1. The OP Assessor Process
Melvin L. Jeppson
ATK Propulsion Systems
January 16, 2014
Other Party (OP) Assessor Workshop
Palm Beach Gardens, Florida
January 16, 2014

2. Objectives Other Party (OP) Assessor
OP Assessor Qualifications & Training
Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme
Oversight Assessments
Oversight Assessment Process
Oversight Assessment Objectives
OP Assessor’s Role
IAQG/AAQG Member Company Responsibilities
Governing Documents
Forms
Reports
Corrective Action
Concerns/Issues
Help Chain
Travel Expenses

3. Other Party (OP) Assessor
An IAQG member representative who 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)

4. OP Assessor Qualifications & Training
OP Assessor qualification includes training on:
SAE Publications:
9104/1, Requirements for Aerospace Quality Management System Certification /Registration Programs
9104/2, Requirements for Aviation, Space, and Defense Quality Management System Certification Programs
9104/3, Requirements for Aerospace Auditor Competency and Training Courses”
AS9100, Quality Management Systems – Requirements for Aviation, Space and Defense Organizations
AS9110, Quality Management Systems – Requirements for Aviation Maintenance Programs
AS9120, Quality Management Systems – Requirements for Aviation, Space and Defense Distributors
AS9104, Requirements for Aerospace QMS Certification/Registrations Programs
9104/2, Requirements for Oversight of Aerospace QMS Certification/Registrations Programs
9104/3, Requirements for Aerospace Auditor Competency and Training Courses
AQMS standards (e.g., 9100, QMS – Aerospace -Requirements; 9110, QMS – Aerospace –Requirements for Maintenance Organizations; QMS – Aerospace –Requirements for Stocklist / Distributors)
ISO 17011, Conformity assessment – General requirements for accreditation bodies
ISO 17021, Conformity assessment – Requirements for bodies providing audit and certification of management systems
ISO 17024, Conformity assessment – Requirements for bodies operating certification of persons
ISO 19011, Guidelines for Quality and/or environmental management systems auditing

5. OP Assessor Qualifications & Training
OP Assessor qualification includes training on:
ISO Publications:
ISO/IEC 17011, Conformity assessment – General Requirements for accreditation bodies accrediting conformity assessment bodies
ISO/IEC 17021, Conformity assessment – Requirements for bodies providing audit and certification of management systems
ISO/IEC 17024, Conformity assessment – General requirements for bodies operating certification of persons
ISO 19011, Guidelines for auditing management systems
(AS9104/2, clause 5.1.4)
AS9104, Requirements for Aerospace QMS Certification/Registrations Programs
9104/2, Requirements for Oversight of Aerospace QMS Certification/Registrations Programs
9104/3, Requirements for Aerospace Auditor Competency and Training Courses
AQMS standards (e.g., 9100, QMS – Aerospace -Requirements; 9110, QMS – Aerospace –Requirements for Maintenance Organizations; QMS – Aerospace –Requirements for Stocklist / Distributors)
ISO 17011, Conformity assessment – General requirements for accreditation bodies
ISO 17021, Conformity assessment – Requirements for bodies providing audit and certification of management systems
ISO 17024, Conformity assessment – Requirements for bodies operating certification of persons
ISO 19011, Guidelines for Quality and/or environmental management systems auditing

6. OP Assessor Qualifications & Training
OP Assessor qualification includes training on:
IAF (International Accreditation Forum) Publications:
Applicable IAF Publications (referenced in AS9104/1, clause 2.3) (i.e.,
IAF MD 4:2008, IAF Mandatory Document for the Use of Computer Assisted Auditing Techniques (“CAAT”) for Accredited Certification of Management Systems
IAF MD 5:2009, IAF Mandatory Document for Duration of QMS and EMS Audits)
Other:
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)
AS9104, Requirements for Aerospace QMS Certification/Registrations Programs
9104/2, Requirements for Oversight of Aerospace QMS Certification/Registrations Programs
9104/3, Requirements for Aerospace Auditor Competency and Training Courses
AQMS standards (e.g., 9100, QMS – Aerospace -Requirements; 9110, QMS – Aerospace –Requirements for Maintenance Organizations; QMS – Aerospace –Requirements for Stocklist / Distributors)
ISO 17011, Conformity assessment – General requirements for accreditation bodies
ISO 17021, Conformity assessment – Requirements for bodies providing audit and certification of management systems
ISO 17024, Conformity assessment – Requirements for bodies operating certification of persons
ISO 19011, Guidelines for Quality and/or environmental management systems auditing

7. OP Assessor Qualifications & Training
OP Assessors shall, as a minimum, meet the education and training requirements of ISO and continually meet the following:
Conduct at least three AQMS audits or OP assessments for a minimum of nine days, within the last three years.
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, military, or space organization.
(AS9104/2, clause 5.1.5)

8. Industry Controlled Other Party (ICOP) 9100/9110/9120 Oversight Scheme
Lee, T. (Jan. 2009), “Industry Controlled Other Party Structure Overview”, RMC, Orlando, FL

9. Oversight Assessments
On-line Aerospace Supplier Information System (OASIS) Management Assessment
Sector Management Structure (SMS) Assessment
Certification Body Management Committee (CBMC) Assessment
Accreditation Body (AB) Office Assessments
Accreditation Body (AB) Witness Assessments
Certification Body (CB) Office Assessment
Certification Body (CB) Witness Assessment
Auditor Authentication Body (AAB) Office Assessment
Training Provider Approval Body (TPAB) Office Assessment

10. Oversight Assessment Process
What:
Office & Witness Oversight Assessments
(AB, AAB, CB, TPAB, etc.)
Who:
Supplier/OEM
Certification Body Auditor(s)
Accreditation Body Auditor(s)
Other Party Assessor (OEM representative)
Inputs:
AQMS Standards
Forms
Form A - OP Assessor ICOP Declaration
Form B – Confidentiality Agreement & Conflict of Interest Declaration
ITAR, Regulatory & Statutory Requirements
Customer Requirements/Feedback
Outputs:
APPENDIX A – FORMS (i.e.,
Form L, CB Office Assessment Check Sheet
Form M, CB Witness Assessment Check Sheet)
Improved quality, schedule, cost
Oversight Assessment
Measures:
RMC Oversight Assessment metrics
Form D – Oversight Nonconformity
How:
RMC Surveillance Sub-team OA schedule
OP Assessor Training
Office & Witness Audits

11. Oversight Assessment Objectives
Ensure team competence
Conformity to established requirements
Effectiveness of assessment/certification program
Conformity of the assessment team with AB/CB procedures and processes
(AS9104/2, clause 8.2.1)

12. OP Assessor’s Role
OP Assessor teams with Accreditation Bodies (ABs) to conduct joint team assessments in accordance with SMS oversight schedule.
NOTE: If you don’t participate in an assigned assessment you will need to conduct an independent oversight assessment. If this occurs, you will be the lead assessor and will be responsible for initiating all reports, reviewing corrective actions plans and performing follow up, if required.

13. 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 for ( Form A) to the SMS (RMC), prior to conducting as assessment.
OP Assessors are expected to declare any potential conflict of interest, prior to acceptance of an oversight assignment ( Form B).

14. OP Assessor’s Role
Participate from opening to closing meeting.

15. OP Assessor’s Role
Accept and complete assessment assignments from the assessment team leader.
Document assessment results, including all required forms.
Generate assessment reports
Elevate any complaints/issues to the SMS (RMC) or IAQG OPMT, as required.

16. OP Assessor’s Role
OP assessor shall not influence the AB or CB audit team while a witness audit is being conducted. The role when witnessing is observation only.
Provide feedback to the assessment 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).

17. OP Assessor’s Role

18. 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 for a minimum period of six years, (AAQG RMC Procedure 102 & AS9104/2, clause 12.2).
Report supplemental oversight results to the RMC.
Recommend potential (supplier/OEM) candidates for oversight assessment to AB for consideration.
May share resources to conduct supplier oversight.

19. Governing Documents
AS9104/2, “Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs”
AAQG RMC Procedure 102, “AAQG RMC AS Oversight Process”
Related standards:
AS9100 ISO 9000 IAF Publications:
AS9110 ISO IAF MD 4:2008
AS9120 ISO IAF MD 5:2009
AS9101 ISO/IEC 17011
AS9104/1 ISO/IEC 17021
AS9104/2 ISO/IEC 17024
AS9104/3

20. Governing Documents
The latest AQMS document revision status can be verified at the following link:
o?comtID=TEAG14

21. Governing Documents AS9104/2
Defines requirements for shared oversight process including:
Establishment of oversight committees at the international and global sectors
Use of joint team assessments
Use of qualified and approved IAQG member Other Party (OP) assessors
Common assessment tools
Reporting oversight results

22. Governing Documents AAQG RMC Procedure 102
Defines the AAQG RMC AS9104/2 oversight process
AAQG RMC procedures can be accessed on the RMC public website

23. AAQG public website:

24. RMC public website link:

25. AAQG RMC procedure link:

26. Open RMC Procedures here:

27. See RMC website for current procedures.
AAQG RMC Procedure 102
See RMC website for current procedures.

28. AS9104/2 Forms
Oversight assessment APPENDIX A – forms can be obtained at the following link:

29. AS9104/2 Forms –

30. AS9104/2 Forms

31. At the end of the oversight assessment discuss any findings and concerns with the AB assessor and submit applicable:
Form D, Oversight Nonconformity (discuss with AB)
Form J, Accreditation Body (AB) Office Assessment Check Sheet
Form K, Accreditation Body (AB) Witness Assessment Check Sheet
Form L, Certification Body (CB) Office Assessment Check Sheet or
Form M, Certification Body (CB) Witness Assessment Check Sheet to:
AB assessor (ASAP), if a joint assessment, and
RMC Surveillance Sub-team Lead
Reports

32. Corrective Action
The Assessment team lead is responsible for ensuring acceptable corrective action taken as a result of joint oversight assessments
Recommendation: Follow up on corrective action plans when performing office oversight assessments.

33. Concerns/Issues
The assessment team leader is responsible for resolving conflicts of interest between affected parties.

34. Help Chain Oversight Assessment Team Lead
RMC Surveillance Sub-team Lead
Registration Management Committee Chair
OPMT (Other Party Management Team) Chair

35. Travel Expenses
IAQG member companies are responsible for providing resources to support oversight activities.
IAQG currently pays for coach airfare and hotels (3-star or government per diem for the area) arranged through Milne Travel.
Caution: IAQG will not reimburse airfare and hotel expenses, which have been placed on your company credit card or paid for by your company.

37. ATK Propulsion Systems, Quality Management Systems
Melvin L. Jeppson has worked in quality assurance, engineering, and management on the Space Shuttle Solid Rocket Motor and Ares I First Stage program at ATK Propulsion Systems for 35 years. He earned B.S. and M.S. degrees from Utah State University. He served in various leadership roles for 23 years and currently works in Quality Systems. He represents ATK as a voting member on Americas Aerospace Quality Group (AAQG) Registration Management Committee (RMC), which helps develop quality standards used in the aerospace and defense industry, and provides oversight of AQMS accreditation and certification bodies and training providers. He taught total quality management, critical thinking, decision making, quality management and productivity classes at the University of Phoenix – Utah Campus for 15 years. He lives in River Heights, Utah.