Registration Management Committee RMC The OP Assessor Process

Registration Management Committee (RMC) The OP Assessor Process San Diego, CA January 19, 2012 Melvin L. Jeppson ATK Propulsion Systems Faculty, University of Phoenix Company Confidential Other Party (OP) Assessor Workshop San Diego, CA January 19, 2012 1

Registration Management Committee (RMC) Topics • Other Party (OP) Assessor • OP Assessor Qualifications & Training • Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme • Oversight Assessments • Oversight Assessment Process • Oversight Assessment Objectives • OP Assessor’s Role (supporting Joint Team Assessments) • IAQG/AAQG Member Company Responsibilities San Diego, CA January 19, 2012 2

Registration Management Committee (RMC) Topics (cont. ) • Governing Documents • Forms • Reports • Corrective Action • Concerns/Issues • Help Chain • Travel Expenses • Related RMC Metrics • Future OP Assessor Training San Diego, CA January 19, 2012 3

Registration Management Committee (RMC) Other Party (OP) Assessor • An IAQG member representative who has been qualified and approved in accordance with 9104/2, and supports a joint team assessment or conducts supplementary IAQG member oversight activity in accordance with 9104/2. (AS 9104/2, clause 3. 12) San Diego, CA January 19, 2012 4

Registration Management Committee (RMC) OP Assessor Qualifications & Training • OP Assessor qualification includes comprehensive training on: *AS 9014 *AS 9104/1 (will replace AS 9104 & AS 9014, ECD: 1/31/12) AS 9100 AS 9104/2 ISO 17011 AS 9110 AS 9104/3 ISO 17021 AS 9120 ISO 9001 ISO 17024 AS 9101 ISO 9004 ISO 19011 *AS 9104 IAF Mandatory Documents Conflict of interest and confidentiality requirements Complaint resolution process Any applicable global sector SMS documents that apply (AS 9104/2, clause 5. 1. 4) San Diego, CA January 19, 2012 5

Registration Management Committee (RMC) OP Assessor Qualifications & Training • OP Assessors shall, as a minimum, meet the education and training requirements of ISO 19011 and continually meet the following requirements: – Conduct at least three AQMS audits or OP assessments for a minimum of nine days, within the last three years. – Four years aerospace industry experience within the prior 10 years directly involved in engineering, design, manufacturing, quality or process control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier or appropriate official civil, military, or space organization. (AS 9104/2, clause 5. 1. 5) San Diego, CA January 19, 2012 6

Registration Management Committee (RMC) Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme Lee, T. (Jan. 2009), “Industry Controlled Other Party Structure Overview”, RMC, Orlando, FL San Diego, CA January 19, 2012 7

Registration Management Committee (RMC) San Diego, CA January 19, 2012 8

Registration Management Committee (RMC) Oversight Assessments • On-line Aerospace Supplier Information System (OASIS) Management Assessment • Sector Management Structure (SMS) Assessment • Certification Body Management Committee (CBMC) Assessment • Accreditation Body (AB) and Certification Body (CB) Office and Witness Assessments • Auditor Authentication Body (AAB) / Training Provider Approval Body (TPAB) Office Assessment San Diego, CA January 19, 2012 9

Registration Management Committee (RMC) Oversight Assessment Process What: Who: Office & Witness Oversight Assessments Supplier/OEM (AB, CB, AAB) Accreditation Body Assessor(s) Certification Body Auditor(s) Other Party Assessor (OEM representative) Inputs: AQMS Standards Outputs: AS 9104/2 Appendix B – K Appendix I – ICOP Declaration Form for OP Assessors Ov ersight Assessment ITAR, Regulatory & Statutory Requirements Appendix K – Oversight Assessment Summary Report Appendix J – Oversight Nonconformity Record(s) AB Assessment Report Customer & OASIS Feedback How: Measures: RMC Surveillance Sub-team OA schedule RMC Oversight Assessment metrics OP Assessor Training Appendix J – Oversight Nonconformity Record(s) Office & Witness Audits CB Report Card San Diego, CA January 19, 2012 10

Registration Management Committee (RMC) Oversight Assessment Objectives • Ensure team competence • Conformity to established requirements • Effectiveness of assessment/certification program • Conformity of the assessment team with AB/CB procedures and processes (AS 9104/2, clause 8. 2. 1) San Diego, CA January 19, 2012 11

Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) • Teams with Accreditation Body (AB) Assessor(s) to conduct joint team assessments in accordance with SMS oversight schedule. • NOTE: If you don’t participate in or trade an assigned assessment you will be expected to conduct an independent oversight assessment. If this occurs, you will serve as the lead assessor and will be responsible for initiating all reports, reviewing corrective action plans and performing any required follow up. San Diego, CA January 19, 2012 12

Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) • OP Assessors must be approved by their company leadership and submit an AS 9104/2 Appendix I declaration form to the RMC prior to conducting oversight assessments. • OP Assessors must declare any potential conflict of interest. (AS 9104/2, clause 9. 3) San Diego, CA January 19, 2012 13

Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) • Participate from opening to closing meeting. San Diego, CA January 19, 2012 14

Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) • Accept and complete assessment assignments from the assessment team leader. • Document assessment results, including all required appendices. • Generate assessment reports • Elevate any complaints/issues to the RMC or IAQG OPMT, as required. (AS 9104/2, clause 9. 3. 4) San Diego, CA January 19, 2012 15

Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) • OP Assessor shall not influence the AB or CB audit team while performing a witness audit. The role when witnessing is observation only. • Provide feedback to the assessment team only upon conclusion of the client’s assessment. • Ensure confidentiality between AB/CB is maintained (e. g. , don’t out-brief in front of clients). San Diego, CA January 19, 2012 16

Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) San Diego, CA January 19, 2012 17

Registration Management Committee (RMC) IAQG/AAQG Member Company Responsibilities • Share assessment assignments • Provide resources to support oversight activities – OP Assessors – AQMS standards – Computer equipment • Maintain any records generated in support of this process, when designated as the oversight assessment team lead, for a minimum period of six years, (AAQG RMC Procedure 102 & AS 9104/2, clause 12. 2). • Report supplemental oversight results to RMC • Recommend potential (supplier/OEM) candidates for oversight assessment to AB for consideration • May share resources to conduct supplier oversight San Diego, CA January 19, 2012 18

Registration Management Committee (RMC) Governing Documents • AS 9104/2 Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs • AAQG RMC Procedure 102, AAQG RMC AS 9104 -2 Oversight Process • Other AQM standards *AS 9014 *AS 9104/1 (will replace AS 9104 & AS 9014, ECD: 1/31/12) AS 9100 AS 9104/2 ISO 17011 AS 9110 AS 9104/3 ISO 17021 AS 9120 ISO 9001 ISO 17024 AS 9101 ISO 9004 ISO 19011 *AS 9104 IAF Mandatory Documents San Diego, CA January 19, 2012 19

Registration Management Committee (RMC) Governing Documents • AS 9104/2, Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs – Defines requirements for shared oversight process including: » Establishment of oversight committees at the international & global sectors » Use of joint team assessments » Use of qualified & approved IAQG member Other Party (OP) Assessors » Common assessment tools » Reporting oversight results San Diego, CA January 19, 2012 20

Registration Management Committee (RMC) Governing Documents • AS 9104/2, Requirements for Oversight of Aerospace Quality Management System Registration/Certification Program – Oversight assessment check sheets » Appendix B – On-line Aerospace Supplier Information System (OASIS) Management Assessment » Appendix C – Sector Management Structure (SMS) Assessment » Appendix D – Certification Body Management Committee (CBMC) Assessment » Appendix E – Accreditation Body (AB) Office Assessment » Appendix F – Certification Body (CB) Office Assessment » Appendix G – Accreditation Body (AB)/Certification Body (CB) Witness Assessment » Appendix H – Auditor Authentication Body (AAB) / Training Provider Approval Body (TPAB) Office Assessment » Appendix I – Industry Controlled Other Party (ICOP) Declaration Form for Other Party Assessors Conducting 9104 Oversight » Appendix J – Oversight Nonconformity Record » Appendix K – Oversight Assessment Summary Report San Diego, CA January 19, 2012 21

Registration Management Committee (RMC) Governing Documents • AAQG RMC Procedure 102 – Defines the AAQG RMC AS 9104/2 oversight process • AAQG RMC procedures can be accessed on the RMC public website San Diego, CA January 19, 2012 22

Registration Management Committee (RMC) AAQG public website: http: //www. sae. org/aaqg/ San Diego, CA January 19, 2012 23

Registration Management Committee (RMC) RMC public website link: San Diego, CA January 19, 2012 24

Registration Management Committee (RMC) AAQG RMC procedure link: San Diego, CA January 19, 2012 25

Registration Management Committee (RMC) Open RMC Procedures here: San Diego, CA January 19, 2012 26

Registration Management Committee (RMC) AAQG RMC Procedure 102 San Diego, CA January 19, 2012 27

Registration Management Committee (RMC) Forms • Appendix I – Industry Controlled Other Party (ICOP) Declaration Form for Other Party Assessors Conducting 9104 Oversight • Appendix E – Accreditation Body (AB) Office Assessment • Appendix F – Certification Body (CB) Office Assessment • Appendix G - AB/CB witness assessments accomplished utilizing the AB/CB Witness Assessment Check Sheet • Appendix J -Oversight Nonconformity Record • Appendix K – Oversight Assessment Summary Report San Diego, CA January 19, 2012 28

Registration Management Committee (RMC) Reports • OP Assessor reports data as a participant in this process (AS 9104/2, clause 4. 5 a) – After the oversight assessment the OP Assessor submits their Appendix K – Oversight Assessment Summary Report to: » AB Assessor » RMC Surveillance Sub-team Lead San Diego, CA January 19, 2012 29

Registration Management Committee (RMC) Corrective Action • Assessment team lead is responsible for ensuring acceptable corrective action taken as a result of joint oversight assessments • The OP assessor may follow up on previous corrective action plans to verify effectiveness during Office oversight assessments. San Diego, CA January 19, 2012 30

Registration Management Committee (RMC) Concerns/Issues • The assessment team leader is responsible for resolving conflicts of interest between affected parties. San Diego, CA January 19, 2012 31

Registration Management Committee (RMC) Help Chain 1. Oversight Assessment Team Lead 2. RMC Surveillance Sub-team Lead 3. Registration Management Committee Chair San Diego, CA January 19, 2012 32

Registration Management Committee (RMC) Travel Expenses • IAQG/AAQG member companies are responsible for providing resources to support oversight activities. • IAQG will currently pay for coach airfare and hotels (3 -star or government per diem for the area) arranged through Milne Travel. Caution: IAQG does not reimburse airfare and hotel expenses, which have been placed on your credit card or paid for by your company. San Diego, CA January 19, 2012 33

Registration Management Committee (RMC) Related RMC Metrics AB AAB/TPAB CB AB Audit Activity Metrics AAQG - Audit Results Certification Data Oversight of Auditor Oversight of Training Activity AAQG - Audit Results AB & OP Audit Results Performance Metrics Oasis Metrics Feedback Metrics San Diego, CA January 19, 2012 34

Registration Management Committee (RMC) Future OP Assessor Training • The RMC plans to conduct AS 9104/1 transition “train the trainer” training for OP Assessors in conjunction with the RMC meeting in Phoenix, Arizona in March 2012. • Registration information will be available on the AAQG RMC website in the future. San Diego, CA January 19, 2012 35

Registration Management Committee (RMC) San Diego, CA January 19, 2012 36

Registration Management Committee (RMC) ATK Propulsion Systems, Quality Management Systems Melvin L. Jeppson has worked in quality assurance, engineering, and management on the Space Shuttle Solid Rocket Motor and Ares I First Stage program at ATK Propulsion Systems for 33 years. He earned B. S. and M. S. degrees from Utah State University. He has served in various leadership roles for 22 years and currently works in Quality Management Systems. He represents ATK as a voting member on Americas Aerospace Quality Group (AAQG) Registration Management Committee (RMC), which helps develop quality standards used in the aerospace and defense industry, and provides oversight of AQMS accreditation and certification bodies and training providers. He has taught total quality management, critical thinking, decision making, and quality management and productivity classes at the University of Phoenix – Utah Campus for 14 years. He lives in River Heights, Utah. San Diego, CA January 19, 2012 37