Certification

Process
IATF 16949:2016
QUALITY MANAGEMENT SYSTEMS FOR THE
AUTOMOTIVE SECTOR
 CERTIFICATION PROCESS

Accreditation and approval status

We are IATF Accredited for Quality Management Systems including IATF 16949:2016. On preparation of the
proposal we have identified that you fall within our IATF scope of accreditation. T his means you are entitled to
use the SGS logo on the completion of a successful audit.

Step A
Agree Contract
Step B
Optional Pre-Audit
Step C
Assessment
Stage 1 Audit

Step D
Stage 2 Audit

Step E
Corrective Actions & Plans

Step F
Certificate Review
Year 1

Issue certificate after

successful audit

Step G
Visit 2

Year 2
Surveillance Audit Visit 3

Step H
Year 3
Recertification Visit
STEP A
STEP B
ACCEPTING THE SGS CONTRACT AND WHAT
YOU NEED TO SEND US PRE-AUDIT (AT YOUR REQUEST)

A contract is submitted by SGS for your consideration. This activity is conducted at your request
We are happy to arrange a visit or discussion with a should you feel a pre-audit would be beneficial.
client manager or an auditor to outline the process Regarding the rules within IATF16949:2016 this
and discuss your requirements. The contract is valid activity must be conducted before the Stage
for 60 days. Once the 60 days end, we will review the 1 audit and will be conducted during a single
contract again and issue a new quote if necessary. visit to site. More than one pre-audit is not
permitted. The pre-audit process is designed to

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Application: To apply for registration the contract ensure you can proceed to the next stage of
document must be completed, signed and returned to certification. The process is designed to ensure
the relevant SGS office before work can commence. that you have considered all the requirements of
Your contract will be processed, and our Regional IATF16949:2016 in your management system.
Coordinator will contact you to arrange the next steps This stage also allows us to plan competent and
of the audit process. sufficient resources for the main assessment,
and to prepare working documentation and audit
IATF Application Form plans. It also allows us to provide immediate,
focussed feedback before you progress to the
What you need to send us: You do not need to
next stage.
make any payments on application. The Stage 1 audit
must be conducted on site (or if this activity
is to be conducted off site we have to justify it to
comply with TS rules); this will be agreed with you. It STEP C
is therefore not necessary for you to send your
system documentation at this stage; however, if you STAGE I AUDIT – READINESS REVIEW
do enclose documents please make sure these are
controlled. They will remain your property and we will This activity is conducted at your site once we have
return these to you when the audit process is received your contract. The audit process commences
complete. with an appraisal of your quality management system
documentation and intended scope of certification.
This is to determine compliance with the standard
and to prepare working documentation for the on-site
audit (Stage II audit). To complete this review, we will
need to see copies of your:

• Description of the remote location and the support

they provide
• Description of processes showing the sequence
and interactions, including the identification
of remote supporting functions and outsourced
processes
• Key indicators and performance trends for the
previous twelve (12) months, minimum

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 CERTIFICATION PROCESS

• Evidence that all the requirements of IATF 16949 At SGS our audit approach is designed to contribute
are addressed by the client’s processes value to the process and also ensure that your
• Quality manual, including the interactions with management system is achieving your goals.
support functions on site or remote On conclusion of the audit the auditor will make
• Evidence of one full cycle of internal audits to IATF a recommendation dependent on findings. This
16949 followed by a management review recommendation will reflect the level of findings
• List of qualified internal auditors and the criteria for identified during the audit.
qualification
• List of automotive customers and their customer- STEP E
specific requirements, if applicable
• Customer complaint summary and responses, CORRECTIVE ACTIONS AND PLANS –
scorecards, and special status, if applicable ASSESSMENT PROCESS

On completion, you will receive a Stage I audit report If a major non-conformance is raised during the audit
outlining any shortfalls to enable immediate action we shall require you to submit, within a maximum
prior to moving forward through the process. An audit of 20 calendar days from the closing meeting of the
plan for the on-site audit will also be forwarded to you audit, evidence of the following:
at this stage.
• Implemented correction
If there is insufficient readiness to conduct the Stage • Root cause including methodology used, and
II audit, we can agree between us to stop the process. results
When you were ready to proceed again, we would
have to start the process afresh. Then we shall require you submit within a maximum
of 60 calendar days from the closing meeting of the
STEP D audit, the following:

STAGE II AUDIT – ASSESSMENT PROCESS: ON- • Implemented systemic corrective actions to

SITE AUDIT eliminate each non-conformity, including
consideration of the impact of other similar
This stage has to be completed within 90 days of processes and product
the Stage 1 audit. This ensures you have time to • Verification of effectiveness of implemented
implement any of our findings. We are led by you corrective actions
in relation to the amount of time between these
stages; however, planning the required dates into the Minor non-conformance shall require you to submit
schedule is crucial, and we must meet the 90-day within a maximum of 60 calendar days from the
timescale. closing meeting of the audit evidence of the following:

The on-site audit determines compliance against your • Implemented correction

documented system and IATF16949:2016. • Root cause including methodology used, and
All assessment conclusions are based on sampling results
of audit evidence, to demonstrate effective • Implemented systemic corrective actions to
implementation of the management system, for those eliminate each non-conformity, including
external and internal issues that are relevant to its consideration of the impact of other similar
“context” and that can affect its ability to achieve the processes and product
intended outcome(s) of its management systems, • Verification of effectiveness of implemented
control over the processes and progress made toward corrective actions
achieving your stated quality objectives.
STEP F within 12 months of the end of the Stage II audit.
The choice of surveillance period will be agreed at
ISSUE CERTIFICATE AFTER SUCCESSFUL AUDIT – the proposal stage and will depend on the scale,
ASSESSMENT PROCESS nature of your operations and scope of certification.
Certain mandatory elements will be reviewed at every
At the end of the Stage II audit the auditor will visit together with other pre-selected processes.
make their recommendation on site and talk through We will work with you to identify areas that are not
the findings. This will include confirmation of the conforming to support opportunities for improvement.
recommended scope following assessment. The Itineraries will be forwarded in advance of the agreed
report is then compiled off site and reviewed and audit date.
approved by an independent decision authority.
STEP H

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Once the certification decision has been made, the
certificate is processed and sent to you. You will also TRIENNIAL RECERTIFICATION
receive an email with a user name and password to
access your Certified Client Portal, giving you access SGS operates a system of continuous certification. As
to a digital copy of your certificate, the marks pack part of this program it is not necessary to conduct a
including different image formats and the rules for complete assessment. Rather, we conduct a
use, and a copy of your audit report. SGS can support recertification visit that is more in-depth than a
you in the form of a certificate presentation and surveillance visit and will ensure that we review all
providing a quote for your press release should this be aspects of your system. The recertification audit must
required. be carried out no later than 3 years from the last day
of your last recertification audit and non-conformances
closed prior to the expiry of your current certificate.
The recertification audit is the first visit of your new
certification cycle.

Consequently, we look to conduct the audit in line

with the IATF rules of -3 months +0 months, from the
last day of the Stage II or last recertification date.

Example of logo We shall contact you before your audit due date to
make the necessary arrangements for this audit,
including information on the costs for the next 3-year
STEP G cycle; this can be provided earlier on request.

ONGOING MAINTENANCE: SURVEILLANCE

VISITS

Once issued certificates are only valid subject to

satisfactory maintenance of your system. Ongoing
audits (surveillance visits) are normally conducted
annually to verify continued implementation of your
quality management system in accordance with
“planned arrangements” and the requirements within
the standard. The first surveillance must be conducted

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 CERTIFICATION PROCESS

PAYMENT TERMS We routinely review core data that impacts on your

certification and therefore your contract with us.
We will send you an invoice for the fees when we These reviews can result in audit time requirements
have carried out each stage. Once you receive an increasing or decreasing. We will notify you
invoice, you must pay it within 30 days after the date accordingly should any changes be required. We also
of invoice (no matter what your company’s payment draw your attention to the codes of practice paragraph
terms) unless we agree otherwise in writing. number 12 “System/Product Modification” where
If you require a purchase order it is your responsibility it states your obligation to keep us notified of any
to ensure this is supplied to SGS, either prior to the organizational changes.
date of audit on the booking confirmation letter or
given to the auditor during the on-site visit. TRANSFER OF CERTIFICATION

CHANGES TO SCOPE If you have a current certification assessed by an

accredited certification body, and this certification
In the event of any developments that will alter your is up to date and in good standing, you can switch
certification, e.g. site or scope additions, reductions, to SGS at any time in the process. We will conduct
mergers or acquisitions, it is important you inform us a review of your current certification and for us
at your earliest convenience. Changes to scope can be to do this you will need to send us a copy of your
covered at any time in the process. A revised contract current certificate, previous visit reports, and the
would be issued in advance. The scheduling can take date of your last visit. Any corrective actions raised at
place at the same time as a surveillance/recertification previous visits must be closed out by your previous
visit, which is the most cost-effective method, or certification body before a transfer to SGS can take
can be carried out between visits depending on your place. Following the review, we will provide you with a
requirements and instructions. As this is personal to proposal to take over this certification. Once you have
your individual business needs, it is anticipated this accepted our proposal and dates have been arranged,
would need to be discussed between SGS and you, we simply take over the next visit at recertification
the client. time (transfer of certification) which will start a new
audit and certificate cycle. The process for reporting
and certificate issue is the same as outlined above in
Step F.
ADDITIONAL PROVISIONS UNDER IATF Notice of changes by a client
16949:2016 SCHEME RULES
a) Legal status
The conditions form part of and are in addition to SGS
proposal application for certification services and b) Commercial status (e.g. joint venture, sub-
constitute a legally enforceable agreement for the contracting with other organizations)
provision of certification services under IATF TS16949
scheme rules between SGS, VDA and the client. c) Ownership status (e.g. mergers and
The client shall agree to comply with the automotive acquisitions)
certification scheme for IATF16949:2016 Rules for
d) Organization and management (e.g. key

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achieving IATF recognition.

| ACCREDITATION
managerial, decision-making or technical staff)

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Conditions of contract between SGS and the client:

| ACCREDITATION
e) Contact address or location
• The client shall notify SGS of any changes,
details below f) Scope of operations under the certified
• The client cannot refuse an IATF witness audit of management system

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SGS
g) IATF subscribing OEM customer special status

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• The client cannot refuse the presence of an SGS
internal witness auditor h) Major changes to the management system and

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• The client cannot refuse the presence of an IATF processes

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representative or their delegates
i) Any conflicts of interest with the nominated
• The client cannot refuse the request for SGS to audit team that could jeopardize the impartiality of
provide the final report to the IATF the audit. For example, on-site training,
• The only use of the IATF logo related to this consultancy, previous employment, etc.
certification scheme is as displayed on the SGS
certificate. Any other use of the IATF logo is
The client shall agree to submitting off site to the
forbidden by the client
auditors all information required within the scheme
• Consultants to the client cannot be physically rules all data required for off-site audit planning as an
present at the client’s site during the audit input to developing the audit plan prior to the on-site
and/or participate in any audit in any way, i.e., audit, additional time will be added to the site audits if
video conference, emails, telephone conferencing this data is not provided for planning.
• The client shall agree to comply with the
automotive certification scheme for IATF16949
Rules for achieving IATF recognition
• The client shall notify SGS if they are transferring
their certification to another CB
• There will be a provision to ensure that when the
client is transferring to another CB, the current
audit and certificate cycle shall be maintained with
the final certification decision made before the
current certificate expiry date.

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 CERTIFICATION PROCESS

ABOUT SGS
We are SGS – the world’s leading testing, inspection • Verification services – SGS verification services
and certification company. We are recognized as the ensure that products and services comply with
global benchmark for quality and integrity. Our global standards and local regulations. Combining
96,000 employees operate a network of 2,600 global coverage with local knowledge, unrivaled
offices and laboratories, working together to enable a experience and expertise in virtually every industry,
better, safer and more interconnected world. SGS covers the entire supply chain from raw
materials to final consumption
We offer the following main services:
In the UK, SGS employs over 1,800 staff based in over
• Customized audit solutions – our diverse skills 30 regional offices. Our certification section provides
and experiences help organizations to exploit independent certification and audits to a range of
established management systems, by working in standards, including:
partnership to optimize efficiency and
effectiveness, finding practical solutions to • Quality Management Systems (ISO 9001)
challenges related to: best practices in • Environmental Management (ISO 14001)
organizational operation, process efficiency • Risk Management, IT Certification (ISO 20000)
and improvement, supply chain management, and • Information Security Management (ISO/IEC 27001,
sourcing and procurement ISO 27701, BS 10002, ISO 27017, ISO 27018)
• Business Continuity Management System
• Inspection services – we inspect and check (ISO 22301)
the quantity, weight and quality of traded goods.
• Energy Management Systems (ISO 50001)
Inspection usually takes place when goods are
• Asset Management Management Systems
moved from one type of transport to another
(ISO 55001)
• Testing services – we test quality and • Customer Service Excellence
performance of products against various health, • Occupational Health and Safety (ISO 45001)
safety and regulatory standards. We use state- • EC Directives (CE Mark) and other regulations
• UKCA Mark for Medical, PPE and CPR
of-the-art laboratories on or close to customers’
• Medical Device Certification (ISO 13485 and
premises
MDSAP)
• Certification services – we confirm that systems • British Retail Consortium Global Standards
or services meet the standards set by • Food Safety Management Systems (ISO 22000)
governments, standardization bodies (for example, • Aerospace
ISO 9001) or our customers’ products. We also
develop our own standards to meet our clients’ For more information on any of our services visit
needs. SGS as an accredited certification body can www.sgs.co.uk/certification
provide confidence to clients that professional,
experienced auditors are used and standards are
consistently applied
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