Company Confidential Registration Management Committee 1 July 17, 2014 Bryan Blunt IAQG OASIS Administrator OASIS Tools for Continuous Improvement / Next-Gen Project Status

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 2 Agenda Review: –Selected process improvement applications »Current AAQG performance results –Recent certificate modification opportunities –OASIS Next-Generation project status

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 3 CB Applications – Process Improvement Selected Applications Manage Feedback Report – Aggregate ARS Report – Auditor Capacity Report – Certificate Issue Dates Report – Days to Upload Report – Supplier Admins

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 4 CB Applications – Process Improvement Manage Feedback The feedback download shows the history of requests sent from various stakeholders to respective CBs. Status Update

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 5 CB Applications – Process Improvement Report – Aggregate ARS Shows the average number of nonconformities reported by AQMS clause and audit type: Initial Recertification Surveillance Special All Allows comparison by: AEA’s (AEA-led teams) at your CB Others within your Sector Others Globally

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 6 82% Report – Aggregate ARS: Status Update

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 7 Report – Auditor Capacity Provides an indication of auditor utilization by your CB for the timeframe selected Calculates AEA and AA days based on the number of auditors and total audit days entered into OASIS CB Applications – Process Improvement

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 8 Report – Auditor Capacity: Status Update

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 9 Report – Certificate Issue Dates A positive (+) number gap indicates that the certificate was re-issued after its previous expiration date. Shows certificate issue/re-issue dates, and the number of days (gap) between a cert’s previous expiration date and the date it was re-issued. CB Applications – Process Improvement

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 10 Report – Certificate Issue Dates: Status Update

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 11 Report – Days to Upload CB Applications – Process Improvement Shows the number of days between audit completion and audit data upload into OASIS. Indicates whether time taken to upload audit data complies with applicable standards.

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 12 Report – Days to Upload: Status Update

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 13 Report – Supplier Admins CB Applications – Process Improvement For suppliers having an assessment entered each respective CB: Shows active OASIS Administrators Shows cases in which no active OASIS Administrator is present

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 14 Report – Supplier Admins: Status Update

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 15 OASIS Cert Mod Results May 2014 Review: Top reasons for rejected CB certificate modifications. Incorrect identification of the assessed standard Withdrawing a certificate when the client provides notification of transfer to another CB Adding new sites to an existing certificate (usually in conjunction with a certificate structure change) AAQG Data: May, 2014 timeframe.

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 16 OASIS Cert Mod Rejections Incorrect identification of the assessed standard –Requirement: »IAQG OPMT ICOP Resolution 110: “When referencing an AQMS standard on a certification or accreditation document, the AQMS standard referenced shall be written in full i.e. the AQMS standard(s) including issue letter or revision date, and shall not be abbreviated or changed i.e. AS9100C or EN 9100:2009 or JISQ 9100:2009.” –Example: »Correct: AS9100C »Incorrect: AS9100:2009 Rev. C AAQG Data: May, 2014 timeframe.

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 17 OASIS Cert Mod Rejections Withdrawing a certificate when the client provides notification of transfer to another CB –Requirement: »IAQG OPMT ICOP Resolution 119: “The issuing (current) CB shall cooperate with the accepting (new) CB to facilitate the transfer of a valid accredited AQMS certification… …Where an AQMS certificate subject to transfer has been previously suspended by the issuing (current) CB, the suspension of the existing certificate shall prevent the transfer from occurring until the suspension is lifted by the issuing (current) CB. The issuing (current) CB shall not use notification of a transfer of a valid AQMS certification as justification for suspension or withdrawal of the existing certificate before the transfer process to the accepting (new) CB is completed. If the issuing (current) CB takes punitive action without cause, the accepting CB and/or the transferring client can lodge a complaint by raising an OASIS Feedback Request to the appropriate AB.”

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 18 OASIS Cert Mod Rejections Adding new sites to an existing certificate (usually in conjunction with a certificate structure change) –Requirement: »IAF MD1:2007, Clause 0.2: “Normally initial audits for certification and subsequent surveillance and recertification audits should take place at every site of the organization that is to be covered by the certification.” »IAF MD1:2007, Clause 4.4.7: “Additional sites can be added to an existing certification as the result of surveillance or recertification activities or enhancement of scope.“ »9104/1, Clause 6.11: “The scope of certification shall not include processes that were not audited to sufficient depth to verify client (organization) conformance.” –Example: »Correct: OASIS entry using Certificate/Assessment Add or Transfer »Incorrect: OASIS entry using Certificate/Assessment Modify

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 19 OASIS Cert Mod Rejections The Bottom Line: –Reasons to use the OASIS Certificate Modify function: »Typing errors »Change of scope (when no new sites were added) »Change of organization name »Change of organization address (postal change only – not physical location change) »Change of status (e.g. suspended, certified, etc.) –Ref. CB Training Material, Part 2 - Applications Section for additional information. »Available in the OASIS Help/Guidance section

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 20 OASIS Application and Cert Mod Review

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee OASIS Next-Generation Project 21

RMC Workshop Long Beach, CA 16 – 17 July 2014 Registration Management Committee 22 OASIS Next-Generation Status Review