aaqg agenda - sae international...–incorporate stakeholder feedback (swot analysis) –to...

AS9104/1A”Requirements for Aviation, Space, and Defense

Quality Management System Certification Programs”

Pending Changes

Tim Lee

The Boeing Company

Registration Management Committee – July, 2019 - Torrance, CA 1

Purpose

• To provide an overview of the AS9104/1A revision process, proposed changes, and next steps as this moves to the IAQG ballot process.

• Your assistance is needed:

– Stay informed

– Client Awareness

– Provide feedback

– Support Transition

Registration Management Committee – July, 2019 - Torrance, CA 2

The IAQG is a legally incorporated international not for profit association (INPA) with membership from the Americas, Europe and the Asia Pacific Region (Rev. 08-2015)© 2018 IAQG

Core Team Members• IDR & Project Lead – Tim Lee

• Administrator – Ian Folland

• OPMT Leadership – Susie Neal

• Americas SDR – Darrell Taylor

• Americas SDR – Eric Jefferies

• European SDR – Marie-Laurence Petit

• Asia Pacific SDR – Katsuji Fukumoto

• Certification Body Representatives

– Americas – Bob Parsons

– Europe – Brendon Hill

– Asia Pacific – Shunsuke Yano

• Accreditation Body Representative – Dale Gordon


Sub-Teams

• The core team has determine that the most effective way to manage

this revision project is to utilize a core and sub team structure.

• The following sub teams and leaders have been established:

– Committee – Marie-Laurence Petit, Airbus

– Accreditation Bodies – Dale Gordon, ANAB

– Certification Bodies – Bob Parsons, NQA

– Certification Process – Darrell Taylor, Raytheon

– Authentication Process – Eric Jefferies, Textron


Design Specification and Scope Matrix:• The core team has created a detailed design

specification which includes the scope,

boundaries and revision details.

• A detailed revision scope matrix was also

generated in order to support development of

the design specification. Linked in Spec.15-Apr-18

9104-001 Revision Sub Teams

Team Stakeholder Group Process Requirements Scope of Revision Activity Focus Areas: Responsibilities

0 Core Team ICOP Process

General requirements for the ICOP

scheme and all sections not covered

by the sub teams below.

Alignment of all sub-team input into a

final comprehensive standard.

- Alignment of the structure with reference documents

- Alignment of definitions within existing standards and the IAQG dictionary,

establishing pointers to applicable definitions documents e.g. ISO 9000, ISO

17000.

- Addressing future revisions of reference criteria e.g. ISO, IAF MDs etc.

including process for implementation (conflicts or supplementation)

- For oversight, pointing to 9104-002 and remove any duplicate requirements

- Ensuring we have criteria for ownership, operation, management, use and

change management of OASIS NG - not duplicating other areas of the standard

- Reviewing the use 'OASIS' in the standard or 'IAQG Online Aerospace Supplier

Information System'. Can the name be protected?

- Establishing what should be expected to be seen, entered and accessible from

OASIS.

- Integration of OASIS Resolutions

- Removing OASIS entity requirements and ensuring they are in the entity

sections e.g. CB, AB, OPMT, etc.

- Simplifying OASIS feedback, clarifying generic rules, evaluating management

and closure of feedback. Encouraging use.

- Establishing complaints and appeals entered into OASIS for the ICOP scheme

- Reviewing and evaluating the IAQG procedures for use of OASIS. Discuss,

review - don't duplicate.

- Ensuring records are within entity sections. Establish if a generic section is

needed. Establish the retention requirements.

- Review ISO 15489 standard on records.

- Removing internal IAQG finance from standard.

- Establishing rules for non payment of financials - under each entity

- Review and consideration of removal of Appendix C

All Teams Responsibilities

- Resolution of issues and lack of consensus

- Final approval of ballot drafts (IDR and SDR's)

- Veto and return of conflicting draft requirements

- Disposition of comments and feedback

- Soliciting input from all relevant stakeholders

- Co-ordination and reporting with IAQG sectors and IAQG EC / SWG / Requirements

Team

- Developing and maintaining a change matrix of all changed requirements

Rationale for change

– Align criteria with the changing business environment, keep pace,

address future needs

– Align with ISO17021-1:2015, ISO 17011:2017 criteria and IAF

Mandatory Documents

– Language to align with ISO9001 and 9100:2016 principles, and IAQG

Dictionary

– Incorporate Stakeholder feedback (SWOT Analysis)

– To incorporate Lessons Learned and address identified weaknesses

Registration Management Committee – Month, Year- Meeting Location 6

Revision shall be in alignment with the approved design specification.


Key Items Under Development

The structure of the standard will be revised to align with ISO/IEC

formats (e.g., ISO/IEC 17021-1), including the subsection structures.

General – Structural – Resources – Process – Management System

The revised standard will not duplicate existing requirements from the

ISO/IEC certification/accreditation standards and IAF MDs.

Record retention requirement shall be changed from two certification

cycles (6 years) to a minimum of 10 years

All key items under development are subject to change, revision, and shall

be approved by all team members prior to Coordination Draft



• Ethical conduct, IAQG policy related to ethical conduct shall be

included as a requirement for all participants in order to protect the

integrity of the ICOP certification scheme.

• CSOC: (Certification Structure Oversight Committee) The role

and responsibilities of the CSOC will be removed due to

elimination of the approval of complex structures. The IAQG

OPMT and 9104-001 IDR/SDRs will provide support in the future.

8



Accreditation Bodies :

AB Location: ABs will be able to accredit CBs irrespective of

the sector location, without providing awareness of the AB

sector availability.

Accreditation Body Assessment:

Accreditation Body Assessment table will be revised to reduce

the number of client file by one third of the previous number for

larger CBs and a new formula (based on number of CB audit

days) to determine the number of witness audits.



Certification Bodies :

The CB shall require client participation in the audit

planning process by submitting QMS performance and

change data in advance of any audit.

Documented information shall be retained




The certification structure and audit duration calculation

processes will be revised to include a new Organization

Certification Analysis Process (OCAP):

• Single site and multiple site structures only

• No campus structure due to changes to IAF MD (not allowed)

• MD5 baseline plus 20% as a starting point

• Non-applicable processes shall result in audit duration reduction

from the established minimum baseline.

• OCAP will be used to drive audit duration increases or allow for

decreases, with limitations




The OCAP shall include the following concepts:

Scope of the

Organization

Certification

Structure

Mapping

AQMS

Risk

Assessment

Audit Time

• AQMS Standard

• Core Processes

• IAQG Standards

• Site(s)

• Virtual & Temp

• QMS Processes

• Surveillance

• Org Performance

• Complexity

• Customer Satisfaction

• Risk

• High – Med – Low

• Onsite

• Off Site

• Duration

• MD 5 Baseline

• Planning

• Auditing

• Report writing



• Appendix will

include OCAP

Model

• Optional not

mandatory



Certification

Bodies :

– Client shall identify

supporting IAQG

standards they

have implemented

within their AQMS


Key Items Under DevelopmentCertification Bodies :

Audit duration

The CB shall be given flexibility to determine the amount of calculated audit

duration to be used at each site. The duration shall be based on the OCAP,

justified and supported with documented information

Audit report writing shall be included in audit duration calculations and the

baseline minimum shall be a 10% addition to the final onsite audit calculation.

Added time for report writing may be used during performance of the on-site

audit

Auditor rotation for lead or audit team member: requirement to be a

maximum of 6 consecutive audits, unless justification is submitted and approved

by AB




Integrated Management Systems: use of IAF MD 11 for the

auditing of Integrated Management Systems (IMS).

When IMS is utilized the following criteria will apply:

Client must declare the IMS, including level of integration.

The certificate scope shall be the same.

The CB auditor shall utilize 9101 for the report.

Audit samples must reflect sufficient AQMS evidence

Should one standard be suspended/withdrawn for cause then all

AQMS standards shall be suspended/withdrawn as well



OASIS:

The standard shall be updated to require the use and

reinforcement of the OASIS feedback process by stakeholders,

IAQG OPMT, SMS and RMS when complaints, request for

support or clarification needs to be processed.


Key Items Under DevelopmentAppendices:

The standard will include appendices that clarification:

▪ ICOP Certification Model

▪ OCAP Model

▪ OASIS Feedback Model

All key items under development are subject to change, revision, and shall

be approved by all team members prior to Coordination Draft


Transition

• Team has had preliminary discussions regarding

transition. The following concepts discussed:– AB, CB, AAB, TPAB & Committees to be provided 12 months from

publication

– CB accreditation 18 months from publication

– Initial certification mandate upon CB re-accreditation

– Existing certificates transition to be linked to re-certification


Success:

• Meet all team objectives and deliverables within

agreed dates

• A standard that meets all revision rationale elements– Lean, Clear, Understandable, Concise

• Stakeholder acceptance and buy in:– Successful transition

– OASIS Feedback

– Limit Resolutions & FAQs

• Released for publication by April 2020


Summary:

• The next publication of AS9104/1A will represent a

significant change to the Industry Controlled Other

Party (ICOP) Aviation, Space & Defence (AS&D)

Quality Management System (QMS) certification

process

• All changes are aligned with the revision objectives

and are needed to improve, innovate, add value and

promote confidence in the ICOP certification scheme

• The IAQG welcomes your feedback and we need your

support to make this project a success.

Questions?

23Registration Management Committee – July, 2019 - Torrance, CA