1. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 1 9104-1 ’Requirements for Aviation, Space, and Defense Quality Management System Certification Programs’ Prepared and Presented by Michael C. Roberts, Boeing Technical Fellow AAQG Council, RMC, and AAQSC Meetings Charlotte, North Carolina September 14 - 17, 2009

2. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 20092 Caveat Emptor Note: The 9104/1 Standard Has Neither Been Balloted Nor Published. Therefore, All Information Contained Herein Is Considered “Proposed” and “Subject to Change”

3. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 20093 The 9104 TRILOGY 9104 Training and Qualification Oversight Activity General Requirements -1 -2-3

4. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 20094 9104-1 International Re-write Team

5. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 20095 New Audit Day Table (partial)

6. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 Section 8.2 Duration of the Audit a. The minimum duration for initial, surveillance, and recertification audits are shown in Table 2. No reductions from Table 2 audit duration days are allowed for the ICOP scheme. Increases to the audit duration days are allowed and expected for areas with identified risk, complexity, or increased scope.

7. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 Section 8.2 (continued) 8.2.2 Audit Day Activity Requirements a.Audit time in Table 2 includes Stage 1 and Stage 2 activities. Table 2 represents minimum on-site audit time from the opening meeting to the closing meeting. b.Table 2 audit time does not include non-audit time (e.g., travel, meals, extended break times). c.Table 2 is for on-site audit time only. Table 2 does not include auditor time used for planning, report writing, and/or completion of the 9101 forms. d.An audit day is a normal working day of eight hours. The number of audit days cannot be reduced by programming longer hours per workday (e.g., five audit days of eight hours cannot be executed as four audit days of ten hours). e.Auditing of the entire AQMS standard on all shifts is required for initial and recertification. For surveillance audits, the planning shall include coverage of multiple shifts. f.Shift auditing whereby a longer day is planned; cannot reduce required audit days.

8. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 Section 8.4 8.4Audit Team Conclusions and Reporting – –The audit team leader shall provide the organization with all nonconformity reports at the closing meeting. The audit team leader shall present the audit report to the organization within two weeks of the closing meeting using the audit report and associated forms defined in 9101. As a minimum, the audit report shall state its conclusions on conformity, effectiveness of the quality management system to the AQMS standard’s requirements, and the objectives established for the audit in accordance with 9101.

9. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 20099 New Multiple Site Certification Categories

10. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 New Oversight Requirements 5.3.3Certification Body Accreditation Surveillance and Recertification For surveillance and recertification of the CB accreditation to provide AQMS certification, the AB’s management system shall ensure, at a minimum, the required assessment activities defined in Table 1 are conducted, including:

11. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 200911 Revised Schedule

12. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 200912 Expanded ‘Likely’ Schedule

13. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 200913 Expanded ‘Aggressive’ Schedule

14. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 14 9100/9101/9104-1 Transition Plan (Proposed) 9101 Release OPMT Training Go-Ahead Estimated 6 Months Estimated 8 Months Proposed 12 Months Develop Auditor Training Training of Certification Bodies and Auditors All Companies Must Upgrade to New Standard At Next Surveillance Audit Or Re-Certification Earliest Opportunity for Certification to New Standard (i.e. the early adopters) Maximum Allowed Time to Upgrade Release of 9104/1

15. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 9104/1 Section Implementation Section60 daysExtended Implementation 3YYAs applicable (ie. Single Site) 4YY 5Y5.3.3 5.3 f (OASIS change) 6Y6.5 LAs applicable 7YY 8Y8.2 Applicable in 2010 – Mandatory upon transition to 9100:2009 9YY 10Evidence of approval in 2010, Evidence of oversight in 2011 11Evidence of approval in 2010, Evidence of oversight in 2011 12YY 13YY 14YYYY = Complete Section 15YYY = Partial Section 16YY 17YY 18YY 19YY Appx AYMandatory in full upon transition to 9100:2009

16. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 16 9104/1 Transition Plan (Proposed) 9104/1 Release Est. 1/1/12 All New Contracts Should Be Written to the New Auditor Time Tables and 9104/1 Requirements Maximum Allowed Time to Upgrade 9104/1 Ballot ~ 5 Months 2 Months Proposed 12 Months Existing Contracts Must Be Changed to Meet 9104/1 At Next Audit (I,S,R) All ABs & CBs Must Be Compliant to New 9104/1, Except Audit Day Times and M/S 6 Months

17. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 200917 QUESTIONS? Interrogação? Poser une question?

18. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 18 Back-up Detailed Presentation from Auditor Workshop

19. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 19 Caveat Emptor Note: The 9104/1 Standard Has Neither Been Balloted Nor Published. Therefore, All Information Contained Herein Is Considered “Proposed” and “Subject to Change”

20. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 200920 Caveat Emptor Note: The 9104/1 Standard Has Neither Been Balloted Nor Published. Therefore, All Information Contained Herein Is Considered “Proposed” and “Subject to Change”

21. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 21 In the beginning … … so he asked for OASIS But man was not satisfied … … and everything was right and proper in the aerospace world. There was AIR 5359 … … and surveillance … and ICOP. And the ABs, CBs and Auditors multiplied.

22. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 22 So, 9104 was born ! … so he asked for a separate Surveillance doc, But man was still not satisfied … … and became the standard from which the Aerospace Industry managed ICOP. It was Internationally harmonized … … and a separate Training and Qualification doc, … and wanted a number of topics redefined. And thus, the 9104 Trilogy was created.

23. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 23 The 9104 TRILOGY 9104 Training and Qualification Oversight Activity General Requirements -1 -2-3

24. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 24 History of 9104-series Releases: AS9104AJan 2005AS9104AJan 2005 –Quality Management System Certification/Registration Programs AS9014July 2006AS9014July 2006 –AAQG Requirements for AQMS Certification/Registration Programs AS9104-2Mar 2007AS9104-2Mar 2007 –Oversight of Aerospace QMS Registration/Certification Programs AS9104-3Mar 2007AS9104-3Mar 2007 –Aerospace Auditor Competency and Training Programs AS9104-1Est. 1Q2010 –A–A–A–Aviation, Space and Defense QMS Certification Programs

25. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 25 Today’s Game Plan International Team ApproachInternational Team Approach Review of Changes to 9104-1Review of Changes to 9104-1 –High Level Changes Per Chapter –Discuss Audit Day Table –Discuss Multiple Site Certifications What’s NextWhat’s Next –Schedule / Predictions Questions ?Questions ?

26. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 26 9104-1 International Re-write Team

27. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 27 Chapters, Book Bosses, Etc.

28. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 28 Chapters, Book Bosses, Etc. (continued)

29. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 29 Significant Changes to 9104-1 Note: 9104-1 is a total rewrite of the original 9104 document. This presentation will only focus on the major changes that deviate significantly from the past standard and implementation practices.

30. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 30 Changes to 9104-1 (C 1) 1. Scope significant changes1. Scope significant changes –Introduces ICOP –Sets Applicability to SMS, OPMT, ABs, CBs, and CBMCs –Expands Applicability to IAQG Member Companies, AABs, TPABs, etc. –Defines AQMS as 9100, 9110, & 9120 –Sets Confidentiality Expectations

31. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 31 Changes to 9104-1 (C 2) 2. References significant changes2. References significant changes –Upgrades to the New ISO/IEC Documents 17011, 17021, etc.17011, 17021, etc. –Upgrades to the New IAF Documents MD 1, MD 2, MD 3, MD 4, MD 5, ML 4, GD 3, etc.MD 1, MD 2, MD 3, MD 4, MD 5, ML 4, GD 3, etc. –References IAQG Procedures –Establishes Equivalencies for AS, EN, JISQ, SJAC, NBR, etc. (sector publications)

32. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 32 Changes to 9104-1 (C 3) 3. Definitions significant changes3. Definitions significant changes –Increased # of Definitions from 11 to 27 17 new, 1 deleted, most others slight changes17 new, 1 deleted, most others slight changes –Added Definitions for AQMS, AAB, CBMC, ICOP, OPMT, TPABAQMS, AAB, CBMC, ICOP, OPMT, TPAB Assessment, Audit, Containment, Pre-Audit, Office Assessment, Witness Audit, Witness AssessmentAssessment, Audit, Containment, Pre-Audit, Office Assessment, Witness Audit, Witness Assessment Multiple Site Organization, Single Site Organization, Head OfficeMultiple Site Organization, Single Site Organization, Head Office Cross FrontierCross Frontier

33. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 33 Changes to 9104-1 (C 4) 4. General replaced with4. General replaced with 4. Requirements for Sector Mgt Structure4. Requirements for Sector Mgt Structure –Defines authority for the SMS, CBMC for Review and Recognition of ABs, Accreditation of CBsReview and Recognition of ABs, Accreditation of CBs Review and Recognition of AABs and TPABsReview and Recognition of AABs and TPABs Data Reporting to OPMT and OASISData Reporting to OPMT and OASIS Approval, Suspension and Withdraw of EntitiesApproval, Suspension and Withdraw of Entities Defining a Process for ResolutionsDefining a Process for Resolutions Define and Enforce impartiality / Conflict of InterestDefine and Enforce impartiality / Conflict of Interest

34. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 34 Changes to 9104-1 (C 5a) 5. Accreditation Bodies significant changes5. Accreditation Bodies significant changes –Defines requirements for Conformance to ISO 17011 and IAF ML 4Conformance to ISO 17011 and IAF ML 4 AB Personnel Aviation ExperienceAB Personnel Aviation Experience CB Application and Review ProcessCB Application and Review Process Scope of AccreditationScope of Accreditation Right of AccessRight of Access Surveillance Requirements (new table)Surveillance Requirements (new table) –# of CB Client Files to be Reviewed Annually –# of Witness Assessments

35. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 35 Changes to 9104-1 (C 5b) 5. Accreditation Bodies (cont.) significant changes5. Accreditation Bodies (cont.) significant changes –Defines requirements for (continued) Auditor CompetencyAuditor Competency Marks and Logo UseMarks and Logo Use Suspension and Withdrawal ProcessSuspension and Withdrawal Process Closure of NonconformitiesClosure of Nonconformities Records RetentionRecords Retention Complaint/Issue Resolution ProcessComplaint/Issue Resolution Process Personnel / Assessor Team RequirementsPersonnel / Assessor Team Requirements

36. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 36 Changes to 9104-1 (C 6a) 6. Certification Bodies significant changes6. Certification Bodies significant changes –Defines requirements for Conformance to ISO 17021 and IAF MD & ML DocsConformance to ISO 17021 and IAF MD & ML Docs CB Maintaining ISO 9001 AccreditationCB Maintaining ISO 9001 Accreditation CBs Audit Program Must Conform to 9101CBs Audit Program Must Conform to 9101 CBs Certification Function Must Have a Person with Aviation, Space, or Defense competenceCBs Certification Function Must Have a Person with Aviation, Space, or Defense competence CB Auditors Must Be Competent and Authenticated to ISO/IEC 17021, 9104/3, and this standardCB Auditors Must Be Competent and Authenticated to ISO/IEC 17021, 9104/3, and this standard Periodic Surveillance and OversightPeriodic Surveillance and Oversight CB is Responsible for Ensuring Data is Accurately Entered Into OASISCB is Responsible for Ensuring Data is Accurately Entered Into OASIS

37. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 37 Changes to 9104-1 (C 6b) 6. Certification Bodies (cont.) significant changes6. Certification Bodies (cont.) significant changes –Defines requirements for (continued) CBs Must Have an OASIS AdministratorCBs Must Have an OASIS Administrator CBs Must Have a Complaint/Resolution ProcessCBs Must Have a Complaint/Resolution Process CBs Audit Program Must Conform to 9101CBs Audit Program Must Conform to 9101 NO CB ConsultancyNO CB Consultancy Responsibility for Integrity and Validity of CertificatesResponsibility for Integrity and Validity of Certificates CB Suspension and WithdrawalCB Suspension and Withdrawal CB Rules for ASRP and CAATCB Rules for ASRP and CAAT Audits Involving Areas and Materials Which Are Classified and/or Export ControlledAudits Involving Areas and Materials Which Are Classified and/or Export Controlled

38. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 38 Changes to 9104-1 (C 7) 7. Auditors reference to 9104/37. Auditors reference to 9104/3 – Re-states (simplified) requirements for Auditor Competency Detailed in 9104/3Auditor Competency Detailed in 9104/3 Responsibility for Evaluation, Authentication, and Re-Authentication of AQMS AuditorsResponsibility for Evaluation, Authentication, and Re-Authentication of AQMS Auditors “Auditors Authenticated in One IAQG Sector Shall Be Recognized by the Other Sectors”“Auditors Authenticated in One IAQG Sector Shall Be Recognized by the Other Sectors” Withdrawn Auditors May NOT Re-Apply for 12 Months in Any IAQG SectorWithdrawn Auditors May NOT Re-Apply for 12 Months in Any IAQG Sector

39. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 39 Changes to 9104-1 (C 8a) 8. Audits and Reporting significant changes8. Audits and Reporting significant changes –Defines requirements … Audit Team Leader Must Be an AEA and Be On-Site and Participating in All Audits, Including Multi-siteAudit Team Leader Must Be an AEA and Be On-Site and Participating in All Audits, Including Multi-site Audit Team Leader Shall Be Limited to a Maximum of Two Consecutive Certification Cycles at Same ClientAudit Team Leader Shall Be Limited to a Maximum of Two Consecutive Certification Cycles at Same Client Audit Team Leader Must Provide Nonconformity Reports (re. 9101) at the Closing MeetingAudit Team Leader Must Provide Nonconformity Reports (re. 9101) at the Closing Meeting Cannot Issue Certification or Re-Certification Until …Cannot Issue Certification or Re-Certification Until … –All Major and Minor Nonconformities Have Been Contained, Satisfactorily Corrected with Root Cause Analysis, Corrective Action Has Been Implemented, Reviewed, Accepted, and Verified by the CB.

40. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 40 Changes to 9104-1 (C 8b) 8. Audits and Reporting (cont.) significant changes8. Audits and Reporting (cont.) significant changes –Defines requirements (continued) … Duration of AuditDuration of Audit –New Audit Day Table –NO Reductions From Audit Day Table Is Allowed –Increases To Audit Day Table Is Allowed and Expected –Table is Compliant to IAF MD 5 –New Table Specifies Initial, Surveillance, & Recertification Days for 9100/9110, 9100/9110 Less Design, and 9120. –Audit Day Table DOES NOT Include Non-Audit Time (travel, meals, breaks, etc.) –Audit Day Table DOES NOT Include Auditor Time for Audit Planning, Writing of Reports, Filling Out 9101 Forms, etc.

41. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 41 New Audit Day Table (partial)

42. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 42 Changes to 9104-1 (C 8c) 8. Audits and Reporting (cont.) significant changes8. Audits and Reporting (cont.) significant changes –Defines requirements (continued) … Audit DaysAudit Days –Audit Day is 8 Hours »Working Longer Still Counted As 8 Hours (cannot do 4 days of 10 hrs to equal 40 hours) (cannot do 4 days of 10 hrs to equal 40 hours) –Must Audit All Working Shifts –Table is Compliant to IAF MD 5 »Shift Auditing Still Meets 8 Hour Daily Limitation Audit Day Rules for Multiple AQMS StandardsAudit Day Rules for Multiple AQMS Standards Audit Day Rules for Adding AQMS StandardsAudit Day Rules for Adding AQMS Standards

43. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 43 Changes to 9104-1 (C 8d) 8. Audits and Reporting (cont.) significant changes8. Audits and Reporting (cont.) significant changes –Defines requirements for (continued) … Multiple Site CertificationsMultiple Site Certifications –Must Comply with IAF MD 1, PLUS Requirements in 9104/1 »IAF MD 1 Section 0.4 is not applicable for aviation, space and defense organization certifications »“Temporary sites” is also not applicable –All Sites Audited to the Complete and Applicable AQMS Standard Prior to Certificate Issuance –Sampling of Sites for Surveillance and Recertification is ONLY Allowed for 9120, and Limited to Same Country

44. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 44 Changes to 9104-1 (C 8d) 8. Audits and Reporting (cont.) significant changes8. Audits and Reporting (cont.) significant changes –Defines requirements for (continued) … Multiple Site CertificationsMultiple Site Certifications –For 9100 and 9110 Certifications, Two (2) Categories of Certification of Multiple Sites Are Defined »Cat 1Sites meet eligibility criteria for IAF MD 1 »Cat 2Sites meet eligibility criteria for IAF MD 1 & 3 Note: It is anticipated that 90+% will seek/attain Category 1, and less than 10% will seek or achieve Category 2.

45. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 200945 New Multiple Site Certification Categories

46. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 46 Changes to 9104-1 (C 8e) 8. Audits and Reporting (cont.) significant changes8. Audits and Reporting (cont.) significant changes –Defines requirements for (continued) … Multiple Site Certifications (Categories 1 & 2)Multiple Site Certifications (Categories 1 & 2) –Central Function MUST Be Identified and Meet Criteria –Audit Days Calculated For Employee Count For Each Individual Site (NOT the cumulative sum of employees at all sites covered by the certification) –Central Function Audited Yearly –All Sites Visited At Least Once During Certification Cycle –Once Total Audit Day Requirement is Calculated, Some Allowance Is Given to Reduce Time At One Site and Add Time At Another Site For Proper Justification. (Time at one site cannot be reduced by more than 33% for Cat 1 or 50% for Cat 2.)

47. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 47 Changes to 9104-1 (C 8f) 8. Audits and Reporting (cont.) significant changes8. Audits and Reporting (cont.) significant changes –Defines requirements for (continued) … Issuance of CertificatesIssuance of Certificates –Required Info (e.g.. AQMS Std, Rev Level, Audit in Accordance with AS9104/1, CB Identity, Issue & Expiration Dates, Scope, Multi-site info, Marks/Logos) in English –Information Posted to OASIS Transfer of CertificatesTransfer of Certificates Loss of CertificationLoss of Certification ASRPASRP CAATCAAT

48. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 48 Changes to 9104-1 (C 9) 9. Oversight Process reference to 9104/29. Oversight Process reference to 9104/2 –Defines requirements … Refers to 9104/2 for Detailed RequirementsRefers to 9104/2 for Detailed Requirements Requires ICOP Declaration Form Completed and FiledRequires ICOP Declaration Form Completed and Filed Sharing of ResultsSharing of Results

49. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 49 Changes to 9104-1 (C 10) 10. Auditor Auth. Bodies new section10. Auditor Auth. Bodies new section –Defines requirements … AAB Must Be In Accordance With ISO 17024AAB Must Be In Accordance With ISO 17024 AAB Must Comply with 9104/3AAB Must Comply with 9104/3 Agree to Oversight / SurveillanceAgree to Oversight / Surveillance Auditor Complaint / Appeal ProcessAuditor Complaint / Appeal Process Activities Outside of Region / SectorActivities Outside of Region / Sector Process to Determine Auditor CompetencyProcess to Determine Auditor Competency Marks / LogosMarks / Logos Suspension / WithdrawalSuspension / Withdrawal Record RetentionRecord Retention

50. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 50 Changes to 9104-1 (C 11) 11. Train Prov. Approval Bodies new section11. Train Prov. Approval Bodies new section –Defines requirements … TPAB Must Comply with 9104/3TPAB Must Comply with 9104/3 Agree to Oversight / SurveillanceAgree to Oversight / Surveillance Conflict of InterestConflict of Interest Auditor Complaint / Appeal ProcessAuditor Complaint / Appeal Process Activities Outside of Region / SectorActivities Outside of Region / Sector Suspension / WithdrawalSuspension / Withdrawal Re-application After 12 MonthsRe-application After 12 Months Record RetentionRecord Retention

51. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 51 Changes to 9104-1 (C 12) 12. OASIS new section12. OASIS new section –Defines requirements … OPMT Has the Responsibility for OASISOPMT Has the Responsibility for OASIS OASIS Administrators RequiredOASIS Administrators Required –Only CB Administrator Can Enter Audit Data Into OASIS –Client Administrator to Input/Validate Demographic Data Withdrawn CBs Visible for 6 MonthsWithdrawn CBs Visible for 6 Months Created a Responsibility Matrix for Data CorrectnessCreated a Responsibility Matrix for Data Correctness

52. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 52 Changes to 9104-1 (C 13) 13. Other Party Mgt. Team new section13. Other Party Mgt. Team new section –Defines requirements … The OPMT Has The Authority to Publish the 9104- Series Standards Per IAQG Procedure 103The OPMT Has The Authority to Publish the 9104- Series Standards Per IAQG Procedure 103 Sector Reviews (Audits) Required Every 2 YearsSector Reviews (Audits) Required Every 2 Years OPMT Has the Responsibility for OASISOPMT Has the Responsibility for OASIS –Periodic Reviews of OASIS Management, Operations Reports to IAQG (Int’l OPMT and Sectors)Reports to IAQG (Int’l OPMT and Sectors) Improvements to ICOP SchemeImprovements to ICOP Scheme Monitor Feedback ProcessMonitor Feedback Process

53. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 53 Changes to 9104-1 (C 14) 14. OASIS Feedback Process new section14. OASIS Feedback Process new section –Defines requirements for

54. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 54 Changes to 9104-1 (C 15) 15. Sector Mgt. Structure further definition15. Sector Mgt. Structure further definition –Defines requirements … ICOP Scheme Globally Supported by SMSICOP Scheme Globally Supported by SMS Authority / RecognitionAuthority / Recognition AB and CB SuspensionsAB and CB Suspensions ResolutionsResolutions SMS Represented on OPMTSMS Represented on OPMT

55. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 55 Sector Management Structure IAQG OPMT European SMSAmericas SMSAsia Pacific SMS APAQG - RMC (OPMT) (tentative) AAQG - RMC Oversight/Surveillance Team Auditor Authentication & Training Review Team EU OPMT Oversight/Surveillance Team Auditor Authentication & Training Review Team xx Documentation RMCs (CBMCs ） Oversight/Surveillance Teams Auditor Review Team Oversight/Surveillance Team Auditor Authentication & Training Review Team Documentation CBMCs per country Oversight/Surveillance Teams Auditor Review Team IAQG Council

56. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 56 Changes to 9104-1 (C 16) 16. Cross Frontier new section16. Cross Frontier new section –Defines requirements … Compliance to IAF GD 3Compliance to IAF GD 3 ABs, SMSs, and CBMCs Conducting Oversight In Countries Other Than Their Country of AccreditationABs, SMSs, and CBMCs Conducting Oversight In Countries Other Than Their Country of Accreditation ABs Can Sub-Contract Work to Other ABs/SectorsABs Can Sub-Contract Work to Other ABs/Sectors Accrediting AB Retains ResponsibilityAccrediting AB Retains Responsibility Fees Can Be Levied On CBs For Oversight Outside SMS/CBMC Region.Fees Can Be Levied On CBs For Oversight Outside SMS/CBMC Region.

57. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 57 Changes to 9104-1 (C 18) 18. Certified Organizations new section18. Certified Organizations new section –Defines requirements … Certified Organizations Must Allow CB to Post Tier 1 and Tier 2 Audit Data to OASIS Database.Certified Organizations Must Allow CB to Post Tier 1 and Tier 2 Audit Data to OASIS Database. –Agree Tier 1 Is Public Information –Agree to Provide Access to Tier 2 Upon Request of Aviation, Space, and Defense Customers (unless justification of competition confidentiality, conflict of interest, etc.) –Agree to Notify Their Aviation, Space, and Defense Customers in Case of Loss of Certification –Shall Provide ‘Right of Access’ to Their Facilities, People, and Processes For Review by Customers and Authorities.

58. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 58 Changes to 9104-1 (C 19) 19. Fees and Financials minor changes19. Fees and Financials minor changes –Defines requirements... OPMT Can Recommend Fees For Registration of Audit Data in the OASIS DatabaseOPMT Can Recommend Fees For Registration of Audit Data in the OASIS Database OPMT Must Prepare an Annual BudgetOPMT Must Prepare an Annual Budget –Submit to IAQG Treasurer –Estimate Contract Labor, Meeting/Workshop Costs, Sector ICOP Projects, and OASIS Sustainment and Improvements

59. AAQG Council, RMC, & AAQSC Meetings Doubletree Suites, Charlotte NC Sept 14-17, 2009 59 QUESTIONS? Interrogação? Poser une question?