We are scheduled for our second surveillance audit for TS16949 within the next month. I got a letter from our registrar requesting a detailed list of documents to submit to them thirty days before the audit. I thought these data submittals were only for the certification audit or the re-certification audit. Any thought would be helpful.

According to the "Rules for achieving IATF recognition" document, paragraph 2.7 a number of specific items need to be covered during each periodic audit, and during the planning phase of the audit, information related to:

1. implementation of requirements of new customers, since last audit and
2. customer complaints and organization response

should be made available to the registrars.

I also heard that the items covered during the "readiness reviews" (Stage 1) were being recommended also prior to the periodic audits, but to my knowledge, it was just a recommendation and not a requirement. Yet.

Hi Mike, we're in the middle of our first surveilance audit for ISO/TS (It's split in time as it covers 3 different plant locations.) Our registrar did not make a request for a detailed list of documents to be submitted to them 30 days ahead of time.

We are due to review the items that Sidney mentioned - new customer requirements and customer complaints and organization response, and those records will be made available to our assessor.

Just some info from presumably a different registrar.

I just got through talking to my registrar. Here is what they said. They will be requesting a data submittal for past twelve months for every surveillance audit as required by the 2nd edition of Rules for Achieving IATF Recognition. Effective 12/15.
Among things required are:
1.Any changes to quality manual and descriptions of processes showing sequence and interactions, including key indicators
2. Performance trends and data as agreed
3. all identified customer scorecards
4. customer feedback including satisfaction and complaints
5. status of any customer containment actions
6. internal audits, audit plans and list of qualified internal auditors
7. management review planning and results
8. corrective actions
9. update of any changes to customer and to customer specific requirements

I believe they will charge for another 1/2 day to review this material.
I am waiting on my 2nd edition now. If you do not have one, I would recommend getting one as soon as possible. A lot of changes from what I just heard.

My previous comment was based on the Second Edition Document. I am interested to know, after you have a chance to review your copy of the Rules, exactly the paragraph, in that document, that requires the data listed in the previous post.

I can't find it on mine.

Several of my clients use Entela. They have been asking for a very similar
list of data prior to each QS-9000 surveillance. They do not charge a separate
line item for review; it's folded into the surveillance cost. (It doesn't seem
to "count" as audit time, though...?) This has been their practice for at least the last 2 surveillance audits (ergo, at least the last year.)

Regards,
Brad

I just got through talking to my registrar. Here is what they said. They will be requesting a data submittal for past twelve months for every surveillance audit as required by the 2nd edition of Rules for Achieving IATF Recognition. Effective 12/15.
Among things required are:
1.Any changes to quality manual and descriptions of processes showing sequence and interactions, including key indicators
2. Performance trends and data as agreed
3. all identified customer scorecards
4. customer feedback including satisfaction and complaints
5. status of any customer containment actions
6. internal audits, audit plans and list of qualified internal auditors
7. management review planning and results
8. corrective actions
9. update of any changes to customer and to customer specific requirements

I believe they will charge for another 1/2 day to review this material.
I am waiting on my 2nd edition now. If you do not have one, I would recommend getting one as soon as possible. A lot of changes from what I just heard.

This list may somehow be representative of the registrars interpretation of "Annex B Stage 2 Audit" of the Rules2.

Our registrar said to look at 9.3.1.4. I received my copy of the "rules" today. It says Surveillance audits may include:

c) requests to the client to provide documents and records (on paper or electronic media)