Registration Management Committee RMC Other Party OP Assessor

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Susie Neal Goodrich Corporation

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Types of Assessment Activity • Certification Body Office Assessments • Certification Body Witness Assessments The majority of OP Assessor activity will focus on CB Office and Witness Assessments

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities SAE AS 9104 -2 9. 3 OTHER PARTY ASSESSOR: 9. 3. 1 OP Assessors are responsible to ensure they have been approved by their respective IAQG member company and submit a completed declaration form (see appendix I) to the SMS, prior to conducting an assessment. 9. 3. 2 The declaration form (see Appendix I) shall be reviewed and signed by the OP assessor and their IAQG member company representative, prior to submitting to the SMS. 9. 3. 3 OP assessors are expected to declare any potential conflict of interest (see section 10. 3. 1 of this standard), prior to acceptance of an oversight assignment.

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities SAE AS 9104 -2 9. 3. 4 Additional OP assessor responsibilities include the following: • Cooperating with the assessment team to meet the objectives of the assessment. • Accepting and completing assessment assignments from the assessment team leader. • Documenting the assessment results, including all required appendices. • Generation of assessment reports. • Elevation of any complaints/issues to the SMS or IAQG OPMT, as required.

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Joint Team Assessments CB Office Assessments • To meet Over sight Objectives, OP Assessor role is to support AB audit activity which may include: – – – Review of Client Registration Files (AS 9100, AS 9010, AS 9120) Review of AEA files/records OASIS data base (information entered is complete and accurate) Adequacy of Corrective Actions and any required Follow-up Compliance to AS 9104 and applicable industry standards Other activities? ? (note, sample examples of latest activity performed) • AB will be responsible for: – – – generation of audit reports (including check sheet) documenting findings requesting corrective action acceptance closure of assessment activity

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Joint Team Assessments CB Office Assessments For Completion of Audit the OP Assessor must: • • • Ensure all questions on appropriate checklist have been addressed. Document Assessment Results on Oversight Assessment Summary Report Provide copy of report to AB office and AB assessor. (note, reports are reviewed by the RMC for identifying areas of concern, lessons learn, and planning Workshops for improvements) • Ensure that any complaints are elevated as necessary

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Joint Team Assessments CB Witness Audits • To meet Over sight Objectives, OP Assessor should: – Participate from the opening to closing meeting of the assessment – Not influence the AB or CB audit team (role is for observation only) – Provide feedback to audit team at conclusion of clients assessment (Do not discuss in front of client - arrange for closed meeting after assessment) – Other activities? ? • AB will be responsible for: – generation of audit reports (including check sheet) – documenting findings – requesting corrective action – corrective action acceptance – closure of assessment activity (Strive to participate in all scheduled Joint Team Assessments)

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Joint Team Assessments CB Witness Assessments For Completion of Audit the OP Assessor must: • • • Ensure all questions on appropriate checklist have been addressed. Document Assessment Results on Oversight Assessment Summary Report Provide copy of report to AB office and AB assessor. (note, reports are reviewed by the RMC for identifying areas of concern, lessons learn, and planning Workshops for improvements) • Ensure that any complaints are elevated as necessary

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Independent Assessments CB Office Assessment OP Assessor Shall be the Team Leader and will be responsible for: • Coordinating participation with CB • Making travel arrangements • Ensure Oversight activity is accomplished per AS 9104 -2 and that objectives are met by: – – – Conducting opening and closing meetings Ensure all questions on appropriate checklist have been addressed Document Assessment Results on Oversight Assessment Summary Report Provide copy of report to CB office and RMC Document, Request, Approve, and Close any Corrective Actions Elevate any complaints/issues as required (Now, don’t you wish you were able to participate in a Joint Audit? ? )

Registration Management Committee (RMC) Other Party (OP) Assessor AS 9104/2 - Oversight Training January 16, 2009 – Orlando, Florida Roles and Responsibilities Independent Assessments CB Witness Assessment OP Assessor will be responsible for: • Coordinating participation with CB • Making travel arrangements • Ensure Oversight activity is accomplished per AS 9104 -2 and that objectives are met by: – Participating from the opening to closing meeting of the assessment – Not influencing the CB audit team (role is for observation only) – Provide feedback to audit team at conclusion of clients assessment (Do not discuss in front of client - arrange for closed meeting after assessment) – Other activities? ? – – – Ensure all questions on appropriate checklist have been addressed Document Assessment Results on Oversight Assessment Summary Report Provide copy of report to CB office and RMC Document, Request, Approve, and Close any Corrective Actions Elevate any complaints/issues as required (Now, don’t you wish you were able to participate in a Joint Audit? ? )