AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 1 9104-1 ’Requirements for Aviation, Space, and Defense Quality Management

AAQG Council, RMC, & AAQSC MeetingsDoubletree Suites, Charlotte NCSept 14-17, 2009

11

9104-19104-1’Requirements for Aviation, Space, and ’Requirements for Aviation, Space, and Defense Quality Management System Defense Quality Management System

Certification Programs’Certification Programs’

Prepared and Presented byPrepared and Presented by

Michael C. Roberts, Michael C. Roberts, Boeing Technical FellowBoeing Technical Fellow

AAQG Council, RMC, and AAQSC MeetingsAAQG Council, RMC, and AAQSC Meetings

Charlotte, North CarolinaCharlotte, North Carolina

September 14 - 17, 2009September 14 - 17, 2009


22

Caveat EmptorCaveat Emptor

Note: The 9104/1 Standard Has Neither Been Balloted Nor Published. Therefore, All Information Contained

Herein Is Considered “Proposed” and “Subject to Change”


33

The 9104 TRILOGYThe 9104 TRILOGY

9104

Training and Qualification

Oversight Activity

General Requirements

-1

-2 -3


44

9104-1 9104-1 InternationalInternational Re-write Team Re-write TeamRoll Name Sector Representing Company

Team Leader Mike Roberts AAQG OPMT Boeing

Team Sponsor Rick Downs AAQG OPMT Chair Cessna

Team Member Tim Lee AAQG OPMT Boeing

Team Member Vince May AAQG OPMT Honeywell

Team Member Rich Vinton AAQG RMC / AAQG Raytheon

Team Member Mike Gallagher AAQG OPMT Lockheed

Team Member Patrice Bleau AAQG RMC Bombardier

Team Member Reg Blake AAQG CBs IAAR

Team Member Lori Scheid-Gillespie AAQG ABs ANAB

Team Member Gualtiero Arsento EAQG OPMT Alenia

Team Member Herbert Mairose EAQG OPMT Airbus

Team Member Ian Folland EAQG ABs UKAS

Team Member Hans Luuijt EAQG OASIS ASD

Team Member Giuseppe Leoni EAQG OPMT Agusta Westand

Team Member Tamaki Nishio APAQG OPMT IHI

Team Member Akihiro Iguro APAQG MHI

Team Member Shuji Komori APAQG JRMC FHI

SAE Editor Jeff Wood AAQG SAE SAE


55

New Audit Day Table New Audit Day Table (partial)(partial)

InitialAnnual

SurveillanceRecertification Initial

Annual Surveillance

Recertification InitialAnnual

SurveillanceRecertification

1-5 2.0 1.0 2.0 2.0 1.0 1.5 2.0 1.0 1.56-10 2.5 1.0 2.0 2.5 1.0 2.0 2.0 1.0 1.511-15 3.0 1.5 2.5 2.5 1.0 2.0 2.5 1.0 2.016-25 3.5 1.5 3.0 3.0 1.5 2.5 3.0 1.5 2.026-45 5.0 2.0 4.0 4.5 2.0 3.5 4.0 2.0 3.046-65 6.0 2.5 4.5 5.0 2.0 4.0 4.5 2.0 3.566-85 7.0 3.0 5.5 6.0 2.5 4.5 5.5 2.5 4.0

86-100 8.0 3.0 6.0 7.0 3.0 5.0 6.0 2.5 4.5101-125 8.5 3.5 6.5 7.5 3.0 5.5 6.5 3.0 5.0126-175 9.5 4.0 7.0 8.0 3.5 6.0 7.5 3.0 5.5176-275 10.5 4.0 8.0 9.0 3.5 6.5 8.0 3.5 6.0276-425 12.0 5.0 9.0 10.0 4.5 7.5 9.0 4.0 7.0426-625 13.0 5.5 9.5 11.0 4.5 8.0 10.0 4.5 7.5626-875 14.0 5.5 10.5 12.0 5.0 8.5 10.5 4.5 8.0

876-1000 15.0 6.0 11.0 12.5 5.0 9.0 11.5 5.0 8.51001-1175 16.0 6.5 12.0 13.5 5.5 10.0 12.5 5.5 9.51176-1550 17.0 7.0 12.5 14.5 6.0 11.0 13.0 5.5 10.01551-2025 18.0 7.0 13.5 15.0 6.0 11.5 13.5 5.5 10.52026-2675 19.0 7.5 14.0 16.0 6.5 12.0 14.5 6.0 11.0

Number of Employees

9100 / 9110 9100 / 9110 Less Design (7.3) 9120


Section 8.2

Duration of the Audit

a. The minimum duration for initial, surveillance, and recertification audits are shown in Table 2. No reductions from Table 2 audit duration days are allowed for the ICOP scheme. Increases to the audit duration days are allowed and expected for areas with identified risk, complexity, or increased scope.


Section 8.2 (continued)• 8.2.2 Audit Day Activity Requirements• a. Audit time in Table 2 includes Stage 1 and Stage 2

activities. Table 2 represents minimum on-site audit time from the opening meeting to the closing meeting.

• b. Table 2 audit time does not include non-audit time (e.g., travel, meals, extended break times).

• c. Table 2 is for on-site audit time only. Table 2 does not include auditor time used for planning, report writing, and/or completion of the 9101 forms.

• d. An audit day is a normal working day of eight hours. The number of audit days cannot be reduced by programming longer hours per workday (e.g., five audit days of eight hours cannot be executed as four audit days of ten hours).

• e. Auditing of the entire AQMS standard on all shifts is required for initial and recertification. For surveillance audits, the planning shall include coverage of multiple shifts.

• f. Shift auditing whereby a longer day is planned; cannot reduce required audit days.


Section 8.4

8.4 Audit Team Conclusions and Reporting– The audit team leader shall provide the

organization with all nonconformity reports at the closing meeting. The audit team leader shall present the audit report to the organization within two weeks of the closing meeting using the audit report and associated forms defined in 9101. As a minimum, the audit report shall state its conclusions on conformity, effectiveness of the quality management system to the AQMS standard’s requirements, and the objectives established for the audit in accordance with 9101.


99

New Multiple Site Certification CategoriesNew Multiple Site Certification Categories

Category Organization Scope Audit Frequency

Note: See Table 2 for audit day calculations.

1

Meets the eligibility requirements of IAF MD 1 for sampling;

and

Does not meet the eligibility requirements of IAF MD 3 for advanced surveillance.

Annual Surveillance - Years 1 and 2

Year 1 - Central function and approximately 50% of sites

Year 2 – Central function and remaining sites not audited in year 1

Re-certification – Year 3 – Central function and all sites

2


and

Meets the eligibility requirements of IAF MD 3 for advanced surveillance.

Annual Surveillance and Re-certification

Year 1 - Central function and approximately 33% of the sites

Year 2 - Central function and approximately 50% of the sites not reviewed in year 1

Year 3 – Central function and remaining sites not reviewed in year 1 or 2

Audit plan shall ensure that the maximum duration between each site’s audit is not greater then 48 months.


New Oversight Requirements5.3.3 Certification Body Accreditation Surveillance and RecertificationFor surveillance and recertification of the CB accreditation to provide AQMS certification, the AB’s management system shall ensure, at a minimum, the required assessment activities defined in Table 1 are conducted, including:

Number of AQMS Sites Certified by a CB*

Minimum Number of CB Client Files to be Reviewed Annually*

Number of Annual Witness Assessments*

1-3 All client files 1

4-25 3 1

26-50 5 1

51-90 6 2

91-150 7 2

151-280 10 3

281-500 11 4

501-1200 15 5

1201-3200 18 6


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Submit for OPMT / Sector Review

AAQG & IAQG Meeting

Challenge by EAQG - Audit Table

SWG Meeting

Challenge by EAQG - Multi-site

RMC Auditor Workshop

Challenge by APAQG - Audit Day / ASRP

Final Document Clean-Up

SAE Editor

Send To Sectors for Formal Review

Formal Review by Sectors

AAQG & IAQG Meeting

Review / Implement Comments

Send To Sectors for Ballot

Ballot

Americas and Asia

Asia

Europe

Review Ballot Comments

Send to Sectors for Final Approval

Publish Europe and Americas

Publish Asia

Implementation 1 2 31111

Revised Schedule


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SAE Editor



AAQG & IAQG Meeting



Ballot

Americas and Asia

Asia

Europe




Publish Asia

Implementation 1 2 3


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Publish Asia

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1414

9100/9101/9104-1 Transition Plan (Proposed)9100/9101/9104-1 Transition Plan (Proposed)

9101 Release

OPMT Training

Go-Ahead

Estimated6 Months

Estimated8 Months

Proposed12 Months

DevelopAuditorTraining

Training of Certification Bodies and

Auditors

All Companies MustUpgrade to New StandardAt Next Surveillance Audit

Or Re-Certification

Earliest Opportunityfor Certification to

New Standard(i.e. the early adopters)

MaximumAllowedTime toUpgrade

Release of

9104/1


9104/1 Section Implementation

Section 60 days Extended Implementation3 YY As applicable (ie. Single Site)

4 YY

5 Y 5.3.3 5.3 f (OASIS change)

6 Y 6.5 L As applicable

7 YY

8 Y 8.2 Applicable in 2010 – Mandatory upon transition to 9100:2009

9 YY

10 Evidence of approval in 2010, Evidence of oversight in 2011

11 Evidence of approval in 2010, Evidence of oversight in 2011

12 YY

13 YY

14 YY YY = Complete Section

15 YY Y = Partial Section

16 YY

17 YY

18 YY

19 YY

Appx A Y Mandatory in full upon transition to 9100:2009


1616

9104/1 Transition Plan (Proposed)9104/1 Transition Plan (Proposed)

9104/1 Release

Est.1/1/12

All New Contracts Should BeWritten to the New AuditorTime Tables and 9104/1

Requirements

MaximumAllowedTime toUpgrade

9104/1Ballot

~ 5

Months

2

Months

Proposed

12 Months

Existing Contracts Must BeChanged to Meet 9104/1

At Next Audit (I,S,R)

All ABs & CBs Must Be Compliant to New 9104/1,

Except Audit Day Times and M/S

6

Months


1717

QUESTIONS?QUESTIONS?

Inte

rrogaç

ão?

Poser une

Poser une

question?

question?


1818

Back-upBack-up

Detailed Presentation Detailed Presentation from from

Auditor WorkshopAuditor Workshop


1919





2020





2121

In the beginning …In the beginning …

… … so he asked for OASISso he asked for OASISBut man was not satisfied …But man was not satisfied …

… … and everything was right and proper and everything was right and proper in the aerospace world. in the aerospace world.

There was AIR 5359 …There was AIR 5359 …

… … and surveillanceand surveillance… … and ICOP.and ICOP.

And the ABs, CBs and Auditors And the ABs, CBs and Auditors multiplied.multiplied.


2222

So, 9104 was born !So, 9104 was born !

… … so he asked for a separate Surveillance doc,so he asked for a separate Surveillance doc,But man was still not satisfied …But man was still not satisfied …

… … and became the standard from which and became the standard from which the Aerospace Industry managed ICOP. the Aerospace Industry managed ICOP.

It was Internationally harmonized …It was Internationally harmonized …

… … and a separate Training and Qualification doc,and a separate Training and Qualification doc,… … and wanted a number of topics redefined.and wanted a number of topics redefined.

And thus, the 9104 Trilogy was created.And thus, the 9104 Trilogy was created.


2323

The 9104 TRILOGYThe 9104 TRILOGY

9104

Training and Qualification

Oversight Activity

General Requirements

-1

-2 -3


2424

History of 9104-series Releases:History of 9104-series Releases:

• AS9104AAS9104A Jan 2005Jan 2005– Quality Management System Certification/Registration Quality Management System Certification/Registration

ProgramsPrograms

• AS9014AS9014 July 2006July 2006– AAQG Requirements for AQMS Certification/Registration AAQG Requirements for AQMS Certification/Registration

ProgramsPrograms

• AS9104-2AS9104-2 Mar 2007Mar 2007– Oversight of Aerospace QMS Registration/Certification Oversight of Aerospace QMS Registration/Certification

ProgramsPrograms

• AS9104-3AS9104-3 Mar 2007Mar 2007– Aerospace Auditor Competency and Training ProgramsAerospace Auditor Competency and Training Programs

• AS9104-1AS9104-1 Est. 1Q2010Est. 1Q2010– Aviation, Space and Defense QMS Certification ProgramsAviation, Space and Defense QMS Certification Programs


2525

Today’s Game PlanToday’s Game Plan

• International Team ApproachInternational Team Approach

• Review of Changes to 9104-1Review of Changes to 9104-1 – High Level Changes Per ChapterHigh Level Changes Per Chapter– Discuss Audit Day TableDiscuss Audit Day Table– Discuss Multiple Site CertificationsDiscuss Multiple Site Certifications

• What’s NextWhat’s Next– Schedule / PredictionsSchedule / Predictions

• Questions ?Questions ?


2626

9104-1 9104-1 InternationalInternational Re-write Team Re-write TeamRoll Name Sector Representing Company

Team Leader Mike Roberts AAQG OPMT Boeing

Team Sponsor Rick Downs AAQG OPMT Chair Cessna

Team Member Tim Lee AAQG OPMT Boeing

Team Member Vince May AAQG OPMT Honeywell

Team Member Rich Vinton AAQG RMC / AAQG Raytheon

Team Member Mike Gallagher AAQG OPMT Lockheed

Team Member Patrice Bleau AAQG RMC Bombardier

Team Member Reg Blake AAQG CBs IAAR

Team Member Lori Scheid-Gillespie AAQG ABs ANAB

Team Member Gualtiero Arsento EAQG OPMT Alenia

Team Member Herbert Mairose EAQG OPMT Airbus

Team Member Ian Folland EAQG ABs UKAS

Team Member Hans Luuijt EAQG OASIS ASD

Team Member Giuseppe Leoni EAQG OPMT Agusta Westand

Team Member Tamaki Nishio APAQG OPMT IHI

Team Member Akihiro Iguro APAQG MHI

Team Member Shuji Komori APAQG JRMC FHI

SAE Editor Jeff Wood AAQG SAE SAE


2727

Chapters, Book Bosses, Etc.Chapters, Book Bosses, Etc.

# Chapter TitleBookBoss Chapter Team Status

Rationale Mike R Complete

Foreward Mike R Complete

Table of Contents Jeff W SAE Editor

1 Scope Rick D Tim L, Vince M, Gualtiero A Complete

2 References Tim L Ian F, Hans L Complete

3 Definitions Lori S-G Gualtiero A Complete

4 Requirements for Sector Management Structure Mike R Complete

5 Requirements for Accreditation Bodies Ian F Lori S-G, Gualtiero, Mike G Complete

6 Requirements for Certification Bodies Tim L Reg B, Ian F, Hans L Complete

7 Requirements for Auditors Gualtiero A Complete

8 Requirements for Audits and Reporting Rick DHans L, Vince M, Tim L, Tamaki N, Ian F, Reg B Complete

9 Requirements for Oversight Tamaki N Tim L Complete

10 Requirements for Auditor Authentication Bodies Mike G Complete

11 Requirements for Training Provider Approval Bodies Mike G Complete

12 Online Aerospace Supplier Information System Hans L Jay M, Mike R Complete


2828

Chapters, Book Bosses, Etc. Chapters, Book Bosses, Etc. (continued)(continued)

# Chapter TitleBookBoss Chapter Team Status

13 Other Party Management Team Rick D Complete

14 Feedback Process Hans L Complete

15 Sector Management Structure Tim L Tamaki N, Herbert M Complete

16 Cross Frontier Policy for 9104/2 Oversight Ian F Ian F, Reg B, Tim L, Tamaki N Complete

17 Records Tim L Tim L Complete

18 Requirements for Certified Organizations Complete

19 Fees and Financials Mike R Complete

A Appendix - Information for OASIS Database Hans L Reg B Complete

B Appendix - Change Procedure for OASIS Hans L Cancel

C Appendix - Process Flows Reg B Cancel


2929

Significant Changes to 9104-1Significant Changes to 9104-1

Note: 9104-1 is a total rewrite of the original 9104 document. This

presentation will only focus on the major changes that deviate

significantly from the past standard and implementation practices.


3030

Changes to 9104-1Changes to 9104-1 (C 1)(C 1)

• 1. Scope1. Scope significant changessignificant changes

– Introduces ICOPIntroduces ICOP– Sets Applicability to SMS, OPMT, ABs, CBs, Sets Applicability to SMS, OPMT, ABs, CBs,

and CBMCsand CBMCs– Expands Applicability to IAQG Member Expands Applicability to IAQG Member

Companies, AABs, TPABs, etc.Companies, AABs, TPABs, etc.– Defines AQMS as 9100, 9110, & 9120Defines AQMS as 9100, 9110, & 9120– Sets Confidentiality ExpectationsSets Confidentiality Expectations


3131


• 2. References2. References significant changessignificant changes

– Upgrades to the New ISO/IEC DocumentsUpgrades to the New ISO/IEC Documents• 17011, 17021, etc.17011, 17021, etc.

– Upgrades to the New IAF DocumentsUpgrades to the New IAF Documents• MD 1, MD 2, MD 3, MD 4, MD 5, ML 4, GD 3, etc.MD 1, MD 2, MD 3, MD 4, MD 5, ML 4, GD 3, etc.

– References IAQG ProceduresReferences IAQG Procedures– Establishes Equivalencies for AS, EN, JISQ, Establishes Equivalencies for AS, EN, JISQ,

SJAC, NBR, etc. (sector publications)SJAC, NBR, etc. (sector publications)


3232


• 3. Definitions3. Definitions significant changessignificant changes– Increased # of Definitions from 11 to 27Increased # of Definitions from 11 to 27

• 17 new, 1 deleted, most others slight changes17 new, 1 deleted, most others slight changes

– Added Definitions forAdded Definitions for• AQMS, AAB, CBMC, ICOP, OPMT, TPABAQMS, AAB, CBMC, ICOP, OPMT, TPAB• Assessment, Audit, Containment, Pre-Audit, Assessment, Audit, Containment, Pre-Audit,

Office Assessment, Witness Audit, Witness Office Assessment, Witness Audit, Witness AssessmentAssessment

• Multiple Site Organization, Single Site Multiple Site Organization, Single Site Organization, Head OfficeOrganization, Head Office

• Cross FrontierCross Frontier


3333


• 4. General4. General replaced withreplaced with

• 4. Requirements for Sector Mgt Structure4. Requirements for Sector Mgt Structure– Defines authority for the SMS, CBMC forDefines authority for the SMS, CBMC for

• Review and Recognition of ABs, Accreditation of CBsReview and Recognition of ABs, Accreditation of CBs• Review and Recognition of AABs and TPABsReview and Recognition of AABs and TPABs• Data Reporting to OPMT and OASIS Data Reporting to OPMT and OASIS • Approval, Suspension and Withdraw of EntitiesApproval, Suspension and Withdraw of Entities• Defining a Process for ResolutionsDefining a Process for Resolutions• Define and Enforce impartiality / Conflict of InterestDefine and Enforce impartiality / Conflict of Interest


3434

Changes to 9104-1Changes to 9104-1 (C 5a)(C 5a)

• 5. Accreditation Bodies5. Accreditation Bodies significant significant changeschanges– Defines requirements for Defines requirements for

• Conformance to ISO 17011 and IAF ML 4Conformance to ISO 17011 and IAF ML 4• AB Personnel Aviation ExperienceAB Personnel Aviation Experience• CB Application and Review Process CB Application and Review Process • Scope of AccreditationScope of Accreditation• Right of Access Right of Access • Surveillance Requirements (new table)Surveillance Requirements (new table)

– # of CB Client Files to be Reviewed Annually# of CB Client Files to be Reviewed Annually– # of Witness Assessments# of Witness Assessments


3535

Changes to 9104-1Changes to 9104-1 (C 5b)(C 5b)

• 5. Accreditation Bodies 5. Accreditation Bodies (cont.)(cont.) significant changessignificant changes

– Defines requirements for Defines requirements for (continued)(continued)

• Auditor CompetencyAuditor Competency• Marks and Logo UseMarks and Logo Use• Suspension and Withdrawal Process Suspension and Withdrawal Process • Closure of NonconformitiesClosure of Nonconformities• Records RetentionRecords Retention• Complaint/Issue Resolution ProcessComplaint/Issue Resolution Process• Personnel / Assessor Team RequirementsPersonnel / Assessor Team Requirements


3636


• 6. Certification Bodies6. Certification Bodies significant changessignificant changes– Defines requirements forDefines requirements for

• Conformance to ISO 17021 and IAF MD & ML DocsConformance to ISO 17021 and IAF MD & ML Docs• CB Maintaining ISO 9001 AccreditationCB Maintaining ISO 9001 Accreditation• CBs Audit Program Must Conform to 9101CBs Audit Program Must Conform to 9101• CBs Certification Function Must Have a Person with CBs Certification Function Must Have a Person with

Aviation, Space, or Defense competenceAviation, Space, or Defense competence• CB Auditors Must Be Competent and Authenticated to CB Auditors Must Be Competent and Authenticated to

ISO/IEC 17021, 9104/3, and this standardISO/IEC 17021, 9104/3, and this standard• Periodic Surveillance and OversightPeriodic Surveillance and Oversight• CB is Responsible for Ensuring Data is Accurately CB is Responsible for Ensuring Data is Accurately

Entered Into OASISEntered Into OASIS


3737


• 6. Certification Bodies 6. Certification Bodies (cont.)(cont.) significant changessignificant changes

– Defines requirements for Defines requirements for (continued)(continued)

• CBs Must Have an OASIS AdministratorCBs Must Have an OASIS Administrator• CBs Must Have a Complaint/Resolution ProcessCBs Must Have a Complaint/Resolution Process• CBs Audit Program Must Conform to 9101CBs Audit Program Must Conform to 9101• NO CB ConsultancyNO CB Consultancy• Responsibility for Integrity and Validity of CertificatesResponsibility for Integrity and Validity of Certificates• CB Suspension and WithdrawalCB Suspension and Withdrawal• CB Rules for ASRP and CAATCB Rules for ASRP and CAAT• Audits Involving Areas and Materials Which Are Audits Involving Areas and Materials Which Are

Classified and/or Export Controlled Classified and/or Export Controlled


3838


• 7. Auditors7. Auditors reference to reference to 9104/39104/3– Re-states (simplified) requirements forRe-states (simplified) requirements for

• Auditor Competency Detailed in 9104/3Auditor Competency Detailed in 9104/3• Responsibility for Evaluation, Authentication, and Responsibility for Evaluation, Authentication, and

Re-Authentication of AQMS AuditorsRe-Authentication of AQMS Auditors• ““Auditors Authenticated in One IAQG Sector Shall Auditors Authenticated in One IAQG Sector Shall

Be Recognized by the Other Sectors”Be Recognized by the Other Sectors”• Withdrawn Auditors May NOT Re-Apply for 12 Withdrawn Auditors May NOT Re-Apply for 12

Months in Any IAQG Sector Months in Any IAQG Sector


3939


• 8. Audits and Reporting8. Audits and Reporting significant changessignificant changes– Defines requirements …Defines requirements …

• Audit Team Leader Must Be an AEA and Be On-Site and Audit Team Leader Must Be an AEA and Be On-Site and Participating in All Audits, Including Multi-siteParticipating in All Audits, Including Multi-site

• Audit Team Leader Shall Be Limited to a Maximum of Audit Team Leader Shall Be Limited to a Maximum of Two Consecutive Certification Cycles at Same ClientTwo Consecutive Certification Cycles at Same Client

• Audit Team Leader Must Provide Nonconformity Audit Team Leader Must Provide Nonconformity Reports (re. 9101) at the Closing MeetingReports (re. 9101) at the Closing Meeting

• Cannot Issue Certification or Re-Certification Until …Cannot Issue Certification or Re-Certification Until …– All Major and Minor Nonconformities Have Been Contained, All Major and Minor Nonconformities Have Been Contained,

Satisfactorily Corrected with Root Cause Analysis, Corrective Satisfactorily Corrected with Root Cause Analysis, Corrective Action Has Been Implemented, Reviewed, Accepted, and Action Has Been Implemented, Reviewed, Accepted, and Verified by the CB. Verified by the CB.


4040


• 8. Audits and Reporting 8. Audits and Reporting (cont.)(cont.) significant changessignificant changes

– Defines requirements Defines requirements (continued)(continued) … …• Duration of AuditDuration of Audit

– New Audit Day TableNew Audit Day Table– NO Reductions From Audit Day Table Is AllowedNO Reductions From Audit Day Table Is Allowed– Increases To Audit Day Table Is Allowed and ExpectedIncreases To Audit Day Table Is Allowed and Expected– Table is Compliant to IAF MD 5Table is Compliant to IAF MD 5– New Table Specifies Initial, Surveillance, & Recertification New Table Specifies Initial, Surveillance, & Recertification

Days for 9100/9110, 9100/9110 Less Design, and 9120.Days for 9100/9110, 9100/9110 Less Design, and 9120.– Audit Day Table DOES NOT Include Non-Audit Time (travel, Audit Day Table DOES NOT Include Non-Audit Time (travel,

meals, breaks, etc.)meals, breaks, etc.)– Audit Day Table DOES NOT Include Auditor Time for Audit Audit Day Table DOES NOT Include Auditor Time for Audit

Planning, Writing of Reports, Filling Out 9101 Forms, etc. Planning, Writing of Reports, Filling Out 9101 Forms, etc.


4141

New Audit Day Table New Audit Day Table (partial)(partial)

InitialAnnual

SurveillanceRecertification Initial

Annual Surveillance

Recertification InitialAnnual

SurveillanceRecertification

1-5 2.0 1.0 2.0 2.0 1.0 1.5 2.0 1.0 1.56-10 2.5 1.0 2.0 2.5 1.0 2.0 2.0 1.0 1.511-15 3.0 1.5 2.5 2.5 1.0 2.0 2.5 1.0 2.016-25 3.5 1.5 3.0 3.0 1.5 2.5 3.0 1.5 2.026-45 5.0 2.0 4.0 4.5 2.0 3.5 4.0 2.0 3.046-65 6.0 2.5 4.5 5.0 2.0 4.0 4.5 2.0 3.566-85 7.0 3.0 5.5 6.0 2.5 4.5 5.5 2.5 4.0

86-100 8.0 3.0 6.0 7.0 3.0 5.0 6.0 2.5 4.5101-125 8.5 3.5 6.5 7.5 3.0 5.5 6.5 3.0 5.0126-175 9.5 4.0 7.0 8.0 3.5 6.0 7.5 3.0 5.5176-275 10.5 4.0 8.0 9.0 3.5 6.5 8.0 3.5 6.0276-425 12.0 5.0 9.0 10.0 4.5 7.5 9.0 4.0 7.0426-625 13.0 5.5 9.5 11.0 4.5 8.0 10.0 4.5 7.5626-875 14.0 5.5 10.5 12.0 5.0 8.5 10.5 4.5 8.0

876-1000 15.0 6.0 11.0 12.5 5.0 9.0 11.5 5.0 8.51001-1175 16.0 6.5 12.0 13.5 5.5 10.0 12.5 5.5 9.51176-1550 17.0 7.0 12.5 14.5 6.0 11.0 13.0 5.5 10.01551-2025 18.0 7.0 13.5 15.0 6.0 11.5 13.5 5.5 10.52026-2675 19.0 7.5 14.0 16.0 6.5 12.0 14.5 6.0 11.0

Number of Employees

9100 / 9110 9100 / 9110 Less Design (7.3) 9120


4242

Changes to 9104-1Changes to 9104-1 (C 8c)(C 8c)


– Defines requirements Defines requirements (continued)(continued) … …• Audit DaysAudit Days

– Audit Day is 8 HoursAudit Day is 8 Hours» Working Longer Still Counted As 8 HoursWorking Longer Still Counted As 8 Hours

(cannot do 4 days of 10 hrs to equal 40 hours)(cannot do 4 days of 10 hrs to equal 40 hours)– Must Audit All Working ShiftsMust Audit All Working Shifts– Table is Compliant to IAF MD 5Table is Compliant to IAF MD 5

» Shift Auditing Still Meets 8 Hour Daily LimitationShift Auditing Still Meets 8 Hour Daily Limitation

• Audit Day Rules for Multiple AQMS StandardsAudit Day Rules for Multiple AQMS Standards• Audit Day Rules for Adding AQMS StandardsAudit Day Rules for Adding AQMS Standards


4343

Changes to 9104-1Changes to 9104-1 (C 8d)(C 8d)


– Defines requirements for Defines requirements for (continued)(continued) … …• Multiple Site CertificationsMultiple Site Certifications

– Must Comply with IAF MD 1, PLUS Requirements in 9104/1Must Comply with IAF MD 1, PLUS Requirements in 9104/1» IAF MD 1 Section 0.4 is not applicable for aviation, space IAF MD 1 Section 0.4 is not applicable for aviation, space

and defense organization certificationsand defense organization certifications» ““Temporary sites” is also not applicableTemporary sites” is also not applicable

– All Sites Audited to the Complete and Applicable AQMS All Sites Audited to the Complete and Applicable AQMS Standard Prior to Certificate IssuanceStandard Prior to Certificate Issuance

– Sampling of Sites for Surveillance and Recertification is Sampling of Sites for Surveillance and Recertification is ONLY Allowed for 9120, and Limited to Same CountryONLY Allowed for 9120, and Limited to Same Country


4444

Changes to 9104-1Changes to 9104-1 (C 8d)(C 8d)


– Defines requirements for Defines requirements for (continued)(continued) … …• Multiple Site CertificationsMultiple Site Certifications

– For 9100 and 9110 Certifications, Two (2) Categories of For 9100 and 9110 Certifications, Two (2) Categories of Certification of Multiple Sites Are DefinedCertification of Multiple Sites Are Defined

» Cat 1Cat 1 Sites meet eligibility criteria Sites meet eligibility criteria for IAF MD 1for IAF MD 1

» Cat 2Cat 2 Sites meet eligibility criteria Sites meet eligibility criteria for IAF MD 1 & 3for IAF MD 1 & 3

Note: It is anticipated that 90+% will seek/attain Category 1, and less than 10% will seek or achieve Category 2.


4545

New Multiple Site Certification CategoriesNew Multiple Site Certification Categories

Category Organization Scope Audit Frequency

Note: See Table 2 for audit day calculations.

1


and

Does not meet the eligibility requirements of IAF MD 3 for advanced surveillance.

Annual Surveillance - Years 1 and 2

Year 1 - Central function and approximately 50% of sites

Year 2 – Central function and remaining sites not audited in year 1

Re-certification – Year 3 – Central function and all sites

2


and

Meets the eligibility requirements of IAF MD 3 for advanced surveillance.

Annual Surveillance and Re-certification

Year 1 - Central function and approximately 33% of the sites

Year 2 - Central function and approximately 50% of the sites not reviewed in year 1

Year 3 – Central function and remaining sites not reviewed in year 1 or 2

Audit plan shall ensure that the maximum duration between each site’s audit is not greater then 48 months.


4646

Changes to 9104-1Changes to 9104-1 (C 8e)(C 8e)


– Defines requirements for Defines requirements for (continued)(continued) … …• Multiple Site Certifications (Categories 1 & 2)Multiple Site Certifications (Categories 1 & 2)

– Central Function MUST Be Identified and Meet CriteriaCentral Function MUST Be Identified and Meet Criteria– Audit Days Calculated For Employee Count For Each Audit Days Calculated For Employee Count For Each

Individual Site (NOT the cumulative sum of employees at all Individual Site (NOT the cumulative sum of employees at all sites covered by the certification)sites covered by the certification)

– Central Function Audited YearlyCentral Function Audited Yearly– All Sites Visited At Least Once During Certification CycleAll Sites Visited At Least Once During Certification Cycle– Once Total Audit Day Requirement is Calculated, Some Once Total Audit Day Requirement is Calculated, Some

Allowance Is Given to Reduce Time At One Site and Add Allowance Is Given to Reduce Time At One Site and Add Time At Another Site For Proper Justification. (Time at one Time At Another Site For Proper Justification. (Time at one site cannot be reduced by more than 33% for Cat 1 or 50% site cannot be reduced by more than 33% for Cat 1 or 50% for Cat 2.)for Cat 2.)


4747

Changes to 9104-1Changes to 9104-1 (C 8f)(C 8f)


– Defines requirements for Defines requirements for (continued)(continued) … …• Issuance of CertificatesIssuance of Certificates

– Required Info (e.g.. AQMS Std, Rev Level, Audit in Required Info (e.g.. AQMS Std, Rev Level, Audit in Accordance with Accordance with ASAS9104/1, CB Identity, Issue & Expiration 9104/1, CB Identity, Issue & Expiration Dates, Scope, Multi-site info, Marks/Logos) in English Dates, Scope, Multi-site info, Marks/Logos) in English

– Information Posted to OASISInformation Posted to OASIS

• Transfer of Certificates Transfer of Certificates • Loss of CertificationLoss of Certification• ASRPASRP• CAATCAAT


4848


• 9. Oversight Process9. Oversight Process reference to 9104/2reference to 9104/2

– Defines requirements …Defines requirements …• Refers to 9104/2 for Detailed RequirementsRefers to 9104/2 for Detailed Requirements• Requires ICOP Declaration Form Completed and FiledRequires ICOP Declaration Form Completed and Filed• Sharing of ResultsSharing of Results


4949


• 10. Auditor Auth. Bodies10. Auditor Auth. Bodies new sectionnew section– Defines requirements …Defines requirements …

• AAB Must Be In Accordance With ISO 17024AAB Must Be In Accordance With ISO 17024• AAB Must Comply with 9104/3AAB Must Comply with 9104/3• Agree to Oversight / SurveillanceAgree to Oversight / Surveillance• Auditor Complaint / Appeal ProcessAuditor Complaint / Appeal Process• Activities Outside of Region / SectorActivities Outside of Region / Sector• Process to Determine Auditor CompetencyProcess to Determine Auditor Competency• Marks / LogosMarks / Logos• Suspension / WithdrawalSuspension / Withdrawal• Record Retention Record Retention


5050


• 11. Train Prov. Approval Bodies 11. Train Prov. Approval Bodies new sectionnew section

– Defines requirements …Defines requirements …• TPAB Must Comply with 9104/3TPAB Must Comply with 9104/3• Agree to Oversight / SurveillanceAgree to Oversight / Surveillance• Conflict of InterestConflict of Interest• Auditor Complaint / Appeal ProcessAuditor Complaint / Appeal Process• Activities Outside of Region / SectorActivities Outside of Region / Sector• Suspension / WithdrawalSuspension / Withdrawal• Re-application After 12 MonthsRe-application After 12 Months• Record Retention Record Retention


5151


• 12. OASIS12. OASIS new sectionnew section

– Defines requirements …Defines requirements …• OPMT Has the Responsibility for OASISOPMT Has the Responsibility for OASIS• OASIS Administrators RequiredOASIS Administrators Required

– Only CB Administrator Can Enter Audit Data Into OASISOnly CB Administrator Can Enter Audit Data Into OASIS– Client Administrator to Input/Validate Demographic DataClient Administrator to Input/Validate Demographic Data

• Withdrawn CBs Visible for 6 MonthsWithdrawn CBs Visible for 6 Months• Created a Responsibility Matrix for Data CorrectnessCreated a Responsibility Matrix for Data Correctness


5252


• 13. Other Party Mgt. Team13. Other Party Mgt. Team new sectionnew section

– Defines requirements …Defines requirements …• The OPMT Has The Authority to Publish the 9104-The OPMT Has The Authority to Publish the 9104-

Series Standards Per IAQG Procedure 103Series Standards Per IAQG Procedure 103• Sector Reviews (Audits) Required Every 2 YearsSector Reviews (Audits) Required Every 2 Years• OPMT Has the Responsibility for OASISOPMT Has the Responsibility for OASIS

– Periodic Reviews of OASIS Management, OperationsPeriodic Reviews of OASIS Management, Operations

• Reports to IAQG (Int’l OPMT and Sectors)Reports to IAQG (Int’l OPMT and Sectors)• Improvements to ICOP SchemeImprovements to ICOP Scheme• Monitor Feedback ProcessMonitor Feedback Process


5353


• 14. OASIS Feedback Process14. OASIS Feedback Process new sectionnew section

– Defines requirements forDefines requirements for

Certification

BodySupplier Customer

FEEDBACK - A

FEEDBACK - B

FEEDBACK - C

Audit

Product / ProcessQuality

Audit Findings

Certification

BodySupplier Customer

FEEDBACK - A

FEEDBACK - B

FEEDBACK - C

Audit

Product / ProcessQuality

Audit Findings


5454


• 15. Sector Mgt. Structure15. Sector Mgt. Structure further definitionfurther definition

– Defines requirements …Defines requirements …• ICOP Scheme Globally Supported by SMSICOP Scheme Globally Supported by SMS• Authority / RecognitionAuthority / Recognition• AB and CB SuspensionsAB and CB Suspensions• ResolutionsResolutions• SMS Represented on OPMTSMS Represented on OPMT


5555

Sector Management StructureSector Management Structure

IAQG OPMT

European SMS Americas SMS Asia Pacific SMS

APAQG - RMC (OPMT)(tentative)

AAQG - RMC

Oversight/Surveillance Team

Auditor Authentication & Training Review Team

EU OPMT



xx

Documentation Documentation

RMCs (CBMCs ）

Oversight/Surveillance Teams

Auditor Review Team



Documentation

CBMCs per country

Oversight/Surveillance Teams

Auditor Review Team

IAQG Council


5656


• 16. Cross Frontier16. Cross Frontier new sectionnew section

– Defines requirements …Defines requirements …• Compliance to IAF GD 3Compliance to IAF GD 3• ABs, SMSs, and CBMCs Conducting Oversight In ABs, SMSs, and CBMCs Conducting Oversight In

Countries Other Than Their Country of AccreditationCountries Other Than Their Country of Accreditation• ABs Can Sub-Contract Work to Other ABs/SectorsABs Can Sub-Contract Work to Other ABs/Sectors• Accrediting AB Retains ResponsibilityAccrediting AB Retains Responsibility• Fees Can Be Levied On CBs For Oversight Outside Fees Can Be Levied On CBs For Oversight Outside

SMS/CBMC Region. SMS/CBMC Region.


5757


• 18. Certified Organizations18. Certified Organizations new sectionnew section

– Defines requirements …Defines requirements …• Certified Organizations Must Allow CB to Post Tier 1 Certified Organizations Must Allow CB to Post Tier 1

and Tier 2 Audit Data to OASIS Database.and Tier 2 Audit Data to OASIS Database.– Agree Tier 1 Is Public InformationAgree Tier 1 Is Public Information– Agree to Provide Access to Tier 2 Upon Request of Aviation, Agree to Provide Access to Tier 2 Upon Request of Aviation,

Space, and Defense Customers (unless justification of Space, and Defense Customers (unless justification of competition confidentiality, conflict of interest, etc.)competition confidentiality, conflict of interest, etc.)

– Agree to Notify Their Aviation, Space, and Defense Agree to Notify Their Aviation, Space, and Defense Customers in Case of Loss of CertificationCustomers in Case of Loss of Certification

– Shall Provide ‘Right of Access’ to Their Facilities, People, Shall Provide ‘Right of Access’ to Their Facilities, People, and Processes For Review by Customers and Authorities.and Processes For Review by Customers and Authorities.


5858


• 19. Fees and Financials19. Fees and Financials minor minor changeschanges– Defines requirements ...Defines requirements ...

• OPMT Can Recommend Fees For Registration of OPMT Can Recommend Fees For Registration of Audit Data in the OASIS DatabaseAudit Data in the OASIS Database

• OPMT Must Prepare an Annual BudgetOPMT Must Prepare an Annual Budget– Submit to IAQG TreasurerSubmit to IAQG Treasurer– Estimate Contract Labor, Meeting/Workshop Costs, Sector Estimate Contract Labor, Meeting/Workshop Costs, Sector

ICOP Projects, and OASIS Sustainment and ImprovementsICOP Projects, and OASIS Sustainment and Improvements


5959

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