R20.102-S ISO/TS 16949 Surveillance and Renewal Planning
IMPORTANT NOTICE (refer to Rules 3.2, Notice of changes by client): According to accreditation body requirements,
failure to submit the information in a timely manner, omit materials, or provide inaccurate information, may result in
additional time added to the one (1) hour onsite preplanning meeting or initiation of the decertification process.
Please forward the completed form and attachments to our office via mail, fax, or e-mail:
SRI Quality System Registrar, 300 Northpointe Circle, Suite 304, Seven Fields, PA 16046
Tel.: 724-934-9000 • Fax: 724-935-6825
E-mail: to your customer care coordinator [first initial+ last name]@sriregistrar.com (e.g., smazur@sriregistrar.com)
Or: Direct to your assigned Auditor with notice to SRI at time of submittal.
Prior to each scheduled surveillance and renewal/re-registration activity, the ISO/TS 16949 (TS) registered client
(organization) shall provide SRI with the following information and documentation (refer to Rules 5.7, Audit planning –
all audits). Client must utilize the technical specification (ISO/TS 16949), “Rules” for auditing management systems
according to ISO/TS 16949, applicable CSRs, SIs, FAQs, etc., most current editions. This information and documentation
is required as indicated in the “Rules”. This information is required prior to the audit and must be received at SRI
/submitted to the assigned Lead Assessor ten weeks prior to the scheduled event and accepted by the Lead
Assessor at least eight weeks prior to the scheduled event. Failure to submit the information in a timely manner, or to
omit materials, may result in additional time added to the one (1) hour onsite preplanning meeting or initiation of
the decertification process. A copy of the final audit report may be submitted to the IATF upon request.
Client Information required 10 weeks prior to the surveillance/renewal audit (refer to Rules 5.7, Audit planning):
“Client” Put a Check Mark in the Box for the Items Provided. If not provided, please explain why not in the
Comments. Please organize your submission in folders 1 through 24, as applicable.
1.
Documented Statements of a quality policy and quality objectives,
2.
A quality manual,
3.
Documented processes,
4.
Process map showing linkages and interaction of the processes,
5.
Identification of outsource processes and their linkages and interfaces,
6.
Identification of remote support functions and their linkages and interfaces,
7.
Documented linkages between processes and ISO/TS requirements (R20.44TS),
8.
Identify all IATF OEM, Non IATF OEM and Automotive Customers (See Section 2 for Instructions)
9.
Current customer performance data since the last audit, (See Section 2 for Instructions)
10.
Internal performance data since the last audit, (See Section 3)
11.
Internal audit - Summary of internal system, manufacturing process and product audit conducted since the
last audit
1. total number of nonconformities by audit type,
2. the classification of each nonconformity,
3. the relevant requirement (audit criteria),
12.
Management review output/action item list since the last audit,
13.
Customer Satisfaction summary since the last audit (including a copy of latest customer reports and/or
scorecard),
14.
Customer Complaint summary since the last audit,
15.
Identification of any Customer Special Status Conditions since the last audit, (concerning FCA US LLC
(Chrysler) On Status; Ford Q1 Revocation; General Motors New Business Hold, Special Status
Notifications),
16.
Analysis of internal problems (scrap, nonconforming product, corrective actions, etc.),
17.
18.
Changes since the last assessment (refer to Rules 3.2), i.e., Management Systems (MS), equipment,
product, processes(s), automotive customer(s), supporting function(s) [refer to Rules 5.5, Supporting
activities], employee count, shifts - accreditation body requirements dictate accurate information,
If remote sites are audited by another CB, submit all information related to the most recent audit (See Rules
5.5-Option 2). SRI Lead auditor verifies the CB supplying the report is listed on IATF’s website,
ISO/TS 16949 Surveillance and Renewal Planning
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19.
In Language(s) of the audit (Header Page to be completed by client) list all Non-English spoken languages
at the site, where English is not spoken by an employee or translation is required. Also identify the
employee count by language spoken for the same,
20.
21.
Provide Information on the use of consultancy relating to the management system.
Identify relevant legal obligations / statutory and regulations applicable to the product or
processes.
22.
FOR RENEWAL: Management System performance over the previous Three Year Cycle:
23.
a.
Goals/targets of effectiveness and efficiency for each identified process on the R20.44TS or
equivalent over the previous three year period of certification;
b.
Summary of Management Review output/action item list;
c.
Internal Audit results –
1. the total number of nonconformities by audit type,
2. the classification of each nonconformity,
3. the relevant requirement (audit criteria),
FOR RENEWAL: Management system documentation (Level I and II - policies and required procedures)
for each site to be audited, including information on linkages and interfaces to any remote support functions
and / or outsourced processes.
NOTE: The renewal audit must be completed within three (3) years (+0 days) of the last day on-site of the initial
registration or previous renewal audit (refer to Rules 5.1.1, Audit cycle). Timing for the renewal event must be
such that the renewal event is completed, adequate time is available to close any cited corrective actions (up to
90 days) and SRI has time (30 days) to convene the Registration Review Panel and make a decision.
Accreditation requirements dictate that the renewal certificate be issued prior to the expiry date on the current
certificate. Failure to (1) have the renewal event within three (3) years of the initial event or previous renewal
event and/or (2) to have the certificate issued prior to the expiry date will result in delisting and the client
starting the registration process at Stage 1, not a renewal. This is a requirement of the Accreditation Body and
no exceptions can be made for any reason.
24.
TRANSFER AUDIT: Audit Reports from the Previous Three Year, Evidence that all Nonconformities
issued by the Existing CB for the Site and Remote Support Functions are Closed.
Comments:
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Section 1:
PLEASE
P R I N T – to be completed by the client
Completed by
Date
Company name
Street address, city, state
Language(s) of the audit
Non-automotive operations
(all comprehend - English and
Non-English and employee
count by language spoken –
see Instruction #19)
(i.e., machining, painting) and
warehouse(s) associated w/ the site
Total # of current
employees and temps onsite (all shifts, all processes,
Employee count changed
since last event
Increase
No change
Decreased
Shifts changed since last
event
Increase
No change
Decreased
all activities)
Current # of Shifts and
Times (split, dedicated,
weekend, etc.)
Is there any raw material or components
manufactured on-site used in your automotive
product:
Based on the information above the SRI Auditor or SRI Office must provide a short written summary/details
(below) of any concerns to be investigated. The audit plan must be updated for items requiring immediate action
(Language(s), Employee Count Change, Shift Changes) or requiring further investigation on-site.
No Concerns
Audit Plan Revision Required
Identified
Section 2:
Client to complete Customer-Specific Requirements:
Provide a complete list of all your automotive Customers: IATF OEM’s - (IATF members include the following vehicle
manufacturers: BMW Group, Chrysler Group, Daimler AG, Fiat Group Automobile, Ford Motor Company, General Motors
Company), PSA Peugeot Citroen, Renault SA, Volkswagen AG and the vehicle manufacturers respective trade
associations - AIAG (U.S.), ANFIA (Italy), FIEV (France), SMMT (U.K.) and VDA (Germany), go to
http://www.iatfglobaloversight for current members; Non IATF OEMS - such as Heavy and light truck Manufacturers non
IATF Automotive OEM’s (Volvo, Honda, Nissan, PACCAR, Navistar, etc.); Automotive Customers – Tier 1 and Below
Part and Raw Material Suppliers such as Tenneco, Borg Warner, Lear, Dana, etc.
Complete Section 2 by providing a list of your automotive customers identifying the supplier code, where applicable,
Customer Performance Goals/Targets, Whether or Not the organization has met the Goal/Target, If no Comment on the
actions taken, Customer Performance Since the Last Audit (organizations calculated average since the last audit or
customer reported averages and latest month for Quality Performance e.g. PPM, IpB, Discrepant Parts, Delivery
Performance – Percent to Schedule, Percent Late, Premium Freight, etc.. ), Customer Complaints since the last audit,
Applicable Customer Specific Requirements (date of issue and/or revision level). Please Provide the Customers
Scorecards relative to you organizations performance. Where a Topic/Subject or Item is not available, not
required indicate Not Applicable N/A.
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If the Customer Performance Goals are not met, Identify the actions taken or being taken, Client
Comments, to resolve the issues. (Add attachments if additional space is needed.)
EXAMPLE: Provide a complete list of all your automotive Customers. Where a Topic/Subject or Item is not
available, not required indicate Not Applicable N/A in the appropriate area of your list.
Section 2:
Score Card
IATF OEM,
Submitted
non-IATF
OEM,
Automotive
Customers
supplier
code(s) to meet
defined formats
(re-confirm) &
match provided
score (report)
card
Customer
Performance
Goals or
Targets for
Quality &
Delivery
Goal or Target
Met?
On Status?
Customer
Performance
Since the last
Audit Event &
Current Month
Customer
Complaints
Since the Last
Audit
Client
Comments
Customer
Specific
Requirement,
date of issue
and/or
revision level.
XYZB
Supplier Code
12345
Delivery > 81
Quality < 12
Discrepant
Parts Month
Y
N
On Status - No
85 Avg
13
9
XYZB Global
Supplier Manual
Revision
10/11/2009
Delivery > 81
Quality < 12
Discrepant
Parts Month
Y
Y
92 Avg
0
No Scorecard
Received.
Quality Goal not
met for one
month. CAR 6
issued &
closed.
Complaints – 4
pending
closure.
No
Section 3, Performance of key processes and applicable RSL:
Client to complete - Complete the sections below or provide in a similar format structure using your own list
of QMS Processes that match your Quality Manual Description and Interaction of Processes. Identify all
product realization processes and the support processes, on-site or remote, (refer to Rules 5.5, Supporting
activities) in the organization and enter each below in the Process column. Your process definitions must match
between your QM, this document, and the R20.44TS Process Matrix for ISO/TS 16949. Remote support location
(RSL) activities must be identified using IATF approved titles (see table below). Identify the physical location where
the process is performed in the process location column. If the process is not performed on-site (support is
received from another site or location), specify the location (physical address, not mailing address) where it is
performed. The Remote Support Location(s), must be audited prior to and in conjunction with a value added site. If
the internal metrics of effectiveness and efficiency are not met, complete the client comment column indicating
actions taken or being taken by the client. In the # Customer Complaints column, indicate the actual number of
complaints for the past year and list the affected process(es). * For a Surveillance Audit the Period for review and
submission of information and data for performance Measures and Customer Complaints will be from the last SRI
Audit and current month. For a Recertification/Renewal Certification the Period for review and submission of
information and data for performance Measures and Customer Complaints will be the current registration period
identified on your certificate (see item 22) and the current month. Add attachments if additional space is needed.
IATF Approved Remote Support Location (RSL) Titles (revised by IATF effective 07/01/15)
Aftersales
Calibration
Continuous Improvement
Contract Review
Customer Service
Distribution
Engineering
Facilities Management
Finance
Human Resource
Information Technologies
Internal Audit Management
Laboratory
Logistics
ISO/TS 16949 Surveillance and Renewal Planning
©2016 by SRI Quality System Registrar
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Maintenance
Management Review
Marketing
Packaging
Policy Making
Process Design
Product Design
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Production Equipment Development
Purchasing
Quality System Management
R&D
Repair
Sales
Sequencing
Servicing
Strategic Planning
Supplier Management
Testing
Training
Warehousing
Warranty Management
Section 3:
Process &
Location
On-site
Met
(Efficiency)
Yes
4
Goal/Target
Goal
Goal
Effectiveness
* see above
Efficiency*
see above
Target
Target
(Physical, not
mailing)
EXAMPLE:
Molding
Met
(Effectiveness)
#
Customer
Complaint
* see
above
Goal/Target
< 1% Scrap
< 100 PPM per
quarter
90 % Machine
Availability
No
Yes
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
On-site
RSL Enter
Address
ISO/TS 16949 Surveillance and Renewal Planning
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Client Comments
Scrap spike in Jan, Feb, March –
CA 635 issued. Apr and May <1%
4 customer issues – 3 closed and
accepted by the customer, 1
awaiting customer approval.
Section 4 - Changes to RSL:
Client to complete - Complete the sections below:
Provide a list of any support processes Provided to other sites and/or locations from this facility; or Received From
other sites and/or locations that have changed since the last audit event (be sure to include name of the process
and address of the site):
no change since last audit
added,
eliminated,
changed process name or location,
(specify location, change and number of employees). Add attachments if additional space is needed.
Process Name
Location
(Physical
Address)
Provided to
Another
Location
Received From
Another
Location
No. of
Employees at the
Support Location
Type of change
added,
eliminated,
changed
process
name
changed
location
added,
eliminated,
changed
process
name
changed
location
added,
eliminated,
changed
process
name
changed
location
added,
eliminated,
changed
process
name
changed
location
Have there been any Changes since the last assessment (legal status, commercial status, ownership, organization and
management, contact address or location, scope of operations under the certified QMS, IATF subscribing OEM customer
Special Status, major changes to the management system and processes, etc.):
Yes
No – if Yes, explain
Are you still producing product for the automotive industry (refer to Rules 1.0, Eligibility for certification to ISO/TS 16949):
Yes
No - If no, explain:
CQI-9, Special Process: Heat Treat System Assessment applies:
CQI-11, Special Process: Plating System Assessment applies:
CQI-12, Special Process: Coating System Assessment applies:
CQI-14, Special Process: Customer Centric Warranty Mgmt applies:
CQI-15, Special Process: Welding System Assessment applies:
CQI-17, Special Process: Soldering System Assessment applies:
CQI-23, Special Process: Molding System Assessment applies:
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Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
No
No
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Section 5:
For SRI Auditor Use only - P L E A S E
PRINT
Company name
Location
Surveillance/Renewal #
Date Readiness Submitted
Date Audit Plan Issued to SRI
SRI Readiness Review - For Completion by the Assigned SRI Auditor
Check (√) the appropriate boxes as to the readiness acceptability. If not acceptable, comments should be added.
Acceptable
(yes)
Area of
Concern that
Could be
Classified as
Nonconformity
at the Audit
Summary of Results
NA
No, the Client did not supply all
the required information.
Information NOT Supplied WILL
NOT affect Audit Planning. Time is
NOT Required to be added to the
preplanning meeting or prior to the
opening meeting to evaluate the
missing information.
Did the Client Supply you with all the
required pre-planning information
prior to issuing the audit plan
(Applicable Items 1 through 21,
Sections 1, 2, 3 and 4 of this
R20.102-S ISO/TS 16949
Surveillance and Renewal Planning
document)
No, the Client did not supply all
the required information. Time IS
Required to be added to the
preplanning meeting or prior to the
opening meeting to evaluate the
missing information.
1.
2.
3.
4.
5.
6.
Documented Statements of a
quality policy and quality
objectives,
A quality manual,
Documented processes,
Process map showing linkages
and interaction of the
processes,
Identification of outsource
processes and their linkages
and interfaces,
Identification of remote support
functions and their linkages and
interfaces,
ISO/TS 16949 Surveillance and Renewal Planning
©2016 by SRI Quality System Registrar
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SRI Readiness Review - For Completion by the Assigned SRI Auditor
Check (√) the appropriate boxes as to the readiness acceptability. If not acceptable, comments should be added.
Acceptable
(yes)
Area of
Concern that
Could be
Classified as
Nonconformity
at the Audit
Clients list of Key Processes (COPS)
in Quality Manual matches:
a) Completed Process Matrix or list
for ISO/TS 16949, R20.44TS, or
equivalent.
Current customer performance data
since the last audit, Customer
Satisfaction summary since the last
audit (including a copy of latest
customer reports and/or scorecard).
(see 5.8 - SI 12ctd).
Customer Complaint summary since
the last audit.
Identification of any Customer
Special Status Conditions since the
last audit, (concerning FCA US LLC
(Chrysler) On Status; Ford Q1
Revocation; General Motors New
Business Hold, Special Status
Notifications).
Internal performance data since the
last audit (Performance Measures
Effectiveness and Efficiency Targets
& Goals), and Analysis of internal
problems (scrap, nonconforming
product, corrective actions, etc.).
Internal audit - Summary of internal
system, manufacturing process and
product audit conducted since the
last audit:
a. the total number of
nonconformities by audit type,
b. the classification of each
nonconformity,
c. the relevant requirement (audit
criteria).
Management review output/action
item list since the last audit.
ISO/TS 16949 Surveillance and Renewal Planning
©2016 by SRI Quality System Registrar
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Summary of Results
SRI Readiness Review - For Completion by the Assigned SRI Auditor
Check (√) the appropriate boxes as to the readiness acceptability. If not acceptable, comments should be added.
Acceptable
(yes)
Area of
Concern that
Could be
Classified as
Nonconformity
at the Audit
Changes since the last assessment
(refer to Rules 3.2), i.e., Management
Systems (MS), equipment, product,
processes(s), automotive
customer(s), supporting function(s)
[refer to Rules 5.5, Supporting
activities], employee count, shifts accreditation body requirements
dictate accurate information.
If remote sites are audited by another
CB, review all information related to
the most recent audit (See Rules 5.5Option 2). SRI Lead auditor verifies
the CB supplying the report is listed
on IATF’s website.
Access the website to validate
information provided: company
name, address, structure, other
linkages, other support, scope vs
what is on the website, additional
addresses, etc. vs R20.62, Certificate
and Audit Plan.
Information on the use of consultancy
relating to the management system.
Relevant legal obligations/regulations
applicable to the product or
processes.
FOR RENEWAL: Management
System performance over the
previous Three Year Cycle:
a. Goals/targets of effectiveness and
efficiency for each identified
process on the R20.44TS or
equivalent over the previous three
year period of certification;
b. Summary of Management Review
output/action item list;
c. Internal Audit results –
1. the total number of
nonconformities by audit type,
2. the classification of each
nonconformity,
3. the relevant requirement (audit
criteria).
ISO/TS 16949 Surveillance and Renewal Planning
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Summary of Results
SRI Readiness Review - For Completion by the Assigned SRI Auditor
Check (√) the appropriate boxes as to the readiness acceptability. If not acceptable, comments should be added.
Acceptable
(yes)
Area of
Concern that
Could be
Classified as
Nonconformity
at the Audit
FOR RENEWAL: Review the
surveillance audit reports from the
current audit cycle and identify
any areas that need to be
prioritized.
FOR RENEWAL: Management
system documentation (Level I and II
- policies and required procedures)
for each site to be audited, including
information on linkages and
interfaces to any remote support
functions and / or outsourced
processes.
A complete list of automotive
customers (IATF OEM’s, Non ITAF
OEMS, Automotive Customers) and
their customer-specific requirements
(including revision and/or date of
issue and any waivers obtained).
The Client is still producing product
for the automotive industry?
Based on the information provided
and CSR’s all applicable CQI’s are
Identified?
TRANSFER AUDIT: Audit Reports
from the Previous Three Year,
Evidence that all Nonconformities
issued by the Existing CB for the
Site and Remote Support
Functions are Closed.
The SRI auditor comprehends the
language(s) indicated. [If no, an
interpreter is required and additional
mandays are required contact SRI
Office Immediately.]
There IS NOT any raw material or
components manufactured on-site
that is used in the automotive
product, Where the Process Is Not
Audited to the TS Requirements?
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Summary of Results
Section 5 Instructions: the SRI Auditor must describe how pre-planning impacted the audit plan and list
the issues/concerns to be prioritized:
Missing or Additional Information Required to Be Reviewed During the Onsite Pre Planning Meeting:
Prioritized Issues/Concerns Added to the Audit Plan, (Note: The Priority should be added to the
relevant Process(es) or an Action List added supplementing the Audit Plan:
Note: for audit plan development - an audit day (8-hour duration) can be extended only to cover a 3rd Shift
(Off-Shift) which operates outside the normal 8-hour work day (normal being 8:00 a.m. to 17:00 p.m.). The
additional hours spent auditing the 3rd Shift may not exceed 4 hours per audit (NOT per auditor) [refer to Rules
5.2.b), Audit days determination]. Each audit plan shall: identify as a minimum (see IATF Rules 5.7.2) a) –
g) … and h) identify the date and time when each site will be audited and, if needed, identify the amount
of time required to transfer between sites at different addresses. (SI 13ctd 5.7.2)
Where the client fails to supply all the required information it is the responsibility of the auditor to notify SRI
Customer Care immediately. Customer Care should attempt to obtain the information up to the week before
the deadline date for issuance of the audit plan.
If the client does not submit any of the information required for audit planning then the decertification process
shall be initiated and an on-site audit planning session equal to the off-site requirement shall take place.
If there is missing information, not all of the required information is provided, relative to ensuring effective audit
planning, the auditor may elect to cover these items at the on-site audit planning session or add time to the onsite audit planning session to cover these items. The decertification process may be initiated by
recommendation from the Lead Auditor or at the discretion of SRI. Contact SRI’s Office to initiate the
Procedure.
If changes are identified by you or the client prior to the audit, you must contact SRI for a decision. This would
include employee counts, scope changes, addition of support functions remote or on-site, language of the
audit, etc. changes that would affect the established audit time (e-mail or telephone SRI).
Changes identified by you or the client while on-site that affect audit time or the scope of the audit requires a
joint decision considering auditor availability and impact of the change, you must contact SRI immediately for a
decision. In any case, changes found while on-site that were not identified by the client prior to the audit will
require a corrective action notification to be issued.
Note to CCC and/or Review Authority: Where the auditor has identified “Missing or Additional Information
Required to Be Reviewed During the Onsite Pre Planning Meeting” or “Prioritized Issues/Concerns
Added to the Audit Plan, (Note: The Priority should be added to the relevant Process(es) or an Action
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List added supplementing the Audit Plan:” You must verify the audit plan has been revised to include
these items. Your initial and date signifies you have reviewed the audit plan for accuracy and completeness:
Initial
Date:
To be completed by SRI’s Auditor only:
Note to auditor: If the client fails to submit the above information, the materials are late or the information is
incomplete or provides inaccurate information, the lead auditor is to indicate “Not Ready,” revise the audit plan, and add
time, as needed, to the upcoming event. The lead auditor is required to determine the readiness (not ready or ready) of
the client within two weeks of receipt. The decertification process may be initiated by recommendation from the Lead
Auditor or at the discretion of SRI. Contact SRI’s Office to initiate the Procedure.
If an issue has been identified during a review of the surveillance/renewal readiness materials, this issue must be
ADDED TO THE AUDIT PLAN and followed up on-site at the scheduled event.
NOT READY - Review at the additional one (1) hour added to the start of the first day (see Rules, 5.7.2.a)
If the standard one (1) hour is inadequate, additional time to be added:
hours.
SRI Lead Auditor Signature
(original required):
.
Date:
READY - Auditor recommends commencing with surveillance or renewal.
All information (refer to page 1) required for Readiness Review was reviewed and accepted.
SRI Lead Auditor Acceptance
Signature (original required):
Section 6:
Date:
For SRI Veto Use only – to be used for special monitoring
Veto Review:
Date:
Topic/Subject Reviewed:
Customer Performance Acceptable (Targets Met):
Internal Performance Acceptable (Targets Met):
Customer Complaints Reviewed (Any Trends, Continual Numerous Poor Performance,
Repeat Issues, Increase in Complaints):
Where Applicable Three Year (Registration Cycle Performance) Acceptable:
Other:
Comments:
Items to be Added to the Audit Plan:
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Yes
No