Company Confidential Registration Management Committee OP Assessor Workshop, San Diego, CA - 17...

Company Confidential

Registration Management Committee

OP Assessor Workshop, San Diego, CA - 17 January 2013

Body Of Knowledgefor OP Assessors

Will S. TateTriumph Group



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.



• AS9104-1 & AS9014

• AQMS Standards AS9100/9110/9120

• AS9104-2

• AS9104-3

• ISO 19011

• ISO 17011

• ISO 17021

• ISO 17024

• IAF Mandatory Documents

Documents comprising BOK



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 – SR001/002

• IAQG Resolutions log



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



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 SR001

• Supplemental Rules Document SR002

• Certification Structure Guidance Materials



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.



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

CB X X X X X X X X

AAB X X X X X

TPAB X X X X X



CB Office Assessment

Body of Knowledge



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

– Effective closure of previously issued aerospace related findings

– File Review



• Main activity by OP Assessor – File Review

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

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

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

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

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

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

– OASIS – AS9104

– Proper site structure determination (AS9104-1)





• A critical aspect is the audit time

– Correct audit duration – Supplemental Rule (SR 001: 7e, k) or AS9104-1: table 2/3

– Multi-site – AS9104 (8.2.3), IAF Guidance to Guide 62 (Annex 3)» AS9104-1 Table 3

– Competency of staff – AS9104, 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 must understand IAF Mandatory Document 5 and the auditor-days estimation process.

– Supplemental Rules SR 001, Section 7e, k

– AS9104-1 Tables 2 and 3



Audit Time Determination process: AS91XX:2009

For Audits performed in 2012• Surveillance Transition

– 50% of initial audit day from IAF MD-5

– Add 100% of initial audit day from AS9104 table 2

• Recertification Transition

– 80% of initial audit day from IAF MD-5

– Add 100% of initial audit days from AS9104 table 2.

– CB is required to have documented justification for any time (plus or minus) the table.



Additional time per AS9104



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



“Upgrade audits”



Another critical issue – Multi-site

• AS9104, paragraph 8.2.3

• IAQG Resolution # 76

• Changed with new AS9104-1

– Refer to table 3 in new AS9104-1 for audit frequency

– Refer to appendix B (Matrix) for certification structure requirements

– Complex site must be reviewed by Certification Structure Oversight Committee (CSOC)



CB Witness Assessment

Body of Knowledge




• 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)



CB Witness AssessmentFocus on:

• Opening and closing meeting (and team caucuses)

ISO 17021 (9)

• Audit days and audit efficiency, effectiveness

AS9104-1 (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 accuracy

ISO 17021 (8)




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



For AB, AAB & TPAB Oversight see Presentation Attached

AB AAB TPCB Presentation



Burning questions

Company Confidential Registration Management Committee OP Assessor Workshop, San Diego, CA - 17...

Documents

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