IAQG 9110:2009 Revision Overview

1. IAQG 9110:2009 Revision Overview Prepared by IAQG 9110 Team Please contact Jeff Wood at jeffrey.d.wood@boeing.com or Jean-Francis Suquet at jean-francis.suquet@eurocopter.com for questions or comments.

2. Overview Objectives • Provide an overview of: • 9110 Team Membership • 9110 Revision Process • 9100:2009 Overview • 9110:2009 Key Changes (revised/relocated, additions, and deletions of requirements) • 9110 Implementation Schedule • IAQG Document Relationships

3. 9110 Team Membership • 12 Members on 9110 Team • Representing: • Americas and Europe IAQG sectors • 5 different countries • 8 different IAQG member companies • 3 different CBs

4. 9110 Stakeholders • Civil Aviation Authorities • Defense Industry and Authorities • Airlines • Certification Bodies • Trade Associations • Suppliers • Maintenance Repair & Overhaul Providers • IAQG Member Companies • IAQG Strategy Streams and Teams

5. 9110 Revision Objectives Incorporate ISO 9001:2008 changes Incorporate 9100:2009 changes that are applicable to maintenance activities Ensure clarity of requirements to resolve interpretation issues Consider / address stakeholder needs Promote industry standard and ensure that the standard is compatible for use by all stakeholders Prepare for the forthcoming Safety Management System implementation requirements in accordance with International Civil Aviation Organization (ICAO) directive

6. 9110 Revision Process Project Mgmt Design Specification & Objectives (initially drafted July 2006) Stakeholder Input Web Survey Solicited stakeholder / industry input MCRT(Master Comments Review Template) • Data Mining and Consolidation • 136 items • 45 items accepted / 91 items rejected 9110 Coordination Draft Releasedon 30 June 2008

7. 9110 Revision Process MCRT(Master Comments Review Template) • Data Mining and Consolidation • 92 items • 22 items accepted / 70 items rejected 9110 Ballot Draft - Formal Ballot - November 2008 - Development of deployment support materials 9110 Release Expected release - June 2009

8. 9110 Change Overview • The 9110 revision was directly influenced by the revision to ISO 9001 and IAQG 9100 standards; the applicable “9100 Revision Overview” slides have been integrated into this presentation to identify the key changes to this standard • Revision Key Changes • 9100 – (6) additions; (7) revisions / relocations; (3) deletions • 9110 – (9) additions; (1) revision • Structure of Key Changes Slides • Revision / Relocation, Addition, or Deletion • Rationale • Implementation / Audit Considerations The ‘Key Changes’ are not inclusive of all the changes in the 9110 standard

9. Key Changes - Derived from 9100:2009 • Clause 3.4 -Critical Items(9100 - clause 3.3) • Addition: Defined new term - “critical item” • Those items (e.g., functions, parts, software, characteristics, processes) having significant effect on the product realization and use of the product; including safety, performance, form, fit, function, producibility, service life, etc.that require specific actions to ensure they are adequately managed • Examples of critical items include: • safety critical items • fracture critical items • mission critical items • key characteristics

10. Key Changes - Derived from 9100:2009 • Clause 3.4 - Critical Items(cont.) • Rationale: • Improve understanding of “critical items” coming from “special requirements” • Ensure these items are systemically addressed and linked to risk management activities and processes utilized by the organization • Implementation / Audit Considerations: Understanding this term is important to implement “critical items” into applicable product realization processes

11. Key Changes - Derived from 9100:2009 • Clause 3.9 - Risk(9100 - clause 3.1) • Addition: Defined new term - “risk” • An undesirable situation or circumstance that has both a likelihood of occurring and a potentially negative consequence • Rationale: • The understanding of risk is importantfor an organization to develop a proactive quality management system • Implementation / Audit Considerations: • Understanding this term is important to support the implementation of a risk management process

12. Key Changes - Derived from 9100:2009 • Clause 3.11 -Special Requirements(9100 - clause 3.2) • Addition: Defined new term - “special requirements” • Those requirements which have high risks to being achieved thus, requiring their inclusion in the risk management process • Factors used to determine “special requirements” include: • product or process complexity • past experience • product or process maturity • Examples include: • performance requirements imposed by the customer that are at the limit of the state-of-the-art • requirements determined by the organization to be at the limit of their technical or process capabilities

13. Key Changes - Derived from 9100:2009 • Clause 3.11 -Special Requirements(cont.) • Rationale: • Improve understanding of “special requirements” and the potential chain of flow to “critical items” and to “key characteristics” • Ensure these important requirements are systemically addressed and linked to risk management activities by the organization • Implementation / Audit Considerations: • Understanding this term is important to identify and integrate “special requirements” into a risk management process

14. Key Changes - Derived from 9100:2009 Interrelationship between Special Requirements, Critical Items,Key Characteristics and Risk Management Process 7.1 Planning of Product Realization Customer requirements including requirements identified as special by the customer 7.5 Production & Service Provision (drawings, instructions, plans, etc.) 7.2 Determination and Review of Requirements Related to the Product 7.3 Design & Development 7.4 Purchasing - Vendor / Supplier Provided Products Design Inputs Design Outputs “Special Requirements” as determined by customer or organization 7.5.1 appropriate processes to manage critical items 7.3.3.e critical items, including “Key Characteristics” 7.4.2 flow down requirements to suppliers Statutory, regulatory and other requirements 7.1.2 Risk Management 8.2.3 / 8.2.4 Monitoring & Measurement of Processes / Products 8.4 Analysis of Data 8.5 Improvement (Continual Improvement, Corrective / Preventive Action)

15. Key Changes - Derived from 9100:2009 • Clause 4.1 -QMS General Requirements • Revision / Relocation: • The organization’s QMS shall address customer and applicable statutory and regulatory QMS requirements (previously located in the QMS documentation § 4.2.1) • Rationale: • Clarify that the requirement is placed at the QMS level and not only at the documentation level • Implementation / Audit Considerations: • The concept of a “Basic QMS” (common processes and associated documentation applicable to all customers / activities) may be used, but the documentation (e.g., Quality Management Plans) which address specific customers requirements shall not be overlooked as it is a critical part of the QMS

16. Key Changes - Derived from 9100:2009 • Clause 4.2.2 - Quality Manual Relationships • Deletion: • Requirement to create a document showing the relationship between 9100 / 9110 requirements and the organizations documented procedures • Rationale: • Requirement added no value to assuring product quality • Implementation / Audit Considerations: • Auditors need to identify appropriate documented procedures as an inherent part of carrying out an audit

17. Key Changes - Derived from 9100:2009 • Clauses 5.2 / 8.2.1 -Customer Focus / Satisfaction • Addition: • Management responsibility for measuring “product conformity” and “on-time delivery” and for taking appropriate remedial actions (5.2) • Requirement to evaluate customer satisfaction using - product conformity and on-time delivery performance, - customer complaints and corrective actions requests, then develop plans that address deficiencies (8.2.1) • Rationale: • Establish clear relationship between the QMS and organizational performance, in line with IAQG strategy • To promote continual improvement of customer satisfaction • Implementation / Audit Considerations: • Evaluate management “customer focus” and associated organizational processes to evaluate / measure customer satisfaction and planned improvements

18. Key Changes - Derived from 9100:2009 • 7.1.1 - Project Management • Addition: • New requirement for planning and managing product realization in a structured and controlled way to meet requirements at acceptable risk, within resource and schedule constraints • Rationale: • Most aviation, space and defense products are complex and involve multi-tier partners and suppliers • This clause provides additional focus on upfront planning and the management of project plans throughout product realization • Implementation / Audit Considerations: • Evaluate how the organization manages product realization planning to ensure quality and schedule are not compromised

19. 7.1.2 - Risk Management Addition: New requirement to implement a “risk management” process applicable to the product and organization covering: responsibility, criteria, mitigation and acceptance The concept of “risk” is integrated within the revised standard Rationale: Risk management was placed in clause 7.1.2 to provide additional focus on product “risk” during product realization Implementation / Audit Considerations: Ensure the organization have a risk management process that addresses all of the applicable requirements Ensure the definition of “risk” is understood and appropriately applied in associated processes Evaluate that risks are identified and successfully managed within the organization Key Changes - Derived from 9100:2009

20. Key Changes - Derived from 9100:2009 • 7.1.3 - Configuration Management • Revision / Relocation: • Relocated content from clause 4.3 to 7.1.3. • Structured requirements consistent with ISO 10007 • Rationale: • Focuses “configuration management” on the product and how it is sustained throughout product realization (maintenance process / activities) • Provided further process definition / requirements • Implementation / Audit Considerations: • Configuration management processes should be adequate to ensure adequate configuration control of product • Some level of “configuration management” is expected to exist within all organizations / levels of the supply chain; see exclusion criteria (clause 1.2)

21. Key Changes - Derived from 9100:2009 • 7.1.4 - Work Transfer • Revision / Relocation: • Relocated content from clause 7.5.1.4 to clause 7.1.4 • The organization must have a process to plan and control work transfer activities • Expanded to cover permanent work transfer (e.g., from one organization facility to another, from one supplier to another, from one supplier to another supplier) • Rationale: • Recognition the “work transfer” can occur at anytime during product realization (maintenance process / activities) • Work transfer processes should address common situations and associated problems that often occur during work transfer to minimize “risk” associated to product conformity and on-time delivery performance • Implementation / Audit Considerations: • A process must exist to control the transfer of work, including planning and subsequent control of the transfer

22. Key Changes - Derived from 9100:2009 • Clause 7.4.1 - Recognition of Supplier Quality Data • Revision: • Added ‘Note’ to recognize that one factor that may be used during supplier selection and evaluation is objective and reliable data from external sources • Rationale: • Recognition that the industry trend is to use externally provided supplier performance data [e.g., Online Aerospace Supplier Information System (OASIS)] • Implementation / Audit Considerations: • ‘Guidance Note’ provided

23. Key Changes - Derived from 9100:2009 • Clause 7.4.1 -Approval Status for Suppliers • Revision: • Added and provided examples of “approval status” (e.g., approved, conditional, disapproved) and examples of “scope of approval” (e.g., product type, process family, type of service) • The organization must define the process for suppliers approval status decisions or changes • Rationale: • Clarify that the conditions for using a supplier depends on its approval status • Implementation / Audit Considerations: • The process, responsibilities and authority must be defined for this process

24. Key Changes - Derived from 9100:2009 • Clause 7.4.3 -Validation of Test Reports • Deletion: • Where the organization utilizes test reports to verify purchased product, the data in those reports shall be acceptable per applicable specifications. The organization shall periodically validate test reports for raw material. • Rationale: • Misunderstood concept that was frequently misapplied • Requirement not applicable to all stakeholders (especially small organizations) and for all types of products • Implementation / Audit Considerations: • If an organization is making critical items where the material chemical/physical requirements are important, are they verifying test reports as part of their risk management process?

25. Key Changes - Derived from 9100:2009 • Clause 7.5.1.1 - Maintenance Process Verification • Revision / Relocation: • Relocated content from clause 8.2.4.2 to 7.5.1.1 • Requirement to verify that new maintenance processes, documentation and tooling are capable of supporting maintenance activities; qualified and approved by the customer and/or Authority • This process shall be repeated when changes occur that invalidate the original results(e.g., engineering or manufacturing processes changes) • Rationale: • Movement to clause 7 acknowledges that this requirement is not primarily a monitoring and measurement process, but a process used to assure product realization capability under controlled conditions • Allows justifiable exclusion (see clause 1.2) • Implementation / Audit Considerations: • Evaluate process definition and effectiveness • Validation of all requests for exclusion; ensure exclusions do not affect the organization’s ability to provide conforming product and meet applicable customer, statutory and regulatory requirements

26. Key Changes - Derived from 9100:2009 • Clause 8.2.2-Detailed Tools and Techniques • Deletion: • “Detailed tools and techniques shall be developed such as check sheets, process flowcharts, or any similar method to support audit of the quality management system requirements. The acceptability of the selected tools will be measured against the effectiveness of the internal audit process and overall organization performance.” • Rationale: • Requirement was previously too prescriptive • Reference to specific tools in a “such as” statement is more appropriate as guidance material • Implementation / Audit Considerations: • Methods / effectiveness measures remain intact in the ISO text • Tools and techniques may still be needed to support the audit process

27. Key Changes - Derived from 9100:2009 • Clause 8.2.4 -Sampling Inspection • Revision: • “When the organization uses sampling inspection as a means of product acceptance, the sampling plan shall be justified on the basis of recognized statistical principles and appropriate for use (i.e., matching the sampling plan to the criticality of the product and to the process capability)” • Rationale: • Further definition provided; numerous requests were received to enhance clause 8.2.4 • Implementation / Audit Considerations: • Validate that recognized statistical principles were utilized for sampling plan development / application • Evaluate process used to determine ‘criticality’ of product

28. Key Changes - Specific to 9110:2009 • Clause 1.2 - Application • Addition: Bold / italic text clarifying standard industry application • “This standard is intended for use by maintenance organizations whose primary business is providing maintenance, repair and overhaul services for aviation commercial and military products; and for Original Equipment Manufacturer (OEM) organizations with maintenance, repair and overhaul operated autonomously or that are substantially different from their manufacturing/production operations. It is tailored for organizations with National Airworthiness Authority (NAA) repair station certification and those that provide maintenance, repair and overhaul services for military aviation products; but the standard could significantly benefit non-certificated maintenance organizations that choose to adopt it.” • Rationale: Text added to clarify industry application and promote use by non-certificated maintenance organizations • Implementation / Audit Considerations: Purchasing process should consider flow down of 9110 QMS standard to suppliers (certificated and/or non-certificated suppliers)

29. Key Changes - Specific to 9110:2009 • Clause – 3.3 Counterfeit Part 3.12 Suspect Unapproved Part • Addition:Defined new terms - “counterfeit part” and “suspect unapproved part” • Rationale: • Improve understanding of what constitutes a “counterfeit” or “suspect unapproved part” • Further clarity provided to critical requirement defined in clause 7.4.1.g – “take appropriate measures to prevent the purchase of counterfeit and suspect unapproved parts” • Implementation / Audit Considerations: • Understanding these terms is important to ensure that adequate measures are taken to ensure genuine parts are procured for maintenance activities; evaluate process and measures taken to identify and contain counterfeit or suspected unapproved parts

30. Key Changes - Specific to 9110:2009 • Clause – 3.5 Human Factors • Revision: • Improve understanding of “human factors” • “The study of how humans behave physically and psychologically in relation to particular environments, products or services and the potential effect on safety. Recognition that personnel performing tasks are affected by physical fitness, physiological characteristics, personality, stress, fatigue, distraction, communication and attitude in order to ensure a safe interface between the personnel and all other environmental elements such as other personnel, equipment, facilities, procedures and data.” • Rationale: Further clarity / definition provided • Implementation / Audit Considerations: Understanding this term is important as “human factors” are evaluated / addressed for maintenance processes / activities

31. Key Changes - Specific to 9110:2009 • Clauses: 8.4 – Analysis of Data; 8.5.2 / 8.5.3 – Corrective / Preventive Action • Addition: Analysis of “human factors” has been integrated into these clauses / processes • 8.4.e – the analysis of data shall provide information relating to human factor events • 8.5.2.j – define requirements for evaluating the need for action based on human factors to ensure that nonconformities do not recur • 8.5.3.f – define requirements for evaluating the need for action based on human factors to prevent occurrence of nonconformities • Rationale: Human factors analysis should be used in the development and continual improvement of maintenance processes • Implementation / Audit Considerations: Ensure evidence that analysis of “human factors” are appropriately evaluated / applied

32. Key Changes - Specific to 9110:2009 • Clause 3.10 – Safety Policy • Addition: Defined new term - “safety policy” • “Management formally expressed commitment to product safety. This policy should reflect the organization’s philosophy of safety management and outlines the methods and processes that the organization will use to achieve desired safety outcomes” • Rationale: • Ensure understanding of this term; numerous new requirements associated to the “safety policy” have been added to the standard • Implementation / Audit Considerations: • Understanding of this term is important to the development and implementation of the organization’s “safety policy” • Ensure the organization’s “safety policy” is adequately defined

33. Key Changes - Specific to 9110:2009 • Clauses (4.2.1, 5.1, 5.4.3, 5.6.1, 5.7, 7.1) – Safety Policy and Safety Objectives • Addition:Numerous new requirements associated to the “safety policy” and “safety objectives” have been added to the standard • 4.2.1.e – documented statements of a safety policy / objectives • 5.1.f / .g – management commitment to safety policy / objectives • 5.4.3 – management to ensure safety objectives are established at relevant functions / levels within the organization • 5.6.1 – safety policy / objectives linked to “Management Review” • 5.7 – safety policy requirements further defined • 7.1.g – safety objectives and requirements for the product integrated into planning of product realization • Rationale:Integrating requirements associated to “safety policy / objectives” is consistent with ICAO directive for implementation of a Safety Management System in maintenance organizations • Implementation / Audit Considerations:Ensure that safety policy / objectives have been developed, implemented, and are periodically reviewed

34. Key Changes - Specific to 9110:2009 • Clause 4.2.2 – Quality Manual • Addition:The maintenance organization shall establish and maintain a quality manual that includes a description of key maintenance processes and procedures; these processes and procedures are consistent with most sector Authority requirements • Rationale: • These processes and procedures are critical to the operation of an effective maintenance organization • Although required by most sector Authorities, these requirements were added for emphasis to require application for non-certificated maintenance organizations that choose or are required to implement the 9110 standard • Implementation / Audit Considerations: • Ensure that these processes and procedures are integrated into the maintenance organization’s quality manual • Evaluate process performance and effectiveness

35. Key Changes - Specific to 9110:2009 • Clause 5.6 – Management Review • Addition:Expanded management review inputs • “…assessing opportunities for improvement and need for changes to the safety policy and safety objectives” • customer audit results and requests for corrective action • “the achievement, adequacy and effectiveness of the personnel training program” • “changes to Authority requirements that could impact the organization” • Rationale:Expanded management review inputs to ensure top management visibility and that appropriate decisions and actions are taken to address QMS / process performance • Implementation / Audit Considerations: • Ensure evidence these topics were management review inputs • Evaluate process performance, and decisions and actions taken

36. Key Changes - Specific to 9110:2009 • Clause 6 – Resource Management • Addition: Added requirements to strengthen text resource management to ensure safe completion of maintenance activities • 6.1 – system required to continually assess the availability of tools, technical data and necessary qualified personnel • 6.2.1 – personnel management expanded to ensure certificated personnel continue to maintain eligibility and process required for qualification and surveillance of non-certificated personnel • 6.2.2 –training program (initial and recurrent) , including personnel training associated to human factors and relevant Authority requirements • 6.3 – facility requirements away from an organization’s fixed location • Rationale:Resource management is critical for effective completion of maintenance activities • Implementation / Audit Considerations: • Evaluate maintenance organization’s resource management processes; ensure adequate process definition and evaluate process effectiveness

37. Key Changes - Specific to 9110:2009 • Clause 7.5.1 – Control of Production and Service Provision • Addition: Added requirements associated to technical data and equipment, tools and material equivalency • 7.5.1.h – provided further definition regarding use of technical data; “… technical data that has been approved, as applicable…, or that is acceptable to the Authority,” • 7.5.1 k - criteria for workmanship, specified in the clearest practical way…in accordance with applicable technical data, • 7.5.1.o – “the equipment, tools and materials shall be those recommended by the manufacturer of the article…and acceptable to the customer and/or Authority.” • Rationale:Added emphasis items to ensure these requirements are integrated with proper controls into maintenance activities • Implementation / Audit Considerations: Evaluate maintenance organization’s processes associated to use of technical data and equivalent equipment, tools and materials; ensure adequate process definition and evaluate process effectiveness

38. Proposed 9110 Implementation Schedule Maximum 30 month implementation from publication of both the 9110:2009 and 9101:2009 standards Actual IAQG Publication Date? + 18 Months + 6 Months + 30 Months 6 Months 12 Months 12 Months Develop Auditor Training Train Certification Bodiesand Auditors All Companies to Upgrade to New Standard at Next Surveillance Audit or Recertification Earliest Opportunityfor Certification to New Standard (i.e., the early adopters) Maximum Allowed Time to Upgrade

39. In Closing The 9110 Team Goals and Objectives were to: • Ensure extensive stakeholder involvement in revision effort by use of a project management approach to solicit input and manage the revision; consider / address stakeholder needs • Promote industry standard and ensure that the standard is compatible for use by all stakeholders segments and by organizations of all types and sizes • Provide emphasis on product and process improvement (e.g., risk management, critical items, project management) • Provide additional focus on IAQG strategies / objectives (e.g., product conformity, on-time delivery performance) • Prepare for the forthcoming Safety Management System implementation requirements in accordance with International Civil Aviation Organization (ICAO) directive • Ensure clarity of requirements to resolve interpretation issues The key changes are not inclusive of all the changes in the 9110 standard