Depends on the Standard
Additional requirements for timeliness of reporting and implementation of corrective actions depend also on the Standard/Scheme, e.g., QS-9000, AS9100, etc. Since this thread is under TS16949, I suspect that the additional requirements, contained in the QS-9000 Sanctioned Interpretation document would apply. Below is an excerpt of the document. This section deals with findings, reporting, probation etc . . .
R2 Findings (01/01/00)
Registrar and Accreditation Body auditors are restricted to only three types of findings during an
audit: “major non-conformances”, “minor non-conformances” and “opportunities for improvement”.
No other form or type of finding may be issued.
R3 Probation and Delisting of Suppliers (03/31/00)
A supplier's registration will be placed on immediate probation * by their registrar if any of the
following occur:
• The Registrar issues a major non-conformance **; or
• The supplier is notified by Ford Motor Company of “Q-1 Revocation”, by DaimlerChrysler of
“Needs Improvement” (“Quality Rating only – not Total Rating”), or by General Motors of "New
Business Hold – Quality"; or
• Minor non-conformance corrective action is verified by the Registrar as not being effectively
implemented within 60 days of the date identified; minor non-conformance closure may require
on-site verification by the Registrar.
* Probation replaces the previously used term 'suspension' and is defined as notice given a
supplier by their registrar that failure to take corrective action to eliminate the major or minor
nonconformities, or Ford Motor Company "Q-1 Revocation", DaimlerChrysler “Needs
Improvement”, or General Motors "New Business Hold-Quality" will result in a supplier's
certificate being revoked by their registrar (refer to clause R3.E, R3.F, R3.G).
** The QSA states “…a number of minor nonconformities against one requirement which
when combined can represent a total breakdown of the system and thus be considered a
major nonconformity.” Additionally, minor nonconformances, which occur on successive
surveillance assessments, should be viewed as a pattern. If a pattern of minor
nonconformities occurs over successive assessments, it may represent a total breakdown of
the system and a major nonconformance shall be issued.
A. If Probation results from the issuance of a major nonconformance, the registrar will notify the
supplier in writing of the probation within five days of the issuance of the major
nonconformance (whether or not an appeal is initiated).
B. If probation is warranted for any other reason, written notification will be provided to the
supplier immediately.
C. In the event probation is the result of the Registrar issuing a major nonconformance or the
supplier is notified by Ford Motor Company of “Q1 Revocation,” by DaimlerChrysler of “Needs
Improvement” (“Quality Rating only – not Total Rating”), or by General Motors of “New
Business Hold – Quality,” the supplier shall complete a corrective action plan. The supplier
shall submit the corrective action plan to the Registrar and to the affected customer(s) within
10 business days of the date of the letter of notification of probation. The supplier corrective action plan shall be consistent with the affected customer(s) requirements including
correction steps, responsibilities, timing information, and key metrics to identify effectiveness
of the action plan.
D. If the certification is “corporate” then all sites under the corporate certification shall be placed
on probation. If a “corporate” certification is placed on probation, it cannot be changed, such
as being broken-up into many “site-specific” registrations. While on probation from QS-9000,
“new” locations may be added to the corporate registration, or a location within a corporate
certification may be removed if such location is completely “closed.”
E. If a supplier files an appeal with their registrar, the supplier and registrar will have 30 days
from notification to complete the appeal process. The affected customer(s) shall be notified
by the supplier of the appeal. At the completion of this 30-day period, if the probation is
continued, the registrar will notify the ASQ database of the result, and the supplier will notify
those customers that have required them to obtain QS-9000 registration.
F. Before any probation can be lifted, the registrar will conduct an on-site assessment of
appropriate length to verify effective implementation of all corrective actions.
G. If probation is not lifted within four months of it’s issuance, the registrar shall revoke a
supplier's certificate. Exceptions to this revocation shall be justified by the registrar in writing
based upon the registrar's on-site review of the supplier corrective action plan's effectiveness
and agreement obtained from:
• the affected customer(s), and
• the accreditation body(s) whose mark appears on the certificate.
The registrar shall provide the supplier in question a copy of this justification.
H. Registrars will notify the ASQ database of all probation, and of all registration de-listings for
failure of the supplier to comply with QS-9000 requirements.
I. If a supplier transfers registration services from one registrar to another while a probation is
pending resolution, the accepting registrar cannot register same supplier until the accepting
registrar has conducted a complete registration assessment for which the on-site registration
duration cannot be less than shown in the man-day table of Appendix H – regardless of the
reason for the transfer.
J. Registrars may wait for a period, not to exceed five working days, after an audit event, before
issuing a major non-conformance to a supplier.
K. (07/01/01) - If a supplier is placed on probation as defined in R3, and thereafter such
probation is lifted by the registrar, the interval between subsequent surveillance audits shall
not exceed 6 months for a minimum period of 18 months from the date the probation was
lifted. For “Corporate” certificates, as a minimum, the site(s) established as the source(s) of
the probation shall each be subject to this same surveillance requirement. This requirement
shall survive a change of registrar or supplier site ownership.