ANAB AQMS Accreditation Programs 2007

1. ANAB AQMS Accreditation Programs2007

2. Overall AQMS Accreditations • 37 AS9100 • 6 AS9110 • 23 AS9120 AQMS Applicants • 2 AS9100 • 8 AS9110 • 1 AS9120 AQMS Suspensions • 1 suspension 3rd quarter (lifted 4th quarter) • 1 voluntary suspension 2nd quarter (lifted 3rd quarter) AQMS Withdrawals • None in 2007

3. Complaints • Complaints against CB’s and ANAB by type and source can be found at www.anab.org. • Summaries for past years (back to 2003) are available

4. Aerospace Complaints against ANAB 2002 - 2007

5. Aerospace Complaints against CBs2002 - 2007

6. 2007 Aerospace Complaints • 164 – OASIS not updated in a timely manner • Closed with corrective action • 169, 171, 183, 184, 186, 197, 205 – CB did not respond in a timely fashion with acceptable corrective actions to an OEM’s NCR’s • Closed with corrective action (except 184, 197 & 205) • Addressed the OEM NCR’s and put a process in place to handle OEM NCR’s in the future. • Open with correction required (closing out NCR’s) (184 & 205) • Open with correction required (audits taking place) (197) • 190 – AS9100 certified organization is not in conformance to the requirements and just passed an audit by the CB. • Closed withdrawn • Complainant withdrew the complaint when requested for more information. • ANAB followed up and found the CB had not certified the organization yet and the auditors in question had been witnessed and were found competent to conduct AS9100 audits.

7. 2007 Aerospace Complaints • 192 - An industry stakeholder is concerned about organizations that are certified to AS9100 and do not use English as their preferred language and the AS9100 audits are being done by English speaking auditors. • Closed, unable to be substantiated • ANAB requested more information and it was not received • 223 – A CB went to transfer an AS9100 client and NCR’s from 2006 were not closed and new NCR’s from 2007 were not closed. “Old” CB took the client back and re-issued the cert (without NCR’s being closed and without an 2007 audit) • Open under investigation (just received)

8. 2007 Aerospace Complaints • Investigative witnessed audit – A required audit in response to a complaint alleging nonconformance by a certified organization.  • ANAB shall outline the expectations to the CB prior to the audit and if the CB does not meet those expectations ANAB shall intervene and facilitate the direction of the audit and if necessary to adequately investigate the allegations the ANAB audit team may pursue audit trails of the organization’s system. 

9. 2007 Aerospace Complaints • ANAB was going to submit a complaint on an auditor to RABQSA • Auditor decided to withdrawal his auditor certification; ANAB did not pursue the complaint • New IAQG resolution from Oct 2007 • Stakeholders to submit complaints to auditor authentication bodies (AAB) if issues with an auditor

10. 2007 Aerospace Appeals NCR Appeal from witnessed audit (Nov 2007) • NCR 1, major – Not utilizing the checklist • NCR 2, major – Organization design responsible? • CB appealing NCR 1 • CB appealing major category for NCR 2 • Conclusion: Downgrade both NCR’s to minor

11. ANAB QMS Internal Audit • ANAB conducted six internal audits throughout 2007 • 21 (3 major) NCR’s issued • 6 in regards to corrective action process • 2 in regards to preventive action process • 5 in regards to non-AS (other industry sectors) assessor records • 1 in regards to file review objectives for office assessments (TL, not AQMS) • 3 in regards to document control • 1 in regards to translators • 1 in regards to complaint process • 2 in regards to internal audit process

12. AAQG Oversight Audit of ANAB • On-site witnessed audit on 26-27 March 2007 • Rolls Royce • ANAB’s office was audited on 11-12 December 2007 • Rolls Royce and Boeing • There were 2 minor NCR’s generated   • Completion of AQMS checklist • Closure of NCR’s (without evidence) • CA Plans are due 01 Feb 2008

13. ANAB QMS IAF Peer Evaluation • ANAB was audited by IAF • ANAB QMS on-site witnessed audit ~ May 2006 (witnessed by AAQG) • ANAB Office ~ 21-25 August 2006 • QMS & EMS ~ does not include industry sectors • Conducted by SAC (Singapore AB) and EMA (Mexico AB) • 5 [minor] NCR’s issued & 6 Concerns • Concerns must be responded to • All NCR’s are closed • Overall conclusion; ANAB to continue as a IAF MLA signatory

14. ANAB QMS IAF Peer Evaluation • Minor NCR’s and Concerns • Internal auditor qualification evidence not available • Internal NCR’s not closed on-time • During on-site assessment assessors did not audit to sufficient depth • Certificates for accreditation do not reference accreditation standards (e.g. ISO Guide 62) nor do they reference the accompanying schedule of accreditation • CB’s date of accreditation & expiration date not publicly available • Not clear how assessors have sufficient knowledge of local regulations (EMS). • ANAB’s process for multi-site CB’s is not consistent with ISO 17011 • ANAB did not submit an accreditation package to the Council in a timely fashion. • An additional office of a CB has the word “consulting” in it’s name. • Obligation that CB must provide access to certification documents is not addressed. • During on-site assessment assessor classified a major NCR as a minor.

15. 2007 ANAB Assessment Activity • AS Office Assessments • 41 conducted for 35 CBs • 1 CB’s assessment was re-scheduled for Jan 08 (due and scheduled for Dec and was canceled due to weather) • 1 CB gained AS accreditation in Oct 07 (office assessment was initial) • 4 CB’s had follow-up assessments • 1 CB had two assessments in 2007 • AS Witnessed Audits • 42 conducted for 35 CBs • 2 CB had re-audits • 4 CB’s had multiple assessments • 1 CB gained AS accreditation in Oct 07 and 1 gained AS accreditation in Jun 07 (no annual maintenance witnessed audits required in 2007)

16. NCR’s issued during AQMS Maintenance Witnessed Audits ~ 2005, 2006, 2007lessons learned from 2005 – certificates, corrective actions, in depthlessons learned from 2006 – audit time, OASIS, auditing in depth

17. WITNESSED AUDIT NCR’s 2007 • 42 audits • 98 NCR’s (2.3 NCR’s per audit) • 27 Major • 17 Escalated to Major 2006 • 35 audits • 61 NCR’s (1.7 NCR’s per audit) • 6 Major • 7 Escalated to Major 2005 • 37 audits • 67 NCR’s (1.8 NCR’s per audit) • 6 Major • 7 Escalated to Major

18. Aerospace NCR’s issued during Office Assessments2005, 2006, 2007lessons learned from 2005 – certificates, corrective actions lessons learned from 2006 – audit reports, corrective actions, internal audit not including AS, scoring

19. Office Assessment Aerospace NCR’s 2007 • 41 assessments • 43 NCR’s against aerospace requirements (1.04 NCR’s per assessment) • 4 Major • 1 Escalated to Major 2006 • 37 assessments • 29 NCR’s against aerospace requirements (.78 NCR’s per assessment) • ?? Major • ?? Escalated to Major 2005 • 34 assessments • 27 NCR’s against aerospace requirements (.79 NCR’s per assessment) • 6 Major • 0 Escalated to Major

20. 2008 CB/AB Auditor Workshop Research top NCR’s to find detail for training • Areas not being audited to sufficient depth • Train on industry/AB expectations for specific processes / requirements • Audit Report Issues • NCR’s (generating / closing) • Is it documenting NCR’s or closing out NCR’s?