---
title: "Organization Certification Analysis Process (OCAP) Tool"
canonical: "https://iaqg.intact-systems.com/space/IKW/1516634166/Organization%20Certification%20Analysis%20Process%20(OCAP)%20Tool"
format: markdown
---
<u>**Table of contents:**</u>

> Macro (toc)

---

# Overview

**Organization Certification Analysis Process Tool**

The OCAP tool will be available during Audit Creation.

- In the New Audit creation window, the "OCAP" tab is visible.
- If you need a blank copy of the OCAP template to edit, click the button labeled " Download OCAP Template"
  - The file downloads based on browser settings.
- Once the OCAP tool has been filled out (Instructions Below) select the blue button labeled "Upload OCAP File"
  - A new window opens.
- Drag and drop the file to the blue section, or click the blue section to browse for the file.
  - The file uploads into the window. A comment can be added or the file can be removed.
- Click Save and Close.

NOTE: The file version is checked. The file uploaded must match the version expected in the audit.

# Instructions

## Instructions for OCAP - Organization Certification Analysis Process

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### Step 1a – Single Site

Prior to completing the OCAP tool, collect the following information from the organization:

#### Single Site

- A list of Aerospace Standards contractually flowed down to the organization, or they are voluntarily compliant or partially compliant or they use another standard.
- Determine if the client is single site or multisite
- Has the client applied for PBS/RP? Are they compliant?
- What type of audit is this (Initial (Stage 1 & 2), Surveillance, or Recertification)
- Metrics from the organization (Actual/Goal)
  - On Time Delivery
  - Conformity of delivered product or service
  - Customer Satisfaction
- Number of employees


### Step 1b – Multi-site

Prior to completing the OCAP tool, collect the following information from the organization

#### Multi-Site

- Same as a single site
- Metrics from the organization (Actual/Goal)
  - On Time Delivery
  - Conformity of delivered product or service
  - Customer Satisfaction
- Metrics by site if PBS/RP
- Number of employees by site
- Number of employees in the Central Function


### Step 2 – Specification of Standards

- Open OCAP Tool
- Click on Start


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- First Tab “Standards”


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### Step 3 – Certification Audit Program

- Click on Second tab “Audit Program”
- Enter organization Name, Address, OIN Number
- Identify type of organization (Single Site/Multi-site)
- Identify Audit Type (Initial, Surveillance or Recertification)
- Is this a PBS/RP organization? (Yes/No)
- Enter Certification Body Meta Data (Created by, Creation Date, Reference #...)


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### Step 4 – Organization Risk Assessment

- Click on third tab “Risk Analysis”
- Determine ratings by category – see detail on next page

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### Step 4 – Organization Risk Assessment (cont.)

#### Performance Based Element

- Complexity
  - Determine where they align on the Organization complexity risk level (Figure 2) provided in 9104/1A and at the bottom of the tab.


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- Internal Audit
  - Determine where they align on the “Internal audit program risk analysis”  (Table 5) provided in 9104-1 and in memo fields with in the OCAP tool.


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- On Time Delivery
- Conformity of Delivered Product or Service
- Customer Satisfaction
  - Based on the information provided by the organization, determine if the organization exceed, meet or are below the goal.
- AQMS Process Effectiveness from previous audit report
  - Select the lowest PEAR risk score from last year’s Certification Body audit.


### Step 5 – PBS/RP Qualification Requirements and Criteria

This tab is only used if the organization has followed the certification body process for application into PBS/RP.  This becomes a record that they passed the criteria the first time, and that the auditor checks that they continue to maintain the elements annually.  The option is Pass/Fail.


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## **Single Site**



- Click on tab “Sites”
- This page will auto fill based on the entry in the “Audit Program” and the organization Risk Analysis
- Next step is to add a site (this applies to both single or Multi-site)


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### Step 6 – Overview Sites – Single Site

- Enter number of employees
- Enter primary site certification (9100, 9110 or 9120)
- When adding the site, there are Reductions, Additions, and Integrated QMS Standards. This will calculate audit duration.
- There is an option to add audit time if justified, then there is an automatic increase of 20% to calculate audit time.
- The next pages will break down the categories.


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### Step 6a – Overview Sites – Single Site

- Click the categories that <u>do not apply</u>, for example, if this an engineering facility, you might click Control of Production and Service. The tool will automatically take the appropriate reduction. This also applies to previously determined risk levels and PBS/RP.


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### **Step 6b – Overview Sites – Single Site**

Additions:

- Click the categories that <u>apply</u>, for example, additional time to follow-up on a corrective action.
- There is no automatic calculation, you need to determine the time and enter into the days column.
- Additional time needs to be justified in “Additional Duration Justification”


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### Step 6c – Overview Sites – Single Site

Integrated QMS Standard:

- Click the standard that <u>apply</u>, for example, if a site has integrated 9110 to their 9100 certification, you would click 9110.
  - Enter the number of people supporting the 9110 portion.  The tool assumes full integration and will take a 50% reduction automatically (the maximum reduction).

- If you determine that you need more time (for example they are not fully integrated) click on “Additional Audit Duration” and enter the additional time required in the block.


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###  Step 6d – Overview Sites – Single Site

- Audit Duration will calculate automatically.
- Audit Time will automatically bump the duration by 20%, if additional “Time” is required, click the block and you can add time. This should be justified in the Site Justification block.
- The Grand Total Audit Time is the final number.


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## ** **

## **Multi Site**

- The steps are identical to a single site, when you get to the Sites tab, you just keep adding a site using the same “Single Site process” until you have all the sites in the multi-site.
- A Central Function needs to be declared, see definition in IAF MD 1. This may be virtual, a portion of another site…
- Risk is calculated based on the organization, not the site.


Multi-site Site Page - Example

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###  Step 7 – Overview Sites

- Click on tab “Sites”
- This page will auto fill based on the entry in the “Audit Program” and the organization Risk Analysis
- Next step is to add a site (this applies to both single or Multi-site)


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###  Step 7 – Time Reallocation Multi Site (Days)

- Click on sixth tab “Time - Reallocation”:

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- 9104/1A allows reallocation of audit days provided you

- 
  - the new number does not go below 50% of the calculated time per the table
  - The total duration is the same with or without the reallocation.

- In the example above, Site Name 1 was for 500 people, Site Name 3 for 250.  In the minimum column, this is the lowest the audit duration can be, in theory, we could move a day out of 3 and put it into 1.


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## **Summary**


### Step 8 – OCAP Summary

- Click on seventh tab “Summary”
- The last page provides an overview of the calculated audit time and provides a couple options for printing (Site or Summary).


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## **Performance Based Surveillance/Recertification Process**


If you select PBS/RP on the “Audit Program” page, a couple functionalities open up.

- On the “Audit Program” Page, a box will open so that you can select if this is going to be an organization or site level risk calculation.


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- Click on the “Risk Adjustment Button.
- This action will bring up a Site Risk Assessment

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- Follow the same process as done on the organization, just focus on the site.
- **NOTE**: The organization risk analysis is required. This site analysis aids in reallocation of time.