Company Confidential Registration Management Committee (RMC) OP Assessor Process: Office and Witness Oversight San Diego, CA January 17, 2013 Melvin L. Jeppson ATK Propulsion Systems 1 Other Party (OP) Assessor Workshop San Diego, CA January 17, 2013

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Objectives Terms & Acronyms Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme Governing Documents & Forms Other Party (OP) Assessor OP Assessor Qualifications & Training Oversight Assessments Oversight Assessment Process Oversight Assessment Objectives OP Assessor’s Role IAQG/AAQG Member Company Responsibilities Reports Corrective Action Concerns/Issues Help Chain Travel Expenses 2

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Terms & Acronyms AA – Aerospace Auditor AAB - Auditor Authentication Body AAQG - Americas Aerospace Quality Group AATT – Aerospace Auditor Transition Training AB - Accreditation Body APAQG – Asia-Pacific Aerospace Quality Group AEA - Aerospace Experienced Auditor AIEA - Aerospace Industry Experienced Auditor AQMS – Aerospace Quality Management Systems standard (AS9100, AS9110, AS9120) AS – Aerospace Standard 3

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Terms & Acronyms (cont.) CB - Certification Body CBMC – Certification Body Management Committee COI - Conflict of Interest EAQG – European Aerospace Quality Group IAF – International Accreditation Forum IAQG - International Aerospace Quality Group ICOP - Industry Controlled Other Party ISO – International Organization for Standardization OA – Oversight Assessment(s) OASIS – On-line Aerospace Supplier Information System 4

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Terms & Acronyms (cont.) OP - Other Party OPMT - Other Party Management Team RMC - Registration Management Committee SMS - Sector Management Structure (e.g. European, Americas, Asia Pacific) Supplemental Rule – Requirements published by the IAQG OPMT to provide clarification/direction for AQMS stakeholders TP - Training Provider TPAB - Training Provider Approval Body 5

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme 6

OP Assessor Workshop, San Diego, CA - 17 January 2013 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

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) ICOP Certified Organization Requirement ICOP certified organizations shall comply with the duties, responsibilities, and requirements of the ICOP scheme as defined in the 9104-series standards AQMS processes. (AS9104/1, clause 18.1) Organizations shall agree that AB, OP assessors, customer representatives, and regulatory authorities may accompany a CB audit for the purpose of oversight witness or the confirmation of the effectiveness of the CB audit process. (AS9104/1, clause 18.2) 8

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents AS9104/1, Requirements for Aviation, Space, and Defense Quality Management System Certification Programs AS9104/2, Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs AS9104/3, Requirements for Aerospace Auditor Competency and Training Courses 9

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents (cont.) Other AQM standards AS9100, Quality Management Systems – Requirements for Aviation, Space and Defense Organizations AS9110, Quality Management Systems – Requirements for Aviation Maintenance Organizations AS9120, Quality Management Systems – Requirements for Aviation, Space and Defense Distributors 10

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents (cont.) Related ISO standards ISO 9001, Quality Management Systems - requirements ISO 17011, Conformity assessment – general requirements for accreditation bodies accrediting conformity assessment bodies ISO 17021, Conformity assessment – requirements for bodies providing audit and certification of management systems ISO 17024, Conformity assessment – general requirements for bodies operating certification of persons ISO 19011, Guidelines for quality and/or environmental management systems auditing 11

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents (cont.) IAF Mandatory Documents: IAF MD1, Certification of Multiple Sites IAF-MD2, Transfer of Certifications IAF-MD3, Advanced Surveillance & Recertification Procedures (ASRP) IAF-MD4, Computer Assisted Auditing Techniques (CAAT) IAF-MD5, Duration of QMS & EMS Audits 12

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents (cont.) AAQG RMC Procedure 102, “AAQG RMC AS Oversight Process” AAQG RMC Procedure 102 IAQG OPMT Supplemental Rules 001 and 002. Note: Supplemental Rule 001 Transition AS9100 B to C will be deleted the end of January

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents (cont.) 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 14

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Governing Documents (cont.) AAQG RMC Procedure 102 –Defines the AAQG RMC AS9104/2 oversight process AAQG RMC procedures can be accessed on the RMC public website 15

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) AAQG public website: 16

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) RMC public website link: 17

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) AAQG RMC procedure link: 18

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Open RMC Procedures here: 19

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) AAQG RMC Procedure

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) AS9104/2, New Forms Form A – Industry Controlled Other Party (ICOP) Declaration Form for Other Party Assessors Conducting 9104 Oversight Form B – Conflict of Interest Form D – Oversight Nonconformity Form L – Certification Body Office Assessment Form M – CB Witness Assessment Checksheet Form N – 9101 Audit Report Review Assessment Checksheet 21

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Other Party (OP) Assessor An IAQG member representative that 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) 22

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor Qualifications & Training Assessor qualification includes comprehensive training on: 9104/1 9104/2 9104/3 AQMS standards (e.g., 9100, 9110, 9120) ISO ISO ISO ISO IAF Mandatory Documents Conflict of interest and confidentiality requirements Complaint resolution process Any applicable global sector SMS documents that apply (e.g., AS9014) (AS9104/2, clause 5.1.4) 23

OP Assessor Workshop, San Diego, CA - 17 January 2013 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. NOTE: Joint team and oversight assessments may be considered for meeting this audit criteria –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, defense, military, or space organization. (AS9104/2, clause 5.1.5) 24

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Oversight Assessments On-line Aerospace Supplier Information System (OASIS) Management Assessments Sector Management Structure (SMS) Assessments Certification Body Management Committee (CBMC) Assessments Accreditation Body (AB) Office Assessments Certification Body (CB) Office Assessments Accreditation Body (AB) /Certification Body (CB) Witness Assessments Auditor Authentication Body (AAB) / Training Provider Approval Body (TPAB) Office Assessments 25

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Oversight Assessments Office Assessment – –An on-site evaluation of an AB, AAB, or TPAB management office or CB lead office to the applicable AQMS standard requirements using the evaluation tools and methods contained in the series standards (AS9104/1, clause 3.20). Witness Assessment – –An evaluation of an assessment or audit team’s (e.e., AB, CB) conduct during an on-site assessment or audit to applicable criteria (i.e., requirements defined in AQMS standards and an assessment or audit team’s procedures), using the evaluation tools and methods defined in 9104/2 (AS9104/1, clause 3.28). 26

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) 27 What: Office & Witness Oversight Assessments (AB, CB, AAB, TPAB) What: Office & Witness Oversight Assessments (AB, CB, AAB, TPAB) Who: Supplier/OEM Certification Body Auditor(s) Accreditation Body Auditor(s) Other Party Assessor (OEM representative) Who: Supplier/OEM Certification Body Auditor(s) Accreditation Body Auditor(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 Form D – Oversight Nonconformity Record(s) Measures: RMC Oversight Assessment metrics Form D – Oversight Nonconformity Record(s) Inputs: AQMS Standards AS9104 AS9104/2 Appendix B – K Form A – ICOP Declaration Form for OP Assessors (formerly Appendix I) ITAR, Regulatory & Statutory Requirements Customer Require./Feedback Inputs: AQMS Standards AS9104 AS9104/2 Appendix B – K Form A – ICOP Declaration Form for OP Assessors (formerly Appendix I) ITAR, Regulatory & Statutory Requirements Customer Require./Feedback Outputs: Form L – Certification Body Office Assessment Form M – CB Witness Assessment Checksheet Form N – 9101 Audit Report Review Assessment Checksheet Form D – Oversight Nonconformity Record(s) Outputs: Form L – Certification Body Office Assessment Form M – CB Witness Assessment Checksheet Form N – 9101 Audit Report Review Assessment Checksheet Form D – Oversight Nonconformity Record(s) Oversight Assessment Process

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Oversight Assessment Objectives Assess team competence Conformity to established requirements Effectiveness of assessment/certification program Conformity of the assessment team with the AB/CB procedures and processes (AS9104/2, clause 8.2.1) 28

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role OP Assessor teams with Accreditation Bodies (ABs) to conduct joint team assessments in accordance with SMS oversight schedule. 29

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role NOTE: When an AAQG member company is unable to support or find a replacement to support a scheduled RMC oversight activity they are responsible for finding a replacement (another AAQG member OP assessor) or assign one of their OP assessors to conduct an independent assessment without AB participation. (AAQG RMC Procedure 102) If this occurs, the OP assessor will serve as the lead assessor and will be responsible for initiating all reports, reviewing corrective actions plans and performing follow up, when required. 30

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role OP Assessors are responsible to ensure they have been approved by their respective IAQG member company and submit a completed declaration form (Form A, was: Appendix I) to the SMS (RMC), prior to conducting an assessment. OP Assessors are expected to declare any potential conflict of interest prior to acceptance of an oversight assessment. (AS9104/2, clause 9.3) 31

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role Participate from opening to closing meeting. 32

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role Cooperate with assessment team to meet assessment objectives Accept and complete assessment assignments from the Oversight Assessment team leader. Document assessment results, including all required appendices. Generate required assessment reports Elevate any complaints/issues to the SMS (RMC) or IAQG OPMT, as required. (AS9104/2, clause 9.3.4) 33

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role OP assessor shall not influence the CB audit team while performing an oversight assessment witness audit. The role when witnessing is observation only. Provide feedback to the CB audit 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 client.) 34

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) OP Assessor’s Role 35

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) IAQG/AAQG Member Company Responsibilities 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 36

OP Assessor Workshop, San Diego, CA - 17 January 2013 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 submit your Appendix K – Oversight Assessment Summary Report to: »AB assessor »RMC Surveillance Sub-team Lead 37

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Corrective Action Assessment team lead is responsible for ensuring acceptable corrective action is taken, when required as a result of joint oversight assessments Recommendation: Follow up on corrective action plans when performing office oversight assessments. 38

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Concerns/Issues The assessment team leader is responsible for resolving conflicts of interest between affected parties. 39

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Help Chain Oversight Assessment Team Lead RMC Surveillance Sub-team Lead Registration Management Committee Chair Sector Document Representative (SDR)Sector Document Representative IAQG Document Representative (IDR) 40

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) Travel Expenses IAQG 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 company credit card or paid for by your company. 41

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) 42

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee (RMC) 43 ATK Propulsion Systems, Quality Management Systems Melvin L. Jeppson has worked in quality assurance, engineering, and management on the Space Shuttle Solid Rocket Motor, Ares I First Stage and Space Launch Systems program at ATK Propulsion Systems for 34 years. He earned B.S. and M.S. degrees from Utah State University, 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 AQMS standards used in the aviation, space 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 15 years. He lives in River Heights, Utah.