Company Confidential Registration Management Committee OP Assessor Workshop, San Diego, CA - 17 January 2013 Body Of Knowledge for OP Assessors Will S. Tate Triumph Group

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Body of Knowledge Purpose of the training module: –Training on the criteria and processes that OP assessors will be implementing when performing oversight on behalf of the AAQG/RMC Objective: –Provide OP assessors with knowledge and tools to perform effective oversight of ABs, CBs, AABs and TPABs.

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee AS & AS9014 AQMS Standards AS9100/9110/9120 AS AS ISO ISO ISO ISO IAF Mandatory Documents Documents comprising BOK

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Additional relevant documents “Official ISO 9001 Interpretations” ISO 9001 Auditing Practices Group papers Accreditation Auditing Practices Group papers AB specific documents IAQG Supplemental Rules Doc – SR001/002 IAQG Resolutions log

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Where to obtain the documents All AS documents and ISO standards are copyrighted AS documents can be purchased from ISO Standards can be purchased from several places, such as the ASQ website, ANSI webstore or The IAF Mandatory documents can be downloaded for free from OP Assessors MUST bring the relevant documents to the assessments

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Links to the available documents. IAF Mandatory documents IAQG Resolutions log ANAB Accreditation Manual, MA 6000 ISO Auditing Practices Group Accreditation Auditing Practices Group Supplemental Rules Document SR001 Supplemental Rules Document SR002 Certification Structure Guidance Materials

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Remember It is the OEM’s responsibility to gain access to these documents; standards are not provided by the AB or CB. OP Assessors must read and familiarize themselves with the applicable parts of the Standards prior to the oversight assessments.

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Applicability AS9104-1AS9014AS9104-2AS AQMS Stds ISO ISO ISO ISO IAF Docs AB XXXXXX CB XXXXXXXX AAB XXXXX TPAB XXXXX

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Office Assessment Body of Knowledge

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Office Assessment Gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation. ISO (7.7.2) OP Assessor to Focus on AS specific elements as they relate to: –Impartiality - ISO (5.2) –Management - ISO (5, 6, 7) –Inclusion of AS in internal audits & management review- ISO 17021, AS –Review AS complaints - ISO 17021, AS9104 –Effective closure of previously issued aerospace related findings –File Review

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Main activity by OP Assessor – File Review –Registration, surveillance, re-certification process - ISO (9) –Competency (qualifications) of audit team - AS9104 (7, 8.1), AS9104-3, ISO (7) –Citation of findings (by CB) – AS9104 (8.3), ISO (9) –Appropriate resolution of findings – AS9104 (8.3), ISO (9) –Reporting – AS9104 (8.4), ISO (9) –Certification decisions (including competency of reviewers) – AS9104 (8.6), ISO (7, 9) –OASIS – AS9104 –Proper site structure determination (AS9104-1) CB Office Assessment

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Office Assessment A critical aspect is the audit time –Correct audit duration – Supplemental Rule (SR 001: 7e, k) or AS9104-1: table 2/3 –Multi-site – AS9104 (8.2.3), IAF Guidance to Guide 62 (Annex 3) »AS Table 3 –Competency of staff – AS9104, ISO (7) –ASRP / CAAT Process(es) approved by AB if applicable (IAF MD 3/MD 4) »Max reduction of 30% from AS table 2 values OPMT assessors must understand IAF Mandatory Document 5 and the auditor-days estimation process. –Supplemental Rules SR 001, Section 7e, k –AS Tables 2 and 3

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Audit Time Determination process: AS91XX:2009 For Audits performed in 2012 Surveillance Transition –50% of initial audit day from IAF MD-5 –Add 100% of initial audit day from AS9104 table 2 Recertification Transition –80% of initial audit day from IAF MD-5 –Add 100% of initial audit days from AS9104 table 2. –CB is required to have documented justification for any time (plus or minus) the table.

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Additional time per AS9104

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Audit Time Determination process: AS91XX:2009 (con’t) CB to determine any additional audit days required to assess to AS91XX:2009 CB must have documented justification for audit days –Justification for increasing/decreasing audit days »Complexity of product »Maturity of QMS »Complexity of business, etc. –AS Tables 2/3 used in 2013 and forward

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee “Upgrade audits”

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Another critical issue – Multi-site AS9104, paragraph IAQG Resolution # 76 Changed with new AS –Refer to table 3 in new AS for audit frequency –Refer to appendix B (Matrix) for certification structure requirements –Complex site must be reviewed by Certification Structure Oversight Committee (CSOC)

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Witness Assessment Body of Knowledge

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Witness Assessment Silently gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation. ISO (7.7.2)

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Witness Assessment Focus on: Opening and closing meeting (and team caucuses) ISO (9) Audit days and audit efficiency, effectiveness AS (7.2), ISO (6.5), CB’s audit team’s competency to perform audit »Including knowledge of standards, industry, regulatory requirements and interpretations »Including CB’s process for assigning audit team AS (7.2), AS , ISO (7) Certificate accuracy ISO (8)

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee CB Witness Assessment KEY Focus: Audit depth and trails to the AQMS Standard (e.g. AS9100) AQMS (e.g. AS9100) AS (8), ISO (6.5), OP Assessor must complete all applicable AS forms

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee For AB, AAB & TPAB Oversight see Presentation Attached

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Burning questions