Company Confidential Registration Management Committee 1 Audit Outcomes & Appropriate Conclusions July 16, 2014 Bob Cruse ANAB, Aerospace Program Manager

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee Objectives Increase auditor awareness & understanding of Expected Outcomes of accredited certification. Provide further considerations in drawing audit conclusions and certification recommendations that are commensurate with audit outcomes. Discuss auditor authorities and industry expectations 2

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee ANAB Heads Up 61 & Heads Up 61 “Outputs Matter!” Heads Up 178 “Expected Outcomes”

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 4 Ref: Expected Outcomes FAQ

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 5 Expected Outcomes

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 6 Expected Outcomes

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 7 Impartiality ISO/IEC 17021:2011 Section 4 “Principles”

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 8 Impartiality ISO/IEC 17021:

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 9 Impartiality ISO/IEC 17021: This should result in relatively consistent conclusion decisions, commensurate to the the audit outcomes, regardless of the organization.

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee Responsibility 10 ISO/IEC 17021:

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee Team Leader Responsibility 11 ISO/IEC 17021:

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee Case in point… Surveillance Audit (Not Witnessed) 2 minor NCR’s 2014 Surveillance Audit (Witnessed/Same auditor) 2 Major/23 Minor NCR’s

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee Case in point… Surveillance Audit (Not Witnessed) 2 minor NCR’s 2013 Recertification (Witnessed/Different Auditor) 6 Major/15 Minor NCR’s

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee AS9101D Audit Report Team Leader Recommendation 14

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee AS9101E Audit Report Team Leader Recommendation 15

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee At the end of the day… CB Audit Teams/Audit Team Leaders –Are onsite and have the responsibility & authority to provide CB management with a certification recommendation that is commensurate with the audit outcome. –If the audit outcome represents a significant departure from “Expected Outcomes” of accredited certification & significant QMS nonconformances are raised, consideration should be given as to whether or not continued certification should be recommended. 16

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee At the end of the day… CB Certification Decision Makers –Base certification decisions on the recommendation made by the audit team leader –If the audit outcome represents a significant departure from “Expected Outcomes” of accredited certification & significant QMS nonconformances are raised, consideration should be given as to whether or not continued certification should be recommended. 17

RMC Long Beach, CA 16 – 17 July 2012 Registration Management Committee 18 Questions