Supplemental Rule 002:
Rules for AS9104/1:2012
Transition
Susie Neal
12 March 2012
Company Confidential
1
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
2
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
3
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
4
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
5
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
6
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
7
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 decisionmaking 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
22
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.
23
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:
9104-1Transition Matrix
Date of Report:
Stakeholder:
Representative:
SMS
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 Matrix
Date of Report:
Stakeholder:
Representative:
AB
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
Projected 9104-1
Actual 9104-1
assessment start accreditation dates accreditation date
(dd/mm/yyyy)
(dd/mm/yyyy)
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 …..
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Questions?
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