AS9104/1: The Main Changes

1. AS9104/1:The Main Changes Tim Lee 12 March 2012

2. 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

3. 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 (eg. audit days, multi-site, etc.) • Upgrade to the new ISO and IAF audit docs.

4. Significant Changes to AS9104/1 • AS9104/1 is a total rewrite of the original 9104 document • From AS9104 to AS9104/1 the document has increased from 30 pages to approximately 49 pages • This training will only focus on the major changes that deviate significantly from the AS9104 standard.

5. AS9104/1 The Significant Changes • Let’s Go …..

6. AS9104/1 Significant Changes 1. Scope Significant Changes • Introduces the concept of the ICOP scheme • Sets Applicability to SMS, OPMT, ABs, CBs, and CBMCs • Expands Applicability to IAQG Member Companies, AABs, TPABs, TPs and organisations seeking or obtaining AQMS standard certification. • Defines AQMS standards as 9100, 9110 and 9120 • Introduces IAQG Member recognition of supplier certification to AQMS standards

7. AS9104/1 Significant Changes 2. ReferencesSignificant Changes • Updates to the revised ISO/IEC Documents e.g. 17011, 17021, 19011 etc. • Includes AS9104/2 and AS9104/3 • Updates to the revised IAF 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.)

8. AS9104/1 Significant Changes 3. DefinitionsSignificant 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

9. AS9104/1 Significant Changes 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 process for Resolutions • Recognition of entities approved or recognised in other sectors

10. AS9104/1 Significant Changes 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

11. AS9104/1 Significant Changes 5. Accreditation Bodies Significant Changes • Closure timescales for AB Nonconformity Reports raised on CBs • CB suspension and withdrawal process including specific conditions causing suspension • Complaint and issue resolution process • Notification to the AAB for AQMS auditor competence issues • AB personnel competence including decision-making personnel A, S & D competence

12. AS9104/1 Significant Changes 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 as per ISO/IEC 17021 and Authenticated to AS9104/1 and AS9104/3 requirements • Allow periodic Surveillance and Oversight

13. AS9104/1 Significant Changes 6. Certification Bodies Significant Changes • 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 Programme to conform to 9101, 9104 series, 17021 and applicable IAF MDs • No CB Consultancy • Responsibility for Integrity and Validity of Certificates

14. AS9104/1 Significant Changes 6. Certification Bodies Significant Changes • 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

15. AS9104/1 Significant Changes 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) • Applicant Auditors 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)

16. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • Certification Structures defined in Annex B • New: campus, several sites and complex organisations • As before: single site and multiple site • Eligibility Criteria for each structure documented (Annex B) • CB and client to agree structure type • CB to retain records of structure determination • For Complex organisation structures the CB is to refer rationale and justification to the IAQG OPMT Certification Structure Oversight Committee (CSOC) for approval

17. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • 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.

18. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • Minimum audit days (continued …) • Audit Day Table DOES NOT include Non-Audit Time (travel, meals, 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

19. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • Minimum audit days (continued …) • 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

20. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • Minimum audit days (continued …) • 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

21. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • 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

22. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • 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

23. AS9104/1 Significant Changes 8. Audits and Reporting Significant Changes • 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%

24. AS9104/1 Significant Changes 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

25. AS9104/1 Significant Changes 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

26. AS9104/1 Significant Changes 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

27. AS9104/1 Significant Changes 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

28. AS9104/1 Significant Changes 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

29. AS9104/1 Significant Changes 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

30. AS9104/1 Significant Changes 14. OASIS Feedback Process New Section • Establishes feedback process and mechanism • Also describes feedback to Accreditation Bodes

31. AS9104/1 Significant Changes 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

32. AS9104/1 Significant Changes 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

33. AS9104/1 Significant Changes 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

34. AS9104/1 Significant Changes 18. Certified Organisations New Section • Requires certified organisations 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

35. AS9104/1 Significant Changes 19. Confidentiality and Conflict of Interest New 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

36. AS9104/1 Significant Changes 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

37. Questions