Rules 5th Edition Changes

Presenter: Mrs. Michelle Maxwell, IAOB

Rules 5th Edition

IATF decided to update the current IATF Rules 4th Edition

in parallel with revisions to IATF 16949
Title remains Rules for achieving and maintaining IATF
recognition, but is now the 5th Edition even though IATF
16949 is at the 1st Edition
Rules 5th Edition changes were mainly to:
Incorporate all 14 existing Sanctioned Interpretations (SIs)
Incorporate as many of the existing 33 Frequently Asked
Questions (FAQs) as feasible
Clarify the IATF intentions, where needed
Make changes that improve the scheme

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Rules 5th Edition

Changes impact certified organizations, organizations

seeking certification, as well as, IATF-recognized
certification bodies
Important that when an organization purchases a copy of
the IATF 16949, also purchase a copy of the Rules 5th
edition
Available for purchase on 1 November 2016
Changes are effective on January 1, 2017 regardless of
which standard (IATF 16949 or ISO/TS 16949) the
organization is being audited to

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Rules 5th Edition

This presentation will not cover the existing Rules 4th

Edition SIs and FAQs that were incorporated into Rules
5th edition
Rules 4th Edition SI and FAQ documents are available on
the Global Oversight website (www.iatfglobaloversight.org)
Archived on 31 December 2016

This presentation only summarizes the significant

changes, clarifications and new requirements affecting
both certified organizations and IATF-recognized
certification bodies

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Rules 5th Edition Significant Changes

1. OEM customer-specified accessory part suppliers are

now eligible for IATF 16949 certification (Rules 1.0)
Manufactured to OEM specifications and are procured or
released by the OEM
Mechanically attached or electronically connected to the
vehicle
Installed on the vehicle or the powertrain before, or after,
delivery to the final customer
Rationale: IATF members agreed it was important to change the
eligibility requirements to allow accessory part suppliers to have
their quality management system third party certified

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Rules 5th Edition Significant Changes

2. A manufacturing site supplying to a customer requiring

third party certification to IATF 16949 (or ISO/TS 16949)
has to include all automotive customers in the audit
scope (Rules 1.0)
For example, if a sites customers are General Motors (who
requires 3rd party certification) and Honda (who does not
require it), then the automotive product manufactured for
both GM and Honda shall be included in the audit

Rationale: Clarification was needed based on the questions

received from organizations and certification bodies. This has
always been the intent of the Rules, but not explicitly stated
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Rules 5th Edition Significant Changes

3. Certification bodies legally enforceable agreement

(contract) with the client now has to include a provision
to allow the contract to be extended until all transfer
activities to the new certification body is complete
(Rules 3.1)
The new certification body shall advise their client to
notify the previous certification body about their intent to
transfer (Rules 7.1)
The client shall notify their existing certification body
about their intent to transfer to a new IATF-recognized
certification body (Rules 3.2)

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Rules 5th Edition Significant Changes

4. The previous certification body shall not use the

notification of transfer as justification for suspending or
cancelling the clients certificate before the transfer
process is complete (Rules 7.1)
Must be a valid, extended contract in place (Rules 3.1)
If not, the previous certification body can suspend, cancel
or withdraw the certificate
Rationale: The new requirements strengthen and ensure an
effective transfer occurs between two certification bodies.
Previously, the certification body sometimes canceled the
existing certificate before the new certification body issued a
new certificate which affected the organizations status with
their customers
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Rules 5th Edition Significant Changes

5. The years of practical experience needed to become a

new IATF auditor has been reduced (Rules 4.2)
From: six (6) in the past ten (10) years
To: four (4) in the past ten (10) years

Rationale: IATF recognizes that new auditor candidates were

denied admission into the qualification process because they did
not have six years of practical work experience in the past ten
years. IATF believes four years of practical experience is
sufficient knowledge and understanding of automotive
manufacturing to become an IATF auditor.

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Rules 5th Edition Significant Changes

6. Previously qualified third party IATF 16949 auditors (or

ISO/TS 16949 auditors) can re-apply for entry as a new
auditor (Rules 4.2.1)
If their credentials were deactivated within previous 36
months of the application date as a new auditor
If the deactivation was due to failure to achieve required
ADP results or failure to complete minimum number of
audits/audit day requirements
Rationale: IATF recognizes there are cases where qualified
auditors were deactivated. Previously they would not meet the
six in the past ten years practical work experience and were
unable to re-apply as a new auditor.
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Rules 5th Edition Significant Changes

7. IATF qualified auditors are required to record their

continuing personal development (CPD) hours/records in
a centralized online repository in the ADP (Rules 4.5.2)
All CBs who sponsor an auditor will have access to their
auditors CPD record
Eliminates the need for each certification body to request
and keep the CPD records
Evidence can be uploaded

Rationale: A new requirement based on the positive feedback

received from a pilot ran in 2016. The IATF decided to make this
mandatory for each auditor to use
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Rules 5th Edition Significant Changes

8. Client shall submit the number of employees for the site

and all associated remote support locations as part of
the audit planning (Rules 5.7.1 a)

Rationale: IATF believes it is critical that the certification body

receives the updated number of employees during the audit
planning phase so they have enough time to make any necessary
adjustments to audit days in case headcount increased or
decreased (see Rules 5.2 q)

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Rules 5th Edition Significant Changes

9. Eliminated the ability to terminate an audit due to

identification of major nonconformities (Rules 5.9)
This means initial, surveillance, recertification, transfer or
special audits shall not be terminated!
However, it may be necessary to terminated an audit for
other reasons (i.e. emergencies, natural disasters, etc.)
Rationale: The IATF believes that every audit outcome should
demonstrate the clients extent of compliance or noncompliance
with the requirements. However, Rules 4th Edition allowed the
audit to be terminated if major nonconformities were identified.

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Rules 5th Edition Significant Changes

10. The CBs final audit report shall include a written

description of the interactions with support processes
at other site(s) and/or remote support location(s) that
were audited (Rules 5.10 f)

Rationale: This clarification strengthens the written report for

the reader who needs to understand where the interactions
were audited. Having a detailed written description is helpful to
those not conducting the audit and to ensure the certificates are
accurate

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Rules 5th Edition Significant Changes

11. Existing Rules 5.11 (Nonconformity management) was

split into the following five (5) sub-sections:
Clients responsibility for a major nonconformity
Clients responsibility for a minor nonconformity
Certification body responsibility
Onsite verification for a major nonconformity
Onsite verification for a minor nonconformity

No changes to the requirements

Rationale: New layout improves the structure of the

nonconformity management process to make it easier to follow
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Rules 5th Edition Significant Changes

12. Eliminated redundant requirements for the client to

submit root cause and implemented correction within
twenty (20) days from the closing meeting of a
surveillance audit (Rules 6.7) & a recertification (Rules
6.8) audit

Rationale: This requirement was already covered in the

decertification (suspension) process (Rules 8.1 / 8.2)

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Rules 5th Edition Significant Changes

13. Incorporated the IATF Database semi-automated

transfer checking process. This changed the layout of
Rules 7.1.1
Also added the certification body or clients failure to
complete all the required activities prior to the start of
the transfer audit shall result in a initial certification
audit
Rationale: It was important to separate the transfer
requirements related to the semi-automated checking process
from the requirements which are performed manually. Also
wanted to ensure the consequences are clear when all transfer
activity requirements are not met.
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Rules 5th Edition Significant Changes

14. Reorganized the structure of special audits (Rules 7.2)

to display the list of reasons for a special audit using a
bulleted method
15. Eliminated the ability to terminate a special audit
16. Clarified that special audits of a remote support
location are not entered into the IATF database

Rationale: Changes to 7.2 (Special Audits) were made to help

improve the structure, to eliminate the ability to terminate a
special audit, and for clarification purposes
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Rules 5th Edition Significant Changes

17. The certification body is required to conduct a special

onsite verification audit when the decertification
(suspension) process has been initiated due to a special
status condition from an IATF OEM

Rationale: IATF wants to ensure that certification bodies enter

into the IATF database the onsite special audit conducted to
investigate an IATF OEM special status condition. This
requirement is a current practice, but was not previously
documented as a requirement in Rules 4th Edition

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Thank You!

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