ANSI-ASQ National Accreditation Board

FQSAccreditation for forensic

testing agencies

ANAB UpdateLori Gillespie

RMC ~ 18 July 2012

Transition 9100/9110/9120:2009 SR001

Transition 9100/9110/9120:2009 for ANAB accredited Certificates (as of 2 July 2012)

According to the KPI’s that were turned in (due 1 July 2012) Tracking/Following up on expired and suspended certs

Total of 55 audits not completed by 1 July 2012. Certified by 12 CB’s.

All were suspended

ANAB had a total of 73 ANAB-accredited certificates that had expired on either 30 June or 1 July. The 73 were within 12 CB’s. 10 CB’s withdrew the certs due to varying reasons 6 CB’s changing the status due to varying reasons

As of 16 July down to 59 certificates showing expired on 30 June or 1 July or suspended with expiration 30 June or 1 July.

The true expirations, asking CB’s to change status to withdrawn

Transition 9100/9110/9120:2009 for ANAB accredited Certificates (as of 2 July 2012)

ANAB required Appendix B per SR001 in early June.

ANAB assessed CB’s to their 91XX:2009 transition plans, progress, etc. throughout 2012. Will continue to do so

ANAB may require Appendix B again in August.

CB’s Shall submit the required Appendix C KPIs to the AB per the schedule below:

updated KPIs the 1st of each month thereafter; until such time as their client 9100/91109120:2009 transition activity is complete.

Transition to 9104/1SR002

ANAB’s Transition to 9104/1

ANAB transitioned by RMC on 22 May 2012 ANAB’s plan was to transition by early 2nd Quarter

All documentation since implemented.

Key changes that will be a challenge NCR closures including verification NCR escalation to suspension (including minor

NCRs) Special audits within given timeframe # of Witnessed Audits and Office Assessment

timing

7

CB’s Transition to 9104/1

CBs transitioning1 Transitioned4 CB applicants 1 Ready for the transition decision

14 CBs downloaded applications15 CBs have not

8

CB’s Transition to 9104/1

Projected CB Application Dates7 in April*4 in May*2 in June5 in July

4 in August5 in September

4 in October1 in November1 in January *

*Concerning – email just went out

5 Apps Received

CB’s Transition to 9104/1ANAB’s Transition Process

Requesting processes/documentation for changes to 9104/1 and SR002 requirements

Not requiring CB to have all clients’ certification schemes identified Will review the plan for this activity via the risk

mitigation plan

CB’s transitioned in 2012: have to implement “CB mgmt system”

requirements upon accreditation to 9104/1, can implement 9104/1 requirements with clients

case by case. Fully implement 9104/1 Jan 2013

CB’s Transition to 9104/1 - Reoccurring Issue

Your CB CAN’T assign a client a certification structure within 9104/1 (e.g. campus, several sites, complex) until your CB is transitioned to 9104/1 and you are using the 9104/1 requirements with the given client.

The only options you should be selecting right now are single or multisite.

A communication came out the end of January by SAE in regards to this.

ANAB Update

AQMS Overview

Accredited CBs

Standard Accredited CBs Applicant CBs

AS9100 34 2AS9110 12 2AS9120 28 0

Other Accreditation Status’

Standard Suspensions Withdrawals

AS9100 3 (1 voluntary)Lifted 2 Voluntary

AS9110 2 (1 voluntary)Lifted 1 Voluntary

AS9120 2 (1 voluntary)Lifted 1 Voluntary

OASIS Feedback ~ 2012

ID Stat Reason Entered Closed Subject

7338 OPEN Feedback About A CB 2012-05-16   CB Nonconformance Corrective Action Elevation

7290 CLOSE Questions About A CB Accreditation 2012-05-04 2012-05-08 Valid certificate removed

from OASIS database

7149 OPEN Feedback About A CB 2012-04-02   CB Nonconformance Corrective Action Elevation

6958 CLOSE Feedback About A CB 2012-02-29 2012-04-28Courtesy Notification of issued nonconformance to NQA

6922 OPEN Other 2012-02-27   Transition Issues

6686 CLOSE Feedback About A CB 2012-01-11 2012-04-02 Unaccredited Certificate

Aerospace Complaints against ANAB-accredited CBs

9

2

11

10

3

13

10

2

12

32

5

7

4

11

2

0

2

4

0

2

4

6

8

10

12

14

Valid Invalid/Unable toSubstantiate

Under investigation Total

2007 2008 2009 2010 2011 2012

2011 Aerospace Complaints

401 (Nov 2011) – A CB certified two organizations to AQMS standards in India and according to the complaint they may not have used the accurate employee count to come to the accurate audit day numbers.

Found valid; major NCR issued (late Dec 2011)

Closed with action

Complaint in italics was provided previously and has no changes.

Complaint in bold is new or was updated since the last meeting.

2012 Aerospace Complaints

410 (Mar 2012) – A CB may not be able to schedule an AS audit due to resources.

Onsite office assessment completed.

Closed, with action

Complaint in italics was provided previously and has no changes.

Complaint in bold is new or was updated since the last meeting.

2012 Aerospace Complaints

412 (Mar 2012) – A CB withdrew a certificate before a transfer was completed by another CB.

Complainant did not want identified, we requested to waive this request, as soon as we contact CB they will know “who”.

Open, under investigation

Complaint in italics was provided previously and has no changes.

Complaint in bold is new or was updated since the last meeting.

2012 Aerospace Complaints

422 (June 2012) – A CB is delayed on issuing the transition certificate to a client.

Closed with action

Complaint in italics was provided previously and has no changes.

Complaint in bold is new or was updated since the last meeting.

2012 Aerospace Complaints

426 (July 2012) – In regards to ethical issues by an auditor and potentially a CB with handling NCR closures.

Open, investigator assigned

Complaint is addressed to RABQSA, notified the complainant to contact RABQSA also.

Complaint in italics was provided previously and has no changes.

Complaint in bold is new or was updated since the last meeting.

ANAB Aerospace Appeals

A124– Received April 2012– Appeal partially upheld Appealed one minor NCRs during an AS9120 WA.

Sufficient depth (3 evidence items)

Found two of three evidence items valid, withdrew one.

Appeal in italics was provided previously and has no changes.

Appeal in bold is new or was updated since the last meeting.

ANAB Aerospace Appeals

A128– Received May 2012– Appeal partially upheld, Appealed the corrective action review by ANAB on a NCR issued

during an AS9120 witnessed audit Client took an unacceptable exclusion. ANAB was requiring an NCR to be issued to the organization, CB

disagreed Panel required CB to provide evidence that the client took action,

without requiring a formal NCR.

Appeal in italics was provided previously and has no changes.

Appeal in bold is new or was updated since the last meeting.

ANAB Aerospace Appeals

A130– Received June 2012– Withdrawn, NCR withdrawn Appealed an NCR issued during a witnessed audit in regards to

information on a PEAR; however, ANAB issued the NCR against AS9100. AS9100 not a valid accreditation requirement document,

withdrew the NCR ANAB and the CB taking the PEAR detail up with the SDR for

9101.

Appeal in italics was provided previously and has no changes.

Appeal in bold is new or was updated since the last meeting.

2012 Assessments (as of 17 July)

Office AssessmentsStatus Annual / Re-accrd Follow-up

Completed 19 5Confirmed 14 2Required 33 7

Witnessed Audits

Status Annual / Re-accrd Other

Completed 21 7 - 91202 – Stage 1

Confirmed 8 5 – 91201 – Stage 1

Unscheduled / Scheduling 4 2 - 91201 – Stage 1

Required 33 18+

2012 NCR’s (as of 30 June 2012)

Office Assessments ~ 89 NCRs 15 NCR’s to aerospace requirements during 21 office assessments

3 majors

74 NCR’s to ISO 17021 or general requirements during 21 office assessments 12 majors

Witnessed Audits ~ 38 NCRs 12 NCR’s to aerospace requirements during 28 witnessed audits

11 majors

26 NCR’s to ISO 17021 or other requirements during 28 witnessed audits 12 majors

Questions / Comments