Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Roles & Responsibilities
Pre- and PostAssessment Activity
Lori Scheid-Gillespie
Accreditation Manager (ANAB)
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment
Lori Scheid-Gillespie
Accreditation Manager (ANAB)
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment & Witness
Assessment Scheduling
Note: other AB processes may vary
• AB confirmation letter sent to OEM primary
contact
• OEM notify AB of assigned OP assessor
– AB to update the Oversight Spreadsheet with
OP assessor information (for OEM & AB use)
• OEM primary contact to notify their OP assessor
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment & Witness
Assessment Scheduling
Note: other AB processes may vary
• AB notifies their assessment team with the OP
Assessor contact info
• AB team lead will contact the OP assessor
directly
– May not be right away; may be closer to the
assessment for open meeting planning.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
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)
• Assessment Plan
• Document Review (if applicable)
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
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 OP assessor (NOT
including standards / requirement documents)
– If the OEM assessor 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
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
• Review appropriate parts of the standards to refresh your memory.
• ANAB team lead to schedule a pre-assessment
meeting with OP Assessor to meet and discuss
plan and remind OP Assessor of basic process
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment Conduct
• What to assess included in the Body of
Knowledge presentation
• Try and keep current with record review (past
year or so).
• Try and work independently with limited
assistance from the AB.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment : Post Activities
• 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 K)
• If AB lead is in agreement no need to
document findings on Appendix K.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment : Post Activities
• Final steps:
– 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment : Post Activities
• AB to generate Assessment report – ISO 17011 (7.8)
• OP Assessor to complete AS9104-3 (Appendix F &
K) and provide to the AB and OEM main contact
– Appendix F will be incorporated into the AB’s
Appendix F
• Can also just submit notes to the AB and not
the appendix.
– Appendix K will be provided to the AAQG RMC
Oversight Chair for review.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Office Assessment : Post Activities
• AB to manage the NCR / corrective action process
with CB – ISO 17011 (7.8)
• AB ensures effective cause, correction,
corrective action
• AB establishes timeframes and approves
extensions (if applicable)
• 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment – OP Assessor
Role
• OP Assessor serves as an AB team member
• Roles & Responsibilities covered in previous
presentation; however,
• During Witness Assessment
– Silently observe
– Do not influence outcome of Assessment!
– 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment Preparation
• Documents needed to perform the Witness
Assessment
• Requirement Documents
• CB Procedures related to AS audit
• AS9104-2 Appendix G (CB Witness
Assessment Checklist)
• AS9104-2 Appendix K (Oversight
Assessment Summary Report)
• CB Audit Plan
• CB document review (if applicable)
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment Planning
• CB documents are received by the AB (from the
CB) approx. 4 weeks prior to the Witness
Assessment
• AB sends the info to assigned OP Assessor (NOT
including standards / requirement documents)
– If the OP Assessor has yet to be assigned; AB
sends the info to the OEM main contact
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment Planning
• 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment 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 refresh your memory.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment Planning
• ANAB team lead to schedule a pre-assessment
meeting with OP Assessor to meet and discuss
plan and remind OP Assessor of basic process.
– This may be done during the AB/CB opening
meeting
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment: Post Activity
• 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 via AS9104-3 (Appendix K)
• If AB lead is in agreement no need to
document findings on Appendix K.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment: Post Activity
• Final steps:
– 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.
• OP Assessor to participate in the closing
meeting.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment: Post Activities
• AB to generate assessment report – ISO 17011
(7.8)
• OP Assessor to complete AS9104-3 (Appendix G
& K) and provide to the AB and OEM main contact
– Appendix G will be incorporated into the AB’s
Appendix G.
• Can also just submit notes to the AB and
not the appendix.
– Appendix K will be provided to the AAQG RMC
Oversight Chair for review.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
CB Witness Assessment: Post Activities
• AB to manage the NCR / corrective action
process with CB – ISO 17011 (7.8)
• AB ensures effective cause, correction,
corrective action
• AB establishes timeframes and approves
extensions (if applicable)
• 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Appendix Completion
• F – CB Office Assessments
• G – CB Witness Assessments
– Joint – can complete if want; AB shall
complete
– Independent – must complete
• K – All Assessments must be completed
– Provide to the AB Lead Assessor ASAP
• preferably prior to the end of the assessment
• If not on-site, via e-mail to AB Lead Assessor
– Reviewed by RMC Oversight Chair (currently
Susie Neal) and summarized for RMC
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Lessons Learned
over the years on joint assessments
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
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 assessor change
– Make sure replacement is qualified.
• After the confirmation letter (which can come
months prior to an assessment) an OEM will not
get another notice of the assessment until a few
weeks prior to the assessment.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Lessons Learned
Preparation for Joint Activity
• OP assessor must
– Be qualified/trained
– Have knowledge of the standards
– Have a copy of the standards
– Have signed and turned in Appendix I
– Have post-activity forms to complete
All to be provided by OEM not by the AB.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Lessons Learned
CB Office Assessment Conduct
• 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)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Lessons Learned
CB Witness Assessment 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 Witness Assessment is
considered interfering.
• Picking up records, materials, parts, etc. is
considered interfering
• Talking to the AB assessor team is distracting
during the audit.
• Not conducting 2nd party audits
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Lessons Learned
Joint Assessment Post-Activity
• OEM assessors to complete AS9104-2
appendices in a timely manner.
• If a decision is appealed by CB; be available to
participate in appeal hearing.
Registration Management Committee (RMC)
Other Party (OP) Assessor Workshop
January 16, 2009 – Orlando FL
Questions / Comments