Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Roles & Responsibilities Pre- and Post- Assessment Activity Lori Scheid-Gillespie Accreditation Manager (ANAB)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment Lori Scheid-Gillespie Accreditation Manager (ANAB)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment & Witness Assessment Scheduling Note: other AB processes may vary AB confirmation letter sent to OEM primary contactAB confirmation letter sent to OEM primary contact OEM notify AB of assigned OP assessorOEM notify AB of assigned OP assessor –AB to update the Oversight Spreadsheet with OP assessor information (for OEM & AB use) OEM primary contact to notify their OP assessorOEM primary contact to notify their OP assessor

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment & Witness Assessment Scheduling Note: other AB processes may vary AB notifies their assessment team with the OP Assessor contact infoAB notifies their assessment team with the OP Assessor contact info AB team lead will contact the OP assessor directlyAB team lead will contact the OP assessor directly –May not be right away; may be closer to the assessment for open meeting planning.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment ~ OP Assessor Role OP Assessor serves as team memberOP Assessor serves as team member Roles & Responsibilities covered in previous presentationRoles & Responsibilities covered in previous presentation AS (9)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment Preparation Documents needed to perform assessment: Requirement DocumentsRequirement Documents CB Procedures related to AS programCB Procedures related to AS program AS Appendix F (CB Office Assessment Checklist)AS Appendix F (CB Office Assessment Checklist) AS Appendix K (Oversight Assessment Summary Report)AS Appendix K (Oversight Assessment Summary Report) Assessment PlanAssessment Plan Document Review (if applicable)Document Review (if applicable)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment Planning CB documents are received by the AB (from the CB) approx. 4 weeks prior to the assessmentCB documents are received by the AB (from the CB) approx. 4 weeks prior to the assessment AB sends the info to assigned OP assessor (NOT including standards / requirement documents)AB sends the info to assigned OP assessor (NOT including standards / requirement documents) –If the OEM assessor has yet to be assigned; AB sends the info to the OEM main contact Information may include:Information may include: –Logistic info (hotel, directions) –Assessment Plan - ISO (6.4) –CB documented processes for assessment –Other documentation as required by the AB

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment Planning Joint Assessment Prep (by OEM assessor) ISO (6.4) Review AB assessment plan to gain an understanding of what will be assessedReview AB assessment plan to gain an understanding of what will be assessed Review appropriate parts of the standards to re- fresh your memory.Review appropriate parts of the standards to re- fresh your memory. ANAB team lead to schedule a pre-assessment meeting with OP Assessor to meet and discuss plan and remind OP Assessor of basic processANAB team lead to schedule a pre-assessment meeting with OP Assessor to meet and discuss plan and remind OP Assessor of basic process

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment Conduct What to assess included in the Body of Knowledge presentationWhat to assess included in the Body of Knowledge presentation Try and keep current with record review (past year or so).Try and keep current with record review (past year or so). Try and work independently with limited assistance from the AB.Try and work independently with limited assistance from the AB.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment : Post Activities Final steps:Final steps: –Identify Findings and notify the AB team lead - AS (8.6.2) If AB lead is not in agreement; notify the AB & RMC via AS (Appendix K)If AB lead is not in agreement; notify the AB & RMC via AS (Appendix K) If AB lead is in agreement no need to document findings on Appendix K.If AB lead is in agreement no need to document findings on Appendix K.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment : Post Activities Final steps:Final steps: –AB (with OP assessor) to establish conclusions & prepare NCR’s - ISO (7.8) –AB to conduct closing meeting - ISO (7.8)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment : Post Activities AB to generate Assessment report – ISO (7.8)AB to generate Assessment report – ISO (7.8) OP Assessor to complete AS (Appendix F & K) and provide to the AB and OEM main contactOP Assessor to complete AS (Appendix F & K) and provide to the AB and OEM main contact –Appendix F will be incorporated into the AB’s Appendix F Can also just submit notes to the AB and not the appendix.Can also just submit notes to the AB and not the appendix. –Appendix K will be provided to the AAQG RMC Oversight Chair for review.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Office Assessment : Post Activities AB to manage the NCR / corrective action process with CB – ISO (7.8)AB to manage the NCR / corrective action process with CB – ISO (7.8) AB ensures effective cause, correction, corrective actionAB ensures effective cause, correction, corrective action AB establishes timeframes and approves extensions (if applicable)AB establishes timeframes and approves extensions (if applicable) OEM may request a copy of AB’s assessment report – –If requested AB sends the information to the OEM main contact

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment – OP Assessor Role OP Assessor serves as an AB team memberOP Assessor serves as an AB team member Roles & Responsibilities covered in previous presentation; however,Roles & Responsibilities covered in previous presentation; however, During Witness AssessmentDuring Witness Assessment –Silently observe –Do not influence outcome of Assessment! –Do not talk –Do not make body motions to show approval or disapproval –Do not answer questions of organization (or CB) AS (8.2, 9)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment Preparation Documents needed to perform the Witness AssessmentDocuments needed to perform the Witness Assessment Requirement DocumentsRequirement Documents CB Procedures related to AS auditCB Procedures related to AS audit AS Appendix G (CB Witness Assessment Checklist)AS Appendix G (CB Witness Assessment Checklist) AS Appendix K (Oversight Assessment Summary Report)AS Appendix K (Oversight Assessment Summary Report) CB Audit PlanCB Audit Plan CB document review (if applicable)CB document review (if applicable)

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment Planning CB documents are received by the AB (from the CB) approx. 4 weeks prior to the Witness AssessmentCB documents are received by the AB (from the CB) approx. 4 weeks prior to the Witness Assessment AB sends the info to assigned OP Assessor (NOT including standards / requirement documents)AB sends the info to assigned OP Assessor (NOT including standards / requirement documents) –If the OP Assessor has yet to be assigned; AB sends the info to the OEM main contact

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment Planning Information may include:Information may include: –Logistic info (hotel, directions) –CB Audit Plan - ISO (6.4) –CB audit team’s credentials (e.g. resume) –CB documented processes for audit –Other documentation as required by the AB

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment Planning Joint Assessment Prep (by OEM assessor) ISO (6.4) Allow approx. 2 hours AFTER the CB’s end time to allow for the AB closing meetingAllow approx. 2 hours AFTER the CB’s end time to allow for the AB closing meeting Review CB audit plan - ISO (6.4) to gain an understanding of what will be auditedReview CB audit plan - ISO (6.4) to gain an understanding of what will be audited Review all documentation to gain a knowledge and an understanding of the CB’s processes.Review all documentation to gain a knowledge and an understanding of the CB’s processes. Review CB audit team’s credentials to confirm acceptabilityReview CB audit team’s credentials to confirm acceptability Review organization’s information to understand scope, etc.Review organization’s information to understand scope, etc. Review OASIS (if organization is certified)Review OASIS (if organization is certified) Review appropriate parts of the standards to re- fresh your memory.Review appropriate parts of the standards to re- fresh your memory.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment Planning ANAB team lead to schedule a pre-assessment meeting with OP Assessor to meet and discuss plan and remind OP Assessor of basic process.ANAB team lead to schedule a pre-assessment meeting with OP Assessor to meet and discuss plan and remind OP Assessor of basic process. –This may be done during the AB/CB opening meeting

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment: Post Activity Final steps:Final steps: –Identify Findings and notify the AB team lead - AS (8.2.5) If AB lead is not in agreement; notify the AB & RMC via AS (Appendix K)If AB lead is not in agreement; notify the AB & RMC via AS (Appendix K) If AB lead is in agreement no need to document findings on Appendix K.If AB lead is in agreement no need to document findings on Appendix K.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment: Post Activity Final steps:Final steps: –AB (with OP assessor) to establish conclusions & prepare NCR’s - ISO (7.8) –AB to conduct closing meeting - ISO (7.8) AFTER CB’s closing meeting with organization.AFTER CB’s closing meeting with organization. OP Assessor to participate in the closing meeting.OP Assessor to participate in the closing meeting.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment: Post Activities AB to generate assessment report – ISO (7.8)AB to generate assessment report – ISO (7.8) OP Assessor to complete AS (Appendix G & K) and provide to the AB and OEM main contactOP Assessor to complete AS (Appendix G & K) and provide to the AB and OEM main contact –Appendix G will be incorporated into the AB’s Appendix G. Can also just submit notes to the AB and not the appendix.Can also just submit notes to the AB and not the appendix. –Appendix K will be provided to the AAQG RMC Oversight Chair for review.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL CB Witness Assessment: Post Activities AB to manage the NCR / corrective action process with CB – ISO (7.8)AB to manage the NCR / corrective action process with CB – ISO (7.8) AB ensures effective cause, correction, corrective actionAB ensures effective cause, correction, corrective action AB establishes timeframes and approves extensions (if applicable)AB establishes timeframes and approves extensions (if applicable) OEM may request a copy of AB’s assessment reportOEM may request a copy of AB’s assessment report –If requested AB sends the information to the OEM main contact

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Appendix Completion F – CB Office AssessmentsF – CB Office Assessments G – CB Witness AssessmentsG – CB Witness Assessments –Joint – can complete if want; AB shall complete –Independent – must complete K – All Assessments must be completedK – All Assessments must be completed –Provide to the AB Lead Assessor ASAP preferably prior to the end of the assessmentpreferably prior to the end of the assessment If not on-site, via to AB Lead AssessorIf not on-site, via to AB Lead Assessor –Reviewed by RMC Oversight Chair (currently Susie Neal) and summarized for RMC

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Lessons Learned over the years on joint assessments

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Lessons Learned Scheduling Joint Activity OEM to identify assessor to conduct assessments ASAP (and notify AB)OEM to identify assessor to conduct assessments ASAP (and notify AB) OEM to notify AB of any assessor changes ASAPOEM to notify AB of any assessor changes ASAP –ANAB to notify all parties of assessor change –Make sure replacement is qualified. After the confirmation letter (which can come months prior to an assessment) an OEM will not get another notice of the assessment until a few weeks prior to the assessment.After the confirmation letter (which can come months prior to an assessment) an OEM will not get another notice of the assessment until a few weeks prior to the assessment.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Lessons Learned Preparation for Joint Activity OP assessor mustOP assessor must –Be qualified/trained –Have knowledge of the standards –Have a copy of the standards –Have signed and turned in Appendix I –Have post-activity forms to complete All to be provided by OEM not by the AB.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Lessons Learned CB Office Assessment Conduct Not conducting 2 nd party auditsNot conducting 2 nd party audits Caution with conflict of interest and confidentiality.Caution with conflict of interest and confidentiality. –Acquiring information for OEM procurement process is not acceptable.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Lessons Learned CB Witness Assessment Conduct Organization may ask questions about the oversight; OP assessor may have to explain the oversight process (during opening meeting, breaks, etc)Organization may ask questions about the oversight; OP assessor may have to explain the oversight process (during opening meeting, breaks, etc) Asking simple questions and/or making simple comments during Witness Assessment is considered interfering.Asking simple questions and/or making simple comments during Witness Assessment is considered interfering. Picking up records, materials, parts, etc. is considered interferingPicking up records, materials, parts, etc. is considered interfering Talking to the AB assessor team is distracting during the audit.Talking to the AB assessor team is distracting during the audit. Not conducting 2 nd party auditsNot conducting 2 nd party audits

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Lessons Learned Joint Assessment Post-Activity OEM assessors to complete AS appendices in a timely manner.OEM assessors to complete AS appendices in a timely manner. If a decision is appealed by CB; be available to participate in appeal hearing.If a decision is appealed by CB; be available to participate in appeal hearing.

Registration Management Committee (RMC) Other Party (OP) Assessor Workshop January 16, 2009 – Orlando FL Questions / Comments