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
 Registration Management Committee (RMC)
Auditor Training and Workshop
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)
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

IATF ISO/TS16949 Scheme Structure

IATF Original Members

PSA Renault FORD GM Daimler AG

OEM

Fiat Chrysler BMW Group VW AG

National Supplier ANFIA FIEV AIAG SMMT VDA

Organizations

IATF -
Database

Organization
audit &
certificate
Global Oversight Offices
data / auditor
& witness ANFIA IATF France IAOB SMMT VDA-QMC
audit data

Global Oversight Scheme Management Responsibilities

Administer the IATF defined registration scheme

 Registration Management Committee (RMC)
Auditor Training and Workshop
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

 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Auditor Guide to ISO/TS16949

First Edition
April 2009

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

 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Essential auditing criteria

• Process Approach
Demonstrates priority is given to questioning the organisation’s
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 organisation’s
process for gathering, communicating and implementing these
requirements.
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Essential auditing criteria

• 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 organisation’s
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Essential auditing criteria

• 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.
 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
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?

 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
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.
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Continual Improvement of the

Quality Management System

Management
responsibility
Customers Customers

Measurement,
Resource
analysis and Satisfaction
Management improvement

Input Output
Product
Requirements Product
realization

Value-adding activities
Information flow
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

AS9100 4.1 General Requirements

The organization shall

a. determine the processes needed for the quality

management system and their application throughout
the organization (see 1.2),
b. determine the sequence and interaction of these
processes,
c. determine criteria and methods needed to ensure that
both the operation and control of these processes are
effective,
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

AS9100 4.1 General Requirements

The organization shall

d. ensure the availability of resources and information

necessary to support the operation and monitoring of
these processes,
e. monitor, measure where applicable, and analyse these
processes, and
f. implement actions necessary to achieve planned
results and continual improvement of these processes.
 Registration Management Committee (RMC)
Auditor Training and Workshop
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…”
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

INPUT OUTPUT
Customer who Customer who
has a need has a need met

Step Step Step Step

1 2 3 “N”

Input Output
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

GENERAL MANAGEMENT
Remote
Supporting
Function

SALES PLANNING Design & SHIPPING

PRODUCTION
Department Department Development Department Department

Visit prepare Requirement Approve

prospective medium term Definition & Supply
plan transporters
customers Communicate

Risk Negotiate
Understand Set up Methods
supplier
requirements budget
-Determine &
contract
Communicate
organize
forecast
planning Configuration Inspection
Manage stock Customer
sales input
Control
operation
receives
product
negotiate plan V&V Organize
Manufacture delivery
contract capacities Approach
Customer Set up the Control
manage Producibility
needs orders
production
Operator
maintenance
delivery
program quality
product

Plan to audit interaction with support processes

 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Customer Orientated Processes

C
Organization C

U U

S customer oriented process n° 1 S

T T
customer oriented process n° 2
O O

M customer oriented process n° 3 M

E E
customer oriented process n° n  R
R
S S

Customer Orientated Process: Focus on meeting external customer needs

 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009
Customer Customer RISK!
RISK!
O I
I O
O Production
I
Customer planning Customer
Delivery
I O
Product and Process Payment
Verification & Validation

O I
Customer Product and
Process Design
Organization Warranty / Service Customer

I O

Post Sales /
Contract review Customer
O Feedback I
Customer Market Analysis / Customer
Bid / Tender
I O
RISK!
O I RISK!
I O
Customer Customer
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Management Processes

C management processes C

U U

S customer oriented process n° 1 S

T T
customer oriented process n° 2
O O

M customer oriented process n° 3 M

E E
customer oriented process n° n  R
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

C C
U
U customer oriented process n° 1
S S

T customer oriented process n° 2 T

O O
customer oriented process n° 3
M M
E
E customer oriented process n° n 
R R

S support processes S

Support processes: they allow the other processes to work by supplying the
required resources, and contribute to risk control
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Management and Support Processes

C management processes C

U U

S customer oriented process n° 1 S

T T
customer oriented process n° 2
O O

M customer oriented process n° 3 M

E E
customer oriented process n° n  R
R
S S
support processes
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

M1 :Define and deploy the strategy

C C

U U
C1 :Listen to the market and make a quote
S S

T T
C2 : Design and development product/process
O O
C3 : Production and delivery M
M
E E
C4 : Dealing with customer complaints
R R

S S
S4
S1 S3
S2 Manage
Manage Manage
Manage skills computer
suppliers equipment
systems
 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
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

 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Business
Plan
P O
O B
L J
T

INF
AC

I E
C C

LU
IM P

Y T

EN
I
V

CE
E
S

Planning
Competence awareness and training
`
 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
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.
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

V cycle approach to auditing

Strategy Decisions
Policy
Objectives Review
Top management Resources information Top management

Risk analysis Reporting

Improvement
Process owners Planning the Process owners
Collect and
activities
analyse data

Operations and
recording
Participants Participants
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Start
Startwith
withaaquestions
questionsabout
aboutperformance,
performance,what
whatisis
C expected
expectedfrom
fromthe
theprocess,
process,what
whatare
arethe
theobjectives/
objectives/
measures,
measures,what
whatis
isthe
theactual
actualperformance?
performance?

A How
Howis
isperformance
performanceof
ofthe
theprocess
processbeing
beingimproved?
improved?

How
Howwas
wasthe
theprocess
processplanned,
planned,what
whatsystems
systemsarearein
in
place
placeto
toensure
ensurethe
theprocess
processisiscontrolled.
controlled.Does
Doesthe
the
P process
processaddress
addressthe
theAS9100
AS9100and
andrelevant
relevantcustomer
customer
requirements?
requirements?

Is
Isthe
theprocess
processbeing
beingcarried
carriedout
outas
asplanned?
planned?Are
Arethe
the
Do systems
systemsunderstood
understoodby
byall
allinvolved
involvedin
inthe
theprocess?
process?
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

With WHO?
With WHAT?
(TRAINING,
(EQUIPMENT/ KNOWLEDGE,
INSTALLATIONS) SKILLS)

INPUT REQUIREMENTS OUTPUT

SATISFACTION
Customer Who Customer Who
has a Need PROCESS has a Need Met

HOW ?
(INSTRUCTIONS,
PROCEDURES
METHODS) Start With
INCLUDING
SUPPORT
PROCESSES
Performance
 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
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
 Registration Management Committee (RMC)
Auditor Training and Workshop
Minneapolis, MN
July 30-31, 2009

Conclusions
• Organization’s should define their processes

• Organization’s 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