Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 - Oversight Training
January 25, 2007 – Dallas, Texas
Body Of Knowledge
Lori Scheid – ANAB, Hollie Jarmain - SCC
& Sidney Vianna - DNV
Presenting
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Body of Knowledge
• Purpose of the training module:
– Training on the criteria and processes that OP
assessors will be implementing when
performing oversight on behalf of the
AAQG/RMC
• Objective:
– Provide OP assessors with knowledge and
tools to perform effective oversight of ABs,
CBs, AABs and TPABs.
– NO WBS!!!!
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
OPMT Assessors might assess:
• Accreditation Bodies
• Certification/Registration Bodies
– Office visits
– Witness audits
• Auditor Authentication Bodies
• Training Provider Approval Bodies
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Audits can be conducted
• As part of a Joint Assessment
– CB office audit
– AB and CB Witness Audit
• Or alone
– AB office audit
– AAB office audit
– TPAB office audit
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Documents comprising BOK
•
•
•
•
•
•
•
•
•
AS9104 & AS9014
AQMS Standards AS9100/9110/9120
AS9104-2
AS9104-3
ISO 19011
ISO 17011 and IAF Guidance to ISO Guide 61
ISO Guide 62 and IAF Guidance to ISO Guide 62
ISO 17021(deadline for implementation is 9/08)
ISO 17024
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Additional documents
• “Official ISO 9001 Interpretations”
• ISO 9001 Auditing Practices Group
papers
• AB specific documents, eg,
• Accreditation Auditing Practices Group
– The witnessing of CRB audits by an accreditation body
– Auditing the competence of Quality Management
System CRB auditors and audit teams
– Auditing conformity with Annex 2 of the IAF's Guidance
IAF GD2:2003 "Audit Times"
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
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 www.scc.ca
• The IAF Guidance documents can be
downloaded for free from www.iaf.nu
• OPMT Auditors MUST bring the relevant
documents to the audits
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Remember
• It is the OEM’s responsibility to gain
access to these standards;
standards are not provided by the AB
or CRB.
• OP Assessors must read and
familiarize themselves with the
applicable parts of the Standards
prior to the oversight audits.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Applicability
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CRB Audits
• Office Visits
– A critical aspect is the quoting process,
in terms of minimum required times
– OPMT assessors must understand
Appendix 2 of the IAF Guidance to
ISO/IEC Guide 62 and the auditor-days
estimation process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Estimation process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Estimation process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Additional time per AS9104
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
“Upgrade audits”
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Another critical issue
• Sampling
• Annex 3 of the IAF Guidance
document for eligibility and sampling
process
• AS9104, paragraph 8.2.3
Registration Management Committee (RMC)
Other Party (OP) Assessor
AS9104-2 - Oversight Training
January 25, 2007 – Dallas, Texas
Audits Performed Alone
Hollie Jarmain
Standards Council of Canada
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Reminder: Rules and Responsibilities of
Assessors
•
ISO 19011:2002 Section 4
– Ethical Conduct - the foundation of professionalism;
– Fair presentation - the obligation to report truthfully and
accurately;
– Due professional care - the application of diligence and
judgement in auditing;
– Independence - the basis for impartiality of the audit
and objectivity of the audit conclusions;
– Evidence based approach - the rational method for
reaching reliable and reproducible audit conclusions in
systematic audit process.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Audits Performed Alone
•
•
•
•
AB Office Assessment
AB Witness Audit
AAB Office Assessment
TPAB Office Assessment
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Accreditation Body Office/Witness Audit
• Applicable Criteria
– ISO/IEC 17011:2004
• General requirements for accreditation bodies
accrediting conformity assessment bodies
– IAF GD 1
– ISO 19011:2002
– AS 9014 (AS 9104 America’s document Section
5)
– AS 9104-2 (Section 8)
– AS 9104-3 (Section 5)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Office Audit Preparation
Documents needed to perform audit:
•
•
•
•
•
Criteria
AB Procedures related to AS program
Quality Manual and Procedures
IAF peer evaluation report
AS 9104-2 Check Sheets
– Appendix E (Office Assessment Check Sheet)
– Appendix J (Oversight NCR Record)
– Appendix K (Oversight Assessment Summary
Report)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Office Audit Preparation
• Notification to AB of Audit
– Confirm Date
– Request:
• QM and Procedures
• AS specific procedures
• Last IAF Peer evaluation report
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Office Audit: Document Review
• Perform Document Review
– Objective:
• Confirm documentation conformity with established
requirements
• Prepare preliminary notes
• Identify Audit trails and items to follow up on-site
• Confirm Scope of audit
– Extent and boundaries of the audit, such as physical
locations, units, activities, time period for audit
• Identify documentation non-conformities
– Don’t assume! Follow up on-site
– Preliminary completion of 9104-2 Appendix E
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Office Audit: Document Review
• Non-Conformities identified?
– Complete Appendix J
– Decide if NCRs require resolution
before audit
• Resolve NCRs before audit
• Follow up on Resolution of NCRs on-site
– Issue NCRs
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Office Audit: Audit Plan
• Prepare Audit Plan
– Content:
• ISO 19011 clause 6.4.1 (a-g)
– Consult with:
• Other audit team members (as applicable)
• The AB
– Finalize and issue audit plan
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site audit
• Conduct opening meeting
– Confirm audit plan
– Summarize how activities will be
undertaken
– Include items identified in ISO 19011
clause 6.5.1 (Practical Help)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
• 9104-2 (clause 8.3)
– Review of AB activities to ensure
conformance with the requirements of
9104 and Accreditation Requirements
– Verify AB has been approved by the
RMC
– Review of last IAF Peer evaluation and
other AB oversight
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
Audit items:
Verify IAF MLA Signatory
– Is evidence of conformity with ISO
17011 / IAF GD 1 available?
– Confirm implementation of corrective
actions
• IAF peer evaluation NCRs
• Internal audit NCRs
– Identify possible audit trails
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
• Organizational Elements:
– Recognized by RMC?
– Advisory Committee expertise in AS?
– Inclusion of AS program in Internal Audit
Program / Management Review?
– Complaints Handling re: AS program?
– Key staff participation in RMC?
– Provision of RMC information to CRBs and
auditors?
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
• Review AS Accreditation files
– Accreditation, Surveillance and Reaccreditation process
• One CRB on-site, one CRB WA annually
– Competency of Assessment Personnel
• Review auditor file
– Auditor competency 9104-3 Section 5 and 7
– AB Citation of findings
• Clause, NCR statement, Objective Evidence
• AB acceptance of Cause, response, resolution
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
• Audit plans/reports
– Inclusion of AS requirements in audit
plan
– Inclusion of AS files during CRB file
review
– Conclusion regarding conformity of
CRB with AS requirements
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
• AB links to RMC
– Effective process for RMC recognition
of CRBs
– OASIS reporting
– Reporting to RMC on
suspensions/withdrawals
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB On-site Audit
• Final steps:
– Identify Findings
– Establish Conclusions
• ISO 19011 clause 6.5.6 – Practical Help
– Prepare NCRs (Appendix J)
– Conduct closing meeting
• ISO 19011 clause 6.5.7
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Office Audit: Post Audit Activities
• AS 9104-2 section 9.3
– Generate Audit report and complete
Appendix E
– Resolve NCRs with AB
• Ensure effective AB identification of cause,
correction, corrective action
– Close audit activity with AB
• Ensure status of AB current in OASIS
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Witness Audit
• Generally conducted in conjunction with a
CRB witness audit
• Objectives AS 9104-2 clause 8.2.1:
– Assess AB conformity to requirements
– Assess AB audit team competence
– Assess the effectiveness of the AB audit
program
– Assess conformity of the AB audit team with
AB procedures and processes
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Witness Audit
• Documents needed to perform the WA
– CRB audit documentation
• Audit plan
• previous audit report
• high level procedures
– AB procedures for the conduct of witness
audits
– Check Sheets
• Appendix G (Witness Assessment Check Sheet)
• Appendix J (Oversight NCR)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Witness Audit
• Audit Preparation
– Review CRB/AB Procedures
• To ensure understanding of the AB WA
process and the CRB activities the AB is
witnessing
• No audit plan necessary!
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Witness Audit
• Before the audit
– Conduct opening meeting with AB
auditors
• Ensure objective of audit is clear
• Confirm WA arrangements
– Establish time for closing meeting
– Confirm impartiality
– Confirm reporting process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Witness Audit
• On-site
– Silently observe
– Do not influence outcome of audit!
– Identify items for clarification with AB audit
team
– Establish audit conclusions / NCRs
• Closing meeting
– Seek clarification if necessary
– Confirm findings / conclusions / NCRs
– Confirm NCR resolution process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
AB Witness Audit
• Post Audit activities
– Generate Audit report and complete
Appendix G and J (if applicable)
– Resolve NCRs with AB
• Ensure effective AB identification of cause,
correction, corrective action
– Close WA activity with AB
• Ensure status of AB current in OASIS
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Exercise on citation of NCR
• Minor finding issued by a CB:
– Supplier had no calibration system in
place; no recall dates, no indicator of
calibration status, etc…
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Exercise on Certificate Scope Review
• The Design and Manufacture of
Aerospace Products
– AS9014 Paragraph 8.6.e)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Joint Assessments
Lori Scheid-Gillespie
ANSI-ASQ National Accreditation Board
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment & Witnessed Audit
Scheduling
Note: other AB processes may vary
• AB confirmation letter sent to OEM primary contact
• OEM notify AB of assigned auditor
– AB to update the Oversight Spreadsheet with OEM auditor information
(for OEM & AB use)
• OEM primary contact to notify their auditor
– Auditor shall already be trained and have access to all applicable
requirement documents (to be brought to assessments)
• AB notifies their assessment team with the OEM auditor
contact info
• AB team lead will contact the OEM auditor directly
–
May not be right away; may be closer to the assessment for open meeting planning.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Preparation
Documents needed to perform assessment:
• Requirement Documents
• CB Procedures related to AS program
• AS9104-2 Appendix F (CB Office Assessment
Checklist)
• AS9104-2 Appendix K (Oversight Assessment
Summary Report)
• Audit Plan
• Document Review (if applicable)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment: Document Review
• AB may perform document review
– Depending on the type of office assessment
• OP assessor to review document review
report to;
– Gain knowledge/understanding of
documentation and any gaps (i.e. AB audit
trails)
ISO 17011 (7.6)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Planning
• CB documents are received by the AB (from the
CB) approx. 4 weeks prior to the assessment
• AB sends the info to assigned OEM auditor (NOT
including standards / requirement documents)
– If the OEM auditor has yet to be assigned; AB sends the
info to the OEM main contact
• Information may include:
–
–
–
–
Logistic info (hotel, directions)
Assessment Plan - ISO 19011 (6.4)
CB documented processes for assessment
Other documentation as required by the AB
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Planning
Joint Assessment Prep (by OEM assessor) ISO 19011 (6.4)
• Review AB assessment plan to gain an understanding of
what will be assessed and to provide feedback to the AB
team lead
• Review all documentation to gain a knowledge and an
understanding of the CB’s processes.
• Review appropriate parts of the standards to re-fresh your
memory.
Ask any questions to the AB team lead.
• ANAB team lead to schedule a pre-assessment meeting
with OEM assessor to meet and discuss plan and remind
OEM assessor of basic process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment ~ OP Assessor Role
• OP Assessor serves as team member
• Roles & Responsibilities covered in
previous presentation
AS9104-2 (9)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Conduct
• Conduct opening meeting
• AB Team Lead
– Confirm
• requirement documents
• assessment plan including scope and objectives ISO 19011 (6)
• Summarize how activities will be undertaken
ISO 17011 ( 7.7)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Conduct
• 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)
• 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 reviewISO 17021, AS9104
– Review AS complaints - ISO 17021, AS9104
– Effective closure of previously issued aerospace related
findings
– File Review
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Conduct
• Main activity by OP Assessor – File Review
– Registration, surveillance, re-certification process - ISO
17021 (9)
– Competency (qualifications) of auditor - AS9104 (7, 8.1),
AS9104-3, ISO 17021 (7)
– Citation of findings (by CB) – AS9104 (8.3), ISO 17021 (9)
– Appropriate resolution of findings – AS9104 (8.3), ISO
17021 (9)
– Reporting – AS9104 (8.4), ISO 17021 (9)
– Certification decisions (including competency of
reviewers) – AS9104 (8.6), ISO 17021 (7, 9)
– Oasis – AS9104
– Multi-site – AS9104 (8.2.3), IAF Guidance to Guide 62
(Annex 3)
– Competency of staff – AS9104, ISO 17021 (7)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment Conduct
• Final steps:
– Identify Findings and notify the AB team
lead - AS9104-3 (8.6.2)
• If AB lead is not in agreement; notify the AB
& RMC via AS9104-3 (Appendix G)
– AB (with OP assessor) to establish
conclusions & prepare NCR’s - ISO
17011 (7.8)
– AB to conduct closing meeting - ISO
17011 (7.8)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Office Assessment : Post Activities
• AB to generate audit report – ISO 17011 (7.8)
• OP Assessor to complete AS9104-3 (Appendix F
& K) and provide to the AB and OEM main contact
• AB to manage the NCR / corrective action
process with CB – ISO 17011 (7.8)
• AB ensures effective cause, correction, corrective action
• OEM may request a copy of AB’s assessment
report
– If requested AB sends the information to the OEM main
contact
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit Preparation
• Documents needed to perform the
Witnessed Audit
• Requirement Documents
• CB Procedures related to AS audit
• AS9104-2 Appendix G (CB Witnessed Audit
Checklist)
• AS9104-2 Appendix K (Oversight
Assessment Summary Report)
• CB Audit Plan
• CB document review (if applicable)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit: Document Review
• CB may perform document review
– Depending on the type of audit
• OP assessor to review document
review report to;
– Gain knowledge/understanding of
documentation and any gaps
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit Planning
• CB documents are received by the AB (from the
CB) approx. 4 weeks prior to the witnessed audit
• AB sends the info to assigned OEM auditor (NOT
including standards / requirement documents)
– If the OEM auditor has yet to be assigned; AB sends the
info to the OEM main contact
• Information may include:
–
–
–
–
–
Logistic info (hotel, directions)
CB Audit Plan - ISO 19011 (6.4)
CB audit team’s credentials (e.g. resume)
CB documented processes for audit
Other documentation as required by the AB
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit Planning
Joint Assessment Prep (by OEM assessor) ISO 19011 (6.4)
•
Allow approx. 2 hours AFTER the CB’s end time to allow for the
AB closing meeting
• Review CB audit plan - ISO 19011 (6.4) to gain an understanding of
what will be audited
• Review all documentation to gain a knowledge and an
understanding of the CB’s processes.
• Review CB audit team’s credentials to confirm acceptability
• Review organization’s information to understand scope, etc.
• Review OASIS (if organization is certified)
• Review appropriate parts of the standards to re-fresh your
memory.
Ask any questions to the AB team lead.
•
ANAB team lead to schedule a pre-assessment meeting with OEM
assessor to meet and discuss plan and remind OEM assessor of
basic process
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit – OP Assessor Role
• OP Assessor serves as an AB team member
• Roles & Responsibilities covered in previous
presentation; however,
• During witnessed audit
–
–
–
–
Silently observe
Do not influence outcome of audit!
Do not talk
Do not make body motions to show approval or
disapproval
– Do not answer questions of organization (or CB)
AS9104-2 (8.2, 9)
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit Conduct
• Conduct opening meeting with CB
• AB Team Lead
• PRIOR to CB’s opening meeting with organization
– Confirm
•
•
•
•
requirement documents
scope and objectives
Summarize AB team involvement
Timing of closing meeting
ISO 17011, section 7.7
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit Conduct
• 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)
•
Focus on:
– Opening and closing meeting (and team caucuses) – ISO 17021
(9)
– Audit days and audit efficiency, effectiveness – AS9104 (8.2), ISO
19011 (6.5), IAF Guidance to Guide 62, Annex 2
– CB’s audit team’s competency to perform audit - AS9104 (7, 8),
AS9104- 3, ISO 17021 (7)
• Including knowledge of standards, industry, regulatory
requirements and interpretations
• Including CB’s process for assigning audit team
– Certificate accuracy – ISO 17021 (8)
– Audit depth and trails – AS9104 (8), ISO 19011 (6.5), IAF
Guidance to Guide 62
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit Conduct
• Final steps:
– Identify Findings and notify the AB team lead AS9104-2 (8.2.5)
• If AB lead is not in agreement; notify the AB & RMC AS9104-2
– AB (with OP assessor) to establish
conclusions & prepare NCR’s - ISO 17011 (7.8)
– AB to conduct closing meeting - ISO 17011
(7.8)
• AFTER CB’s closing meeting with organization
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
CB Witnessed Audit : Post Activities
• AB to generate audit report – ISO 17011 (7.8)
• OP Assessor to complete AS9104-3 (appendix G
& K) and provide to the AB and OEM main contact
• AB to manage the NCR / corrective action
process with CB – ISO 17011 (7.8)
• AB ensures effective cause, correction, corrective action
• OEM may request a copy of AB’s assessment
report
– If requested AB sends the information to the OEM main
contact
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Lessons Learned
over the years on joint assessments
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Lessons Learned
Scheduling Joint Activity
• OEM to identify assessor to conduct
assessments ASAP (and notify AB)
• OEM to notify AB of any assessor
changes ASAP
– ANAB to notify all parties of auditor
change
– Make sure replacement is qualified.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Lessons Learned
Preparation for Joint Activity
• OP assessor must
– Be qualified/trained
– Have knowledge of the standards
– Have a copy of the standards
– Have post-activity forms to complete
All to be provided by OEM.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Lessons Learned
CB Office Assessment Conduct
•
OP Assessor active participant in assessment –
assist where AB needs assistance WITHOUT a lot
of AB assistance
• Understanding that for many CBs, the aerospace
component of the CBs’ business is a [very] small
fraction of their overall business.
– Sensitivity to the ENTIRE scope of the assessment.
• Not conducting 2nd party audits
• Caution with conflict of interest and
confidentiality.
– Acquiring information for OEM procurement process is
not acceptable.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Lessons Learned
CB Witnessed Audit Conduct
• Organization may ask questions about the
oversight; OP assessor may have to explain the
oversight process (during opening meeting,
breaks, etc)
• Asking simple questions and/or making simple
comments during witnessed audit is considered
interfering.
• Talking to the AB assessor team is distracting
during the audit.
• Not conducting 2nd party audits
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Lessons Learned
Joint Assessment Post-Activity
• Document findings against REAL requirements.
– What an “OEM wants” (or their philosophy) v.
requirements and “wants” are not NCR’s
• Categorize findings appropriately.
• OEM auditors to complete AS9104-2 appendices
in a timely manner.
– Provide feedback on the AB process too!!
• If a decision is appealed by CB; be available to
participate in appeal hearing.
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Remember
Registration Management Committee (RMC)
Workshop – January 25, 2007 – Dallas, TX
Other Party (OP) Assessor
Burning questions