1. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida AS/EN/SJAC 9104-2 Oversight Process Tim Lee The Boeing Company

2. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaIntroduction The purpose of this overview is to provide awareness and familiarization of the requirements and tools contained in the new IAQG Oversight standard AS/EN/SJAC 9104-2. Note: The standard has been published by all global sectors. Effective 1-01-08.

3. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaOverview In this session we will review requirements and discuss the following: ScopeDefinitionsRequirementsGeneral Member Companies – OP Assessors IAQG Other Party Management Team (OPMT) Sector Management Structure (SMS) Shared Oversight Assessment Tools (Appendices) Complaint Process Records Note: This is a workshop activity. We welcome questions, comments and constructive feedback.

4. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaForward This document details the operating processes of the IAQG Other Party Management Team (OPMT) that monitors and reviews the Aerospace Supplier Quality System Accreditation/Certification Schemes of each Sector Management Structure (SMS). This document provides requirements for a shared oversight process based on: –the establishment of oversight committees at the international and global sector levels. –use of joint team assessments. –the use of qualified and approved IAQG member Other Party (OP) assessors. –the use of common assessment tools. –the reporting of oversight results.

5. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Scope Review These requirements are applicable to IAQG global sectors when utilizing Aerospace Industry Controlled Other Party (ICOP) schemes for the assessment and certification of supplier quality systems in accordance with the requirements contained in 9104. IAQG member companies have committed to perform sufficient oversight of the Aerospace accreditation/certification assessment processes in order to ensure conformance to established requirements contained in 9104. NOTE: The IAQG OPMT oversight structure is depicted graphically in Appendix A.

6. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Definition Review Other Party (OP) Assessor An IAQG member representative that has been qualified and approved in accordance with this standard, and supports a joint team assessment or conducts supplementary IAQG member oversight activity in accordance with this standard. Certification Bodies Management Committee (CBMC) A organization within an SMS that functions on a national level (e.g., Italy, France, Germany, Spain, UK, Austria); responsible for 9104 conformance in their respective countries. They perform the same functions as the SMS under the control of their global SMS. Joint Team Assessment: An oversight assessment conducted in accordance with the requirements of this standard by a team of representatives, which may be comprised of AB assessors, OP assessors, and observers. Training Provider Approval Body (TPAB): A body recognized by the SMS that has the primary responsibility to conduct the review and approval of training course content and training provider administration.

7. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaDefinitions Aerospace Dictionary:

8. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida General Requirements Any IAQG member company wishing to recognize AQMS certification shall conduct oversight. Participating IAQG member companies shall provide the necessary resources to support the SMS committees and oversight activities. Industry auditors that have an employment relationship with a CB, can be neither OP assessors nor voting members of SMS committees. The IAQG OPMT and each global SMS shall annually conduct a review and evaluation of the scheme to ensure its continued effectiveness. Reference: AS9104-2 Sections 4.2 thru 4. 5 Why include these Requirements??

9. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaRequirements Member Companies - Other Party Assessor (AS9104-2 Section 5.1.5) IAQG member companies shall ensure that: –assigned representatives who support IAQG OPMT and/or SMS activities have the necessary tools (e.g., published standards, computer equipment) and resources to accomplish committed tasks. –designated OP assessors are qualified in accordance with this standard and they shall provide objective evidence of such every three years, via submission of a completed declaration form (see Appendix I) to the respective SMS. –only qualified individuals are assigned to conduct oversight assessments or participate in joint team assessments supporting the SMS.

10. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaRequirements Member Companies - Other Party Assessor (AS9104-2 Section 5.1.5) OP Assessors shall, as a minimum, meet the education and training requirements of ISO 19011 and continually meet the following requirements: a. Auditing Experience: To have conducted at least three AQMS audits or OP assessments for a minimum of nine assessment days, within the last three years. NOTE: Joint team assessments and/or oversight assessments may be considered for meeting the above audit criteria. b. Work Experience: Four years aerospace industry experience within the prior ten calendar years. NOTE: Work experience to include four years full time in the aerospace industry directly involved in Engineering, Design, Manufacturing, Quality or Process Control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier and/or appropriate official civil, military or space organization, such as National Aviation Authorities (NAA), European Space Agency (ESA)/National Aeronautics and Space Administration (NASA), Ministry of Defense (MoD), Department of Defense (DoD).

11. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaRequirements IAQG OPMT (AS9104-2 Section 6) The IAQG OPMT is the committee responsible for managing 9104 application on a global level. Monitor that each SMS is implementing their sector schemes and is in conformance with 9104. Provide a mechanism for a periodic review of the lessons learned by each of the sector schemes and a review of any proposed changes. Ensure that the OASIS database operates effectively and is accessible to the IAQG members. Annually the IAQG OPMT shall report the status and results of the global ICOP scheme to the IAQG Council.

12. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements IAQG OPMT (AS9104-2 Section 6.2) How?? Regular status reports from each SMS Review of SMS operation and conformance at least once every two years. (Appendix C) Monitor Stakeholder feedback Review operation of the OASIS database (Appendix B) Review SMS Procedures and processes

13. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Sector Management Structure (AS9104-2 Section 7) The Sector Management Structure (SMS) is the committee(s) responsible for managing 9104 application in their respective global sector (Asia Pacific, Americas, Europe). An SMS may be supported by a CBMC. A CBMC is the committee established by a National Aerospace Industry Association (NAIA) to manage the application of the national scheme based on 9104 (e.g., France, Germany, Italy, Spain, United Kingdom).

14. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Sector Management Structure (AS9104-2 Section 7.2) How? Manage 9104 application in their respective global sector Report SMS activities and the effectiveness of their scheme to the IAQG OPMT. Review and recommendation of approval for ABs, CBs, AABs, TPABs and training courses. The management, review, approval, implementation, and modification of their sectorial procedure(s). Conduct oversight of CBMCs, ABs, CBs, AABs, and TPABs in accordance with this standard and 9104. Complaint resolution or elevation to the IAQG OPMT. Manage the shared oversight schedule for their sector Review and approval of AEAs in accordance with 9104-3. Provide a mechanism for a periodic review of the lessons learned and a review of any proposed changes.

15. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Shared Oversight (AS9104-2 Section 8) All assessment activities shall be planned and scheduled with all affected parties, prior to conduct. Whenever possible, OP assessors shall team with ABs to conduct joint team assessments. Assessments shall be completed in accordance with the SMS oversight schedule.

16. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Shared Oversight (AS9104-2 Section 8) AB/CB Witness Assessments (Appendix G) The objective of any AB/CB witness assessment is to assess: Team competence. Conformity to established requirements. The effectiveness of the audit program. Conformity of the audit team with the AB/CB procedures and processes. During AB/CB witness assessments, the OP assessor shall participate from the opening to closing meeting of the assessment. The OP assessor shall not influence the AB or CB audit team, during the audit conduct portion of the witness assessment. The role when witnessing is one of observation only. Feedback to the audit team shall occur upon conclusion of the client’s assessment (e.g., AB audit team debriefing). The OP assessor must ensure that confidentiality between the AB/CB is maintained (e.g., no out-brief in front of client).

17. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Shared Oversight (AS9104-2 Section 8) AB Office Assessments (Appendix E) The AAB oversight assessment shall include a review of the AAB activity to ensure conformance with the requirements of 9104, 9104-3, and applicable industry standards (e.g., ISO 17024). The assessment shall include a review of the previous AAB oversight office assessment reports, including actions taken. The assessment shall include a review of the last accreditation evaluation, if applicable.

18. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Shared Oversight (AS9104-2 Section 8) AAB Office Assessments (Appendix H) The AAB oversight assessment shall include a review of the AAB activity to ensure conformance with the requirements of 9104, 9104-3, and applicable industry standards (e.g., ISO 17024). TPAB Office Assessments (Appendix H) The TPAB office assessment may be conducted at the same time as the AAB assessment (e.g., AAB and TPAB are the same organization). The TPAB oversight assessment shall include a review of their activity to ensure conformance with the requirements of 9104, 9104-3 and applicable industry standards (e.g., ISO 17024).

19. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Shared Oversight (AS9104-2 Section 8) CB Office Assessments The CB office assessment shall include a review of CB activity to ensure conformance with the requirements of 9104 and applicable industry standards (e.g., ISO/IEC Guide 62 and IAF Guidance on the Application of ISO/IEC Guide 62). The assessment shall include a review of the latest CB oversight office assessment reports, including actions taken. The results, including the completed check sheet and associated nonconformity records (see Appendices F and J respectfully) shall be recorded in the AB audit report when a joint team assessment (AB & OP assessor) is conducted. The Oversight Assessment Summary Report (see Appendix K) shall be completed by the OP assessor.

20. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Discussion - Requirements Shared Oversight (AS9104-2 Section 8) Assessments Results The results, including the completed check sheets and associated nonconformity records shall be recorded in the AB audit report when a joint team assessment (AB & OP assessor) is conducted. The results, including the completed check sheets and associated nonconformity records shall be recorded in the AB audit report when a joint team assessment (AB & OP assessor) is conducted. Any nonconformity identified, during the assessments, shall be recorded on an Oversight Nonconformity Record (see Appendix J). NOTE: During joint team assessment activities, equivalent AB nonconformity reports may be utilized. The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see Appendix K) by the OP assessor.

21. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Assessment Tools The oversight assessment tools are contained within the Appendices of AS9104-2. Section 4.1 states: The check sheets contained in this standard (see Appendices B thru H) are provided, as guidance, for conducting oversight assessments. These check sheets may be expanded by the IAQG OPMT or respective SMS to cover additional requirements in their sectors or provide additional clarification, as needed.

22. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Assessment Tool Examples: AB/CB Witness Assessment:AB/CB Witness Assessment: CB Office Assessment:CB Office Assessment: Oversight Assessment Summary ReportOversight Assessment Summary Report

23. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Complaint Resolution Process AS9104-2 Section 11 Each entity in the ICOP scheme (i.e., IAQG member, IAQG OPMT, SMS, CBMC, AB, CB, AAB, and TPAB) shall establish and maintain a complaint resolution process. All complaints shall be handled directly by complainant with the organization the complaint is against. The internal appeals/complaint processes of the parties involved are to be used before other actions are taken. If any issues cannot be resolved between affected parties, then the matter shall be escalated to the next level of authority within the ICOP scheme (e.g., IAQG member complaint against CB would elevate to AB then to SMS/CBMC, if unresolved). Any issues which cannot be resolved at the SMS/CBMC level shall be elevated to the IAQG OPMT. All escalated complaints shall be summarized and reviewed by the respective SMS/CBMC on an annual basis. The SMS/CBMC shall report the results of this review to the IAQG OPMT. These reviews shall be used to identify opportunities for improvement within the Aerospace Supplier Quality System Accreditation/Certification Scheme.

24. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, Florida Records AS9104-2 Section 12 All forms, check sheets, reports, and completed appendices required by this standard shall be considered a record. The responsible party that conducts approval and assessment activities, in accordance with this standard, shall maintain records for a minimum period of 6 years. For example, IAQG OPMT shall maintain SMS and OASIS oversight records. Joint team assessment records shall be maintained for a minimum period of 6 years by the AB.

25. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaSummary We must all strive for 100% conformance. Know your Role & Responsibilities! Implementation of this common approach to oversight will enhance conformance by all stakeholders. We need your continued support and valuable input for this process to succeed.

26. Registration Management Committee (RMC) Other Party Assessor Workshop January 16, 2009 – Orlando, FloridaQUESTIONS?