AQMS Auditor Conference Calls

April 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 reregistration (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. AS91041, 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
(<80%)


One management system


(1) address per site listed

Unique Considerations:


Several certificate structures can apply site reductions in audit
duration (10%, 20%) if Product Realization, Purchasing, HR
processes are not involved; not to exceed total 30%

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 pretransfer 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

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

20
07/11-07/12

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

18
16

Days

14
12
12

Target

Cycle time by country:

Canada - 8, US - 7; Mex/LA - 11

10
8

cycle time

7
8

8
7

Nov

Dec

Jan

Target = 5

4
2
0
07/11- 07/12- July
07/12 07/13
YTD

Aug Sept

Oct

Feb

Mar

Apr

May June

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.

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