Quality Management System Lead Auditor

Course AS 9110 C:2016

The Course Based on the Requirements of AS9110 Rev C and AS9101 Rev F
and AS 9104 F:2016
MANAGEMENT OF AUDIT PROGRAMME
An audit programme should be established which can include
audits addressing one or more management system standards
or other requirements, conducted either separately or in
combination (combined audit).
The extent of an audit programme should be based on the size
and nature of the auditee, as well as on the nature,
functionality, complexity, the type
of risks and opportunities, and the level
of maturity of the management system(s) to
be audited.
MANAGEMENT OF AUDIT PROGRAMME
• In order to understand the context of the auditee, the audit
programme should take into account then auditee’s

 organizational objectives

 relevant external and internal issues

 the needs and expectations of relevant interested parties

 information security and confidentiality requirements

MANAGEMENT OF AUDIT PROGRAMME
• The audit programme should include information and identify resources to enable the
audits to be conducted effectively and efficiently within the specified time frames.
The information should include
 objectives for the audit programme

 risks and opportunities associated with the audit programme (see 5.3) and the actions to
address them

 scope (extent, boundaries, locations) of each audit within the audit programme

 schedule (number/duration/frequency) of the audits

 audit types, such as internal or external

MANAGEMENT OF AUDIT PROGRAMME
• 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.
MANAGEMENT OF AUDIT PROGRAMME
• 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
MANAGEMENT OF AUDIT PROGRAMME
• 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
MANAGEMENT OF AUDIT PROGRAMME
• 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
MANAGEMENT OF AUDIT PROGRAMME
• 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
MANAGEMENT OF AUDIT PROGRAMME
• New Multiple Site Certification Categories
Category
Organization Scope
Meets the eligibility requirements of
IAF MD 1 for sampling;
and
1 Year 2 – Central function and remaining
Does not meet the eligibility
requirements of IAF MD 3 for advanced
surveillance.
Meets the eligibility requirements of
IAF MD 1 for sampling;
2 and
Meets the eligibility requirements of
IAF MD 3 for advanced surveillance.
Audit Frequency
Note: See Table 2 for audit day calculations.
Annual Surveillance - Years 1 and 2
Year 1 - Central function and approximately
50% of sites
sites not audited in year 1
Re-certification – Year 3 – Central function
and all sites
Annual Surveillance and Re-certification
Year 1 - Central function and approximately
33% of the sites
Year 2 - Central function and approximately
50% of the sites not reviewed in year 1
Year 3 – Central function and remaining
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.
MANAGEMENT OF AUDIT PROGRAMME
• 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.)
MANAGEMENT OF AUDIT PROGRAMME-Single Site
MANAGEMENT OF AUDIT PROGRAMME-Multi-Site
MANAGEMENT OF AUDIT PROGRAMME-Campus
MANAGEMENT OF AUDIT PROGRAMME-Several-Sites
MANAGEMENT OF AUDIT PROGRAMME-Complex