Independent Oversight Assessments

Independent Oversight Assessments John Horan Honeywell Aerospace January 16, 2014 Other Party (OP) Assessor Workshop Palm Beach Gardens, Florida January 16, 2014

Who is the IAQG?

Who is the IAQG? To the companies supplying the Aviation, Space and Defense industry and the Certification Body Auditors and Support Staffs…… ….. it’s us. We are the faces that the Aviation, Space and Defense supply base associates with the IAQG/AAQG/RMC… Our behaviors, attitudes and attention to detail are a reflection of the industry.

Independent OP Assessments… Which one best shows your preference? • “Avoid them……..?” • Too much work, unsure of the process, etc. • Embrace them…….! • The oversight process was designed to be more than the Accreditation Board oversight. • Member companies have a responsibility in the oversight process.

Levels and Types of Oversight…

Levels and Types of Oversight… Our focus in this presentation…

Focusing on Oversight of CB’s… • Each member company is required to complete 4 oversight assessments/activities per year. • 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. • IAQG member companies may conduct additional oversight, above the minimum 9104-2 requirements and outside the SMS shared oversight schedule.

Focusing on Oversight of CB’s… • Each member company is required to complete 4 oversight assessments/activities per year. • 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. • IAQG member companies may conduct additional oversight, above the minimum 9104-2 requirements and outside the SMS shared oversight schedule. Sometimes, circumstances don’t allow this to happen or an IAQG Member company may choose to Conduct a Independent IAQG Member Oversight assessment

Conducting Independent Office or Witness Assessments… • AS9104-2 Defines the Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs • Includes the various check sheets, declaration forms, records and reports in Appendix A through K. • Replaced by Forms A – N, effective 2013 Anyone doing oversight assessments needs to have the Form A on file. Please check the listings for your company and if you are adding any new assessors for 2014 please get the new forms submitted.

IAQG Forms Management IAQG Forms Management Page - AS9104-002

Independent CB Office Assessment… Standard Work (Job Aid) for planning and completion of Independent Assessments are available upon request.

Independent CB Office Assessment…

Changes Coming…. Coming with new revision of AS9104/2, para. 7.15.2 b): For shared or supplemental oversight assessments, any open nonconformity shall be elevated to the appropriate entity (i.e. AB, CBMC, SMS) for initiation of the suspension process, as defined by the 9104-001 standard.

Independent CB Office Assessment… Steps 4-8 are the same for OFFICE or WITNESS assessments

Office Assessments CB office assessments shall include a review of CB activity to ensure conformance with the requirements of 9104 and applicable industry standards. The assessment shall include a review of the latest CB oversight office assessment reports, including actions taken. OP assessors are responsible to ensure they have been approved by their respective IAQG member company and submit a completed declaration form to the SMS, prior to conducting an assessment. OP assessors are expected to declare any potential conflict of interest prior to acceptance of an oversight assignment. Key Points…

Independent CB Witness Assessment

Independent CB Witness Assessment Steps 4-8 are the same for OFFICE or WITNESS assessments

Witness Assessments The objective of any AB/CB witness assessment is to assess: Team competence. Conformity to established requirements. The effectiveness of the assessment program. Conformity of the assessment team with the AB/CB procedures and processes. The OP assessor shall not influence the AB or CB audit team, during the audit conduct portion of the witness assessment. Not auditing the client, we’re assessing the audit team. Do not interject into the audit. All feedback to the audit team is conducted after the audit closing meeting and always in private (away from the client) Key Points…

Independent Assessments Independent Assessments • Don’t avoid the process. • Don’t allow poor communication with ANAB or the CB impact the oversight process. • Don’t guess, resources are available if you need to “phone a friend” • Don’t interfere, or otherwise influence, witness audits between the CB and their client. • Don’t delay in completing and submitting required forms. • Don’t forget the roles and responsibilities that we have to provide oversight to this process. • Don’t disengage. Remember, we are the faces/perception of the IAQG that the CB and/or clients see. • Embrace the process. • Understand that our actions impact the credibility of the process. • Be professional, friendly and courteous. • Understand the various standards and requirements. • Coordinate all logistics with ANAB or the CB as appropriate. • Understand your roles and responsibilities in Office vs. Witness Assessments. • Complete and submit all required forms and submit in a timely manner. • Manage any resulting Corrective Actions as appropriate. • Be an ambassador for the IAQG/AAQG/RMC. Remember, we are the faces/perception of the IAQG that the CB and/or clients see.

Honeywell Aerospace • 33 years Metallurgical and Quality experience in Primary Metals (3 years), Automotive (22 years) and Aerospace (8 years) industries. • Currently responsibilities: • Process Improvement Leader for Audit processes within Honeywell Aerospace. • Authenticated AEA through RAB/QSA • AATT Certified Trainer • OP Assessor representing Honeywell Aerospace • Previous Experience: • Process Improvement Leader for Honeywell Aerospace Aftermarket Services • Worldwide Quality Leader 19 site Automotive Engine Components designer and manufacturer.

Independent Oversight Assessments