Witness Assessment AS9104/2A Tim Lee The Boeing Company Chair, IAQG OPMT Date: July 22, 2014

Oversight of CBs: The AAQG shared oversight process has two key assessment techniques: Assessment of the CB Office Management system implementation Evidence of deployment and competent operation Witness Assessment Assessing the deployment of the CB competence system through on-site observation These techniques are used both in joint team assessment and industry only OP Assessor oversight assessment of CBs During this presentation we will discuss the Witness process

AS9104/2A Criteria: 7.12.4 The OP assessor shall not influence the CB audit team; the role, when witnessing, is one of observation only. Feedback to the CB audit team shall occur after the audit has concluded. The OP assessor must ensure that confidentiality is maintained. 7.12.5 During CB witness assessments, the OP assessor shall witness the audit from the opening meeting to closing meeting. 7.12.6 The CB witness assessment shall be performed while the CB is conducting an AQMS audit of a client. This activity shall not occur during special or short notice audits. 7.12.7 The witness assessment process shall include a review of the completed audit report utilizing the “9101 Audit Report Review Assessment Check Sheet” (see Form N), as described in Section 10. All nonconformities identified shall be recorded on Form D, “Oversight Nonconformity”.

Oversight of CBs: AS9104/2A requires that shared oversight of each CB each year comprising a minimum of one: CB Witness Assessment, assessing: Team competence Conformity to established requirements The effectiveness of the audit program Conformity of the audit team with the CB procedures and processes

CB Witness Assessment: AS9104/2A Forms Form D – Oversight Nonconformity Record Form M - CB Witness Assessment Checklist Form N – CB 9101 Audit Report Review Standards and Reference Documents: 9104 series (9104-001, 9104-002, 9104-003) ISO / IEC 17021:2011 IAF Mandatory Documents 1 to 5, 7, 10 and 11 IAQG Supplemental Rules (e.g. SR002) IAQG and Sector Resolutions Logs (at latest issue) Audit Plan Copy of previous assessment and oversight reports including verification evidence for any nonconformities

Witness Assessment Focus: The OP Assessor is assessing the effective deployment of the CB competence system Are opening and closing meetings effective i.a.w ISO 17021? Does the CB audit team demonstrate appropriate competency for the scope and activities of the client? Does the audit team follow audit trails that include the audit processes and process effectiveness rather than just conformance to the AQMS requirements? Does the audit have sufficient depth to be meaningful? Are the correct definitions of nonconformity, observation or opportunity for improvement actually used? Were the minimum required audit days on site applied? Is the certificate content correct and the same as OASIS? Do you have confidence in this certification based on the audit witnessed?

Witness Assessment: CB auditor support is needed to ensure the witness assessment provides value for all parties: Provide a copy of the audit plan in advance of the audit Ensure that the client is aware of the assessment team participation Address ITAR/EARS access issues well in advance of the audit Provide notification of any audit schedule changes Ensure that the AB/OP Assessor conduct a private in-brief and out-brief. Introduce the team, including roles and responsibilities, during the opening meetings with the client Report any conflicts to your CB Management AAQG Member influence Unresolved issues

Questions?