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UL Document Number: Q-0300-1 of 40DQS Prepared By : Angel Tucker Issued: 9/27/91

Reviewed By : Michael J. Caruso Revised:9/15/10Approved By : Michael J. Caruso

Subject: Contract Review Procedure

1 PURPOSETo establish a procedure for applications for services to be provided by UL DQS and for determining the required number of audit days to be quoted for compliance with client requests, accreditation, and program requirements.

2 SCOPEThis procedure applies for all applications or requests for quotes submitted to UL DQS , as well as all assessments for existing contracts performed under the direction of UL DQS. Sales personnel are primarily responsible for implementing this procedure for new services. Secondary responsibility would be any qualified UL DQS representative determining ongoing audit days and communicating with the client

3 APPLICABLE DOCUMENTSQ-0000 Policy Manual for Management System Registration

All Program Procedures00-CS-W0025 UL DQS Agreements and Applications – List and Instructions

ISO/IEC 17021 Conformity assessment – Requirements for bodies providing audit and certification of management systems

SAE AS9104 Requirements for Aerospace Quality Management System Certification/Registrations Programs

QC001002-5 (IECQ) Rules of Procedure, Part 5: Hazardous Substance Process Management Requirements

IAF MD 1 Certification of Multiple Sites Based on SamplingIAF MD 5 Duration of QMS and EMS AuditsQ-1600-1 Control of Records

Q-1800-1 Lead Auditor/ Auditor Qualification Procedure

4 DEFINITIONSTR – Technical Reviewer

5 GENERAL6 The initial registration shall include two stages: Stage 1 (S1) and Stage 2 (S2) (Program

specific procedures may define additional requirements). S1 will typically be a one-day audit and can be done with a preliminary audit. But can be less for small organizations and more for large or complex organizations. The Stage 1 man-days can count toward Stage 2 except for TS program. The Stage 1 cannot exceed 50% of the total registration man-days (Stage 1 + Stage 2). In the case of a multi-site /corporate Registration, the S1 may only need to be done at the central office per guidelines of Q-0900-5, Annex B. Remote locations do not need a S1.

5.2 The calculation of audit days is to be documented on the applicable contract review form and include any applicable increase or reduction factors. Reductions are not allowed for TS16949 and AS91XX:2009. AS9100 rev. B, AS9120 rev original, and TL audits allow reductions to be applied to the ISO 9001 days only. No reductions are allowed to the adder days. Although not required to review every justification for reduction, Regional Management is accountable for assuring overall justifications for reduction are sound and that the justification process is effective. Where the reduction is above the limits defined in Annex 1, the justification requires approval by the authorities defined in Annex 1. The reductions must meet all applicable accreditation requirements.

UL Document Number: Q-0300-1 Page 1 of 40DQS Prepared By : Angel Tucker Issued: 9/27/91

Reviewed By : Michael J. Caruso Revised: 10/15/09Approved By : Michael J. Caruso


of 40Document Number: Q-0300-1 Issued: 9/27/91Subject: Contract Review Procedure Revised: 9/15/10

5.3 The contract review process as defined also applies when a site is being added to an existing registration. Contract review policies apply for a new site in the same way as a new registration. For existing certificates, the Lead Auditor is responsible for checking the headcount and adjustment factors, updating any changes and recalculating the required audit days.

5.4 Contract review is to be performed by qualified staff that have demonstrated competencies per Q-1800-1.

7 PROCEDURE

8 Prospect Information GatheringIt is critical that all remote locations that may impact the registration be identified, i.e. remote design centers, sales offices, warehouses etc.

9 Criteria for the Assessment of Management System ElementsUL DQS must assess all company owned or other locations controlled by the company’s applicable management systems that contribute to the client’s scope of registration. This applies if the functions take place at the same or multiple addresses.

10 Multi-site/ Corporate Registration Requests11 Multi-site registrations may be granted to any organization for any program except

ESD. If the organization has central corporate controls, this is considered a corporate registration. The percent reduction will be dependent upon the amount of central controls and the maximum percent reduction in assessment allowed is defined in the program specific annexes.

6.3.2. Before quoting a corporate registration, the customer is to be informed of the risk that they place the registration at should any location not maintain their registration.

6.3.3. Corporate registrations that include the sampling of multi-sites are only granted for ISO 9000,TL-9000, OHSMS, BS OHSAS 18001 or ISO 14001 and RC14001/RCMS clients operating a centrally managed system. See Annex II for guidance.

12 Accreditation Requirements 13 Verify that UL DQS is accredited in the prospects SIC or EA code. Various

Accreditations differ as to the extent of SIC Code coverage and are listed in a table on the Accreditations page of the UL DQS intranet. UL DQS can not quote TL-9000, AS or RC work in unaccredited SIC codes, but may quote unaccredited ISO 9001, ISO 14001 or OHS assessments if the customer is informed in the quotation letter that UL DQS does not have the requested accreditation. If a specific Accreditor is requested, verify that UL DQS is accredited for the specific program(s) and SIC or EA by that Accreditor.





14 Auditor and Reviewer Qualifications15 Ensure that UL DQS has auditors qualified in the applicable programs and SIC or EA

code. (One member of the team must carry the SIC Code appropriate to the site. The level of SIC Code differs by visit type). For TS-16949, the audit team is required to be qualified in all applicable SIC or EA codes.

16 Ensure that UL DQS can meet any language requirements prior to quotation.17 Ensure that UL DQS can meet client requests for local or specific auditors. If UL DQS

cannot meet such requirements, this fact must be documented in the quotation letter.

18 For ISO 14001, OHS, RC14001 and RCMS audits, ensure that UL DQS has auditors qualified in the environmental or occupational health and safety regulations of the country in which the audit will take place (Country of Audit Skill) and the major environmental effects of the site to be audited. Reference Q-0915-1.

6.5.5. Verify that all other team qualification requirements can be met per Q-0300-2 for the particular program and visit type.

6.5.6. If the client requests integrated audits for multiple programs, verify that UL DQS has auditors who meet all qualification requirements for each program. An integrated audit can only be offered if the qualification requirements can be met.

6.5.7 After all information concerning the audit scope and criteria has been defined, verify there are Technical Reviewers (TR) qualified for certificate decision per the Technical Reviewer Qualifications list. A TR shall be selected to carry out the certification decision and noted on the contract review form. If the appointed reviewer is not available at the time of the review, another competent reviewer shall be appointed to perform the review.

19 Lead TimeIf the request for quotation includes a lead time, verify that UL DQS can meet requested audit dates prior to quotation issue. This information is available through the regional scheduler. If UL DQS cannot meet customer lead time requirements, the customer must be contacted for an alternate date. UL DQS’s inability to meet non-negotiable customer dates must be documented in the quotation letter.

20 Registration Conversions (clients registered by a competitor switching to UL DQS)Refer to the UL DQS Transfer procedure (Q-0307-3) document for the transfer audit. The Annexes are to be followed for Upgrade and Continuous Assessments and triennial reassessment after conversion. The first triennial reassessment is to be conducted at the time it would be due for the prior registrar, not three years from when UL DQS registration is granted.

21 All Quotations22 Audit Days: Mandays are determined based on several factors as listed below. All

justifications to deviate from the Annex X Audit Manday tables must be documented on the appropriate quote form. Program specific requirements override the tables and approvals defined in the document.

23 Assessor days are quoted based on the requirements of the program specific appendices and upon the following customer information:





1. Number of people and shifts at the site(s) to be registered 2. Size of facility(s)3. Proposed Scope of Registration4. If proposal is a corporate or site assessment 5. Nature, number, similarity, and complexity of processes6. Similarity of management systems used in manufacturing7. Remote locations 8. The number of sites and multi-site considerations. Where multi-site

sampling is proposed a sampling plan shall be developed. The rationale for the sampling plan shall be documented for each client per Annex II.

9. Field activities included in the registration (service and installation)10. Technological and regulatory context11. Outsourcing of any activities included in the scope of the management

system12. For ISO/TS 16949 assessment, the IATF Rules for achieving IATF

recognition document defines the requirements for scoping and quoting assessments. Annex VII herein represents UL DQS’s application of these rules.

13. Results of prior audits.14. In addition, for an ISO 14001, OHS,, RC14001 or RCMS assessment:

The environmental or OHS hazards and risks effects and control processes of the site to be audited;

The possible integration with ISO 9001 or other Standard assessment process (Q-0407-2), if appropriate;

The activities and the environmental / OHS complexity of the site; and The number of assessor-days shall be reviewed after the results of the

Stage 1 assessment to determine if the Stage 2 assessment should be adjusted.

15. Customer performance status.

6.8.3 Verify that acceptance of the customer presents no threats to impartiality (e.g. UL DQS has not provided internal audit or supplier audit services in the last year or in the case of ISO/TS16949 or AS9100 programs, UL DQS has not provided private training which would violate the rules for those programs)."

24 RecordsRecords will be retained in accordance with Q-1600-1, Control of Records.





ANNEX I

1.0 Contract Review for ISO-9001 and ISO-134851.1 The Audit Manday tables in Annex X defines the audit days appropriate for a given number of employees. The table serves as a starting point to determine the auditor days required. During contract review, we must determine what factors are applicable to the organization that will necessitate a variation from this starting point. The Audit Day Tables are not to be used alone without consideration of these factors.

1.2 Evidence of considering these factors is to be documented on QF-0900-9 Manday Calculator form for all programs other than ESD and TS 16949, All attributes of the organization’s system, processes and products/ services should be considered and a fair adjustment made for those factors that could justify more or less auditor time for an effective audit. Additive factors may be offset by subtractive factors.

1.3 The QF-0900-9 form provides adder day tables for ISO-13485 audits. The adder days are adjustable based on the complexity of the system, applicable regulatory requirements and number or nature of devices or components.

1.4 It is unlikely that a reductions of more than 20% from the Audit Day table can be justified. However, if justified, it must be approved on the QF-0900-9 in accordance with Section 2 of this Annex..

1.5 Example reduction and increase factors are listed on the QF-0900-9 form. Any other aspects of the organization that can affect aduit time should also be documented in the “Other” section of the form.

2.0 Annex X has all audit day calculations for both QMS and EHS programs per the current IAF MD5. The approvals for reducing or increasing audit days must be done prior to the audit and are as follows:

Starting point (100%) No approval Required

Reduction to 80 - 99 % No approval for Sales and Auditors , Audit staff Manager for other employees

Reduction to 79 to 70 % Approval by Audit staff Manager

Reduction to 69 to 50% Approval by VP – Operations or the VP – Certification for USA or equivalent within Region

Further reductions have to be approved by the by the responsible Managing Director

2.1 Employees in the table refer to all individuals whose work activities support the scope of the certification/ registration. The number includes non-permanent (seasonal, temporary, subcontracted) staff that will be present at the time of the audit. The timing of the audit shall be determined to best fit the full scope of the organization including considering season, month, day/ date and shift. Auditor time includes the time spent by an Auditor or Audit Team in planning (including “offsite document review, if appropriate); interfacing with organization, personnel records, documentation and processes; and report writing. Auditor time for planning and report writing combined must not reduce





the total on-site auditor time by more than 10%. Auditor travel time is additional to the auditor time referenced in the chart.

2.2 An auditor day is a minimum of 8 hours on-site. The number of auditor days may not be reduced by spending longer hours per day. The hours includes audit time and on-site meetings and report writing.

2.3 Continuous Assessment time is at least 1/3 of the Registration time. Reduction factors applied for the Registration may also be applied for the Continuous Assessment. The number of days required annually may be split between two Continuous Assessments for customers on six-month frequency.

2.4 Reassessment is required every three years. The amount of time spent should be at least 2/3 of the time that would be required for registration of the same organization at the time that it is to be reassessed. Customers on six-month frequency may not split the reassessment time between two continuous assessments, but may opt to forego the additional Continuous Assessment in that year (except for the TS 16949 program, where this assessment is still required).

3.0 COMPLEXITY TABLE

The table demonstrates the adjustment of Audit Time based on the organization and system complexity.





ANNEX II1.0 SAMPLING OF MULTIPLE SITES

1.1. A multi-site registration is defined as an organization having an identified central function (known as the central office in this Annex) at which certain activities are planned, controlled or managed and a network of sites or remote locations at which largely the same activities are being carried out. The organization does not need to be a unique legal entity, but all sites shall have a legal or contractual link with the central office and be subject to a common management system overseen by the central office.

1.2. In order to assess the management system, it is not mandatory to visit every site that is covered by one certificate. A sampling system can be used to select the sites to be visited, but account shall be taken of different legal regimes. For ISO 14001, OHS, RC14001 and RCMS assessments, any sampling shall incorporate a risk analysis of all sites to determine which sites have the greatest environmental or OHS exposure. This analysis shall be used as a factor in determining the number of sites and priority sequence of sites to assess as part of the Registration Assessment.

2.0. Eligibility Criteria The conditions to be met for an organization to be eligible for multi-site sampling are as follows.

2.1. Programs eligible for sampling include: ISO-9001, TL-9000, OHS, ISO-14001 and/or RC14001/RCMS only.

2.2. The products / services provided by all the sites have to be substantially of the same kind and have to be produced fundamentally according to the same methods and procedures.

2.3. The management system shall be centrally administered under a centrally controlled plan and be subject to central management review and regular internal audits at all sites including the central office prior to the registration audit or prior to beginning a sampling plan if already registered. It shall be demonstrated that the central office of the organization has established a system that meets the requirements and that the whole organization meets these requirements of the standard. This shall include consideration of relevant regulations.

2.4. The central office shall demonstrate its ability to collect and analyze data from all sites and its authority and ability to initiate organizational change if required. The data is to include at least the following:

a. System documentation and system changes;b. Management review;c. Complaints; andd. Evaluation of corrective actions;e. Internal audit planning and evaluation of the result f. Changes to aspects and associated impacts for EHS (Note: For ISO 14001 and

RC14001 andRCMS the audits may be external or internal but not UL DQS’ audits of the site) or OHS hazards and risks.

g. Different legal requirements





2.5. The organization shall have appointed a management representative, or representatives, with overall responsibilities across all sites for ensuring that management system requirements are established, implemented and maintained; and for reporting on the performance of the system.

2.6. Limited variations in local roles, responsibilities and procedures, caused by differences in equipment, immediate environment or the size of the local organization (e.g., in small sites it may be that one person is responsible for carrying out a number of different tasks) are permitted. All work locations included in the scope of certification shall be an integral part of the organization’s management structure.2.7. Site sampling is not allowed where sampling will not allow us to gain sufficient confidence in the effectiveness of the management system under assessment. Examples are given but restrictions are not limited to these:

a. Sector or activity with high level of risk or complexity (e.g. critical aerospace components, invasive medical devices, healthcare services, etc.);b. Size of sites are very large; andc. High level of variation in the implementation of the management system due to differing contractual or regulatory requirements or differing activities.

3.0. Conditions required of UL DQS. The following conditions shall be satisfied:

3.1. Sales shall provide the organization with the eligibility criteria before the assessment. Multisite sampling cannot proceed if the eligibility criteria are found to not be met. Sales shall determine the complexity and scale of activities and any differences between sites, which is needed to determine the level of sampling. The central function must be identified.

3.2. Central Office Audit shall include:a. Pre-audit review of the documentation in accordance with the standard requirements;b. Establish whether all sites have been audited as part of the internal audit procedure, and include an evaluation of the internal audits;c. Analysis of data to determine which sites should be sampled on the upcoming or next assessment; andd. Verification that the eligibility criteria is met and that the central office has found all sites to have an effectively implemented system in accordance with the standard requirements.

3.3. If the audit teams differ from site to site, a unique audit leader must be identified for that round of audits to consolidate the findings from all the audit teams for a final recommendation. Normally this will be the lead auditor for the central office.

3.4. When nonconformities are identified by UL DQS or the organization during internal audits, investigation must include determining whether the other sites are affected. Evidence of corrective action is required at all sites and the central office as appropriate.

3.5. If a major nonconformance is noted at any site, then registration is to be denied to all sites or if already registered, all sites are to be subjected to the suspension policy. Exclusion of the site with the major nonconformity is not allowed to resolve the situation.

3.6. One single certificate shall be issued with the name and address of the central office and a list of all the sites either on the certificate or in an appendix.

4.0. Criteria for Sampling.4.1. In determining the sites to be assessed the following shall also be taken into consideration:





a. The results of internal audits and management reviews or previous certification auditsb. Records of complaints and other relevant aspects of corrective and preventive actionc. Significant variations in the size of the sites;d. variations in working practices.e. Modifications since the last assessmentf. Complexity of the management system and processes conducted at the sites;g. Maturity of the management system and knowledge of the organizationh. Geographical dispersioni. For ISO 14001, OHS, RC14001 and RCMS registration assessmentsj. The significant variations in laws and regulations at all sites;k. The associated environmental exposures and risks at all sitesl. Sites believed to have weaknesses with the Legal and other requirements, and

Monitoring and Measurement clauses.For ISO 14001, OHS and RC14001, this may result in a higher sample size than the minimum

4.2. The sample shall be a partly non-selective sample, based on the above considerations and the table below. This should result in a range of different sites being selected, without excluding the random element of the selection of sites. At least 25% of the sample shall be selected at random. Select the remainder so that as large a sample of different sites can be covered over the certificate cycle. The sample does not have to be selected at the start of the assessment process. It can also be completed once the central office is assessed. For RCMS, the sites to be sampled will include the Headquarters site for the Registration plus the sites chosen by the client per the ACC Table below in sec. 4.5.d for the first audit cycle ending 12/2007. After this date, UL DQS will pick the Headquarters site plus other sites to be sampled per the ACC Table in 4.5.d for all future cycles.

4.3. The central office is to be assessed during the registration audit, triennial reassessment, and at least annually for continuous assessments.

4.4. The sites selected to be audited at each visit are to be announced to the customer not more than 3 months before the assessment. If the sampling involves complicated travel logistics (e.g. international travel), then the sites may be announced earlier if approved by a TR or SME. Sampling plans that identify which sites will be visited each visit over the cycle are not to be provided to customers. This includes not providing future sampling plans in the Cycle Planning Matrix in the report. If used internally, they are to be modified over the cycle based on the criteria in 4.1.

4.5. The starting point for the number of sites to be visited is listed below. This applies to an organization with low to medium risk activity with a small employee count (less than 50). This is the minimum allowed without written approval by the VP Certifications. The minimum number of sites to be visited per audit is:

x = number of sites excluding the central office; andy = number of sites to be sampled this audit, any fractional value is to be rounded up to the next whole number. No rounding down allowed.

a. Registration audit/ Upgrade Assessment: y = xb. Annual Continuous Assessment: y = 0.6 xc. Triennial Reassessment: y = x





If the management system has proven to be effective over a period of 3 years, then the triennial could be reduced to y = 0.8 x. This is determined by the Lead Assessor in preparing for the triennial reassessment.

d. For RCMS the number of sampled sites is determined from the ACC sampling tables Company Size Minimum Req’d Sites by 12/2005 by 12/207 from1/2008-12/2010

1-25 sites 33% + HQ or HQ Audited All Req’d All Req’d4 sites + HQ minimum site audits site audits

whichever is less Next Cycle

26-40 sites 6 sites + HQ HQ Audited All Req’d All Req’dminimum site audits site audits

Next Cycle

41+ sites 8 sites + HQ HQ Audited All Req’d All Req’dminimum site audits site audits

Next CycleThis table is the sole criteria for the number of sites to sample for RCMS except for increases due to client requests.

4.6. The sample size is to be increased above the starting point in 4.5 as the risk is increased. Factors that must result in an increase above this minimum are:

a. Increased size of sites or number of employees;b. Increased complexity of the activity; c. Increased complexity of the management system elements (E.g. Locations perform design);d. Increased variation in activities undertaken;e. Increased variation in working practices;f. High number or severity of complaints or corrective/ preventive action;g. Multinational organizations; andh. Results of internal audits raise questions to level of compliance.

4.7. When the organization has a hierarchical system (national / regional offices / local branches), a sample at each level of the hierarchy should be taken using the formulas in 4.4. The same logic applies where multiple remote locations that perform different functions are to be sampled (i.e. multiple sales offices and multiple warehouses.)

E.g. Sales offices, x = 9, y =3 for Registration, 2 for Continuous Assessment, 3 for Reassessment, or Warehouses, x = 4, y = 2 for Registration, 2 for Continuous Assessment, 2 for Reassessment

4.8. When a new group of sites are to be assessed for addition to the multi-site sampling scheme registration, each new group of sites should be considered as an independent set to determine the sample size. After initial inclusion on the certificate, these sites can then be added to the total site number (y) for sampling on future Continuous Assessments.





5.0. Assessment Time

5.1. The number of auditor days per site sampled will not be less than that required for single site registration per the applicable Annex table. No reduction is permitted for the central office.5.2. The total time for each audit (sum of the time spent at each site sampled that audit plus the central office) should never be less than the number of auditor days required if the activity had been undertaken at a single site (i.e. with all the employees of the company in the same site.). In most cases, it will be considerably more.





ANNEX IV

ISO 14001, OHSMS, BS OHSAS 18001, RC 14001 and RCMS Contract Review

1.0 ISO 14001

1.1. ISO 14001 Registrations will be quoted as a 2-Stage process defined within the ISO 14001 Program Procedure Q-0915-1 section 6.8. The Stage 1 consists of an on-site Readiness Review to plan the Registration audit. The Stage 2 consists of a document review and an on-site Registration audit. In order to be considered valid, the Stage 2 must occur within 6 months of the Stage 1. Generally the S2 is performed 3 months after the S2, however no more than 6 months may elapse between the S1 and S2 or an additional Stage 1 is required. The Contract Review Process will be documented on Form QF-0900-9. Note: This is for all ISO 14001 Registrations and is different than the ISO 14001 TWO STEP Process defined in Q-0915-4. Additional audit days for OHS (which includes OHSMS and BS OHSAS 18001)., RCMS and RC 14001 are addressed in paragraphs 2.0 and 3.0 below.

1.2. In order to determine the number of mandays needed for an ISO 14001 Assessment several factors including procedure Q-0915-1, section 6.9 have to be considered. These include but are not limited to:

1.2.1. The activities of the site to be registered including their environmental / OHS complexity. See Section 1.3 below.

1.2.2. The number of employees at the site(s) to be registered including temporary employees, seasonal workers, contract employees working for the organization directly, and part time workers. See Section 1.4 below

1.2.3. Any other customer or site-specific factor that could uniquely affect the length of the audit. See section 1.5 below

1.3. The activities and environmental / OHS complexity of a site should be judged against the following list to determine if they are in the High, Medium, Low, Limited or Special Complexity categories.

1.3.1 High Complexity 1. mining and quarrying 2. oil and gas extraction and refining (does not include production, storage and distribution, # 22

below) 3. tanning of textiles and clothing (does not include textiles and clothing, # 13 below) 4. pulping for paper manufacturing including paper recycling to pulp 5. chemicals and pharmaceuticals including rubber and plastic raw materials (does not include

rubber and plastic injection, molding, forming and assembly, #35 below) 6. primary metal production (does not include metal fabrication #17 below) 7. non-metals processing and products covering ceramic and cement materials 8. coal based electricity generation 9. civil construction and demolition10. hazardous and non-hazardous waste processing (example: incineration) excluding

recycling, composting and non-hazardous waste landfill, #28 below11. waste water treatment or effluent and sewage processing (does not include purification, and

distribution including river management, #23 below)





1.3.2 Medium Complexity12. fishing, farming, forestry13. textiles and clothing other than tanning, #3 above14. manufacturing of boards, treatment & impregnation of wood and wooden products (does not

include wood and wooden products, #33 below)15. paper production and printing excluding pulping operations, #34 below16. non-metallic processing and product forming covering glass, clay, lime, etc.17. surface and other chemically based treatment for metal fabricated products (except

for primary production above #6)18. surface and other chemically based treatment for general mechanical engineering19. production of bare printed circuit boards for electronics (does not include electrical and

electronic equipment assembly, # 39 below)20. manufacture of transport equipment - road, rail, air, ships21. non-coal based electrical generation and distribution (except for nuclear electricity

generation, see Special Complexity #46 below)22. gas production, storage, and distribution (except for gas extraction #2 above)23. water abstraction, purification, and distribution including river management (except

for effluent and sewage treatment above #11)24. fossil fuel wholesale and retail25. food and tobacco - processing26. transport and distribution - by sea, air land27. commercial estate agency, estate management, industrial cleaning, hygiene cleaning,

dry cleaning normally part of general business services28. recycling, composting, landfill (does not include hazardous or non-hazardous waste

processing, # 10 above)29. technical testing and laboratories30. healthcare, hospitals, veterinary excluding nuclear medicine, #45 below31. leisure services and personal services excludes hotels and restaurants, #32 below

1.3.3 Low Complexity32. hotels and restaurants (does not include leisure services and personal services, #31 above)33. wood and wooden products excluding manufacture of boards, treatment and

impregnation of wood, #14 above34. paper products excluding printing, pulping, and papermaking, #15 above35. rubber and plastic injection molding, forming and assembly - excludes manufacture of

rubber and plastic raw materials, #5 above36. hot and cold forming and metal fabrication excluding surface treatment and

other chemical based treatments and primary production, # 17 and #6 above respectively37. general mechanical engineering assembly excluding surface treatment and other chemical

based treatments, #18 above38. wholesale and retail excluding fossil fuel wholesale and retail, #24 above39. electrical and electronic equipment assembly excluding manufacture of bare printed circuit

boards, #19 above

1.3.4 Limited Complexity40. corporate activities and management, HQ and management of holding companies41. management services for transport and distribution with no actual fleet to manage,

warehousing operations with no truck fleet or combined manufacturing operations





42. telecommunications except for the manufacture or assembly of telecommunications equipment and products

43. general business services except commercial estate agency, estate management, industrial cleaning, hygiene cleaning, dry cleaning

44. education services

1.3.5 Special Complexity45. nuclear applications, processing or products, including nuclear medicine (does not include

healthcare, hospitals or veterinary, # 30 above)46. nuclear electricity generation47. storage of large quantities of hazardous materials48. public administration and government institutions49. local authorities

1.3.6. When site operations include multiple activities from the above list, a reasoned decision should be made regarding the extent that each major activity affects the overall environmental / OHS complexity of the site and the resulting need for assessor-days.

1.3.6.1. EMS example:1) An electronics assembly operation (LOW Category #39) may have a major wastewater treatment facility (HIGH Category #11). Overall this could be treated as a MEDIUM Complexity.2) A Corporate HQ (LIMITED Category #40) that is included within the Registration for a Food

Processing plant (MEDIUM Category #25) could be treated as a LOW Complexity. 1.3.6.2. OHS example: 1) An electronics assembly operation (LOW Category #39) may have major OHS issues related to cutting operations of the PCBs, using guillotines, use of lead solder for hand assembly and repetive motion / ergonomics issues related to the short duration of the assembly process (many parts processed in a short time). Overall this could be treated as a MEDIUM Complexity. 2) A Corporate HQ (LIMITED Category #40) that is included within a Transport and Distribution facility (MEDIUM Category #26) could be treated as MEDIUM, as the hazards and risks related to powered industrial vehicles, cranes and hoists and related compressed gasses are significant for that site.

1.3.7. Decisions regarding the appropriate Complexity Category for sites with multiple categories from the list above should be primarily based on the major activities of the site. Trivial, incidental and minor activities should not change the category decision.

1.4. After determining the Complexity Category, the next factor to determine is the number of employees at the site(s) to be registered including temporary employees, seasonal workers, contract employees working for the organization directly and part time workers.

1.4.1. Part time workers may be counted as full time equivalent workers. Example: 20 part time workers that are employed for 4 hours per day are equivalent to 10 full time equivalent workers at 8 hours per day.

1.4.2. Do not count the employees of subcontractors working on the site unless they are operating facilities owned by the client and / or controlled by the client's EMS, OHS or RC organization.





1.4.3. Refer to the tables in Annex X for the assessor-days associated with Assessments based on the Complexity Category and number of employees.

For all Complexity categories, the following notes apply:

* Stage 1 assessments are generally 1/2 to 1/3 of the Stage 2 assessment but can be variable in days. The tables in Annex X provide general guidelines on stage 1 and stage 2 assessment time. The time can be split differently, but the total mandays should meet the table value.

1.4.5 ASSESSOR-DAYS FOR SPECIAL Complexity ISO 14001, OHS or RC ASSESSMENTS - All quotations for assessments in the SPECIAL Complexity category will be conducted in consultation with and approved by the Global or Regional Program Manager for Environmental or OHS or RC depending on standard/program in advance of quotation.

1.5. Individual system and site situations can affect the number of assessor-days needed.

1.5.1. Any other customer or site-specific factors that could uniquely affect the length of the audit should be considered for potentially resulting in either additions to or reduction of the number of assessor-days. Any additions to the assessor-days do not require approval. Any reductions to the assessor-days below the minimums defined in the assessor-day tables require documented justifications for the reduction and approval per section 5.1. Form QF-0900-9 defines potential adjustment factors. Additional factors that impact audit time should be considered and documented on the QF-0900-9 in the Other section. Off-site activities that precede the audit could include client contacts, internet and community regulatory searches, agenda preparation, review of previous reports, travel and logistical planning. High complexity sites may require considerable additional planning time, to include, but not limited to: community evacuation plans; geological and topographic surveys; review of Records of Decision with regulatory agencies; and remediation activities as defined by the site scope, complexity and nature of products, activities and services provided at the site.

1.5.2. Any adjustment in assessor-days resulting from any of the above listed situations will always be handled in whole or half assessor-day increments.

1.5.3. It is recognized that occasionally assessment teams will experience conditions on-site due to changing circumstances that unexpectedly justify additions or reductions. In situations that would result in a reduction, the Lead Auditor should make appropriate judgments about the length of the assessment and seek approval per section 5.1.

1.6. For Continuous Assessments and Triennial Reassessments please refer to the appropriate table in Annex X. If the annual continuous assessment is to be split between 2 biannual audits, split the days and round up to the nearest half day.

2.0. OHSMS and BS OHSAS 18001 (OHS).

2.1. Audit days for OHS shall be determined by the appropriate table in Annex X.





2.2. If the OHS audit is integrated with other Standards, such as ISO 14001, the audit days may be reduced by up to 20%.

2.3. If a site is currently registered to ISO 14001 and wishes to add OHS, then the following considerations shall be taken into effect when determining the number of audit days:

a) The level of integration of the EMS and OHS system (a well integrated system would require less additional days for OHS);

b) Site complexity and identified hazards and risks;c) Site specific regulatory issues; andd) Employee involvement in development of policies and procedures.

2.4. For multiple auditor / day audits it will be incumbent upon the Lead Auditors for both the ISO 14001 and OHS audits (if different) to coordinate their efforts to minimize / eliminate redundant auditing of people and areas, specifically Top Management and Management Review.

2.5. If the OHS audit is a stand alone assessment, then the OHS auditor will conduct the audit following normal practices and number of audit days in Annex X.

3.0 RC 14001 and RCMS.

3.1. Adjustments to the number of auditor days will be made using the tables for ISO 14001 plus the following:

a) Site Hazards and Risks;b) Applicable Regulations;c) Complexity of operations;d) Facility size and related off-site activities; ande) Results of the Stage 1 assessment (required for RC 14001 only).

3.2. As with ISO 14001, RC 14001 Registration audits will be conducted using a Two Stage approach consisting of a document review plus an on-site readiness visit for Stage 1 and the on-site Registration Assessment for Stage 2. If the Stage 1 includes a Preliminary Assessment for RC 14001, it will not be less than two (2) days. Preliminary Assessments (if requested, as it is not required) for RCMS may be (1) day, if the site can demonstrate they have:

a) A relatively low complexity;b) Minimal environmental impact;c) Minimal Health and Safety hazards and risks; andd) Low Security issues.

3.3. Based on these conditions, the number of audit days for RC 14001 audits can be adjusted to the same number of days as equivalent ISO 14001 Audits plus 20% The Registration Lead Auditor, with input from Sales and the Regional Program Manager, will be responsible for verification of auditor days. Should a Lead Auditor not be identified in the audit planning process, input from the Regional Program Manager, or other qualified staff will be acceptable.

3.4. Increases in auditor day calculation will need to address all requirements for the following areas of consideration:

a) ISO 14001;b) Health and Safety; and





c) RC 14001/RCMS Technical Specification, to include:i) Guiding Principles;ii) Transportation and Carriers;iii) Community outreach and mutual assistance programs; iv) Programs to address emissions reductions, pollution prevention and groundwater protection; and v) Security.

3.5. RCMS audits should be quoted at the same number of days as an equivalent ISO 14001 audit. Each RCMS audit should be reviewed and the number of audit days determined by the Regional Program Manager or a qualified person prior to quoting any RCMS work.





Annex V

Integration of ISO 14001 with other Standards

1. ISO 14001 and ISO-9000 1.1. When integrating audits the assessor-days requirements of Annex I and Annex IV should be evaluated in combination with the Procedure for the Integration of ISO 14001 and ISO 9000 Audits, Q-0407-2.

1.2. The degree of integration shall be proportional to the degree of integration in the client's system. Minimal integration of the system will result in no reduction of assessor-days since no efficiency gain in auditing will occur. In general, the degree of integration of the client's system must be sufficient enough to allow for at least one full assessor-day of audit efficiency gain.

1.3. Any combination of audit types (Preliminary, Registration, Continuous etc.) may be combined into integrated audits but it is generally most advantageous for client's to wait until they are in the Continuous Assessment stage for both Standards before attempting integration. In no case will UL DQS proactively recommend integration prior to the Continuous Assessment stage to avoid the possibility of a client failing their Registration attempt due to inadequate internal resources. UL DQS will provide the service of integration if requested.

1.4. The condition of the system shall be considered in judging if integrated audits will be conducted. Systems that are having a partial or full reassessment resulting from a failed Registration attempt or that are under suspension shall not have integrated audits until the problems are resolved.

1.5. It shall be determined if UL DQS has the auditor resources necessary to conduct integrated audits for the site. The assessor team configuration can be affected by whether UL DQS will send one assessor to audit both Standards or will send multiple assessors to meet all necessary requirements including Standard qualification, environmental skills and SIC or EA Code requirements. It should be noted that auditor teams sent to audit sites for integrated audits must have sufficient qualifications to cover all required clauses with team members qualified in the Standard from which the clauses originate. See Q-0407-2

1.6. If it is determined that the audits can be integrated, then a maximum reduction of 25% for all standards is allowed. If the system is only partially integrated, then a reduction of less than 25% is allowed with the amount allowed to be correlated to the level of integration.

1.7. Any integrated audit involving TS 16949, AS9100, AS9110, AS9120 or TL-9000 will maintain the minimum assessor-days defined by those programs for the QMS portion of the audit. This will limit the total possible reduction in days since the entire reduction would have to result from the ISO 14001 portion of the audit pair.





Annex VI

1.0 Contract Review for TL-9000 Audits

1.1 The following audit assessor-day table will be used for determining the number of days required for registration, upgrade, continuous and triennial reassessments. The Quest Forum mandates this table and rules. No deviations are allowed without approval from ANSI-RAB NAP. Justifications for approval are to be submitted to the Vice President Certification for review and submission to ANSI-RAB NAP if in agreement. Approval must be received prior to quotation. Any reductions based upon combined programs (i.e. TS & TL) need to be approved by the TL9000 Program Leader prior to the assessment.

TL 9000 Auditor Time Chart (note 1, 2, 3, 4, 5, 8, 9, 10)

N0. of Employees(note 7)

Initial (note 6) Surveillance (12-months) &Re-assessment (3 years)

1-100 1.5 1.0

101-500 2.0 1.5

501-1000 2.5 1.5>1000 3.0 2.0

1. This document is effective as of 01 January 2006. The most current version of the document is available on the QuEST Forum web site (http://www.questforum.org/).

2. The TL 9000 auditor time is in addition to the ISO 9001 auditor time.3. The Auditor Time Chart is designed for a single site registration/certification with up to 4 product

categories. Multiple sites or additional product categories may require more auditor time. For multi-site registrations, the criteria in Annex II will be followed. The table represents total annual audit days for TL 9000. For those companies on six month audits, the registrar can allocate the total annual audit days for TL 9000 assessments over the audits in a twelve month period.

4. The justifiable reduction in ISO 9001 auditor time shall be taken prior to the addition of the TL 9000 auditor time.

5. The Auditor Time Chart defines the minimum on-site auditor time for TL 9000 initial, surveillance and re-assessment audits. The numbers do not include ISO 9001 auditor time nor off-site time. Off-site time may include activities such as document review, pre-audit preparation, or post audit reporting.

6. The auditor time for an upgrade audit from ISO 9001 to TL 9000 is equal to the auditor time for an initial TL 9000 audit. If the upgrade audit also includes an ISO 9001 surveillance or re-assessment audit the auditor time per the ISO 9001 manday table will be used for calculation.

7. For a single registration/certification option (i.e., Hardware only, Software only or Services only), a 20% reduction in the TL 9000 auditor time is allowable.

8. The Auditor Time Chart shows the minimum number of on-site auditor time. Deviation greater than 10% (rounded to the nearest .5 day) under the minimum on-site auditor time total (with allowable reductions) is to be documented and submitted to the CRB’s accreditation body within five working days after the quotation date. A TL 9000 certificate shall not be issued until the submitted deviation

http://www.questforum.org/





has been concurred to in writing by the accreditation body. The audit can proceed but the organization shall be advised of the risk involved if the audit requires additional auditor time. The accreditation body shall respond within 10 working days of receipt of the CRB’s written request for reducing the minimum on-site auditor time. The accreditation body will confirm its written agreement or rejection.

Annex VII1.0 CONTRACT REVIEW FOR ISO/TS 16949:2009 AUDITS

1.1 The following defines UL DQS’s policy for quoting, in accordance with the IATF rules. All TS quotes for upgrades or new certificates, shall have a completed QF-0314-28 and a quote form retained on Easy.

Key Definitions: The following key definitions are important to understanding TS quoting concepts:

Site – Physical location at which value added production processes occur. Locations doing ANY production or value-added processing, however minor, would be considered sites. Organizations who perform only distribution functions are not considered sites and may not be quoted for ISO/TS 16949 services. Sites define the TS registration – not Remote Locations – as the site holds the certificate

Remote Location (RL) – Location of an organization that supports a site(s) and at which non- production processes occur . Design Centers, Warehouses, and Sales Offices would be examples of typical remote locations.

Sampling of sites and remote locations is not permitted for ISO/TS 16949.

All Subscriber product produced at the physical addresses being quoted must be included in the audit. Sales should confirm this with the client and include this condition in the quotation.

Applicability: As part of the information gathering process in order to scope and quote the assessment activity, the UL DQS representative working with the organization requesting TS 16949 services shall confirm that the organization meets the applicability requirements to be certified to ISO/TS 16949. These are as follows:

b) The organization is in the automotive supply chain (See paragraph 1.0 of Rules for Achieving IATF Recognition, October 1, 2008) ANDc) The organization qualifies as a site, as defined above ORd) The organization is a site as defined above but is only a potential supplier to a customer meeting a & b above. In this case, the organization must provide evidence that they are a valid bidder in the form of a documented RFQ or bid list from the subscribing customer. In this case, organization’s who successfully complete the audit may only receive a Letter of Compliance, which expires 12 months from the date of the audit (see more information on Q-0914-4).





1.2 Determining Employee Counts – Once you’ve determined that the organization meets the applicability requirements, the next step in the quoting process is to determine the employee count. This is influenced by several factors:

Is the site stand alone or supported by a remote location Are their multiple sites (in either a multisite or corporate registration) Is the company splitting it’s scope in a manner where employee count can also be split

Employee counts are determined as follows: Single Site with No Remote Locations and One Scope – Use the total employee count,

including any temporary employees Single Site with a Remote Location(s) and One Scope – Determine the total employee

count at the site (including, again temps) and add the employee counts from each supporting remote location to get the total employee count.

Split Scopes – All TS scopes are automatically to be split between Automotive and Non-automotive product as non-automotive product may not be in a TS scope. Organizations may also split their scope further by subscribing customers or non-subscribing customers of th automotive industry.

o Splitting the scope does not automatically reduce the Employee count (EC) that is used to calculate the TS quote. In some cases, it may be possible to also split the employee count around the bounds of the scope. In order to do this, the following must be determined (for both splits by automotive and subscriber, where you want to use less than the full EC)

Are the employees not interchangeable, between the automotive-non-automotive or subscriber-non-subscriber, meaning, for example, can a non-automotive employee work on an automotive line

Are the non-administrative functions of the organization (e.g. production, warehouse, receiving) physically separate between the automotive-non-automotive or subscriber-non-subscriber

If these criteria can be met, the UL DQS sales associate should obtain written documentation from the company describing the split, along with a floor plan layout showing the physical split. This shall be forwarded to the Global Subject Matter Expert who will request approval of the IAOB to split the employee count. Under no circumstances shall a quote be sent showing split employee count without formal approval of the VDA.

If the split scope is approved by VDA, the quote can be generated. The number of administrative employees used against the TS audit day requirements is a ratio of the non-admin TS employees to the non-admin total employees. For example, if the plant has 33 admin employees, 25 non-admin TS employees, and 50 non-admin ISO employees, the ratio of TS to non-admin employees is 25/75. This ration would be multiplied against the admin employee count to determine the number of employees to be used for the TS calculation (e.g. 33 admin*25/75=11. 25 TS non-admin+11=36 TS employees)

In any split scope case, whether employee counts are split or not, should the organization require an ISO 9001:2000 or ISO9001:2008 certificate for the balance of their non-





automotive or non-subscriber product, then additional time will need to be added above the TS time in order to include this product. This time shall be determined as follows:

A) Split Scope – no split to employee count - o If the major processes are overlapping (same for ISO and TS scopes), and the

products are essentially the same (slight variations in design non-withstanding), or the non-automotive business is less than 10% of the total volume by sales dollars, no additional time is required for the ISO certificate

o If the major processes are overlapping, but the products are different (beyond slight variations in design), or the non-automotive business exceeds 10% by sales dollars, the ISO quoting Annex shall be used, but a 75% reduction in days is automatically approved

o If the major processes are not overlapping, the ISO quoting annex shall be used and a 50% reduction in days is automatically approved due to the overlap in administrative functions. This reduction may be increased to 75% with justification if the volume of non-automotive business is less than 10% by sales dollars

B) Split Scope – split Employee count – The ISO annex shall be used to quote the days using the ISO EC. A 50%

reduction shall be automatically applied due to the overlap in the administrative functions.

Multiple sites with supporting remote locations – determine the employee count at each site, using either the one scope or split scope method above. Add the employee counts (for the TS scope if using a split scope) together, and then divide each site’s employee count by the total to get a percentage as in this example:

Site Number of Employees at site that are in the scope

Headcount Percentage

1 200 200/775=26%2 100 100/775=13%3 475 475/775=61%

775

Note: In cases where the corporate or common functions are collocated with a manufacturing site, the employee count for these functions should be broken out separately from the site and treated as a remote location for purposes of distribution of the employee count.

Once the percentages are determined, determine the employee count at each remote location, using either the one scope or split scope method above. Add the employee counts (for the TS scope if using the split scope) together to get a total for the remote locations. Once that is determined, multiple per the Headcount percentage and add to the site headcount to get the adjusted headcount for that site as per the following example:

Remote Location Function Number of Employees at RL that are supporting the sites

1 Sales 30





2 Warehouse 3060

Site Number of Employees at site that are in the scope

Headcount percentage

Number of employees apportioned from the remote location

Total Adjusted Headcount – site headcount + RL apportionment

1 200 26% 60*.26=15 200+15=2152 100 13% 60*.13=8 100+8=1083 475 61% 60*.61=37 475+60=512

Accepting the results of another CB’s audit of an RL - In some cases, a remote location may be covered under another CB’s certificate. In these cases, the employee count for this remote location is still required and must still be factored into our calculation. In order to evaluate if we can accept the results of another CB, the client has two options:

a) Each certification body may audit the RLb) We may accept the audit by another CB subject to the following conditions:

1. The audit was conducted to TS16949 by an IATF recognized CB (it can be verified in the list available at www.iatfglobaloversight.org)

2. The audit covered the product scope of those functions3. The information confirms during the S1 audit that all interfaces between the RL

and the site were audited by the other CB4. Verification of the client’s corrective action was conducted by the CB that audited

the RL. If any of the conditions can not be met, the Lead Auditor shall notify the client and go back to option ‘a’. If the Lead Auditor has concerns about the information, the Lead will need to get in contact with a Lead Reviewer for the TS16949 Program (Veto Power) to clarify the situation. If we accept the results of another CB, audit days may be reduced up to the amount that it would have used to audit the RL.

In cases where these results cannot be accepted, a visit must be scheduled for the days determined per our calculation. In either case, the quote should clearly show the result of this review and decision process.

Site Extensions

This method is basically to be used in cases organization has expanded from its original location to include additional facilities that could be considered an extension of a single site . For new clients, the Sales representative will request that the client confirm, in writing, the below information. Any requirement not met in the list below would indicate the extended location should be considered a separate site and will be quoted as such.

If the evidence submitted appears to meet the requirements, Sales will forward the evidence to the Regional Subject Matter Expert for review and approval. Sales will be contacted by the RSME regarding the status and continue to quote the client as the decision allows. The RSME decision shall be retained in Easy together with the request. No quote using combined employee

http://www.iatfglobaloversight.org/





counts can be issued without this approval. For existing clients, the CSP and the auditor are responsible for obtaining the needed information and submitting it to the RSME.

The below information must be received by the client, as minimum:

a) is the additional location a department of the organization? b) do they have the same QMS? c) do they have the same management representative? d) do they have a common scope of certification? e) do they produce common products? f) do they have the same site manager/management? g) do they have one financial statement, one set of financial books? h) is there only one supplier code from the customer for the locations? i) do they ship to the customer from only one of the locations?

1.3 Audit-day Calculation – All sites must receive an on-site Stage 1 assessment. This shall be conducted by the lead and shall be one or 2 days. This is time that is additional to the Stage 2 Registration/Upgrade assessment. The following criteria shall be used to determine the size of the Stage 1 assessment: If the facility medium sized (less than 4000 people) and QMS structure not complex –

1 day shall be used If the facility medium sized and complex, or large (greater than 4000 employees) – 2

days shall be used All sites must receive a stage 1 readiness review – including each site in a corporate

registration. Any exception must be requested to the GASME who will forward the request to VDA for approval. The client shall be informed that planning of the S2 audit may not be accurate. The justification should be based upon the client size (i.e. less than 11 people), location, risk considerations, previous knowledge, and identical processes in multiple sites

RL’s do not receive on-site readiness reviews. While a Stage 1 can be conducted in conjunction with a prelim, a prelim cannot

substitute for a stage 1. If done in conjunction with each other, 2 reports must be generated and 2 entries must be made in Dynamics (one for the Stage 1, one for the Prelim). This is not recommended due to the timing constraints on the Stage 1 to Stage 2 audit (90 day rule).

Use of the TS Calculator (Form QF-0914-28 ) is mandatory for all new and revised audit days calculations where the registration includes more than one location. The calculator is optional for a single site registration. Responsibilities are defined in Q-0914-4. Sales is responsible for the initial data gathering process. All completed TS Calculators are to be loaded in to Easy after verification of employee counts, sites and remote locations.





Stage 2 Registration/Upgrade - Once you’ve determined the headcount of employees in the scope at each site, you can begin the process of calculating the Stage 2 audit-days required. This done by a straight look-up using the table 5.2 in the TS3 rules, which appears as below:

EC Stage 2 min days

EC Stage 2 min days

EC Stage 2 min days

EC Stage 2 min days

1-6 2.0 217-257 8.0 1471-1673 14 5428-5937 207-11 2.5 258-304 8.5 1674-1895 14.5 5938-6482 20.512-18 3.0 305-348 9.0 1896-2138 15 6483-7061 2119-27 3.5 349-422 9.5 2139-2402 15.5 7062-7676 21.528-39 4.0 423-507 10 2403-2688 16 7677+ 2240-54 4.5 508-602 10.5 2689-2999 16.555-71 5.0 603-711 11 3000-3334 1772-93 5.5 712-832 11.5 3335-3695 17.594-117 6.0 833-968 12 3696-4084 18118-146 6.5 969-1119 12.5 4085-4502 18.5147-179 7.0 1120-1286 13 4503-4949 19180-216 7.5 1287-1470 13.5 4950-5427 19.5

These audit-days are true minimums. Deviations must be approved by the VDA prior to commencement of the audit. All deviation requests should be forwarded to the Global Automotive Subject Matter Expert

Additional time should be considered in cases where product or system complexity, or audit logistics might merit more audit-days.

1.4 Reductions and Additions – Once you’ve determined the base audit-days, you can evaluate each site to determine whether any reductions or additions can be applied. They are as follows:

a) Reduction for Upgrade from a Current Certificate – Per 5.4 of the TS3 rules, if there is no change of scope the following reductions can be applied to the Upgrade audit at each site (only applies to the upgrade activity – not the continuous assessments): Again, if the scope is changed, no reduction can be given – 100% of the required audit days for the initial assessment must be applied and this table cannot be used! Note: Changes to RL function wording and changes to SIC or EA code are not considered to be changes of scope. Reduction in scope wording due to applicability (e.g. deletion of an industrial application) is not considered a change in scope.

Existing certification Conditions for upgrading certification to ISO/TS 16949:2009ISO9001:2000 or ISO 9001:2008

Initial audit days may be reduced by no more than 30% to the audit days of an initial audit.

ISO9001:2000 or ISO 9001:2008 and VDA 6.1

Initial audit days may be reduced by no more than 50% of the audit days of an initial audit





b) Non-Design Responsible Organizations - Non-design responsible organizations may reduce on-site audit-days by 15%

c) Corporate Registrations: To qualify as a corporate registration the organization must me the following criteria:

a) Multiple sites are applying for ISO/TS 16949 and all sites meet the applicability requirements described in 1.1.b) Site and remote location sampling is not allowed for corporate registrations – all sites and remote locations must be visited.c) The quality management system must be centrally structured and managed, and subjected to regular ISO/TS 16949:2009 compliant internal audits at all sites.d) The quality management system must comply with ISO/TS 16949:2009e) The balance of activities that could be centrally managed include:

Contract review, where local acceptance of orders is permitted Approval of organizations Evaluation of training needs QMS documentation (level 1 and 2) and changes in the same Management review Evaluation of corrective actions Internal audit planning and evaluation of results Quality planning and continuous improvement activities Design

The following table shall be used to determine the audit day adjustments that may be applied for corporate schemes. These reductions also apply to continuous assessments at the sites. These reductions may be applied to all sites in the corporate registration.

Number of Sites Percent Reduction To:2 to 9 8010 to 19 7020 and above 60 d) Use of a Translator – In some cases, a translator may have to be used to conduct an audit. In these cases a minimum 20% additional time must be added to the audit-days for the portion of the assessment where the translator will be used (example, if a translator is needed on production floor, where we will spend 10 hours, then, 2 hours should be added to the total days calculation) It is acceptable if the client provides the translator, as long as the audit team observes that there is no bias in this activity.

1.5 Applying Reductions to calculate the man-day requirements – Once you have determined the headcount, the associated base man-days, and the appropriate reductions, you are ready to calculate the audit-days. All reductions are applied serially – meaning that percentages are not added. The reductions may also be applied to the continuous assessments and recertification audit (excepting the upgrade reduction of course) with all rules also applying to these types of audits. The following example is provided to tie together the concepts and requirements described previously:





Using the adjusted headcounts from the previous examples, we will apply reductions for a corporate non-design responsible registration for the registration audit:

Site/RL

Actual Headcount

Adjusted Headcount

Base days for Initial Audit

Reduction for Non-Design Responsible (15%)

Reduction for Corporate Registration (20% for 2-9 sites)

Minimum audit-days

S1 200 215 7.5 7.5*(.85)=6.375 6.375*(.8)=5.1 5.5S2 100 108 6 5.1 4.08 4.5S3 475 512 10.5 8.925 7.14 7.5R1 30R2 30

1.6 Using Rounding Rules and Maximum Reduction Rules to Calculate the Final Minimum Audit-days – Once you’ve calculated the audit-days including the reductions, there are two critical rules that must be applied:

Rounding – if the remainder in the resultant calculation is greater than or equal to 0, the man-days must be rounded up to the next half-day. If the remainder in the resultant calculation is greater than .5, you must round up to the next full audit-day. For example:

- 3.08 would round up to 3.5- 3.59 would round up to 4

Maximum Reduction Rule – From the above example you can see that in some cases an organization will qualify for multiple reductions. In these cases, the calculated amount of audit-days, with all reductions applied cannot exceed 50% of the original audit-days.

Note: Each operational region can decide whether they want to bid ½ days. In cases where ½ days are used the region must also specify a method to ensure these requirements are communicated to the team and incorporated into the audit.

1.7 Distribution of Audit-days to Remote Locations for Multisite/Corporate Registrations – Once the minimum audit-days have been calculated, time must be allotted to assess the supporting remote locations. This time is extracted from the time calculated to the sites (this must be done as we used the adjusted headcount to factor the remote locations). We are allowed to distribute this time as appropriate, per TS16949 Rules. The following factors should be considered when distributing time to the remote locations;

Number of employees at the remote location Primary function(s) of the remote location(s) Is the RL responsible for it’s own supporting functions (e.g. does a Remote design center

have responsibility for a training process for it’s engineers or is this handled somewhere else)

Sites supported by the RL and CSR applicable





The distribution of days from the site audits should be looked at in relation to the time it would take to assess the site had the headcount not been adjusted for the remote location. If this distribution would significantly impact the audit-days at the site, either additional days should be considered or a justification should be prepared and retained with the quote file as to why this would not impact the integrity of the audit. This justification must be agreed to by regional audit operations management or their designee.

1.8 Prelims, Continuous and Reassessment:

a) Prelims - Only one Preliminary Assessment per site may be conducted. The man-days for the preliminary evaluation are at the discretion of the organization, but can never be greater than 80% of the Stage 2 Audit days. Additionally, in cases of transfer audits, where the organization is also requesting a Prelim, sales shall ensure that the organization did not have a TS prelim with their current CB. If they did, UL DQS cannot conduct another Prelim. The restriction for only one Preliminary Audit is also applicable to a Corporate Scheme, where only one site can have a preliminary audit.

b) Continuous- The continuous assessment days are calculated by taking the Stage 2 days (not factoring any reduction for a current certificate), applying the reductions and then dividing by the number of visits over the cycle. For example, for the 108 EC site above, the Stage 2 days are 6*.8(CR)*.85(no design)=4.08. Which would give the following:

o Annual – 4.08/2=2.04, rounds to 2.5 per yearo Six month – 4.08/5=0.82, rounds to 1.0o It is possible to do uneven day distributions for TS. For example, in the annual

scenario above, the client needs 4.5 days minimum over the 2 years. This could be accomplished by scheduling 2.5 in year 1, and 2 in year 2. If uneven distributions are being recommended, they must be defined on the CGMF QF-0907-50 form and in a note in STATS, Dynamics or the applicable scheduling tool. Uneven distributions are not recommended.

c) Reassessment – The following table (table 5.2 of TS3 Rules) shall be used for calculating reassessment days. All previous rules apply:

EC Recert min days

EC Recert min days

EC Recert min days

EC Recert min days

1-14 2 333-436 6 1861-2187 10 5633-6317 1415-28 2.5 437-562 6.5 2188-2551 10.5 6318-7057 14.529-49 3 563-710 7 2552-2953 11 7058+ 1550-80 3.5 711-883 7.5 2954-3398 11.580-122 4 884-1082 8 3399-3886 12123-176 4.5 1083-1310 8.5 3887-4419 12.5177-246 5 1311-1569 9 4420-5001 13247-332 5.5 1570-1860 9.5 5002-5632 13.5

d) Remote Locations – coverage on continuous assessments and reassessments – All quotes shall be prepared in a manner that ensures that our bid will address that over the course of the continuous assessment cycle (either 2 annual visits or 5 in a six-month frequency), all remote locations must be assessed at least once, excepting Design Centers, which must be assessed annually at a minimum. On the Reassessment, all remote locations must be assessed.





1.9 Miscellaneous Quote Rules Requirements for audit audit-days include:a) One audit-day is considered to be eight working hours minimum, not including lunch,

breaks etc. Time worked over 8 hours in any given day cannot be carried over to the next day (e.g. If the assessor works 12 hours on day one, they cannot work only 4 hours the next day to meet the requirement for 16 hours over the two day period).

b) Initial audit (on-site audit-days) cannot include pre-audit and / or document review. It is left to the discretion of the region as to whether a document review day will be scheduled and/or priced. Regardless, the document review activity must still occur.

c) On-site review of corrective actions arising from the initial audit will be additional to the specified audit audit-days.

d) Each audit shall include auditing on all manufacturing shifts. If weekend crews are dedicated and non-rotating, then auditing of the weekend shift is also required.

VDA Fee – The VDA fee is applied to initial audits, surveillance, reassessments and special assessments. It is not applied to Prelims, ARV’s, and Limited Reassessments .

Half days – In some cases the resultant calculation will yield an audit that is x.5 days in length. It is possible to schedule the audit for ‘x’ days and have the assessor complete the .5 day by auditing it on the offshift. The .5 day shall still be assessed at the normal fee, and Sales shall coordinate this with regional management prior to any agreement to do so. If this method is taken, it shall be communicated to the auditor and a note made on Dynamics stating “Actually X.5 - .5 day done on off shift”.

5.5 Day Audits – Per the above, a 5.5 day audit is permitted to be done by 1 auditor. Letter of Conformance – In accordance with the Rules and Q-0914-4, and LOC may be

issued for a site with less than 12 months performance data or if the site is a bidder, but not currently in the automotive supply chain. In either case, the LOC’s maximum expiration date is 1 year from the date of the audit. All quotes must clearly identify that if an LOC is issued as a result of a successful registration audit, that to upgrade to a certificate, a new Stage 1 and Stage 2 must be conducted (maximum reduction of 50% possible in audit days for the S2 audit). In the case of an LOC issued for a bidder, the organization may reapply at the end of the 12 month expiration period for another LOC, but Stage 2 (with a maximum reduction of 50% in S2 audit days) must also be conducted, no S1 is required.

Removing a site from a TS corporate registration – In cases where the organization selects to split apart a corporate registration (for an issued TS certificate), the following steps must be met for the site(s) being split out: . Collect the current employee counts for the sites Calculate the days that it would have taken to register the site extension as a stand-

alone registration. Compare this to what was done originally for the corporate registration.





Add the difference between the two to the site’s Surveillance trip (which must also be calculated as a stand-alone)

You may split the site only after successful completion of the assessmentAny reduction in existing days due to a decrease in employee count shall be authorized by a Regional Lead Reviewer and loaded in Easy.

1.10 Quoting Scope Expansions once a TS 16949:2009 Certificate is Issueda) In some cases, the client may change the scope of their QMS during a continuous assessment or a triennial, by adding or moving remote locations, adding new processes, becoming design responsible, etc, on these cases, audits days shall be added to the calculation determined for the audit. In these cases, the following method should be used to determine the additional time required to incorporate these changes into the certificate:

Determine the new overall employee count. Calculate the number of audit days required for a registration for the organization without

the employee count of the new function added using the current rules tables Calculate the number of audit days required for a registration for the organization with the

employee count of the new function added using the current rules tables Subtract the two numbers – this is the minimum days that should be added to the normal

Continuous Assessment or Triennial in order to add the new function

o Note: In some cases, the time required by this method may be excessive given the functionality added. Should this be the case, a justification may be prepared for reduced time (per the direction below) and recorded on the Lead Notes In some cases, the employee count may not change enough to change the audit-days (the subtraction yields zero days), however, extra time will need to be added..

oo Additionally, the calculation and any justification for the amount of time

determined to do the scope expansion shall be documented in the report for the scope expansion. This should include, at a minimum, a description of what is being added, the additional employee counts, the recalculated registration/upgrade days, the proposed additional audit-days and a short description of the logic that behind the proposed additional time.

1.11 Transfer of a TS Certificate – If an organization wishes to transfer their TS certificate to UL DQS, the Sales associate must undertake the steps addressed on Q-0307-31.11.1 Transfer of a non-TS certificate for Organizations seeking upgrade – See also Q-0307-3 m.

H........Й Splitting a TS Corporate Registration into Single Sites – If a client who is already registered to TS as a Corporate Registration (CR) elects to split the registration, the audit-days for the activity will be impacted and must be recalculated. The following method explains how this is to be done by either Sales or the Auditor receiving the request (NOTE: the client’s certificate must not be on a status that precludes certificate changes, i.e. suspension, for this to be undertaken):

Collect the current employee counts for the sites/RL’s





Calculate the days that it would have taken to register each site as a stand-alone registration. You must do this for all sites being split off.

Compare this to what was done originally for the corporate registration. Add the difference between the two to each site’s Surveillance trip (which must also be

calculated as a stand-alone) You may split the CR up only after successful completion of the assessments.

1.13 Splitting site extensions – When splitting a site extension that does not meet anymore the criteria addressed on this annex, the facility or facilities that were identified as Site Extensions shall be evaluated as a new registration.





Annex VIII

Aerospace Quality Management System Contract Review Requirements

1.1 The table below (section 1.6) defines the minimum number of additional days required for the AQMS standards These are the number of days to be added to the minimum required for ISO-9001 (Annex X) as well as other QMS standards based on ISO-9001. Under no circumstances is the number of additional days to be reduced. QF-0300-2 shall be completed to show the determination of the assessor days required. The adder days are to be added to each site.

1.2 All assessments performed to 2009 version of AS9100/AS9120 standards will require an additional ½ day to be added for audit planning purposes except for Stage 1 and AR Verification audits. If the Stage 2 audit is conducted within 6 weeks of the Stage 1, the ½ day of audit planning may be waived provided there have not been any significant changes to the quality management system. Also, an additional ½ day for each audit team member will also be added to each audit for report/AS9101 write up purposes.

1.3 For Aerospace assessments, the assessment of multiple sites for a single Registration/Certificate shall be conducted by assessing each site to the complete and applicable AQMS requirements prior to Certificate issuance. For AQMS 9120 only, sampling of multiple sites shall comply with Annex II and shall be limited to sites located in the same country. Surveillance/Re-certification assessments shall assure that each site under a single Registration/Certificate is assessed during the period of validity of the Registration/Certificate. Some multi-site organizations may have individual sites engage in a subset of the overall processes of the total organization and the assessment for a specific site can be limited to the processes performed at each site.

1.4 A full audit of all AQMS requirements using AS9101 is mandated for any organization transitioning from an already existing ISO 9001 conforming system to AS9100.

1.5 An existing and valid AS9100 Registration/Certificate may be extended to the AS9120 standard during surveillance assessments, by assessing the requirements of the other standard that are not covered by the existing certificate.

1.6 Aerospace Auditor Days

AdditionalAudit-days

Total Number of employees in the organization5-100 101-1000 Over 1000

AS9100 S2/Tri Assessment +1.5 +2.0 +3.0Continuous Assessment +1.0 +1.5 +2.0







1.7 Transition to 2009 version of AS9100/AS9120

1.7.1 All AS assessments shall be performed to the 2009 versions starting as of July 1, 2011. Additional information in regards to the transition timeline can be found at www.sae.org/?PORTAL_CODE=IAQG.

1.7.2 The table below defines the minimum number of on-site audit days required for organizations currently certified to AS9100/AS9120 to transition to the 2009 version of these standards. On-Site Audit Day Transition Table to 2009 version of AS9100/AS9120

AS 9100 AS9120Number of employees

During CA During TRI During CA During TRI

1-4 1 1.5 1 1.55 2.5 3 1.5 2

6-10 2.5 3.5 1.5 2.511-15 3 3.5 2 2.516-25 3 4 2 326-45 3.5 5 2.5 446-65 4 5.5 3 4.566-85 4.5 6.5 3.5 5.5

86-100 5 7.5 3.5 5.5101-125 5.5 8 4.5 7126-175 6 8.5 5 7.5176-275 6.5 9.5 5.5 8.5276-425 7 10 6 9426-625 7.5 11 6.5 10626-875 8 12 7 11876-1000 8.5 12.5 7.5 11.51001-1175 9.5 13.5 8 121176-1550 10 14.5 8.5 131551-2025 10.5 15 9 13.52026-2675 11 16 9.5 14.52676-3450 11.5 17 10 15.53451-4350 12 17.5 10.5 164351-5450 12.5 18.5 11 175451-6800 13 19 11.5 17.56801-8500 13.5 20 12 18.58501-10700 14 21 12.5 20

Table is based on IAQG/OPMT SR-001, dated 5/18/10.

1.7.3 Transition of Multiple Site Organizationsa) For multiple site organizations that transition during their existing audit cycle, the audit team shall:

i. close out the site surveillance audits against the previous 9100/9110/9120 standard by issuing an audit report for all sites audited prior to conducting the surveillance transition to 9100/9110/9120:2009 AQMS standards. This report shall be uploaded into OASIS.





ii. complete the audits to the 9100/9110/9120:2009 standard for all sites required to be audited for a given surveillance cycle.

iii. complete the central function audit and the planned sites audits for that surveillance cycle to the 9100/9110/9120:2009 AQMS standard prior to certification.

iv. All clauses of 9100/9110/9120:2009 AQMS standards shall be audited during the above ⅱ and ⅲ.

Note: Transitioning a multiple site organization can be achieved by completing the site audits across two cycles (i.e. 18 months to transition) as long as the central function and total number of sites to be audited in a given surveillance cycle are completed to the 9100/9110/9120:2009 standard. (e.g. if the central function plus 10 sites are to be audited for a given cycle, the 9100/9110/9120:2009 audits could be completed for 5 of the sites during surveillance cycle 1 and completed for the central function plus the 5 remaining sites during surveillance cycle 2).

b. For multiple site organizations that transition during their recertification year, the CB shall:i. complete the central function audit and all sites audits for that recertification cycle to the

9100/9110/9120:2009 AQMS Standard prior to re-certification.





Annex IX

Hazardous Substance Process Management (HSPM) Registration Contract Review Requirements

1 The table below defines the number of additional days required for the specific HSPM standard. These are the number of days to be added to the minimum required for ISO-9001 as well as other QMS standards based on ISO-9001. The following factors may increase or reduce the times shown as following. Maximum 30% reduction from the table is allowed. The increase or reduction in the times shown below may be altered due to the factors above or combinations of but not by more than 30%. Any change to the times shown below shall be justified in the report Type of business Complexity Logistics Multiple or Single process Language Variety of activities undertaken by employees Degree of regulation Stability of the Hazardous Substances Process Management System

2 When determining audit time for multiple sites, the number of employees of sites at different locations can be combined to determine the number of assessment days required for HSPM assessment provided they are: one management system (see Note) located in the same country.

3 Each location must have its own Certificate of Approval4 All shifts employees shall be counted to determine assessment days. Exception may be granted for

employees not related to HSPM such as the accountants.5 Sampling of sites is not allowed,for registration as well as surveillance.6 No split employee count is allowed under the same roof doing HSF(Hazardous Substance Free) and

HS (Hazardous Substance) production even the HS product is not within the scope of registration. Employee count can be split only if the HS and HSF production are in 2 separate buildings.

Note: Definition of “one management system” (from Annex B, QC 001002-5, IECQ)One management system on multi-sites comprises:• One set of management system procedures throughout all locations;• One ultimately responsible DMR;• Central control of internal audit program, investigation of root causes, and deployment ofcorrective/preventive actions; and• Central management review.NOTE 1 Each location could have its own local management representative for local operation,

but there should be an ultimate DMR responsible for the compliance of the entire system.NOTE 2 Similarly for internal audit and management reviews. Due to geographical separation or

traveling restrictions (e.g. visa issue), internal audits or management review could be performed locally but the ultimate DMR should be well aware of the results and the corrective/preventive actions are deployed throughout the entire system.

One management system with multi-site requirements includes:• All locations involved are subject to the same set of HS requirements;• The sites together form one complete production stream if the sites are located in different

countries/areas; and• These sites together form one application/registration.





NOTE One complete production stream means that although each location individually may be responsible for one or more processes (e.g. sales, R&D, moulding, painting, PCB assembly, etc), all locations must be put together to complete the final product.

Treatment of multi-sites:• All locations will be assessed to all clauses annually, no sampling allowed;• Each location must have its own Certificate of Approval;• The activity scope is to be covered on a company Certificate of Approval and identical to the

sum of all site Certificates of Approval; and• The IECQ scope is identical on all Certificates of Approval.

Certified Entity Number of Employees

Initial Assessment Document Review Days

Initial Assessment On-Site Days

Annual Surveillance Days

1 – 75 0.5 1.5 1 76 – 150 0.5 2.5 2151 – 600 1 4 3601 – 1000 1 5 31001 – 2000 2 5 42001 – 3000 2 6 43001 – 4000 2 7 54000 – 8000 2 8 58000 – 15000 3 8 615000 – 20000 3 9 6

Annex XISO 9001 Audit Day Table

Initial certification Annual surveillance Recertification Number of employees - 30% - 20% 100%

S1 & S2 + 30% - 30% - 20% 100% + 30% - 30% - 20% 100% + 30%

1 - 5 1.5 1.5 1.5 2.0 .5 .5 .5 1.0 1.0 1.0 1.0 1.5 .5 + 1

6.0 - 10 1.5 2.0 2.0 3.0 .5 1.0 1.0 1.5 1.0 1.5 1.5 2.0

.5 + 1.5

11 - 15 2.0 2.0 2.5 3.5 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 .5 + 2

16 - 25 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

26 - 45 3.0 3.5 4.0 5.5 1.0 1.5 1.5 2.0 2.0 2.5 3.0 4.0 1 + 3

46 - 65 3.5 4.0 5.0 6.5 1.5 2.0 2.0 3.0 2.5 3.0 3.5 5.0 1 + 4

66 - 85 4.5 5.0 6.0 8.0 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 2 + 4

86 - 125 5.0 6.0 7.0 9.5 2.0 2.0 2.5 3.5 3.5 4.0 5.0 6.5 2 + 5

126 - 175 6.0 6.5 8.0 10.5 2.0 2.5 3.0 4.0 4.0 4.5 5.5 7.5 2 + 6

176 - 275 6.5 7.5 9.0 12.0 2.5 2.5 3.0 4.0 4.5 5.0 6.0 8.0 2 + 7

276 - 425 7.0 8.0 10.0 13.0 2.5 3.0 3.5 5.0 5.0 6.0 7.0 9.5 2 + 8

426 - 625 8.0 9.0 11.0 14.5 3.0 3.5 4.0 5.5 5.5 6.0 7.5 10.0 3 + 8

626 - 875 8.5 10.0 12.0 16.0 3.0 3.5 4.0 5.5 6.0 6.5 8.0 10.5 3 + 9

876 - 1175 9.5 10.5 13.0 17.0 3.0 4.0 4.5 6.0 6.0 7.0 8.5 11.5 3 + 10

1176 - 1550 10.0 11.5 14.0 18.5 3.5 4.0 5.0 6.5 7.0 8.0 9.5 12.5 4 + 10

1551 - 2025 10.5 12.0 15.0 19.5 3.5 4.0 5.0 6.5 7.0 8.0 10.0 13.0 4 + 11

2026 - 2675 11.5 13.0 16.0 21.0 4.0 4.5 5.5 7.5 7.5 8.5 1.5 14.0 4 + 12

2676 - 3450 12.0 14.0 17.0 22.5 4.0 5.0 6.0 8.0 8.0 9.0 11.0 14.5 4 + 13

3451 - 4350 13.0 14.5 18.0 23.5 4.5 5.0 6.0 8.0 8.5 10.0 12.0 16.0 4 + 14

4351 - 5450 13.5 15.5 19.0 25.0 4.5 5.5 6.5 8.5 9.0 10.5 13.0 17.0 5 + 14

5451 - 6800 14.0 16.0 20.0 26.0 5.0 5.5 6.5 8.5 9.5 11.0 13.5 18.0 5 + 15

6801 - 8500 15.0 17.0 21.0 27.5 5.0 6.0 7.0 9.5 10.0 11.5 14.0 18.5 5 + 16

8501 - 10700 15.5 18.0 22.0 29.0 5.5 6.0 7.5 10.0 1.5 12.0 15.0 19.5 5 + 17

>10,700 Follow progression above

EHS / OHS High Complexity

Initial certification Annual surveillance Recertification Number of employees - 30% - 20% 100%

S1 & S2 + 30% - 30% - 20% 100% + 30% - 30% - 20% 100% + 30%

1 - 5 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

6.0 - 10 2.5 3.0 3.5 5.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1.5 + 2

11 - 15 3.5 4.0 4.5 6.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1.5 + 3

16 - 25 4.0 4.5 5.5 7.5 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 1.5 + 4

26 - 45 5.0 6.0 7.0 9.5 2.0 2.0 2.5 3.5 3.5 4.0 4.5 6.0 2 + 5

46 - 65 6.0 6.5 8.0 10.5 2.0 2.0 2.5 3.5 3.5 4.0 5.0 6.5 2 + 6

66 - 85 6.5 7.5 9.0 12.0 2.5 2.5 3.0 4.0 4.5 5.0 6.0 8.0 3 + 6

86 - 125 8.0 9.0 11.0 14.5 3.0 3.5 4.0 5.5 5.5 6.0 7.5 10.0 3 + 8

126 - 175 8.5 10.0 12.0 16.0 3.0 3.5 4.0 5.5 6.0 6.5 8.0 10.5 4 + 8

176 - 275 9.5 10.5 13.0 17.0 3.5 4.0 4.5 6.0 6.5 7.5 9.0 12.0 4 + 9

276 - 425 10.5 12.0 15.0 19.5 3.5 4.0 5.0 6.5 7.0 8.0 10.0 13.0 5 + 10

426 - 625 11.5 13.0 16.0 21.0 4.0 4.5 5.5 7.5 8.0 9.0 11.0 14.5 5 + 11

626 - 875 12.0 14.0 17.0 22.5 4.5 5.0 6.0 8.0 8.5 9.5 11.5 15.0 5 + 12

876 - 1175 13.5 15.5 19.0 25.0 5.0 5.5 6.5 8.5 9.5 10.5 13.0 17.0 5 + 14

1176 - 1550 14.0 16.0 20.0 26.0 5.0 6.0 7.0 9.5 9.5 11.0 13.5 18.0 5 + 15

1551 - 2025 15.0 17.0 21.0 27.5 5.0 6.0 7.0 9.5 10.0 11.5 14.0 18.5 6 + 15

2026 - 2675 16.5 18.5 23.0 30.0 6.0 6.5 8.0 10.5 10.5 12.0 15.0 19.5 6 + 17

2676 - 3450 17.5 20.0 25.0 32.5 6.0 7.0 8.5 11.5 12.0 14.0 17.0 22.5 6 + 19

3451 - 4350 19.0 22.0 27.0 35.5 6.5 7.5 9.0 12.0 13.0 14.5 18.0 23.5 7 + 20

4351 - 5450 20.0 22.5 28.0 36.5 7.0 8.0 9.5 12.5 13.5 15.5 19.0 25.0 8 + 20

5451 - 6800 21.0 24.0 30.0 39.0 7.0 8.0 10.0 13.0 14.0 16.0 20.0 26.0 8 + 22

6801 - 8500 22.5 26.0 32.0 42.0 8.0 9.0 11.0 14.5 15.5 18.0 22.0 29.0 10 + 22

8501 - 10700 24.0 27.5 34.0 44.5 8.5 9.5 11.5 15.0 16.5 18.5 23.0 30.0 10 + 24


EHS / OHS Medium ComplexityInitial certification Annual surveillance Recertification

Number of employees - 30% - 20% 100%

S1 & S2 + 30% - 30% - 20% 100% + 30% - 30% - 20% 100% + 30%

1 - 5 2.0 2.0 2.5 3.5 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 .5 + 2 6 - 10 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

11 - 15 2.5 3.0 3.5 5.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1 + 2.5

16 - 25 3.5 4.0 4.5 6.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1.5 + 3.0

26 - 45 4.0 4.5 5.5 7.5 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 1.5 + 4

46 - 65 4.5 5.0 6.0 8.0 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 2 + 4

66 - 85 5.0 6.0 7.0 9.5 2.0 2.0 2.5 3.5 3.5 4.0 5.0 6.5 2 + 5

86 - 125 6.0 6.5 8.0 10.5 2.5 2.5 3.0 4.0 4.0 4.5 5.5 7.5 2 + 6

126 - 175 6.5 7.5 9.0 12.0 2.5 2.5 3.0 4.0 4.5 5.0 6.0 8.0 3 + 6

176 - 275 7.0 8.0 10.0 13.0 2.5 3.0 3.5 5.0 5.0 6.0 7.0 9.5 3 + 7

276 - 425 8.0 9.0 11.0 14.5 3.0 3.5 4.0 5.5 5.5 6.0 7.5 10.0 3 + 8

426 - 625 8.5 10.0 12.0 16.0 3.0 3.5 4.0 5.5 6.0 6.5 8.0 10.5 4 + 8

626 - 875 9.5 10.5 13.0 17.0 3.5 4.0 4.5 6.0 6.0 7.0 8.5 11.5 4 + 9

876 - 1175 10.5 12.0 15.0 19.5 3.5 4.0 5.0 6.5 7.0 8.0 10.0 13.0 5 + 10

1176 - 1550 11.5 13.0 16.0 21.0 4.0 4.5 5.5 7.5 7.5 8.5 10.5 14.0 5 + 11

1551 - 2025 12.0 14.0 17.0 22.5 4.5 5.0 6.0 8.0 8.0 9.0 11.0 14.5 5 + 12

2026 - 2675 13.0 14.5 18.0 23.5 4.5 5.0 6.0 8.0 8.5 10.0 12.0 16.0 6 + 12

2676 - 3450 13.5 15.5 19.0 25.0 5.0 5.5 6.5 8.5 9.5 10.5 13.0 17.0 6 + 13

3451 - 4350 14.0 16.0 20.0 26.0 5.0 5.5 6.5 8.5 9.5 11.0 13.5 18.0 6 + 14

4351 - 5450 15.0 17.0 21.0 27.5 5.0 6.0 7.0 9.5 10.0 11.5 14.0 18.5 6 + 15

5451 - 6800 16.5 18.5 23.0 30.0 5.5 6.0 7.5 10.0 10.5 12.0 15.0 19.5 6 + 17

6801 - 8500 17.5 20.0 25.0 32.5 6.0 6.5 8.0 10.5 11.5 13.0 16.0 21.0 6 + 19

8501 - 10700 19.0 22.0 27.0 35.5 6.5 7.5 9.0 12.0 13.0 14.5 18.0 23.5 9 + 18


EHS / OHS Low ComplexityInitial certification Annual surveillance Recertification

Number of employees - 30% - 20% 100%

S1 & S2 + 30% - 30% - 20% 100% + 30% - 30% - 20% 100% + 30%

1 - 5 2.0 2.0 2.5 3.5 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 .5 + 2 6 - 10 2.5 2.5 3 4 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

11 - 15 2.5 2.5 3 4 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

16 - 25 2.5 3.0 3.5 5.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1 + 2.5

26 - 45 3.0 3.5 4 5.5 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1 + 3

46 - 65 3.5 4.0 4.5 6.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1.5 + 3

66 - 85 3.5 4.0 5 6.5 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 1.5 +3.5

86 - 125 4.0 4.5 5.5 7.5 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 1.5 + 4

126 - 175 4.5 5.0 6 8.0 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 2 + 4

176 - 275 5.0 6.0 7 9.5 2.0 2.0 2.5 3.5 3.5 4.0 5.0 6.5 2 + 5

276 - 425 6.0 6.5 8 10.5 2.5 2.5 3.0 4.0 4.0 4.5 5.5 7.5 2 + 6

426 - 625 6.5 7.5 9 12.0 2.5 2.5 3.0 4.0 4.5 5.0 6.0 8.0 3 + 6

626 - 875 7.0 8.0 10 13.0 2.5 3.0 3.5 5.0 5.0 6.0 7.0 9.5 3 + 7

876 - 1175 8.0 9.0 11 14.5 3.0 3.5 4.0 5.5 5.5 6.0 7.5 10.0 3 + 8

1176 - 1550 8.5 10.0 12 16.0 3.0 3.5 4.0 5.5 6.0 6.5 8.0 10.5 4 + 8

1551 - 2025 8.5 10.0 12 16.0 3.0 3.5 4.0 5.5 6.0 6.5 8.0 10.5 4 + 8

2026 - 2675 9.5 10.5 13 17.0 3.5 4.0 4.5 6.0 6.0 7.0 8.5 11.5 4 + 9

2676 - 3450 10.0 11.5 14 18.5 3.5 4.0 4.5 6.0 6.0 7.0 8.5 11.5 4 + 10

3451 - 4350 10.5 12.0 15 19.5 3.5 4.0 5.0 6.5 7.0 8.0 10.0 13.0 5 + 10

4351 - 5450 11.5 13.0 16 21.0 4.0 4.5 5.5 7.5 7.5 8.5 10.5 14.0 5 + 11

5451 - 6800 12.0 14.0 17 22.5 4.5 5.0 6.0 8.0 8.0 9.0 11.0 14.5 5 + 12

6801 - 8500 13.5 15.5 19 25.0 5.0 5.5 6.5 8.5 9.5 10.5 13.0 17.0 5 + 14

8501 - 10700 14.0 16 20 26.0 5.0 5.5 6.5 8.5 9.5 11.0 13.5 18.0 5 + 15


EHS / OHS Limited Complexity

Initial certification Annual surveillance Recertification

Number of employees - 30% - 20%

100% S1 & S2 + 30% - 30% - 20% 100% +

30% - 30% - 20% 100% + 30%

1 - 5 2.0 2.0 2.5 3.5 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 .5 + 2 6 - 10 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

11 - 15 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

16 - 25 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

26 - 45 2.5 2.5 3.0 4.0 1.0 1.0 1.0 1.5 1.5 2.0 2.0 3.0 1 + 2

46 - 65 2.5 3.0 3.5 5.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1 + 2.5

66 - 85 2.5 3.0 3.5 5.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1 + 2.5

86 - 125 3.0 3.5 4.0 5.5 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1 + 3

126 - 175 3.5 4.0 4.5 6.0 1.5 1.5 1.5 2.0 2.5 2.5 3.0 4.0 1.5 + 3

176 - 275 3.5 4.0 5.0 6.5 1.5 2.0 2.0 3.0 2.5 3.0 3.5 5.0 1 + 4

276 - 425 4.0 4.5 5.5 7.5 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 1.5 + 4

426 - 625 4.5 5.0 6.0 8.0 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 2 + 4

626 - 875 5.0 5.5 6.5 8.5 1.5 2.0 2.0 3.0 3.0 3.5 4.0 5.5 2 + 4.5

876 - 1175 5.0 6.0 7.0 9.5 2.0 2.0 2.5 3.5 3.5 4.0 5.0 6.5 2 +5

1176 - 1550 5.5 6.0 7.5 10.0 2.0 2.0 2.5 3.5 3.5 4.0 5.0 6.5 2 +5.5

1551 - 2025 6.0 6.5 8.0 10.5 2.5 2.5 3.0 4.0 4.0 4.5 5.5 7.5 2 + 6

2026 - 2675 6.0 7.0 8.5 11.5 2.5 2.5 3.0 4.0 4.5 5.0 6.0 8.0 2.5 + 6

2676 - 3450 6.5 7.5 9.0 12.0 2.5 2.5 3.0 4.0 4.5 5.0 6.0 8.0 2 + 7

3451 - 4350 7.0 8.0 10.0 13.0 2.5 3.0 3.5 5.0 5.0 6.0 7.0 9.5 2 + 8

4351 - 5450 8.0 9.0 11.0 14.5 3.0 3.5 4.0 5.5 5.5 6.0 7.5 10.0 3 + 8

5451 - 6800 8.5 10.0 12.0 16.0 3.0 3.5 4.0 5.5 6.0 6.5 8.0 10.5 3 + 9

6801 - 8500 9.5 10.5 13.0 17.0 3.5 4.0 4.5 6.0 6.0 7.0 8.5 11.5 3 + 10

8501 - 10700 10.0 11.5 14.0 18.5 3.5 4.0 5.0 6.5 7.0 8.0 9.5 12.5 4 + 10


UL DQS Inc.®

Revision History SheetDocument Number : Q-0300-1

Issue Date: September 27, 1991Document Title: Contract Review Procedure

Date Description of Change Originator6/7/05 Update TS Annex for clarification of how to quote the split of a CR and

how to quote scope expansions. Modify 5.1 to require Regional Lead Reviewer approval only as the default approval for reductions. Removed requirement for regional management approval. Updated Annex III to remove reference to ISO-9001:1994 LOC, but noted this applies for adding ISO-9001:2000 to QS-9000.

D. Parlagreco

L. Hamilton

1/19/06 Annex IV amended to correct an editorial change to certain line items in the ISO 14001 Assessor-day tables and amend assessor-days for RCMS and RC 14001

S. Freeman

3/31/06 Changes for RC140001/RCMS to address ANAB Finding, Editorial change to update omission in the Annex IV sec 1.4.4.2 ISO 14001 Medium Complexity Assessor-day table.

S. Freeman

8/18/06 Revison to address CAR 2313 & also remove outdated TL9000 Auditor Day Table.

M. Bruzas & Linda Ziemnick

12/5/06 Added Annex X for HSPM program. Added 5.2 to procedure to clarify that contract review for new sites is the same as for a new registration. Added clarification to 4.3 in Annex II to note that future sampling plans are not to be included in the cycle planning matrix in the report.

Eric PuLisa Hamilton

1/19/07 Inclusion for SAI advisory 17 on possible reduction of man days Raju PV 4/26/07 Removal of requirements related to QS-9000 program. Removal of

annexes III and VIII. Update to no longer allow reduction for upgrade from QS to TS.

L. Hamilton

9/10/07 Revise requirement for retention of agreements. M. Bruzas/Linda Ziemnick

10/11/07 Revised Annex VII, section 1.2 for Site Extensions. Changed 6.8.3 requirement.

Angel Tucker

1/31/07 Added: responsibility to section 3; Q-1600-1; 6.5.7; 259 6.9.2.10;Changed record requirements to comply with Q-1600-1.

A. Tucker

8/13/08 Changes on annex VII regarding policy for TS site extensions to harmonize them with DQS and with IATF Communiqué 2008-002Update for Stage 1 requirements and correct reference to obsolete procedure Q-0407-1clarify appointment of reviewer during contract review phase

M. Díaz

L. Hamilton

1/21/09 Revised Annex IXChanges on annex VII in order to meet requirements on ISO/TS16949 Rules for Achieving IATF Recognition (3rd edition, Oct. 1, 2008)

E. PuM. Díaz

10/9/09 Deleted reference to obsolete standard AIR 5359 from section 3. Also, deleted the word “initial” from paragraph 1.3 of Annex VIII. Added clarification to Annex III paragraph 1.1 and the Aerospace Auditor Days table. Defined reduction requirements for AS in paragraph 5.2. Added item 16 to paragraph 6.8.2.

H.Gamboa

10/15/09 Updated entire procedure to align with current practice; deleted references to Guide 62/66 and added IAF MD1 and IAF MD5; included audit manday determination and approval criteria.

Tucker

2/19/10 Tables updated in Annex X along with numerous other changes for overall update.

M. BrannockL. McCall

7/2710 Revised for minor possessive corrections and added OHSMS and BS OHSAS 18001 references as the OHS programs

Jerry Skaggs

9/1/10 Revised Annex VIII to include new requirements for transitioning to AS91XX:2009 standards and added AS91XX:2009 requirements to paragraph 5.2.

Henry GamboaM. Barton

9/15/10 Added additional references to OHS to address accreditation requirements for the program submittal

J. Skaggs

1. purpose - dqs japan€¦ · web viewiso/iec 17021 conformity assessment – requirements for...

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