1. Company Confidential Registration Management Committee (RMC) OP Assessor Workshop San Diego, CA January 19, 2012 Body Of Knowledge for OP Assessors Will Tate Triumph Aerostructures

2. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Body of Knowledge Purpose of the training module:Purpose of the training module: –Training on the criteria and processes that OP assessors will be implementing when performing oversight on behalf of the AAQG/RMC Objective:Objective: –Provide OP assessors with knowledge and tools to perform effective oversight of ABs, CBs, AABs and TPABs.

3. San Diego, CA January 19, 2012 Registration Management Committee (RMC) AS9104-1 & AS9014AS9104-1 & AS9014 AQMS Standards AS9100/9110/9120AQMS Standards AS9100/9110/9120 AS9104-2AS9104-2 AS9104-3AS9104-3 ISO 19011ISO 19011 ISO 17011ISO 17011 ISO 17021ISO 17021 ISO 17024ISO 17024 IAF Mandatory DocumentsIAF Mandatory Documents Documents comprising BOK

4. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Additional relevant documents “Official ISO 9001 Interpretations”“Official ISO 9001 Interpretations” ISO 9001 Auditing Practices Group papersISO 9001 Auditing Practices Group papers Accreditation Auditing Practices Group papersAccreditation Auditing Practices Group papers AB specific documentsAB specific documents IAQG Supplemental Rules Doc – SR001IAQG Supplemental Rules Doc – SR001 IAQG Resolutions logIAQG Resolutions log

5. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Where to obtain the documents All AS documents and ISO standards are copyrightedAll AS documents and ISO standards are copyrighted AS documents can be purchased from www.sae.orgAS documents can be purchased from www.sae.org ISO Standards can be purchased from several places, such as the ASQ website, ANSI webstore or www.iso.chISO Standards can be purchased from several places, such as the ASQ website, ANSI webstore or www.iso.ch The IAF Mandatory documents can be downloaded for free from www.iaf.nuThe IAF Mandatory documents can be downloaded for free from www.iaf.nu OP Assessors MUST bring the relevant documents to the assessmentsOP Assessors MUST bring the relevant documents to the assessments

6. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Links to the available documents. IAF Mandatory documentsIAF Mandatory documentsIAF Mandatory documentsIAF Mandatory documents IAQG Resolutions logIAQG Resolutions logIAQG Resolutions logIAQG Resolutions log ANAB Accreditation Manual, MA 6000ANAB Accreditation Manual, MA 6000ANAB Accreditation Manual, MA 6000ANAB Accreditation Manual, MA 6000 ISO Auditing Practices GroupISO Auditing Practices GroupISO Auditing Practices GroupISO Auditing Practices Group Accreditation Auditing Practices GroupAccreditation Auditing Practices GroupAccreditation Auditing Practices GroupAccreditation Auditing Practices Group Supplemental Rules Document SR001Supplemental Rules Document SR001Supplemental Rules Document SR001Supplemental Rules Document SR001

7. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Remember It is the OEM’s responsibility to gain access to these standards; standards are not provided by the AB or CB.It is the OEM’s responsibility to gain access to these standards; standards are not provided by the AB or CB. OP Assessors must read and familiarize themselves with the applicable parts of the Standards prior to the oversight assessments.OP Assessors must read and familiarize themselves with the applicable parts of the Standards prior to the oversight assessments.

8. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Applicability AS9104AS9014AS9104-2AS9104-3 AQMS Stds ISO 17021 ISO 17011 ISO 17024 ISO 19011 IAF Docs AB XXXXXX CB XXXXXXXX AAB XXXXX TPAB XXXXX

9. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Office Assessment Body of Knowledge

10. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Office Assessment Gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation.Gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation. ISO 17011 (7.7.2) OP Assessor to Focus on AS specific elements as they relate to:OP Assessor to Focus on AS specific elements as they relate to: –Impartiality - ISO 17021 (5.2) –Management - ISO 17021 (5, 6, 7) –Inclusion of AS in internal audits & management review- ISO 17021, AS9104 –Review AS complaints - ISO 17021, AS9104 –Effective closure of previously issued aerospace related findings –File Review

11. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Office Assessment Main activity by OP Assessor – File ReviewMain activity by OP Assessor – File Review –Registration, surveillance, re-certification process - ISO 17021 (9) –Competency (qualifications) of audit team - AS9104 (7, 8.1), AS9104-3, ISO 17021 (7) –Citation of findings (by CB) – AS9104 (8.3), ISO 17021 (9) –Appropriate resolution of findings – AS9104 (8.3), ISO 17021 (9) –Reporting – AS9104 (8.4), ISO 17021 (9) –Certification decisions (including competency of reviewers) – AS9104 (8.6), ISO 17021 (7, 9) –OASIS – AS9104 –Proper site structure determination (New AS9104-1)

12. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Office Assessment A critical aspect is the audit timeA critical aspect is the audit time –Correct audit duration – Supplemental Rule (SR 001: 7e, k) or AS9104-1: table 2/3 when published –Multi-site – AS9104 (8.2.3), IAF Guidance to Guide 62 (Annex 3) AS9104-1 Table 3 – when publishedAS9104-1 Table 3 – when published –Competency of staff – AS9104, ISO 17021 (7) –ASRP / CAAT Process(es) approved by AB if applicable (IAF MD 3/MD 4) Max reduction of 30% from AS9104-1 table 2 valuesMax reduction of 30% from AS9104-1 table 2 values OPMT assessors must understand IAF Mandatory Document 5 and the auditor-days estimation process.OPMT assessors must understand IAF Mandatory Document 5 and the auditor-days estimation process. –Supplemental Rules SR 001, Section 7e, k –New AS9104-1 Tables 2 and 3,

13. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Audit Time Determination process: AS91XX:2009 Surveillance TransitionSurveillance Transition –50% of initial audit day from IAF MD-5 –Add 100% of initial audit day from AS9104 table 2 Recertification TransitionRecertification Transition –80% of initial audit day from IAF MD-5 –Add 100% of initial audit days from AS9104 table 2. –CB is required to have documented justification for any time (plus or minus) the table.

14. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Additional time per AS9104

15. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Audit Time Determination process: AS91XX:2009 (con’t) CB to determine any additional audit days required to assess to AS91XX:2009CB to determine any additional audit days required to assess to AS91XX:2009 CB must have documented justification for audit daysCB must have documented justification for audit days –Justification for increasing/decreasing audit days Complexity of productComplexity of product Maturity of QMSMaturity of QMS Complexity of business, etc.Complexity of business, etc. –AS9104-1 Tables 2/3 (when published)

16. San Diego, CA January 19, 2012 Registration Management Committee (RMC) “Upgrade audits”

17. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Another critical issue – Multi-site AS9104, paragraph 8.2.3AS9104, paragraph 8.2.3 IAQG Resolution # 76IAQG Resolution # 76 Changing with the rewrite of AS9104Changing with the rewrite of AS9104 –Refer to table 3 in new AS9104-1 for audit frequency

18. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Witness Assessment Body of Knowledge

19. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Witness Assessment Silently gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation.Silently gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation. ISO 17011 (7.7.2)

20. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Witness Assessment Focus on: Opening and closing meeting (and team caucuses)Opening and closing meeting (and team caucuses) ISO 17021 (9) Audit days and audit efficiency, effectivenessAudit days and audit efficiency, effectiveness AS9104 (8.2), ISO 19011 (6.5), IAF Guidance to Guide 62, Annex 2 CB’s audit team’s competency to perform auditCB’s audit team’s competency to perform audit Including knowledge of standards, industry, regulatory requirements and interpretationsIncluding knowledge of standards, industry, regulatory requirements and interpretations Including CB’s process for assigning audit teamIncluding CB’s process for assigning audit team AS9104 (7, 8), AS9104- 3, ISO 17021 (7) Certificate accuracyCertificate accuracy ISO 17021 (8)

21. San Diego, CA January 19, 2012 Registration Management Committee (RMC) CB Witness Assessment KEY Focus: Audit depth and trails to the AQMS Standard (e.g. AS9100)Audit depth and trails to the AQMS Standard (e.g. AS9100) AQMS (e.g. AS9100) AS9104 (8), ISO 19011 (6.5), IAF Guidance to Guide 62 OP Assessor must complete all applicable AS9104-2 appendices (J, K, etc)OP Assessor must complete all applicable AS9104-2 appendices (J, K, etc)

22. San Diego, CA January 19, 2012 Registration Management Committee (RMC) For AB, AAB & TPAB Oversight see Presentation Attached

23. San Diego, CA January 19, 2012 Registration Management Committee (RMC) Burning questions