Registration Management Committee (RMC)

Registration Management Committee (RMC)Auditor Training and WorkshopMinneapolis, MNJuly 30-31, 2009

WELCOME!WELCOME!Americas Aerospace Quality GroupAmericas Aerospace Quality Group

AAQG AAQG Registration Management CommitteeRegistration Management Committee

RMCRMCAuditor Training and Workshop SessionAuditor Training and Workshop Session

Minneapolis, MNMinneapolis, MNJuly 30-31, 2009 July 30-31, 2009

Value Added Aerospace AuditingValue Added Aerospace Auditing


Paul Hardiman: SMMT Industry ForumPaul Hardiman: SMMT Industry Forum

• Qualified Mechanical EngineerQualified Mechanical Engineer• Work Experience in the automotive and Work Experience in the automotive and

aerospace supply chainaerospace supply chain• Experienced auditor: ISO 9001, QS-9000, and Experienced auditor: ISO 9001, QS-9000, and

ISO/TS 16949ISO/TS 16949• Assisted organizations with implementing Assisted organizations with implementing

AS9100, ISO/TS16949 (or both)AS9100, ISO/TS16949 (or both)


IATF ISO/TS16949 Scheme StructureIATF Original Members

PSA Renault

Fiat

GMFORD

VW AGBMW GroupChrysler

SMMTAIAG VDAANFIA FIEV

OEM

National Supplier Organizations

Global Oversight Offices

SMMTIAOB VDA-QMCANFIA IATF France

Global Oversight Scheme Management Responsibilities

IATF - Database

Organization audit &

certificate data / auditor

& witness audit data

Administer the IATF defined registration scheme

Daimler AG


Role of OversightRole of Oversight• Certification Body applicationsCertification Body applications• Office AssessmentOffice Assessment

• Witness AuditsWitness Audits

• IATF database management IATF database management • Provide Interpretations and Guidance on the application through Provide Interpretations and Guidance on the application through

the issuing of Sanctioned Interpretations (SI) and Frequently the issuing of Sanctioned Interpretations (SI) and Frequently Asked Questions (FAQ). Asked Questions (FAQ).

• Monitor Certification Body Activities Monitor Certification Body Activities (including IATF OEM input) (including IATF OEM input)

• Qualify certification body auditorsQualify certification body auditors


Auditor Guide to ISO/TS16949

First EditionApril 2009

Available for purchase www.smmt.co.uk (£15, $23)

http://www.smmt.co.uk/


Essential auditing criteriaEssential auditing criteria• Process ApproachProcess Approach

Demonstrates priority is given to questioning the organisation’s Demonstrates priority is given to questioning the organisation’s identification of processes, their sequence and interactions, and identification of processes, their sequence and interactions, and performance against the objectives / measures defined, with performance against the objectives / measures defined, with focus on the processes which directly impact the customer focus on the processes which directly impact the customer

• Customer, regulatory, industry requirementsCustomer, regulatory, industry requirements Demonstrates that these requirements are integrated into a Demonstrates that these requirements are integrated into a process based audit. Effectively audit the organisation’s process based audit. Effectively audit the organisation’s process for gathering, communicating and implementing these process for gathering, communicating and implementing these requirements.requirements.


Essential auditing criteriaEssential auditing criteria• Prioritisation Prioritisation

Demonstrates priority is given to questioning the Demonstrates priority is given to questioning the process objectives and performance, and focus on process objectives and performance, and focus on issues that have the greatest impact on the customerissues that have the greatest impact on the customer

• Focus on performanceFocus on performanceIdentifies issues/trails around the organisation’s Identifies issues/trails around the organisation’s process for setting objectives/ targets, what plans are process for setting objectives/ targets, what plans are in place to ensure targets are met, and corrective in place to ensure targets are met, and corrective action plans where objectives/targets are not being action plans where objectives/targets are not being metmet


Essential auditing criteriaEssential auditing criteria

• Knowledge/Application of AS9100, AS9110 and Knowledge/Application of AS9100, AS9110 and AS9120 requirements (and associated checklists)AS9120 requirements (and associated checklists)Demonstrates knowledge and application of the Demonstrates knowledge and application of the requirements within a process based auditrequirements within a process based audit

• Analyse and Synthesize dataAnalyse and Synthesize data Demonstrates the ability to collect and analyse data, Demonstrates the ability to collect and analyse data, and draw accurate conclusions based upon the data. and draw accurate conclusions based upon the data. Synthesize isolated but connected data in order to Synthesize isolated but connected data in order to draw conclusions.draw conclusions.


Workshop agendaWorkshop agenda

• Determining the audit scope and exclusionsDetermining the audit scope and exclusions• Identification of processes and their interactionsIdentification of processes and their interactions• Auditing of processes to verify effectiveness (and Auditing of processes to verify effectiveness (and

efficiency)efficiency)– Focusing on areas of significanceFocusing on areas of significance– Time ManagementTime Management

• Auditing Top Management Auditing Top Management – Case studyCase study


Scope and exclusionsScope and exclusions

•Review case studyReview case studyThe customer is paying for the tooling, and is also The customer is paying for the tooling, and is also purchasing tooling from Alba Gear Inc to assist them in purchasing tooling from Alba Gear Inc to assist them in their assembly processtheir assembly process

•What would be an appropriate scope for AS9100 What would be an appropriate scope for AS9100 registration?registration?

•What would be permissible exclusions?What would be permissible exclusions?


Conclusion: Scope and exclusionsConclusion: Scope and exclusions

• Where any of the requirements cannot be applied Where any of the requirements cannot be applied due to the nature of the organization and its due to the nature of the organization and its products, this can be considered for exclusionproducts, this can be considered for exclusion

• Where exclusions are made, claims of conformity Where exclusions are made, claims of conformity to this international standard are not acceptable to this international standard are not acceptable unless these are limited to requirements with unless these are limited to requirements with clause 7, and as such exclusions do not affect clause 7, and as such exclusions do not affect the organisation ability, or responsibility, to the organisation ability, or responsibility, to provide product that meets customer and provide product that meets customer and applicable statutory and regulatory requirementsapplicable statutory and regulatory requirements


AS9100AS91000.2 Process Approach0.2 Process Approach

This International Standard promotes the This International Standard promotes the adoption of a process approach when adoption of a process approach when developing, implementing and improving the developing, implementing and improving the effectiveness of a quality management system, to effectiveness of a quality management system, to enhance customer satisfaction by meeting enhance customer satisfaction by meeting customer requirements.customer requirements.


Continual Improvement of the Quality Management System

Customers

Requirements

Managementresponsibility

Measurement, analysis and improvement

Productrealization

ResourceManagement

Customers

Satisfaction

ProductOutputInput

Value-adding activities

Information flow


AS9100 4.1 General RequirementsAS9100 4.1 General Requirements

The organization shallThe organization shall

a.a. determine the processes needed for the quality determine the processes needed for the quality management system and their application throughout management system and their application throughout the organization (see 1.2),the organization (see 1.2),

b.b. determine the sequence and interaction of these determine the sequence and interaction of these processes,processes,

c.c. determine criteria and methods needed to ensure that determine criteria and methods needed to ensure that both the operation and control of these processes are both the operation and control of these processes are effective,effective,


AS9100 4.1 General RequirementsAS9100 4.1 General Requirements

The organization shallThe organization shall

d.d. ensure the availability of resources and information ensure the availability of resources and information necessary to support the operation and monitoring of necessary to support the operation and monitoring of these processes,these processes,

e.e. monitor, measure where applicable, and analyse these monitor, measure where applicable, and analyse these processes, andprocesses, and

f.f. implement actions necessary to achieve planned implement actions necessary to achieve planned results and continual improvement of these processes.results and continual improvement of these processes.


Defining ProcessesDefining Processes• A process exists as interrelated actions to meet a needA process exists as interrelated actions to meet a need

– It is a “set of interrelated or interacting activities It is a “set of interrelated or interacting activities which transforms inputs into outputs”which transforms inputs into outputs”

– Inputs to a process are generally outputs of other Inputs to a process are generally outputs of other processesprocesses

• The individual or group of individuals that have a need The individual or group of individuals that have a need are commonly referred to as the “customer” of that are commonly referred to as the “customer” of that processprocess– A customer is an “organization or person that A customer is an “organization or person that

receives the … result of a process…”receives the … result of a process…”


INPUTCustomer who

has a need

OUTPUTCustomer who has a need met

Input

Step

1

Step

2

Step

3

Step

“N”

Output


PLANNINGDepartment preparemedium term

plan

Set up theproductionprogram

plancapacities

organizeplanningoperation

Set upbudget

SALESDepartment

Visitprospective customers

manageorders

negotiatecontract

forecast sales

Understandrequirements

PRODUCTIONDepartment

Supply

Operator maintenance

Manufacture

Inspection

SHIPPINGDepartment

Approve transporters

Controldeliveryquality

Organizedelivery

Manage stockinput

Negotiatesuppliercontract

GENERAL MANAGEMENT

Methods

Remote SupportingFunction

Customer receives product

Customer needs

product

Plan to audit interaction with support processes

Design & DevelopmentRequirement Definition & Communicate

Risk -Determine & Communicate

Configuration Control

V & V Approach

Producibility


Customer Orientated ProcessesCustomer Orientated Processes

customer oriented process n° 2customer oriented process n° 3

customer oriented process n° n

customer oriented process n° 1

CUSTOMERS

CUSTOMERS

Customer Orientated Process: Focus on meeting external customer needs

Organization


Identification of processesIdentification of processes

• Brainstorm in your groups to identify 5 processes in a Brainstorm in your groups to identify 5 processes in a typical aerospace tier one supplier where there is typical aerospace tier one supplier where there is interaction with an external customerinteraction with an external customer

• Define inputs/outputsDefine inputs/outputs • Is there a sequence in which the processes can be Is there a sequence in which the processes can be

ordered?ordered?

• Discuss in your groupsDiscuss in your groups

• FeedbackFeedback


Customer

Market Analysis /

Organization

Customer

Customer

Customer

Customer

Customer

Customer

Bid / Tender

Contract review

Product and Process Design

Product and Process Verification & Validation

Production planning

Delivery

Payment

Warranty / Service

Post Sales / Customer Feedback

Customer

CustomerCustomer

I O I

I

I

I

II

I

I

I

O

OO

O

O

O

O

O

O

RISK!

RISK!RISK!

RISK!


Management ProcessesManagement Processes




CUSTOMERS

CUSTOMERS

management processes

Management processes: they ensure continuous improvement of all processes by determining objectives, planning improvements to reach objectives, and analyzing and reviewing data. They interact with all other processes





customer oriented process n° 1CUSTOMERS

CUSTOMERSsupport processes

Support processes: they allow the other processes to work by supplying the required resources, and contribute to risk control


Management and Support ProcessesManagement and Support Processes




CUSTOMERS

CUSTOMERSsupport processes

management processes


C2 : Design and development product/process

C3 : Production and delivery

C4 : Dealing with customer complaints

C1 :Listen to the market and make a quote

CUSTOMERS

CUSTOMERS

M1 :Define and deploy the strategy

S1 Manage suppliers

S2Manage skills

S3Manage

equipment

S4Manage computersystems


The organization shall:The organization shall:

e.e. monitor, measure where applicable, and analyze these monitor, measure where applicable, and analyze these processes, andprocesses, and

f. implement actions necessary to achieve planned f. implement actions necessary to achieve planned results and continual improvement of these processes.results and continual improvement of these processes.

AS9100 5.4.1 Quality objectivesAS9100 5.4.1 Quality objectivesTop management shall ensure that quality objectives, Top management shall ensure that quality objectives, including those needed to meet requirements for product including those needed to meet requirements for product are established at relevant functions and levels within the are established at relevant functions and levels within the organization. The quality objectives shall be measurable organization. The quality objectives shall be measurable and consistent with the quality policyand consistent with the quality policy

AS9100 4.1 General requirementsAS9100 4.1 General requirements


Process PerformanceProcess Performance

Effectiveness = Extent to which planned activities are realized and planned results achieved

Efficiency = Relationship between results achieved and the resources used

Organization satisfaction

Customer satisfaction

Source: ISO9000: 2005


`Competence awareness and training

IMPA

CT

Planning

INFLUENCEBusiness

PlanOBJECTIVES

POLICY


Process performance measures met

Problem causes concern in higher level process

Process failed to meet specified objectives

Top Management

Shop floor


Process PerformanceProcess Performance

With your previously identified customer orientated With your previously identified customer orientated processes, define possible measures of process processes, define possible measures of process effectiveness and efficiency an organization might effectiveness and efficiency an organization might use.use.


Strategy

Risk analysis

Planning the activities

Decisions

Review information

Improvement

Reporting

Collect and analyse data

Operations and recording

Top management

Process owners

PolicyObjectives

Resources

Participants

V cycle approach to auditing

Top management

Process owners

Participants


CStart with a questions about performance, what is expected from the process, what are the objectives/ measures, what is the actual performance?

A How is performance of the process being improved?

DoIs the process being carried out as planned? Are the systems understood by all involved in the process?

P

How was the process planned, what systems are in place to ensure the process is controlled. Does the process address the AS9100 and relevant customer requirements?


With WHAT?

(EQUIPMENT/INSTALLATIONS)

With WHO?

(TRAINING,

KNOWLEDGE,SKILLS)

REQ

UIR

EMEN

TS

SATISFA

CTIO

N

INPUT OUTPUT

PROCESS

HOW ?(INSTRUCTIONS,PROCEDURESMETHODS)

Customer Who

has a NeedCustomer Who

has a Need Met

INCLUDING SUPPORT

PROCESSES

Start With

Performance


Exercise: Audit of Top ManagementExercise: Audit of Top Management

Review the case studyReview the case study

Discuss in your groups what questions would you Discuss in your groups what questions would you want to ask top management in the surveillance want to ask top management in the surveillance auditaudit

How do the questions link to AS9100How do the questions link to AS9100

How would you prioritize your questionsHow would you prioritize your questions

Feedback to groupFeedback to group


Audit of top managementAudit of top management

• Seek evidence of customer focusSeek evidence of customer focus• Question how quality objectives have been Question how quality objectives have been

establishedestablished• Question how the quality objectives have been Question how the quality objectives have been

deployeddeployed• Question on how performance against the quality Question on how performance against the quality

objectives is reviewedobjectives is reviewed• Question what action is taken when objectives Question what action is taken when objectives

are not metare not met


ConclusionsConclusions• Organization’s should define their processesOrganization’s should define their processes

• Organization’s should define how they measure Organization’s should define how they measure the effectiveness and efficiency of their processesthe effectiveness and efficiency of their processes

• Audits should verify the QMS can consistently Audits should verify the QMS can consistently provide products that meet customer as well as provide products that meet customer as well as statuary and regulatory requirementsstatuary and regulatory requirements

• Focus on performance!Focus on performance!

• Thank youThank you

Documents

Registration Management Committee (RMC)