Transcript 9104-2 Overview - SAE International
Slide 1
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
AS/EN/SJAC 9104-2
Oversight Process
Tim Lee
The Boeing Company
1-24-08
Slide 2
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Introduction
The purpose of this overview is to provide
awareness and familiarization of the requirements
and tools contained in the new IAQG Oversight
standard AS/EN/SJAC 9104-2.
Note: The standard has been published by all
global sectors. Effective 1-01-08.
Slide 3
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Overview
In this session we will review requirements and
discuss the following:
Scope
Definitions
Requirements
General
Member Companies – OP Assessors
IAQG Other Party Management Team (OPMT)
Sector Management Structure (SMS)
Shared Oversight
Assessment Tools (Appendices)
Complaint Process
Records
Note: This is a workshop activity. We welcome
questions, comments and constructive feedback.
Slide 4
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Forward
This document details the operating processes of the IAQG Other
Party Management Team (OPMT) that monitors and reviews the
Aerospace Supplier Quality System Accreditation/Certification
Schemes of each Sector Management Structure (SMS).
This document provides requirements for a shared oversight process
based on:
– the establishment of oversight committees at the international and
global sector levels.
– use of joint team assessments.
– the use of qualified and approved IAQG member Other Party (OP)
assessors.
– the use of common assessment tools.
– the reporting of oversight results.
Slide 5
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Scope Review
These requirements are applicable to IAQG global sectors
when utilizing Aerospace Industry Controlled Other Party
(ICOP) schemes for the assessment and certification of
supplier quality systems in accordance with the requirements
contained in 9104.
IAQG member companies have committed to perform
sufficient oversight of the Aerospace
accreditation/certification assessment processes in order to
ensure conformance to established requirements contained in
9104.
NOTE: The IAQG OPMT oversight structure is depicted
graphically in Appendix A.
Slide 6
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Definition Review - New Terms
Other Party (OP) Assessor
An IAQG member representative that has been qualified and approved in
accordance with this standard, and supports a joint team assessment or conducts
supplementary IAQG member oversight activity in accordance with this standard.
Certification Bodies Management Committee (CBMC)
A organization within an SMS that functions on a national level (e.g., Italy, France,
Germany, Spain, UK, Austria); responsible for 9104 conformance in their respective
countries. They perform the same functions as the SMS under the control of their
global SMS.
Joint Team Assessment:
An oversight assessment conducted in accordance with the requirements of this
standard by a team of representatives, which may be comprised of AB assessors,
OP assessors, and observers.
Training Provider Approval Body (TPAB):
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.
Slide 7
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - General Requirements
Any IAQG member company wishing to recognize AQMS
certification shall conduct oversight.
Participating IAQG member companies shall provide the
necessary resources to support the SMS committees and
oversight activities.
Industry auditors that have an employment relationship
with a CB, can be neither OP assessors nor voting
members of SMS committees.
The IAQG OPMT and each global SMS shall annually
conduct a review and evaluation of the scheme to ensure
its continued effectiveness.
Reference: AS9104-2 Sections 4.2 thru 4. 5
Why include these Requirements??
Slide 8
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Member Companies - Other Party Assessor (AS9104-2 Section 5.1.5)
IAQG member companies shall ensure that:
– assigned representatives who support IAQG OPMT and/or
SMS activities have the necessary tools (e.g., published
standards, computer equipment) and resources to accomplish
committed tasks.
– designated OP assessors are qualified in accordance with this
standard and they shall provide objective evidence of such
every three years, via submission of a completed declaration
form (see Appendix I) to the respective SMS.
– only qualified individuals are assigned to conduct oversight
assessments or participate in joint team assessments
supporting the SMS.
Slide 9
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Member Companies - Other Party Assessor
(AS9104-2 Section 5.1.5)
OP Assessors shall, as a minimum, meet the education and training
requirements of ISO 19011 and continually meet the following
requirements:
a. Auditing Experience: To have conducted at least three AQMS audits or
OP assessments for a minimum of nine assessment days, within the
last three years.
NOTE: Joint team assessments and/or oversight assessments may be
considered for meeting the above audit criteria.
b. Work Experience: Four years aerospace industry experience within
the prior ten calendar years.
NOTE: Work experience to include four years full time in the aerospace
industry directly involved in Engineering, Design, Manufacturing,
Quality or Process Control for a major airframe manufacturer, prime
supplier, auxiliary equipment supplier and/or appropriate official civil,
military or space organization, such as National Aviation Authorities
(NAA), European Space Agency (ESA)/National Aeronautics and Space
Administration (NASA), Ministry of Defense (MoD), Department of
Defense (DoD).
Slide 10
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
IAQG OPMT (AS9104-2 Section 6)
The IAQG OPMT is the committee responsible
for managing 9104 application on a global level.
Monitor that each SMS is implementing their sector
schemes and is in conformance with 9104.
Provide a mechanism for a periodic review of the lessons
learned by each of the sector schemes and a review of any
proposed changes.
Ensure that the OASIS database operates effectively and is
accessible to the IAQG members.
Annually the IAQG OPMT shall report the status and results
of the global ICOP scheme to the IAQG Council.
Slide 11
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
IAQG OPMT (AS9104-2 Section 6.2)
How??
Regular status reports from each SMS
Review of SMS operation and conformance at
least once every two years. (Appendix C)
Monitor Stakeholder feedback
Review operation of the OASIS database
(Appendix B)
Review SMS Procedures and processes
Slide 12
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Sector Management Structure (AS9104-2 Section 7)
The Sector Management Structure (SMS) is the
committee(s) responsible for managing 9104
application in their respective global sector (Asia
Pacific, Americas, Europe).
An SMS may be supported by a CBMC. A CBMC
is the committee established by a National
Aerospace Industry Association (NAIA) to
manage the application of the national scheme
based on 9104 (e.g., France, Germany, Italy,
Spain, United Kingdom).
Slide 13
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Sector Management Structure (AS9104-2 Section 7.2)
How?
Manage 9104 application in their respective global sector
Report SMS activities and the effectiveness of their scheme to the
IAQG OPMT.
Review and recommendation of approval for ABs, CBs, AABs,
TPABs and training courses.
The management, review, approval, implementation, and
modification of their sectorial procedure(s).
Conduct oversight of CBMCs, ABs, CBs, AABs, and TPABs in
accordance with this standard and 9104.
Complaint resolution or elevation to the IAQG OPMT.
Manage the shared oversight schedule for their sector
Review and approval of AEAs in accordance with 9104-3.
Provide a mechanism for a periodic review of the lessons learned
and a review of any proposed changes.
Slide 14
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
All assessment activities shall be planned and
scheduled with all affected parties, prior to
conduct.
Whenever possible, OP assessors shall team with
ABs to conduct joint team assessments.
Assessments shall be completed in accordance
with the SMS oversight schedule.
Slide 15
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
AB/CB Witness Assessments (Appendix G)
The objective of any AB/CB witness assessment is to assess:
Team competence.
Conformity to established requirements.
The effectiveness of the audit program.
Conformity of the audit team with the AB/CB procedures and
processes.
During AB/CB witness assessments, the OP assessor shall participate
from the opening to closing meeting of the assessment.
The OP assessor shall not influence the AB or CB audit team, during the
audit conduct portion of the witness assessment. The role when
witnessing is one of observation only. Feedback to the audit team shall
occur upon conclusion of the client’s assessment (e.g., AB audit team
debriefing). The OP assessor must ensure that confidentiality between the
AB/CB is maintained (e.g., no out-brief in front of client).
Slide 16
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
AB Office Assessments (Appendix E)
The AAB oversight assessment shall include a review of the AAB
activity to ensure conformance with the requirements of 9104,
9104-3, and applicable industry standards (e.g., ISO 17024).
The assessment shall include a review of the previous AAB
oversight office assessment reports, including actions taken.
The assessment shall include a review of the last accreditation
evaluation, if applicable.
Slide 17
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
AAB Office Assessments (Appendix H)
The AAB oversight assessment shall include a review of the AAB activity
to ensure conformance with the requirements of 9104, 9104-3, and
applicable industry standards (e.g., ISO 17024).
TPAB Office Assessments (Appendix H)
The TPAB office assessment may be conducted at the same time as the
AAB assessment (e.g., AAB and TPAB are the same organization).
The TPAB oversight assessment shall include a review of their activity to
ensure conformance with the requirements of 9104, 9104-3 and applicable
industry standards (e.g., ISO 17024).
Slide 18
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
CB Office Assessments
The CB office assessment shall include a review of CB activity to ensure
conformance with the requirements of 9104 and applicable industry
standards (e.g., ISO/IEC Guide 62 and IAF Guidance on the Application of
ISO/IEC Guide 62).
The assessment shall include a review of the latest CB oversight office
assessment reports, including actions taken.
The results, including the completed check sheet and associated
nonconformity records (see Appendices F and J respectfully) shall be
recorded in the AB audit report when a joint team assessment (AB & OP
assessor) is conducted.
The Oversight Assessment Summary Report (see Appendix K) shall be
completed by the OP assessor.
Slide 19
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
Assessments Results
The results, including the completed check sheets and
associated nonconformity records shall be recorded in the
AB audit report when a joint team assessment (AB & OP
assessor) is conducted.
Any nonconformity identified, during the assessments,
shall be recorded on an Oversight Nonconformity Record
(see Appendix J).
NOTE: During joint team assessment activities, equivalent
AB nonconformity reports may be utilized.
The results of the assessment shall be recorded on an
Oversight Assessment Summary Report (see Appendix K)
by the OP assessor.
Slide 20
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Assessment Tools
The oversight assessment tools are contained within the
Appendices of AS9104-2.
Section 4.1 states:
The check sheets contained in this standard (see
Appendices B thru H) are provided, as guidance, for
conducting oversight assessments.
These check sheets may be expanded by the IAQG
OPMT or respective SMS to cover additional
requirements in their sectors or provide additional
clarification, as needed.
AAQG
Slide 21
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Assessment Tool Examples:
• AB/CB Witness Assessment:
• CB Office Assessment:
• Oversight Assessment Summary Report
Slide 22
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Complaint Resolution Process
AS9104-2 Section 11
Each entity in the ICOP scheme (i.e., IAQG member, IAQG OPMT, SMS,
CBMC, AB, CB, AAB, and TPAB) shall establish and maintain a complaint
resolution process.
All complaints shall be handled directly by complainant with the
organization the complaint is against. The internal appeals/complaint
processes of the parties involved are to be used before other actions are
taken. If any issues cannot be resolved between affected parties, then the
matter shall be escalated to the next level of authority within the ICOP
scheme (e.g., IAQG member complaint against CB would elevate to AB
then to SMS/CBMC, if unresolved). Any issues which cannot be resolved
at the SMS/CBMC level shall be elevated to the IAQG OPMT.
All escalated complaints shall be summarized and reviewed by the
respective SMS/CBMC on an annual basis. The SMS/CBMC shall report
the results of this review to the IAQG OPMT. These reviews shall be used
to identify opportunities for improvement within the Aerospace Supplier
Quality System Accreditation/Certification Scheme.
Slide 23
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Records
AS9104-2 Section 12
All forms, check sheets, reports, and completed
appendices required by this standard shall be considered a
record.
The responsible party that conducts approval and
assessment activities, in accordance with this standard,
shall maintain records for a minimum period of 6 years. For
example, IAQG OPMT shall maintain SMS and OASIS
oversight records.
Joint team assessment records shall be maintained for a
minimum period of 6 years by the AB.
Slide 24
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Summary
We must all strive for 100% conformance.
Implementation of this common approach to
oversight will enhance conformance by all
stakeholders.
We need your continued support and valuable
input for this process to succeed.
Slide 25
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
QUESTIONS?
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
AS/EN/SJAC 9104-2
Oversight Process
Tim Lee
The Boeing Company
1-24-08
Slide 2
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Introduction
The purpose of this overview is to provide
awareness and familiarization of the requirements
and tools contained in the new IAQG Oversight
standard AS/EN/SJAC 9104-2.
Note: The standard has been published by all
global sectors. Effective 1-01-08.
Slide 3
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Overview
In this session we will review requirements and
discuss the following:
Scope
Definitions
Requirements
General
Member Companies – OP Assessors
IAQG Other Party Management Team (OPMT)
Sector Management Structure (SMS)
Shared Oversight
Assessment Tools (Appendices)
Complaint Process
Records
Note: This is a workshop activity. We welcome
questions, comments and constructive feedback.
Slide 4
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Forward
This document details the operating processes of the IAQG Other
Party Management Team (OPMT) that monitors and reviews the
Aerospace Supplier Quality System Accreditation/Certification
Schemes of each Sector Management Structure (SMS).
This document provides requirements for a shared oversight process
based on:
– the establishment of oversight committees at the international and
global sector levels.
– use of joint team assessments.
– the use of qualified and approved IAQG member Other Party (OP)
assessors.
– the use of common assessment tools.
– the reporting of oversight results.
Slide 5
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Scope Review
These requirements are applicable to IAQG global sectors
when utilizing Aerospace Industry Controlled Other Party
(ICOP) schemes for the assessment and certification of
supplier quality systems in accordance with the requirements
contained in 9104.
IAQG member companies have committed to perform
sufficient oversight of the Aerospace
accreditation/certification assessment processes in order to
ensure conformance to established requirements contained in
9104.
NOTE: The IAQG OPMT oversight structure is depicted
graphically in Appendix A.
Slide 6
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Definition Review - New Terms
Other Party (OP) Assessor
An IAQG member representative that has been qualified and approved in
accordance with this standard, and supports a joint team assessment or conducts
supplementary IAQG member oversight activity in accordance with this standard.
Certification Bodies Management Committee (CBMC)
A organization within an SMS that functions on a national level (e.g., Italy, France,
Germany, Spain, UK, Austria); responsible for 9104 conformance in their respective
countries. They perform the same functions as the SMS under the control of their
global SMS.
Joint Team Assessment:
An oversight assessment conducted in accordance with the requirements of this
standard by a team of representatives, which may be comprised of AB assessors,
OP assessors, and observers.
Training Provider Approval Body (TPAB):
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.
Slide 7
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - General Requirements
Any IAQG member company wishing to recognize AQMS
certification shall conduct oversight.
Participating IAQG member companies shall provide the
necessary resources to support the SMS committees and
oversight activities.
Industry auditors that have an employment relationship
with a CB, can be neither OP assessors nor voting
members of SMS committees.
The IAQG OPMT and each global SMS shall annually
conduct a review and evaluation of the scheme to ensure
its continued effectiveness.
Reference: AS9104-2 Sections 4.2 thru 4. 5
Why include these Requirements??
Slide 8
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Member Companies - Other Party Assessor (AS9104-2 Section 5.1.5)
IAQG member companies shall ensure that:
– assigned representatives who support IAQG OPMT and/or
SMS activities have the necessary tools (e.g., published
standards, computer equipment) and resources to accomplish
committed tasks.
– designated OP assessors are qualified in accordance with this
standard and they shall provide objective evidence of such
every three years, via submission of a completed declaration
form (see Appendix I) to the respective SMS.
– only qualified individuals are assigned to conduct oversight
assessments or participate in joint team assessments
supporting the SMS.
Slide 9
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Member Companies - Other Party Assessor
(AS9104-2 Section 5.1.5)
OP Assessors shall, as a minimum, meet the education and training
requirements of ISO 19011 and continually meet the following
requirements:
a. Auditing Experience: To have conducted at least three AQMS audits or
OP assessments for a minimum of nine assessment days, within the
last three years.
NOTE: Joint team assessments and/or oversight assessments may be
considered for meeting the above audit criteria.
b. Work Experience: Four years aerospace industry experience within
the prior ten calendar years.
NOTE: Work experience to include four years full time in the aerospace
industry directly involved in Engineering, Design, Manufacturing,
Quality or Process Control for a major airframe manufacturer, prime
supplier, auxiliary equipment supplier and/or appropriate official civil,
military or space organization, such as National Aviation Authorities
(NAA), European Space Agency (ESA)/National Aeronautics and Space
Administration (NASA), Ministry of Defense (MoD), Department of
Defense (DoD).
Slide 10
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
IAQG OPMT (AS9104-2 Section 6)
The IAQG OPMT is the committee responsible
for managing 9104 application on a global level.
Monitor that each SMS is implementing their sector
schemes and is in conformance with 9104.
Provide a mechanism for a periodic review of the lessons
learned by each of the sector schemes and a review of any
proposed changes.
Ensure that the OASIS database operates effectively and is
accessible to the IAQG members.
Annually the IAQG OPMT shall report the status and results
of the global ICOP scheme to the IAQG Council.
Slide 11
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
IAQG OPMT (AS9104-2 Section 6.2)
How??
Regular status reports from each SMS
Review of SMS operation and conformance at
least once every two years. (Appendix C)
Monitor Stakeholder feedback
Review operation of the OASIS database
(Appendix B)
Review SMS Procedures and processes
Slide 12
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Sector Management Structure (AS9104-2 Section 7)
The Sector Management Structure (SMS) is the
committee(s) responsible for managing 9104
application in their respective global sector (Asia
Pacific, Americas, Europe).
An SMS may be supported by a CBMC. A CBMC
is the committee established by a National
Aerospace Industry Association (NAIA) to
manage the application of the national scheme
based on 9104 (e.g., France, Germany, Italy,
Spain, United Kingdom).
Slide 13
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Sector Management Structure (AS9104-2 Section 7.2)
How?
Manage 9104 application in their respective global sector
Report SMS activities and the effectiveness of their scheme to the
IAQG OPMT.
Review and recommendation of approval for ABs, CBs, AABs,
TPABs and training courses.
The management, review, approval, implementation, and
modification of their sectorial procedure(s).
Conduct oversight of CBMCs, ABs, CBs, AABs, and TPABs in
accordance with this standard and 9104.
Complaint resolution or elevation to the IAQG OPMT.
Manage the shared oversight schedule for their sector
Review and approval of AEAs in accordance with 9104-3.
Provide a mechanism for a periodic review of the lessons learned
and a review of any proposed changes.
Slide 14
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
All assessment activities shall be planned and
scheduled with all affected parties, prior to
conduct.
Whenever possible, OP assessors shall team with
ABs to conduct joint team assessments.
Assessments shall be completed in accordance
with the SMS oversight schedule.
Slide 15
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
AB/CB Witness Assessments (Appendix G)
The objective of any AB/CB witness assessment is to assess:
Team competence.
Conformity to established requirements.
The effectiveness of the audit program.
Conformity of the audit team with the AB/CB procedures and
processes.
During AB/CB witness assessments, the OP assessor shall participate
from the opening to closing meeting of the assessment.
The OP assessor shall not influence the AB or CB audit team, during the
audit conduct portion of the witness assessment. The role when
witnessing is one of observation only. Feedback to the audit team shall
occur upon conclusion of the client’s assessment (e.g., AB audit team
debriefing). The OP assessor must ensure that confidentiality between the
AB/CB is maintained (e.g., no out-brief in front of client).
Slide 16
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
AB Office Assessments (Appendix E)
The AAB oversight assessment shall include a review of the AAB
activity to ensure conformance with the requirements of 9104,
9104-3, and applicable industry standards (e.g., ISO 17024).
The assessment shall include a review of the previous AAB
oversight office assessment reports, including actions taken.
The assessment shall include a review of the last accreditation
evaluation, if applicable.
Slide 17
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
AAB Office Assessments (Appendix H)
The AAB oversight assessment shall include a review of the AAB activity
to ensure conformance with the requirements of 9104, 9104-3, and
applicable industry standards (e.g., ISO 17024).
TPAB Office Assessments (Appendix H)
The TPAB office assessment may be conducted at the same time as the
AAB assessment (e.g., AAB and TPAB are the same organization).
The TPAB oversight assessment shall include a review of their activity to
ensure conformance with the requirements of 9104, 9104-3 and applicable
industry standards (e.g., ISO 17024).
Slide 18
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
CB Office Assessments
The CB office assessment shall include a review of CB activity to ensure
conformance with the requirements of 9104 and applicable industry
standards (e.g., ISO/IEC Guide 62 and IAF Guidance on the Application of
ISO/IEC Guide 62).
The assessment shall include a review of the latest CB oversight office
assessment reports, including actions taken.
The results, including the completed check sheet and associated
nonconformity records (see Appendices F and J respectfully) shall be
recorded in the AB audit report when a joint team assessment (AB & OP
assessor) is conducted.
The Oversight Assessment Summary Report (see Appendix K) shall be
completed by the OP assessor.
Slide 19
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Discussion - Requirements
Shared Oversight (AS9104-2 Section 8)
Assessments Results
The results, including the completed check sheets and
associated nonconformity records shall be recorded in the
AB audit report when a joint team assessment (AB & OP
assessor) is conducted.
Any nonconformity identified, during the assessments,
shall be recorded on an Oversight Nonconformity Record
(see Appendix J).
NOTE: During joint team assessment activities, equivalent
AB nonconformity reports may be utilized.
The results of the assessment shall be recorded on an
Oversight Assessment Summary Report (see Appendix K)
by the OP assessor.
Slide 20
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Assessment Tools
The oversight assessment tools are contained within the
Appendices of AS9104-2.
Section 4.1 states:
The check sheets contained in this standard (see
Appendices B thru H) are provided, as guidance, for
conducting oversight assessments.
These check sheets may be expanded by the IAQG
OPMT or respective SMS to cover additional
requirements in their sectors or provide additional
clarification, as needed.
AAQG
Slide 21
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Assessment Tool Examples:
• AB/CB Witness Assessment:
• CB Office Assessment:
• Oversight Assessment Summary Report
Slide 22
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Complaint Resolution Process
AS9104-2 Section 11
Each entity in the ICOP scheme (i.e., IAQG member, IAQG OPMT, SMS,
CBMC, AB, CB, AAB, and TPAB) shall establish and maintain a complaint
resolution process.
All complaints shall be handled directly by complainant with the
organization the complaint is against. The internal appeals/complaint
processes of the parties involved are to be used before other actions are
taken. If any issues cannot be resolved between affected parties, then the
matter shall be escalated to the next level of authority within the ICOP
scheme (e.g., IAQG member complaint against CB would elevate to AB
then to SMS/CBMC, if unresolved). Any issues which cannot be resolved
at the SMS/CBMC level shall be elevated to the IAQG OPMT.
All escalated complaints shall be summarized and reviewed by the
respective SMS/CBMC on an annual basis. The SMS/CBMC shall report
the results of this review to the IAQG OPMT. These reviews shall be used
to identify opportunities for improvement within the Aerospace Supplier
Quality System Accreditation/Certification Scheme.
Slide 23
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Records
AS9104-2 Section 12
All forms, check sheets, reports, and completed
appendices required by this standard shall be considered a
record.
The responsible party that conducts approval and
assessment activities, in accordance with this standard,
shall maintain records for a minimum period of 6 years. For
example, IAQG OPMT shall maintain SMS and OASIS
oversight records.
Joint team assessment records shall be maintained for a
minimum period of 6 years by the AB.
Slide 24
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
Summary
We must all strive for 100% conformance.
Implementation of this common approach to
oversight will enhance conformance by all
stakeholders.
We need your continued support and valuable
input for this process to succeed.
Slide 25
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 – OP Assessor Workshop
January 24, 2008 – Mesa, Arizona
QUESTIONS?