1. AS9104/1 Transition and Oversight Assessment of Accreditation Bodies
Tim Lee
12 March 2012

2. Introducing AS9104/1 Section 5
AS9104/1 section 5 contains requirements for Accreditation Bodies (ABs)
Section 5 split into some main areas:
General requirements (5.1)
Organisational requirements for ABs (5.2)
Quality Management System requirements (5.3)
Long clause with 11 sub-clauses
Accreditation Body Personnel requirements (5.4)
Take 15 mins and read AS9104/1 section 5
Any questions

3. Introducing AS9104/1 Section 16
AS9104/1 section 16 contains requirements for ABs and the SMS regarding cross frontier oversight assessment
Cross frontier means conducting oversight on CBs operating in countries other than the home country in which the AB accreditation or CB lead office is located
Please take 5 minutes and read:
Sections 16.2 to 16.4: Requirements for when an AB wishes to subcontract assessment to another AB
Sections 16.5 to 16.8: Requirements for when an RMC makes a decision to coordinate an OP assessment to another SMS / CBMC

4. AS9104/1 Transition for ABs Turn to SR-002 clause 2.5:
Read what is required for AS9104/1 transition
Question: What is required?
Office Assessment ?
Witnessed Assessment ?
Any Assessment?

5. Assessing AB AS9104/1 Transition
Exercise
Assessing AB AS9104/1 Transition
In groups:
Look at AS9104/1 section 5 and SR-002
On your flip charts and individual sheets, make a list answering the question
What requires to be assessed?

6. Questions?

7. Hierarchy of Requirements
Reminder
Hierarchy of Requirements
Approval of ABs to perform accreditations of CBs includes:
ISO 17011:2004
IAF membership
In Europe EA MLA signatory
In addition the ICOP process adds:
IAF MLA signatory
For 91XX:2009 – 9101 Rev D requirements
9104 series (AS9104/1, AS9104/2 & AS9104/3)
IAQG OPMT Supplemental Rules
ICOP Resolutions (IAQG and EAQG OPMT)
Increasing Precedence

8. Oversight of ABs: Reminder
Oversight of Accreditation Bodies (ABs) is described in AS9104/2 clause 8
AB Oversight is conducted by industry only OP Assessor oversight
AS9104/2 requires that oversight of each AB each year comprising a minimum of one each of :
AB Office Assessment (8.3.2)
AB Witness Assessment (8.2)
Oversight of ABs is essentially the same processes that as when assessing a CB

9. Oversight of ABs (AS9104/2):
Reminder
Oversight of ABs (AS9104/2):
AB Office Assessment (8.3.2) includes:
A review of AB activity to ensure conformance with EN and applicable industry standards (ISO 17011)
Verification that the AB has a letter of recognition from their respective SMS or CBMC
A review of the last IAF peer evaluation
Review of the last AB oversight office assessment reports, including actions taken
AB Witness Assessment (8.2) assesses:
Team competence
Conformity to established requirements
The effectiveness of the audit program
Conformity of the audit team with the AB procedures and processes

10. AB Assessment: Reminder OP Assessor Requires: EN AS9104/2 Forms
Annex K - Oversight Assessment Summary Report
Annex J – Oversight Nonconformity Record
Annex E - AB Office Assessment Check Sheet
Annex G - AB Witness Assessment Check Sheet
Standards and Reference Documents:
EN 9104 series (9104, AS9104/1, AS9104/2, AS9104/3)
ISO / IEC and ISO / IEC 17021
IAF Mandatory Documents 1 to 5 inclusive
IAQG Supplemental Rules (e.g. SR 001, SR 002)
IAQG and EAQG OPMT Resolutions Log
Audit Plan
Copy of previous assessment and oversight reports including verification evidence for any nonconformities

11. AS9104/2 Check sheets: Annex E & G
The AS9104/2 check sheets are out of date
They will be updated by the IAQG OPMT
Unlikely to be available until 30th March 2012
Until then, use the existing checklists
Recommended that, if possible, oversight be delayed until new checklists are available and AS9104/1 is implemented
If you need to conduct oversight:
Be very cautious with requirements
Is the oversight to 9104:2006 or AS9104/1?
If needed for AS9104/1 oversight, amend the check sheet to reflect AS9104/1 requirements

12. AS9104/2 Annex E Check Sheet:
AB Office Assessment Check Sheet:
Use the check sheet with caution
Know your check sheet:
Refers to 9104 without the underlying references
No references to AS9104/1 - if needed amend the check sheet to reflect AS9104/1 requirements
Not all questions are fully accurate
Split into two sections – management system and accreditation process
Use of a check sheet is mandatory but you can change it – it is guidance

13. AS9104/2 Annex G Check Sheet:
AB Witness Assessment Check Sheet:
Use the check sheet with caution
Know your check sheet:
Common check sheet with CB Witness Assessment
Know which questions refer to AB and which to CB
Refers to ISO / IEC Guide 61 which is obsolete – do you know the ISO references?
Refers to 9104 without the underlying references
No references to AS9104/1 - if needed amend the check sheet to reflect AS9104/1 requirements
Not all references are accurate
Use of a check sheet is mandatory but you can change it – it is guidance

14. AS9104/1 Transition and Oversight:
Remember:
No specific assessment activity required for AB AS9104/1 transition, but
Must assure each AB has:
Updated its management system in accordance with AS9104/1 and SR-002
A documented and implemented a risk mitigation plan
Don’t forget to check that the AB has implemented all the competence requirements
The RMC must approve the AB before the AB can transition CBs
Oversight may be more effective after transition to AS9104/1

15. Questions?