Introduction to the Industry Controlled Other Party (ICOP) Process

1. Module 2 April 2019 Introduction to the Industry Controlled Other Party (ICOP) Process

2. Module Summary • In this module you will learn about: • The Industry Controlled Other Party (ICOP) Scheme • The IAQG Other Party Management Team (OPMT) • The Online Aerospace Supplier Information System (OASIS) • The Sector Management Structure (SMS) • The Certification Structure Oversight Committee (CSOC ) • Responsibilities within the ICOP process for: • IAQG member companies • OPMT • SMS • CSOC • Other Party Assessor • Different ways of viewing and understanding the ICOP scheme

3. What Is ICOP? • ICOP is a globally harmonized Aviation, Space & Defense Quality Management System (AQMS) Certification process defined by the IAQG • Industry Controlled: • The IAQG through each Sector provides direct oversight of all AQMS certification activities • Other Party: • Certification activities are conducted by accredited Certification Bodies (CB) and Authenticated Aerospace Experienced Auditors (AEA) that are recognized through the ICOP process • ICOP process is managed by the IAQG Other Party Management Team (OPMT) • Provides AQMS certification for 9100, 9110 and 9120

4. What Is ICOP? • Benefits • Globally harmonized certification scheme that is recognized by major Aviation, Space and Defense companies • Supports supplier approval activities with a recognized quality management system certification • Process approach to conformance assessment • Focus on exceeding customer expectations • Risks • Does not prevent procurement from poor performing suppliers • It is not certification of product

5. Industry Controlled Other Party • Our Aviation, Space & Defense sector certification scheme utilizes: • ISO for basic requirements, and • supplements ISO with Aviation, Space and Defense (AS&D) unique requirements. • e.g. ISO 9001 as supplemented by 9100 • Certification Criteria are linked to ISO/IEC 17021 and International Accreditation Forum (IAF) Documents

6. IAQG OPMT • Mission: • Management and oversight of the 9100 series Aviation, Space and Defense Quality Management System certification program. • Strategic Objectives: • Continually improve the globally harmonized Industry Control Other Party quality management system certification program to be efficient, recognized, and bring measurable benefits to stakeholders. • Enhance the competency of Auditors, Other Party (OP) Assessors and stakeholders that are engaged in ICOP activities.

7. Americas Eric Jefferies * • Bell Helicopter - Textron Tim Lee Boeing Susie Neal ++ Collins Aerospace Alternates: Brian Geer Lockheed Martin • Barrie HicklinHoneywell R Darrell Taylor Raytheon Asia Pacific Katsuji Fukumoto * KHI Pilgyu Choi Korean Air Yuta Kumada MHI Alternates: Jung Woo Lee KAI • Masayuki Kogusuri IHI Europe Marie-Laurence Petit +* Airbus Pete Cracknell BAE Systems Hubert Kern FACC Alternates: André LaCroix ArianeGroup Eric SaillardThales • Cristiano Tesini Leonardo Voting Members AB Focals: Dale Gordon ANAB Kunihiro Tanabe JAB Mark Rogers UKAS • Ind. Assoc. & • OASIS Focals: Becky Lemon SAE Takayoshi Maehata SJAC Ian Folland EAQG Giuseppe Leoni OASISSystems Manager. • Bryan Blunt • OASIS Technical Support ++ IAQG-OPMT Chair + IAQG-OPMT V-Chair * Sector OPMT Leader IAQG OPMT Structure: IAQG OPMT Ian Folland IAQG OPMT Support IAF Focal: Dale Gordon ANAB (Interim) Brian Geer Lockheed Martin CB Focals: Jeanette Preston Smithers Quality Assessments • YoshitsuguKanno BSK Brendon Hill British Standards Institution Structure as of February 21, 2019

8. IAQG OPMT Sub-Teams • Document Representatives: • 9104-001 – Tim Lee** • Katsuji Fukumoto* • R Darrell Taylor* • Marie-Laurence Petit* • 9104-002 – Tim Lee** • Norio Kobayashi* • Tim Lee* • Holger Gröhn* • 9104-003 – Eric Jefferies** • Yuta Kumada* • Deneige Fitzpatrick* • Pete Cracknell* • ** IAQG Document Representative (IDR) • * Sector Document Representative (SDR) OASIS: • Giuseppe Leoni (Systems Manager) • Bryan Blunt (Technical Support) Operating Procedures: • Bryan Milne IAF Membership Focal: • Brian Geer Sector Oversight: • Tim Lee Budget & Finance: • Steve McGinn Metrics, Web-site & Administration: • Ian Folland Communications and Collaboration: • André LaCroix Sanctioned Training: • R Darrell Taylor Requirements and Transition: • Susie Neal Structure as of February 21, 2019

9. 9104 Series “Trilogy” • 9104-001 • Requirements for Aviation, Space, and Defense Quality Management System Certification Programs • Scope: • The purpose of this standard is to define the requirements and industry-accepted practices for managing the ICOP scheme, which provides confidence to aviation, space, and defense customers and organizations that their suppliers with certification of their quality management systems, issued by accredited CBs, meet the applicable AQMS standard requirements. • The requirements established in this standard are applicable to the IAQG and its three sectors for managing AQMS certification and associated activities.

10. 9104 Series “Trilogy” • 9104-002 • Requirements for Oversight of Aerospace Quality Management System Registration/Certification Programs • Scope: • These requirements are applicable to IAQG global sectors when utilizing Aerospace Industry Controlled Other Party (ICOP) schemes for the assessment and certification of supplier quality systems in accordance with the requirements contained in 9104. IAQG member companies have committed to perform sufficient oversight of the Aerospace accreditation/certification assessment processes in order to ensure conformance to established requirements contained in 9104.

11. 9104 Series “Trilogy” • 9104-003 • Requirements for Aerospace Auditor Competency and Training Courses • Scope: • This document provides the minimum requirements (Body of Knowledge) for AQMS auditors who will participate in AQMS certification/registration activities, including the auditor authentication process and requirements for a training organization. It is applicable to auditors seeking formal approval to conduct audits of the AQMS in support of the IAQG, and those who manage the competency element of an AQMS audit program and/or training organizations.

12. ICOP Criteria • 9104-001 – Accreditation/Certification Requirements • Certification Structures • Sector Requirements • Requirements for participating entities: • Recognized Accreditation Bodies (ABs) • Accredited Certification Bodies (CBs) • Authenticated Aerospace Auditors • Auditor Authentication Bodies (AABs) • OASIS database management • 9104-002- Oversight • Oversight and surveillance process to ensure conformance to established aerospace industry 9100-series standard accreditation/certification requirements • 9104-003 – Auditor Authentication & Training • A common process for aerospace auditor training and authentication to be utilized by all the IAQG sectors

13. On-Line Aerospace Supplier Information System (OASIS) • OASIS Database – 17,000+ Sites • Database where all information related to ICOP certifications, auditors and audit results is stored • Only general information such as Accreditation Bodies, Certification Bodies, Certified Supplier sites, Approved Auditors is publicly accessible. Audit data access is granted by certified organization. • Audit results data available when authorized by Organization. • Includes a robust Stakeholder Feedback process to Certification Bodies

14. On-Line Aerospace Supplier Information System (OASIS) • OASIS Database – Help Support • OASIS database has an extensive help support section that includes the latest information such as: • The link to the help support is on the OASIS homepage:

15. On-Line Aerospace Supplier Information System (OASIS) • Once a user is logged into OASIS, the database provides Data Search access to: • Certified Supplier Directory • Accreditation Information • National Accreditation Body • Certification Body • Training Approval Bodies • Auditor Authentication Bodies • Auditors • Feedback Process • Useful links • Supply Chain Management Handbook

16. On-Line Aerospace Supplier Information System (OASIS) • OP Assessors can request access to audit results data via the database: • Controlled by certified organization • Needed to support Witness Audit preparation • May need to contact organization directly if access is not granted. • Advise the organization as to the need and use of data to support witness audit preparation. • Click on “Audit Results” tab. • Select the latest “Audit History” • Use “Request Level2 Access through OASIS” link to request access.

17. OASIS Feedback OP Assessors should utilize the attached link below and review the OASIS Feedback guidance demonstration. OASIS Feedback Guidancehttps://www.sae.org/?PORTAL_CODE=IAQG

18. On-Line Aerospace Supplier Information System (OASIS) • OP Assessors should: • Obtain an OASIS log on and password credentials • Review help guidance section of the database • Become familiar with the Feedback process • Have the ability to: • Review public information • Request access to audit results (Tier 2) data and • Recognize the need to maintain confidentiality of the data (Reference: 9104-001 section 19.1) • Know how to determine Certification Body (CB) accreditation and Auditor Authentication status.

19. OPMT - Sector Management Structure • Sector Management Structure (SMS) • The organization established in an IAQG sector that manages the application and oversight of the ICOP scheme as defined by this standard. • Each sector may use a different name for this organization • i.e., Registration Management Committee (RMC) in the Americas and Asia/Pacific, • EAQG OPMT and national CBMCs in Europe. (Reference: 9104-001 Section 3.24)

20. RMC (Americas) Voting Members; ABs; CBs; and Industry Representatives Voting Members; ABs; CBs; and Industry Representatives Voting Members; ABs; CBs; and Industry Representatives IAQG OPMT - Sector Management Structure Other Party Management Team IAQG General Assembly OPMT Committee • Acronyms: RMC - Registration Management Committee OPMT - Other Party Management Team AB - Accreditation Bodies CB - Certification Bodes Sector Management Structures EAQG OPMT (Europe) APAQG OPMT (Asia / Pacific)

21. Sector Management Structure • An SMS may be supported by a Certification Body Management Committee (CBMC) structure within the SMS. • CBMC • An organization within an SMS that functions on a national level e.g., Italy, France, Germany, Spain, United Kingdom, Austria • Responsible for 9104-series standards conformance in their respective countries. • They perform the same functions as the SMS, under control of the SMS within their sector. (Reference: 9104-001 Section 3.10)

22. ICOP Responsibilities - IAQG Member Companies • Any IAQG member company wishing to recognize AQMS certification shall provide resources needed to support the ICOP scheme and conduct shared oversight. • IAQG Member Companies shall: • Ensure that assigned representatives, who support IAQG ICOP scheme activities, have the necessary tools (e.g., published standards, computer, equipment) and resources to accomplish committed tasks. • Ensure that only qualified individuals are assigned as OP assessors to conduct oversight assessments or participate in joint team assessments supporting the ICOP scheme oversight process. • Ensure conformance with the requirements defined in 9104-002. • Authorize and approve Other Party Assessors that represent their company. • Maintain records to support the qualification of OP assessors.

23. ICOP Responsibilities – IAQG OPMT • The OPMT is responsible for the management and oversight of the 9100 series Aviation, Space and Defence Quality Management System certification program. • Responsibilities also include: • Ensure that the OASIS database operates and functions effectively and is accessible. • Oversight of each SMS • Periodic review of the lessons learned by each of the IAQG sectors. • Reporting to the IAQG Council on the periodic reviews for each IAQG sector’s • Evaluating the results of IAF Peer Reviews of ABs • Monitor feedback from IAQG member companies, OASIS database users, certified organizations, and related stakeholders (e.g., ABs, CBs). • Conducting periodic reviews and recommend initiatives that will continue to develop and improve the effectiveness of the ICOP scheme.

24. ICOP Responsibilities - SMS • The SMS has the responsibility for the management, review, approval, implementation, and modification of their sector operating procedure(s). • The SMS has the responsibility to: • Establish and maintain operating procedures, which support implementation and conformance to ICOP requirements. • Review and recognize ABs and new AB accreditations of CBs. • Each SMS shall report essential data that describes deployment activities to the IAQG OPMT. • The SMS shall determine and approve CBMCs, when utilized. • Review and approve AABs and TPABs operating in their sector. • Oversight of all recognized and approved bodies in accordance with 9104-002.

25. ICOP Responsibilities - CSOC • The Certification Structure Oversight Committee (CSOC) has the responsibility for the review of complex certification structures and certification structure complaints as outlined in 9104-001 • The CSOC has the responsibility to: • Establish and maintain operating procedures, which support implementation and conformance to ICOP requirements. • Review and approve complex certification structure audit programs. • Review all requests and complaints via the AB-CSOC OASIS feedback function • Support the development of guidance materials, lessons learned and FAQ’s • Report to IAQG OPMT and SMS on CSOC activities.

26. CSOC Guidance • http://www.sae.org/iaqg/organization/csoc.htm • http://www.sae.org/servlets/works/postDiscussion.do?comtID=TEAIAQG&docID=&forumID=13279&resourceID=501508&inputPage=showAll • Committee established to review “Complex” certification structure audit programs. • Process defined in IAQG OPMT Procedure 204 • Committee supports resolution of complaints related to structure decisions Action: OP Assessors should use these 2 website links to review the site and the IAQG OPMT Procedure 204.

27. ICOP Responsibilities - Other Party (OP) Assessors • OP Assessors have the responsibility to be trained, qualified and authorized by their respective IAQG Member company. They shall conduct assigned shared oversight activities in accordance with 9104-002. • Additional OP Assessors responsibilities include: • Complete and maintain the required 9104-002 (Form A) declaration form. • Declare any conflicts of interest that may exist for a particular assessment assignment (e.g., OP assessor contracted by AB or CB). • Support the assessment team to meet the assessment objectives. • Accept and complete assessment assignments from the oversight assessment team leader. Note: For joint assessment the AB Assessor will be the team leader.

28. ICOP Responsibilities - Other Party (OP) Assessors • Additional OP Assessors responsibilities include: • Generating applicable assessment reports, including all required 9104-002 forms. • Protection of confidential information obtained during an oversight assessment. • Elevate any unresolved complaints/issues to the appropriate body (e.g., AB, SMS, IAQG OPMT). • OP Assessors represent: • Themselves • Their IAQG Member Company • The IAQG • The Aviation, Space & Defense Industry • Focused on conformance and adding value to the ICOP scheme.

29. 9104-002 Process Model • Appendix C – Industry Controlled Other Party (ICOP) Process Model was developed to provide a visual graphic of the overall process:

30. Visualising ICOP - Turtle • With Whom (Resources): • Authenticated Auditors (AEA and AA) • CB certification and decision process personnel • AB Assessors • AB accreditation process and decision personnel • OP Assessors • Sector Management Structure (SMS and CBMC) • OASIS Database Administrators and SAE Support • How (methods, procedures): • IAQG Vision and Objectives • IAQG 9104-001, -002, -003 • ISO 17011 • ISO 17021-1 and IAF Mandatory Documents 1 to 5 • IAQG OPMT Resolutions Log • IAQG Procedure 106.3 • IAQG OPMT 200 series procedures • SMS and CBMC procedures ICOP Process Process Steps: Approval of TPABs, TPs, AABs and ABs Training Authentication of Aerospace Auditors Accreditation of CBs 91XX Certification of Suppliers including: - Application Review - Initial Assessment - Surveillance - Re-certification - Decision Making Oversight • Inputs: • Regulatory Requirements • Customer requirements • Supplier(s) • Outputs: • AQMS Certified Suppliers delivering on-time and on quality delivery (OTOQD) • OASIS Records and Data • OASIS Revenue to IAQG • With What: (Equipment, Installations) • Accredited CBs • ABs • OASIS database • Approved TPs • Approved AABs • Approved TPABs • SMS budget including OP Assessor Travel • Metrics: (KPIs, Measurables) • Agreed IAQG OPMT Metrics • IAQG Procedure 106.3 Funding oversight, budget, spend and cancellations

31. OP Assessor Training Please open Module 3 to learn more about the requirements for the face-to-face training.