1. IAQG OPMT OP Assessor Training Oversight Assessment of Training Provider Approval Bodies February 2015 Module 14

2. IAQG OPMT OP Assessor Training Module Summary In this module we will review: ‒ All about Training Provider Approval Bodies (TPAB) ‒ Requirements for TPAB’s » 9104-001 as applicable to TPAB’s (Section11) » 9104-003 as applicable to Training Providers (TP’s) (Section 6) ‒ How to conduct TPAB Oversight » Office Assessment including 9104-002 Form H Page 2

3. IAQG OPMT OP Assessor Training Setting the Scene: To achieve the AQMS training requirements for authentication, an AQMS Auditor requires: – Approved Training Courses » Foundation, Standard and Industry Specific – 9104-003 Annex A – Approved Training Provider - 9104-003 Section 6 – Training Provider Approval Body » Interestingly, not described in 9104-003 » Described in 9104-001 section 11 Page 3

4. IAQG OPMT OP Assessor Training Training Provider Approval Bodies: Training Provider Approval Bodies (TPABs) - can be part of the SMS or CBMC, or - subcontracted to an independent organisation In either case TPABs are subject to oversight annually Oversight of TPABs is described in 9104-002 clause 7.9 Oversight of the TPAB is to be conducted independently and objectively using OP Assessors that are not part of the process Page 4

5. IAQG OPMT OP Assessor Training 9104 Series Requirements for TPAB’s We will examine the following requirements in 9104-001: – Section 11 - “Requirements for Training Provider Approval Bodies” We will also review some requirements in 9104-003: – These do not apply directly to TPAB’s, but TPAB approval activity » i.e. Requirements for Training Providers and training courses – Section 6 – Requirements for training courses – Annex A - Detailed requirements for training courses Each SMS or CBMC has it’s own procedures to control the process of approving Training Providers and Training Courses Note: 9104-002Form H questions will be referenced (Hxx) Page 5

6. IAQG OPMT OP Assessor Training Requirements for TPABs: 9104-001 clause 3.26 and 9104-003 clause 3.15 both define a TPAB as: – A body recognized by the SMS that has the primary responsibility to conduct the review and approval of training course content and training provider administration 9104-001 section 11 contains the requirements for a TPAB – You will not find them in 9104-003 or 9104-002 Page 6

7. IAQG OPMT OP Assessor Training Section 11: Training Provider Approval Bodies: TPAB is responsible for the approval of Training Providers (TP) and Training Courses – Includes granting, maintaining, suspending, extending and withdrawing (H16) Industry Specific Courses require sector concurrence (H2) TPAB agrees to periodic oversight and access to records (H3) The TPAB has to have a documented management system for approvals but not to any specific standards and includes: (H1) – TPAB to work a process for approval of each TP or training course application against 9104-003 requirements (H7) (H10) – Requirements for independence of approval decisions (i.e. no conflicts of interest) (H19) – Notification of decisions to TP (H17) Page 7 9104-001

8. IAQG OPMT OP Assessor Training Section 11: Training Provider Approval Bodies: TPAB documented management system includes (continued): – Complaint and appeal processes (H22-23) – A person with aviation, space or defence knowledge to industry specific training course evaluations (H18) (H20) – Prevention of re-application for 12 months after withdrawal (H9) – Upload of data to the OASIS database after a decision (H21) Page 8 9104-001

9. IAQG OPMT OP Assessor Training Training Providers and Training Courses: 9104-002 Form H references evidence that TPAB are required to examine during approval activity Lets look at those 9104-003 requirements: Page 9

10. IAQG OPMT OP Assessor Training Section 6: Approved Training Providers shall: Have a management system that meets requirements of section 6 (e.g. ISO 9001) Have procedures to meet 6.15 that include design, development, presentation, etc. Maintain records in accordance with 6.16 Conduct Management Reviews (6.17) Have a procedure for complaints and appeals (6.18) Cannot subcontract or sub-license courses (6.20) Control changes and have a process for variations (if needed) with the TPAB (H13) (H15) Page 10 9104-003

11. IAQG OPMT OP Assessor Training Section 6: Approved Training Courses shall: Meet the requirements of each course defined in Annex A – A1 - AQMS Foundation Course (9100, 9110 and 9120) of 16 + 1 hours duration – A2 – AQMS Standard Auditor Course (9100, 9110 and 9120) of 40 + 2 hours duration – A3 – 9100 Industry Specific Course of 26 + 1 hours duration – A4 – 9110 Industry Specific Course for repair and maintenance of 8 + 1 hours duration – A5 – 9120 Foundation Course Self study + examination No other courses can be approved by a TPAB Page 11 9104-003

12. IAQG OPMT OP Assessor Training Approved Training Courses Update: Some of the training Courses in Annex A have been updated: – A1 - AQMS Foundation Course (9100, 9110 and 9120) – A2 – AQMS Standard Auditor Course (9100, 9110 and 9120) Replaced by training sanctioned by the IAQG OPMT – Aerospace Auditor Transition training (AATT), – AATT (9100, 9110 and 9120) replace the A1 Foundation Courses – Standard Auditor Course including AATT replace the A2 courses – Implemented by IAQG OPMT Resolution All other courses remain as documented in 9104-003 Page 12 Warning!

13. IAQG OPMT OP Assessor Training Section 6: Approved Training Courses shall: Be organised and run according to section 6 that covers class size, facilities, evaluation of attendees, examination, pass/fail decisions, electronic training, etc. Meet the requirements of 6.4 including (for each course delivered) at least one instructor: – shall be certified as an audit team leader (or demonstrable equivalent audit competence) – shall have > 4 years aerospace industry work experience – shall have current auditing experience – Be subject to performance management reviews Page 13 9104-003 TP Instructors shall:

14. IAQG OPMT OP Assessor Training TPAB Assessment: OP Assessor Requires: – 9104-002 Forms » Form D – Oversight Nonconformity Record » Form H – TPAB Assessment Check Sheet – Standards and Reference Documents » 9104 series (9104-001, 9104-002, 9104-003) » Any sector specific procedures » IAQG Supplemental Rules (if applicable) » IAQG Resolutions Log » TPAB procedures – Audit Plan – Copy of previous oversight reports Page 14

15. IAQG OPMT OP Assessor Training TPAB Assessment: Conduct the assessment – Gather objective evidence that the TPAB has implemented 9104 series requirements and is working effectively – Follow your plan – Use checklist for guidance Focus on TPAB implementation and activity: – Ensure conformance with 9104 series requirements – Find and follow the TPAB processes – Review of previous oversight assessment reports including action taken Page 15

16. IAQG OPMT OP Assessor Training 9104-002 Form H Check Sheet: Review the check sheet now: Questions on content? Page 16

17. IAQG OPMT OP Assessor Training Assessing Training Provider Approval Files: Follow the approval process – What procedures and processes does the TPAB use? – How does a TP apply? – How does the TPAB evaluate? » TP Administrative requirements? » Courses including Industry Specific Course? ▪ Evidence of SMS Approval » How the TP ensures the instructors and arrangements for each course run meet requirements? – Right of access to SMS, AB, IAF, regulatory and governing bodies – How are negative findings raised and resolved? – How is decision-making undertaken? – Ensure correct use and interpretation foundation and standard courses using AATT Page 17

18. IAQG OPMT OP Assessor Training Other items to assess: TP applications against TP requirements TP documented procedures for effective administration of AQMS training courses TP Training Course approval decision TP change of address, significant changes in organisation structure, provisions of structure How are TP requested ‘variations’ processed? How are changes to approved courses evaluated? Structure and arrangements with SMS/CBMC Procedures in compliance with requirements Appeals and Complaints Suspensions or Withdrawals Page 18

19. IAQG OPMT OP Assessor Training Other items to assess: Handling of confidential information Activities and records in compliance with procedures Performance evaluation of TP instructors by the TP Independence of evaluators and decision-makers OASIS record of approved TPs and courses, suspensions, withdrawals Competence of those involved in the process? Conflicts of interest? Person with sufficient ASD knowledge Page 19

20. IAQG OPMT OP Assessor Training After the TPAB Assessment: Provide report to the TPAB and SMS or CBMC Ensure the TPAB and SMS or CBMC have records of the verification and closure of any Form D Nonconformity Records Page 20

21. IAQG OPMT OP Assessor Training Questions? Page 21