1. Anti Counterfeiting Standards Accreditation Services Development
6th Annual ‘Anti Counterfeiting Forum’ Seminar
Anti Counterfeiting Standards
&
Accreditation Services Development
Kevin Beard
President – NQA
February 19, 2015

2. Audience Check-In
How Many Companies Certified to AS9100/AS9120/ISO 9001?
How Many Companies have Contractual Flow Downs for AS5553 or AS 6081?
Or Other CPP Requirements?
How Many Organization’s Currently Have A CPP Program?
And are Auditing within their AS9100/AS9120/ISO9001 Certification?

3. Presentation Focus Who is NQA Update on Accreditation
Update of 5553/6081Revision Impacts
Update on 9100 & 9120 Revision Impacts
Industry Information Resources

4. Introductions- Who Is NQA
Company Profile
Standards
Leading International Accredited Certification Body
Leading Aerospace Industry Registrar
Serving Customers for Industry Success
More than 30,000 Customers Worldwide
Local audit resources world-wide
AS9100
AS9110
AS9120
AS5553
AS6081
Customers
Committees
Boeing
NASA
ESA
Lockheed Martin
Raytheon
L-3 Communications
Ball Aerospace
United Launch Alliance
Aerospace
AAQSC Voting Member
AAQG/IAQG – Numerous Working Groups
SAE G-19 Counterfeit Part Prevention WG
Telecom
QuEST Forum Member
Other
Automotive – IATF/SMMT
Dept. of Homeland Security – Business Continuity
ISO 9001
ISO 14001
TS 16949
TL9000
ISO 13485
ISO 27001
ISO 20000
ISO 28000
OHSAS 18001
ESD S20.20

5. Update On Accreditation & Certification
Accredited Certification has Been Around for Decades
Accredited Certification Schemes Are Understood and Used by Government, Industry and Associated Supply Chains
Also Understood by Many Members of SAE G-19
Initial Focus has Been on Requirements Standards for Manufacturers, Distributors and Test Organizations
Awaiting Efforts on Certification Integrity Focus
In the Mean Time, …….…….
NQA is Progressing Accredited Certification

6. Counterfeit Parts & The Industry Model
Industry Supply Chain
MOD, ESA/NASA, Civil Aviation, Etc.
Primes
Primes
Primes
Design Resp
AS 9100 & AS 5553
Sub-System
Emerging Certification Schemes
Not Design Resp
Component
Sub-Component
Discuss the industry Supply Chain Model
Discuss the Needs of the Industry
Discuss the Roles of
System Integrator
Design Responsible Middle Tier Organizations
Non Design Responsible Middle Tier Organizations
Distributors
Historically
Fasteners
Raw Materials
Now with outsourcing, moving to more complex Procurements at Lower Points in the Supply Chain
Parts OCMs & Aftermarket
Franchised Distributor
Other Type Distributor
Stocking
Broker
Independent
Other Sources
Surplus
Open Market
Recyclers
Etc.
AS 9120, AS 5553, AS 6081
Counterfeit Parts Entering the Supply Chain

9. NQA Focus for Accredited Certification Services
Alignment to IAQG (& Sector) Model
Focus on End User/Government Control Model
Focus on ISO 17021/17025 Based Model
Continue with G-19 Supplement/Augmentation Approach
Areas of Focus
Standards, Competencies, Tools, Formants, Oversight Alignment, etc.
Why is this Important
Need Regulatory Compliance Aligned Approach
Industry, End User, Authority/Government Recognition
Supply Chain Efficiency & Cost Control
Avoid Developing an Additional Industry Controlled Model (IAQG, NADCAP, Etc.)
Awaiting G-19 to Address & Achieve Alignment
NQA Aligning Certification with Using IAQG & ANAB Recognized Approaches

10. Accreditation & Certification Approach
Base Standard
Focus
Aerospace/G-14 Augmentation & Oversight
G-19 Augmentation & Focus
NQA G/14 Aligned Augmentation
Regulatory, Authority, Government Compliance
Gov. Laws, Policies, Contractual Requirements and other legal influences
Industry Control
Standards Approval
Auditor Approval
AB/CB Approval, Etc.
IAQG (EAQG, AAQG, APAQG)
N/A
Aligned to IAQG format
ANAB AR 36
Awaiting G-19 augmentation
Requirements Standards for Certified Company
ISO 9001
Company Requirements
AS9100
AS9110
AS9120
AS5553
AS6081
---
Certification Integrity
Industry Oversight
AS9104/1 &/2
ISO 17021
Accreditation Approach
CB Oversight
ANAB AR36
CB Integrity Processes
Industry Confidence
Independence
COI Avoidance
Transparency
Audit Approach
Stage I/II/Surv/Reassess, etc
Process, Duration, Frequency
Certificate Reqts
Effectiveness Determination
NC Remedial Actions
AS9104/1
AS9101
ISO Competency
Auditor – Experience, Testing, Approvals
Technical Reviews
Etc.
AS9104/1 &/3
Reporting
Tools & Formats
Cert Achieve Representation
AS 9101
OASIS Database
AS6463 & AS6301
AS9101 Alignment
OASIS Alignment

11. Update AS 5553/AS 6081 AS6081 AS5553 Key Changes
Test Requirements Removed (Pointer to AS6171 Added)
Modified Competency Needs (Removed Reference to NAS 410)
Strengthened Government Reporting (GIDEP, Etc.)
Strengthened Supplier Selection (Risk Characterization)
Ballot Deferred Until Completion of AS6171 Series
AS5553
Key Change - Appendices Removed
AS5553b Ballot Failed
Ballot Comments Being Worked

12. Update ISO 9001/AS 9100/AS 9120 - Foundations for AS5553/AS6081 -
Support From Other Standards & Upcoming Revisions
ISO 9001:2008
Currently Very General and Non CPP Specific
Statutory/Regulatory
Customer Requirements
etc.
ISO 9001:2015 Drafts
Step Forward With Foundational Wording
But Still No CPP Specific
Risk
Mitigation/Prevention
Planning & Control

13. ISO 9001:2015 & Risk Subject DIS Ref. Topic QMS Plan/Change
Complex
Impact
Likelihood
Conseqnce
Prevent
Mitigate
Control
QMS Plan/Change
6.1/6.1.2/6.3
QMS Plan, Control & Changes X
Customer
4.2
5.1.2
Cust, Stat, Reg Requirements
Customer Focus
Design
8.3.2/8.3.3/8.3.6
Planning, Input & Changes
External Providers
8.4.2
Control of Ext. Suppliers
Ops Plan/Control
8.1
8.5.5
8.7
Ops Planning & Control
Post Delivery Plan/Cont
NC Control
QMS Processes
4.4
7.5.1
9.2.2
9.3.1
10.1
10.2.1
Documented Information
Internal Audits
Management Review
Improvement
NC & CA

14. Current & Future Wording AS 9100/AS 9120 - Foundations for AS5553/AS6081 -
Current AS9100
Stronger Wording More Aligned to CPP Processes
Risk, Special Requirements/Critical Items/Key Characteristics
Supplier Risk Management
Augmented Traceability & Inspection Wording
Future AS9100 (draft)
Requirements for Counterfeit Prevention Processes
Training, Obsolescence, Traceability, Inspection, Reporting, Quarantine
Enhanced Wording on Key QMS Processes Supporting CPP
Risk Based Purchasing Controls
Supplier & Sub-Tier Supplier Controls
Risk Based Inspection & Test
Scrap of Validated Counterfeit items

15. Emerging Areas of Focus
Update AS 9100/AS 9120
Addressing Emergent Supply Chain Challenges
Expanded Expectations & Needs in the Supply Chain
Driving the Need For More Controls Deeper in the Supply Chain
IAQG Development of New Quality/Process Control Methods
Changes to QMS Standards (AS9100, etc.)
Risk & Escape Prevention
Counterfeit Parts
Sub-tier Supplier Control
Raw Material Testing
Obsolescence Management
Notification of Change
Compliance, Ethics, Safety Impacting Product
Emerging Areas of Focus

16. Risk Associated Wording 9100 WD1
Subject
DIS Ref.
Topic
Risk
Complex
Impact
Likelihood
Conseqnce
Severity
Prevent
Mitigate
Control
QMS Plan/Change
6.1/6.1.2/6.3
QMS Plan, Control & Changes X+ X
Customer
4.2
5.1.2
8.2.2.d
Cust, Stat, Reg Requirements
Customer Focus
Determination of Requirements +
Design
8.3.2/8.3.3/8.3.6
8.3.4
Planning, Input & Changes
D&D Control (review)
External Providers
8.4.1
8.4.2
8.4.3
Ext. Providers General
Type & Extent of Control
Doc Info For Ext. Providers
Ops Plan/Control
8.1
8.1.1
8.1.2
8.1.3
8.1.4
8.5.1
8.5.2
8.5.4
8.5.5
8.5.6
8.7
Ops Planning & Control
Operation Risk Management
Configuration Management
Product Safety
Counterfeit Parts
Control Production Provision
ID & Traceability
Preservation
Post Delivery Plan/Cont
Control of Changes
NC Control
QMS Processes
4.4
7.5.1/
9.1.3
9.2.2
9.3.1
10.1
10.2.1
Documented Information
Analysis & Evaluation
Internal Audits
Management Review
Improvement
NC & CA

17. Information & Guidance for Supply Chain
IAQG Supply Chain Management Handbook
International Information Sharing by OEM/Primes
Wide Variety of Aerospace/Defense Business & Quality Management System Practices

18. New SCMH structure and content3
Market & Sell
Make (incl. Assemble & test)
CustomerSupport
9103 Material for Key Characteristics
9102 Material for First Article Inspection
Counterfeit & Suspect Unapproved Parts
Control of non conformities
Foreign Object Debris (FOD)
Human factors for new manufacturing
Statistical Process Acceptance 6 1
TBD
Master Scheduling 5
Deliver 2
Design & Develop
Delivery Metrics Definition
Certificate of Conformance
Delegated Product Release verification
Special Requirements & Critical Items
Quality Aspects of New Product Development
Notification of Change
Software Guidance (9115) C US T O M E R C US T O M E R C US T O M E R
Appendices 4
Buy
9100 Rev C Deployment Support
People Capability PCAP 001
Link to ICOP Overview
9100/SSCA/PPDAC Comparison
IAQG dictionary
Supplier Selection and Capability Assessment
Product Performance Detailed Assessment Checklists
Supplier Quality Mgt Basics
Sub-tier Supplier Control Management 7
Plan & Manage
Work Transfer
Root Cause Analysis & Problem Solving
Process Mapping (VSM Based)
Advanced Product Quality Planning (APQP)
Risk Management
Configuration management
Capacity Management, Ordering and Logistics 8
Stakeholders relationship and communication
Requirements & Flow Down Templates
Contractual Requirements Review & Management Guidance
Sections already in progress Future sections

19. In Closing Counterfeit Part Avoidance
Significant Challenges Need Broad-based Solutions
Industry Focus Ramping Up.
Educational Information Available to Supply Chain
Numerous Committees Are Working Towards Solutions
Standards Are Evolving
Accredited Certification is Available
What Part will We Play in Solving this Industry Problem?
Accredited Certification is a Key Component of Building Industry Trust!

20. Questions? Counterfeit Part Prevention AS 9100 & AS 5553
DOD, NASA, Civil Aviation, Etc.
Primes
Primes
Primes
AS 9100 & AS 5553
Counterfeit Part Prevention
Sub-System
Component
Sub-Component
Parts OEMs & Aftermarket
Franchised Distributor
Other Type Distributor
Stocking
Broker
Independent
Other Sources
Surplus
Open Market
Recyclers
Etc.
AS 9120, AS 5553, AS 6081

21. Overview 8.1.4 Prevention of counterfeit parts
The organization shall establish, implement and maintain a process, appropriate to the product, that prevents the use of counterfeit or suspect counterfeit parts and their inclusion in product(s) delivered to the customer.
NOTE Counterfeit parts prevention processes should consider:
training of appropriate personnel in the awareness and prevention of counterfeit parts;
application of a parts obsolescence monitoring program;
procurement requirements for assuring traceability of parts and components to their original authorized manufacturers;
inspection processes to detect counterfeit parts;
monitoring of counterfeit parts reporting services;
quarantine and reporting of suspect or detected counterfeit parts.
8.4.2 Type and extent of control of external provision
Verification of externally provided products and services shall be performed according to the risks identified.
Verification activities shall include inspection of products or periodic testing, as applicable, where there is high risk of counterfeit or nonconforming product.
8.4.3 Documented information for external providers
The organization shall communicate to external providers applicable requirements for the following:
j) requirements regarding the need for the external provider to:
prevent the use of counterfeit products;
8.7 Control of nonconforming process outputs, products and services
Product identified as counterfeit shall not be returned to the external provider and shall be controlled and disposed of as scrap. X