Company Confidential 1

Supplemental Rule 002:Rules for AS9104/1:2012

Transition

Susie Neal12 March 2012

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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

SR 002 dated 20 January 2012

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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

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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

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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

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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

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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

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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

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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

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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.

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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

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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.

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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

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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

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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

– …..

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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

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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

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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

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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

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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

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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

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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

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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.

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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.

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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.

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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

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Appendix B:• Contains the IAQG OPMT AS9104/1:2012

Transition Reporting Matrix:

• Contains two sheets:– Sheet 1: SMS Approval Matrix:

9104-1 Transition Reporting Matrix

9104-1Transition MatrixDate of Report:

Stakeholder: SMS

Representative: SMS Chair

Transition Status:

AB / AAB / TPAB Name AB / AAB / TPAB Contact Person: E-mail Address:

Risk Mitigation Plan Receipt Date: (By AB only)

(dd/mm/yyyy)

CB Transition Matrix

Receipt Date: (dd/mm/yyyy)

Projected Readiness Date for Approval

by SMS: (dd/mm/yyyy)

Actual Approval Date:

(dd/mm/yy)Status / Comments:

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Appendix B:• Contains two sheets:

– Sheet 2: AB Client Matrix:9104-1Transition MatrixDate of Report:

Stakeholder: AB

Representative: AB Focal

Notes: All participating CBs are to be listed in the matrix below. This is to be provided to the SMS by the AB no later than March 10th, 2013 and thereafter upon request.The CBs projected dates cannot be earlier than the date of approval of the AB by the SMS

Transition Status:

CB Name: CB Contact Person: E-mail Address:CB Risk Mitigation Plan Receipt Date:

(dd/mm/yyyy)

Projected Application Date

(dd/mm/yyyy)

Projected assessment start

date (dd/mm/yyyy)

Projected 9104-1 accreditation dates

(dd/mm/yyyy)

Actual 9104-1 accreditation date

(dd/mm/yyyy)Status / Comments:

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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 …..RMC 9104-1 Plan

Questions?

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