1 / 30

Supplemental Rule 002: Rules for AS9104/1:2012 Transition

Supplemental Rule 002: Rules for AS9104/1:2012 Transition. Susie Neal 12 March 2012. AS9104/1 Transition. Supplemental Rule 002 was developed to provide clear requirements for transition to AS9104/1 from AS9104 SR 002 describes the changes required for each stakeholder

manjit
Download Presentation

Supplemental Rule 002: Rules for AS9104/1:2012 Transition

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Supplemental Rule 002:Rules for AS9104/1:2012 Transition Susie Neal 12 March 2012

  2. AS9104/1 Transition • Supplemental Rule 002 was developed to provide clear requirements for transition to AS9104/1 from AS9104 • SR 002 describes the changes required for each stakeholder • Available through the OASIS database

  3. AS9104/1 Transition Timeline • Agreed by the IAQG Council at October 2011 IAQG Meeting in Bordeaux, France • It shows the last dates for transition • Accelerated transition is expected

  4. SR-002 Purpose and Scope • Purpose: • Turn to SR-002 and read the purpose • Scope: • Applies to most stakeholders in the ICOP Process • SMS including CBMCs • ABs • AABs • TPABs • CBs • AQMS certificated organisations

  5. General Rules • All stakeholders shall ensure conformance to the IAQG Council’s published timeline • Risk Mitigation Plans are required to accelerate implementation ahead of timeline • Required for IAQG OPMT, SMS/CBMC, ABs and CBs • 91XX:2009 transition is not linked or dependent on AS9104/1 transition • Once a CB has completed AS9104/1 transition all AS9104/1 and SR-002 requirements will apply • OASIS will be updated to support AS9104/1 implementation • There will be a FAQ log established on the IAQG website

  6. Stakeholder Rules – IAQG OPMT • The IAQG OPMT shall: • Establish the Certification Structure Oversight Committee by 17th February 2012 • Update IAQG OPMT documentation including Resolution Log • Report transition status to the IAQG Strategy Working Group (SWG) using Appendix B Forms • Plan and manage OASIS update for 2 Feb 2012 • Update AS9104/2 appendices for oversight to AS9104/1 by 30th March 2012 • Withdraw AS9104 and AS9014 standard on 1st July 2013

  7. Stakeholder Rules – SMS incl. CBMCs • Sector Management Structure (SMS) shall: • Develop a Sector Risk Mitigation Plan by 17th February 2012 • Update EAQG OPMT documentation • Complete and update Appendix B Forms and report transition status to the IAQG OPMT • Train OP Assessors on SR 002 and AS9104/1 • OP Assessors to complete a new AS9104/2 Appendix I on completion of training • No AS9104/1 oversight activity until trained

  8. Stakeholder Rules – SMS incl. CBMCs • Approve each AB to AS9104/1 by assuring AB has updated its management system for: • Conformance to AS9104/1 • SR 002 requirements, and • Established its risk mitigation plan • Approve each AAB and TPAB to AS9104/1 by assuring each has updated their management systems for AS9104/1 and SR002 • Validate and update OASIS records for AB, AAB and TPAB upon approval to AS9104/1 • Oversight to applicable 9104 standard at the time of the oversight – preferably AS9104/1

  9. Stakeholder Rules – SMS incl. CBMCs • Update or withdraw sector documents that reference 9104 before July 1st, 2013 • Conformance to AS9104/1 • SR 002 requirements, and • Established its risk mitigation plan • Initiate removal of approval of any AB, AAB or TPAB not approved to AS9104/1 by January 1st, 2013 • Communicate the AS9104/1 responsibilities to each AB, AAB and TPAB

  10. Stakeholder Rules - ABs • Accreditation Bodies (ABs) shall: • Develop, implement and maintain a documented risk mitigation plan that includes: • Resource needs • Revision of the AB’s documentation to AS9104/1 • Development and management of the transition of participating CBs to AS9104/1 • Management and reporting of the appropriate sections of the Transition Reporting Matrix (see Appendix B) when requested by the SMS. • Projected dates for completion and when supporting evidence is to be submitted to the SMS for review and approval.

  11. Stakeholder Rules - ABs • Accreditation Bodies (ABs) shall: • Report the AB risk mitigation plan to the SMS • Provide a Transition Reporting Matrix (Appendix B) for CBs on the date in SMS risk mitigation plan (and on request from the SMS) that includes: • projected dates for CB application, assessment and accreditation • Ensure AB Assessors are trained on AS9104/1 & SR-002 before assessment of CBs to AS9104/1 • Be approved by the SMS/CBMC for AS9104/1 prior to assessment and accreditation of CBs

  12. Stakeholder Rules - ABs • Accreditation Bodies (ABs) shall: • Undertake assessment and decision making processes for each CB to AS9104/1 • Validate and update the CB OASIS record following accreditation to AS9104/1 • Make a decision to withdraw all 9104 accreditations of CBs on July 1st, 2013 • Plan and conduct the annual surveillance and reassessment of each CB in accordance with the criteria of AS9104/1 section 5.3.3, including Table 1 and section 5.3.4 from January 1st, 2013.

  13. Stakeholder Rules - ABs • Undertake a decision to suspend the AS9104/1 accreditation of the CB where the CB: • Fails to address conformance to any applicable section of this Supplemental Rule • Does not provide the AB with a projected date for application • Adjusts their projected application date to a later date without prior justification and AB concurrence • Fails to provide the application by the projected application date • Does not provide the AB with requested information to support accreditation assessment and decision-making in a timely manner

  14. Stakeholder Rules - ABs • Any new applications from CBs for accreditation for AQMS standard certification: • If after the original issue date of SR 002 then process to AS9104/1 requirements • If existing application in process, the AB agrees with CB the method i.e. to AS9104/1 requirements or AS9104 with a transition plan within the timeframe of SR 002 • Communicate AB’s requirements for transition to AS9104/1 to each CB • Note: • AB assessment of CBs to AS9104/1 may be on-site or limited to an off-site documentation review • Accreditation for new CB applicants shall follow the requirements of AS9104/1 section 5 in its entirety

  15. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Develop, implement and maintain a documented risk mitigation plan that includes: • Resource needs • Revision of the CB’s documentation to AS9104/1 • Development and management of the transition of participating CBs to AS9104/1 • Projected date of application for AS9104/1 accreditation • Review and analysis of all existing clients AQMS certification activities and arrangements for AS9104/1 including certification structures • …..

  16. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Develop, implement and maintain a documented risk mitigation plan that includes: • Provision for updating client contracts as necessary • Communication of AS9104/1 responsibilities and requirements to: • Clients regarding certification structures • Employed or contracted AQMS Auditors • Report the risk mitigation plan to AB and SMS • Complete and submit an application to the AB that includes all required evidence to support AB assessment and CB accreditation to AS9104/1

  17. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Ensure that all relevant CB personnel are trained on SR 002 and AS9104/1 requirements • Ensure that decision-makers have demonstrated competence (to AS9104/1 section 6.7) • Be accredited for AS9104/1 prior to AQMS audit and certification of organizations

  18. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Undertake AS9104/1 Certification Structure analysis for each client that includes: • Documenting the rationale, justification, audit duration calculations, audit program, and sampling plan (for 9120, multiple site, or campus) for the certification structure • Providing information, regarding activities and arrangements, to the IAQG OPMT Certification Structure Oversight Committee for any client with a ‘Complex’ certification structure • Obtaining approval of all ‘Complex’ certifications structures from IAQG OPMT Certification Structure Oversight Committee prior to the next on-site audit (i.e. Stage 2, surveillance or recertification audit) of the client in conformance with AS9104/1

  19. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Manage existing client audit schedules as outlined below: • If accredited to AS9104/1 in 2012: • CBs shall manage their annual audit cycle with their existing clients, to follow the requirements of 9104 or AS9104/1 • This options allow more flexibility during 2012 • CBs shall fully comply with all applicable AS9104/1 requirements by January 1, 2013. • If accredited to AS9104/1 in 2013 • CBs shall fully comply with all applicable AS9104/1 requirements once accredited to AS9104/1 regardless of the annual audit cycle date of clients • No flexibility – next audit to AS9104/1 requirements

  20. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Make a certification decision • in accordance with AS9104/1 8.4.b and Appendix B • after completion of the next client audit(s) that was conducted in conformance with AS9104/1 • that also considers the following: • If client implemented AS9104/1 during the current annual audit cycle, the CB validates the audit duration, coverage of sites and certification structure in conformance with AS9104/1 • No new three-year certification period if client not subject to a recertification

  21. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Ensure all AQMS certificates reflect conformance to AS9104/1 or applicable sector document (pr EN 9104-001) • Validate and update the client OASIS record in accordance with AS9104/1 after certificate issue

  22. Stakeholder Rules - CBs • Certification Bodies (CBs) shall: • Substitute SR-001 section 7.e.i and 7.e.ii with the following: • The minimum on-site audit days for all 9100 / 9110 / 9120:2009 transition audits shall be as follows: • Transition during surveillance audit using 50% of initial audit day requirements from Table 2 of AS9104/1 • Transition during recertification audit using 80% of initial audit day requirements from Table 2 of AS9104/1 • Only when AS9104/1 is implemented during the current annual audit cycle and the organization is transitioning to 9100, 9110 or 9120:2009 • Note: The CB may apply ASRP and / or CAAT providing all AS9104/1 requirements have been met

  23. Stakeholder Rules - AABs • Auditor Authentication Bodies (AABs) shall: • Establish, document, implement, and maintain a quality management system that is capable of supporting and demonstrating the consistent achievement of the 9104-series standards by January 1st, 2013 • Advise the SMS of conformance to the 9104 series of standards requirements upon implementation.

  24. Stakeholder Rules - TPABs • Training Provider Approval Bodies (TPABs) shall: • Establish, document, implement, and maintain a quality management system that is capable of supporting and demonstrating the consistent achievement of the 9104-series standards by January 1st, 2013 • Advise the SMS of conformance to the 9104 series of standards requirements upon implementation.

  25. Stakeholder Rules – Organisations • AQMS standard certificated organisations shall: • Work with their CB to determine an appropriate certification structure. • Ensure that the selected certification structure does not conflict with customer, regulatory or other requirements.

  26. Appendix A: • Shows IAQG Council’s agreed timeline: • The timeline ends with the requirement for all CBs to be accredited to AS9104/1 by 1 July 2013

  27. Appendix B: • Contains the IAQG OPMT AS9104/1:2012 Transition Reporting Matrix: • Contains two sheets: • Sheet 1: SMS Approval Matrix:

  28. Appendix B: • Contains two sheets: • Sheet 2: AB Client Matrix:

  29. AAQG RMC Risk Mitigation Plan • Each sector is required to develop a Risk Mitigation Plan to accelerate AS9104/1 transition • The AAQG RMC has issued an approved plan based on the transition requirements set out in SR 002. • Each activity is addressed with an action and person responsible and where appropriate a date for completion • Lets review the plan …..

  30. Questions?

More Related