As9104 1 changes auditing tim lee 3-12-12

Company Confidential 1

AS9104/1:The Main Changes

Tim Lee12 March 2012

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Why AS9104/1?

• Feedback from the IAQG leadership resulted in ICOP improvement projects

• Audit Process Improvements– Improved through changes in 9101:2009

– Now published as AS9101 Rev D

• Consistency of Auditor Training

– Addressed through common global Aerospace Auditor Transition Training (AATT) sanctioned by the IAQG

•All other areas are addressed through changes in the scheme requirements i.e. with the introduction of AS9104/1 published in January 2012

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Original Requirements for AS9104/1• Complete the Trilogy of 9104-series

documents, by revising AS9104

•Remove sections made redundant by the

release of AS9104/2 (Oversight) and

AS9104/3 (Auditor Training and

Qualification)

•Address the areas of ICOP concern, by

enhancing/revising topics identified in the

OPMT FMEA (e.g. audit days, multi-site, etc.)

•Upgrade to the new ISO and IAF audit docs.

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Significant Changes to AS9104/1

•AS9104/1 is a total rewrite of the original 9104 document

• From AS9104 to AS9104/1 the document increased from 30 to 49 pages

• This training focuses on major changes that deviate significantly from the AS9104 standard.

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1. Scope Significant Changes

• Introduces ICOP scheme concept

• Sets applicability to SMS, OPMT, ABs, CBs, and CBMCs

• Expands applicability to IAQG Member Companies, AABs, TPABs, TPs and organizations seeking or obtaining AQMS standard certification.

• Defines AQMS standards as 9100, 9110 and 9120

• Introduces IAQG Member recognition of supplier certification to AQMS standards

AS9104/1 Significant Changes

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2. References Significant Changes

• Updates revised ISO/IEC documents (e.g.

17011, 17021, 19011 etc.)

• Includes AS9104/2 and AS9104/3

• Updates to revised IAF (International

Accreditation Forum)documents - MD 1, MD 2,

MD 3, MD 4, MD 5, ML 4, GD 3, etc.

• Establishes equivalencies for AS, EN, JISQ,

SJAC, NBR, etc. (sector publications in USA, Europe, Japan, Japan and Brazil, etc.)


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3. Definitions Significant Changes

• Increased number of definitions from 11 to 29

• 22 new, 1 deleted, most others small changes

• Added definitions include:

- AQMS, AQMS Auditor, AAB, CBMC, ICOP, OPMT, TPAB

- Assessment, Audit, Containment, Pre-Audit, Office Assessment, Witness Audit, Witness Assessment

- Site, Certification Structures, Lead Office, Central Office, Combined Audit, Integrated management System, Organization

- Cross Frontier Accreditation


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4. General replaced with4. Requirements of the Sector Management Structure

• Defines authority for the SMS, CBMC for:

• Approving ABs for ICOP participation

• Review and recognition of accreditation of CBs

• Approval of AABs and TPABs

• Data reporting to OPMT and OASIS

• Approval, Suspension & Withdrawal of entities

• Defining Operating Procedures including a Resolutions process

• Recognition of entities approved or recognized in other sectors


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5. Accreditation Bodies Significant Changes

• Conformance to ISO 17011 and IAF ML 4

• SMS recognition of AB accreditation decisions for accredited CBs in ICOP scheme

• Enhanced detail for the CB Application and Review Process

• 9104-1 Accreditation for CBs scoped by AQMS

• Detail on OASIS entry requirements

• Surveillance requirements (new table)‒ Includes number of CB Client Files and number of Witness Assessments to be assessed annually


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5. Accreditation Bodies Significant Changes

• Closure time frames for AB Nonconformity Reports raised on CBs

• CB suspension and withdrawal process including specific conditions causing suspension

• Complaint and issue resolution process

• AAB notification for AQMS auditor competence issues

• AB personnel competence including decision-making personnel Aviation, Space & Defense (A, S & D) competence


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6. Certification Bodies Significant Changes

• Conformance to ISO 17021 and IAF Mandatory Documents (MD)

• No AQMS certificates before accreditation

• CB to maintain accreditation for ISO 9001 to keep accreditation for AQMS certification

• CB certification decisions must utilise a person with A, S or D competence

• CB Auditors must be competent per ISO/IEC 17021 and authenticated to AS9104/1 and AS9104/3 requirements

• Allow periodic Surveillance and Oversight


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• CB is responsible for ensuring data is accurately entered into OASIS

• CBs must ensure clients have an OASIS Administrator

• CBs must have a complaint / issue resolution process

• CBs Audit Program to conform to 9101, 9104 series, 17021 and applicable IAF MDs

• No CB Consultancy

• Responsibility for certificate integrity and validity


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• Rules and consequences for Suspension and Withdrawal of a CB

• CB rules for application of Advanced Surveillance and Recertification Procedures (ASRP) and Computer Aided Auditing Techniques (CAAT)

• Ensure access for audits involving areas and materials which are classified and/or export controlled

• Restrictions on clients demanding audit team changes without good reason


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7. AQMS Auditors Reference to AS9104/3

• Auditor competency detailed in AS9104/3 and is required to be demonstrated

• AAB responsibility for evaluation, authentication, and re-authentication of AQMS Auditors (both AA and AEA)

• Auditor Applicants to inform AAB of a previous rejection, suspension, or withdrawal in another SMS

• Withdrawn Auditors may NOT re-apply for 12 months in any IAQG Sector

• Consequences for not re-authenticating on time (i.e. apply more than 3 months before expiry, no application before expiry = withdrawal)


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8. Audits and Reporting Significant Changes

• Certification structures defined in Appendix B

– New: campus, several sites and complex organizations

– As before: single site and multiple site

• Eligibility criteria for each structure documented (Appendix B)

• CB and client to agree structure type

• CB to retain records of structure determination

• For Complex organization structures the CB is to refer rationale and justification to the IAQG OPMT Certification Structure Oversight Committee (CSOC) for approval


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• Minimum audit days

– New Audit Day Table

– NO reductions from Audit Day Table are allowed except as specified for ASRP, CAAT and Several Sites

– Increases to Audit Day Table are both allowed and expected

– Audit Day Table is Compliant to IAF MD 5

– New table specifies Initial, Surveillance, & Recertification Days for 9100/9110, 9100/9110 less Design, and 9120.


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• Minimum audit days (continued …)

– Audit Day Table DOES NOT include Non-Audit Time (travel, meals, extended breaks, etc.)

– Audit Day Table DOES NOT include Auditor Time for Audit Planning, Writing of Reports, Filling Out 9101 Forms, etc.

– Justification for audit days required to be documented

– Extra time for correction and corrective action verification, use of translators, etc.

– Method for calculation of audit days set for each certification structure type


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– Audit Days - Audit Day is 8 Hours

– Working longer is still counted as 8 hours

– (cannot do 4 days of 10 hrs to equal 40 hours)

– Must audit ALL working shifts

– Shift auditing still meets 8 hour daily limitation

– If work less than 8 hours per day add extra days to compensate to maintain on-site duration

– If stage 1 required at recertification, audit time is to be added


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– Requirements for auditing management systems with multiple AQMS applicability

– Multiple AQMS additional minimum audit days based on level of integration of activities and processes

» >80% integrated = Fully Integrated = +15%

» >50% to 80% integrated = Partially Integrated = +30%

» <50% integrated = Not Integrated

� Audit duration is independent from each other i.e. add 100% table 2 for headcount for additional AQMS standard.

• Audit Team Leader to be on one site and an AEA to be on site at each site throughout the whole of the audit


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• Nonconformities

– Client suspension if conformance not established within 60 days from issue of NCR

– Customer notification included where applicable

• NCRs as a minimum to be provided at closing meeting

• Complete audit report within two weeks of closing meeting

• Certified organisations to provide a copy of audit report to customers upon request


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• Transfer of AQMS certificates

– IAF MD 2 applies in full

– If transfer < 12 months before expiry full stage 1 and stage 2 audits required

– On site audit always required

• Advanced Surveillance and Recertification Procedures (ASRP)

– In accordance with IAF MD 3 requirements i.e. CB must be accredited to apply ASRP

– Reduction in on-site audit duration not exceed 30%

– CB client internal auditors must be AA equivalent and one must be AEA equivalent to lead internal audit


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• Computer Aided Auditing Techniques (CAAT)

– IAF MD 4 applies in full

– Audit time transferred to off-site activity and is not reduced overall

– Combined CAAT and ASRP shall not reduce on-site audit time by more than 30%


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9. Oversight Reference to AS9104/2

• Combines previous chapters 9, 10 and 11

• Refers to AS9104/2 for detailed requirements

• For those conducting oversight requires ICOP Declaration Form completed and filed

• Other ICOP committee members to sign a confidentiality agreement

• Allows sharing of results with applicable AAB for determined AQMS auditor competency issues


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10. Auditor Authentication Bodies New Section

• AAB must comply with AS9104/3

• Introduces concept of auditor suspension

• AAB agrees to periodic oversight

• Must have a person with A, S or D knowledge to support AEA authentication

• Requires a management system for authentication

• Clarifies authentication only for AA and AEA

• Sets out requirements for independence of authentication decisions (i.e. no conflicts of interest)

• Auditor Complaint / Appeal Process required

• Disclosure of any previous applications, authentications or rejections


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10. Auditor Authentication Bodies New Section

• Process required for dealing with alleged auditor competency issues within 60 days

• Establishes consequences post withdrawal of auditor authentication

• Use of marks and logos

• Record retention for two authentication cycles


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11. Training Provider Approval Bodies New Section

• TPAB must comply with AS9104/3

• TPAB agrees to periodic oversight surveillance and rights of access including to TP classes

• Industry specific courses require SMS concurrence

• Oversight or approval of class = no credit for attending

• Requires TPAB to have a management system

• Sets out requirements for conflict of interest avoidance during approval decisions

• Complaint / Appeal Process required

• Consequences for withdrawal of approval

• A, S or D competence required for evaluation of industry specific training courses


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12. OASIS New Section

• OPMT has Responsibility for OASIS

• OPMT may make changes to OASIS functionality

• CB OASIS Administrators Required

• When CB accreditation withdrawn, CBs client data only visible for 6 Months

• Created a Responsibility Matrix for data correctness

• Certification structures and associations with OINs established

• The central site shall be identified for all certificated organisations in OASIS

• All entities to establish an OASIS administrator for data control / entry


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13. Requirements of the OPMT New Section

• Previously section 14 but re-titled with minor changes

• May publish resolutions to clarify 9104 requirements

• Establishes Certification Structure Oversight Sub-Committee requirements and process


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14. OASIS Feedback Process New Section

• Establishes feedback process and mechanism

• Also describes feedback to Accreditation Bodes


Certification

BodySupplier Customer

FEEDBACK - A

FEEDBACK - B

FEEDBACK - C

Audit

Product / Process

Quality

Audit Findings

Certification

BodySupplier Customer

FEEDBACK - A

FEEDBACK - B

FEEDBACK - C

Audit

Product / Process

Quality

Audit Findings

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15. Sector Management StructureMinor Changes

• Responsibility for conformance of sector

• Establishes voting rights of sector at IAQG OPMT

• Only IAQG or IAQG sector member company representatives have voting rights

• Further details suspension of a national scheme

• Adds IAQG OPMT and sector diagram


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16. Cross Frontier Policy New Section

• Enables AB operations and Oversight in countries or sectors away from home country or sector

• ABs to follow IAF GD 3

• ABs can sub-contract work to other approved ABs in other countries or Sectors

• Accrediting AB retains responsibility for the work

• OP Assessors can also sub-contract work to OP Assessors in other countries or sectors

• Subcontracting sector or CBMC retains responsibility

• Fees can be levied on CBs for Oversight outside SMS/CBMC home region


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17. Records Minor Changes

• All entities to keep records for a minimum of six years

• IAQG OPMT, EAQG OPMT and CBMCs are required to define and list records to be retained

• Rights of access to records including OASIS for oversight re-affirmed


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18. Certified Organizations New Section• Requires certified organizations to comply with AS9104

• Requires CBs to flow down requirement to certified clients

• Certified Organizations must allow CB to post Tier 1 and Tier 2 Audit Data to OASIS Database.

- Agree Tier 1 is Public Information

- Agree to provide access to Tier 2 upon request of A, S and D customers (unless justification of competition confidentiality, conflict of interest, etc.)

- Agree to Notify their A, S and D customers in case of Loss of Certification

• Shall provide ‘Right of Access’ to their facilities, people, and processes for oversight or CB review

• Failure to abide by requirements is cause for withdrawal of AQMS certification


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19. Confidentiality and Conflict of InterestNew Section

• Expanded from section 4.3 of 9104:2006

• Data collected is confidential

• Not to be shared unless agreed in writing by affected parties

• Participants to review and declare any potential or actual conflicts of interest


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20. Fees and Financials New Section

• OPMT can recommend Fees for Registration of Audit Data in the OASIS Database –

‒ to be approved by IAQG Council

• OPMT must prepare an Annual Budget

‒ Estimate Contract Labour, Meeting/Workshop Costs, Sector ICOP Projects, and OASIS Sustainment and Improvements

‒ Submit to IAQG Treasurer for approval

• SMS or CBMC fees can also be recommended but must be approved by the sector


Questions

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As9104 1 changes auditing tim lee 3-12-12

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