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 GM Daimler AG

OEM

Fiat Chrysler BMW Group VW AG

National Supplier ANFIA FIEV AIAG SMMT VDA

Organizations

IATF -
Database

Organization
audit &
certificate
Global Oversight Offices
data / auditor
& witness ANFIA IATF France IAOB SMMT VDA-QMC
audit data

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
organisations 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 organisations
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 organisations
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,
Resource
analysis and Satisfaction
Management improvement

Input Output
Product
Requirements Product
realization

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. determine the processes needed for the quality

management system and their application throughout
the organization (see 1.2),
b. determine the sequence and interaction of these
processes,
c. 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. ensure the availability of resources and information

necessary to support the operation and monitoring of
these processes,
e. monitor, measure where applicable, and analyse these
processes, and
f. 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 OUTPUT
Customer who Customer who
has a need has a need met

Step Step Step Step

1 2 3 N

Input Output
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

GENERAL MANAGEMENT
Remote
Supporting
Function

SALES PLANNING Design & SHIPPING

PRODUCTION
Department Department Development Department Department

Visit prepare Requirement Approve

prospective medium term Definition & Supply
plan transporters
customers Communicate

Risk - Negotiate
Understand Set up Methods
supplier
requirements budget
Determine &
contract
Communicate
organize
forecast
planning Configuration Inspection
Manage stock Customer
sales input
operation Control
receives
product
negotiate plan V&V Organize
Manufacture delivery
contract capacities Approach
Customer Set up the Control
manage Producibility Operator
needs orders
production
maintenance
delivery
program quality
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 C

U U

S customer oriented process n 1 S

T T
customer oriented process n 2
O O

M customer oriented process n 3 M

E E
customer oriented process n n R
R
S 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 Customer RISK!
RISK!
O I
I O
O I
Production
Customer planning Customer
Delivery
I O
Product and Process Payment
Verification & Validation

O I
Customer Product and
Process Design
Organization Warranty / Service Customer
I O

Post Sales /
Contract review Customer
O Feedback I
Customer Market Analysis / Customer
Bid / Tender
I O
RISK!
O I RISK!
I O
Customer Customer
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Management Processes

C management processes C

U U

S customer oriented process n 1 S

T T
customer oriented process n 2
O O

M customer oriented process n 3 M

E E
customer oriented process n n R
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
U customer oriented process n 1
S S

T customer oriented process n 2 T

O O
customer oriented process n 3
M M
E
E customer oriented process n n
R R
S
S support processes

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 C

U U

S customer oriented process n 1 S

T T
customer oriented process n 2
O O

M customer oriented process n 3 M

E E
customer oriented process n n R
R
S S
support processes
 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 S

T T
C2 : Design and development product/process
O O

M
C3 : Production and delivery M

E E
C4 : Dealing with customer complaints
R R

S S
S4
S1 S3
S2 Manage
Manage Manage
Manage skills computer
suppliers equipment
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

Business
Plan
P O
O B
L J
I E
C C
Y T
I
V
E
S

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 Decisions
Policy
Objectives Review
Top management Resources information Top management

Reporting
Risk analysis
Improvement
Process owners Planning the Process owners
Collect and
activities analyse data

Operations and
recording
Participants Participants
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Start with a questions about performance, what is

C expected from the process, what are the objectives/
measures, what is the actual performance?

A How is performance of the process being improved?

How was the process planned, what systems are in

place to ensure the process is controlled. Does the
P process address the AS9100 and relevant customer
requirements?

Is the process being carried out as planned? Are the

Do systems understood by all involved in the process?
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

With WHO?
With WHAT?
(TRAINING,
(EQUIPMENT/ KNOWLEDGE,
INSTALLATIONS) SKILLS)

INPUT REQUIREMENTS OUTPUT

SATISFACTION
Customer Who Customer Who
has a Need PROCESS has a Need Met

HOW ?
(INSTRUCTIONS,
PROCEDURES
METHODS Start With
)
INCLUDING
SUPPORT
PROCESSES
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
Organizations should define their processes

Organizations 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