Registration Management Committee (RMC) Auditor Training and

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 WELCOME! Americas Aerospace Quality Group AAQG Registration Management Committee RMC Auditor Training and Workshop Session Minneapolis, MN July 30-31, 2009 Value Added Aerospace Auditing

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Paul Hardiman: SMMT Industry Forum Qualified Mechanical Engineer Work Experience in the automotive and aerospace supply chain Experienced auditor: ISO 9001, QS-9000, and ISO/TS 16949 Assisted organizations with implementing AS9100, ISO/TS16949 (or both)

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 IATF ISO/TS16949 Scheme Structure IATF Original Members PSA Renault FORD Daimler AG GM OEM Fiat National Supplier Organizations ANFIA BMW Group Chrysler FIEV AIAG VW AG SMMT VDA SMMT VDA-QMC IATF Database Organization audit & certificate data / auditor & witness audit data Global Oversight Offices ANFIA IATF France IAOB Global Oversight Scheme Management Responsibilities Administer the IATF defined registration scheme

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Role of Oversight Certification Body applications Office Assessment Witness Audits IATF database management Provide Interpretations and Guidance on the application through the issuing of Sanctioned Interpretations (SI) and Frequently Asked Questions (FAQ). Monitor Certification Body Activities (including IATF OEM input) Qualify certification body auditors

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Auditor Guide to ISO/TS16949 First Edition April 2009 Available for purchase www.smmt.co.uk ( 15, 23)

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Essential auditing criteria Process Approach Demonstrates priority is given to questioning the organisation’s identification of processes, their sequence and interactions, and performance against the objectives / measures defined, with focus on the processes which directly impact the customer Customer, regulatory, industry requirements Demonstrates that these requirements are integrated into a process based audit. Effectively audit the organisation’s process for gathering, communicating and implementing these requirements.

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Essential auditing criteria Prioritisation Demonstrates priority is given to questioning the process objectives and performance, and focus on issues that have the greatest impact on the customer Focus on performance Identifies issues/trails around the organisation’s process for setting objectives/ targets, what plans are in place to ensure targets are met, and corrective action plans where objectives/targets are not being met

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Essential auditing criteria Knowledge/Application of AS9100, AS9110 and AS9120 requirements (and associated checklists) Demonstrates knowledge and application of the requirements within a process based audit Analyse and Synthesize data Demonstrates the ability to collect and analyse data, and draw accurate conclusions based upon the data. Synthesize isolated but connected data in order to draw conclusions.

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Workshop agenda Determining the audit scope and exclusions Identification of processes and their interactions Auditing of processes to verify effectiveness (and efficiency) – Focusing on areas of significance – Time Management Auditing Top Management – Case study

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Scope and exclusions Review case study The customer is paying for the tooling, and is also purchasing tooling from Alba Gear Inc to assist them in their assembly process What would be an appropriate scope for AS9100 registration? What would be permissible exclusions?

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Conclusion: Scope and exclusions Where any of the requirements cannot be applied due to the nature of the organization and its products, this can be considered for exclusion Where exclusions are made, claims of conformity to this international standard are not acceptable unless these are limited to requirements with clause 7, and as such exclusions do not affect the organisation ability, or responsibility, to provide product that meets customer and applicable statutory and regulatory requirements

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 AS9100 0.2 Process Approach This International Standard promotes the adoption of a process approach when developing, implementing and improving the effectiveness of a quality management system, to enhance customer satisfaction by meeting customer requirements.

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Continual Improvement of the Quality Management System Management responsibility Customers Customers Measurement, analysis and improvement Resource Management Requirements Input Product realization Satisfaction Output Product Value-adding activities Information flow

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 AS9100 4.1 General Requirements The organization shall a. b. c. determine the processes needed for the quality management system and their application throughout the organization (see 1.2), determine the sequence and interaction of these processes, determine criteria and methods needed to ensure that both the operation and control of these processes are effective,

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 AS9100 4.1 General Requirements The organization shall d. e. f. ensure the availability of resources and information necessary to support the operation and monitoring of these processes, monitor, measure where applicable, and analyse these processes, and implement actions necessary to achieve planned results and continual improvement of these processes.

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Defining Processes A process exists as interrelated actions to meet a need – It is a “set of interrelated or interacting activities which transforms inputs into outputs” – Inputs to a process are generally outputs of other processes The individual or group of individuals that have a need are commonly referred to as the “customer” of that process – A customer is an “organization or person that receives the result of a process ”

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 INPUT Customer who has a need Input OUTPUT Customer who has a need met Step Step Step Step 1 2 3 “N” Output

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 GENERAL MANAGEMENT Remote Supporting Function PLANNING Department Design & Development PRODUCTION Department Visit prospective customers prepare medium term plan Requirement Definition & Communicate Supply Understand requirements Set up budget Risk Determine & Communicate forecast sales organize planning operation Configuration Control negotiate contract plan capacities V&V Approach manage orders Set up the production program Producibility SALES Department Customer needs product Methods Inspection SHIPPING Department Approve transporters Negotiate supplier contract Manage stock input Manufacture Organize delivery Operator maintenance Control delivery quality Customer receives product Plan to audit interaction with support processes

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Customer Orientated Processes C Organization U U S T O M E R S C customer oriented process n 1 customer oriented process n 2 customer oriented process n 3 S T O M E customer oriented process n n R S Customer Orientated Process: Focus on meeting external customer needs

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Identification of processes Brainstorm in your groups to identify 5 processes in a typical aerospace tier one supplier where there is interaction with an external customer Define inputs/outputs Is there a sequence in which the processes can be ordered? Discuss in your groups Feedback

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Customer RISK! O I O Customer I Production planning Customer I O RISK! I Customer O Delivery Payment Product and Process Verification & Validation O Customer Product and Process Design Organization I Warranty / Service Customer O I Post Sales / Customer Feedback Contract review RISK! O Customer I Bid / Tender O Customer I Market Analysis / O I Customer I Customer O RISK!

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Management Processes C management processes U U S T O M E R C customer oriented process n 1 customer oriented process n 2 customer oriented process n 3 S T O M E customer oriented process n n R S S Management processes: they ensure continuous improvement of all processes by determining objectives, planning improvements to reach objectives, and analyzing and reviewing data. They interact with all other processes

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 C C U customer oriented process n 1 S S T O M E customer oriented process n 2 customer oriented process n 3 customer oriented process n n T O M E R R S U support processes S Support processes: they allow the other processes to work by supplying the required resources, and contribute to risk control

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Management and Support Processes C management processes U U S T O M E R S C customer oriented process n 1 customer oriented process n 2 customer oriented process n 3 S T O M E customer oriented process n n support processes R S

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 M1 :Define and deploy the strategy C C U U C1 :Listen to the market and make a quote S T C2 : Design and development product/process S T O O C3 : Production and delivery M E M C4 : Dealing with customer complaints E R R S S S1 Manage suppliers S2 Manage skills S3 Manage equipment S4 Manage computer systems

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 AS9100 4.1 General requirements The organization shall: e. monitor, measure where applicable, and analyze these processes, and f. implement actions necessary to achieve planned results and continual improvement of these processes. AS9100 5.4.1 Quality objectives Top management shall ensure that quality objectives, including those needed to meet requirements for product are established at relevant functions and levels within the organization. The quality objectives shall be measurable and consistent with the quality policy

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Process Performance Effectiveness Extent to which planned activities are realized and planned results achieved Customer satisfaction Efficiency Relationship between results achieved and the resources used Organization satisfaction Source: ISO9000: 2005

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 P O L I C Y O B J E C T I V E S CE EN LU INF IM P AC T Business Plan Planning Competence awareness and training

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Top Management Process failed to meet specified objectives Problem causes concern in higher level process Shop floor Process performance measures met

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Process Performance With your previously identified customer orientated processes, define possible measures of process effectiveness and efficiency an organization might use.

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 V cycle approach to auditing Strategy Policy Objectives Top management Decisions Review information Resources Top management Reporting Risk analysis Improvement Process owners Participants Planning the activities Collect and analyse data Operations and recording Process owners Participants

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 C Start Startwith withaaquestions questionsabout aboutperformance, performance,what whatis is expected expectedfrom fromthe theprocess, process,what whatare arethe theobjectives/ objectives/ measures, measures,what whatis isthe theactual actualperformance? performance? A How Howis isperformance performanceof ofthe theprocess processbeing beingimproved? improved? P How Howwas wasthe theprocess processplanned, planned,what whatsystems systemsare arein in place placeto toensure ensurethe theprocess processis iscontrolled. controlled.Does Doesthe the process processaddress addressthe theAS9100 AS9100and andrelevant relevantcustomer customer requirements? requirements? Is Isthe theprocess processbeing beingcarried carriedout outas asplanned? planned?Are Arethe the systemsunderstood understoodby byall allinvolved involvedin inthe theprocess? process? Do systems

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 With WHO? With WHAT? (TRAINING, KNOWLEDGE, SKILLS) (EQUIPMENT/ INSTALLATIONS) has a Need OUTPUT PROCESS SATISFACTION Customer Who REQUIREMENTS INPUT Customer Who has a Need Met HOW ? (INSTRUCTIONS, PROCEDURES METHODS) INCLUDING SUPPORT PROCESSES Start With Performance

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Exercise: Audit of Top Management Review the case study Discuss in your groups what questions would you want to ask top management in the surveillance audit How do the questions link to AS9100 How would you prioritize your questions Feedback to group

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Audit of top management Seek evidence of customer focus Question how quality objectives have been established Question how the quality objectives have been deployed Question on how performance against the quality objectives is reviewed Question what action is taken when objectives are not met

Registration Management Committee (RMC) Auditor Training and Workshop Minneapolis, MN July 30-31, 2009 Conclusions Organization’s should define their processes Organization’s should define how they measure the effectiveness and efficiency of their processes Audits should verify the QMS can consistently provide products that meet customer as well as statuary and regulatory requirements Focus on performance! Thank you