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

Supplemental Rule 002 provides clear requirements for transitioning to AS9104/1 from AS9104. It describes the changes required for each stakeholder and is available through the OASIS database. The AS9104/1 Transition Timeline shows the last dates for transition, with accelerated transition expected. This rule applies to most stakeholders in the ICOP process, including CBMCs, ABs, AABs, TPABs, and CBs.

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

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  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?

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