iaqg opmt op assessor training module 13 oversight assessment of auditor authentication bodies...

IAQG OPMT OP Assessor Training

Module 13

Oversight Assessment of Auditor Authentication Bodies

February 2015


Module Summary

• In this module we will discover:‒ All about Auditor Authentication Bodies (AAB)

‒ Requirements for AAB’s

» 9104-001 as applicable to AAB’s (Section10)

» 9104-003

‒ How to conduct AAB Oversight

» Office Assessment including 9104-002 Form G


9104 Series Requirements for AAB’s

• We will examine the following requirements in 9104-001

• Section 10 - “Requirements for Auditor Authentication Bodies”

• We will also review requirements in 9104-003:

– Section 5 – Aerospace Auditor Competency

– Section 7 – Requirements (for the AAB)

– Section 8.1 – Maintenance (of authentication)

– Section 8.2 – Withdrawal of authentication

• Each SMS or CBMC has it’s own procedures to control the process of authentication of auditors

• Note: 9104-002 Form G questions will be referenced (Gxx)


Auditor Authentication Bodies:

• Auditor Authentication Bodies (AABs) - May be part of the SMS or CBMC, or

- Subcontracted to an independent organisation (G6)

• Similarly, AAB authentication decision making can be: (G15)

– Delegated to the AAB

– Retained by the SMS or CBMC

• In either case AABs are subject to oversight annually

• Oversight of AABs is described in 9104-002 clause 7.8

• Oversight of the AAB is to be conducted independently and objectively using OP Assessors that are not part of the process

• Have you been authenticated by the AAB you have been asked to oversight?


Section 10: Auditor Authentication Bodies:

• AAB is responsible for the authentication and re-authentication of AQMS Auditors and must comply with 9104-003 requirements (G11)

• Authentication is only for AQMS Auditors grade AA or AEA

• AAB agrees to periodic oversight and access to records (G7)

• The AAB has to have a documented management system for authentications but not to any specific standards and includes: (G1) – AAB to work a process for authentication includes evaluation of each

application against 9104-003 requirements (G2-3) (G12)

– Auditor applicant disclosure of any previous applications, authentications or rejections (G18)

– Records to be kept for 2 authentication cycles (G35)

– ISO/IEC 17024 referenced as guidance material only

9104-001


Section 10: Auditor Authentication Bodies:

• The AAB documented management system includes (continued): – A person with aviation, space or defence knowledge to support AEA

authentication decisions (G32-33)

– Requirements for independence of authentication decisions (i.e. no conflicts of interest) and communication of decision to applicant (G34)

– Auditor complaint and appeal processes including feedback to originator within 60 calendar days (G8-9) (G27)

– Process to address auditor competency feedback and sector recommendations for withdrawal of authentication (G25-26) (G28)

– Prevention of re-application for 12 months after withdrawal unless due to inactivity or lack or renewal (G14)

– Entry to OASIS of authentication data (G16) (G30)

– Recognition of AQMS auditor authentication in other sectors» Note: Does not imply ability to transfer authentication

9104-001


Scope of 9104-003:

• 9104-003 provides the minimum requirements (Body of Knowledge) for AQMS Auditors who will participate in AQMS Certification activities including the Auditor Authentication process and for training organisations.

• It is applicable to auditors seeking formal authentication to conduct audits of the AQMS systems under the IAQG and those who manage the competency element of an AQMS audit program and to training organisations.


Section 3: Terms and Definitions:

• Please read section 3

• Specifically note definitions for:

– Aerospace Experience Auditor (AEA)

– Auditor

– Auditor Authentication Body

– Work Experience (3.16)


Section 5: Aerospace Auditor Competency:

• There are two different categories of Auditors:

– Aerospace Auditors

– Aerospace Experienced Auditors

• Aerospace Auditors can be AA or AEA for each AQMS standard (9100, 9110 and 9120)

• Detailed requirements are defined in the 9104-003 standard, Tables 1 and 2 (G13)

9104-003



9104-003

Table 1 – Requirement for 9100 and 9120 (Standard: 9100/9120) Element Auditor 9100/9120 AEA 9100/9120 Auditor recognition

QMS Auditor by nationally-recognized personnel certification body or meet the education, training, work experience and audit experience of ISO 19011:2002 section 7.4

Audit Experience

4 full QMS or AQMS (9100) audits conducted for a total of 20 audit person days within the past 3 years Only 2nd or 3rd party audits shall be considered Successful completion of an approved Foundation Course (See Appendix A): - 9100 for 9100 auditors - 9120 for 9120 auditors An attendee can only attend the Foundation Course if he/she has successfully completed a QMS (ISO 9001) auditor training course Or

AQMS Auditor Training

Successful completion of an approved AQMS standard Auditor Course (see Appendix A) - 9100 for 9100 auditors - 9120 for 9120 auditors

Industry Specific Training

Not required Successful completion of an approved Aerospace Industry Specific Course: 9100/9110. (See Appendix)

Work Experience in AQMS sector See 3.16

Not required 2 years of AQMS work experience within the past 15 years

Auditor Evaluation

Not required Successful completion of 2 full audits witnessed* by an AEA : -9100 for 9100 auditors -9100 or 9110 for 9120 auditors

4 years of AQMS work experience within the past 10 years, as specified in 3.16



9104-003

Table 2 – Requirement for 9110(Standard 9110)Element Auditor 9110 AEA 9110

Auditorrecognition

QMS Auditor by nationally-recognized AAB or meet the education, training, workexperience and audit experience of ISO 19011:2002 section 7.4

AuditExperience

4 full QMS or full AQMS audits (9100 or 9110) conducted for a total of 20 auditperson days within the past 3 years

Only 2nd or 3rd party audits shall be consideredSuccessful completion of an approved 9110 Foundation Course (See Appendix A):An attendee can only attend the Foundation Course if he/she has successfullycompleted a QMS (ISO 9001) auditor training course

Or

AQMS AuditorTraining

Successful completion of an approved AQMS standard Auditor Course for 9110(see Appendix A)

IndustrySpecificTraining

Not required Successful completionof an approvedAerospace IndustrySpecific Course:Repair/Maintenance

WorkExperience inAQMS sectorSee 3.16

Not required 2 years of AQMS workexperience within thepast 15 years

AuditorEvaluation

Not required Successful completionof 2 full 9110 auditswitnessed* by an AEA

4 years of AQMS workexperience within thepast 10 yearsas specified in 3.16In addition,2 years full timeexperience performingrepair/maintenance inthe last 4 yearsorSpecific Training inRepair/Maintenance


Section 5: Tables 1 and 2 - Notes:

• If during witness audit a candidate shows insufficient knowledge of aerospace requirements as mentioned under Sec 3.1 & 4.1 of Aerospace specific training course in 9104-003 Appendix A, additional training and/or practical experience will be required.

• Witness shall be performed by authenticated AEA who themselves have not become qualified via an industry specific training. The witness AEA shall not perform the audit as a member of the assessment team.

9104-003


Auditor Authentication:• Process by which trained and competent auditors become

recognised by industry to be able to audit third-party AQMS certification audits

• 9104-003 section 7 – Requirements: (G2)

– The Auditor Authentication Body (AAB) must be approved by the SMS (and is visible on OASIS)

– AAB shall have documented processes and procedures for authentication of AA & AEA. (G2) (G11)

– The AAB may sub-contract the auditor authentication process to another body, arrangement to be documented and the AAB retains full responsibility for the sub-contracted auditor authentication. (G6)

9104-003

Auditor Authentication Body (AAB):


Section 7: Auditor Authentication Process:

• Sections 7.4 to 7.8:

– Auditors can be authenticated by any AAB

– Authentications from any AAB are recognised by all other AABs and sectors

– AAB evaluates an application and submission against 9104-003 requirements for AA or AEA for 9100, 9110 or 9120

– Authentication is valid for three (3) years – no extensions! (G19)

– All authenticated AA and AEA are registered in the IAQG OASIS database.

9104-003


Section 8: Auditor Re-Authentication Process:

• Section 8.1 – Maintenance (G12) (G21-22)

• Each Auditor (AA or AEA) shall:

– Participate in a minimum of 4 (four) audits over 3 (three) years» Note: Error in EN 9104-003 ‘conducted to the applicable AQMS’ to be ignored

– Participate in 15 hours of continuing education activities over 3 (three) years in the following:

» Changes to the applicable aerospace industry standard;

» AQMS auditing methodologies;

» Changes to Aviation Authority Requirements

» Updates or changes to IAQG or Sector policies, criteria and procedures

• Must apply at least 3 months before expiration to re-authenticate (G20)

9104-003


Section 8.2: Withdrawal of Authentication: (G23)

• Authentication can be withdrawn if the auditor:

– The auditor is not fulfilling the 9104 series standard

– Application for AQMS auditor authentication contains false information

– The auditor has falsified audit findings

– The auditor has performed / taken action during an audit activity that will bring the IAQG into disrepute

• Withdrawal must be supported by objective evidence

• Decision by AAB ratified by SMS

• Re-instatement or authentication possible again in the future

9104-003


Requirements for Auditor Authentication:

• Also IAQG OPMT Resolutions impact the process:– 61: Use of existing work experience for other AQMS authentication

– 64: Decision-making, withdrawal and impartiality

– 65: Definition of work experience

– 79: Correction of publishing mistake in EN 9104-003

– 91: Clarification of ‘participation’ in an audit

– 97: Definition of a ‘full’ audit

– 102: 9104-003 requirements as applied to AB Assessors

– 109: Clarification to 9104-003 table 2 for Repair and Maintenance trg

– 111: Process for an AQMS auditor go to another AAB

– 112: Use of previously submitted audits when applying for AEA

– 115: Consolidation of AQMS training requirements for AQMS auditors

• 9104-003 clause 7.3 and 9104-001 clause 10.3 requires each AAB to have documented processes and procedures

• You will need to take account of all of these requirements when assessing an AAB


EN 9104-003 clause 8.1: Maintenance

• EN9104-003:2010 Section 8.1 “Maintenance of AEA approval” has been published with an error in the text.

• The sentence “Participate in a minimum of 4 (four) audits over 3 (three) years conducted to the applicable AQMS” should read:– “Participate in a minimum of 4 (four) AQMS standard audits over 3

(three) years.”

• IAQG OPMT Resolution 79 ensures applicability of the second sentence in EN 9104-003:2010

• Requirements for authentication and re-authentication apply to both AA and AEA AQMS Auditors (see 9104-001 clause 6.7c)


AAB Assessment:

• OP Assessor Requires:– 9104-002 Forms

» Form D – Oversight Nonconformity Record

» Form G – AAB Assessment Check Sheet

– Standards and Reference Documents:

» 9104 series (9104-001, 9104-002, and 9104-003)

» Sector specific procedures

» IAQG Supplemental Rules (if applicable)

» IAQG Resolutions Log

» AAB procedures

– Audit Plan

– Copy of previous oversight reports


AAB Assessment:

• Conduct the assessment– Gather objective evidence that the AAB has implemented 9104 series

requirements and is working effectively

– Follow your audit plan

– Use checklist for guidance

• Focus on AAB implementation and activity:– Ensure conformance to 9104-002 section 5.3 (Confidentiality and

Conflict of Interest) and 9104-003

– Review of previous oversight assessment reports including actions taken

– A review of the last accreditation evaluation (if applicable)


9104-002 Form G Check Sheet:

• Review the check sheet now:

• Questions on content?


Assessing Applicant Files:

• Follow the authentication process– Application – form, complete, required information?

– Evaluation of application against criteria

» Industry experience valid?

» Audit logs demonstrate ‘full’ audits?

– Are certificates of training only from approved courses?

– Fulfilment of IAQG Resolutions

– Independence of authentication decision-making

– Correct entry of auditor details, authentication and period of authentication on OASIS?


Assessing Applicant Files:

• Follow the authentication process– Timely submission of re-authentication process

» at least 3 months before expiry

– Compliance with correct re-authentication criteria (audit logs)

– Don’t forget the correct use and interpretation AATT based training courses for authentication


Some other items to assess:

• Structure in relation to SMS/CBMC

• Constitution including independence

• Arrangements for subcontracting and control (if subcontracted)

• SMS endorsement or delegation of decision-making

• Appeals

• Complaints

• Withdrawals


Some other items to assess:

• Procedures in compliance with requirements

• Activities and records in compliance with procedures

• Independence of evaluators and decision-makers

• Competence of those involved in the process?


After the AAB Assessment:

• Provide report to the AAB and SMS or CBMC Oversight WG Chair

• Ensure the AAB and SMS or CBMC have records of the verification and closure of any Form D Nonconformity Records


Questions

iaqg opmt op assessor training module 13 oversight assessment of auditor authentication bodies...

Documents

process of authentication

authentication pag

aab section

aea aab

g1 aab

series requirements

requirements g2

following requirements