Company Confidential Registration Management Committee (RMC) The OP Assessor Process San Diego, CA January 19, 2012 Melvin L. Jeppson ATK Propulsion Systems Faculty, University of Phoenix 1 Other Party (OP) Assessor Workshop San Diego, CA January 19, 2012

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Topics 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 (supporting Joint Team Assessments) IAQG/AAQG Member Company Responsibilities 2

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Governing Documents Forms Reports Corrective Action Concerns/Issues Help Chain Travel Expenses Related RMC Metrics Future OP Assessor Training 3 Topics (cont.)

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 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) 4

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor Qualifications & Training OP Assessor qualification includes comprehensive training on: *AS9014*AS9104/1 (will replace AS9104 & AS9014, ECD: 1/31/12) AS9100 AS9104/2 ISO AS9110AS9104/3 ISO AS9120ISO 9001 ISO AS9101ISO 9004 ISO *AS9104 IAF Mandatory Documents Conflict of interest and confidentiality requirements Complaint resolution process Any applicable global sector SMS documents that apply (AS9104/2, clause 5.1.4) 5

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor Qualifications & Training OP Assessors shall, as a minimum, meet the education and training requirements of ISO and continually meet the following requirements: –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) 6

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme 7 Lee, T. (Jan. 2009), “Industry Controlled Other Party Structure Overview”, RMC, Orlando, FL

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 8

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 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) and Certification Body (CB) Office and Witness Assessments Auditor Authentication Body (AAB) / Training Provider Approval Body (TPAB) Office Assessment 9

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 10 What: Office & Witness Oversight Assessments (AB, CB, AAB) What: Office & Witness Oversight Assessments (AB, CB, AAB) Who: Supplier/OEM Certification Body Auditor(s) Accreditation Body Assessor(s) Other Party Assessor (OEM representative) Who: Supplier/OEM Certification Body Auditor(s) Accreditation Body Assessor(s) Other Party Assessor (OEM representative) Oversight Assessment How: RMC Surveillance Sub-team OA schedule OP Assessor Training Office & Witness Audits How: RMC Surveillance Sub-team OA schedule OP Assessor Training Office & Witness Audits Measures: RMC Oversight Assessment metrics Appendix J – Oversight Nonconformity Record(s) CB Report Card Measures: RMC Oversight Assessment metrics Appendix J – Oversight Nonconformity Record(s) CB Report Card Inputs: AQMS Standards AS9104/2 Appendix B – K Appendix I – ICOP Declaration Form for OP Assessors ITAR, Regulatory & Statutory Requirements Customer & OASIS Feedback Inputs: AQMS Standards AS9104/2 Appendix B – K Appendix I – ICOP Declaration Form for OP Assessors ITAR, Regulatory & Statutory Requirements Customer & OASIS Feedback Outputs: Appendix K – Oversight Assessment Summary Report Appendix J – Oversight Nonconformity Record(s) AB Assessment Report Outputs: Appendix K – Oversight Assessment Summary Report Appendix J – Oversight Nonconformity Record(s) AB Assessment Report Oversight Assessment Process

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 11 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

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) Teams with Accreditation Body (AB) Assessor(s) to conduct joint team assessments in accordance with SMS oversight schedule. NOTE: If you don’t participate in or trade an assigned assessment you will be expected to conduct an independent oversight assessment. If this occurs, you will serve as the lead assessor and will be responsible for initiating all reports, reviewing corrective action plans and performing any required follow up. 12

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) OP Assessors must be approved by their company leadership and submit an AS9104/2 Appendix I declaration form to the RMC prior to conducting oversight assessments. OP Assessors must declare any potential conflict of interest. (AS9104/2, clause 9.3) 13

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) Participate from opening to closing meeting. 14

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) Accept and complete assessment assignments from the assessment team leader. Document assessment results, including all required appendices. Generate assessment reports Elevate any complaints/issues to the RMC or IAQG OPMT, as required. (AS9104/2, clause 9.3.4) 15

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) OP Assessor shall not influence the AB or CB audit team while performing a witness audit. 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 clients). 16

San Diego, CA January 19, 2012 Registration Management Committee (RMC) OP Assessor’s Role (supporting Joint Team Assessments) 17

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 18 Share assessment assignments Provide resources to support oversight activities –OP Assessors –AQMS standards –Computer equipment Maintain any records generated in support of this process, when designated as the oversight assessment team lead, for a minimum period of six years, (AAQG RMC Procedure 102 & AS9104/2, clause 12.2). Report supplemental oversight results to 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

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 19 AS9104/2 Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs AAQG RMC Procedure 102, AAQG RMC AS Oversight Process Other AQM standards *AS9014*AS9104/1 (will replace AS9104 & AS9014, ECD: 1/31/12) AS9100 AS9104/2 ISO AS9110AS9104/3 ISO AS9120ISO 9001 ISO AS9101ISO 9004 ISO *AS9104 IAF Mandatory Documents Governing Documents

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 20 AS9104/2, Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs –Defines requirements for shared oversight process including: »Establishment of oversight committees at the international & global sectors »Use of joint team assessments »Use of qualified & approved IAQG member Other Party (OP) Assessors »Common assessment tools »Reporting oversight results Governing Documents

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 21 AS9104/2, Requirements for Oversight of Aerospace Quality Management System Registration/Certification Program –Oversight assessment check sheets »Appendix B – On-line Aerospace Supplier Information System (OASIS) Management Assessment »Appendix C – Sector Management Structure (SMS) Assessment »Appendix D – Certification Body Management Committee (CBMC) Assessment »Appendix E – Accreditation Body (AB) Office Assessment »Appendix F – Certification Body (CB) Office Assessment »Appendix G – Accreditation Body (AB)/Certification Body (CB) Witness Assessment »Appendix H – Auditor Authentication Body (AAB) / Training Provider Approval Body (TPAB) Office Assessment »Appendix I – Industry Controlled Other Party (ICOP) Declaration Form for Other Party Assessors Conducting 9104 Oversight »Appendix J – Oversight Nonconformity Record »Appendix K – Oversight Assessment Summary Report Governing Documents

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 22 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

San Diego, CA January 19, 2012 Registration Management Committee (RMC) AAQG public website: 23

San Diego, CA January 19, 2012 Registration Management Committee (RMC) RMC public website link: 24

San Diego, CA January 19, 2012 Registration Management Committee (RMC) AAQG RMC procedure link: 25

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Open RMC Procedures here: 26

San Diego, CA January 19, 2012 Registration Management Committee (RMC) AAQG RMC Procedure

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Forms Appendix I – Industry Controlled Other Party (ICOP) Declaration Form for Other Party Assessors Conducting 9104 Oversight Appendix E – Accreditation Body (AB) Office Assessment Appendix F – Certification Body (CB) Office Assessment Appendix G - AB/CB witness assessments accomplished utilizing the AB/CB Witness Assessment Check Sheet Appendix J -Oversight Nonconformity Record Appendix K – Oversight Assessment Summary Report 28

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Reports OP Assessor reports data as a participant in this process (AS9104/2, clause 4.5 a) –After the oversight assessment the OP Assessor submits their Appendix K – Oversight Assessment Summary Report to: »AB Assessor »RMC Surveillance Sub-team Lead 29

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Corrective Action Assessment team lead is responsible for ensuring acceptable corrective action taken as a result of joint oversight assessments The OP assessor may follow up on previous corrective action plans to verify effectiveness during Office oversight assessments. 30

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Concerns/Issues The assessment team leader is responsible for resolving conflicts of interest between affected parties. 31

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Help Chain 1.Oversight Assessment Team Lead 2.RMC Surveillance Sub-team Lead 3.Registration Management Committee Chair 32

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Travel Expenses IAQG/AAQG member companies are responsible for providing resources to support oversight activities. IAQG will currently pay for coach airfare and hotels (3-star or government per diem for the area) arranged through Milne Travel. Caution: IAQG does not reimburse airfare and hotel expenses, which have been placed on your credit card or paid for by your company. 33

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 34 Related RMC Metrics AB CB AAB/TPAB AB Audit Activity Metrics AAQG - Audit Results Certification Data Oversight of Auditor Oversight of Training Activity AAQG - Audit Results AB & OP Audit Results Performance Metrics Oasis Metrics Feedback Metrics

San Diego, CA January 19, 2012 Registration Management Committee (RMC) Future OP Assessor Training The RMC plans to conduct AS9104/1 transition “train the trainer” training for OP Assessors in conjunction with the RMC meeting in Phoenix, Arizona in March Registration information will be available on the AAQG RMC website in the future. 35

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 36

San Diego, CA January 19, 2012 Registration Management Committee (RMC) 37 ATK Propulsion Systems, Quality Management Systems Melvin 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 33 years. He earned B.S. and M.S. degrees from Utah State University. He has served in various leadership roles for 22 years and currently works in Quality Management 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 has taught total quality management, critical thinking, decision making, and quality management and productivity classes at the University of Phoenix – Utah Campus for 14 years. He lives in River Heights, Utah.