1. Registration Management Committee Body of Knowledge (BoK) for Other Party (OP) Assessors David Day GE Aviation

2. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Body of Knowledge Purpose of the training module: –Training on the criteria and processes that OP assessors will be validating when performing oversight on behalf of the AAQG/RMC Objective: –Provide OP assessors with knowledge and tools to perform effective oversight of Accreditation Bodies (ABs), Certification Bodies (CBs), Auditor Authentication Bodies (AABs) and Training Provider Approval Bodies (TPABs). 2

3. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee AS9104-1 (& AS9014) certification AQMS Standards AS9100/9110/9120 AS9104-2 oversight AS9104-3 auditors and training ISO 19011 auditing ISO 17011 accreditation ISO 17021 certification ISO 17024 authentication/approval IAF Mandatory Documents Documents comprising BoK 3

4. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Additional relevant documents Official ISO 9001 Interpretations ISO 9001 Auditing Practices Group papers Accreditation Auditing Practices Group papers AB specific documents IAQG Supplemental Rules Doc – SR002 IAQG Resolutions log 4

5. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Where to obtain the documents All AS documents and ISO standards are copyrighted AS documents can be purchased from www.sae.org ISO Standards can be purchased from several places, such as the ASQ website, ANSI webstore or www.iso.ch The IAF Mandatory documents can be downloaded for free from www.iaf.nu OP Assessors MUST bring the relevant documents to the assessments 5

6. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Links to the available documents and data IAF Mandatory documents IAQG Resolutions log ANAB Accreditation Manual, MA 6000 ISO Auditing Practices Group Accreditation Auditing Practices Group Supplemental Rules Document SR002 Certification Structure Guidance Materials OASIS 6

7. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Remember It is the OEM’s responsibility to gain access to these documents and provide to the assessor; standards are not provided by the AB or CB. OP Assessors must read and familiarize themselves with the applicable parts of the Standards prior to the oversight assessments. 7

8. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Applicability AS9104-1AS9014AS9104-2AS9104-3 AQMS Stds ISO 17021 ISO 17011 ISO 17024 ISO 19011 IAF Docs AB XXXXXXX CB XXXXXXXX AAB XXXXX TPAB XXXXX 8

9. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Office Assessment Body of Knowledge 9

10. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Office Assessment Gather objective evidence that the CB is competent and conforms to the relevant standard(s) and other requirements for accreditation. ISO 17011 (7.7.2) OP Assessor to Focus on AS specific elements as they relate to: –Impartiality - ISO 17021 (5.2) –Management - ISO 17021 (5, 6, 7) –Inclusion of AS in internal audits & management review- ISO 17021, AS9104-1 –Review AS complaints - ISO 17021, AS9104 (OASIS) –Effective closure of previously issued aerospace related findings –File Review 10

11. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Main activity by OP Assessor – File Review –Registration, surveillance, re-certification process - ISO 17021 (9) –Competency (qualifications) of audit team - AS9104-3 (7, 8.1), ISO 17021 (7) –Citation of findings (by CB) – AS9104-1 (8.3), ISO 17021 (9) –Appropriate resolution of findings – AS9104-1 (8.3), ISO 17021 (9) –Reporting – AS9104 (8.4), ISO 17021 (9) –Certification decisions (including competency of reviewers) – AS9104-1 (8.6), ISO 17021 (7, 9) –OASIS – AS9104-1 –Proper site structure determination (AS9104-1) CB Office Assessment 11

12. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Office Assessment A critical aspect is the audit time –Correct audit duration – AS9104-1: tables 2/3 –Multiple Site – AS9104-1 Table 3 –Competency of staff – AS9104-1, ISO 17021 (7) –ASRP / CAAT Process(es) approved by AB if applicable (IAF MD 3/MD 4) »Max reduction of 30% from AS9104-1 table 2 values OPMT assessors are no longer required to fully understand IAF Mandatory Document 5 and the auditor-days estimation process. –Supplemental Rules SR 001, Section 7e, k –AS9104-1 Tables 2 and 3 Note: The Audit Calculator Tool automates the calculationAudit Calculator Tool 12

13. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Audit Time Determination process: AS91XX:2009 For Audits performed in 2012 Surveillance Transition –50% of initial audit day from IAF MD-5 –Add 100% of initial audit day from AS9104 table 2 Recertification Transition –80% of initial audit day from IAF MD-5 –Add 100% of initial audit days from AS9104 table 2. –CB is required to have documented justification for any time (plus or minus) the table. 13

14. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Additional time per AS9104 14

15. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Audit Time Determination process: AS91XX:2009 (con’t) CB to determine any additional audit days required to assess to AS91XX:2009 CB must have documented justification for audit days –Justification for increasing / decreasing audit days »Complexity of product »Maturity of QMS »Complexity of business, etc. –AS9104-1 Tables 2/3 used in 2013 and forward 15

16. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee “Upgrade audits” 8.2.5 Upgrading from ISO 9001 to an Aerospace Quality Management System Standard When auditing organizations with an existing ISO 9001 certificate, that are upgrading to an AQMS standard, a full initial audit (Stage 1 and Stage 2) of all requirements for the applicable AQMS standard (i.e., ISO 9001 and aviation, space, and defense industry additional requirements) applying the 9101 standard is required. Audit duration shall comply with Table 2 and be calculated using the “Initial” audit column. 16

17. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Another critical issue – Multiple Site Changed with new AS9104-1 –Refer to table 3 in AS9104-1 for audit frequency –Refer to appendix B (Matrix) for certification structure requirements –Complex site must be approved by Certification Structure Oversight Committee (CSOC) 17

18. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Witness Assessment Body of Knowledge 18

19. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Witness Assessment Silently gather objective evidence that the CB is competent and their process conforms to the relevant standard(s) and other requirements for accreditation. ISO 17011 (7.7.2) 19

20. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Witness Assessment Focus on: Opening and closing meeting (and team caucuses) ISO 17021 (9), ISO 19011 (6.4) Audit days and audit efficiency, effectiveness AS9104-1 (7.2), ISO 19011 (6.5), CB’s audit team’s competency to perform audit »Including knowledge of standards, industry, regulatory requirements and interpretations »Including CB’s process for assigning audit team AS9104-1 (7.2), AS9104- 3, ISO 17021 (7) Certificate accuracy ISO 17021 (8) 20

21. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee CB Witness Assessment KEY Focus: Audit depth and trails to the AQMS Standard (e.g. AS9100) AQMS (e.g. AS9100) AS9104-1 (8), ISO 19011 (6.5), OP Assessor must complete all applicable AS9104-2 forms if performed independently. These forms will then be stored on the RMC private web site. 21

22. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee For AB, AAB & TPAB Oversight see Presentation Attached The attached file is not intended to be comprehensive, but an outline. The OP Assessor is responsible to prepare fully. 22

23. OP Assessor Workshop, Palm Beach Gardens FL, 16 January 2014 Registration Management Committee Burning questions 23