PRI Registrar Aerospace Process Summary

1. PRI RegistrarAerospace Process Summary Last Revised: 17-Oct-2019

2. Table of Contents Click link to jump to slide • Glossary of Terms • Client Manager • RF-### • RMS • Expert Reviewer • Accepted NCR • Closed NCR

3. Table of Contents Click link to jump to slide • Process Flow • Accept audit dates in RMS • Audit planning • Create audit plan • Conduct audit page 1andpage 2 • Manage NCR’s • Complete and submit audit documentation • Expert Review • Expenses/receipts entered in RMS

4. Glossary of Terms

5. Glossary of Terms • Client Manager: • Also known as the Account Specialist. • Assigned to a particular client on an ongoing basis. • First point of contact for questions regarding an audit (for both auditor and client). • Liaison between auditor and client, when necessary. • Resource for the auditor in dealing with difficult clients. • The name and contact information of the client manager for an audit can be found on the Master Audit Program page (see RMS Auditor Guide – General Functionality)

6. Glossary of Terms • RF-###: • Regulated Form controlled by PRI Registrar. • See the RF-115 (Audit Document Listing) for a cross-reference of RF numbers and form names. • Templates for audit documents are available on the AS91XX:2016 Audit Documents page.

7. Glossary of Terms • RMS: • Registrar Management System • Internal PRI Registrar audit management system. • Web-based. • Used for availability calendar, audit assignment, limited audit reporting, and expense reports. • Each RMS user has their own task dashboard and is notified of assigned tasks via email. • Tasks on dashboard are color coded per due date: • green (upcoming) • yellow (2 days out) • red (past due) • Refer to Help tab for documents, RMS guides and audit information. • See RMS User Glossary on the Help tab for RMS terms. • NOTE: Ignore the “Type” in the middle of the screen in an audit record – the audit type is in the top left.

8. Glossary of Terms • Expert Reviewer: • An auditor trained to PRI Registrar’s registration decision process. • Remains anonymous through review process to prevent hard feelings if assigned as a teammate for an audit.

9. Glossary of Terms • Accepted NCR: • NCR where the auditor has accepted the client’s plan for corrective action and will verify implementation of the plan at the following audit. • Allowed but discouraged for NCR’s at surveillance audits. • Accepted majors will trigger an expert review of the audit. • Not allowed at initials, recertifications, transfers, or upgrades. • Requires additional on-site time for verification at the next audit. • Additional time for verification is not considered audit time. • This time is not subject to the 8-hour days requirement, and may be used to extend the audit day. • This activity must appear on the audit plan, as non-audit time.

10. Glossary of Terms • Closed NCR: • NCR where the auditor has verified that the client’s corrective action has been implemented. • May require additional time at the next audit for review of effectiveness. • If the NCR was written against a process that is scheduled to be assessed at the next regular audit, the review may be included as part of the audit of that process. • If the review of the NCR will be complicated and/or time-consuming, such that it would detract from the quality of the audit, additional time should be requested. • If the NCR was written against a process that is not scheduled to be assessed at the next regular audit, then additional time must be requested.

11. Process Flow

12. Process Flow • Accept audit dates in RMS • See RMS Auditor Guide – AS Process. • Audit Planning • Refer to client’s RF-114 Audit Planning Resource • The RF-114 planning document contains information based on the AS9101F requirements for audit planning, and this information should be used to guide the creation of the audit plan. • The client is prompted 120 days prior to the start of the audit to complete their RF-114, and instructed to upload the updated RF-114 into RMS on the Plan page no less than 45-60 days prior to the audit. • The auditor will be notified via email by RMS when the RF-114 has been completed and uploaded. • The completed form can be retrieved on the Plan page of the RMS audit. • If the client has not uploaded the form within 45 days of the audit, the auditor will need to contact the client to request the form. • If the client continues to delay, the auditor should contact the assigned client manager for assistance. • Information on the RF-114 does not need to be updated as part of the audit.

13. Process Flow • Create audit plan • The auditor shall use the PRI Registrar RF-12 Audit Plan form. • An audit plan template pre-populated with the client and audit information can be downloaded from the Plan page in the RMS audit. • A blank template is available in AS91XX:2016 Audit Documents. • Audit plans must reference the client processes, as they are designated by the client as part of their interaction of processes. • Due to the client (via email) at least 30 days prior to the audit, if possible. • If audit is scheduled in less than 30 days, send as soon as possible. • The plan must be uploaded on the Plan page of the RMS audit when submitted to the client; if the plan is revised later, it does not need to be uploaded into RMS again. • PRI Registrar does not require that the audit plan be uploaded into OASIS prior to the audit. • A completed pdf (with any necessary revisions) is expected to be uploaded into OASIS within 5 business days of the end of the audit. • Note that working lunches are not acceptable – the plan must account for eight hours of auditing above and beyond any time designated for lunch.

14. Process Flow • Conduct audit • Reference the RF-115 Audit Document Listing for PRI Registrar documents. • Available in AS91XX:2016 Audit Documents. • The audit document listing will provide guidance on where to acquire, and where to submit PRI-specific documentation.

15. Process Flow • Conduct audit (cont’d) • There is some limited reporting in RMS. • Additional Aerospace Report • Provides the opportunity to: • Confirm or change the scope of certification • Verify employee count and cert structure • Update site information • Request additional time for the next audit • Tentatively schedule the next audit • Audit Program • Completed for the three-year cycle directly in RMS at the time of the Stage 2 or Recertification audit. • All processes (as defined by the client) must be assessed at the Stage 2 or Recertification audit, and at least once more during the surveillances. • Refer to Auditor Advisory #115 for details on how the Activities section is to be completed. • Documents • Upload the Audit Participants Sign-in Sheet (RF-20a).

16. Process Flow • Manage NCRs • All NCRs are managed exclusively through OASIS. • Client responses and auditor acceptance/rejection shall not be handled outside of OASIS. • Auditors are strongly encouraged to use the NCR Discussion tab in RMS for any communication related to the NCR. • Such topics could include rejection statements or containment acceptance/rejection. • When accepting an NCR in OASIS, clearly indicate in Section 3 of the Form 4 that the NCR is accepted but not closed, and that verification of implementation will be assessed at the next audit. • The audit should be submitted to CB Admin Review with any accepted NCR’s left open in OASIS. • When closing an NCR in OASIS, Block 30 of Form 4 should be completed with a detailed verification statement, indicating what objective evidence was reviewed, and clearly indicating that the NCR is verifiably closed. • Generic statements (e.g., “I have reviewed the objective evidence and am closing this NCR.”) are not acceptable.

17. Process Flow Manage NCR’s (cont’d) • An interactive spreadsheet with these dates is available at this link. • Auditors are encouraged to provide a copy of the spreadsheet to clients to assist in NCR timeline management.

18. Process Flow • Submitting the audit in OASIS • All audit documentation (both the IAQG forms and PRI-specific forms) should be completed within 5 business days. • Ensure that all IAQG forms are completed and signed off. • Be sure that site information is correctly imported for all forms, particularly the NCR’s. • Once all forms are complete, submit the audit to CB Admin Review status, and email the assigned client manager. • The client manager can be identified either through RMS, or via the initials at the beginning of the audit number. • LCZ = Lisa Zajacs • DLR = Dina Rigot • CLM = Carol Martin • MLB = Marcia Brown

19. Process Flow • Expert Review • Audits requiring a registration decision will be assigned for expert review once the audit is submitted to CB Admin Review. • Audits requiring registration decision include, but are not limited to: • initial, recert, transfer and upgrade audits • audits that result in suspension • audits that involve an expansion or reduction of scope • audits that have major NCRs or a significant increase in the number of NCRs • Expert review is conducted anonymously, and reviewer comments and auditor responses will be communicated through the client manager.

20. Process Flow • Expenses/receipts entered in RMS • Expenses are due within 7 calendar days. • See RMS Auditor Guide – AS Process for details on submitting expense reports in RMS.

21. Questions • If you have any questions, please do not hesitate to contact your client manager, or: Pete Kucan (Technical Support Engineer) Samantha Brock (Quality Specialist)