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
Fiat
GM FORD
VW AG BMW Group Chrysler
SMMT AIAG VDA ANFIA FIEV
OEM
National Supplier
Organizations
Global Oversight Offices
SMMT IAOB VDA-QMC ANFIA IATF France
Global Oversight Scheme Management Responsibilities
IATF -
Database
Organization
audit &
certificate
data / auditor
& witness
audit data
Administer the IATF defined registration scheme

Daimler AG
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
Customers
Requirements
Management
responsibility
Measurement,
analysis and
improvement
Product
realization
Resource
Management
Customers
Satisfaction
Product
Output
Input
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
Customer who
has a need
OUTPUT
Customer who
has a need met







Input
Step

1
Step

2
Step

3
Step

N




Output
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
PLANNING
Department
prepare
medium term
plan
Set up the
production
program
plan
capacities
organize
planning
operation
Set up
budget
SALES
Department

Visit
prospective
customers

manage
orders
negotiate
contract
forecast
sales
Understand
requirements
PRODUCTION
Department
Supply
Operator
maintenance
Manufacture
Inspection
SHIPPING
Department
Approve
transporters
Control
delivery
quality
Organize
delivery
Manage stock
input
Negotiate
supplier
contract
GENERAL MANAGEMENT
Methods
Remote
Supporting
Function
Customer
receives
product
Customer
needs
product
Plan to audit interaction with support processes
Design &
Development
Requirement
Definition &
Communicate
Risk -
Determine &
Communicate
Configuration
Control
V & V
Approach
Producibility
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Customer Orientated Processes
customer oriented process n 2
customer oriented process n 3
customer oriented process n n
customer oriented process n 1
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Customer Orientated Process: Focus on meeting external customer needs
Organization
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

Market Analysis /
Organization


Customer

Customer


Customer

Customer

Customer

Customer
Bid / Tender
Contract review
Product and
Process Design
Product and Process
Verification & Validation
Production
planning

Delivery
Payment
Warranty / Service
Post Sales /
Customer
Feedback
Customer
Customer Customer
I
O
I
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I
I
I
I
I
I
I
O
O
O
O
O
O
O
O
O
RISK!
RISK!
RISK!
RISK!
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Management Processes
customer oriented process n 2
customer oriented process n 3
customer oriented process n n
customer oriented process n 1
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management processes
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
customer oriented process n 2
customer oriented process n 3
customer oriented process n n
customer oriented process n 1
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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
customer oriented process n 2
customer oriented process n 3
customer oriented process n n
customer oriented process n 1
C
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support processes
management processes
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
C2 : Design and development product/process
C3 : Production and delivery
C4 : Dealing with customer complaints
C1 :Listen to the market and make a quote
C
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M1 :Define and deploy the strategy
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
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
AS9100 4.1 General requirements
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
Efficiency = Relationship between results achieved and
the resources used
Organization satisfaction
Customer satisfaction
Source: ISO9000: 2005
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
`
Competence awareness and training
Planning
Business
Plan
O
B
J
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C
T
I
V
E
S
P
O
L
I
C
Y
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Process performance
measures met
Problem causes concern
in higher level process
Process failed to meet
specified objectives
Top Management
Shop floor
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
Strategy
Risk analysis

Planning the
activities
Decisions
Review
information
Improvement

Reporting
Collect and
analyse data
Operations and
recording
Top management
Process owners
Policy
Objectives
Resources
Participants
V cycle approach to auditing
Top management
Process owners
Participants
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
C
Start with a questions about performance, what is
expected from the process, what are the objectives/
measures, what is the actual performance?
A
How is performance of the process being improved?
Do
Is the process being carried out as planned? Are the
systems understood by all involved in the process?

P
How was the process planned, what systems are in
place to ensure the process is controlled. Does the
process address the AS9100 and relevant customer
requirements?
Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
With WHAT?
(EQUIPMENT/
INSTALLATIONS)
With WHO?

(TRAINING,
KNOWLEDGE,
SKILLS)
R
E
Q
U
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M
E
N
T
S



S
A
T
I
S
F
A
C
T
I
O
N



INPUT OUTPUT
PROCESS


HOW ?
(INSTRUCTIONS,
PROCEDURES
METHODS
)
Customer Who
has a Need
Customer Who
has a Need Met
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
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