 Measures document Revision 5.

a) A letter of conformance issue date is the date of the positive decision and is valid for a maximum
period of twelve (12) months. The letter of conformance shall include both the certification
body LoC number and the IATF LoC number. The IATF logo and an IATF certificate number
shall not appear on the letter of conformance; therefore, the audit and the letter of conformance
shall not be entered into the IATF database.
Letter of conformance
29 content The letter of conformance shall not appear as a certificate.
5.14.2 The letter of conformance template shall be approved by the IATF Oversight office.
Updated to align with the release of the programming change to require stage 2 audits for a
Letter of Conformance (LoC) and the LoCs information to be entered into the IATF Database.

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Revised text is shown in blue.

SI 1 issued in June 2017, effective 1 July 2017.

NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

Rationale for change:

New Auditor Training and Evaluation process. (Modified October 2019)

NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

Rationale for change:

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3 (Issued February 2021)

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Initial qualification Rationale for change:

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Rationale for change:

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NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

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5.11.1 Client responsibility for a major nonconformity

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15 and 5.11.5 Onsite verification of a minor nonconformity

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Annex 1.2 For this example, shift times are:

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a) persons with veto power;

Rationale for change:

a) ... p) and all other paragraphs of section 5.2 remain unchanged

NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

Number of IATF OEM customers where quality and/or

NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

Rationale for change:

NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

ANNEX 3 – TABLE FOR DOCUMENTING THE OUTPUT OF THE AUDIT PLANNING

Table for Documenting

Rationale for change:

NUMBER RULES REFERENCE SANCTIONED INTERPRETATION

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