The OP Assessor Process

Company Confidential

Registration Management Committee (RMC)

The OP Assessor Process

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Other Party (OP) Assessor WorkshopPalm Beach Gardens, Florida

January 16, 2014

Melvin L. JeppsonATK Propulsion Systems

January 16, 2014

Palm Beach Gardens, FloridaJanuary 16, 2014


Objectives• 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• IAQG/AAQG Member Company Responsibilities• Governing Documents• Forms • Reports• Corrective Action• Concerns/Issues• Help Chain• Travel Expenses

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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.

(AS9104/2, clause 3.12)

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OP Assessor Qualifications & Training• OP Assessor qualification includes training on:

SAE Publications:9104/1, Requirements for Aerospace Quality Management System Certification

/Registration Programs9104/2, Requirements for Aviation, Space, and Defense Quality Management

System Certification Programs9104/3, Requirements for Aerospace Auditor Competency and Training Courses”AS9100, Quality Management Systems – Requirements for Aviation, Space and

Defense OrganizationsAS9110, Quality Management Systems – Requirements for Aviation Maintenance

ProgramsAS9120, Quality Management Systems – Requirements for Aviation, Space and

Defense Distributors

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ISO Publications:ISO/IEC 17011, Conformity assessment – General Requirements for accreditation

bodies accrediting conformity assessment bodiesISO/IEC 17021, Conformity assessment – Requirements for bodies providing audit

and certification of management systemsISO/IEC 17024, Conformity assessment – General requirements for bodies

operating certification of personsISO 19011, Guidelines for auditing management systems

(AS9104/2, clause 5.1.4)

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IAF (International Accreditation Forum) Publications:Applicable IAF Publications (referenced in AS9104/1, clause 2.3) (i.e.,IAF MD 4:2008, IAF Mandatory Document for the Use of Computer Assisted

Auditing Techniques (“CAAT”) for Accredited Certification of Management Systems

IAF MD 5:2009, IAF Mandatory Document for Duration of QMS and EMS Audits)

Other:Conflict of interest and confidentiality requirementsComplaint resolution processAny applicable global sector SMS documents that apply (e.g., AS9014)

(AS9104/2, clause 5.1.4)

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OP Assessor Qualifications & Training• OP Assessors shall, as a minimum, meet the education and

training requirements of ISO 19011 and continually meet the following:– 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.

(AS9104/2, clause 5.1.5)

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Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme

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Lee, T. (Jan. 2009), “Industry Controlled Other Party Structure

Overview”, RMC, Orlando, FL



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) Office Assessments• Accreditation Body (AB) Witness Assessments• Certification Body (CB) Office Assessment• Certification Body (CB) Witness Assessment• Auditor Authentication Body (AAB) Office Assessment• Training Provider Approval Body (TPAB) Office

Assessment

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What:

Office & Witness Oversight Assessments

(AB, AAB, CB, TPAB, etc.)

Who:

Supplier/OEM

Certification Body Auditor(s)

Accreditation Body Auditor(s)

Other Party Assessor (OEM representative)

Oversight

Assessment

How:

RMC Surveillance Sub-team OA schedule

OP Assessor Training

Office & Witness Audits

Measures:

RMC Oversight Assessment metrics

Form D – Oversight Nonconformity

Inputs:

AQMS Standards

9104-002 Forms

9104-002 Form A - OP Assessor ICOP Declaration

9104-002 Form B – Confidentiality Agreement & Conflict of Interest Declaration

ITAR, Regulatory & Statutory Requirements

Customer Requirements/Feedback

Outputs:

APPENDIX A – 9104-002 FORMS (i.e.,

Form L, CB Office Assessment Check Sheet

Form M, CB Witness Assessment Check Sheet)

Improved quality, schedule, cost

Oversight Assessment Process



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• Ensure team competence• Conformity to established requirements• Effectiveness of assessment/certification

program• Conformity of the assessment team with AB/CB

procedures and processes

(AS9104/2, clause 8.2.1)

Oversight Assessment Objectives



OP Assessor’s Role• OP Assessor teams with Accreditation Bodies

(ABs) to conduct joint team assessments in accordance with SMS oversight schedule.

• NOTE: If you don’t participate in an assigned assessment you will need to conduct an independent oversight assessment. If this occurs, you will be the lead assessor and will be responsible for initiating all reports, reviewing corrective actions plans and performing follow up, if required.

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OP Assessor’s Role• OP Assessors are responsible to ensure they

have been approved by their respective IAQG member company and submit a completed declaration for (9104-002 Form A) to the SMS (RMC), prior to conducting as assessment.

• OP Assessors are expected to declare any potential conflict of interest, prior to acceptance of an oversight assignment (9104-002 Form B).

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OP Assessor’s Role• Participate from opening to closing meeting.

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OP Assessor’s Role• Accept and complete assessment

assignments from the assessment team leader.

• Document assessment results, including all required forms.

• Generate assessment reports• Elevate any complaints/issues to the SMS

(RMC) or IAQG OPMT, as required.

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OP Assessor’s Role• OP assessor shall not influence the AB or CB

audit team while a witness audit is being conducted. 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 client).

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OP Assessor’s Role

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• Share assessment assignments.• Provide resources to support oversight activities.

– OP assessors– AQMS standards– Computer equipment

• Maintain any records generated in support of this process for a minimum period of six years, (AAQG RMC Procedure 102 & AS9104/2, clause 12.2).

• Report supplemental oversight results to the RMC.• Recommend potential (supplier/OEM) candidates for oversight

assessment to AB for consideration.• May share resources to conduct supplier oversight.

IAQG/AAQG Member Company Responsibilities



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• AS9104/2, “Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs”

• AAQG RMC Procedure 102, “AAQG RMC AS9104-2 Oversight Process”

• Related standards:AS9100 ISO 9000IAF Publications:AS9110 ISO 9001 IAF MD 4:2008AS9120 ISO 19011 IAF MD 5:2009AS9101 ISO/IEC 17011AS9104/1 ISO/IEC 17021 AS9104/2 ISO/IEC 17024AS9104/3

Governing Documents



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• The latest AQMS document revision status can be verified at the following link:

http://www.sae.org/servlets/works/documentHome.do?comtID=TEAG14

Governing Documents





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• AS9104/2– Defines requirements for shared oversight

process including:» Establishment of oversight committees at the

international and global sectors» Use of joint team assessments» Use of qualified and approved IAQG member

Other Party (OP) assessors» Common assessment tools» Reporting oversight results

Governing Documents



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• AAQG RMC Procedure 102– Defines the AAQG RMC AS9104/2 oversight

process

• AAQG RMC procedures can be accessed on the RMC public website

Governing Documents



AAQG public website:

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http://www.sae.org/aaqg/

http://www.sae.org/aaqg/



RMC public website link:

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AAQG RMC procedure link:

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Open RMC Procedures here:

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AAQG RMC Procedure 102

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See RMC website for current procedures.



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• Oversight assessment APPENDIX A – 9104-002 forms can be obtained at the following link:http://www.sae.org/iaqg/forms/disclaimer9104-002.htm

AS9104/2 Forms

http://www.sae.org/iaqg/forms/disclaimer9104-002.htm



AS9104/2 Forms –

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http://www.sae.org/iaqg/forms/index.htm



AS9104/2 Forms

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Reports• At the end of the oversight assessment

discuss any findings and concerns with the AB assessor and submit applicable:

– Form D, Oversight Nonconformity (discuss with AB)– Form J, Accreditation Body (AB) Office Assessment

Check Sheet– Form K, Accreditation Body (AB) Witness

Assessment Check Sheet– Form L, Certification Body (CB) Office Assessment

Check Sheet or– Form M, Certification Body (CB) Witness

Assessment Check Sheet to:» AB assessor (ASAP), if a joint assessment, and» RMC Surveillance Sub-team Lead

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Corrective Action• The Assessment team lead is responsible for

ensuring acceptable corrective action taken as a result of joint oversight assessments

• Recommendation: Follow up on corrective action plans when performing office oversight assessments.

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Concerns/Issues• The assessment team leader is responsible

for resolving conflicts of interest between affected parties.

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Help Chain

• Oversight Assessment Team Lead• RMC Surveillance Sub-team Lead• Registration Management Committee Chair• OPMT (Other Party Management Team) Chair

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Travel Expenses• IAQG member companies are responsible for

providing resources to support oversight activities.

• IAQG currently pays for coach airfare and hotels (3-star or government per diem for the area) arranged through Milne Travel.Caution: IAQG will not reimburse airfare and hotel expenses, which have been placed on your company credit card or paid for by your company.

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ATK Propulsion Systems, Quality Management SystemsMelvin 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 35 years. He earned B.S. and M.S. degrees from Utah State University. He served in various leadership roles for 23 years and currently works in Quality 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 taught total quality management, critical thinking, decision making, quality management and productivity classes at the University of Phoenix – Utah Campus for 15 years. He lives in River Heights, Utah.

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