Registration Management Committee Body of Knowledge (BoK) for Other Party (OP) Assessors David Day GE Aviation

Registration Management Committee

Body of Knowledge (BoK)for Other Party (OP) Assessors

David DayGE Aviation

OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014


Body of Knowledge

• Purpose of the training module:

– Training on the criteria and processes that OP assessors will be validating when performing oversight on behalf of the AAQG/RMC

• Objective:

– Provide OP assessors with knowledge and tools to perform effective oversight of Accreditation Bodies (ABs), Certification Bodies (CBs), Auditor Authentication Bodies (AABs) and Training Provider Approval Bodies (TPABs).

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• AS9104-1 (& AS9014)

certification

• AQMS Standards AS9100/9110/9120

• AS9104-2

oversight

• AS9104-3

auditors and training

• ISO 19011

auditing

• ISO 17011

accreditation

• ISO 17021

certification

• ISO 17024

authentication/approval

• IAF Mandatory Documents

Documents comprising BoK

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Additional relevant documents

• Official ISO 9001 Interpretations

• ISO 9001 Auditing Practices Group papers

• Accreditation Auditing Practices Group papers

• AB specific documents

• IAQG Supplemental Rules Doc – SR002

• IAQG Resolutions log

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Where to obtain the documents

• All AS documents and ISO standards are copyrighted

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

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

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

OP Assessors MUST bring the relevant documents to the assessments

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Links to the available documents and data

• IAF Mandatory documents

• IAQG Resolutions log

• ANAB Accreditation Manual, MA 6000

• ISO Auditing Practices Group

• Accreditation Auditing Practices Group

• Supplemental Rules Document SR002

• Certification Structure Guidance Materials

• OASIS

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http://www.compad.com.au/cms/iaf/public/32

http://www.sae.org/iaqgdb/oasishelp/iaqgresolutionslog.pdf

http://www.anab.org/media/16267/ma6000.pdf

http://isotc.iso.org/livelink/livelink/fetch/2000/2122/138402/138403/3541460/customview.html?func=ll&objId=3541460&objAction=browse&sort=name

http://isotc.iso.org/livelink/livelink?func=ll&objId=4298140&objAction=browse&sort=name

http://www.sae.org/iaqgdb/sr002_2013_07_01.pdf

http://www.sae.org/iaqg/organization/csoc.htm

http://www.iaqg.sae.org/servlets/index?PORTAL_CODE=IAQG



Remember

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

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

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Applicability

AS9104-1 AS9014 AS9104-2 AS9104-3 AQMS Stds

ISO 17021

ISO 17011

ISO 17024

ISO 19011

IAF Docs

AB X 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

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CB Office Assessment

Body of Knowledge

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

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

ISO 17011 (7.7.2)

• OP Assessor to Focus on AS specific elements as they relate to:

– Impartiality - ISO 17021 (5.2)– Management - ISO 17021 (5, 6, 7)– Inclusion of AS in internal audits & management

review- ISO 17021, AS9104-1– Review AS complaints - ISO 17021, AS9104 (OASIS)– Effective closure of previously issued aerospace

related findings– File Review

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• Main activity by OP Assessor – File Review

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

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

– Citation of findings (by CB) – AS9104-1 (8.3), ISO 17021 (9)

– Appropriate resolution of findings – AS9104-1 (8.3), ISO 17021 (9)

– Reporting – AS9104 (8.4), ISO 17021 (9)

– Certification decisions (including competency of reviewers) – AS9104-1 (8.6), ISO 17021 (7, 9)

– OASIS – AS9104-1

– Proper site structure determination (AS9104-1)


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• A critical aspect is the audit time– Correct audit duration – AS9104-1: tables 2/3– Multiple Site – AS9104-1 Table 3– Competency of staff – AS9104-1, ISO 17021 (7)– ASRP / CAAT Process(es) approved by AB if applicable (IAF MD

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

• OPMT assessors are no longer required to fully understand IAF Mandatory Document 5 and the auditor-days estimation process. – Supplemental Rules SR 001, Section 7e, k– AS9104-1 Tables 2 and 3

Note: The Audit Calculator Tool automates the calculation

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http://auditcalc.wichita.edu/auditcalc



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

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

• CB must have documented justification for audit days

– Justification for increasing / decreasing audit days» Complexity of product» Maturity of QMS» Complexity of business, etc.

– AS9104-1 Tables 2/3 used in 2013 and forward

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“Upgrade audits”

8.2.5 Upgrading from ISO 9001 to an Aerospace Quality Management System Standard

When auditing organizations with an existing ISO 9001 certificate, that are upgrading to an AQMS standard, a full initial audit (Stage 1 and Stage 2) of all requirements for the applicable AQMS standard (i.e., ISO 9001 and aviation, space, and defense industry additional requirements) applying the 9101 standard is required. Audit duration shall comply with Table 2 and be calculated using the “Initial” audit column.

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Another critical issue – Multiple Site

• Changed with new AS9104-1– Refer to table 3 in AS9104-1 for audit

frequency– Refer to appendix B (Matrix) for certification

structure requirements– Complex site must be approved by

Certification Structure Oversight Committee (CSOC)

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CB Witness Assessment

Body of Knowledge

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

ISO 17011 (7.7.2)

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CB Witness AssessmentFocus on:

• Opening and closing meeting (and team caucuses)ISO 17021 (9), ISO 19011 (6.4)

• Audit days and audit efficiency, effectivenessAS9104-1 (7.2), ISO 19011 (6.5),

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

requirements and interpretations» Including CB’s process for assigning audit team

AS9104-1 (7.2), AS9104- 3, ISO 17021 (7)

• Certificate accuracyISO 17021 (8)

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KEY Focus:

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

AQMS (e.g. AS9100)

AS9104-1 (8), ISO 19011 (6.5),

OP Assessor must complete all applicable AS9104-2 forms if performed independently. These forms will then be stored on the RMC private web site.

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For AB, AAB & TPAB Oversight see Presentation Attached

AB AAB TPAB Assessment

The attached file is not intended to be comprehensive, but an outline. The OP Assessor is responsible to prepare fully.

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Burning questions

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