2. Company Confidential Registration Management Committee The Good Lori Gillespie Bob Cruse OP Assessor Workshop San Diego, CA – 17 Jan 2013 1 The Bad The Ugly ANAB’s Perspective

3. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 2 CB Office Assessments Joint with ANAB (AB)

4. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Planning Acknowledge/confirm assessment assignment from ANAB coordinator (ANAB will then have confidence on assignment) Communicate with AB Team Leader (Travel logistics, etc...) –If you have not heard from the AB Team Leader, reach out to them, an email may have been missed/lost! Ensure understanding of AB procedural requirements (Ref. AS9104/2 8.2.1) 3

5. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Don't make assumptions (take ownership of all travel details) Don't come into the assessment with no knowledge of the CB's AQMS Certification levels/clientele. –This is available in OASIS. 4 Office Assessments… Planning

6. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Don’t “come along for the ride” –Be prepared / knowledgeable / competent –An OP Assessor has a responsibility to oversight the CB, in addition to ANAB’s responsibilities –ANAB has not built in time to assist the OP Assessor through the entire process, certainly we are there for questions / confusion / caucusing…but not for training. 5 Office Assessments… Planning

7. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Execution Work with the AB Be competent and confident in your ability –In order to fulfil 9104/2 requirements you must understand all that is being discussed in regard to AS. –You must be able to oversight on your own and review files, etc. to gain your own confidence in the system. (this oversight will supplement the AB’s assessment) 6

8. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Execution If you have an NCR that the AB team agrees with please –write it clear and concise –include all the relevant information (Statement, evidence, requirement), – this will assist the AB team in the assessment closing meeting preparation. 7

9. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Execution When the AB is assessing general requirements (e.g. internal audit, impartiality committee) and when the CB is explaining their certification system stay with the AB team to listen! –Don't venture off on your own too early, that will cause duplicated work and will cause a lack of understanding. Understand the system first! –Stay with the AB Assessor(s) until there is a mutually agreed upon AQMS objective that warrants you venturing off on your own. 8

10. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Execution Don't spend so much time following an audit trail that due diligence cannot be given to additional files yet to be reviewed. Remember...Audits are samples, therefore, focus on what brings the most value to the audit objectives. –You can stop assessing when you find conformance or nonconformance…it is not your job to sort out why or how bad the problem is (that is the CB’s job). 9

11. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Execution Don’t sit there like a bump on a log…you are NOT fulfilling your IAQG/AAQG member role if you do not have enough knowledge to oversee the CB. Don’t expect the AB to hold your hand…we already have enough on our plate, we do not have time to train. 10

12. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Execution Do not argue with the AB team! –If there is a disagreement that can not be resolved, provide the information back to the AB and the RMC Chair for resolution. Do NOT ask the CB for a job! –You are there as an IAQG/AAQG member, NOT an OEM that may need a new/different opportunity. 11

13. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Post Assessment Complete AS9104/2 Form L (CB Office Assessment Check Sheet) and provide copy to AB Team Leader ASAP! When requested by the AB, please provide timely feedback/guidance (e.g. Corrective actions, appeals) 12

14. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Post Assessment Never retain copies of CB records. 13

15. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Office Assessments… Post Assessment Don’t share confidential information back at your OEM! The hat you are wearing is the AAQG/IAQG, Not your OEM! 14

16. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 15 CB Witness Audits Joint with ANAB (AB)

17. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Planning Acknowledge/confirm assessment assignment from ANAB coordinator (ANAB will then have confidence on assignment) Communicate with AB Team Leader (Travel logistics, etc...) –If you have not heard from the AB Team Leader, reach out to them, an email may have been missed/lost! 16

18. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Planning Communicate with ANAB coordinator –Will send you pre-audit information once available (e.g. CB Plan, CB Client Profile Form) Review CB Client Profile form to familiarize yourself with the organization that is being audited –Personal Safety (e.g. Safety Shoes, Glasses) –Security requirements (e.g. ITAR, EAR) 17

19. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Planning Again, don't make assumptions (take ownership of all travel details) Don't come into the assessment with no knowledge of any safety or security requirements 18

20. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Planning If you did not pick up on security clearance items you may be asked to leave and not be allowed in the building! Don’t let that happen to you!!! 19

21. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Audit begins with AB’s opening meeting with the CB –At this point you can only “talk” to the AB team…you can not ask questions or discuss the audit, standard, etc with the CB team or CB’s client. –Observe and jot down any questions you may have so that they can be addressed as appropriate after the AB Team Leader has completed their opening meeting 20

22. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Opening meeting between CB Auditor and CB client –A brief amount of time is typically allocated to the AB Team Leader to make introductions and describe AB and OP objectives. When asked, feel free to briefly summarize your background, company, etc. –Remain in the background, observe, and take detailed notes »Turn off or silence all electronic equipment 21

23. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Remain in the background and remain quiet, don’t talk! Observe and take detailed notes, they will be needed! Don’t touch anything (e.g. parts, dwgs, paperwork) Stay with the AB Assessor and CB auditor at all times Don’t encroach on the CB auditor and/or auditee 22

24. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Avoid conversations / eye contact Do not express any body language to signal good or bad (rolling of the eyes, heavy sigh’s, smiling, etc…) Avoid phone conversations/messaging (step away if the call is important) Hold all thoughts and concerns until they can be discussed between yourself and the AB Assessor and/or AB Team Leader in private 23

25. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Have your notes ready to discuss with AB team to document findings, etc Support the AB team during the AB/CB closing meeting when needed 24

26. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Don’t wander off Don’t discuss the standard and requirements, even at a break/lunch. Recognize what actions/words influence the audit! 25

27. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Do NOT actively audit! Doesn’t matter what you see/hear/feel; do NOT actively audit! Do NOT influence the outcome of the audit in any way, shape or form! Do NOT wander off on your own Do NOT start interviewing personnel or inspecting parts Get the idea? 26

28. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Execution Make sure your notes are clear and concise to discuss with the AB team, there is not a lot of caucus time for the AB/OP Assessor Do not argue with the AB team…any disagreements bring back to the AB and RMC Chair. 27

29. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Post Assessment Complete the AS9104/2 Form M (CB Witness Assessment Check Sheet) ASAP When requested by the AB provide feedback/guidance (e.g. Corrective actions, appeal) 28

30. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Post Assessment Do not share information found during the witnessed audit! All information is confidential! 29

31. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Witness Audits… Post Assessment Do not follow-up with the organization for a job! Do not go back to your procurement department about information on this organization. 30

32. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 31 Overall

33. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Overall The majority OP assessors –Understand the process, –follow the rules, –understand the requirements and –represent the AAQG and your industry very well” You should be proud!!! 32

34. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Overall Don’t go out if you are not ready, willing, able AND prepared to follow the process, requirements and do a good job! Talk to your OEM if you have concerns! 33

35. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Overall All of the Ugly “guidance” came from real life experience….sadly! Don’t be ugly!!!!!!! 34

36. OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee Questions ? 35