1. IAQG OPMT OP Assessor Training SMS, CBMC and OASIS Oversight Assessment February 2015 Module 16

2. IAQG OPMT OP Assessor Training Module Summary In this module we will discover: ‒ How the different sectors of the IAQG OPMT are organized ‒ Requirements applicable to the oversight of: » A Sector Management Structure (SMS) » A Certification Body management Committee (CBMC) ‒ How to conduct SMS and CBMC Oversight » Assessment including 9104-002 Form E for SMS » Assessment including 9104-002 Form F for CBMC’s (where applicable) ‒ How to conduct oversight of the OASIS database » Assessment including 9104-002 Form C Page 2

3. IAQG OPMT OP Assessor Training SMS and CBMC Oversight Assessment Page 3 The Sector Management Structure (SMS) requires oversight assessment once every two years Certification Body Management Committees (CBMC), where they are utilized, require oversight assessment every year – Remember the CBMC is an extension of the SMS – CBMC’s perform the same functions as the SMS on a national level Where does the requirement reside? – 9104-002 section 7.7 The objective of oversight is to assess – Conformity to established requirements – Effectiveness of the SMS or CBMC implementation of the ICOP scheme In either case the oversight is a form of office assessment

4. IAQG OPMT OP Assessor Training Page 4 Sector Management Structure Other Party Management Team IAQG OPMT Committee IAQG General Assembly EAQG OPMT (Europe) JRMC (Asia / Pacific) RMC (Americas) Acronyms: RMC - Registration Management Committee OPMT - Other Party Management Team JRMC - Japan Registration Management Committee AB - Accreditation Bodies CB - Certification Bodes Sector Management Structures Voting Members; ABs; CBs; and Industry Representatives Voting Members; ABs; CBs; and Industry Representatives Voting Members; ABs; CBs; and Industry Representatives

5. IAQG OPMT OP Assessor Training Linking IAQG OPMT, SMS’s and CBMCs : Page 5 IAQG OPMT European SMSAmericas SMSAsia/Pacific SMS APAQG - RMC (OPMT)AAQG - RMC Oversight/Surveillance Team Auditor Authentication & Training Review Team EAQG - OPMT Oversight/Surveillance Team Auditor Authentication & Training Review Team Documentation RMCs (CBMCs) Oversight/Surveillance Teams Auditor Review Team Oversight/Surveillance Team Auditor Authentication & Training Review Team Documentation CBMCs per country Oversight/Surveillance Teams Auditor Review Team IAQG General Assembly

6. IAQG OPMT OP Assessor Training Structure of CBMCs (where utilized) : Page 6 CBMC Auditor Authentication Board (AAB) Training Provider Approval Body (TPAB) Oversight WG NAIA (and NAIA Quality Committee) National Aviation Industry Association (NAIA) Members OP Assessors Accreditation Body Certification Bodies Training Providers Internal or subcontract? Extent of Joint Assessment activity? SMS

7. IAQG OPMT OP Assessor Training Section 4: Requirements of the SMS The Sector Management Structure (SMS) can include Certification Body Management Committees (CBMCs) This section defines the authority for the SMS (CBMC) for: – Defining Operating Procedures including a process for Resolutions – Oversight of all recognized and approved bodies per 9104-002 – Approving ABs for ICOP participation – Reviewing and recognising the accreditation of CBs – Review and approval of AABs, TPABs and CBMCs (where utilised) – Deployment data reporting to IAQG OPMT and OASIS – Approval, Suspension & Withdrawal of participating entities – Recognition of entities approved or recognised in other sectors Page 7 9104-001

8. IAQG OPMT OP Assessor Training Section 15: Requirements of the SMS: Three SMS’s make up the IAQG OPMT Each SMS can be structured according to the needs of the sector – Needs to include the participation of all key stakeholders including: » IAQG members, regulatory authorities » AB, AAB, TPAB, CB, TP and CBMC’s (where utilized) – Voting rights: Only IAQG members or IAQG sector member companies SMS Authority: – May suspend a national scheme i.e. CBMC or AB » If occurs, 90 days for corrective action or withdrawal of AB » Suspension communicated to other SMS through IAQG OPMT – Appoint three representatives and three alternates to act as voting members at the IAQG OPMT Page 8 9104-001

9. IAQG OPMT OP Assessor Training Planning SMS or CBMC Oversight: Lead OP Assessor needs to determine the constitution of the SMS or CBMC and what it does or does not do The answer to the question will determine: - Which check sheets are required to be used - What standards you will need Find out the size of the operations: - How many CBMC’s? - How many AB’s? - How many CBs? - Extent of joint or separate oversight assessment Page 9

10. IAQG OPMT OP Assessor Training Planning the Oversight As part of your planning there some extra items to consider: - Language – can you read the procedures and records you will be assessing? Are interpreters needed? - Duration - You will probably need at least 1.5 – 2.0 days to assess most SMS’s or CBMCs - Audit Plan – raise an appropriate and achievable plan - When assessing SMS’s the IAQG OPMT has a procedure for the organisation and conduct of the oversight: - IAQG OPMT Procedure 202 contains details on: - Assignment including team constitution - Planning - Conduct and reporting - Nonconformities and their resolution Page 10

11. IAQG OPMT OP Assessor Training SMS Assessment: OP Assessor Requires: - 9104-002 Forms » Form D – Oversight Nonconformity Record » Form E - SMS Assessment Check Sheet » Form F – CMC Assessment Check Sheet (possibly) » Self completed Form E and/or Form F from auditee - Standards and Reference Documents: » 9104 series (9104-001, 9104-002, 9104-003) » IAQG OPMT Procedure 202 - Oversight Assessment » SMS Procedures » IAQG Supplemental Rules (if applicable) » IAQG OPMT Resolutions Log - Audit Plan - Copy of previous oversight reports Page 11

12. IAQG OPMT OP Assessor Training 9104-002 Form E Check Sheet: Page 12 Oversight of an SMS uses the Form E check sheet Review the check sheet now: Questions on content?

13. IAQG OPMT OP Assessor Training CBMC Assessment: OP Assessor Requires: - 9104-002 Forms » Form D – Oversight Nonconformity Record » Form F - CBMC Assessment Check Sheet » Self completed Form F from auditee - Standards and Reference Documents: » 9104 series (9104-001, 9104-002, 9104-003) » SMS Procedures and CBMC Procedures » IAQG Supplemental Rules (if applicable) » IAQG OPMT and SMS Resolutions Log (if applicable) - Audit Plan - Copy of previous oversight reports Page 13

14. IAQG OPMT OP Assessor Training 9104-002 Form F Check Sheet: Oversight of a CBMC uses the Form F check sheet Review the check sheet now: Questions on content? Page 14

15. IAQG OPMT OP Assessor Training Focus for Sector Oversight: SMS or CBMC functioning and activities. SMS or CBMC Organisation and composition, including voting rights. Participating entity approval (AB, AAB, TPAB) and recognition (CB, TP, Training Courses) activities Documentation and controlling procedures OASIS data entry and updates AB, CB, AAB and TPAB oversight activities Complaints and appeals processes Page 15

16. IAQG OPMT OP Assessor Training Some other items to assess: Check if the oversight plan is managed - Is it scheduled, performed, on-track, completed? - Are nonconformities managed to the correct timescales? Check sample of oversight reports for entities subject to oversight: AB, CBs, AAB, TPAB Sample check of Minutes of Meetings Check if the OP Assessors have signed the ICOP declaration form (9104-002 Form A) Check if ALL committee members have signed confidentiality and conflict of interest documents (9104-002 Form B) DO NOT SOFT GRADE FINDINGS! Page 16

17. IAQG OPMT OP Assessor Training After the SMS or CBMC Assessment: Provide report to the IAQG OPMT, SMS or CBMC Ensure the IAQG OPMT and SMS or CBMC has records of the verification and closure of any 9104-002 Form D Nonconformity Records Page 17

18. IAQG OPMT OP Assessor Training Questions? Page 18

19. IAQG OPMT OP Assessor Training The OASIS Database: The main requirements for the OASIS database are contained in 9104-001 section 12: – IAQG OPMT has responsibility for the functioning of the On-line Aerospace Supplier Information System (OASIS) database – IAQG OPMT may make changes to OASIS functionality – Responsibility matrix for data correctness – Requirement for entities to have an OASIS Administrator including CBs, certified clients, etc. for data control and entry – Requirements for CBs to enter specific certification data including certification structure and audit data – see also Appendix C – When CB accreditation withdrawn, CBs client data only visible for 6 months to allow for transfer Page 19

20. IAQG OPMT OP Assessor Training 9104-001 Section 14: OASIS Feedback Establishes and describes feedback process and mechanism » Note: Feedback A is only by copy e-mail from Feedback B Also describes feedback to Accreditation Bodes Page 20

21. IAQG OPMT OP Assessor Training OASIS Oversight Assessment Page 21 The On-line Aerospace Supplier Information System (OASIS) requires oversight assessment once every two years Where does the requirement reside? – 9104-002 section 7.6 The objective of oversight is to assess – Conformity to established requirements – Response to user support requests – Database operation, including performance and availability – Functionality of the database; and – System/database change management. Usually conducted at the same time as the oversight of an SMS with the IAQG OPMT OASIS database administrator as the auditee

22. IAQG OPMT OP Assessor Training Focus for Oversight of OASIS: SAE operating procedure for the OASIS database IAQG OPMT Procedure 203 – OASIS Change Procedure Reports from the OASIS database administrator Accuracy of database Feedback from IAQG members, ABs, CBs, and suppliers System/database change management Backup data and security processes Corrective action(s) taken from previous oversight Any other area of focus or concern Page 22

23. IAQG OPMT OP Assessor Training OASIS Database Oversight Assessment: OP Assessor Requires: - 9104-002 Forms » Form D – Oversight Nonconformity Record » Form C - OASIS Assessment Check Sheet - Standards and Reference Documents: » 9104 series (9104-001, 9104-002, 9104-003) » IAQG OPMT Procedure 202 » IAQG OPMT Procedure 203 – OASIS Change Procedure » IAQG Supplemental Rules (if applicable) » IAQG OPMT and SMS Resolutions Log (if applicable) - Audit Plan - Copy of previous oversight reports Page 23

24. IAQG OPMT OP Assessor Training 9104-002 Form C Check Sheet: Page 24 Oversight of OASIS uses the Form C check sheet Review the check sheet now: Questions on content?

25. IAQG OPMT OP Assessor Training After the OASIS Oversight Assessment: Provide report to the IAQG OPMT Chair and IAQG OPMT database Administrator Ensure the IAQG OPMT has records of the verification and closure of any 9104-002 Form D Nonconformity Records Page 25

26. IAQG OPMT OP Assessor Training Questions? Page 26