Registration Management Committee (RMC)
The OP Assessor Process
San Diego, CA
January 19, 2012
Melvin L. Jeppson
ATK Propulsion Systems
Faculty, University of Phoenix
Company Confidential
Other Party (OP) Assessor Workshop
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Topics
• 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 (supporting Joint Team Assessments)
• IAQG/AAQG Member Company Responsibilities
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Topics (cont.)
• Governing Documents
• Forms
• Reports
• Corrective Action
• Concerns/Issues
• Help Chain
• Travel Expenses
• Related RMC Metrics
• Future OP Assessor Training
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
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)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor Qualifications &
Training
• OP Assessor qualification includes comprehensive training on:
*AS9014
*AS9104/1 (will replace AS9104 & AS9014, ECD: 1/31/12)
AS9100
AS9104/2
ISO 17011
AS9110
AS9104/3
ISO 17021
AS9120
ISO 9001
ISO 17024
AS9101
ISO 9004
ISO 19011
*AS9104
IAF Mandatory Documents
Conflict of interest and confidentiality requirements
Complaint resolution process
Any applicable global sector SMS documents that apply
(AS9104/2, clause 5.1.4)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor Qualifications &
Training
• OP Assessors shall, as a minimum, meet the education and
training requirements of ISO 19011 and continually meet
the following requirements:
– 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)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Industry Controlled Other Party (ICOP)
9100/9110/9120 Oversight Scheme
Lee, T. (Jan. 2009), “Industry
Controlled Other Party Structure
Overview”, RMC, Orlando, FL
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
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) and Certification Body (CB)
Office and Witness Assessments
• Auditor Authentication Body (AAB) / Training
Provider Approval Body (TPAB) Office Assessment
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Oversight Assessment Process
What:
Who:
Office & Witness Oversight
Assessments
Supplier/OEM
(AB, CB, AAB)
Accreditation Body Assessor(s)
Certification Body Auditor(s)
Other Party Assessor (OEM representative)
Inputs:
AQMS Standards
Outputs:
AS9104/2 Appendix B – K
Appendix I – ICOP Declaration
Form for OP Assessors
Oversight
Assessment
ITAR, Regulatory & Statutory
Requirements
Appendix K – Oversight
Assessment Summary Report
Appendix J – Oversight
Nonconformity Record(s)
AB Assessment Report
Customer & OASIS Feedback
How:
Measures:
RMC Surveillance Sub-team OA
schedule
RMC Oversight Assessment metrics
OP Assessor Training
Appendix J – Oversight
Nonconformity Record(s)
Office & Witness Audits
CB Report Card
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
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)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor’s Role (supporting
Joint Team Assessments)
• Teams with Accreditation Body (AB)
Assessor(s) to conduct joint team
assessments in accordance with SMS
oversight schedule.
• NOTE: If you don’t participate in or trade an
assigned assessment you will be expected to
conduct an independent oversight
assessment. If this occurs, you will serve as
the lead assessor and will be responsible for
initiating all reports, reviewing corrective
action plans and performing any required
follow up.
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor’s Role (supporting
Joint Team Assessments)
• OP Assessors must be approved by their
company leadership and submit an AS9104/2
Appendix I declaration form to the RMC prior
to conducting oversight assessments.
• OP Assessors must declare any potential
conflict of interest.
(AS9104/2, clause 9.3)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor’s Role (supporting
Joint Team Assessments)
• Participate from opening to closing meeting.
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor’s Role (supporting
Joint Team Assessments)
• Accept and complete assessment
assignments from the assessment team
leader.
• Document assessment results, including all
required appendices.
• Generate assessment reports
• Elevate any complaints/issues to the RMC or
IAQG OPMT, as required.
(AS9104/2, clause 9.3.4)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor’s Role (supporting
Joint Team Assessments)
• OP Assessor shall not influence the AB or CB
audit team while performing a witness audit.
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
clients).
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
OP Assessor’s Role (supporting
Joint Team Assessments)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
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, when
designated as the oversight assessment team lead, for a
minimum period of six years, (AAQG RMC Procedure 102 &
AS9104/2, clause 12.2).
• Report supplemental oversight results to RMC
• Recommend potential (supplier/OEM) candidates for oversight
assessment to AB for consideration
• May share resources to conduct supplier oversight
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Governing Documents
• AS9104/2 Requirements for Oversight of
Aerospace Quality Management System
Registration/Certification Programs
• AAQG RMC Procedure 102, AAQG RMC AS9104-2
Oversight Process
• Other AQM standards
*AS9014
*AS9104/1 (will replace AS9104 & AS9014, ECD: 1/31/12)
AS9100
AS9104/2
ISO 17011
AS9110
AS9104/3
ISO 17021
AS9120
ISO 9001
ISO 17024
AS9101
ISO 9004
ISO 19011
*AS9104
IAF Mandatory Documents
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Governing Documents
• AS9104/2, Requirements for Oversight of
Aerospace Quality Management System
Registration/Certification Programs
– Defines requirements for shared oversight
process including:
» Establishment of oversight committees at the
international & global sectors
» Use of joint team assessments
» Use of qualified & approved IAQG member Other
Party (OP) Assessors
» Common assessment tools
» Reporting oversight results
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Governing Documents
• AS9104/2, Requirements for Oversight of
Aerospace Quality Management System
Registration/Certification Program
– Oversight assessment check sheets
»
Appendix B – On-line Aerospace Supplier Information System (OASIS)
Management Assessment
»
Appendix C – Sector Management Structure (SMS) Assessment
»
Appendix D – Certification Body Management Committee (CBMC) Assessment
»
Appendix E – Accreditation Body (AB) Office Assessment
»
Appendix F – Certification Body (CB) Office Assessment
»
Appendix G – Accreditation Body (AB)/Certification Body (CB) Witness
Assessment
»
Appendix H – Auditor Authentication Body (AAB) / Training Provider Approval
Body (TPAB) Office Assessment
»
Appendix I – Industry Controlled Other Party (ICOP) Declaration Form for Other
Party Assessors Conducting 9104 Oversight
»
Appendix J – Oversight Nonconformity Record
»
Appendix K – Oversight Assessment Summary Report
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
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
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
AAQG public website:
http://www.sae.org/aaqg/
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
RMC public website link:
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
AAQG RMC procedure link:
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Open RMC Procedures here:
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
AAQG RMC Procedure 102
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Forms
• Appendix I – Industry Controlled Other Party (ICOP)
Declaration Form for Other Party Assessors
Conducting 9104 Oversight
• Appendix E – Accreditation Body (AB) Office
Assessment
• Appendix F – Certification Body (CB) Office
Assessment
• Appendix G - AB/CB witness assessments
accomplished utilizing the AB/CB Witness Assessment
Check Sheet
• Appendix J -Oversight Nonconformity Record
• Appendix K – Oversight Assessment Summary Report
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Reports
• OP Assessor reports data as a participant in
this process (AS9104/2, clause 4.5 a)
– After the oversight assessment the OP
Assessor submits their Appendix K – Oversight
Assessment Summary Report to:
» AB Assessor
» RMC Surveillance Sub-team Lead
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Corrective Action
• Assessment team lead is responsible for
ensuring acceptable corrective action taken
as a result of joint oversight assessments
• The OP assessor may follow up on previous
corrective action plans to verify effectiveness
during Office oversight assessments.
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Concerns/Issues
• The assessment team leader is responsible
for resolving conflicts of interest between
affected parties.
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Help Chain
1. Oversight Assessment Team Lead
2. RMC Surveillance Sub-team Lead
3. Registration Management Committee Chair
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Travel Expenses
• IAQG/AAQG member companies are
responsible for providing resources to
support oversight activities.
• IAQG will currently pay for coach airfare and
hotels (3-star or government per diem for
the area) arranged through Milne Travel.
Caution: IAQG does not reimburse airfare
and hotel expenses, which have been placed
on your credit card or paid for by your
company.
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Related RMC Metrics
AB
AAB/TPAB
CB
AB Audit Activity Metrics
AAQG - Audit Results
Certification Data
Oversight of Auditor
Oversight of Training Activity
AAQG - Audit Results
AB & OP Audit Results
Performance Metrics
Oasis Metrics
Feedback Metrics
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
Future OP Assessor Training
• The RMC plans to conduct AS9104/1
transition “train the trainer” training for OP
Assessors in conjunction with the RMC
meeting in Phoenix, Arizona in March 2012.
• Registration information will be available on
the AAQG RMC website in the future.
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
San Diego, CA
January 19, 2012
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Registration Management Committee (RMC)
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 33
years. He earned B.S. and M.S. degrees from Utah State
University. He has served in various leadership roles for 22 years
and currently works in Quality Management 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 has taught total quality management, critical
thinking, decision making, and quality management and
productivity classes at the University of Phoenix – Utah Campus
for 14 years. He lives in River Heights, Utah.
San Diego, CA
January 19, 2012
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