Registration Management Committee
Body Of Knowledge
for OP Assessors
Will S. Tate
Triumph Group
OP Assessor Workshop, San Diego, CA - 17 January 2013
Company Confidential
Registration Management Committee
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.
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
Documents comprising BOK
• AS9104-1 & AS9014
• AQMS Standards AS9100/9110/9120
• AS9104-2
• AS9104-3
• ISO 19011
• ISO 17011
• ISO 17021
• ISO 17024
• IAF Mandatory Documents
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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.
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
Applicability
AQMS
Stds
ISO
17021
ISO
17011
ISO
17024
AS9104-1
AS9014
AS9104-2
AS9104-3
AB
X
X
X
X
CB
X
X
X
X
AAB
X
X
X
X
X
TPAB
X
X
X
X
X
X
X
ISO
19011
IAF
Docs
X
X
X
OP Assessor Workshop, San Diego, CA - 17 January 2013
X
Registration Management Committee
CB Office Assessment
Body of Knowledge
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
CB Office Assessment
• 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)
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
CB Office Assessment
• 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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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.
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
Additional time per AS9104
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
“Upgrade audits”
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
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)
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
CB Witness Assessment
Body of Knowledge
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
CB Witness Assessment
• 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)
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
CB Witness Assessment
Focus 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)
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
CB Witness Assessment
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
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
For AB, AAB & TPAB Oversight see
Presentation Attached
OP Assessor Workshop, San Diego, CA - 17 January 2013
Registration Management Committee
Burning questions
OP Assessor Workshop, San Diego, CA - 17 January 2013