Company Confidential Registration Management Committee (RMC) OP Assessor Workshop San Diego, CA...

Company Confidential

OP Assessor WorkshopSan Diego, CA

January 19, 2012

Registration Management Committee (RMC)

Body Of Knowledgefor OP Assessors

Will TateTriumph Aerostructures

San Diego, CAJanuary 19, 2012


Body of KnowledgeBody of Knowledge

• Purpose of the training module:Purpose of the training module:– Training on the criteria and processes that OP Training on the criteria and processes that OP

assessors will be implementing when assessors will be implementing when performing oversight on behalf of the performing oversight on behalf of the AAQG/RMCAAQG/RMC

• Objective:Objective:– Provide OP assessors with knowledge and Provide OP assessors with knowledge and

tools to perform tools to perform effectiveeffective oversight of ABs, oversight of ABs, CBs, AABs and TPABs.CBs, AABs and TPABs.



• AS9104-1 & AS9014AS9104-1 & AS9014• AQMS Standards AS9100/9110/9120AQMS Standards AS9100/9110/9120• AS9104-2AS9104-2• AS9104-3AS9104-3• ISO 19011ISO 19011• ISO 17011ISO 17011• ISO 17021ISO 17021• ISO 17024ISO 17024• IAF Mandatory DocumentsIAF Mandatory Documents

Documents comprising BOKDocuments comprising BOK



Additional relevant documentsAdditional relevant documents

• ““Official ISO 9001 Interpretations”Official ISO 9001 Interpretations”• ISO 9001 Auditing Practices Group papersISO 9001 Auditing Practices Group papers• Accreditation Auditing Practices GroupAccreditation Auditing Practices Group

paperspapers

• AB specific documentsAB specific documents• IAQG Supplemental Rules Doc – SR001IAQG Supplemental Rules Doc – SR001• IAQG Resolutions logIAQG Resolutions log



Where to obtain the documentsWhere to obtain the documents

• All AS documents and ISO standards are copyrightedAll AS documents and ISO standards are copyrighted

• AS documents can be purchased from www.sae.orgAS documents can be purchased from www.sae.org

• ISO Standards can be purchased from several places, ISO Standards can be purchased from several places, such as the ASQ website, ANSI webstore or www.iso.ch such as the ASQ website, ANSI webstore or www.iso.ch

• The IAF Mandatory documents can be downloaded for The IAF Mandatory documents can be downloaded for free from www.iaf.nu free from www.iaf.nu

• OP Assessors MUST bring the relevant documents to OP Assessors MUST bring the relevant documents to the assessmentsthe assessments



Links to the available documents.Links to the available documents.• IAF Mandatory documentsIAF Mandatory documents• IAQG Resolutions logIAQG Resolutions log• ANAB Accreditation Manual, MA 6000ANAB Accreditation Manual, MA 6000• ISO Auditing Practices GroupISO Auditing Practices Group• Accreditation Auditing Practices GroupAccreditation Auditing Practices Group• Supplemental Rules Document SR001Supplemental Rules Document SR001



RememberRemember

• It is the OEM’s responsibility to gain It is the OEM’s responsibility to gain access to these standards; standards are access to these standards; standards are not provided by the AB or CB. not provided by the AB or CB.

• OP Assessors must read and familiarize OP Assessors must read and familiarize themselves with the applicable parts of themselves with the applicable parts of the Standards prior to the oversight the Standards prior to the oversight assessments. assessments.



Applicability Applicability

AS9104 AS9014 AS9104-2 AS9104-3AQMS Stds

ISO 17021

ISO 17011

ISO 17024

ISO 19011

IAF Docs

AB X X X X X X

CB X X X X X X X X

AAB X X X X X

TPAB X X X X X



CB Office AssessmentCB Office Assessment




CB Office AssessmentCB Office Assessment• Gather objective evidence that the CB is competent Gather objective evidence that the CB is competent

and conforms to the relevant standard(s) and other and conforms to the relevant standard(s) and other requirements for accreditation.requirements for accreditation.

ISO 17011 (7.7.2)ISO 17011 (7.7.2)

• OP Assessor to Focus on AS specific elements as they relate OP Assessor to Focus on AS specific elements as they relate to:to:– Impartiality - Impartiality - ISO 17021 (5.2)ISO 17021 (5.2)– Management - Management - ISO 17021 (5, 6, 7)ISO 17021 (5, 6, 7)– Inclusion of AS in internal audits & management review- Inclusion of AS in internal audits & management review-

ISO 17021, AS9104ISO 17021, AS9104– Review AS complaints - Review AS complaints - ISO 17021, AS9104ISO 17021, AS9104– Effective closure of previously issued aerospace related Effective closure of previously issued aerospace related

findingsfindings– File ReviewFile Review



CB Office AssessmentCB Office Assessment• Main activity by OP Assessor – Main activity by OP Assessor – File ReviewFile Review

– Registration, surveillance, re-certification process - Registration, surveillance, re-certification process - ISO ISO 17021 (9)17021 (9)

– Competency (qualifications) of audit team - Competency (qualifications) of audit team - AS9104 (7, 8.1), AS9104 (7, 8.1), AS9104-3, ISO 17021 (7)AS9104-3, ISO 17021 (7)

– Citation of findings (by CB) – Citation of findings (by CB) – AS9104 (8.3), ISO 17021 (9)AS9104 (8.3), ISO 17021 (9)– Appropriate resolution of findings – Appropriate resolution of findings – AS9104 (8.3), ISO AS9104 (8.3), ISO

17021 (9)17021 (9)– Reporting – Reporting – AS9104 (8.4), ISO 17021 (9)AS9104 (8.4), ISO 17021 (9)– Certification decisions (including competency of reviewers) Certification decisions (including competency of reviewers)

– – AS9104 (8.6), ISO 17021 (7, 9)AS9104 (8.6), ISO 17021 (7, 9)– OASIS – OASIS – AS9104AS9104– Proper site structure determination (New AS9104-1)Proper site structure determination (New AS9104-1)



CB Office AssessmentCB Office Assessment

• A critical aspect is the audit timeA critical aspect is the audit time– Correct audit duration – Supplemental Rule (SR 001: 7e, k) or Correct audit duration – Supplemental Rule (SR 001: 7e, k) or

AS9104-1: table 2/3 when publishedAS9104-1: table 2/3 when published– Multi-site – Multi-site – AS9104 (8.2.3), IAF Guidance to Guide 62 (Annex 3)AS9104 (8.2.3), IAF Guidance to Guide 62 (Annex 3)

• AS9104-1 Table 3 – when publishedAS9104-1 Table 3 – when published– Competency of staff – Competency of staff – AS9104, ISO 17021 (7)AS9104, ISO 17021 (7)– ASRP / CAAT Process(es) approved by AB if applicable (IAF ASRP / CAAT Process(es) approved by AB if applicable (IAF

MD 3/MD 4)MD 3/MD 4)• Max reduction of 30% from AS9104-1 table 2 valuesMax reduction of 30% from AS9104-1 table 2 values

• OPMT assessors must understand IAF Mandatory OPMT assessors must understand IAF Mandatory Document 5 and the auditor-days estimation process. Document 5 and the auditor-days estimation process. – Supplemental Rules SR 001, Section 7e, kSupplemental Rules SR 001, Section 7e, k– New AS9104-1 Tables 2 and 3, New AS9104-1 Tables 2 and 3,



Audit Time Determination process: AS91XX:2009Audit Time Determination process: AS91XX:2009

• Surveillance TransitionSurveillance Transition– 50% of initial audit day from IAF MD-550% of initial audit day from IAF MD-5– Add 100% of initial audit day from AS9104 table 2Add 100% of initial audit day from AS9104 table 2

• Recertification TransitionRecertification Transition– 80% of initial audit day from IAF MD-580% of initial audit day from IAF MD-5– Add 100% of initial audit days from AS9104 table 2. Add 100% of initial audit days from AS9104 table 2. – CB is required to have documented justification for any CB is required to have documented justification for any

time (plus or minus) the table.time (plus or minus) the table.



Additional time per AS9104Additional time per AS9104



Audit Time Determination process: AS91XX:2009 Audit Time Determination process: AS91XX:2009 (con’t)(con’t)

• CB to determine any additional audit days required to CB to determine any additional audit days required to assess to AS91XX:2009assess to AS91XX:2009

• CB must have documented justification for audit daysCB must have documented justification for audit days– Justification for increasing/decreasing audit daysJustification for increasing/decreasing audit days

• Complexity of productComplexity of product

• Maturity of QMSMaturity of QMS

• Complexity of business, etc.Complexity of business, etc.

– AS9104-1 Tables 2/3 (when published)AS9104-1 Tables 2/3 (when published)



““Upgrade audits”Upgrade audits”



Another critical issue – Multi-siteAnother critical issue – Multi-site

• AS9104, paragraph 8.2.3AS9104, paragraph 8.2.3

• IAQG Resolution # 76IAQG Resolution # 76

• Changing with the rewrite of AS9104Changing with the rewrite of AS9104– Refer to table 3 in new AS9104-1 for Refer to table 3 in new AS9104-1 for

audit frequencyaudit frequency



CB Witness AssessmentCB Witness Assessment





• SilentlySilently gather objective evidence that gather objective evidence that the CB is competent and conforms to the CB is competent and conforms to the relevant standard(s) and other the relevant standard(s) and other requirements for accreditation.requirements for accreditation.

ISO 17011 (7.7.2)ISO 17011 (7.7.2)



CB Witness AssessmentCB Witness AssessmentFocus on:Focus on:• Opening and closing meeting (and team caucuses)Opening and closing meeting (and team caucuses)

ISO 17021 (9)ISO 17021 (9)

• Audit days and audit efficiency, effectivenessAudit days and audit efficiency, effectivenessAS9104 (8.2), ISO 19011 (6.5), IAF Guidance to Guide 62, Annex 2AS9104 (8.2), ISO 19011 (6.5), IAF Guidance to Guide 62, Annex 2

• CB’s audit team’s competency to perform audit CB’s audit team’s competency to perform audit • Including knowledge of standards, industry, regulatory Including knowledge of standards, industry, regulatory

requirements and interpretationsrequirements and interpretations• Including CB’s process for assigning audit teamIncluding CB’s process for assigning audit team

AS9104 (7, 8), AS9104- 3, ISO 17021 (7)AS9104 (7, 8), AS9104- 3, ISO 17021 (7)

• Certificate accuracyCertificate accuracyISO 17021 (8) ISO 17021 (8)




KEYKEY Focus: Focus:

• Audit depth and trails to the AQMS Audit depth and trails to the AQMS Standard (e.g. AS9100)Standard (e.g. AS9100)AQMS (e.g. AS9100)AQMS (e.g. AS9100)

AS9104 (8), ISO 19011 (6.5), IAF Guidance to Guide AS9104 (8), ISO 19011 (6.5), IAF Guidance to Guide 6262

• OP Assessor must complete all applicable OP Assessor must complete all applicable AS9104-2 appendices (J, K, etc)AS9104-2 appendices (J, K, etc)



For AB, AAB & TPAB Oversight see For AB, AAB & TPAB Oversight see Presentation AttachedPresentation Attached

AB AAB TPCB Presentation



Burning questionsBurning questions

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