Registration Management Committee
Body of Knowledge (BoK)
for Other Party (OP) Assessors
David Day
GE Aviation
Registration Management Committee
Body of Knowledge
• Purpose of the training module:
– Training on the criteria and processes that OP
assessors will be validating when performing
oversight on behalf of the AAQG/RMC
• Objective:
– Provide OP assessors with knowledge and
tools to perform effective oversight of
Accreditation Bodies (ABs), Certification
Bodies (CBs), Auditor Authentication Bodies
(AABs) and Training Provider Approval Bodies
(TPABs).
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Documents comprising BoK
• AS9104-1 (& AS9014)
certification
• AQMS Standards AS9100/9110/9120
• AS9104-2
oversight
• AS9104-3
auditors and training
• ISO 19011
auditing
• ISO 17011
accreditation
• ISO 17021
certification
• ISO 17024
authentication/approval
• IAF Mandatory Documents
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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 – SR002
• IAQG Resolutions log
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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
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Links to the available documents and data
• IAF Mandatory documents
• IAQG Resolutions log
• ANAB Accreditation Manual, MA 6000
• ISO Auditing Practices Group
• Accreditation Auditing Practices Group
• Supplemental Rules Document SR002
• Certification Structure Guidance Materials
• OASIS
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Remember
• It is the OEM’s responsibility to gain access to these
documents and provide to the assessor; 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.
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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
ISO
19011
IAF
Docs
X
X
X
X
X
X
X
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Registration Management Committee
CB Office Assessment
Body of Knowledge
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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 (OASIS)
– Effective closure of previously issued aerospace related
findings
– File Review
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CB Office Assessment
• Main activity by OP Assessor – File Review
– Registration, surveillance, re-certification process - ISO
17021 (9)
– Competency (qualifications) of audit team - AS9104-3 (7,
8.1), ISO 17021 (7)
– Citation of findings (by CB) – AS9104-1 (8.3), ISO 17021
(9)
– Appropriate resolution of findings – AS9104-1 (8.3), ISO
17021 (9)
– Reporting – AS9104 (8.4), ISO 17021 (9)
– Certification decisions (including competency of
reviewers) – AS9104-1 (8.6), ISO 17021 (7, 9)
– OASIS – AS9104-1
– Proper site structure determination (AS9104-1)
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CB Office Assessment
• A critical aspect is the audit time
– Correct audit duration – AS9104-1: tables 2/3
– Multiple Site – AS9104-1 Table 3
– Competency of staff – AS9104-1, 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 are no longer required to fully understand IAF
Mandatory Document 5 and the auditor-days estimation
process.
– Supplemental Rules SR 001, Section 7e, k
– AS9104-1 Tables 2 and 3
Note: The Audit Calculator Tool automates the calculation
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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
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“Upgrade audits”
8.2.5 Upgrading from ISO 9001 to an Aerospace Quality
Management System Standard
When auditing organizations with an existing ISO 9001
certificate, that are upgrading to an AQMS standard, a full initial
audit (Stage 1 and Stage 2) of all requirements for the applicable
AQMS standard (i.e., ISO 9001 and aviation, space, and defense
industry additional requirements) applying the 9101 standard is
required. Audit duration shall comply with Table 2 and be
calculated using the “Initial” audit column.
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Another critical issue – Multiple Site
• Changed with new AS9104-1
– Refer to table 3 in AS9104-1 for audit
frequency
– Refer to appendix B (Matrix) for certification
structure requirements
– Complex site must be approved by Certification
Structure Oversight Committee (CSOC)
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Registration Management Committee
CB Witness Assessment
Body of Knowledge
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CB Witness Assessment
• Silently gather objective evidence that the
CB is competent and their process conforms
to the relevant standard(s) and other
requirements for accreditation.
ISO 17011 (7.7.2)
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CB Witness Assessment
Focus on:
• Opening and closing meeting (and team caucuses)
ISO 17021 (9), ISO 19011 (6.4)
• 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)
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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 if performed independently. These forms
will then be stored on the RMC private web site.
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For AB, AAB & TPAB Oversight see
Presentation Attached
The attached file is not intended to be
comprehensive, but an outline. The OP
Assessor is responsible to prepare fully.
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Registration Management Committee
Burning questions
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