Understanding the IATF 16949 Audit Process

IATF 16949, developed by the International Automotive Task Force (IATF), is an important global standard for the automotive industry. It aims to improve quality management systems as additional requirements alongside ISO 9001.

The standard emphasizes ongoing improvement, preventing defects and minimizing differences in quality within the supply chain. This helps companies produce high-quality products through efficient processes.

By following IATF 16949, automotive companies can boost their operational efficiency, reduce risk, satisfy customers and stay competitive worldwide.

However, to gain the advantages of this certification, your company must first go through the IATF 16949 audit process.

There are a number of key steps to take before your organization can successfully achieve IATF 16949 certification.

First, you may need to carry out a gap analysis to review your current quality management practices and see how they measure up to the standard’s requirements and whether you are eligible for certification. If there are any gaps or areas of non-compliance, you will need an action plan to fix them. A gap analysis or pre-audit cannot be done by an IATF certification body.

You may need to train employees to implement the required changes successfully. To do this, they need to fully understand the requirements of your Quality Management System (QMS) as it reflects the requirements of the IATF 16949 standard and the adjustments needed.

You will need to review your internal performance and conduct internal audits to check if the changes are working as intended. These audits can also help you identify other potential issues during the implementation.

Once you have your system fully implemented and have completed all of the required internal audits, you will need to contract with an IATF-approved certification body to begin the initial registration process.

Stage 1 Audit

The Stage 1 Audit is the first step in the IATF 16949 certification process. The Stage 1 is a two-part process consisting of a structural review and operational review.

The structural review is a high level review to ensure all information provided during the application process is correct. In addition, this review will determine if your documented quality management system including all required documented processes and information conforms to the IATF 16949 standard.

The operational review is a more rigorous review of the operational performance of the quality management system through actual auditing of your shop floor manufacturing processes and associated activities like traceability, rework and gage calibration.

After reviewing that information, the auditor will determine whether the QMS is documented and implemented effectively enough to move forward to the Stage 2 audit.

Stage 2 Audit

The Stage 2 Audit is an in-depth, on-site review of how your organization has put its Quality Management System (QMS) into practice

During this audit, auditors will check if your organization’s processes follow the IATF 16949 requirements. They’ll examine how well these processes work and whether your organization meets its quality management goals using a risk-based approach. They will also check if you are following your documented procedures and all applicable automotive customer specific requirements, including their performance expectations.

Auditors will interview staff, review documented information, and observe operations to better understand the QMS in practice.

The Stage 2 Audit checks that your QMS is documented correctly and effectively in practice. The main aim here is for auditors to confirm that your organization meets the high standards needed for IATF 16949 certification.

To successfully achieve IATF 16949 certification, your organization will need to undergo several different audits:

Internal Audits

Internal audits play a crucial role in preparing for IATF 16949 certification and maintaining ongoing compliance afterward.

These audits are usually conducted by trained, unbiased employees who check the effectiveness of your internal processes and spot areas for improvement. They happen at planned intervals throughout the year and cover topics like quality management, production processes, product conformance, and documentation.

Internal audits make sure that all your procedures meet the standard’s requirements and help encourage ongoing improvement.

Surveillance Audits

Surveillance audits are regular checks done by the certification body after you initially get certified. They happen at least once a year to ensure your organization continues to comply with the IATF 16949 standard by sampling the QMS

These audits look at how well your processes are performing, any corrective actions you’ve taken, and changes made since the last audit. Surveillance audits help maintain high standards and address potential issues before they affect your certification.

Recertification Audits

Recertification audits are needed to renew your IATF 16949 certification after the first three years. These audits review your entire Quality Management System (QMS) to ensure it continues to meet all requirements.

Recertification confirms that your organization continues to follow industry and certification standards, helping you maintain your competitive advantage.

Special Audits

Special Audits are limited scope audits, usually performed to verify a specific item, like the implementation of a Major non-conformance or complaint from an IATF OEM. They may also be performed when significant changes occur or to investigate the impact of those changes.

Here are a few preparation tips to try for IATF 16949 audits:

• Build a Strong Quality Management System (QMS): Make sure your QMS is complete, well-documented and matches the relevant standards. Regularly review and update it to reflect any changes in your processes or regulations.
• Focus on Staff Training and Involvement: Hold regular training sessions to help staff understand QMS procedures and what to expect during audits. Organize forums to gather their input, keeping them informed and engaged.
• Perform a Gap Analysis: Conduct a thorough gap analysis to identify areas where your current quality management practices fall short. Use your findings to improve and strengthen your system before the audit.
• Undergo Regular Internal Audits: Schedule internal audits regularly to evaluate your QMS’s performance and effectiveness. This will help you keep it compliant with standard regulations and proactively address any issues.

The IATF 16949 certification process can be complex, depending on your organization’s size and operations. However, with a little insight and preparation, you can avoid or overcome any obstacles.

Here are some of the common obstacles to overcome them:

1. Top 10 Non-conformities

IATF publishes data about the Top 10 major and minor non-conformities, and this is available as a starting point for the common issues being flagged by auditors. You can see this list at https://iatfglobaloversight.org/statistics/

2. Gaps in Documentation

Poorly organized or incomplete documentation is a frequent problem during audits, leading to non-compliance and delays in the certification process. The IATF standard requires several “documented processes” and these must include the content requirements from the IATF standard. Customers may provide specific formats or processes that must be followed and those must be included in the QMS documentation as well.

3. Inadequate Employee Training

Making sure that all employees are well-trained in QMS procedures can be a challenge for organizations. The IATF standard requires that competency criteria are defined and training effectiveness is verified to ensure products are made consistently and processes are reliably followed.

4. Processing Issues

Incorrectly following procedures is a common issue found during audits, often due to inconsistent implementation.

The IATF 16949 certification process is a valuable and rewarding investment in quality.

By investing the time, money and resources required, you can set your organization up for long-term success.

This could include:

• Winning new business
• Accessing global markets
• Keeping up with evolving industry regulations
• Avoiding costly legal penalties
• Gaining customer and stakeholder trust

As an ANAB-accredited and IATF-approved certification body, Amtivo is highly experienced and authorized to perform certification audits for several management system standards.

Our expert auditors provide comprehensive certification services for IATF 16949. We can support you at every step of your certification journey Contact our team to discuss your needs today, or get a quote.