NewRequirementsandClarificationstoRules4thEdition第四版规则新要求及澄清事项

1、A Passion for Safety and Quality.让安全和质量擦出爱的火花1Summary of the changes Summary of the changes 变化部分概要：变化部分概要：New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Reordered structure of section 1.0 to include relevant definitions an

2、d further clarification 第一章节结构调整，包含了相关定义和澄清事项Incorporated clarification on “Customer-specified production parts” 集中澄清“顾客指定生产零件顾客指定生产零件”Clarification that fabless manufacturers are not eligible for ISO/TS 16949 澄清了无生产线现场不得进行ISO/TS 16949认证Elimination of site extensions which no longer exist in the IAT

3、F certification scheme and Rules 4th Edition 删除了现场延伸场地，该概念在IATF认证方案及规则四中不再存在Replacement of the terminology “subscribing customer” with “automotive customer” and elimination of terminology “non subscribing” customer 用术语“汽车顾客”替代“推崇顾客”Summary of the changes Summary of the changes 变化部分概要：变化部分概要：New Requ

4、irements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Audit day determination 审核人日确定 Splitting of site (Automotive vs. Non-automotive) 分离现场（汽车和非汽车）Remote support location 外部支持场所Audit planning 审核策划Final audit report 最终审核报告NC Management 不符

5、合管理The content of the certificate 证书的内容Recertification activities 再认证活动Transfer audit 转移审核Special audit 特殊审核Certificate decertification process 证书认证退出过程Important definitions Important definitions 重要的定义重要的定义New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4th

6、th Edition Edition第四版规则新要求及澄清事项“Client” “Client” shall be understood as the entire entity entire entity (including all related manufacturing sites and remote supporting locations) applying for ISO/TS 16949 certification. “客户客户”指申请ISO/TS 16949认证的完整实体完整实体（包括所有相关制造现场和外部支持场所）ISO/TS 16949 is applicable t

7、o all sitessites of a client where customer-specified production parts customer-specified production parts and/or service parts are manufactured. ISO/TS 16949 适用于每一个客户制造顾客指定生产零件和/或服务件的所有现场“Customer-specified production parts” “Customer-specified production parts” shall be understood as parts that ar

8、e an integral part of a vehicle. The only customer-specified parts that do not meet this requirement but are to be included are the following: fire extinguisher, car jacks, and floor mats. “顾客顾客指定生产零件指定生产零件”指汽车的组成部分。不符合要求但是包含在内的顾客指定零件只有：灭火器、千斤顶和地垫。“Site” “Site” shall be understood as the location at

9、 which value-added manufacturing processes occur (see ISO/TS 16949, section 3.1). Fabless sites are not eligible for ISO/TS 16949 certification (see section 10.0). “现场现场”指发生增值制造过程的场地（见ISO/TS 16949第3.1条）。无生产现场不得进行ISO/TS 16949认证Important definitions Important definitions 重要的定义重要的定义New Requirements and

10、 Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Automotive Automotive shall be understood to include the following: Passenger Cars, Light Commercial Vehicles, Heavy Trucks, Buses, Motorcycles, and to exclude the following: Industrial, Agricult

11、ural, Off-Highway (Mining, Forestry, Construction, etc.). “汽车汽车”被理解为包括轿车、轻型商用车、重型卡车、公共汽车和摩托车、不包括工业用、农业用和非公路用（采矿、林业、建筑等等）Aftermarket parts Aftermarket parts are excluded. 售后市场零件售后市场零件不能进行认证。“Fabless sites” “Fabless sites” are are Not Not eligible for ISO/TS 16949 certification 无生产现场无生产现场不得不得进行ISO/TS1

12、6949认证The design and distribution of production parts while the fabrication or fab of the production parts is outsourced to a specialized manufacturer. Fabless companies separate the design from the manufacturing to concentrate on research, design, development, and testing. 生产零件的制造外包给专业制造商的生产零件设计与分配

13、。无生产线公司将设计和制造分离以专注于研究、设计、开发和测试“Supporting function” “Supporting function” shall be understood as an onsite or remote facility at which non-production processes occur and that supports one or more manufacturing site(s) of the same client. “支持功能支持功能”指进行非生产过程的现场或外部设施，向相同客户的一个或多个制造现场提供支持Site extensions

14、Site extensions 制造现场延伸场地制造现场延伸场地New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Site extensions Site extensions as defined previously will no longer exist will no longer exist as part of the ISO/TS 16949 Certification Schem

15、e. 制造现场延伸场地制造现场延伸场地将不再存在于ISO/TS16949认证方案中IATF will withdraw, and therefore make obsolete, withdraw, and therefore make obsolete, the current possibility to include site extensions effective 1st of April 20141st of April 2014. . IATF将从20142014年年4 4月月1 1日日开始撤销并从而废除撤销并从而废除，目前包含现场延伸场地的认证Clients with an

16、existing manufacturing site extension will need to transition this site Clients with an existing manufacturing site extension will need to transition this site extension to a single site extension to a single site between the time period of 1st of April 2014 1st of April 1st of April 2014 1st of Apr

17、il 20152015. . 现有制造现场延伸场地的客户将需要按CB公告2013-006所述流程在2014年4月1日至2015年4月1日期间将其转换为单个现场。New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Site extensions Site extensions 制造现场延伸场地制造现场延伸场地Prior to next regularly scheduled audit Prior t

18、o next regularly scheduled audit of the main site, the audit days for the main site the audit days for the main site and previous manufacturing site extension shall be recalculated. and previous manufacturing site extension shall be recalculated. The purpose of the recalculation of audit days is to

19、separate the previously included headcount of the manufacturing site extension from the headcount of the main manufacturing site. Records of Records of the audit day calculation shall be retained as part of the audit records. the audit day calculation shall be retained as part of the audit records.

20、在主现场的下次例下次例行计划审核前，主现场和先前的现场延伸的审核人日都应重新计算。行计划审核前，主现场和先前的现场延伸的审核人日都应重新计算。两场地的人数分开计算 人日计算记人日计算记录应作为审核记录保存。录应作为审核记录保存。The scheduling of the auditThe scheduling of the audit for the previous manufacturing site extension shall comply with shall comply with the deadline (Rules 5.1.1) the deadline (Rules 5.

21、1.1) audit cycle and shall be an initial certification audit. 先前的现场延伸的审核方案计划应符合规则审核方案计划应符合规则5.1.15.1.1-审核周期的期限的期限并应作为初次认证审核。应作为初次认证审核。No stage 1 readiness review is required and the stage 2 days can be reduced equivalent to No stage 1 readiness review is required and the stage 2 days can be reduced

22、equivalent to the minimum number of audit days for recertification audits. the minimum number of audit days for recertification audits. 不需一阶段准备审核，并且二阶不需一阶段准备审核，并且二阶段人日可减少到再认证的最低人日段人日可减少到再认证的最低人日. .Certificate agreement with client Certificate agreement with client 与客户的认证协议与客户的认证协议New Requirements an

23、d Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项The contract between the certification body and the client shall address the following items: 认证机构与客户之间的合同应包含以下内容：-the client cannot refuse the presence cannot refuse the presence of an IATF rep

24、resentative or their delegates , 客户不得拒绝不得拒绝IATF代表或其委派人员的出席-the client cannot refuse the request cannot refuse the request of the certification body to provide the final report to the IATF. 客户不得拒绝不得拒绝认证机构向IATF提供最终报告的要求-consultants to the client cannot be physically present at the clients site during

25、the audit or participate in the audit in any way in any way (including e.g. videoconference, e-mails, sms). 客户咨询顾问不得在审核过程中出现在客户现场或以任何方式任何方式参与审核。“These statements shall clearly appear in the contract with the client. Therefore, all “These statements shall clearly appear in the contract with the clien

26、t. Therefore, all contracts shall be updated with the new wording”. contracts shall be updated with the new wording”. 这些声明应清晰出现在与客户的合同中，那么所有的合同应更新为新的措辞。这些声明应清晰出现在与客户的合同中，那么所有的合同应更新为新的措辞。Notice of change by a client Notice of change by a client 客户变更通知客户变更通知New Requirements and Clarifications to Rules

27、 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Failure by the client to inform Failure by the client to inform the certification body of a change is considered a breach of the legally enforceable agreement and may result in the withdrawal of the clients ISO/TS withd

28、rawal of the clients ISO/TS 16949 certificate 16949 certificate by the certification body. 若客户未能向认证机构通知变更通知变更，则视为违反具有法律效力的协议，认证机构将会撤销授予该客户的撤销授予该客户的ISO/TS16949ISO/TS16949证书证书。Important changes Important changes 重要变化重要变化a) Legal status 法律状况b) Commercial status (e.g. joint venture, sub-contracting with

29、 other organizations) 商业状况（如 与其他组织合资，分包）c) Ownership status (e.g. merger & acquisitions) 所有权状况（如合并，收购）d) Organization and management (e.g. key managerial, decision making, or technical staff) 组织和管理（如关键管理，决定或技术人员）e) Contact address or location 联系地址或地点f) Scope of operations under the certified man

30、agement system, 认证管理体系的操作范围g) IATF subscribing OEM customer special status IATF推崇OEM顾客的特殊状况h) Major changes to the management system and processes 管理体系和过程的重大变更Audit cycle Audit cycle 审核周期审核周期New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edit

31、ion第四版规则新要求及澄清事项The last day of the first recertification audit first recertification audit shall not exceed three (3) years (-3 months / +0 days) from the last day of the initial stage 2 audit. If timing is exceeded, the client shall start over with an initial certification audit. 首次再认证审核首次再认证审核的最后

32、一天不得超过初次审核第2阶段最后一天后的三（3）年（-3个月，+0天）。如果超过该时间，客户应从初次认证审核重新开始。The last day of the subsequent recertification audit subsequent recertification audit shall not exceed three (3) years (-3 months / +0 days) from the last day of the previous recertification audit. If timing is exceeded, the client shall sta

33、rt over with an initial certification audit. 随后再认证审核随后再认证审核的最后一天不得超过前一次再认证审核最后一天后的三（3）年（-3个月，+0天）。如果超过该时间，客户应从初次认证审核重新开始。-Even if the closing meeting target date for the recertification audit falls on a weekend or during a holiday. 甚至再次认证末次会议的预计日期在周末或假期。Audit day determination Audit day determinatio

34、n 审核人日确定审核人日确定New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项In determining the number of audit days 在确定审核人日时An audit day is typically a full normal working day of 8 hours. A half of an audit day is typically a working day

35、 of 4 hours. 一个标准审核日为一个完整的八（8）小时正常工作日。半天审核日通常为四（4）小时工作日。An exception to the 8 hour working day is when third shift work third shift work is being covered. 有三班次三班次时可例外。(If more than 8 hours are programmed for covering a third shift, the additional time can onlyonly be applied to a single audit day an

36、d shall not be not be applied to multiple days of the audit. The additional hours spent auditing the third shift shall not exceed a maximum of 0.5 audit days 0.5 audit days (i.e. 4 hours) per audit). 如果为覆盖三班倒计划超过8小时，额外时间只只能在某一天应用，不应在多个审核日实施。每次审核每次审核，用于审核三班倒的额外小时数最多不得超过0.50.5个审核日个审核日（即：4小时）。An except

37、ion to the 8 hour working day is on Day 1 when the audit day shall be 9 hours while section 5.7.2 a) requires the auditor to schedule a minimum of 1 hour to verify changes at the clients site. This 1 hour is in additionaddition to the normal 8 hour day. 第一天九（9）小时可例外-见5.7.2,5.7.2要求审核员计划至少一（1）小时验证客户现场

38、变化，此1小时额外额外于正常的8小时。Closing of nonconformities is excluded in the 8 hour working day 关闭不符合不能计入8个小时之内The total audit days may not be reduced by programming longer than 8 hours per working day. 不得通过超过每个工作日的八（8）小时来减少总审核人日。Audit day determination Audit day determination 审核人日确定审核人日确定New Requirements and C

39、larifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Each audit shall include auditing on all shiftsinclude auditing on all shifts. Multiple shift patterns shall be audited at each audit. The minimum audit time in manufacturing minimum audit time in

40、manufacturing shall be a minimum of one-third one-third of the total audit days. 每次审核应对所有班次进行审核（见第5.8 n）条）。每次审核还应审核多个轮多个轮班模式班模式。制造方面的最少审核时间制造方面的最少审核时间应至少为总审核人日的三分之一三分之一。Onsite review of corrective actions review of corrective actions arising from previous audits shall be additional shall be addition

41、al to the specified audit days and is not entered into the IATF database. 之前审核的纠正措施的现场评纠正措施的现场评审审应额外额外于规定的审核人日，但不录入IATF数据库This is required whether you have 1 nonconformity to be verified or 10 nonconformities to be verified. 此要求不管有1个或10个不符合待验证Agenda shall include a separate line item for verificatio

42、n of previous nonconformities and show the amount of time allocated (e.g. 1 hour, 3 hours, etc.). 审核计划中应有分开的计划项用于验证先前不符合及分配的时间（如1小时，3小时等）Audit day determination Audit day determination 审核人日确定审核人日确定New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Editio

43、n Edition第四版规则新要求及澄清事项Splitting of sites Splitting of sites (Automotive vs. Non-automotive) 分离现场分离现场（汽车和非汽车）If a portion of the site is dedicated to automotive, then the headcount from that portion can be used to determine audit time when the following conditions are met: 如果现场的一部分专门用于汽车制造，则在以下条件满足的情

44、况下，该部分的员工数可用于确定审核时间：-approval approval from the relevant Oversight office priorprior to implementation, 实施前前获得相关监督办公室批准批准-all automotive manufacturing automotive manufacturing processes are physically separated physically separated from non-automotive manufacturing 所有汽车制造过程汽车制造过程都与非汽车制造实际分离实际分离-pers

45、onnel working personnel working in the automotive manufacturing process areas are completely dedicated completely dedicated 在汽车制造过程区域的人员完全完全致力于汽车制造-all support personnel all support personnel (onsite or remote) are included are included in the headcount. No ratios can be applied. 所有所有支持活动的人员包含在员工总数中

46、，没有比例一说“Physically separated” means “Physically separated” means “实际分离实际分离”意味意味-Different floors of a single building 一栋建筑的不同楼层-Multiple separate buildings on the property with a single address 同一地址的多栋分离建筑-Manufacturing lines separated by a permanent barrier that encloses the area 永久隔离物围出的制造线Audit d

47、ay determination Audit day determination 审核人日确定审核人日确定New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Splitting of sites Splitting of sites (Automotive vs. Non-automotive) 分离现场分离现场（汽车和非汽车）Not acceptable Not acceptable 不可接受不可

48、接受 Acceptable Acceptable 可接受可接受Audit day determination Audit day determination 审核人日确定审核人日确定New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Splitting of sites Splitting of sites (Automotive vs. Non-automotive) 分离现场分离现场（汽车和非汽

49、车）If clients meet the requirement in 5.2 h) then 如果客户满足5.2 h)，则Certification body shall submit the “IATF Audit Day Reduction” application form and a waiver form to the appropriate Oversight office for approval PRIORPRIOR to implementing the reduced headcount for audit day calculation purposes. 认证机构应

50、在实施减少审核人日计算之前之前向相关监督办公室提交“IATF”审核人日减少“申请表及特批表并获得批准。”Audit day determination Audit day determination 审核人日确定审核人日确定New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Duration of audits in generalDuration of audits in general 总的审核

51、期间总的审核期间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 increases or decreases, the change shall be applied to the current audit. A record shall be maintained. 如果现场员工总数在审核之前或期

52、间发生变化，要重新计算最少审核人日。如果最少审核人日增加或减少，应将此改变用于当前审核，并保持纪录Duration of Surveillance audits Duration of Surveillance audits 监督审核期间监督审核期间The total number of surveillance audit days in the first, second, and third yearshall be equal to the number of initial audit daysand shall be of equal duration. 在第一、第二和第三年进行的

53、总监督审核人日应等于表5.2中列出的初次审核人日，持续时间也应相等If headcount increase/decreases during the audit cycle, this could affect the equal duration of audit days. 如果现场员工总数在审核周期内增减（见5.2 q），可能会影响审核人日的持续时间Audit day determination Audit day determination 审核人日确定审核人日确定New Requirements and Clarifications to Rules 4New Requiremen

54、ts and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项Change of scope of certification Change of scope of certification 认证范围的变化认证范围的变化If the scope of certification is expanded the scope of certification is expanded at the surveillance or recertification audit, the CB shall increase the to

55、tal audit daysincrease the total audit days. Justification for the amount of time added to the total audit days for the additional scope shall be maintained in the audit planning documents. 如果监督或再认证审核中扩大了认证范围，扩大了认证范围，则认证机构应增加总审核人日。增加总审核人日。审核策划文件中应保持针对额外范围为总审核人日所增加的时间的理由。When a clients scope changes

56、Requirement for a special audit vs. waiting for the next audit? 当客户范围变化时何时去现场进行特殊审核或等到下次审核？It depends upon how much has changed (e.g. management, people, processes, quality management system, etc.). 取决于变化的大小（如：管理，人员，过程，质量管理体系等等）It depends on when the change was addressed by the client (e.g. 2 months

57、 before the next audit or 10 months before the next audit?). 取决于何时收到客户变化的通知（如：下次审核前2个月或10个月）If the next audit is less than 6 months less than 6 months from date of notification, review the changes at the next scheduled audit. next scheduled audit. 如果在六个月以内六个月以内就在下次常规审核时评审。下次常规审核时评审。If the next audit

58、 is greater than 6 monthsgreater than 6 months, then conduct a special audit. a special audit. 如果超过六个月，如果超过六个月，就安排一次特殊审核。一次特殊审核。Corporate audit scheme Corporate audit scheme 集团审核方案集团审核方案New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四

59、版规则新要求及澄清事项Each site in the corporate audit scheme shall have a separate 集团审核方案中的每个现场都应有一个单独的a) audit planning activity, 审核策划b) audit plan, 审核计划c) audit report, 审核报告d) certification decision, 认证决定e) certificate issued. 证书发放A single certificate listing all the sites or a corporate certificate is not

60、permitted.不允许只用一个证书列出所有现场或采用集团证书。 Permitted reduction Permitted reduction 允许人日减少允许人日减少New Requirements and Clarifications to Rules 4New Requirements and Clarifications to Rules 4thth Edition Edition第四版规则新要求及澄清事项upgrade to ISO/TS 16949 from ISO 9001. 从ISO 9001升级到ISO/TS 16949-If the scope is expanded, the