UL's Quality Management System Program Requirements:
Addendum for Program Specific Requirements
1.ISO/TS 16949 Registered Organizations
1.1ISO/TS 16949 registration assessments shall include one complete internal audit and management review cycle. The organization shall provide the following documents for UL review prior to the assessment: Quality Manual, Internal Audit and Management Review Results for the last 12 months, List of qualified auditors, List of customer specific requirements, Customer Complaint Status, Operational performance trends for the previous 12 months
1.1.1 The organization shall notify UL of an changes relating to legal, commercial, organizational status or ownership
1.1.2 The organization cannot refuse and IATF Witness audit of the Certification Body
1.1.3 The Organization cannot refuse the Internal Witness of a UL auditor as required in Rules for Achieving IATF Recognition 2nd Edition sec. 1.9
1.1.4 The organization shall provide access authorization for IATF representatives or their delegates
1.1.5 The use of the IATF logotype is limited to the image displayed on the certificate
1.2Organizations on probationary status with the customer or with UL cannot be upgraded until the probation has been cleared or UL has received notification from the OEM for authorization to proceed with the assessment.
1.3In the event an ISO/TS 16949 Registered Firm is being withdrawn, UL will notify the IATF within 10 working days. In the event of a decision to suspend or place a registration on probation, UL will notify the IATF within 30 working days of the issue that caused the suspension/probation situation.
1.4In accordance with the "Rules for the automotive registration scheme for ISO/TS 16949 certification bodies", the organization authorizes UL to provide the final report to the IATF (International Automotive Task Force), as required.
In order to maintain certification, the organization agrees to either 6 month or annual continuous assessments, conduct for at least the minimum audit days as defined in the IATF rules, Sanctioned Interpretations and FAQ’s. The organization also agrees to a Reassessment in the 3rd year of the cycle per these rules.
- A TS16949:2002 Registered Organization shall notify UL in writing within five (5) working days when a customer places the site in any of the following statuses:
•Chrysler "Needs Improvement"
•Ford Q-1 Revocation
•General Motors ”New Business Hold – Quality”
2.1An organization’ will be placed on immediate probation if any of the following occur:
- A major non-conformance is issued
- The organization is placed on Fords “Q1 Revocation, DaimlerChrysler’s “Needs Improvement” (quality rating only – not total rating), or General Motor’s “New Business Hold - Quality”
- Minor non-compliance corrective action is not verified as being effectively implemented within 60 days.
- UL will provide written notification to organizations placed on probation
- If the certification is “corporate”, then all sites under the corporate certification must be placed on probation.
- If an organization files a probation dispute (appeal) with UL, 30 days will be granted to resolve the dispute (appeal).
- UL will notify the IATF database of all TS16949:2002 registered organizations placed on probation. The organization must then notify those customers that have required them to obtain TS16949:2002 registration of the TS16949:2002 probation status.
- UL must conduct on-site assessment to verify implementation of all corrective actions before any probation can be lifted.
- If probation is not lifted within four months of issuance, the TS16949:2002 registration will be withdrawn unless the following exception applies. Exceptions must be justified by UL in writing based upon the results of the on-site review of the corrective action plan effectiveness and agreement obtained from the affected customer(s) and the accreditation body(s) whose mark appears on the certificate.
2.2Registration may also be suspended or withdrawn by UL under any of the following conditions:
•Misrepresentation of customer complaint information (for TS16949:2002 Registered Firms)
•If there are continuous poor trends in indicators of customer performance indicators (e.g. customer satisfaction, on-time delivery, continuous development) over 2 subsequent assessments (for TS16949:2002 Registered Firms)
2.3In the event UL receives notification from General Motors (GM) that a UL Registered Organization has been placed in Controlled Shipping Level II (CSII) the following will occur: (a) - UL will contact the Registered Organization informing them of having received notification from GM. This contact will be in writing from regional audit management and shall include instructions for providing UL with the needed authorization to send the assessment report to GM. (b) - UL will review the Registered Organization’s corrective action plans when received from the organization. (c) - UL will determine the need to conduct an on-site assessment to evaluate the implementation and effectiveness of the Registered Organization’s corrective action plans. (d) - With written authorization from the Registered Organization, UL will submit the on-site assessment report to GM.
2.4A Registered Organization shall provide notification to UL of facility closure, transfer of ownership including merger, acquisition, or joint venture. UL shall, within 60 days of receiving notification, complete the following activities: determine the timeliness, scope and extent of continuous assessment (surveillance audit) requirements; and if deemed necessary, conduct a special assessment (surveillance audit) up to and including a full audit. Failure of the Registered Organization to notify UL of such site changes, within 30 days from the time such site changes were announced, shall result in a major non-conformity which can only be closed by conducting an on-site special continuous assessment (surveillance audit) up to and including a full audit.
2.5In the event a TS16949:2002 Registered Firm is being withdrawn UL will notify the IATF database within 10 working days.
2.6TS16949:2002 registration assessments shall include, but not be limited to verification that the organization has completed one complete audit cycle of internal audits and management review.
2.7TS16949:2002 auditing shall be conducted on all shifts. If weekend crews are dedicated and non-rotating, then auditing of the weekend shifts are required.
2.8TS16949:2002 assessments shall include on-site review of customer report cards on-line, e.g. Chrysler’s Covisint report and GM’s PRR system, or monthly, e.g. GM’s ‘quad” or Ford SIMs report listing the relevant performance data.
3.TL 9000 Registered Firms
3.1Clients participating in the TL 9000 Registration program must comply with the requirements in the current TL 9000 Quality System Requirements and and Quality System Measurements Handbooks..
3.2Registration may be granted to organizations in hardware, software, service or any combination thereof.
3.3Appropriate measurements must be reported for hardware, software, service or any combination by product category as specified by the most current Product Category Tables, which are contained on the QuEST Forum Website at
3.4Clients participating in the TL 9000 Registration program must comply with section 3.53 (Organizational Responsibilites) in the TL 9000 Quality Management Systems Measurements Handbook.
3.5TL 9000 registration assessments shall include, but not be limited to verification that the organization has completed one complete audit cycle of internal audits and management review.
4.Aerospace Quality Management System Standards Registered Clients
4.1Aerospace Quality Management System (AQMS) Standards are defined as standards developed for and by the aerospace industry to define minimum quality system requirements for the aerospace industry supplier chain. Examples of AQMS standards are AS9100, AS9110, AS9120, AS9003 and other similar standards. Registration to these standards is in accordance with the latest requirements of SAE AS9104-1, -2, -3 and AS9014.
4.2As per the requirements of SAE AS9104, UL agrees to “Right of Review/Access” of records and information by AAQG and IAQG member companies, nationally recognized accreditation body(ies) (AB) and other regulatory or government authorities relative to the compliance of the AQMS sector qualification program. This access only applies to records and information specifically associated with AQMS activity.The results and data generated from AQMS assessments (including scoring) shall be submitted to SAE via the IAQG OASIS database. Each registered organization is required to identify a database coordinator to grant access to assessment data. Assessment data is private and handled as “sensitive” or proprietary and is only available between consenting parties.
4.3UL shall notify SAE and update the OASIS database in a timely manner when there is a change in the registration status of an organization registered to an AQMS.
4.4Prior to the issuance of an AQMS certificate, all nonconformities shall be satisfactorily corrected (including root cause analysis) and implemented. The effectiveness of corrective action for all nonconformities shall be verified by UL prior to issuance of the certificate. This may or may not require an on-site visit.
4.5When assessing “Internal Quality Audits” requirements, the UL assessment team shall verify the organization being assessed has determined the necessary competence and provided appropriate training for personnel performing audits to AQMS standards.
5.CMDCAS ISO 13485/13488 Registered Clients
5.1By signing the contract for ISO 13485, the supplier agrees to the requirements of CMDCAS Recognition under the SCC program. This includes UL's release to TPD any document that TPD considers necessary to determine a medical device manufacturer's conformance to ISO 13485. These documents would include those that the UL or its auditor's use to plan, perform or follow-up on an ISO 13485 investigation, and to record observations or report results of an ISO 13485 quality system audit.
5.2All documents held by TPD will be treated in accordance with appropriateregulations and guidelines dealing with confidential and proprietary information.
6.Joint Audits with Semiconductor Assembly Council (SAC) under the SAC Registrar Partnership Program
6.1UL ISO/TS16949 team and SAC team will share information and audit results during the joint audit.
6.2When the client’s TS16949 registration is placed on probation or de-listing, in addition to the affected OEM customer and the IAOB, SAC shall also be notified simultaneously of the registration status.
QF-0907-7AIssued: 9/28/00
Revised: 5/30/07