When Recognition Matters

EXAM PREPARATION GUIDE

PECB Certified IATF 16949 Lead Auditor

www.pecb.com
 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

The objective of the “PECB Certified IATF 16949 Lead Auditor” exam is to ensure that the
candidate has acquired the necessary knowledge and skills to plan and perform an Automotive
Quality Management System (AQMS) audit, whether internal or external, based on the IATF
16949 standard and to manage an audit team by applying widely recognized audit principles,
procedures and techniques.

The IATF 16949 Lead Auditor exam is intended for:

 Auditors seeking to perform and lead Automotive Quality Management System (AQMS)
certification audits
 Managers or consultants seeking to master an Automotive Quality Management System
audit process
 Individuals responsible for maintaining conformance with the IATF 16949 standard
requirements
 Technical experts seeking to prepare for an Automotive Quality Management System
audit
 Expert advisors in Automotive Quality Management

The exam content covers the following domains:

 Domain 1: Fundamental principles and concepts of an Automotive Quality Management

System
 Domain 2: Automotive Quality Management System (AQMS)
 Domain 3: Fundamental audit concepts and principles
 Domain 4: Preparation of an IATF 16949 audit
 Domain 5: Conducting an IATF 16949 audit
 Domain 6: Closing an IATF 16949 audit
 Domain 7: Managing an IATF 16949 audit programme

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

The content of the exam is divided as follows:

Domain 1: Fundamental principles and concepts of an Automotive

Quality Management System
Main objective: Ensure that the IATF 16949 Lead Auditor candidate understands, and is able to
interpret and illustrate the main Automotive Quality Management System concepts, principles and
recommendations.

Competencies Knowledge statements

1. Ability to understand and explain the 1. Knowledge of the main standards related to
organization’s operations and the automotive quality management.
development of quality management 2. Knowledge of the main sources of
standards. automotive quality management
2. Ability to identify, analyze and evaluate the requirements for an organization including
automotive quality management compliance laws, regulations, international and industry
requirements for an organization. standards, contracts, market practices, and
internal policies.
3. Ability to understand and illustrate the best
3. Knowledge of the International Automotive
quality management tools and techniques.
Task Force industry and its history.
4. Ability to explain and illustrate the main 4. Knowledge of other quality management
concepts of an Automotive Quality methods and techniques such as Quality
Management System (AQMS). Circles, Total Quality Management, Six
Sigma, Lean, Kaizen, Just-in-Time, etc.
5. Knowledge of the main automotive quality
management concepts and terminology as
described in the IATF 16949 standard and in
alignment with ISO 9001.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Domain 2: Automotive Quality Management System (AQMS)

Main objective: Ensure that the IATF 16949 Lead Auditor candidate understands, is able to
interpret and illustrate the main concepts and components of an Automotive Quality Management
System based on the IATF 16949 standard.
Competencies Knowledge statements

1. Knowledge of the concepts, principles and

1. Ability to understand and explain the
terminology related to quality management
components of an Automotive Quality
systems and the "Plan-Do-Check-Act"
Management System based on the IATF
(PDCA) model.
16949 standard and its principal processes.
2. Knowledge of the IATF 16949 requirements
2. Ability to interpret and analyze the
presented in clauses 4 to 10.
requirements of the IATF 16949 standard.
3. Knowledge of the main steps to establish the
3. Ability to understand, explain and illustrate
AQMS’ policies, objectives, processes, and
the main steps to establish, implement,
procedures relevant to managing risk, and
operate, monitor, review, maintain and
improving the AQMS in accordance with the
improve an organization’s AQMS.
organization’s overall policies and objectives
(awareness level).
4. Knowledge of the continual improvement
concept and its application to an AQMS.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Domain 3: Fundamental audit concepts and principles

Main objective: Ensure that the IATF 16949 Lead Auditor candidate understands, is able to interpret
and apply the main concepts and principles related to an AQMS audit in the context of an IATF 16949
audit.

Competencies Knowledge statements

1. Ability to understand, explain and illustrate 1. Knowledge of the main audit concepts and
the application of the audit principles in the terminology as described in the ISO 19011
context of an IATF 16949 audit. standard.
2. Ability to identify and assess situations 2. Knowledge of the differences between first,
that would discredit the professionalism of second and third party audits.
the auditor and violate the PECB Code of 3. Knowledge of the audit principles such as
Ethics. integrity, fair presentation, due professional care,
3. Ability to identify and evaluate ethical confidentiality, independence, evidence-based
issues taking into account the obligations approach, and risk-based approach.
related to the audit client, auditee and law 4. Knowledge of the professional responsibilities of
enforcement or regulatory authorities. an auditor and the PECB Code of Ethics.
4. Ability to explain, illustrate and apply the 5. Knowledge of evidence-based approach in an
audit evidence approach in the context of audit.
an IATF 16949 audit. 6. Knowledge of the different types of evidence such
5. Ability to explain and compare the types as physical, mathematical, confirmative, technical,
and characteristics of evidence. analytical, documentary and verbal.
6. Ability to determine and justify the type of 7. Knowledge of the quality of audit evidences
and the amount of evidence required in (competent, appropriate, reliable and sufficient)
the context of a specific AQMS audit. and the factors that influence them.
7. Ability to determine and evaluate the level 8. Knowledge of the risk-based approach to an audit
of materiality and apply the risk-based and the different types of risks related to audit
approach during the different phases of an activities.
IATF 16949 audit. 9. Knowledge of the concept of materiality and its
8. Ability to evaluate the appropriate level of application to an audit.
reasonable assurance needed for a 10. Knowledge of the reasonable assurance concept
specific IATF 16949 audit. and its application to an audit.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Domain 4: Preparation of an IATF 16949 audit

Main objective: Ensure that the IATF 16949 Lead Auditor candidate is able to prepare an AQMS
audit in the context of an IATF 16949 audit.

Competencies Knowledge statements

1. Ability to understand and explain the steps 1. Knowledge of the main responsibilities of the
and activities to prepare an AQMS audit. audit team leader and audit team members.
2. Ability to understand and explain the roles 2. Knowledge of the roles and responsibilities of
and responsibilities of the audit team technical experts invoved in an audit.
leader, audit team members and technical 3. Knowledge of the definition of audit objectives,
experts. audit scope and audit criteria.
3. Ability to determine, evaluate and confirm 4. Knowledge of the difference between the AQMS
the audit objectives, the audit criteria and scope and the audit scope.
the audit scope for a specific IATF 16949 5. Knowledge of the elements to review during the
audit. feasibility study of an audit.
4. Ability to conduct feasibility study of an 6. Knowledge of the cultural aspects to consider in
audit in the context of a specific IATF an audit.
16949 audit. 7. Knowledge of the characteristics of audit terms
5. Ability to explain, illustrate and define the of engagement and the best practices to
audit terms of engagement. establish the initial contact with an auditee.
6. Ability to develop audit working papers 8. Knowledge of the procedures related to the
and to elaborate appropriate audit test preparation of an audit plan.
plans in the context of a specific IATF 9. Knowledge of the preparation and development
16949 audit. of audit working papers.
10. Knowledge of the advantages and
disadvantages of using audit checklists.
11. Knowledge of the best practices of creating
audit test plans.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Domain 5: Conducting an IATF 16949 audit

Main objective: Ensure that the IATF 16949 Lead Auditor candidate efficiently conducts an AQMS
audit in the context of an IATF 16949 audit.

Competencies Knowledge statements

1. Ability to organize and conduct the 1. Knowledge of the objectives and the content of
opening meeting in the context of a the opening meeting of an audit.
specific IATF 16949 audit. 2. Knowledge of the difference between stage 1
2. Ability to conduct a stage 1 audit in the audit and stage 2 audit.
context of a specific IATF 16949 audit 3. Knowledge of the stage 1 audit requirements,
taking into account the documentation steps and activities.
review conditions and criteria. 4. Knowledge of the documentation review criteria.
3. Ability to conduct a stage 2 audit in the 5. Knowledge of the documentation requirements
context of a specific IATF 16949 audit by stated in the IATF 16949 standard.
applying the best practices of
6. Knowledge of the stage 2 audit requirements,
communication. steps and activities.
4. Ability to take into account the roles and
7. Knowledge of the best practices of
responsibilities of all stakeholders
communication during an audit.
involved.
5. Ability to explain, illustrate and apply 8. Knowledge of the roles and responsibilities of
statistical techniques and main audit guides and observers during an audit.
sampling methods. 9. Knowledge of the conflict resolution techniques.
6. Ability to gather appropriate evidences 10. Knowledge of the evidence collection
from the available information during an procedures such as observation, documented
audit and evaluate it objectively. information review, interviews, analysis and
technical verification.
11. Knowledge of the evidence analysis procedures
such as corroboration and evaluation.
12. Knowledge of the main concepts, principles and
statistical techniques used in an audit.
13. Knowledge of the main audit sampling methods
and their characteristics.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Domain 6: Closing an IATF 16949 audit

Main objective: Ensure that the IATF 16949 Lead Auditor candidate is able to conclude an AQMS
audit and conduct follow-up activities in the context of an IATF 16949 audit.

Competencies Knowledge statements

1. Ability to explain and apply the evaluation 1. Knowledge of the evaluation process of
process of evidences, to draft audit evidences to draft audit findings and prepare
findings and to prepare audit conclusions. audit conclusions.
2. Ability to understand, explain and illustrate 2. Knowledge of the differences and
the different levels of conformity and the characteristics between the concepts of
concept of the benefit of the doubt. conformity, minor nonconformity, major
3. Ability to report appropriate audit nonconformity, anomaly and observation.
observations in order to help an 3. Knowledge of the guidelines and best practices
organization improve an AQMS with to write a nonconformity report.
respect to audit rules and principles. 4. Knowledge of the guidelines and best practices
4. Ability to complete audit working to draft and report audit observations.
documents and conduct a quality review of 5. Knowledge of the principle of the benefit of the
an IATF 16949 audit. doubt and its application in the context of an
5. Ability to draft audit conclusions and audit.
present them to the management of the 6. Knowledge of the guidelines and best practices
audited organization. to complete audit working documents and
6. Ability to organize and conduct an audit perform a quality review of an audit.
closing meeting. 7. Knowledge of the guidelines and best practices
7. Ability to write an IATF 16949 audit report to present audit findings and conclusions to the
and justify a certification recommendation. management of an audited organization.
8. Ability to perform the activities following an 8. Knowledge of the possible recommendations
initial audit including the evaluation of that an auditor can issue in the context of a
action plans, follow-up audits, surveillance certification audit and the certification decision
audits, and recertification audits. process.
9. Knowledge of the guidelines and best practices
to evaluate action plans.
10. Knowledge of follow-up audits, surveillance
audits and recertification audit requirements,
steps and activities.
11. Knowledge of the conditions for modification,
extension, suspension or withdrawal of a
certification for an organization.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Domain 7: Managing an IATF 16949 audit program

Main objective: Ensure that the IATF 16949 Lead Auditor candidate understands how to establish
and manage an AQMS audit program.

Competencies Knowledge statements

1. Ability to understand and explain the 1. Knowledge of the application of the PDCA
establishment of an audit program and the model in the management of an audit program.
application of the PDCA model. 2. Knowledge of the requirements, guidelines and
2. Ability to understand and explain the best practices regarding audit resources,
implementation of an IATF 16949 audit procedures and policies.
program. 3. Knowledge of the different types of tools used
3. Ability to understand and explain the by professional auditors.
responsibilities of protecting the integrity, 4. Knowledge of the requirements, guidelines and
availability and confidentiality of audit best practices regarding the management of
records. audit records.
4. Ability to understand the requirements 5. Knowledge of the application of the concept of
related to the components of the continual improvement to the management of an
management system of an audit program audit program.
as quality management, record 6. Knowledge of the concept of competency and
management, and complaint its application to auditors.
management. 7. Knowledge of the personal attributes and
5. Ability to understand the evaluation of the behavior of professional auditors.
audit program efficiency by monitoring the
performance of each auditor, team and
the entire certification body.
6. Ability to understand and explain how
combined audits are handled in an audit
program.
7. Ability to demonstrate the application of
the personal attributes and behaviors
associated to professional auditors.

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Based on these seven domains and their relevance, twelve questions are included in the exam,
as summarized in the following table:

Level of understanding (Cognitive/

Taxonomy) required

Points per Questions that Questions that measure Number of % of test Number of % of points
question measure synthesis and evaluation questions per devoted to points per competency
comprehensio competency each competency domain
n application domain competency domain
and analysis domain

Fundamental
principles
and concepts 5 x 1 8.33 5 6.67
of an
Automotive
Quality
Management

Automotive 5 x
Quality
Management
Competency domain

5 x
System
(AQMS)
5 x 4 33.32 25 26.66

10 x

Fundamental
audit
concepts and 10 x 1 8.33 10 13.33
principles

Preparation
of an IATF
16949 audit 5 x 1 8.33 5 6.67

Conducting 5 x
an IATF
16949 audit 2 16.67 15 20.00
10 x

5 x

Closing an 2 16.67 15 20.00

IATF 16949 10 x
audit

Managing an 5 x 1 8.33 5 6.67

IATF 16949
audit
program

Total Points 75

Number of questions per 7 5

level of understanding

% of test devoted to each 58.33 41.67

level of understanding
(cognitive/taxonomy)

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

The passing score is 70%.

After successfully passing the exam, candidates will be able to apply for the “PECB Certified
IATF 16949 Lead Auditor” credential, depending on their level of experience.

TAKE A CERTIFICATION EXAM

Candidates will be required to arrive at least thirty minutes before the start of the certification
exam. Candidates arriving late will not be given additional time to compensate for the late arrival
and may be denied entry to the exam.

All candidates are required to present a valid identity card such as a national ID card, driver’s
license, or passport to the invigilator.

The exam duration is three hours. Non-native speakers recive an additional thirty minutes.

The questions are essay type questions. This type of format was selected as a means of
determining whether an examinee can clearly answer training-related questions, by assessing
problem-solving techniques, and formulating arguments supported with reasoning and
evidence. The exam is set to be “open book”, and does not measure the recall of data or
information. The examination evaluates the candidate’s comprehension, application and
analyzing skills. Therefore, candidates will have to justify their answers by providing concrete
explanations as to demonstrate that they have been capable of understanding the training
concepts. At the end of this document, you will find samples of exam questions and potential
answers.

As the exam is “open book”, candidates are authorized to use:

 A copy of the IATF 16949 standard;

 A copy of the ISO 19011:2018 standard;
 Course notes from the Participant Handout;
 Any personal notes made by the candidate during the course session; and
 A hard copy dictionary.

The use of electronic devices, such as laptops, cell phones, etc., is not allowed.

Any attempts to copy, collude or otherwise cheat during the exam will automatically lead to the
failure of the exam.

PECB exams are available in English. For availability of the exam in a language other than
English, please contact [email protected].

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

RECEIVE YOUR EXAM RESULTS

Results will be communicated by email within a period of 6 to 8 weeks from the examination
date. The candidate will be provided with only two possible examination results: pass or fail,
rather than an exact grade.

Candidates who successfully complete the examination will be able to apply for a certified
scheme.

In case of exam failure, the results will be accompanied with the list of domains in which the
candidate failed to fully answer the question(s). This can help the candidate better prepare for a
retake exam.

Candidates who disagree with the exam results may file a complaint by writing to
[email protected]. For more information, please refer to www.pecb.com.

EXAM RETAKE POLICY

There is no limit on the number of times a candidate may retake an exam. However, there are
some limitations in terms of the allowed time frame in between exam retakes, such as:

 If a candidate does not pass the exam on the first attempt, he or she must wait 15 days
for the next attempt (1st retake). Retake fee applies.

Note: Candidates, who have completed the full training but failed the written exam, are eligible
to retake the exam once for free within a 12 month period from the initial date of the exam.

 If a candidate does not pass the exam on the second attempt, he or she must wait 3
months (from the initial date of the exam) for the next attempt (2 nd retake). Retake fee
applies.

 If a candidate does not pass the exam on the third attempt, he or she must wait 6
months (from the initial date of the exam) for the next attempt (3 rd retake). Retake fee
applies.

After the fourth attempt, a waiting period of 12 months from the last session date is required, in
order for the candidate to retake the same exam. Regular fee applies.

For the candidates that fail the exam in the 2 nd retake, PECB recommends to attend an official
training in order to be better prepared for the exam.

To arrange exam retakes (date, time, place, costs), the candidate needs to contact the PECB
partner who has initially organized the session.

CLOSING FILES

If an applicant does not apply for his/her certificate within three years, their case will be closed.
Even though an applicant’s certification period expires, they have the right to reopen their case.
However, PECB will no longer be responsible for any changes regarding the conditions,

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

standards, policies, candidate handbook or exam preparation guide that were applicable before
the applicant’s case was closed. Applicants requesting their case to reopen must do so in
writing, and pay the required fees.

EXAMINATION SECURITY

A significant component of a successful and respected professional certification credential is

maintaining the security and confidentiality of the examination. PECB relies upon the ethical
behavior of certificate holders and applicants to maintain the security and confidentiality of
PECB examinations. When someone who holds PECB credentials reveals information about
PECB examination content, he or she violates the PECB Code of Ethics. PECB will take action
against individuals who violate PECB Policies and the Code of Ethics. Actions taken may
include permanently barring individuals from pursuing PECB credentials and revoking
certifications from those who have been awarded the credential. PECB will also pursue legal
action against individuals or organizations who infringe upon its copyrights, proprietary rights,
and intellectual property.

SAMPLE EXAM QUESTIONS AND POSSIBLE ANSWERS

Question 1:
For each of the following clauses of the IATF 16949 standard, please provide at least two
evidences that would be acceptable to ensure conformity to the clause.

Clause 10.2 Nonconformity and corrective actions

Possible answer:

 A documented procedure defining how to identify nonconformities and corrective

actions.
 A list of corrective actions showing the responsible person, the status and the deadline
of closing each nonconformity and corrective action.

Question 2:

Please draft a test plan to validate the conformity to clause 7.5.3.1 Control of documented
information by identifying the different applicable audit procedures (observation, documented
information review, interview, technical verification and analysis):

Possible answer:

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 PECB-820-31-IATF 16949 Lead Auditor Exam Preparation Guide

Clause 7.5.3.1 Control of documented information: Documents required by the quality

management system and by IATF 16949 shall be controlled to ensure:
a) It is available and suitable for use, where and when it is needed
b) It is adequately protected (e.g. from loss of confidentiality, improper use or loss of
integrity)
Observe how employees ensure the protection of documented
Observation information and whether those actions are consistent with the
policies and procedures that are in place within of the organization.
Review a policy on documented information management and
Documented procedures on documented information lifecycle management: their
information identification, storage, backup, protection, accessibility and
review conservation.
Interview a member of management (to confirm the policies and the
Interview organization’s needs related to documented information) and the
personnel responsible for information management and archiving (to
obtain the documented information management details).
Validate the electronic structure for classifying and storing
Technical documented information, verify the protection mechanisms in place,
verification and observe the compilation of the automated journals report.
Select documented information samples and verify if they respect
Analysis the documentation structure and policy criteria on documented
information.

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