Body Of Knowledge for OP Assessors
Will S. Tate Triumph Group
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.
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
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
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
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
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.
Applicability
CB Office Assessment Body of Knowledge
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
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)
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
Audit Time Determination process: AS91XX:2009 For Audits performed in 2012
Additional time per AS9104
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
Upgrade audits
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)
CB Witness Assessment Body of Knowledge
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)
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)
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
For AB, AAB & TPAB Oversight see Presentation Attached
Burning questions