Registration Management Committee Body Of Knowledge for OP Assessors Will S. Tate Triumph Group OP Assessor Workshop, San Diego, CA - 17 January 2013 Company Confidential
Registration Management Committee Body of Knowledge • Purpose of the training module: – Training on the criteria and processes that OP assessors will be implementing when performing oversight on behalf of the AAQG/RMC • Objective: – Provide OP assessors with knowledge and tools to perform effective oversight of ABs, CBs, AABs and TPABs. OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Documents comprising BOK • AS 9104 -1 & AS 9014 • AQMS Standards AS 9100/9110/9120 • AS 9104 -2 • AS 9104 -3 • ISO 19011 • ISO 17021 • ISO 17024 • IAF Mandatory Documents OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee 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 – SR 001/002 • IAQG Resolutions log OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee 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 OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Links to the available documents. • IAF Mandatory documents • IAQG Resolutions log • ANAB Accreditation Manual, MA 6000 • ISO Auditing Practices Group • Accreditation Auditing Practices Group • Supplemental Rules Document SR 001 • Supplemental Rules Document SR 002 • Certification Structure Guidance Materials OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Remember • It is the OEM’s responsibility to gain access to these documents; 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. OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Applicability AQMS Stds ISO 17021 ISO 17011 ISO 17024 AS 9104 -1 AS 9014 AS 9104 -2 AS 9104 -3 AB X X CB X X AAB X X X TPAB X X X X ISO 19011 IAF Docs X X X OP Assessor Workshop, San Diego, CA - 17 January 2013 X
Registration Management Committee CB Office Assessment Body of Knowledge OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee 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, AS 9104 -1 – Review AS complaints - ISO 17021, AS 9104 – Effective closure of previously issued aerospace related findings – File Review OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee CB Office Assessment • Main activity by OP Assessor – File Review – Registration, surveillance, re-certification process - ISO 17021 (9) – Competency (qualifications) of audit team - AS 9104 (7, 8. 1), AS 9104 -3, ISO 17021 (7) – Citation of findings (by CB) – AS 9104 (8. 3), ISO 17021 (9) – Appropriate resolution of findings – AS 9104 (8. 3), ISO 17021 (9) – Reporting – AS 9104 (8. 4), ISO 17021 (9) – Certification decisions (including competency of reviewers) – AS 9104 (8. 6), ISO 17021 (7, 9) – OASIS – AS 9104 – Proper site structure determination (AS 9104 -1) OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee CB Office Assessment • A critical aspect is the audit time – Correct audit duration – Supplemental Rule (SR 001: 7 e, k) or AS 9104 -1: table 2/3 – Multi-site – AS 9104 (8. 2. 3), IAF Guidance to Guide 62 (Annex 3) » AS 9104 -1 Table 3 – Competency of staff – AS 9104, ISO 17021 (7) – ASRP / CAAT Process(es) approved by AB if applicable (IAF MD 3/MD 4) » Max reduction of 30% from AS 9104 -1 table 2 values • OPMT assessors must understand IAF Mandatory Document 5 and the auditor-days estimation process. – Supplemental Rules SR 001, Section 7 e, k – AS 9104 -1 Tables 2 and 3 OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Audit Time Determination process: AS 91 XX: 2009 For Audits performed in 2012 • Surveillance Transition – 50% of initial audit day from IAF MD-5 – Add 100% of initial audit day from AS 9104 table 2 • Recertification Transition – 80% of initial audit day from IAF MD-5 – Add 100% of initial audit days from AS 9104 table 2. – CB is required to have documented justification for any time (plus or minus) the table. OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Additional time per AS 9104 OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Audit Time Determination process: AS 91 XX: 2009 (con’t) • CB to determine any additional audit days required to assess to AS 91 XX: 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. – AS 9104 -1 Tables 2/3 used in 2013 and forward OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee “Upgrade audits” OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Another critical issue – Multi-site • AS 9104, paragraph 8. 2. 3 • IAQG Resolution # 76 • Changed with new AS 9104 -1 – Refer to table 3 in new AS 9104 -1 for audit frequency – Refer to appendix B (Matrix) for certification structure requirements – Complex site must be reviewed by Certification Structure Oversight Committee (CSOC) OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee CB Witness Assessment Body of Knowledge OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee CB Witness Assessment • Silently 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 Workshop, San Diego, CA - 17 January 2013
Registration Management Committee CB Witness Assessment Focus on: • Opening and closing meeting (and team caucuses) ISO 17021 (9) • Audit days and audit efficiency, effectiveness AS 9104 -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 AS 9104 -1 (7. 2), AS 9104 - 3, ISO 17021 (7) • Certificate accuracy ISO 17021 (8) OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee CB Witness Assessment KEY Focus: • Audit depth and trails to the AQMS Standard (e. g. AS 9100) AQMS (e. g. AS 9100) AS 9104 -1 (8), ISO 19011 (6. 5), OP Assessor must complete all applicable AS 9104 -2 forms OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee For AB, AAB & TPAB Oversight see Presentation Attached OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee Burning questions OP Assessor Workshop, San Diego, CA - 17 January 2013
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