Module 2
Introduction to the
Industry Controlled Other Party (ICOP)
Process
November 2015
IAQG OPMT OP Assessor Training
Module Summary
• In this module you will learn about:
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–
–
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The Industry Controlled Other Party (ICOP) Scheme
The IAQG Other Party Management Team (OPMT)
The Online Aerospace Supplier Information System (OASIS)
The Sector Management Structure (SMS)
The Certification Structure Oversight Committee (CSOC )
Responsibilities within the ICOP process for:
» IAQG member companies
» OPMT
» SMS
» CSOC
» Other Party Assessor
– Different ways of viewing and understanding the ICOP scheme
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IAQG OPMT OP Assessor Training
What Is ICOP?
• ICOP is a globally harmonized Aviation, Space & Defense
Quality Management System (AQMS) Certification process
defined by the IAQG
– Industry Controlled:
» The IAQG through each Sector provides direct oversight of all AQMS
certification activities
– Other Party:
» Certifications activities are conducted by accredited Certification Bodies
(CB) and Authenticated Aerospace Experienced Auditors (AEA) that are
recognized through the ICOP process
• ICOP process is managed by the IAQG Other Party
•
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Management Team (OPMT)
Provides AQMS certification for 9100, 9110 and 9120
IAQG OPMT OP Assessor Training
What Is ICOP?
• Benefits
– Globally harmonized certification scheme that is recognized by
major Aviation, Space and Defense companies
– Supports supplier approval activities with a recognized quality
management system certification
– Process approach to conformance assessment
– Focus on exceeding customer expectations
• Risks
– Does not prevent procurement from poor performing suppliers
– It is not certification of product
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IAQG OPMT OP Assessor Training
Industry Controlled Other Party
• Our Aviation, Space & Defense sector certification
scheme utilizes:
– ISO for basic requirements, and
– supplements ISO with Aviation, Space and Defense (AS&D)
unique requirements.
– e.g. ISO 9001 as supplemented by 9100
• Certification Criteria are linked to ISO/IEC 17021 and
International Accreditation Forum (IAF) Documents
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IAQG OPMT OP Assessor Training
IAQG OPMT
• Mission:
– Management and oversight of the 9100 series Aviation, Space and
Defense Quality Management System certification program.
• Strategic Objectives:
– Continually improve the globally harmonized Industry Control Other
Party quality management system certification program to be efficient,
recognized, and bring measurable benefits to stakeholders.
– Enhance the competency of Auditors, Other Party (OP) Assessors
and stakeholders that are engaged in ICOP activities.
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IAQG OPMT OP Assessor Training
IAQG OPMT Structure:
Ian Folland
++ IAQG-OPMT Chair
+
IAQG-OPMT V-Chair
*
Sector OPMT Leader
IAQG OPMT
IAQG OPMT Support
Bryan Blunt / Giuseppe Leoni
OASIS Support
Americas
Asia Pacific
Europe
R Darrell Taylor *
Shuji Komori *
Mark Rogers *
Raytheon
FHI
AgustaWestland
Tim Lee
Yoshifumi Yasunaga
Marie-Laurence Petit+
KHI
Airbus
Masakazu Shimanuki
Hubert Kern
UTC Aerospace Systems
(Alternates)
John Horan Honeywell
Judy Chapman Parker
Brian Geer Lockheed Martin
FHI
(Alternates)
Tamaki Nishio IHI
FACC
(Alternates)
André LaCroix Airbus D&S
Eric Saillard Thales
AB Focals:
Dale Gordon
Kunihiro Tanabe
Steve Randall
ANAB
JAB
UKAS
CB Focals:
Reg Blake
Michihiko Banno
François Dumesnil
BSI
BSK
Bureau Veritas Certification
Ind. Assoc. &
OASIS Focals:
Becky DeGutis
Takayoshi Maehata
Ian Folland
SAE
SJAC
EAQG
IAFVoting
Focal:
Members
Norbert
Borzek
DAkkS
Brian Geer
Lockheed Martin
Boeing
Susie Neal
++
Structure as of September 24, 2015
IAQG OPMT OP Assessor Training
IAQG OPMT Sub-Teams
Document Representatives:
 9104-001 – Tim Lee**
• Shuji Komori*
• R Darrell Taylor*
• Ian Folland*
 9104-002 – Tim Lee**
• Kenji Shibata*
• Tim Lee*
• Marie-Laurence Petit*
 9104-003 – Will Tate**
• Shuji Komori*
• Eric Jefferies*
• Ian Folland*
** IAQG Document Representative (IDR)
* Sector Document Representative (SDR)
Communications and Collaboration:
 Reg Blake
Sanctioned Training:
 John Horan
OASIS:
 Bryan Blunt
Operating Procedures:
 Judy Chapman
IAF Membership Focal:
 Brian Geer
Sector Oversight:
 Judy Chapman / Tim Lee
Budget/Finance:
 To be advised
Metrics, Web-site & Administration:
 Ian Folland
Requirements:
 ISO Standards, 9001: Susie Neal
OASIS Next Gen Project:
 Giuseppe Leoni
Structure as of August 28, 2015
9104 Series “Trilogy”
• 9104-001
– Requirements for Aviation, Space, and Defense Quality Management System
Certification Programs
• Scope:
– The purpose of this standard is to define the requirements and industryaccepted practices for managing the ICOP scheme, which provides
confidence to aviation, space, and defense customers and organizations that
their suppliers with certification of their quality management systems, issued
by accredited CBs, meet the applicable AQMS standard requirements.
– The requirements established in this standard are applicable to the IAQG and
its three sectors for managing AQMS certification and associated activities.
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IAQG OPMT OP Assessor Training
9104 Series “Trilogy”
• 9104-002
– Requirements for Oversight of Aerospace Quality Management System
Registration/Certification Programs
• Scope:
– 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.
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IAQG OPMT OP Assessor Training
9104 Series “Trilogy”
• 9104-003
– Requirements for Aerospace Auditor Competency and Training Courses
• Scope:
• This document provides the minimum requirements (Body of Knowledge) for
AQMS auditors who will participate in AQMS certification/registration
activities, including the auditor authentication process and requirements for a
training organization. It is applicable to auditors seeking formal approval to
conduct audits of the AQMS in support of the IAQG, and those who manage
the competency element of an AQMS audit program and/or training
organizations.
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IAQG OPMT OP Assessor Training
ICOP Criteria
• 9104-001 – Accreditation/Certification Requirements
– Certification Structures
– Sector Requirements
– Requirements for participating entities:
» Recognized Accreditation Bodies (ABs)
» Accredited Certification Bodies (CBs)
» Authenticated Aerospace Auditors
» Auditor Authentication Bodies (AABs)
» OASIS database management
• 9104-002- Oversight
– Oversight and surveillance process to ensure conformance to
established aerospace industry 9100-series standard
accreditation/certification requirements
• 9104-003 – Auditor Authentication & Training
– A common process for aerospace auditor training and
authentication to be utilized by all the IAQG sectors
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IAQG OPMT OP Assessor Training
On-Line Aerospace Supplier
Information System (OASIS)
• OASIS Database – 17,000+ Sites
˗ Database where all information related to ICOP certifications, auditors
and audit results is stored
˗ Only general information such as Accreditation Bodies, Certification
Bodies, Certified Supplier sites, Approved Auditors is publicly
accessible. Audit data access is granted by certified organization.
˗ Audit results data available when authorized by Organization.
˗ Includes a robust Stakeholder Feedback process to Certification Bodies
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IAQG OPMT OP Assessor Training
On-Line Aerospace Supplier
Information System (OASIS)
• OASIS Database – Guidance
˗ OASIS database has an extensive guidance section that includes the
latest information such as:
˗ The link to the guidance is on the OASIS homepage:
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IAQG OPMT OP Assessor Training
On-Line Aerospace Supplier
Information System (OASIS)
• Once a user is logged into OASIS, the database provides
Data Search access to:
– Certified Supplier Directory
– Accreditation Information
» National Accreditation Body
» Certification Body
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Training Approval Bodies
Auditor Authentication Bodies
Auditors
Feedback Process
Useful links
» Supply Chain Management Handbook
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IAQG OPMT OP Assessor Training
On-Line Aerospace Supplier
Information System (OASIS)
• OP Assessors can request access to audit results data
via the database:
– Controlled by certified organization
– Needed to support Witness Audit preparation
• May need to contact organization
directly if access is not granted.
• Advise the organization as to the
need and use of data to support
witness audit preparation.
• Click on “Assessment Results”
tab.
• Select the latest “Assessment
History”
• Use “click here” link at the
bottom of web page to request
access.
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IAQG OPMT OP Assessor Training
OASIS Feedback
• OP Assessors should utilize the attached link below and review
the OASIS Feedback guidance demonstration.
OASIS Feedback Guidance
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IAQG OPMT OP Assessor Training
On-Line Aerospace Supplier
Information System (OASIS)
• OP Assessors should:
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Obtain an OASIS log on and password credentials
Review help guidance section of the database
Become familiar with the Feedback process
Have the ability to:
» Review public information
» Request access to audit results (Tier 2) data and
▪ Recognize the need to maintain confidentiality of the data
(Reference: 9104-001 section 19.1)
» Know how to determine Certification Body (CB) accreditation and
Auditor Authentication status.
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IAQG OPMT OP Assessor Training
OPMT - Sector Management Structure
• Sector Management Structure (SMS)
– The organization established in an IAQG sector that manages the
application and oversight of the ICOP scheme as defined by this
standard.
– Each sector may use a different name for this organization
» i.e., Registration Management Committee (RMC) in the Americas and
»
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Asia/Pacific,
EAQG OPMT and national CBMCs in Europe.
(Reference: 9104-001 Section 3.24)
IAQG OPMT OP Assessor Training
IAQG OPMT - Sector Management Structure
Other Party Management Team
IAQG
General Assembly
OPMT
Committee
Sector Management Structures
• Acronyms:
RMC - Registration
Management Committee
RMC
EAQG OPMT
JRMC
(Americas)
(Europe)
(Asia / Pacific)
OPMT - Other Party
Management Team
JRMC - Japan Registration
Management Committee
Voting Members;
ABs;
CBs; and
Industry
Representatives
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Voting Members;
ABs;
CBs; and
Industry
Representatives
Voting Members;
ABs;
CBs; and
Industry
Representatives
AB - Accreditation Bodies
CB - Certification Bodes
IAQG OPMT OP Assessor Training
Sector Management Structure
• An SMS may be supported by a Certification Body
•
Management Committee (CBMC) structure within the SMS.
CBMC
– An organization within an SMS that functions on a national level e.g.,
Italy, France, Germany, Spain, United Kingdom, Austria
– Responsible for 9104-series standards conformance in their
respective countries.
– They perform the same functions as the SMS, under control of the
SMS within their sector.
(Reference: 9104-001 Section 3.10)
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IAQG OPMT OP Assessor Training
ICOP Responsibilities - IAQG Member Companies
• Any IAQG member company wishing to recognize AQMS
•
certification shall provide resources needed to support the ICOP
scheme and conduct shared oversight.
IAQG Member Companies shall:
– Ensure that assigned representatives, who support IAQG ICOP scheme
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activities, have the necessary tools (e.g., published standards, computer,
equipment) and resources to accomplish committed tasks.
Ensure that only qualified individuals are assigned as OP assessors to
conduct oversight assessments or participate in joint team assessments
supporting the ICOP scheme oversight process.
Ensure conformance with the requirements defined in 9104-002.
Authorize and approve Other Party Assessors that represent their company.
Maintain records to support the qualification of OP assessors.
IAQG OPMT OP Assessor Training
ICOP Responsibilities – IAQG OPMT
• The OPMT is responsible for the management and oversight of
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the 9100 series Aviation, Space and Defence Quality Management
System certification program.
Responsibilities also include:
– Ensure that the OASIS database operates and functions effectively and is
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accessible.
Oversight of each SMS
Periodic review of the lessons learned by each of the IAQG sectors.
Reporting to the IAQG Council on the periodic reviews for each IAQG sector’s
Evaluating the results of IAF Peer Reviews of ABs
Monitor feedback from IAQG member companies, OASIS database users,
certified organizations, and related stakeholders (e.g., ABs, CBs).
Conducting periodic reviews and recommend initiatives that will continue to
develop and improve the effectiveness of the ICOP scheme.
IAQG OPMT OP Assessor Training
ICOP Responsibilities - SMS
• The SMS has the responsibility for the management, review,
•
approval, implementation, and modification of their sector
operating procedure(s).
The SMS has the responsibility to:
– Establish and maintain operating procedures, which support
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implementation and conformance to ICOP requirements.
Review and recognize ABs and new AB accreditations of CBs.
Each SMS shall report essential data that describes deployment activities
to the IAQG OPMT.
The SMS shall determine and approve CBMCs, when utilized.
Review and approve AABs and TPABs operating in their sector.
Oversight of all recognized and approved bodies in accordance with 9104002.
IAQG OPMT OP Assessor Training
ICOP Responsibilities - CSOC
• The Certification Structure Oversight Committee (CSOC) has
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the responsibility for the review of complex certification
structures and certification structure complaints as outlined in
9104-001
The CSOC has the responsibility to:
– Establish and maintain operating procedures, which support implementation
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and conformance to ICOP requirements.
Review and approve complex certification structure audit programs.
Review all requests and complaints via the AB-CSOC OASIS feedback
function
Support the development of guidance materials, lessons learned and FAQ’s
Report to IAQG OPMT and SMS on CSOC activities.
IAQG OPMT OP Assessor Training
CSOC Guidance
http://www.sae.org/iaqg/o
rganization/csoc.htm
• Committee established
to review “Complex”
certification structure
audit programs.
Action: OP Assessors should use
website link: Review the site and
OPMT Procedure 204
• Process defined in
OPMT Procedure 204
• Committee supports
resolution of
complaints related to
structure decisions
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IAQG OPMT OP Assessor Training
ICOP Responsibilities - Other Party (OP) Assessors
• OP Assessors have the responsibility to be trained, qualified and
•
authorized by their respective IAQG Member company. They shall
conduct assigned shared oversight activities in accordance with
9104-002.
Additional OP Assessors responsibilities include:
– Complete and maintain the required 9104-002 (Form A) declaration form.
– Declare any conflicts of interest that may exist for a particular assessment
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assignment (e.g., OP assessor contracted by AB or CB).
Support the assessment team to meet the assessment objectives.
Accept and complete assessment assignments from the oversight
assessment team leader. Note: For joint assessment the AB Assessor will be
the team leader.
IAQG OPMT OP Assessor Training
ICOP Responsibilities - Other Party (OP) Assessors
• Additional OP Assessors responsibilities include:
– Generating applicable assessment reports, including all required 9104-002
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forms.
Protection of confidential information obtained during an oversight
assessment.
Elevate any unresolved complaints/issues to the appropriate body (e.g., AB,
SMS, IAQG OPMT).
OP Assessors represent:
•
•
•
•
Themselves
Their IAQG Member Company
The IAQG
The Aviation, Space & Defense Industry
Focused on conformance and adding value to the ICOP scheme.
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IAQG OPMT OP Assessor Training
9104-002 Process Model
• Appendix C – Industry Controlled Other Party (ICOP) Process
Model was developed to provide a visual graphic of the overall
process:
Inputs:
• Customer
requirements
Approval of ABs,
TPABs and AABs
• Regulatory
Requirements
• Supplier(s) AQMS
Accreditation of
CBs by ABs
9104-001
9104-003
Approval of TPs by
TPABs
Authentication of
Aerospace Auditors
by AABs
Application Review
Initial Audit
(Stage 1 & 2)
IAQG
OPMT, SMS, CMBC
9104-002
Oversight
3 Year Certification Cycle
Surveillance
Re-certification
9100/9110/9120 Certification of a Supplier (CB Client) by CB’s
Corrective Action
& Certification
Decision
Acronyms:
• IAQG – International Aerospace Quality Group
• AAB – Auditor Authentication Body
• OPMT – Other Party Management Team
• AB – Accreditation Body
• SMS – Sector Management Structure
• AQMS Aerospace Quality Management System
• TP – Training Provider
• CB – Certification Body
• TPAB – Training Provider Approval Body
Outputs:
• AQMS Certified
Suppliers Delivering
On Time & On Quality
Products & Services
• Records and Data
into OASIS database.
• CBMC – Certification Body Management Committee
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IAQG OPMT OP Assessor Training
Visualising ICOP - Turtle
How (methods, procedures):
With Whom (Resources):
• IAQG Vision and Objectives
• Authenticated Auditors (AEA and AA)
• IAQG 9104-1, -2, -3
• CB certification and decision process personnel
• ISO 17011
• AB Assessors
• ISO 17021 and IAF Mandatory Documents 1 to 5
• AB accreditation process and decision personnel
• IAQG OPMT Resolutions Log
• OP Assessors
• IAQG Procedure 112
• Sector Management Structure (SMS and CBMC)
• IAQG OPMT 200 series procedures
• OASIS Database Administrators and SAE Support
• SMS and CBMC procedures
ICOP Process
Inputs:
Process Steps:
Approval of TPABs, TPs, AABs and ABs
Training
Authentication of Aerospace Auditors
Accreditation of CBs
91XX Certification of Suppliers including:
- Application Review
- Initial Assessment
- Surveillance
- Re-certification
- Decision Making
Oversight
• Regulatory Requirements
• Customer requirements
• Supplier(s)
Outputs:
• AQMS Certified Suppliers
delivering on-time and on
quality delivery (OTOQD)
• OASIS Records and Data
• OASIS Revenue to IAQG
With What: (Equipment, Installations)
Metrics: (KPIs, Measurables)
• Accredited CBs
• Agreed IAQG OPMT Metrics
• ABs
• IAQG Procedure 112 Budget, spend and cancellations
• OASIS database
• Approved TPs
• Approved AABs
• Approved TPABs
• SMS budget including OP Assessor Travel
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IAQG OPMT OP Assessor Training
OP Assessor Training
Please open Module 3 to learn more about the requirements
for the face-to-face training.
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IAQG OPMT OP Assessor Training