Requirements For Aviation, Space, and Defense Quality Management System Certification Programs

AAQG Council, RMC, & AAQSC Meetings
Doubletree Suites, Charlotte NC

Sept 14-17, 2009
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

1
Sept 14-17, 2009
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”
2
Sept 14-17, 2009
The 9104 TRILOGY

General
Requirements
-1
9104
Oversight -2 -3 Training and
Activity Qualification
3
Sept 14-17, 2009
9104-1 International Re-write Team

Roll Name Sector Representing Company
Team Leader Mike Roberts AAQG OPMT Boeing

Team Sponsor Rick Downs AAQG OPMT Chair Cessna
Team Member Tim Lee AAQG OPMT Boeing

Team Member Vince May AAQG OPMT Honeywell
Team Member Rich Vinton AAQG RMC / AAQG Raytheon
Team Member Mike Gallagher AAQG OPMT Lockheed
Team Member Patrice Bleau AAQG RMC Bombardier
Team Member Reg Blake AAQG CBs IAAR
Team Member Lori Scheid-Gillespie AAQG ABs ANAB
Team Member Gualtiero Arsento EAQG OPMT Alenia
Team Member Herbert Mairose EAQG OPMT Airbus
Team Member Ian Folland EAQG ABs UKAS
Team Member Hans Luuijt EAQG OASIS ASD
Team Member Giuseppe Leoni EAQG OPMT Agusta Westand
Team Member Tamaki Nishio APAQG OPMT IHI
Team Member Akihiro Iguro APAQG MHI
Team Member Shuji Komori APAQG JRMC FHI
4
SAE Editor Jeff Wood AAQG SAE SAE
Sept 14-17, 2009
New Audit Day Table (partial)
9100 / 9110 9100 / 9110 Less Design (7.3) 9120

Number of
Employees Annual Annual Annual
Initial Recertification Initial Recertification Initial Recertification
Surveillance Surveillance Surveillance
1-5 2.0 1.0 2.0 2.0 1.0 1.5 2.0 1.0 1.5
6-10 2.5 1.0 2.0 2.5 1.0 2.0 2.0 1.0 1.5
11-15 3.0 1.5 2.5 2.5 1.0 2.0 2.5 1.0 2.0
16-25 3.5 1.5 3.0 3.0 1.5 2.5 3.0 1.5 2.0
26-45 5.0 2.0 4.0 4.5 2.0 3.5 4.0 2.0 3.0
46-65 6.0 2.5 4.5 5.0 2.0 4.0 4.5 2.0 3.5
66-85 7.0 3.0 5.5 6.0 2.5 4.5 5.5 2.5 4.0
86-100 8.0 3.0 6.0 7.0 3.0 5.0 6.0 2.5 4.5
101-125 8.5 3.5 6.5 7.5 3.0 5.5 6.5 3.0 5.0
126-175 9.5 4.0 7.0 8.0 3.5 6.0 7.5 3.0 5.5
176-275 10.5 4.0 8.0 9.0 3.5 6.5 8.0 3.5 6.0
276-425 12.0 5.0 9.0 10.0 4.5 7.5 9.0 4.0 7.0
426-625 13.0 5.5 9.5 11.0 4.5 8.0 10.0 4.5 7.5
626-875 14.0 5.5 10.5 12.0 5.0 8.5 10.5 4.5 8.0
876-1000 15.0 6.0 11.0 12.5 5.0 9.0 11.5 5.0 8.5
1001-1175 16.0 6.5 12.0 13.5 5.5 10.0 12.5 5.5 9.5
1176-1550 17.0 7.0 12.5 14.5 6.0 11.0 13.0 5.5 10.0
1551-2025 18.0 7.0 13.5 15.0 6.0 11.5 13.5 5.5 10.5
2026-2675 19.0 7.5 14.0 16.0 6.5 12.0 14.5 6.0 11.0
5
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.
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.
Sept 14-17, 2009
Section 8.4
8.4 Audit 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.
Sept 14-17, 2009
New Multiple Site Certification Categories

Category Audit Frequency
Organization Scope
Note: See Table 2 for audit day calculations.
Annual Surveillance - Years 1 and 2

Meets the eligibility requirements of
IAF MD 1 for sampling; Year 1 - Central function and approximately
50% of sites
and
1 Year 2 – Central function and remaining
Does not meet the eligibility
requirements of IAF MD 3 for advanced sites not audited in year 1
surveillance. Re-certification – Year 3 – Central function
and all sites
Annual Surveillance and Re-certification

Year 1 - Central function and approximately
33% of the sites
2 and 50% of the sites not reviewed in year 1
Meets the eligibility requirements of Year 3 – Central function and remaining
IAF MD 3 for advanced surveillance. sites not reviewed in year 1 or 2
Audit plan shall ensure that the maximum
duration between each site’s audit is not
greater then 48 months.
9
Sept 14-17, 2009
New Oversight Requirements

5.3.3 Certification 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:
Number of AQMS Sites Minimum Number of CB Client Number of Annual

Certified by a CB* Files to be Reviewed Annually* Witness Assessments*
1-3 All client files 1

4-25 3 1
26-50 5 1
51-90 6 2
91-150 7 2
151-280 10 3
281-500 11 4
501-1200 15 5
1201-3200 18 6
Ballot
Asia
Activity
Europe
SAE Editor
Publish Asia
SWG Meeting
Implementation
Americas and Asia
AAQG & IAQG Meeting
AAQG & IAQG Meeting
RMC Auditor Workshop
Review Ballot Comments

Final Document Clean-Up
Formal Review by Sectors
Send To Sectors for Ballot

Book Boss Review / Clean-up
Publish Europe and Americas

Challenge by EAQG - Multi-site
Review / Implement Comments

Challenge by EAQG - Audit Table
Submit for OPMT / Sector Review
Send to Sectors for Final Approval

Send To Sectors for Formal Review
Challenge by APAQG - Audit Day / ASRP
6-Feb-09
13-Feb-09
20-Feb-09
27-Feb-09
6-Mar-09
13-Mar-09
20-Mar-09
27-Mar-09
3-Apr-09
10-Apr-09
17-Apr-09
24-Apr-09
1-May-09
8-May-09
15-May-09
22-May-09
29-May-09
Revised Schedule
5-Jun-09
12-Jun-09
19-Jun-09
26-Jun-09
3-Jul-09
10-Jul-09
17-Jul-09
24-Jul-09
31-Jul-09
7-Aug-09
14-Aug-09
21-Aug-09
28-Aug-09
4-Sep-09
11-Sep-09
18-Sep-09
25-Sep-09
2-Oct-09
9-Oct-09
16-Oct-09
23-Oct-09
30-Oct-09
6-Nov-09
13-Nov-09
20-Nov-09
27-Nov-09
4-Dec-09
11-Dec-09
18-Dec-09
25-Dec-09
1-Jan-10
8-Jan-10
Sept 14-17, 2009
15-Jan-10
22-Jan-10
29-Jan-10
5-Feb-10
12-Feb-10
19-Feb-10
26-Feb-10
5-Mar-10
12-Mar-10
19-Mar-10
26-Mar-10
2-Apr-10
9-Apr-10
16-Apr-10
23-Apr-10
30-Apr-10
7-May-10
1
14-May-10
21-May-10
28-May-10
4-Jun-10
11
11-Jun-10
18-Jun-10
1-Jan-11
3
1-Jan-12
Sept 14-17, 2009
Expanded ‘Likely’ Schedule
21-Aug-09
28-Aug-09
14-May-10
21-May-10
28-May-10
13-Nov-09
20-Nov-09
27-Nov-09
11-Sep-09
18-Sep-09
25-Sep-09
11-Dec-09
18-Dec-09
25-Dec-09
12-Feb-10
19-Feb-10
26-Feb-10
11-Jun-10
18-Jun-10
16-Apr-10
23-Apr-10
30-Apr-10
12-Mar-10
19-Mar-10
26-Mar-10
15-Jan-10
22-Jan-10
29-Jan-10
16-Oct-09
23-Oct-09
30-Oct-09
7-May-10
6-Nov-09
4-Sep-09
4-Dec-09
5-Feb-10
4-Jun-10
2-Apr-10
9-Apr-10
5-Mar-10
1-Jan-10
8-Jan-10
1-Jan-11
1-Jan-12
2-Oct-09
9-Oct-09
Activity
SAE Editor
AAQG & IAQG Meeting
Ballot
Americas and Asia
Asia
Europe

Publish Asia
Implementation 1 2 3
12
Sept 14-17, 2009
Expanded ‘Aggressive’ Schedule
21-Aug-09
28-Aug-09
14-May-10
13-Nov-09
20-Nov-09
27-Nov-09
11-Sep-09
18-Sep-09
25-Sep-09
11-Dec-09
18-Dec-09
25-Dec-09
12-Feb-10
19-Feb-10
26-Feb-10
16-Apr-10
23-Apr-10
30-Apr-10
12-Mar-10
19-Mar-10
26-Mar-10
15-Jan-10
22-Jan-10
29-Jan-10
16-Oct-09
23-Oct-09
30-Oct-09
7-May-10
6-Nov-09
4-Sep-09
4-Dec-09
5-Feb-10
2-Apr-10
9-Apr-10
5-Mar-10
1-Jan-10
8-Jan-10
1-Jan-11
1-Jan-12
2-Oct-09
9-Oct-09
Activity
SAE Editor
AAQG & IAQG Meeting
Ballot
Americas and Asia
Asia
Europe

Publish Asia
Implementation 1 1 2 3
13
Sept 14-17, 2009
9100/9101/9104-1 Transition Plan (Proposed)

OPMT
Release of
Training
9104/1 Go-Ahead
9101
Release
Estimated Estimated Proposed
6 Months 8 Months 12 Months
Develop Training of All Companies Must

Auditor Certification Upgrade to New Standard
Training Bodies and At Next Surveillance Audit
Auditors Or Re-Certification
Earliest Opportunity Maximum

for Certification to Allowed
New Standard Time to
(i.e. the early adopters) Upgrade
14
Sept 14-17, 2009
9104/1 Section Implementation

Section 60 days Extended Implementation
3 YY As applicable (ie. Single Site)
4 YY
5 Y 5.3.3 5.3 f (OASIS change)
6 Y 6.5 L As applicable
7 YY
8 Y 8.2 Applicable in 2010 – Mandatory upon transition to 9100:2009
9 YY
10 Evidence of approval in 2010, Evidence of oversight in 2011
11 Evidence of approval in 2010, Evidence of oversight in 2011
12 YY
13 YY
14 YY YY = Complete Section
15 YY Y = Partial Section
16 YY
17 YY
18 YY
19 YY
Appx A Y Mandatory in full upon transition to 9100:2009
Sept 14-17, 2009
9104/1 Transition Plan (Proposed)

All New Contracts Should Be
Est.
9104/1 9104/1 Written to the New Auditor
1/1/12
Ballot Release Time Tables and 9104/1
Requirements
~5 2 6 Proposed
Months Months Months 12 Months
Existing Contracts Must Be

Changed to Meet 9104/1
At Next Audit (I,S,R)
Maximum
All ABs & CBs Must Be Allowed
Compliant to New 9104/1, Time to
Upgrade
Except Audit Day
Times and M/S
16
Sept 14-17, 2009
QUESTIONS?
17
Sept 14-17, 2009
Back-up
Detailed Presentation
from
Auditor Workshop
18
Sept 14-17, 2009
Caveat Emptor

19
Sept 14-17, 2009
Caveat Emptor

20
Sept 14-17, 2009
In the beginning …
There was AIR 5359 …
… and everything was right and proper
in the aerospace world.
But man was not satisfied …
… so he asked for OASIS
… and surveillance
… and ICOP.
And the ABs, CBs and Auditors multiplied.
21
Sept 14-17, 2009
So, 9104 was born !

It was Internationally harmonized …
… and became the standard from which
the Aerospace Industry managed ICOP.
But man was still not satisfied …

… so he asked for a separate Surveillance doc,
… and a separate Training and Qualification doc,
… and wanted a number of topics redefined.
And thus, the 9104 Trilogy was created. 22

Sept 14-17, 2009
The 9104 TRILOGY

General
Requirements
-1
9104
Oversight -2 -3 Training and
Activity Qualification
23
Sept 14-17, 2009
History of 9104-series Releases:

• AS9104A Jan 2005
– Quality Management System Certification/Registration
Programs
• AS9014 July 2006
– AAQG Requirements for AQMS Certification/Registration
Programs
• AS9104-2 Mar 2007
– Oversight of Aerospace QMS Registration/Certification
Programs
• AS9104-3 Mar 2007
– Aerospace Auditor Competency and Training Programs
• AS9104-1 Est. 1Q2010

– Aviation, Space and Defense QMS Certification Programs 24
Sept 14-17, 2009
Today’s Game Plan
• International Team Approach

• Review of Changes to 9104-1
– High Level Changes Per Chapter
– Discuss Audit Day Table
– Discuss Multiple Site Certifications
• What’s Next
– Schedule / Predictions
• Questions ?
25
Sept 14-17, 2009
9104-1 International Re-write Team

Roll Name Sector Representing Company
Team Leader Mike Roberts AAQG OPMT Boeing

Team Sponsor Rick Downs AAQG OPMT Chair Cessna
Team Member Tim Lee AAQG OPMT Boeing

Team Member Vince May AAQG OPMT Honeywell
Team Member Rich Vinton AAQG RMC / AAQG Raytheon
Team Member Mike Gallagher AAQG OPMT Lockheed
Team Member Patrice Bleau AAQG RMC Bombardier
Team Member Reg Blake AAQG CBs IAAR
Team Member Lori Scheid-Gillespie AAQG ABs ANAB
Team Member Gualtiero Arsento EAQG OPMT Alenia
Team Member Herbert Mairose EAQG OPMT Airbus
Team Member Ian Folland EAQG ABs UKAS
Team Member Hans Luuijt EAQG OASIS ASD
Team Member Giuseppe Leoni EAQG OPMT Agusta Westand
Team Member Tamaki Nishio APAQG OPMT IHI
Team Member Akihiro Iguro APAQG MHI
Team Member Shuji Komori APAQG JRMC FHI
26
SAE Editor Jeff Wood AAQG SAE SAE
Sept 14-17, 2009
Chapters, Book Bosses, Etc.

Book
# Chapter Title Boss Chapter Team Status
Rationale Mike R Complete
Foreward Mike R Complete
Table of Contents Jeff W SAE Editor
1 Scope Rick D Tim L, Vince M, Gualtiero A Complete
2 References Tim L Ian F, Hans L Complete
3 Definitions Lori S-G Gualtiero A Complete
4 Requirements for Sector Management Structure Mike R Complete
5 Requirements for Accreditation Bodies Ian F Lori S-G, Gualtiero, Mike G Complete
6 Requirements for Certification Bodies Tim L Reg B, Ian F, Hans L Complete
7 Requirements for Auditors Gualtiero A Hans L, Vince M, Tim L, Complete
8 Requirements for Audits and Reporting Rick D Tamaki N, Ian F, Reg B Complete
9 Requirements for Oversight Tamaki N Tim L Complete
10 Requirements for Auditor Authentication Bodies Mike G Complete
11 Requirements for Training Provider Approval Bodies Mike G Complete
12 Online Aerospace Supplier Information System Hans L Jay M, Mike R Complete

27
Sept 14-17, 2009
Chapters, Book Bosses, Etc. (continued)
Book
# Chapter Title Boss Chapter Team Status
13 Other Party Management Team Rick D Complete
14 Feedback Process Hans L Complete
15 Sector Management Structure Tim L Tamaki N, Herbert M Complete
16 Cross Frontier Policy for 9104/2 Oversight Ian F Ian F, Reg B, Tim L, Tamaki N Complete
17 Records Tim L Tim L Complete
18 Requirements for Certified Organizations Complete
19 Fees and Financials Mike R Complete
A Appendix - Information for OASIS Database Hans L Reg B Complete
B Appendix - Change Procedure for OASIS Hans L Cancel
C Appendix - Process Flows Reg B Cancel
28
Sept 14-17, 2009
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.
29
Sept 14-17, 2009
Changes to 9104-1 (C 1)
• 1. 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
30
Sept 14-17, 2009
• 2. References significant changes

– Upgrades to the New ISO/IEC Documents
• 17011, 17021, etc.
– Upgrades to the New IAF Documents
• 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)
31
Sept 14-17, 2009
• 3. Definitions significant changes

– Increased # of Definitions from 11 to 27
• 17 new, 1 deleted, most others slight changes
– Added Definitions for
• AQMS, AAB, CBMC, ICOP, OPMT, TPAB
• Assessment, Audit, Containment, Pre-Audit,
Office Assessment, Witness Audit, Witness
Assessment
• Multiple Site Organization, Single Site
Organization, Head Office
• Cross Frontier 32
Sept 14-17, 2009
• 4. General replaced with

• 4. Requirements for Sector Mgt Structure
– Defines authority for the SMS, CBMC for
• Review and Recognition of ABs, Accreditation of CBs
• Review and Recognition of AABs and TPABs
• Data Reporting to OPMT and OASIS
• Approval, Suspension and Withdraw of Entities
• Defining a Process for Resolutions
• Define and Enforce impartiality / Conflict of Interest
33
Sept 14-17, 2009
Changes to 9104-1 (C 5a)
• 5. Accreditation Bodies significant changes

– Defines requirements for
• Conformance to ISO 17011 and IAF ML 4
• AB Personnel Aviation Experience
• CB Application and Review Process
• Scope of Accreditation
• Right of Access
• Surveillance Requirements (new table)
– # of CB Client Files to be Reviewed Annually
– # of Witness Assessments
34
Sept 14-17, 2009
Changes to 9104-1 (C 5b)
• 5. Accreditation Bodies (cont.) significant changes
– Defines requirements for (continued)

• Auditor Competency
• Marks and Logo Use
• Suspension and Withdrawal Process
• Closure of Nonconformities
• Records Retention
• Complaint/Issue Resolution Process
• Personnel / Assessor Team Requirements
35
Sept 14-17, 2009
• 6. Certification Bodies significant changes

• Conformance to ISO 17021 and IAF MD & ML Docs
• CB Maintaining ISO 9001 Accreditation
• CBs Audit Program Must Conform to 9101
• CBs 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 standard
• Periodic Surveillance and Oversight
• CB is Responsible for Ensuring Data is Accurately
36
Entered Into OASIS
Sept 14-17, 2009
• 6. Certification Bodies (cont.) significant changes

– Defines requirements for (continued)
• CBs Must Have an OASIS Administrator
• CBs Must Have a Complaint/Resolution Process
• CBs Audit Program Must Conform to 9101
• NO CB Consultancy
• Responsibility for Integrity and Validity of Certificates
• CB Suspension and Withdrawal
• CB Rules for ASRP and CAAT
• Audits Involving Areas and Materials Which Are
Classified and/or Export Controlled 37
Sept 14-17, 2009
• 7. Auditors reference to 9104/3

– Re-states (simplified) requirements for
• Auditor Competency Detailed in 9104/3
• Responsibility for Evaluation, Authentication, and
Re-Authentication of AQMS Auditors
• “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 Sector
38
Sept 14-17, 2009
• 8. 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-site
• Audit 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 Meeting
• 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, 39
Accepted, and Verified by the CB.
Sept 14-17, 2009
• 8. Audits and Reporting (cont.) significant changes

– Defines requirements (continued) …
• Duration 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.
40
Sept 14-17, 2009
New Audit Day Table (partial)
9100 / 9110 9100 / 9110 Less Design (7.3) 9120

Number of
Employees Annual Annual Annual
Initial Recertification Initial Recertification Initial Recertification
Surveillance Surveillance Surveillance
1-5 2.0 1.0 2.0 2.0 1.0 1.5 2.0 1.0 1.5
6-10 2.5 1.0 2.0 2.5 1.0 2.0 2.0 1.0 1.5
11-15 3.0 1.5 2.5 2.5 1.0 2.0 2.5 1.0 2.0
16-25 3.5 1.5 3.0 3.0 1.5 2.5 3.0 1.5 2.0
26-45 5.0 2.0 4.0 4.5 2.0 3.5 4.0 2.0 3.0
46-65 6.0 2.5 4.5 5.0 2.0 4.0 4.5 2.0 3.5
66-85 7.0 3.0 5.5 6.0 2.5 4.5 5.5 2.5 4.0
86-100 8.0 3.0 6.0 7.0 3.0 5.0 6.0 2.5 4.5
101-125 8.5 3.5 6.5 7.5 3.0 5.5 6.5 3.0 5.0
126-175 9.5 4.0 7.0 8.0 3.5 6.0 7.5 3.0 5.5
176-275 10.5 4.0 8.0 9.0 3.5 6.5 8.0 3.5 6.0
276-425 12.0 5.0 9.0 10.0 4.5 7.5 9.0 4.0 7.0
426-625 13.0 5.5 9.5 11.0 4.5 8.0 10.0 4.5 7.5
626-875 14.0 5.5 10.5 12.0 5.0 8.5 10.5 4.5 8.0
876-1000 15.0 6.0 11.0 12.5 5.0 9.0 11.5 5.0 8.5
1001-1175 16.0 6.5 12.0 13.5 5.5 10.0 12.5 5.5 9.5
1176-1550 17.0 7.0 12.5 14.5 6.0 11.0 13.0 5.5 10.0
1551-2025 18.0 7.0 13.5 15.0 6.0 11.5 13.5 5.5 10.5
2026-2675 19.0 7.5 14.0 16.0 6.5 12.0 14.5 6.0 11.0
41
Sept 14-17, 2009
Changes to 9104-1 (C 8c)
– Defines requirements (continued) …

• Audit Days
– Audit Day is 8 Hours
» Working Longer Still Counted As 8 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 Standards
• Audit Day Rules for Adding AQMS Standards 42
Sept 14-17, 2009
Changes to 9104-1 (C 8d)
– Defines requirements for (continued) …

• Multiple 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
43
Sept 14-17, 2009
Changes to 9104-1 (C 8d)

• Multiple Site Certifications
– For 9100 and 9110 Certifications, Two (2) Categories of
Certification of Multiple Sites Are Defined
» Cat 1 Sites meet eligibility criteria for IAF MD 1
» Cat 2 Sites 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.
44
Sept 14-17, 2009
New Multiple Site Certification Categories

Category Audit Frequency
Organization Scope
Note: See Table 2 for audit day calculations.
Annual Surveillance - Years 1 and 2

50% of sites
and
1 Year 2 – Central function and remaining
Does not meet the eligibility
requirements of IAF MD 3 for advanced sites not audited in year 1
surveillance. Re-certification – Year 3 – Central function
and all sites
Annual Surveillance and Re-certification

Year 1 - Central function and approximately
33% of the sites
2 and 50% of the sites not reviewed in year 1
Meets the eligibility requirements of Year 3 – Central function and remaining
IAF MD 3 for advanced surveillance. sites not reviewed in year 1 or 2
Audit plan shall ensure that the maximum
duration between each site’s audit is not
greater then 48 months.
45
Sept 14-17, 2009
Changes to 9104-1 (C 8e)

• 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%
46
for Cat 2.)
Sept 14-17, 2009
Changes to 9104-1 (C 8f)

• Issuance 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 Certificates
• Loss of Certification
• ASRP
• CAAT 47
Sept 14-17, 2009
• 9. Oversight Process reference to 9104/2

• Refers to 9104/2 for Detailed Requirements
• Requires ICOP Declaration Form Completed and Filed
• Sharing of Results
48
Sept 14-17, 2009
• 10. Auditor Auth. Bodies new section

• AAB Must Be In Accordance With ISO 17024
• AAB Must Comply with 9104/3
• Agree to Oversight / Surveillance
• Auditor Complaint / Appeal Process
• Activities Outside of Region / Sector
• Process to Determine Auditor Competency
• Marks / Logos
• Suspension / Withdrawal
• Record Retention 49
Sept 14-17, 2009
• 11. Train Prov. Approval Bodies new section

• TPAB Must Comply with 9104/3
• Agree to Oversight / Surveillance
• Conflict of Interest
• Auditor Complaint / Appeal Process
• Activities Outside of Region / Sector
• Suspension / Withdrawal
• Re-application After 12 Months
• Record Retention 50
Sept 14-17, 2009
• 12. OASIS new section

• OPMT Has the Responsibility for OASIS
• OASIS Administrators Required
– Only CB Administrator Can Enter Audit Data Into OASIS
– Client Administrator to Input/Validate Demographic Data
• Withdrawn CBs Visible for 6 Months
• Created a Responsibility Matrix for Data Correctness
51
Sept 14-17, 2009
• 13. Other Party Mgt. Team new section

• The OPMT Has The Authority to Publish the 9104-
Series Standards Per IAQG Procedure 103
• Sector Reviews (Audits) Required Every 2 Years
• OPMT Has the Responsibility for OASIS
– Periodic Reviews of OASIS Management, Operations
• Reports to IAQG (Int’l OPMT and Sectors)
• Improvements to ICOP Scheme
• Monitor Feedback Process 52
Sept 14-17, 2009
• 14. OASIS Feedback Process new section

FEEDBACK - B
Product / Process
Quality
Certification Audit
Supplier Customer
Body Audit Findings
FEEDBACK - A
FEEDBACK - C
53
Sept 14-17, 2009
• 15. Sector Mgt. Structure further definition

• ICOP Scheme Globally Supported by SMS
• Authority / Recognition
• AB and CB Suspensions
• Resolutions
• SMS Represented on OPMT
54
Sept 14-17, 2009
Sector Management Structure
IAQG Council
IAQG OPMT
European SMS Americas SMS Asia Pacific SMS
APAQG - RMC (OPMT)

EU OPMT AAQG - RMC
(tentative)
Oversight/Surveillance
Oversight/Surveillance Team Oversight/Surveillance Team
Team
Auditor Authentication &

Auditor Authentication & Auditor Authentication & Training Review Team
Training Review Team Training Review Team
xx
Documentation Documentation Documentation
CBMCs per country RMCs (CBMCs）
Oversight/Surveillance Teams Oversight/Surveillance Teams
Auditor Review Team Auditor Review Team
55
Sept 14-17, 2009
• 16. Cross Frontier new section

• Compliance to IAF GD 3
• ABs, SMSs, and CBMCs Conducting Oversight In
Countries Other Than Their Country of Accreditation
• ABs Can Sub-Contract Work to Other ABs/Sectors
• Accrediting AB Retains Responsibility
• Fees Can Be Levied On CBs For Oversight Outside
SMS/CBMC Region.
56
Sept 14-17, 2009
• 18. Certified Organizations new section

• 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. 57
Sept 14-17, 2009
• 19. Fees and Financials minor changes

– Defines requirements ...
• OPMT Can Recommend Fees For Registration of
Audit Data in the OASIS Database
• OPMT Must Prepare an Annual Budget
– Submit to IAQG Treasurer
– Estimate Contract Labor, Meeting/Workshop Costs, Sector
ICOP Projects, and OASIS Sustainment and Improvements
58
Sept 14-17, 2009
QUESTIONS?
59

Requirements For Aviation, Space, and Defense Quality Management System Certification Programs

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AAQG Council, RMC, & AAQSC Meetings

Doubletree Suites, Charlotte NC

Prepared and Presented by

AAQG Council, RMC, and AAQSC Meetings

September 14 - 17, 2009

Note: The 9104/1 Standard Has

The 9104 TRILOGY

9104-1 International Re-write Team

Team Leader Mike Roberts AAQG OPMT Boeing

Team Member Tim Lee AAQG OPMT Boeing

New Audit Day Table (partial)

9100 / 9110 9100 / 9110 Less Design (7.3) 9120

Section 8.2 (continued)

New Multiple Site Certification Categories

Annual Surveillance - Years 1 and 2

Annual Surveillance and Re-certification

New Oversight Requirements

Number of AQMS Sites Minimum Number of CB Client Number of Annual

1-3 All client files 1

RMC Auditor Workshop

Review Ballot Comments

Formal Review by Sectors

Send To Sectors for Ballot

Publish Europe and Americas

Review / Implement Comments

Send to Sectors for Final Approval

Expanded ‘Likely’ Schedule

Final Document Clean-Up

Send To Sectors for Formal Review

Formal Review by Sectors

AAQG & IAQG Meeting

Review / Implement Comments

Send To Sectors for Ballot

Review Ballot Comments

Send to Sectors for Final Approval

Publish Europe and Americas

Expanded ‘Aggressive’ Schedule

Final Document Clean-Up

Send To Sectors for Formal Review

Formal Review by Sectors

AAQG & IAQG Meeting

Review / Implement Comments

Send To Sectors for Ballot

Review Ballot Comments

Send to Sectors for Final Approval

Publish Europe and Americas

9100/9101/9104-1 Transition Plan (Proposed)

Develop Training of All Companies Must

Earliest Opportunity Maximum

9104/1 Section Implementation

9104/1 Transition Plan (Proposed)

Existing Contracts Must Be

Note: The 9104/1 Standard Has

Note: The 9104/1 Standard Has

So, 9104 was born !

But man was still not satisfied …

And thus, the 9104 Trilogy was created. 22

The 9104 TRILOGY

History of 9104-series Releases:

• AS9104-1 Est. 1Q2010

Today’s Game Plan

• International Team Approach