AQMS Auditor Conference CallsApril 23rd & 26th, 2013

Aaron Troschinetz

SAI Global Technical Manager - Aerospace

Agenda

AS9104-1 Overview

Starting Simple: Quoting Single Sites

Some Other Basics,

Introduction to Multi-Sites in AS9104-1

Getting Complex: Quoting Multi-Sites (Multiple Sites)

Getting Complex: Quoting Multi-Sites (Campus)

Getting Complex: Quoting Multi-Sites (Several Sites)

Getting Complex: Quoting Multi-Sites (Complex)

Other Scenarios: Add-On Sites/Add-On New AQMS Standards

Other Scenarios: Integrated/Combined Audits

Other Scenarios: Transfers

Witness Audit/Office Audit Important Items

Speed and Quality Updates

AS9104-1 Overview

Havent we had enough CHANGE in Aerospace?

Weve had AS91XX:2009 transitions, AS9110B is released/beginning

transitions, AS9101D is under another re-write, AS9104/3 is under

release and now this?

IAQG intent with AS9104-1 is to harmonize supporting scheme

requirements across sectors (Americas, Europe, Asia) as well as bring

supporting Oversight/AB/CB/Client changes with AS91XX:2009 and

AS9101D standards

AS9104-1 is NOT a new standard for clients to become certified to but

RATHER a new standard ABs/CBs must be recognized/accredited with

in the overall Aerospace scheme

Complete standard rewrite from AS9104A to now AS9104-1 (original

standard 30pgs, now almost 50pgs with 20+ new standard definitions and

several new supporting Appendixes)

AS9104-1 Other AQMS Auditor Affected Changes

NEW : requirement which prevents removal of auditor from an assigned client

without substantiated evidence of improper activities (ref. AS9104-1, 6.12)

NEW: requirement for Purchasing activity to be audited minimum of annually (ref.

AS9104-1, 8.2.2n)

NEW : requirement for AEA to be on-site during the course of the entire AQMS

audit (ref. AS9104-1, 8.3.3)

NEW : requirement for auditor change-out after 2 consecutive audit cycles; from

time of AS9104-1 accreditation this is to happen at the next scheduled re-

registration (ref. AS9104-1, 8.3.8, IAQG Resolution #96)

NEW: requirement for 60d closure on any issued NCRs; if NCRs are not closed

within 60d, client suspension is required (ref. AS9104-1, 8.4d)

NEW ... requirement for auditor awareness/incorporation of appropriate OASIS

Feedback Loop items during audit planning and appropriate on-site audit activities

(ref. AS9104-1, 14.2)

TO COME NEW: requirements for initial authentication and re-authentication

within the Aerospace scheme (in alignment with AS9104-3)

Starting Simple: Quoting Single Sites

Simple plug and chug design

reductions only (similar to TS)

Semi-annual surveillances are

annual / 2; round-up

NOTE: All times are on-site audit

duration requirements ONLY and

do not include post-reporting

activities

Some Other Basics,

Increase in audit duration is required for any of the following

considerations: use of translators, identified risk, complexity or increased

scope. The Aerospace Technical Manager can be consulted for these

increases. (ref. AS9104-1, 8.2.2)

All audit durations are 8hrs for a given day (e.g. five audit days of eight

hours cannot be executed as four audit days of ten hours.) (ref. AS9104-

1, 8.2.2)

Auditing on all shifts is required for initial and recertification audits. For

surveillance audits, the planning shall include coverage of multiple shifts,

when the audit plan activities occur across multiple shifts. (ref. AS9104-1,

8.2.2)

For initial registration audit activities, Stage #1 and Stage #2 audit

activities may not be conducted same day or consecutive days. (ref.

AS9101D, 4.3.3).

Stage #1 audit durations are taken from the total initial registration audit

duration and normally 1-2d in duration.

Introduction to Multi-Sites in AS9104-1

The most single complicated aspect of AS9104-1$

We are no longer operating with multi-site certificates only; AS9104-1

introduces (4) distinct multi-site definitions including Multiple Site, Campus,

Several Sites and Complex Organization

An analysis is required using the Certificate Structure Determination

Worksheet using a series of questions; there may be instances where all

questions are NOT Yes in which case the most appropriate structure must

be selected

Determination using the Certificate Structure Determination Worksheet

requires client acknowledgment (signature, electronic record)

When handling any multi-sites get the Technical Manager involved with a

completed Certificate Structure Determination Worksheet

AS9104-1 will bring site-specific scopes on the clients certificate and

design/non-design audit duration application on site basis

Application of design vs non-design is allowed on a site basis within an

overall multi-site certificate

Getting Complex: Quoting Multi-Sites (Multiple Sites)

Key Aspects:

Central function w/ legal relationship

Substantially same processes (80%)

One management system

(1) address per site listed

Unique Considerations:

Multiple Site certificate structures, if they comply with IAF MD#1,

(Sampling Requirements) can apply Reduced Surveillance

requirements (50% of the sites audited in surveillance year #1 +

central function; remaining 50% of the sites audited in surveillance

year #2)

Getting Complex: Quoting Multi-Sites (Campus)

Key Aspects:

Central function w/ legal relationship

Decentralized, sequential linked product

realization processes

Outputs of one site are input to another

More than one process may be

substantially same processes (80%)

Unique Considerations:

Campus definition is not geographically bound

Audit durations calculated using all sites headcount rolled-up +

10% added; then apportioned out to each site

Campus certificates must have one controlling site address

identified

Getting Complex: Quoting Multi-Sites (Several Sites)

Key Aspects:

Central function w/ legal relationship

Substantially NOT the same processes

(

Getting Complex: Quoting Multi-Sites (Complex)

Key Aspects:

Central function w/ legal relationship

Any combination of Multiple Sites,

Campus, Several Sites in one uber

overall AS certificate

Unique Considerations:

Can take advantage, on a variety of sites (within the overall site

listing), of each of the allowed audit duration requirements

Requires COSC approval; lengthy review process

Other Scenarios: Add-On Sites/Add-On New AQMS Standards

For the purposes of adding sites to an existing registration, re-registration

audit duration must be conducted.

For the purposes of adding a new AQMS standard to an existing

registered site, full initial audit time is required for the new AQMS

standard

For the purposes of adding a new AQMS standard to an existing ISO

9001:2008 registered site, full initial audit time is required for the new

AQMS standard

Other Scenarios: Integrated/Combined Audits

For sites with more than (1) AQMS standard (AS9100+AS9110;

AS9100+AS9120, etc.), the approximate percentage level of integration

must be determined. Characteristics of integration must include an

integrated approach with management reviews, audits, policy/objectives,

systems/processes, documentation, improvement and overall planning

processes. The following percentage levels of integration (using these

characteristics) support the required audit durations (ref. AS9104-1,

8.2.2):

> 80% integration: considered fully integrated; increase required audit

duration for primary standard by 15%

50% > 80% integration: considered partially integrated; increase required

audit duration for primary standard by 30%

< 50% integration: not integrated; full audit durations required for all

standards

For AQMS standard plus ISO 14001, ISO/TS 16949, etc.; AQMS audit

durations must be unaffected

Other Scenarios: Transfers

For any transfers, IAF MD #2 is fully applicable as well as some of the

following additional sector-specific requirements: 1) Only valid

certifications under ICOP scheme, by a CB with a valid accreditation are

eligible for transfer; 2) No transfers can be completed if OPEN NCRs

exist with the organizations previous CB (unless this CB has ceased

activities in the ICOP scheme); 3) transfers within the last 12mos of their

certificate period require a full Stage #1 and Stage #2 audit activity

(AS9104-1, 8.8)

Prior to completion of a transfer with a prospective client, an on-site pre-

transfer review is required with a qualified AEA auditor. (ref. AS9101D,

4.3.6; AS9104-1, 8.8) 1d required on-site; .5d to 1d offsite

The on-site pre-transfer review can be completed back-to-back with the

next scheduled audit activity with appropriate technical justification (i.e.

mature system, low risk, etc.).

Witness Audit/Office Audit Important Items

It is imperative to finish audit trails to sufficient depth; if potential for

shipment of nonconforming product is suspected this should be reviewed

accordingly and if necessary MAJOR NCR(s) assigned

It is imperative to audit processes in accordance with client process

definitions (exact process name matches) and support audit execution

through the development of the Process Matrix to the PEARs with these

definitions in mind

It is imperative to submit completed OERs, Audit documents following

any audit activity; Package Review is still observing cases of incomplete

documents, inappropriately filled Appendixes

More and more Oversight attention is being focused on the appropriate

utilization of on-site audit duration for appropriate audit trails, audit

sampling (not report completion)

More and more attention is focused on soft-grading; soft-grading will

lead to additional witness audits and potential for impact to individual

auditor credentials

Speed and Quality Updates

Great deal of

improvement has

been made on

Audit report

submitted timing

(through mostly

work down of

aged reports

during Rev C

transition);

however, more

improvement is still

required.

12

7

9 9

8 8

7 7 7 7 Target = 5

0

2

4

6

8

10

12

14

16

18

20

07/11-07/12

07/12-07/13YTD

July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June

D

a

y

s

Audit report submitted cycle time for core programs 12 months-rolling average trend

07/11-07/12

cycle time

Target

Cycle time influenced by:

AS - 13 days; QMS - 6 days, EMS - 8 days,

OHS - 6 days; Forestry CoC - 6 days; TS - 10

days; Med - 9 days

Cycle time by country:Canada - 8, US - 7; Mex/LA - 11

Speed and Quality Updates Continued

Still some

evidence with

repetitive defects

(including missing

report items,

missing Appendix

completed

sections, etc.)

Overall

Weve made a great deal of continued progress through the demands of

post-Rev C transition (including the largest # of audits conducted within

the overall industry of 3rd party ICOP scheme) while balancing improved

perception with AS Oversight on our CB performance

Continued diligence in report execution is required

AQMS auditors support is required to self-educate themselves (in

partnership with SAI Global) on the requirements of AS9104-1 and

appropriately adapt their audit methods

As always, if support is required/questions should arise; communication

with the office/myself is absolutely critical