AS9104-1:2022 Transition: Performance-based surveillance and the recertification process

Performance-Based Surveillance/Recertification Process (PBS/RP) 9104/1:2022 has introduced PBS/RP as an optional process, to reward high-performing organizations.

Benefits of being part of the program:

Single sites: 

• Upfront reduction of the audit duration by 33%. Additional reductions are allowed, e.g. for not having design etc. but total reduction will not exceed 50%

Multiple sites:

• Audit duration for each site will be calculated using the ‘Recertification Audit Duration’ for surveillance and recertification. This number may be reduced up to 33%. Additional reductions are allowed, e.g. for not having design etc. but total reduction will not exceed 50%
• Audit duration for Central Function will be calculated using the ‘Surveillance Audit Duration’ for surveillance and recertification. This number may be reduced up to 33%. Additional reductions are allowed, e.g. for not having design etc. but total reduction will not exceed 50%

PBS/RP Multiple Sites audit program:

• During annual surveillance, the central function and 33% of the sites, rounded up to the nearest whole number
• At recertification, all remaining sites and the central function, and
• Each site, process, and AQMS standard clause shall be audited at least once every 48 months    

Non-PBS/RP Multiple Sites audit program:

• During surveillance audits, the central function and approximately 50% of the sites shall be audited in year 1; the central function and all remaining sites shall be audited in year 2, and
• At recertification all sites and the entire scope of certification shall be audited

 

PBS/RP program entry and maintenance requirements:

Organizations shall apply to NQA for the PBS/RP with documented information to support evidence of conformity for the following items:

• Completion of one AQM certification cycle
• The OCAP risk analysis results in a low/medium risk for each site, including the central function
• Implementation of an Internal Audit Program in accordance with ISO 19011, including:
  • Annual audit of all applicable AQMS requirements
  • Defined, structured, multiple event audit program that adjusts throughout the calendar year based upon:
    • Performance
    • Customer complaints
    • Risk
    • Change management
• Internal auditor competency that includes:
  • Auditor(s) that have completed a TPAB-approved ASD Lead Auditor course (reference 9104/3)
• The organization has an ethics policy that includes communication and reporting processes
• No externally identified major nonconformity (e.g. CB, customers, regulatory authorities,) as defined in 9101, in the past 12 months related to internal audit, management review, or corrective action processes issued to either a single site or to the central function within a multi-site structure
• No certificate suspension due to an AQMS non-conformance in the past six years
• Meeting customer satisfaction metrics, based on customer-provided data

Once an organization is accepted for the PBS/RP program, the standard also defines the adjustments necessary, should they fail to maintain compliance with the qualification requirements. This may be as simple as suspending the application of audit duration reductions until the issue is resolved (e.g. change in the risk to high or underperforming,) which may require an improvement plan and a follow-up audit from NQA. 

In the worst-case scenario, where an organization is suspended, the PBS/RP is no longer allowed for the remainder of the current cycle or the following cycle. Under these circumstances, the audit duration and audit program goes back to ‘regular’ rules without PBS/RP benefits.

It is not easy to get into PBS/RP program as the bar is set very high. However, the benefits are clear. 

If you meet the entry requirements and are interested in participating in the PBS/RP program, please contact NQA for further instructions.