International Aerospace Quality Group
Other Party Management Team
July 6, 2021

NOTICE:Management of Extraordinary Events or Circumstances:
Novel Coronavirus - COVID-19
The IAQG Other Party Management Team (OPMT) accepts that the impact of Novel Coronavirus- COVID-19 is an extraordinary event potentially affecting AQMS certified organizations. Our
intention is to work with Certification Bodies (CBs), Accreditation Bodies (ABs) and otherparticipants to ensure that the ICOP scheme does not adversely impact industry stakeholders ata time when they are dealing with this difficult situation. This notice is issued and updated under
the authority of IAQG OPMT Resolution #157.
The IAQG OPMT greatly appreciates the continuing efforts of all stakeholders to address thecurrent situation. The IAQG remains committed to ongoing communication and will provide
updates to this notice as they are needed.

1.0

Introduction

This document sets out requirements for participants within the IAQG Industry Controlled Other
Party (ICOP) scheme when they are prevented from conducting activity in accordance with ICOP
scheme requirements, as documented in the 9104 series of standards, due to the impact ofCOVID-19.
This notice has been revised to update existing ICOP scheme alleviations associated with theCOVID-19 pandemic and the ongoing management of certification activities during thisextraordinary event. It replaces the previous “Management of Extraordinary Events orCircumstances: Novel Coronavirus - COVID-19” notice dated January 12, 2021.

2.0

Applicability

This document applies to all participants in the IAQG ICOP scheme. Requirements in thisdocument supersede all previous notices and may be applied to audits where the audit duration
is between September 1, 2021 and December 31, 2021. This notice, and all earlier notices, arenot valid after December 31, 2021.

3.0

Requirements and Alleviations for Certification Bodies

3.1 CBs shall apply the requirements and alleviations set out in this document where issues
associated with the impact of COVID-19 partially or fully prevent a physical on-site audit
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Belgiumhttps://iaqg.org/

taking place in accordance with the requirements of ISO/IEC 17021-1, 9104-1 and 9101.
The alleviations in this document must not be applied in any other circumstances.
3.2 CBs shall review and ensure compliance with all local laws and regulations.
3.3 Any CB that is prevented from carrying out planned audits on-site due to this extraordinary
event or circumstance shall apply its process for the proper maintenance of certification inaccordance with the requirements of IAF Informative Document (ID) 3 and IAQG OPMT
Resolution #98.
3.4 CBs shall develop and maintain a rolling six-month forward-looking risk analysis andassociated risk mitigation plan that addresses audit schedules and nonconformity
verification activities. The risk analysis and mitigation plan shall address each certified
organization affected and shall include an assessment of the risk for continuing certificationthat includes any deferred audit activities from previous audits.
3.5 CBs shall meet all requirements of ISO/IEC 17021-1, 9104-1 and 9101 for all AQMS
certification audits including initial (stage 1 and stage 2), surveillance, recertification andspecial audits (including special audits in support of transfers) with the exception that audits
may use Information and Communication Technology (ICT) for up to 100% of the audit
duration. All remote auditing shall be conducted in accordance with IAF MD 4:2018. Initialstage 2 audits and special audits to add sites to an existing certification structure shall
include tours of site(s) and the audit of activities within scope using ICT with live video
streaming.
3.6 CBs shall provide a documented notification to their accrediting AB, via OASIS feedback,where remote auditing is to be used in response to an application for:‒ An initial AQMS certification‒ An extension to technical or geographic scope of AQMS certification
The documented notification shall include the client name, client reference, number of sites,language of the audit, and the planned date of audit.
3.7 CBs shall ensure that audit activities that have been deferred from previous audits arereviewed and, where possible, audited.
3.8 CBs may also utilize the following alleviations as part of risk mitigation for audits affected by
the impact of COVID-19:‒ Suspension of certificate due to a planned audit date being missed is not required.
‒ Certificates that are identified as expiring within the next three months or expired due toissues associated with COVID-19 shall have the certificate number appended with thefollowing unique number [IAF-ID3].
‒ Certificates that have expired shall be eligible for reinstatement until the earlier of either
12 months beyond the expiry date, or, the December 31, 2021 provided the certificate
number has been appended with the unique number [IAF-ID3]. Certificates may bereinstated utilizing an initial certification audit in OASIS, without completing a stage 1
audit, using recertification audit criteria and audit duration.

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3.9 The following shall apply to all CBs utilizing remote auditing and ICT for initial AQMS
certification audits (including stage 1 and stage 2) and AQMS special audits or for theextension or reduction technical and/or geographic scope:‒ The CB shall document and maintain a process to collate relevant information, documenta Remote Audit Feasibility Assessment (RAFA) or a CB defined technical equivalent anddetermine the course of action to be taken in response to an application for initial AQMS
certification or a change in technical or geographic scope of an existing AQMS
certification.
‒ The RAFA shall be retained as part of the audit package and shall demonstrate that all
the requirements of this document have been addressed before accepting the application
and undertaking the initial or special audit.
‒ The RAFA shall determine if:1) the audit is eligible to be conducted on-site.
2) the audit is eligible to be conducted using ICT for more than 30% of the audit duration.
‒ The RAFA shall identify any limitations to the remote audit process. Mitigating actions
shall be determined, documented, and implemented to ensure the requirements of theaudit can be fully met. Where the identified limitations cannot be effectively mitigated,
the audit shall be postponed until requirements can be met or, alternately, the application
shall be held or denied.
‒ The RAFA shall be completed in conjunction with the applicant organization.
‒ The RAFA shall address all of the elements set out in Appendix 1.
3.10 CB shall not defer audit activities for initial AQMS initial AQMS certification audits (including
stage 1 and stage 2) and AQMS special audits for the extension or reduction of technicaland/or geographic scope,
4.0

Requirements and Alleviations for Auditor Authentication

4.1 Audits conducted using the remote audit alleviation (i.e. audits with more than 30% remoteaudit content) shall not be used to meet the witness audit requirements as defined within
9104-3 “Requirements for Aerospace Auditor Competency and Training Courses”, Table 1– 9100 and 9120 Auditor and Aerospace Experienced Auditor Requirements nor Table 2 9110 Auditor and Aerospace Experienced Auditor Requirements..
4.2 Auditors may use remote audits to fulfil the QMS or AQMS audit experience requirements
as defined within the 9104-3 “Requirements for Aerospace Auditor Competency andTraining Courses”, Table 1 – 9100 and 9120 Auditor and Aerospace Experienced Auditor
Requirements and Table 2 - 9110 Auditor and Aerospace Experienced Auditor
Requirements.

5.0

Requirements and Alleviations for Accreditation Bodies

5.1 ABs shall review and ensure compliance with all local laws and regulations.
5.2 ABs shall apply their process for the proper maintenance of accreditation in accordance withthe requirements of IAF Informative Document (ID) 3 and IAQG OPMT Resolution #98.

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5.3 ABs may utilize remote auditing (reference IAF MD 4:2018 and IAF ID 12:2015) to support
the assessment of CB’s including file reviews.
5.4 ABs shall review and provide acceptance of each CBs rolling six-month forward-looking risk
analysis and associated risk mitigation plan.
5.5 For each CB it accredits, the AB shall witness one complete, remote Stage 2 initial AQMS
certification audit where ICT is used for more than 30% of the audit duration as part of its
annual assessment program.
5.7 Where an AB is not able to complete the assessment activity required by 9104-1, due torestrictions associated with COVID-19, the following shall apply:‒ The AB shall document the deviation or lack of conformance with a 9104-1 requirement
and shall develop an action plan that includes a risk analysis for each CB where theassessment requirement has not been met. The risk analysis shall include a review ofpast performance and activities (e.g., additional witness audits, file reviews) to mitigate
the identified risks.
‒ There is no requirement to change the accreditation status (e.g., suspension) due to a
missed assessment that is linked with this extraordinary event.
‒ The risk analysis and action plan shall be submitted to the applicable SMS or CBMC forreview and acceptance.
‒ Once accepted, all risk analyses and action plans shall be provided to the IAQG OPMT
Chair for awareness, using OASIS feedback.

6.0

Requirements and Alleviations for ICOP Scheme Oversight Assessments

6.1 Other Party (OP) Assessors may utilize remote auditing (reference IAF MD 4:2018 and IAF
ID 12:2015) to support the assessment of CB’s.
6.2 Due to ongoing travel restrictions and the risks associated with COVID-19 each SMS andCBMC shall ensure that remote oversight assessments are conducted whenever possible,in lieu of face to face assessments.
6.4 Other Party (OP) Assessor travel may be authorized for on-site assessments as anexception. The requesting OP Assessor, SMS or CBMC Oversight Chair must provide ajustified need to the IAQG OPMT Leader or Oversight Chair for domestic travel or the IAQG
Executive Committee for International Travel and must obtain their authorization before
travel is started. Where IAQG support for travel is requested, the travel process for theapplicable sector must be used in addition to the IAQG travel authorization.
6.5 The minimum annual shared oversight witness audit for each accredited CB should beaccomplished remotely, however if a CB remote witness audit is not possible then the SMS
or CBMC shall conduct an audit report review using the 9104-2 Form N check list. Whenentering the assessment report in the OASIS oversight module, the OP Assessor shallindicate the use of this alleviation.

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Eric Jefferies
IAQG OPMT Chair

Change Summary:Date:2021-01-12

2021-07-06

Change:Section 3.8 – “The date of the first surveillance audit shall occur within 18
months of the initial certification decision date” was re-introduced into thenotice as it was omitted from the previous version.
Section 5.3 - Reference to IAF MD4:2018 added.
Appendix 1 – RAFA Model updated to 2021-01 Version and Excel 2016
compatible version added
All sections updated. Changes include:- Limiting the applicability of this notice to December 31, 2021.
- Removal of the 90-day extensions for the processing of nonconformities
including the corrective action submittal date.
- Removing the allowance for the first surveillance date to be within 18
months of initial certification.
- Amendments to the process for authorization of OP Assessor travel.

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Appendix 1: Requirements for a Remote Audit Feasibility Assessment (RAFA) Process
The RAFA process shall address the following:
Remote Audit Eligibility
The rationale for an initial or special audit shall be documented and reason for accepting theapplication justified by the CB. In determining the rationale and justification, the following shall beconsidered at a minimum:a) Government Policy relating to the unforeseen exceptional circumstances.
b) Applicant Company Policy relating to the unforeseen exceptional circumstances.
c) IAQG and ICOP scheme requirements, IAQG OPMT Resolutions and the unforeseen
exceptional circumstances alleviationsd) CB policies and procedures relating to the unforeseen exceptional circumstances and ICTe) AB policies and requirements for accreditationf) International, National or Local travel restrictionsg) Risks, such as infection rates or limited infrastructure, and restrictions around the applicantorganizations location(s), the locations and travel arrangements for the CB audit team and theCB locations when applicable.
h) Audit limitations
Audit Performance Capability
The CB shall assess and determine to their satisfaction that:a) the applicant organization has the capability to support a fully or partially remote audit,including:1) the ability to accept a remote or partial remote audit(s) inside their security perimeter /firewall and/or,
2) provide a secure network infrastructure and technical capability to support a remote auditb) the audit can be conducted effectivelyc) the audit team will have access to all relevant information in line with the scope of theapplication, including:1) the extent to which the applicant organization can securely share documented information
including documents and records or other information using ICT rather than transmitting
information by e-mail, or similar, to the audit team2) ensuring that the organization’s security and/or confidentiality requirements do not preventthe sharing of essential information by ICT to support the audit.
d) there will be sufficient objective evidence at the end of the audit to make a certification
decision.
In conjunction with the applicant organization, the CB shall assess and determine that appropriatetechnology and/or platform is available and is sufficiently effective to support the conduct of theaudit. This assessment shall address at a minimum:a) The platform(s) that the applicant organization has currently implemented that can support aremote audit (e.g. Skype, GoTo Meeting, MS Teams, WebEx, WebEx Gov)b) The technology that will be used to conduct the site tour and audit the processes that arecarried out physically on site, e.g., manufacturing, MRO, testing, storage and distribution, andPage 6 of 7that the technology to be used has the capability to allow the audit team to review the work
being carried out and associated documentation.
The CB shall verify the ICT before the remote audit is confirmed and that technology/platform
identified is capable, and that the organization’s personnel can use it.
Any limitations identified during the audit, while it is being performed remotely using ICT, shall be
documented and any further measures or follow up determined and recorded. Any limitations
that cannot be overcome shall be reflected in either a reduced scope of certification or the audit
not being completed.
Client Operational Assessment
The CB shall assess and determine that the organization’s operations can support the scope ofthe remote audit. This assessment shall consider at a minimum:a) The operational status of the organization (e.g. 100% operational, operating at a reducedcapacity, non-standard or changed shift patterns, shutdown, furloughed or otherarrangements)b) When the organization will be able to function sufficiently to support the audit and when will it
be fully operationalc) When the organization will be able to ship products or perform the services defined within thecurrent or requested scope of certificationd) If the organization is using alternative or temporary manufacturing, MRO, service, and/or
distribution sites or processese) If the organization is operating with any concessions or deviations to customer requirementsthat affect the scope of the audit.

Sample Remote Audit Feasibility Assessment (RAFA)The following model may be used to document the RAFA process output:

2021-01 Remote Audit
Feasibility Assessment v8.xlsx

Version compatible with Excel 2016:2021-01 Remote Audit
Feasibility Assessment - Version for Excel 2016 v8.xlsx

Note: CBs may use their own technically equivalent documented information.

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