Transcript Document 7292172

Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
9104-1
’Requirements for Aviation, Space, and
Defense Quality Management System
Certification Programs’
Prepared and Presented by
Michael C. Roberts, Boeing Technical Fellow
Auditor Training and Workshop Session
Minneapolis, MN
July 30-31, 2009
1
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Michael C. Roberts
(mini-bio)
• Boeing Technical Fellow – Quality Technology
– 35 Years in Failure Analysis, Reliability, & Quality at
McDonnell Douglas and Boeing IDS
– Focus Areas in Microelectronics, Metrology, and
Quality Technology
– Past Chair and Charter Member of the RMC
– Past Co-Chair and Charter Member of the OPMT
– RMC Member at Large and OPMT Alternate Member
– Education: BSEE, MSEE, MSEngMgt
– Boards: SAE Institute, UL-DQS
– ASQ Certs: CQE, CQM
2
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Caveat Emptor
Note: The 9104/1 Standard Has
Neither Been Balloted Nor Published.
Therefore, All Information Contained
Herein Is Considered “Proposed”
and “Subject to Change”
3
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
In the beginning …
There was AIR 5359 …
… and everything was right and proper
in the aerospace world.
But man was not satisfied …
… so he asked for OASIS
… and surveillance
… and ICOP.
And the ABs, CBs and Auditors multiplied.
4
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
So, 9104 was born !
It was Internationally harmonized …
… and became the standard from which
the Aerospace Industry managed ICOP.
But man was still not satisfied …
… so he asked for a separate Surveillance doc,
… and a separate Training and Qualification doc,
… and wanted a number of topics redefined.
And thus, the 9104 Trilogy was created.
5
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
The 9104 TRILOGY
General
Requirements
-1
9104
Oversight
Activity
-2
-3
Training and
Qualification
6
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
History of 9104-series Releases:
• AS9104A
Jan 2005
– Quality Management System Certification/Registration
Programs
• AS9014
July 2006
– AAQG Requirements for AQMS Certification/Registration
Programs
• AS9104-2
Mar 2007
– Oversight of Aerospace QMS Registration/Certification
Programs
• AS9104-3
Mar 2007
– Aerospace Auditor Competency and Training Programs
• AS9104-1
Est. 1Q2010
– Aviation, Space and Defense QMS Certification Programs
7
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Today’s Game Plan
• International Team Approach
• Review of Changes to 9104-1
– High Level Changes Per Chapter
– Discuss Audit Day Table
– Discuss Multiple Site Certifications
• What’s Next
– Schedule / Predictions
• Questions ?
8
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
9104-1 International Re-write Team
Roll
Name
Sector
Representing
Company
Team Leader
Mike Roberts
AAQG
OPMT
Boeing
Team Sponsor
Rick Downs
AAQG
OPMT Chair
Cessna
Team Member
Tim Lee
AAQG
OPMT
Boeing
Team Member
Vince May
AAQG
OPMT
Honeywell
Team Member
Rich Vinton
AAQG
RMC / AAQG
Raytheon
Team Member
Mike Gallagher
AAQG
OPMT
Lockheed
Team Member
Patrice Bleau
AAQG
RMC
Bombardier
Team Member
Reg Blake
AAQG
CBs
IAAR
Team Member
Lori Scheid-Gillespie
AAQG
ABs
ANAB
Team Member
Gualtiero Arsento
EAQG
OPMT
Alenia
Team Member
Herbert Mairose
EAQG
OPMT
Airbus
Team Member
Ian Folland
EAQG
ABs
UKAS
Team Member
Hans Luuijt
EAQG
OASIS
ASD
Team Member
Giuseppe Leoni
EAQG
OPMT
Agusta Westand
Team Member
Tamaki Nishio
APAQG
OPMT
IHI
Team Member
Akihiro Iguro
APAQG
Team Member
Shuji Komori
APAQG
JRMC
FHI
SAE Editor
Jeff Wood
AAQG
SAE
SAE
MHI
9
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Chapters, Book Bosses, Etc.
# Chapter Title
1
2
3
4
5
6
7
8
9
10
11
12
Rationale
Foreward
Table of Contents
Scope
References
Definitions
Requirements for Sector Management Structure
Requirements for Accreditation Bodies
Requirements for Certification Bodies
Requirements for Auditors
Requirements for Audits and Reporting
Requirements for Oversight
Requirements for Auditor Authentication Bodies
Requirements for Training Provider Approval Bodies
Online Aerospace Supplier Information System
Book
Boss
Mike R
Mike R
Jeff W
Rick D
Tim L
Lori S-G
Mike R
Ian F
Tim L
Gualtiero A
Rick D
Tamaki N
Mike G
Mike G
Hans L
Chapter Team
Status
Complete
Complete
To Be Worked
Tim L, Vince M, Gualtiero A
Complete
Ian F, Hans L
Complete
Gualtiero A
Complete
Complete
Lori S-G, Gualtiero, Mike G
Complete
Reg B, Ian F, Hans L
Complete
Hans L, Vince M, Tim L,
Tamaki N, Ian F, Reg B
Complete
Tim L
Awaiting EAQG
Complete
Complete
Complete
Jay M, Mike R
Complete
10
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Chapters, Book Bosses, Etc.
# Chapter Title
13
14
15
16
17
18
19
Other Party Management Team
Feedback Process
Sector Management Structure
Cross Frontier Policy for 9104/2 Oversight
Records
Requirements for Certified Organizations
Fees and Financials
A Appendix - Information for OASIS Database
B Appendix - Change Procedure for OASIS
C Appendix - Process Flows
Book
Boss
Rick D
Hans L
Tim L
Ian F
Tim L
(continued)
Chapter Team
Status
Complete
Complete
Tamaki N, Herbert M
Ian F, Reg B, Tim L, Tamaki N
Complete
Tim L
Complete
Complete
Complete
Mike R
Hans L
Hans L
Reg B
Complete
Reg B
Complete
Cancel
Cancel
11
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Significant Changes to 9104-1
Note: 9104-1 is a total rewrite of the
original 9104 document. This
presentation will only focus on the
major changes that deviate
significantly from the past standard
and implementation practices.
12
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
• 1. Scope
(C 1)
significant changes
– Introduces ICOP
– Sets Applicability to SMS, OPMT, ABs, CBs,
and CBMCs
– Expands Applicability to IAQG Member
Companies, AABs, TPABs, etc.
– Defines AQMS as 9100, 9110, & 9120
– Sets Confidentiality Expectations
13
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 2)
• 2. References
significant changes
– Upgrades to the New ISO/IEC Documents
• 17011, 17021, etc.
– Upgrades to the New IAF Documents
• MD 1, MD 2, MD 3, MD 4, MD 5, ML 4, GD 3, etc.
– References IAQG Procedures
– Establishes Equivalencies for AS, EN, JISQ,
SJAC, NBR, etc. (sector publications)
14
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 3)
• 3. Definitions
significant changes
– Increased # of Definitions from 11 to 27
• 17 new, 1 deleted, most others slight changes
– Added Definitions for
• AQMS, AAB, CBMC, ICOP, OPMT, TPAB
• Assessment, Audit, Containment, Pre-Audit,
Office Assessment, Witness Audit, Witness
Assessment
• Multiple Site Organization, Single Site
Organization, Head Office
• Cross Frontier
15
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 4)
• 4. General
replaced with
• 4. Requirements for Sector Mgt Structure
– Defines authority for the SMS, CBMC for
•
•
•
•
•
•
Review and Recognition of ABs, Accreditation of CBs
Review and Recognition of AABs and TPABs
Data Reporting to OPMT and OASIS
Approval, Suspension and Withdraw of Entities
Defining a Process for Resolutions
Define and Enforce impartiality / Conflict of Interest
16
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 5a)
• 5. Accreditation Bodies
significant changes
– Defines requirements for
•
•
•
•
•
•
Conformance to ISO 17011 and IAF ML 4
AB Personnel Aviation Experience
CB Application and Review Process
Scope of Accreditation
Right of Access
Surveillance Requirements (new table)
– # of CB Client Files to be Reviewed Annually
– # of Witness Assessments
17
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 5b)
• 5. Accreditation Bodies (cont.)
significant changes
– Defines requirements for (continued)
•
•
•
•
•
•
•
Auditor Competency
Marks and Logo Use
Suspension and Withdrawal Process
Closure of Nonconformities
Records Retention
Complaint/Issue Resolution Process
Personnel / Assessor Team Requirements
18
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 6a)
• 6. Certification Bodies
significant changes
– Defines requirements for
•
•
•
•
Conformance to ISO 17021 and IAF MD & ML Docs
CB Maintaining ISO 9001 Accreditation
CBs Audit Program Must Conform to 9101
CBs Certification Function Must Have a Person with
Aviation, Space, or Defense competence
• CB Auditors Must Be Competent and Authenticated
to ISO/IEC 17021, 9104/3, and this standard
• Periodic Surveillance and Oversight
• CB is Responsible for Ensuring Data is Accurately
19
Entered Into OASIS
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 6b)
• 6. Certification Bodies (cont.)
significant changes
– Defines requirements for (continued)
•
•
•
•
•
•
•
•
CBs Must Have an OASIS Administrator
CBs Must Have a Complaint/Resolution Process
CBs Audit Program Must Conform to 9101
NO CB Consultancy
Responsibility for Integrity and Validity of Certificates
CB Suspension and Withdrawal
CB Rules for ASRP and CAAT
Audits Involving Areas and Materials Which Are
Classified and/or Export Controlled
20
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 7)
• 7. Auditors
reference to 9104/3
– Re-states (simplified) requirements for
• Auditor Competency Detailed in 9104/3
• Responsibility for Evaluation, Authentication, and
Re-Authentication of AQMS Auditors
• “Auditors Authenticated in One IAQG Sector Shall
Be Recognized by the Other Sectors”
• Withdrawn Auditors May NOT Re-Apply for 12
Months in Any IAQG Sector
21
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8a)
• 8. Audits and Reporting
significant changes
– Defines requirements …
• Audit Team Leader Must Be an AEA and Be On-Site
and Participating in All Audits, Including Multi-site
• Audit Team Leader Shall Be Limited to a Maximum of
Two Consecutive Certification Cycles at Same Client
• Audit Team Leader Must Provide Nonconformity
Reports (re. 9101) at the Closing Meeting
• Cannot Issue Certification or Re-Certification Until …
– All Major and Minor Nonconformities Have Been Contained,
Satisfactorily Corrected with Root Cause Analysis,
Corrective Action Has Been Implemented, Reviewed, 22
Accepted, and Verified by the CB.
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8b)
• 8. Audits and Reporting (cont.)
significant changes
– Defines requirements (continued) …
• Duration of Audit
–
–
–
–
–
New Audit Day Table
NO Reductions From Audit Day Table Is Allowed
Increases To Audit Day Table Is Allowed and Expected
Table is Compliant to IAF MD 5
New Table Specifies Initial, Surveillance, & Recertification
Days for 9100/9110, 9100/9110 Less Design, and 9120.
– Audit Day Table DOES NOT Include Non-Audit Time (travel,
meals, breaks, etc.)
– Audit Day Table DOES NOT Include Auditor Time for Audit
Planning, Writing of Reports, Filling Out 9101 Forms, etc.
23
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
New Audit Day Table (partial)
Number of
Employees
1-5
6-10
11-15
16-25
26-45
46-65
66-85
86-100
101-125
126-175
176-275
276-425
426-625
626-875
876-1000
1001-1175
1176-1550
1551-2025
2026-2675
9100 / 9110
9100 / 9110 Less Design (7.3)
Initial
Annual
Surveillance
Recertification
Initial
2.0
2.5
3.0
3.5
5.0
6.0
7.0
8.0
8.5
9.5
10.5
12.0
13.0
14.0
15.0
16.0
17.0
18.0
19.0
1.0
1.0
1.5
1.5
2.0
2.5
3.0
3.0
3.5
4.0
4.0
5.0
5.5
5.5
6.0
6.5
7.0
7.0
7.5
2.0
2.0
2.5
3.0
4.0
4.5
5.5
6.0
6.5
7.0
8.0
9.0
9.5
10.5
11.0
12.0
12.5
13.5
14.0
2.0
2.5
2.5
3.0
4.5
5.0
6.0
7.0
7.5
8.0
9.0
10.0
11.0
12.0
12.5
13.5
14.5
15.0
16.0
Annual
Recertification
Surveillance
1.0
1.0
1.0
1.5
2.0
2.0
2.5
3.0
3.0
3.5
3.5
4.5
4.5
5.0
5.0
5.5
6.0
6.0
6.5
1.5
2.0
2.0
2.5
3.5
4.0
4.5
5.0
5.5
6.0
6.5
7.5
8.0
8.5
9.0
10.0
11.0
11.5
12.0
9120
Initial
2.0
2.0
2.5
3.0
4.0
4.5
5.5
6.0
6.5
7.5
8.0
9.0
10.0
10.5
11.5
12.5
13.0
13.5
14.5
Annual
Recertification
Surveillance
1.0
1.0
1.0
1.5
2.0
2.0
2.5
2.5
3.0
3.0
3.5
4.0
4.5
4.5
5.0
5.5
5.5
5.5
6.0
1.5
1.5
2.0
2.0
3.0
3.5
4.0
4.5
5.0
5.5
6.0
7.0
7.5
8.0
8.5
9.5
10.0
10.5
11.0
24
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8c)
• 8. Audits and Reporting (cont.)
significant changes
– Defines requirements (continued) …
• Audit Days
– Audit Day is 8 Hours
» Working Longer Still Counted As 8 Hours
(cannot do 4 days of 10 hrs to equal 40 hours)
– Must Audit All Working Shifts
– Table is Compliant to IAF MD 5
» Shift Auditing Still Meets 8 Hour Daily Limitation
• Audit Day Rules for Multiple AQMS Standards
• Audit Day Rules for Adding AQMS Standards
25
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8d)
• 8. Audits and Reporting (cont.)
significant changes
– Defines requirements for (continued) …
• Multiple Site Certifications
– Must Comply with IAF MD 1, PLUS Requirements in 9104/1
» IAF MD 1 Section 0.4 is not applicable for aviation, space
and defense organization certifications
» “Temporary sites” is also not applicable
– All Sites Audited to the Complete and Applicable AQMS
Standard Prior to Certificate Issuance
– Sampling of Sites for Surveillance and Recertification is
ONLY Allowed for 9120, and Limited to Same Country
26
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8d)
• 8. Audits and Reporting (cont.)
significant changes
– Defines requirements for (continued) …
• Multiple Site Certifications
– For 9100 and 9110 Certifications, Two (2) Categories of
Certification of Multiple Sites Are Defined
» Cat 1
Sites meet eligibility criteria for IAF MD 1
» Cat 2
Sites meet eligibility criteria for IAF MD 1 & 3
Note: It is anticipated that 90+% will seek/attain Category 1,
and less than 10% will seek or achieve Category 2.
27
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
New Multiple Site Certification Categories
Category
Organization Scope
Audit Frequency
Note: See Table 2 for audit day calculations.
Annual Surveillance - Years 1 and 2
1
Meets the eligibility requirements of
IAF MD 1 for sampling;
and
Does not meet the eligibility
requirements of IAF MD 3 for advanced
surveillance.
Year 1 - Central function and approximately
50% of sites
Year 2 – Central function and remaining
sites not audited in year 1
Re-certification – Year 3 – Central function
and all sites
Annual Surveillance and Re-certification
2
Meets the eligibility requirements of
IAF MD 1 for sampling;
and
Meets the eligibility requirements of
IAF MD 3 for advanced surveillance.
Year 1 - Central function and approximately
33% of the sites
Year 2 - Central function and approximately
50% of the sites not reviewed in year 1
Year 3 – Central function and remaining
sites not reviewed in year 1 or 2
Audit plan shall ensure that the maximum
duration between each site’s audit is not
greater then 48 months.
28
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8e)
• 8. Audits and Reporting (cont.)
significant changes
– Defines requirements for (continued) …
• Multiple Site Certifications (Categories 1 & 2)
– Central Function MUST Be Identified and Meet Criteria
– Audit Days Calculated For Employee Count For Each
Individual Site (NOT the cumulative sum of employees at all
sites covered by the certification)
– Central Function Audited Yearly
– All Sites Visited At Least Once During Certification Cycle
– Once Total Audit Day Requirement is Calculated, Some
Allowance Is Given to Reduce Time At One Site and Add
Time At Another Site For Proper Justification. (Time at one
site cannot be reduced by more than 33% for Cat 1 or 50%
29
for Cat 2.)
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 8f)
• 8. Audits and Reporting (cont.)
significant changes
– Defines requirements for (continued) …
• Issuance of Certificates
– Required Info (e.g.. AQMS Std, Rev Level, Audit in
Accordance with AS9104/1, CB Identity, Issue & Expiration
Dates, Scope, Multi-site info, Marks/Logos) in English
– Information Posted to OASIS
•
•
•
•
Transfer of Certificates
Loss of Certification
ASRP
CAAT
30
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 9)
• 9. Oversight Process
reference to 9104/2
– Defines requirements …
• Refers to 9104/2 for Detailed Requirements
• Requires ICOP Declaration Form Completed and Filed
• Sharing of Results
31
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 10)
• 10. Auditor Auth. Bodies
new section
– Defines requirements …
•
•
•
•
•
•
•
•
•
AAB Must Be In Accordance With ISO 17024
AAB Must Comply with 9104/3
Agree to Oversight / Surveillance
Auditor Complaint / Appeal Process
Activities Outside of Region / Sector
Process to Determine Auditor Competency
Marks / Logos
Suspension / Withdrawal
Record Retention
32
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 11)
• 11. Train Prov. Approval Bodies
new section
– Defines requirements …
•
•
•
•
•
•
•
•
TPAB Must Comply with 9104/3
Agree to Oversight / Surveillance
Conflict of Interest
Auditor Complaint / Appeal Process
Activities Outside of Region / Sector
Suspension / Withdrawal
Re-application After 12 Months
Record Retention
33
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 12)
• 12. OASIS
new section
– Defines requirements …
• OPMT Has the Responsibility for OASIS
• OASIS Administrators Required
– Only CB Administrator Can Enter Audit Data Into OASIS
– Client Administrator to Input/Validate Demographic Data
• Withdrawn CBs Visible for 6 Months
• Created a Responsibility Matrix for Data Correctness
34
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 13)
• 13. Other Party Mgt. Team
new section
– Defines requirements …
• The OPMT Has The Authority to Publish the 9104Series Standards Per IAQG Procedure 103
• Sector Reviews (Audits) Required Every 2 Years
• OPMT Has the Responsibility for OASIS
– Periodic Reviews of OASIS Management, Operations
• Reports to IAQG (Int’l OPMT and Sectors)
• Improvements to ICOP Scheme
• Monitor Feedback Process
35
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 14)
• 14. OASIS Feedback Process
new section
– Defines requirements for
FEEDBACK - B
Certification
Body
Product / Process
Quality
Audit
Audit Findings
Supplier
Customer
FEEDBACK - A
FEEDBACK - C
36
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 15)
• 15. Sector Mgt. Structure
further definition
– Defines requirements …
•
•
•
•
•
ICOP Scheme Globally Supported by SMS
Authority / Recognition
AB and CB Suspensions
Resolutions
SMS Represented on OPMT
37
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Sector Management Structure
IAQG Council
IAQG OPMT
European SMS
Americas SMS
Asia Pacific SMS
EU OPMT
AAQG - RMC
APAQG - RMC (OPMT)
(tentative)
Oversight/Surveillance Team
Oversight/Surveillance Team
Auditor Authentication &
Training Review Team
Auditor Authentication &
Training Review Team
Oversight/Surveillance
Team
Auditor Authentication &
Training Review Team
xx
Documentation
Documentation
CBMCs per country
Documentation
RMCs (CBMCs）
Oversight/Surveillance Teams
Oversight/Surveillance Teams
Auditor Review Team
Auditor Review Team
38
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 16)
• 16. Cross Frontier
new section
– Defines requirements …
• Compliance to IAF GD 3
• ABs, SMSs, and CBMCs Conducting Oversight In
Countries Other Than Their Country of Accreditation
• ABs Can Sub-Contract Work to Other ABs/Sectors
• Accrediting AB Retains Responsibility
• Fees Can Be Levied On CBs For Oversight Outside
SMS/CBMC Region.
39
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 18)
• 18. Certified Organizations
new section
– Defines requirements …
• Certified Organizations Must Allow CB to Post Tier 1
and Tier 2 Audit Data to OASIS Database.
– Agree Tier 1 Is Public Information
– Agree to Provide Access to Tier 2 Upon Request of Aviation,
Space, and Defense Customers (unless justification of
competition confidentiality, conflict of interest, etc.)
– Agree to Notify Their Aviation, Space, and Defense
Customers in Case of Loss of Certification
– Shall Provide ‘Right of Access’ to Their Facilities, People,
and Processes For Review by Customers and Authorities.
40
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Changes to 9104-1
(C 19)
• 19. Fees and Financials
minor changes
– Defines requirements ...
• OPMT Can Recommend Fees For Registration of
Audit Data in the OASIS Database
• OPMT Must Prepare an Annual Budget
– Submit to IAQG Treasurer
– Estimate Contract Labor, Meeting/Workshop Costs, Sector
ICOP Projects, and OASIS Sustainment and Improvements
41
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
What’s Next
Schedule / Predictions
42
Implementation
6-Feb-09
Book Boss Review / Clean-up
Submit for OPMT / Sector Review
AAQG & IAQG Meeting
Challenge by EAQG - Audit Table
SWG Meeting
Challenge by EAQG - Multi-site
RMC Auditor Workshop
Final Document Clean-Up
SAE Editor
Send To Sectors for Formal Review
Formal Review by Sectors
AAQG & IAQG Meeting
Review / Implement Comments
Send To Sectors for Ballot
Ballot
Americas and Asia
Asia
Europe
Review Ballot Comments
Send to Sectors for Final Approval
Publish Europe and Americas
Publish Asia
1
43
1
1-Jan-11
Activity
1-Jul-10
13-Mar-09
20-Mar-09
27-Mar-09
3-Apr-09
10-Apr-09
17-Apr-09
24-Apr-09
1-May-09
8-May-09
15-May-09
22-May-09
29-May-09
5-Jun-09
12-Jun-09
19-Jun-09
26-Jun-09
3-Jul-09
10-Jul-09
17-Jul-09
24-Jul-09
31-Jul-09
7-Aug-09
14-Aug-09
21-Aug-09
28-Aug-09
4-Sep-09
11-Sep-09
18-Sep-09
25-Sep-09
2-Oct-09
9-Oct-09
16-Oct-09
23-Oct-09
30-Oct-09
6-Nov-09
13-Nov-09
20-Nov-09
27-Nov-09
4-Dec-09
11-Dec-09
18-Dec-09
25-Dec-09
1-Jan-10
8-Jan-10
15-Jan-10
22-Jan-10
29-Jan-10
5-Feb-10
12-Feb-10
19-Feb-10
26-Feb-10
5-Mar-10
12-Mar-10
19-Mar-10
26-Mar-10
2-Apr-10
9-Apr-10
16-Apr-10
23-Apr-10
30-Apr-10
7-May-10
14-May-10
21-May-10
28-May-10
6-Mar-09
27-Feb-09
20-Feb-09
13-Feb-09
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Revised Schedule
2
3
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
9100/9101 Transition Plan (Proposed)
9101
Release
Maximum
6 Months
Develop
Auditor
Training
Release of
9104/1
OPMT
GoAhead
Maximum
12 Months
Training of Certification
Bodies and Auditors
Earliest Opportunity
for Certification to
New Standard
(i.e. the early adopters)
Est.
1Q2011
Est.
1/1/2012
Maximum
12 Months
All Companies Must
Upgrade to New Standard
At Next Surveillance Audit
Or Re-Certification
Maximum
Allowed
Time to
Upgrade
44
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
9104/1 Transition Plan (Proposed)
9104/1
Ballot
Est.
9-12
Months
9104/1
Release
~ 5 Months
1
Month
2
Months
6-9
Months
Existing Contracts Must Be
Changed to Meet 9104/1
At Next Audit (I,S,R)
All ABs & CBs Must Be
Compliant to New 9104/1,
Except Audit Day
Times and M/S
All New Contracts Must Be
Written to New Auditor
Time Tables and 9104/1
Requirements
Maximum
Allowed
Time to
Upgrade
45
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
QUESTIONS?
46