1. Company Confidential 1 AS9104/1 Transition and Oversight Assessment of Certification Bodies Mike Roberts 12 March 2012

2. 2 AS9104/1 Transition for CBs Turn to SR-002: Read what is required from the SMS / CBMC and OP Assessors for AS9104/1 transition of CBs Question: What is required? - Office Assessment ? - Witnessed Assessment ? - Any Assessment?

3. 3 CB AS9104/1 Transition In groups: Look at SR-002 On your flip charts, make a list answering the question What is the AB required to assess to transition a CB to AS9104/1? Exercise

4. Questions? 4

5. AS9104/1 has a number of sections that are the requirements for CBs: - Section 6 - Requirements for CBs - Section 8 - Requirements For Audits And Reporting which contains the requirements around the audit process including: »Certification Structures (see also Appendix B) »Minimum Audit Durations »Audit Teams »Certificate content »Transfers »ASRP and CAAT - Section 18 – Requirements for Certified Organisations 5 Introducing AS9104/1 for CBs

6. 6 Spend 15 mins reading AS9104/1 section 6 Any questions

7. 7 Introducing AS9104/1 for CBs We are going to spend the next section looking at AS9104/1 section 8 We will review: –Certification Structures –Audit Durations –Audit durations when combined with 91XX:2009 transition

8. 8 New Organisational Structures AS9104/1 section 8 and Annex B describes new certification structures: –Single Site –Multiple Site –Campus –Several Sites –Complex These reflect the unique organisational structures that exist in the Aviation, Space, and Defence industry today.

9. 9 Definitions To understand the structures more fully we need to understand some terms from AS9104/1: –Value Stream (clause 3.27) »An end-to-end business process which delivers a product or service to a customer. The process steps along the way may both use and produce intermediate goods, services and information to achieve the end product or service. –Site (clause 3.25) »A permanent location where an organisation carries out work or a service.

10. 10 Definitions To understand the structures more fully we need to understand some terms from AS9104/1: –Organisation (clause 3.22) »Any legal entity or defined part of a legal entity owning a single quality management system that is subject to an ICOP audit and certification process –Central Office (also referred to as Central Function) (clause 3.8) »The organisation location/activity that controls the ‘common’ quality management system for the organisation under a single AQMS standard certificate.

11. 11 Certification Structures (clause 3.11) A term utilised to describe how the certification activities of an A, S and D organisation will be structured and managed by the contracted CB. The defined structure will assist CBs with the development of a robust and conforming audit program, and provide industry with visibility of the structure within the OASIS database In all structures there is (8.1.1.c) : –One common quality management system –Central control of management review and internal audit –The ability to initiate change and corrective action centrally. –The organisation centrally collects and analyses organisational performance.

12. 12 Single Site An organisation having one location. The organisation may be organised under one large building or several buildings at one location. The organisation may have one or multiple products or product families flowing though one or multiple processes. The Certification Structures Example Diagram

13. 13 Multiple Site An organisation having an identified central function (the central office, but not necessarily the headquarters of the organisation) at which certain activities are planned, controlled or managed The organisation has a network of sites at which such activities are fully or partially carried out. With the exception of the central office the processes within each of the sites are substantially (>=80%) the same and are operated to the same methods and procedures (see IAF MD 1, “Multi-site Organization” definition and eligibility requirements). The Certification Structures

14. 14 Multiple Site Example: An organisation has two sites, A and B. They make two product families X and Y. Product family X is made the same way using the same processes on both sites A and B. Product family Y is only made on site A. This organisation makes to customer specification. The central function is located on site A. The Certification Structures

15. 15 Multiple Site Example: Explanation: Site B conducts the same but fewer processes than site A making the same product X. In this way the organisation is eligible for a multiple site approach The Certification Structures

16. 16 Campus An organisation having an identified central function (the central office, but not necessarily the headquarters of the organisation) at which certain activities are planned, controlled, or managed Has a decentralised, sequential, linked product realisation process, which is Referred to as a value stream in which the outputs from one site is an input to another site which ultimately results in the final product or service The Certification Structures

17. 17 Campus Example: The organisation has four sites Four buildings on site A, four buildings on site B and one building on each site C and D. The organisation has multiple products and product families that all flow through substantially (>=80%) similar processes and methods i.e. one value stream The Certification Structures

18. Example: 18 Campus The Certification Structures

19. 19 Campus Explanation: Although there are different products that go through different processes in the organisation the controlling factors are that more than 80% of the processes in the realisation of the product are the same and all products flow through the same overall value chain before being delivered to the customer. Even if site B was split into four separate sites making different types of detail parts such as machined, formed, carbon-fibre or similar and where appropriate using the treatments site this organisation would still be a campus as all sites contribute to a single value steam of processes running through the organisation with a commonality that 80% of the processes and methods that make up each product are the same. The Certification Structures

20. 20 Several Sites An organisation having an identified central function (the central office, but not necessarily the headquarters of the organisation) at which certain activities are planned, controlled or managed A network of sites that do not meet the criteria for either a multiple site or a campus organisation Example: The organisation has three sites A, B and C that make different product families by mainly dissimilar processes and methods although some of processes such as purchasing are the same. Site C makes to customer specification. Sites A and B design and manufacture their products. Some of the customers for products from each site are the same, others are not. The Certification Structures

21. 21 Several Sites Example: This organisation has three essentially different sites with three mainly different sets of processes and methods. The organisation does not qualify for multiple site because of the different processes and does not qualify for campus as products in the value stream do not flow from one site to another. The Certification Structures

22. 22 Complex An organisation having an identified central function (the central office, but not necessarily the headquarters of the organization) at which certain activities are planned, controlled, or managed A network of locations that are any combination of multiple site, campus, several sites, or more than one campus The Certification Structures

23. 23 Complex Example: The organisation has 6 sites and 2 different product families One family is made through product stream 1, the other through product stream 2. The processes carried out within sites C and D are identical realising the same product through the same processes. The same is true for sites E and F however the processes and methods in E and F are dissimilar from those used in C and D. Sites A and B support both product streams. Sites A and B use the same facilities for all products even through the types of products manufactured are different and utilize different technologies in their production. Where during the realisation processes in sites A and B the products in value stream 1 and in value stream 2 use the same processes. The Certification Structures

24. 24 Complex Example: The Certification Structures

25. 25 Complex Explanation: This organisation is a complex organisation because it has elements of multiple site and several campuses within it. Sites C and D are eligible for a multiple site approach. Sites E and F would also be eligible for multiple site approach. The combination of C, D, E and F are not eligible for multiple site all together because the processes are different between C or D and E or F. There are however two campuses within the organization. The value stream through A, B and C or D and the second value stream through A, B and E or F. This organisation is therefore made up of two campuses with a multiple site combination within each campus. The Certification Structures

26. 26 Complex – More Information: When a CB determines with its client that the certification structure will be ‘Complex’ they have to (clause 8.2.1.5) : –Document the rational for the subset organisational types –The justification to be sent to the IAQG OPMT Certification Structure Review Sub-Team –The justification includes: »applied methodology, »audit duration calculation, »planned audit program, »sampling plan for multiple site organizations, processes for campus organizations –Review results to be received from the IAQG OPMT before proceeding to stage 2 audit (clause 8.1.3) Question - What about application of ‘complex’ certification structures during transition? The Certification Structures

27. AS9104/1 Annex B 27

28. 28 AS9104/1 Annex B Keep Annex B with you It will be your guide for answering questions and evaluating certification structures Remember in order to qualify for a particular structure the client organisation must meet ALL of the eligibility criteria and not just a few (see 8.1.1 and Appendix B) Follow the justification the CB has made and agreed with its client Watch out for incorrect use of ‘Campus’ –There will be a demand from existing 9104 ‘multiple-site’ client organisations –Many will not be eligible –Use a major nonconformity if you find errors in this area because the focus is reduction of audit time and not effective audits

29. 29 Certification Structures Summary AS9104/1 section 8 and Annex B describes new certification structures: –Single Site –Multiple Site –Campus –Several Sites –Complex Each structure type is unique in terms of description, eligibility criteria, audit day calculations, certificate contents and OASIS entry requirements Most EAQG member companies are likely to be categorised as ‘complex’ Today 85% of issued certificates are for single site

30. Questions 30

31. 31 Certification Structures In groups: Examine the description you have for an organisation and determine the correct certification structure On your flip charts, record the structure you selected and the justification for why you selected it If you can’t all agree go with the majority and record the split Choose a member of the group to feed back Exercise duration 20 minutes Exercise

32. 32 Certification Structures Description: One organisation of 4 sites, meets all of the criteria of AS9104/1 8.1.1.c) Procedures are > 80% the same although Product Families 1 and 2 use different technologies in their manufacture but both produce an aviation vehicle –Product Family 1 is metal framed and jet propelled –Product Family 2 is carbon framed and high technology turbo-propeller propelled Sites and flows are as per the diagram: Exercise

33. 33 Certification Structures Description: What is the structure? – Justification? Exercise

34. 34 Introducing AS9104/1 for CBs We are going to spend the next section looking at AS9104/1 section 8 We will review: –Certification Structures –Audit Durations –Audit durations when combined with 91XX:2009 transition

35. 35 Audit Duration Calculating audit duration is one of the most difficult parts of the certification process It is not an absolute process nor does it produce an absolute answer We know it is used as one of the ways some Certification Bodies (CBs) try to differentiate themselves from other CBs This presentation does not focus on the cost of AQMS standard certification only the methodology for calculating audit duration

36. 36 ISO 17021 and Audit Duration ISO / IEC 17021 clause 9.1.4 and 9.1.5 set out the basic requirements for a CB to determine audit time The CB shall have documented procedures to determine audit time, and For each client the CB shall determine time needed to plan and accomplish a complete and effective audit ….. Determined audit time and the justification for the determination shall be recorded ….

37. 37 ISO 17021 and Audit Duration Clause 9.2.1 - CB to collect significant information about the clients organisation from an authorised representative Clause 9.2.2 - CB to conduct an application review to consider all of the information gathered, resolve any lack of understanding and to ensure that scope, locations, time required to complete audits and other factors are considered Then determine competencies needed for audit and decision-making And … record a justification for the decision to undertake the audit

38. 38 IAF and Audit Duration ISO 17021 requires a process and procedures but does not state what the time for an audit should be This creates an open market in which competitive pressure is to constantly reduce the cost of the certification service and therefore to reduce audit days ISO 17021 recognises this and in clause 4.2.2 states –‘It is recognized that the source of revenue for a certification body is its client paying for certification, and that this is a potential threat to impartiality.’

39. 39 IAF and Audit Duration To help the CBs and the ABs the IAF produce Mandatory Documents (MD Series) Their status is that they are mandatory requirements however the CB may propose and utilise alternates that are equivalent to the MD. There are two principle documents affecting audit duration and time on site: –IAF MD 5:2009 IAF Mandatory Document for Duration of QMS and EMS Audits –IAF MD 1:2007 IAF Mandatory Document for the Certification of Multiple Sites Based on Sampling MD 5 is mainly for single site and MD 1 for multiple sites

40. 40 AS9104/1 and Audit Time AS9104/1 tells CBs how to calculate on-site audit duration –To reduce commercial competitive pressures on CBs –To simply the calculation process AS9104/1 Clause 8 and Appendix B contain the requirements There is a process as before but it is simplified as follows: –Use AS9104/1 Appendix B table to select the correct certification structure using the eligibility criteria in addition to the definitions and requirements –Use section 8 instructions for the certification structure to determine minimum on-site audit days

41. 41 AS9104/1 and Audit Time AS9104/1 Table 2 is used as the basis for all structures –The table is IAF MD 5 plus 9104:2006 Table 2 –It is audit days on-site and not audit duration: »Read AS9104/1 sections 8.2 and 8.2.2 for application –For 9110 / 9110 ‘including design’ no reduction has been made on the IAF MD 5 times –Some limited reduction has been incorporated for ‘no design’ and ‘9120’ based on the removal of requirements –There is therefore no need to make reductions to Table 2 and for most certification structures audit time reductions are NOT ALLOWED

42. 42 AS9104/1 and Audit Time As a result when comparing AS9104/1 Table 2 to existing contacts based on 9104:2006 –The more creative the CB has been, the bigger the increase in on-site audit time will be –If the CB has not correctly applied IAF MD 1 for multiple site you may see a big increase –If you CB has not made reductions and has been effective and fair you will see little or no change in audit days The IAQG OPMT will use of the IAQG OPMT Complex Certification Structure Oversight Committee (CSOC) to review complaints including alleged large increases in audit days! –Complaints: see IAQG OPMT Procedure 201

43. 43 Single Site Description –An organisation that operates at one site Eligibility –Stand-alone self-supporting organisation with no value stream dependencies from related companies operating under the same QMS. –One address. Audit Day Requirement –Table 2, using number of employees at site. –Reductions – none, except for ASRP or CAAT –Additions – allowed and expected per MD-5 –Initial – one site using Table 2 audit days –Surveillance –using Table 2 surveillance audit days –Recertification – using Table 2 recertification audit days AS9104/1 and Audit Time

44. 44 Multiple Site Description –An organisation having an identified central function and a network of sites at which activities are fully or partially carried out. –All sites must be doing substantially the same manufacturing and/or value added process. Eligibility –All sites shall have a legal or contractual link with the central office. –One QMS with central control, management review and internal audit. –Central office can require other sites implement corrective action. –Central collection and analysis of data and ability to initiate organisational change. AS9104/1 and Audit Time

45. 45 Multiple Site Eligibility (continued) –Complies with IAF MD 1, “Multi-site Organisation” definition and eligibility requirements. –All QMS processes at all sites have to be substantially (i.e. >80%) the same and are operated to the same methods and procedures. –Some sites may conduct fewer processes than others. –Sampling per IAF MD 1 will be allowed for 9120 certifications. –One address per site. AS9104/1 and Audit Time

46. 46 Multiple Site Audit Day Requirement –Table 2, separately using number of employees at each site. –Reductions – none, except for ASRP (Cat. 2) or CAAT –Additions – allowed and expected per MD-5 –Initial – all sites audited using Table 2 audit days –Surveillance – using 9104/1 Table 3 (Cat. 1 & Cat. 2) for sampling frequency and Table 2 for audit days at each site –Recertification – using 9104/1 Table 3 (Cat. 1 & Cat. 2) for sampling frequency and Table 2 for audit days at each site Note: –Category 1 (Cat. 1) = meets IAF MD 1 criteria only –Category 2 (Cat. 2) = meets MD 1 and MD 3 criteria AS9104/1 and Audit Time

47. 47 Campus Description –An organisation having an identified central function and a decentralised, sequential, linked product realisation process. Eligibility –All sites shall have a legal or contractual link with the central office. –One QMS with central control, management review and internal audit. –Central office can require other sites implement corrective action. –Central collection and analysis of data and ability to initiate organisational change. AS9104/1 and Audit Time

48. 48 Campus Eligibility (continued) –The outputs from one site are an input to another site to realise the final product or service. A single value stream. –Can be dissimilar processes at different sites or combination of the sites that contribute to the same overall product or service being realised. –More than one product or service may be realized providing they are substantially (i.e., >80%) the same (e.g., a family of products) and realised through the same methods and procedures. –One address per campus. AS9104/1 and Audit Time

49. 49 Campus Audit Day Requirement –Table 2, using total number of employees from campus. –Reductions – none, except for ASRP or CAAT –Additions – +10% required, plus additions per MD-5 –Initial – all sites using Table 2 for total campus population + 10% to Table 2 audit days –Surveillance – all sites using surveillance per Table 2 for total campus population + 10% to Table 2 audit days –Recertification – all sites using recertification per Table 2 for total campus population + 10% to Table 2 audit days AS9104/1 and Audit Time

50. 50 Several Sites Description –An organisation having an identified central function and a network of sites that do not meet the criteria for a multiple site or campus organisation. –Several sites are listed on the same certificate Eligibility –All sites shall have a legal or contractual link with the central office. –One QMS with central control, management review and internal audit. –Central office can require other sites implement corrective action. –Central collection and analysis of data and ability to initiate organisational change. AS9104/1 and Audit Time

51. 51 Several Sites Eligibility (continued) –Processes at each of the sites is not substantially similar (i.e., <80% similar). –Processes may be operated to the same or different methods and procedures that are controlled through one common management system. –Sites realise different products or services. –One address per site. AS9104/1 and Audit Time

52. 52 Several Sites Audit Day Requirement –Table 2, using number of employees separately at each site. –Reductions – up to 30% for reduced scope complexity only as allowed in Table 4, or reductions for ASRP or CAAT –Additions – allowed and expected per MD-5 –Initial – audit all sites using Table 2 audit durations with allowable Table 4 reductions at each site –Surveillance – audit all sites using Table 2 for surveillance audit days with allowable Table 4 reductions at each site –Recertification – audit all sites using Table 2 recertification audit days with allowable Table 4 reductions at each site AS9104/1 and Audit Time

53. 53 Complex Description –An organisation having an identified central function and a network of locations that are any combination of multiple site, campus, several sites, or more than one campus. Eligibility –All sites shall have a legal or contractual link with the central office. –One QMS with central control, management review, and internal audit. –Central office can require other sites implement corrective action. –Central collection and analysis of data and ability to initiate organizational change. AS9104/1 and Audit Time

54. 54 Complex Eligibility (continued) –Overall structure contains combinations of multiple site, campus, several sites or more than one campus. –Requires IAQG OPMT approval of rationale, justification, audit day calculations, audit program, and sampling plan (for 9120, multiple site or campus). –One address per site and campus AS9104/1 and Audit Time

55. 55 Complex Audit Day Requirement –Use Table 2 for each case of multiple sites, campus, or several sites. –Reductions – only as each individual type allows (i.e. several sites) and for ASRP and/or CAAT if applicable –Additions – allowed as per each individual type and expected per MD-5 –Initial – all sites audited based on Table 2 audit days by combination of types –Surveillance – dependent upon combination of types –Recertification – dependent upon combination of types AS9104/1 and Audit Time

56. 56 Multiple AQMS Certification Additional audit days added based on level of integration –Determine audit days using correct certification structure and based on Table 2 for the primary standard, based on total number of employees in the organisation or at each site as applicable. –Increase audit days by 15% for fully integrated organisations –Increase audit days by 30% for partially integrated organisations –No reduction for ASRP or CAAT for full or partial integration –For an organisation that is not integrated the audit days for each AQMS standard audit shall be independent from one another using 100% of the required audit days from Table 2. »The number of employees related to each certification shall be used to determine each audit day calculation. AS9104/1 and Audit Time

57. 57 ASRP and Audit Time (Clause 8.9) Advanced Surveillance and Recertification Procedures: –ASRP is allowed but not mandatory, if used the eligibility requirements of IAF MD 3 are to be met –Application of ASRP shall not in itself be a reason to reduce audit duration –The ASRP process outlined in IAF MD 3 shall not reduce the Table 2 required on-site audit duration by more than 30% for single, campus, several, and complex site certification structures –ASRP reductions for multiple site certifications are contained in Table 3 –NOTE: The organization’s internal auditors shall meet the AA requirements of 9104/3 and the internal AQMS audit function shall be led by an individual meeting the requirements of an AEA AS9104/1 and Audit Time

58. 58 CAAT and Audit Time (Clause 8.10) Computer Aided Auditing Techniques: –Use of CAAT is not mandatory –If use CAAT, conformance to IAF MD 4 is mandatory –Use of CAAT shall not reduce the Table 2 required on- site audit duration by more than 30% –Reduced on-site audit time is not eliminated; instead it shall be allocated to the remote audit time using appropriate CAAT –Combined use of CAAT and ASRP shall not reduce the Table 2 required on-site audit duration by more than 30% AS9104/1 and Audit Time

59. 59 Summary AS9104/1 introduces new certification structures The structures increase complexity However, having identified the correct certification structure the actual calculation of audit days is simplified under AS9104/1 Reductions are not allowed except for Several Sites and for the application of ASRP and CAAT Clear requirements for audit days for Multiple AQMS have been established based on the level of integration of the systems, processes and methods Beware of large claims of increase in audit days – often it will mean that 9104:2006 requirements have not been correctly applied

60. Questions 60

61. 61 Calculating On-site audit time: In groups you have 20 minutes to: Use the site certification structure your group determined in the earlier exercise: –Calculate the minimum on-site initial audit duration assuming no application of ASRP or CAAT and the at the organisation with EN 9100:2009 certification –Record (as a separate line) the amount of time for Preparation and Audit Reporting –Write a justification for the arrived at minimum time on site Record results on a flip chart Nominate one person to feed back Exercise

62. 62 Calculating On-site Audit Time: Exercise

63. Questions 63

64. 64 Hierarchy of Requirements Accreditation of CBs to perform ISO 9001 audits includes: ISO 17021:2006 or ISO 17021:2011 IAF Mandatory Documents 1 to 5 AB terms and conditions In addition the ICOP process adds: For 91xx:2009: 9101:2009 requirements 9104 series (AS9104/1, AS9104/2 and AS9104/3) IAQG OPMT Supplemental Rules ICOP Resolutions (IAQG and EAQG OPMT) Increasing Precedence Reminder

65. 65 Oversight of CBs: Oversight of CBs is essentially the same processes that an AB uses when assessing a CB Described in AS9104/2 clause 8 Oversight uses two assessment techniques: - Assessment of the CB Office »Management system implementation »Evidence of deployment and competent operation - Witness Assessment »Assessing the deployment of the CB competence system through on-site observation These techniques are used both in joint team assessment and industry only OP Assessor oversight assessment of CBs Reminder

66. 66 Oversight of CBs: AS9104/2 requires that oversight of each CB each year comprising a minimum of one each: - CB Office Assessment (8.6.2) including: »A review of CB activity to ensure conformance with EN 9104 and AS9104/1 and applicable industry standards (ISO 17021 and IAF MD) »a review of the latest CB oversight office assessment reports, including actions taken - CB Witness Assessment (8.2) assessing: »Team competence »Conformity to established requirements »The effectiveness of the audit program »Conformity of the audit team with the CB procedures and processes Requirements are complimentary / compatible with AB expectations Reminder

67. 67 CB Assessment: OP Assessor Requires: - EN AS9104/2 Forms »Annex K - Oversight Assessment Summary Report »Annex J – Oversight Nonconformity Record »Annex F - CB Office Assessment Checklist »Annex G - CB Witness Assessment Checklist - Standards and Reference Documents: »EN 9104 series (9104, AS9104/1, AS9104/2, AS9104/3) »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 Reminder

68. 68 AS9104/2 Check sheets: Annex F & G The AS9104/2 check sheets are out of date They will be updated by the IAQG OPMT Unlikely to be available until 30 th 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, and using ISO 17021:2006 and / or ISO 17021:2011? ‒ If needed for AS9104/1 oversight, amend the check sheet to reflect AS9104/1 requirements

69. 69 AS9104/2 Annex F Checklist: Use the checklist with caution Know your checklist: - Refers to ISO / IEC Guide 62 which is obsolete – do you know the ISO 17021:2006 and ISO 17021:2011 references? - Refers to 9104 without the underlying 17021 references - No references to AS9104/1 - if needed amend the check sheet to reflect AS9104/1 requirements - Not all references are accurate - Split into three sections but does not follow CB processes - Use of a checklist is mandatory but you can change it – it is guidance

70. 70 AS9104/2 Annex G Checklist: Use the checklist with caution Know your checklist: - Common checklist with AB Witness Assessment - Know which questions refer to AB and which to CB - Refers to ISO / IEC Guide 62 which is obsolete – do you know the ISO 17021:2006 or ISO 17021:2011 references? - Refers to 9104 without the underlying 17021 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 checklist is mandatory but you can change it – it is guidance

71. 71 AS9104/2 Annex B-H – Checklists: Each checklist has an information block on first page Indicate Assessment Results in this column for each item - A - Acceptable - X – Issue identified - NA – Not applicable - NE – Not evaluated Assessment evidence / comments box must have the objective evidence reviewed recorded against each item assessed – DO NOT LEAVE BLANK For Observations or Opportunities for Improvement: - Mark assessment results ‘A’ – Acceptable - Note the Obs or OFI in the comments box Make sure you have prepared all of the required checklists Reminder

72. 72 AS9104/2 Annex B-H – Checklists: Assessment Results – mark the column: - A - Acceptable - X – Issue identified - NA – Not applicable - NE – Not evaluated If NA, justify why it is not applicable: –e.g. CB requirement not applicable to AB assessment If NE, justify why it was not evaluated: –e.g. example not seen during assessment –DO NOT write NE and then record partial evidence of evaluation »e.g. AB internal audit, if the AB has not sampled ICOP scheme client files in the internal audit you still need to evaluate the AB internal audit process Reminder

73. 73 AS9104/1 Transition and Oversight: Remember: –No specific oversight assessment is required as AB will manage the AS9104/1 transition –The AB must accredit the CB before the CB can transition clients –Oversight may be more effective after transition to AS9104/1 –Combined transition for CB clients to 91XX:2009 and AS9104/1 will become confusing –Take care if combining AS9104/1 transition and normal oversight assessments –Watch out for a landslide towards Campus certification structures!

74. Questions? 74