Audit Skills

Registration Management Committee (RMC)
Auditor Training and Workshop

Minneapolis, MN
July 30-31, 2009
WELCOME!
Americas Aerospace Quality Group
AAQG
Registration Management Committee
RMC
Auditor Training and Workshop Session
Minneapolis, MN
July 30-31, 2009
Value Added Aerospace Auditing

Minneapolis, MN
July 30-31, 2009
Paul Hardiman: SMMT Industry Forum
Qualified Mechanical Engineer

Work Experience in the automotive and
aerospace supply chain
Experienced auditor: ISO 9001, QS-9000, and
ISO/TS 16949
Assisted organizations with implementing
AS9100, ISO/TS16949 (or both)

Minneapolis, MN
July 30-31, 2009
IATF ISO/TS16949 Scheme Structure

Minneapolis, MN
July 30-31, 2009
Role of Oversight
Certification Body applications

Office Assessment
Witness Audits
IATF database management

Provide Interpretations and Guidance on the application through
the issuing of Sanctioned Interpretations (SI) and Frequently
Asked Questions (FAQ).
Monitor Certification Body Activities
(including IATF OEM input)
Qualify certification body auditors

Minneapolis, MN
July 30-31, 2009
Auditor Guide to ISO/TS16949

First Edition
April 2009
Available for purchase www.smmt.co.uk (15, $23)

Minneapolis, MN
July 30-31, 2009
Essential auditing criteria

Process Approach
Demonstrates priority is given to questioning the organisations
identification of processes, their sequence and interactions,
and performance against the objectives / measures defined,
with focus on the processes which directly impact the customer
Customer, regulatory, industry requirements
Demonstrates that these requirements are integrated into a
process based audit. Effectively audit the organisations
process for gathering, communicating and implementing these
requirements.

Minneapolis, MN
July 30-31, 2009

Prioritisation
Demonstrates priority is given to questioning the
process objectives and performance, and focus on
issues that have the greatest impact on the customer
Focus on performance
Identifies issues/trails around the organisations
process for setting objectives/ targets, what plans are
in place to ensure targets are met, and corrective
action plans where objectives/targets are not being
met

Minneapolis, MN
July 30-31, 2009

Knowledge/Application of AS9100, AS9110 and
AS9120 requirements (and associated checklists)
Demonstrates knowledge and application of the
requirements within a process based audit
Analyse and Synthesize data
Demonstrates the ability to collect and analyse data,
and draw accurate conclusions based upon the data.
Synthesize isolated but connected data in order to
draw conclusions.

Minneapolis, MN
July 30-31, 2009
Workshop agenda
Determining the audit scope and exclusions

Identification of processes and their interactions
Auditing of processes to verify effectiveness (and
efficiency)
Focusing on areas of significance
Time Management
Auditing Top Management
Case study

Minneapolis, MN
July 30-31, 2009
Scope and exclusions

Review case study
The customer is paying for the tooling, and is also
purchasing tooling from Alba Gear Inc to assist them in
their assembly process
What would be an appropriate scope for AS9100
registration?
What would be permissible exclusions?

Minneapolis, MN
July 30-31, 2009
Conclusion: Scope and exclusions

Where any of the requirements cannot be applied
due to the nature of the organization and its
products, this can be considered for exclusion
Where exclusions are made, claims of conformity
to this international standard are not acceptable
unless these are limited to requirements with
clause 7, and as such exclusions do not affect
the organisation ability, or responsibility, to
provide product that meets customer and
applicable statutory and regulatory requirements

Minneapolis, MN
July 30-31, 2009
AS9100
0.2 Process Approach
This International Standard promotes the
adoption of a process approach when
developing, implementing and improving the
effectiveness of a quality management system, to
enhance customer satisfaction by meeting
customer requirements.

Minneapolis, MN
July 30-31, 2009
Continual Improvement of the

Quality Management System
Management
responsibility
Customers
Customers
Measurement,
analysis and
improvement
Resource
Management
Requirements
Input
Product
realization
Satisfaction
Output
Product
Value-adding activities
Information flow

Minneapolis, MN
July 30-31, 2009
AS9100 4.1 General Requirements

The organization shall
a.
b.
c.
determine the processes needed for the quality

management system and their application throughout
the organization (see 1.2),
determine the sequence and interaction of these
processes,
determine criteria and methods needed to ensure that
both the operation and control of these processes are
effective,

Minneapolis, MN
July 30-31, 2009
AS9100 4.1 General Requirements

The organization shall
d.
e.
f.
ensure the availability of resources and information

necessary to support the operation and monitoring of
these processes,
monitor, measure where applicable, and analyse these
processes, and
implement actions necessary to achieve planned
results and continual improvement of these processes.

Minneapolis, MN
July 30-31, 2009
Defining Processes
A process exists as interrelated actions to meet a need
It is a set of interrelated or interacting activities
which transforms inputs into outputs
Inputs to a process are generally outputs of other
processes
The individual or group of individuals that have a need
are commonly referred to as the customer of that
process
A customer is an organization or person that
receives the result of a process

Minneapolis, MN
July 30-31, 2009
INPUT
Customer who
has a need
Input
OUTPUT
Customer who
has a need met
Step
Step
Step
Step
N
Output

Minneapolis, MN
July 30-31, 2009
GENERAL MANAGEMENT
Remote
Supporting
Function
PLANNING
Department
Design &
Development
Visit
prospective
customers
prepare
medium term
plan
Requirement
Definition &
Communicate
Understand
requirements
Set up
budget
Risk
-Determine &
Communicate
forecast
sales
organize
planning
operation
Configuration
Control
negotiate
contract
plan
capacities
V&V
Approach
manage
orders
Set up the
production
program
Producibility
SALES
Department
Customer
needs
product
PRODUCTION
Department
Supply
Methods
Inspection
SHIPPING
Department
Approve
transporters
Negotiate
supplier
contract
Manage stock
input
Manufacture
Organize
delivery
Operator
maintenance
Control
delivery
quality
Customer
receives
product
Plan to audit interaction with support processes

Minneapolis, MN
July 30-31, 2009
Customer Orientated Processes

C
U
S
T
O
M
E
R
S
Organization
C
U
customer oriented process n 1

customer oriented process n n
S
T
O
M
E
R
S
Customer Orientated Process: Focus on meeting external customer needs

Minneapolis, MN
July 30-31, 2009
Identification of processes
Brainstorm in your groups to identify 5 processes in a
typical aerospace tier one supplier where there is
interaction with an external customer
Define inputs/outputs
Is there a sequence in which the processes can be
ordered?
Discuss in your groups
Feedback

Minneapolis, MN
July 30-31, 2009
Customer
O
I
RISK!
O
Customer
I
Production
planning
Product and
Process Design
RISK!
I
Customer
O
Delivery
Payment
Product and Process

Verification & Validation
O
Customer
Customer
I
O
Organization
I
Warranty / Service Customer
I
Post Sales /
Customer
Feedback
Contract review
RISK!
O
Customer
I
Bid / Tender
Customer
Market Analysis /
I
Customer
I
Customer
O
RISK!

Minneapolis, MN
July 30-31, 2009
Management Processes
C
U
S
T
O
M
E
R
management processes
C
U

S
T
O
M
E
R
S
S
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

Minneapolis, MN
July 30-31, 2009
C
U
S
T
O
M
E

R
S
support processes
S
O
M
E
R
S
Support processes: they allow the other processes to work by supplying the
required resources, and contribute to risk control

Minneapolis, MN
July 30-31, 2009
Management and Support Processes

C
U
S
T
O
M
E
R
S
management processes
C
U

support processes
S
T
O
M
E
R
S

Minneapolis, MN
July 30-31, 2009
M1 :Define and deploy the strategy
S
T
C1 :Listen to the market and make a quote

C2 : Design and development product/process
C3 : Production and delivery
M
E
S
T
O
M
C4 : Dealing with customer complaints
S
S1
Manage
suppliers
S2
Manage skills
S3
Manage
equipment
S4
Manage
computer
systems

Minneapolis, MN
July 30-31, 2009
AS9100 4.1 General requirements

The organization shall:
e.
monitor, measure where applicable, and analyze these

processes, and
f.
implement actions necessary to achieve planned

results and continual improvement of these processes.
AS9100 5.4.1 Quality objectives

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

Minneapolis, MN
July 30-31, 2009
Process Performance
Effectiveness = Extent to which planned activities are
realized and planned results achieved
Customer satisfaction
Efficiency = Relationship between results achieved and
the resources used
Organization satisfaction
Source: ISO9000: 2005

Minneapolis, MN
July 30-31, 2009
P
O
L
I
C
Y
O
B
J
E
C
T
I
V
E
S
CE
EN
LU
INF
IMP
AC
T
Business
Plan
Planning
Competence awareness and training
`

Minneapolis, MN
July 30-31, 2009
Top Management
Process failed to meet

specified objectives
Problem causes concern

in higher level process
Shop floor
Process performance
measures met

Minneapolis, MN
July 30-31, 2009
Process Performance
With your previously identified customer orientated
processes, define possible measures of process
effectiveness and efficiency an organization might
use.

Minneapolis, MN
July 30-31, 2009
V cycle approach to auditing

Strategy
Policy
Objectives
Top management
Resources
Decisions
Review
information
Top management
Reporting
Risk analysis
Improvement
Process owners
Participants
Planning the
activities
Collect and
analyse data
Operations and
recording
Process owners
Participants

Minneapolis, MN
July 30-31, 2009
Start
Startwith
withaaquestions
questionsabout
aboutperformance,
performance,what
whatis
is
expected
expectedfrom
fromthe
theprocess,
process,what
whatare
arethe
theobjectives/
objectives/
measures,
measures,what
whatis
isthe
theactual
actualperformance?
performance?
How
Howis
isperformance
performanceof
ofthe
theprocess
processbeing
beingimproved?
improved?
How
Howwas
wasthe
theprocess
processplanned,
planned,what
whatsystems
systemsare
arein
in
place
placeto
toensure
ensurethe
theprocess
processis
iscontrolled.
controlled.Does
Doesthe
the
process
processaddress
addressthe
theAS9100
AS9100and
andrelevant
relevantcustomer
customer
requirements?
requirements?
Is
Isthe
theprocess
processbeing
beingcarried
carriedout
outas
asplanned?
planned?Are
Arethe
the
systemsunderstood
understoodby
byall
allinvolved
involvedin
inthe
theprocess?
process?
Do systems

Minneapolis, MN
July 30-31, 2009
With WHO?
With WHAT?
(TRAINING,
KNOWLEDGE,
SKILLS)
(EQUIPMENT/
INSTALLATIONS)
has a Need
OUTPUT
PROCESS
SATISFACTION
Customer Who
REQUIREMENTS
INPUT
Customer Who
has a Need Met
HOW ?
(INSTRUCTIONS,
PROCEDURES
METHODS)
INCLUDING
SUPPORT
PROCESSES
Start With
Performance

Minneapolis, MN
July 30-31, 2009
Exercise: Audit of Top Management

Review the case study
Discuss in your groups what questions would you
want to ask top management in the surveillance
audit
How do the questions link to AS9100
How would you prioritize your questions
Feedback to group

Minneapolis, MN
July 30-31, 2009
Audit of top management

Seek evidence of customer focus
Question how quality objectives have been
established
Question how the quality objectives have been
deployed
Question on how performance against the quality
objectives is reviewed
Question what action is taken when objectives
are not met

Minneapolis, MN
July 30-31, 2009
Conclusions
Organizations should define their processes
Organizations should define how they measure
the effectiveness and efficiency of their processes
Audits should verify the QMS can consistently
provide products that meet customer as well as
statuary and regulatory requirements
Focus on performance!
Thank you

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Registration Management Committee (RMC)

Auditor Training and Workshop

Value Added Aerospace Auditing

Registration Management Committee (RMC)

Paul Hardiman: SMMT Industry Forum

Qualified Mechanical Engineer

Registration Management Committee (RMC)

IATF ISO/TS16949 Scheme Structure

Registration Management Committee (RMC)

Certification Body applications

IATF database management

Qualify certification body auditors

Registration Management Committee (RMC)

Auditor Guide to ISO/TS16949

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

Registration Management Committee (RMC)

Essential auditing criteria

Registration Management Committee (RMC)

Essential auditing criteria

Registration Management Committee (RMC)

Essential auditing criteria

Registration Management Committee (RMC)

Determining the audit scope and exclusions

Registration Management Committee (RMC)

Scope and exclusions

Registration Management Committee (RMC)

Conclusion: Scope and exclusions

Registration Management Committee (RMC)

Registration Management Committee (RMC)

Continual Improvement of the

Registration Management Committee (RMC)

AS9100 4.1 General Requirements

determine the processes needed for the quality

Registration Management Committee (RMC)

AS9100 4.1 General Requirements

ensure the availability of resources and information

Registration Management Committee (RMC)

Registration Management Committee (RMC)

Registration Management Committee (RMC)

Plan to audit interaction with support processes

Registration Management Committee (RMC)

Customer Orientated Processes

customer oriented process n 1

Customer Orientated Process: Focus on meeting external customer needs

Registration Management Committee (RMC)

Registration Management Committee (RMC)

Product and Process

Registration Management Committee (RMC)

customer oriented process n 1

Registration Management Committee (RMC)

customer oriented process n 1

customer oriented process n 2

customer oriented process n 3

Registration Management Committee (RMC)

Management and Support Processes

customer oriented process n 1

Registration Management Committee (RMC)

M1 :Define and deploy the strategy

C1 :Listen to the market and make a quote

C3 : Production and delivery

C4 : Dealing with customer complaints

Registration Management Committee (RMC)

AS9100 4.1 General requirements

monitor, measure where applicable, and analyze these