Roles & Responsibilities Pre- and Post- Assessment Activity Lori Scheid-Gillespie Accreditation Manager (ANAB)

1. Roles & Responsibilities Pre- and Post- Assessment Activity Lori Scheid-Gillespie Accreditation Manager (ANAB)

2. CB Office Assessment Lori Scheid-Gillespie Accreditation Manager (ANAB)

3. CB Office Assessment & Witness Assessment SchedulingNote: other AB processes may vary • AB confirmation letter sent to OEM primary contact • OEM notify AB of assigned OP assessor • AB to update the Oversight Spreadsheet with OP assessor information (for OEM & AB use) • OEM primary contact to notify their OP assessor

4. CB Office Assessment & Witness Assessment SchedulingNote: other AB processes may vary • AB notifies their assessment team with the OP Assessor contact info • AB team lead will contact the OP assessor directly • May not be right away; may be closer to the assessment for open meeting planning.

5. CB Office Assessment ~ OP Assessor Role • OP Assessor serves as team member • Roles & Responsibilities covered in previous presentation AS9104-2 (9)

6. CB Office Assessment Preparation Documents needed to perform assessment: • Requirement Documents • CB Procedures related to AS program • AS9104-2 Appendix F (CB Office Assessment Checklist) • AS9104-2 Appendix K (Oversight Assessment Summary Report) • Assessment Plan • Document Review (if applicable)

7. CB Office Assessment Planning • CB documents are received by the AB (from the CB) approx. 4 weeks prior to the assessment • AB sends the info to assigned OP assessor (NOT including standards / requirement documents) • If the OEM assessor has yet to be assigned; AB sends the info to the OEM main contact • Information may include: • Logistic info (hotel, directions) • Assessment Plan - ISO 19011 (6.4) • CB documented processes for assessment • Other documentation as required by the AB

8. CB Office Assessment Planning Joint Assessment Prep (by OEM assessor) ISO 19011 (6.4) • Review AB assessment plan to gain an understanding of what will be assessed • Review appropriate parts of the standards to re-fresh your memory. • ANAB team lead to schedule a pre-assessment meeting with OP Assessor to meet and discuss plan and remind OP Assessor of basic process

9. CB Office Assessment Conduct • What to assess included in the Body of Knowledge presentation • Try and keep current with record review (past year or so). • Try and work independently with limited assistance from the AB.

10. CB Office Assessment : Post Activities • Final steps: • Identify Findings and notify the AB team lead - AS9104-3 (8.6.2) • If AB lead is not in agreement; notify the AB & RMC via AS9104-3 (Appendix K) • If AB lead is in agreement no need to document findings on Appendix K.

11. CB Office Assessment : Post Activities • Final steps: • AB (with OP assessor) to establish conclusions & prepare NCR’s - ISO 17011 (7.8) • AB to conduct closing meeting - ISO 17011 (7.8)

12. CB Office Assessment : Post Activities • AB to generate Assessment report – ISO 17011 (7.8) • OP Assessor to complete AS9104-3 (Appendix F & K) and provide to the AB and OEM main contact • Appendix F will be incorporated into the AB’s Appendix F • Can also just submit notes to the AB and not the appendix. • Appendix K will be provided to the AAQG RMC Oversight Chair for review.

13. CB Office Assessment : Post Activities • AB to manage the NCR / corrective action process with CB – ISO 17011 (7.8) • AB ensures effective cause, correction, corrective action • AB establishes timeframes and approves extensions (if applicable) • OEM may request a copy of AB’s assessment report • If requested AB sends the information to the OEM main contact

14. CB Witness Assessment

15. CB Witness Assessment – OP Assessor Role • OP Assessor serves as an AB team member • Roles & Responsibilities covered in previous presentation; however, • During Witness Assessment • Silently observe • Do not influence outcome of Assessment! • Do not talk • Do not make body motions to show approval or disapproval • Do not answer questions of organization (or CB) AS9104-2 (8.2, 9)

16. CB Witness Assessment Preparation • Documents needed to perform the Witness Assessment • Requirement Documents • CB Procedures related to AS audit • AS9104-2 Appendix G (CB Witness Assessment Checklist) • AS9104-2 Appendix K (Oversight Assessment Summary Report) • CB Audit Plan • CB document review (if applicable)

17. CB Witness Assessment Planning • CB documents are received by the AB (from the CB) approx. 4 weeks prior to the Witness Assessment • AB sends the info to assigned OP Assessor (NOT including standards / requirement documents) • If the OP Assessor has yet to be assigned; AB sends the info to the OEM main contact

18. CB Witness Assessment Planning • Information may include: • Logistic info (hotel, directions) • CB Audit Plan - ISO 19011 (6.4) • CB audit team’s credentials (e.g. resume) • CB documented processes for audit • Other documentation as required by the AB

19. CB Witness Assessment Planning Joint Assessment Prep (by OEM assessor) ISO 19011 (6.4) • Allow approx. 2 hours AFTER the CB’s end time to allow for the AB closing meeting • Review CB audit plan - ISO 19011 (6.4) to gain an understanding of what will be audited • Review all documentation to gain a knowledge and an understanding of the CB’s processes. • Review CB audit team’s credentials to confirm acceptability • Review organization’s information to understand scope, etc. • Review OASIS (if organization is certified) • Review appropriate parts of the standards to re-fresh your memory.

20. CB Witness Assessment Planning • ANAB team lead to schedule a pre-assessment meeting with OP Assessor to meet and discuss plan and remind OP Assessor of basic process. • This may be done during the AB/CB opening meeting

21. CB Witness Assessment: Post Activity • Final steps: • Identify Findings and notify the AB team lead - AS9104-2 (8.2.5) • If AB lead is not in agreement; notify the AB & RMC via AS9104-3 (Appendix K) • If AB lead is in agreement no need to document findings on Appendix K.

22. CB Witness Assessment: Post Activity • Final steps: • AB (with OP assessor) to establish conclusions & prepare NCR’s - ISO 17011 (7.8) • AB to conduct closing meeting - ISO 17011 (7.8) • AFTER CB’s closing meeting with organization. • OP Assessor to participate in the closing meeting.

23. CB Witness Assessment: Post Activities • AB to generate assessment report – ISO 17011 (7.8) • OP Assessor to complete AS9104-3 (Appendix G & K) and provide to the AB and OEM main contact • Appendix G will be incorporated into the AB’s Appendix G. • Can also just submit notes to the AB and not the appendix. • Appendix K will be provided to the AAQG RMC Oversight Chair for review.

24. CB Witness Assessment: Post Activities • AB to manage the NCR / corrective action process with CB – ISO 17011 (7.8) • AB ensures effective cause, correction, corrective action • AB establishes timeframes and approves extensions (if applicable) • OEM may request a copy of AB’s assessment report • If requested AB sends the information to the OEM main contact

25. Appendix Completion • F – CB Office Assessments • G – CB Witness Assessments • Joint – can complete if want; AB shall complete • Independent – must complete • K – All Assessments must be completed • Provide to the AB Lead Assessor ASAP • preferably prior to the end of the assessment • If not on-site, via e-mail to AB Lead Assessor • Reviewed by RMC Oversight Chair (currently Susie Neal) and summarized for RMC

26. Lessons Learned over the years on joint assessments

27. Lessons Learned Scheduling Joint Activity • OEM to identify assessor to conduct assessments ASAP (and notify AB) • OEM to notify AB of any assessor changes ASAP • ANAB to notify all parties of assessor change • Make sure replacement is qualified. • After the confirmation letter (which can come months prior to an assessment) an OEM will not get another notice of the assessment until a few weeks prior to the assessment.

28. Lessons Learned Preparation for Joint Activity • OP assessor must • Be qualified/trained • Have knowledge of the standards • Have a copy of the standards • Have signed and turned in Appendix I • Have post-activity forms to complete All to be provided by OEM not by the AB.

29. Lessons Learned CB Office Assessment Conduct • Not conducting 2nd party audits • Caution with conflict of interest and confidentiality. • Acquiring information for OEM procurement process is not acceptable.

30. Lessons Learned CB Witness Assessment Conduct • Organization may ask questions about the oversight; OP assessor may have to explain the oversight process (during opening meeting, breaks, etc) • Asking simple questions and/or making simple comments during Witness Assessment is considered interfering. • Picking up records, materials, parts, etc. is considered interfering • Talking to the AB assessor team is distracting during the audit. • Not conducting 2nd party audits

31. Lessons LearnedJoint Assessment Post-Activity • OEM assessors to complete AS9104-2 appendices in a timely manner. • If a decision is appealed by CB; be available to participate in appeal hearing.

32. Questions / Comments