Module 2 Introduction to the Industry Controlled Other Party (ICOP) Process January 13 – 16, 2015 IAQG OPMT OP Assessor Training Module Summary • In this module you will learn about: – – – – – – The Industry Controlled Other Party (ICOP) Scheme The IAQG Other Party Management Team (OPMT) The Online Aerospace Supplier Information System (OASIS) The Sector Management Structure (SMS) The Certification Structure Oversight Committee (CSOC ) Responsibilities within the ICOP process for: » IAQG member companies » OPMT » SMS » CSOC » Other Party Assessor – Different ways of viewing and understanding the ICOP scheme Page 2 IAQG OPMT OP Assessor Training What Is ICOP? • ICOP is a globally harmonized Aviation, Space & Defense Quality Management System (AQMS) Certification process defined by the IAQG – Industry Controlled: » The IAQG through each Sector provides direct oversight of all AQMS certification activities – Other Party: » Certifications activities are conducted by accredited Certification Bodies (CB) and Authenticated Aerospace Experienced Auditors (AEA) that are recognized through the ICOP process • ICOP process is managed by the IAQG Other Party • Page 3 Management Team (OPMT) Provides AQMS certification for 9100, 9110 and 9120 IAQG OPMT OP Assessor Training What Is ICOP? • Benefits – Globally harmonized certification scheme that is recognized by major Aviation, Space and Defense companies – Supports supplier approval activities with a recognized quality management system certification – Process approach to conformance assessment – Focus on exceeding customer expectations • Risks – Does not prevent procurement from poor performing suppliers – It is not certification of product Page 4 IAQG OPMT OP Assessor Training Industry Controlled Other Party • Our Aviation, Space & Defense sector certification scheme utilizes: – ISO for basic requirements, and – supplements ISO with Aviation, Space and Defense (AS&D) unique requirements. – e.g. ISO 9001 as supplemented by 9100 • Certification Criteria are linked to ISO/IEC 17021 and International Accreditation Forum (IAF) Documents Page 5 IAQG OPMT OP Assessor Training IAQG OPMT • Mission: – Management and oversight of the 9100 series Aviation, Space and Defense Quality Management System certification program. • Strategic Objectives: – Continually improve the globally harmonized Industry Control Other Party quality management system certification program to be efficient, recognized, and bring measurable benefits to stakeholders. – Enhance the competency of Auditors, Other Party (OP) Assessors and stakeholders that are engaged in ICOP activities. Page 6 IAQG OPMT OP Assessor Training IAQG OPMT Structure: Ian Folland ++ IAQG-OPMT Chair IAQG - OPMT + IAQG-OPMT V-Chair * Sector OPMT Leader OPMT Support Bryan Blunt OASIS Support Americas Asia Pacific Europe Susie Neal * + Shuji Komori * Mark Rogers * UTC Aerospace Systems FHI AgustaWestland Tim Lee ++ Yoshifumi Yasunaga Marie-Laurence Petit Boeing KHI Airbus Dale Gordon Kenji Yanagita Giuseppe Leoni Aerojet (Alternates) Darrell Taylor Raytheon John Horan Honeywell Mike Gusha Lockheed MHI (Alternates) Shunichi Tsutsui IHI Chen Zhongyuan AVIC AgustaWestland (Alternates) Gérard Guerriero Airbus Helicopters André LaCroix Airbus D&S Hubert Kern (FACC) AB Focals: Bob Cruse Kunihiro Tanabe Steve Randall ANAB JAB UKAS CB Focals: Reg Blake Michihiko Banno Brian Burroughs BSI BSK LRQA Ind. Assoc. & Page 7 OASIS Focals: Becky DeGutis Yoshitsugu Kanno Ian Folland SAE SJAC EAQG Voting Members IAF Focal: Dale Gordon Aerojet Norbert Borzek DAkkS Structure as of September 29, 2014 IAQG OPMT Sub-Teams Document Representatives: 9104-001 – Tim Lee** • Shuji Komori* • Darrell Taylor* • Ian Folland* 9104-002 – Tim Lee** • Norikazu Tsuchiya * • Tim Lee* • Marie-Laurence Petit* 9104-003 – Will Tate** • Shuji Komori* • Ian Folland* • Will Tate* ** IAQG Document Representative (IDR) * Sector Document Representative (SDR) Communications and Collaboration: Reg Blake Sanctioned Training: Dale Gordon OASIS: Bryan Blunt Operating Procedures: Judy Chapman IAF Membership Focal: Dale Gordon Sector Oversight: Judy Chapman (Tim Lee) Budget/Finance: Mike Hayward Metrics, Web-site & Administration: Ian Folland Requirements: ISO Standards, 9001: Dale Gordon OASIS Next Gen Project: Bryan Blunt Structure as of August 18, 2014 ICOP Criteria • 9104-001 – Accreditation/Certification Requirements – – – – – – – Certification Structures Sector Requirements Recognized Accreditation Bodies (ABs) Accredited Certification Bodies (CBs) Authenticated Aerospace Auditors Auditor Authentication Bodies (AABs) OASIS database management • 9104-002- Oversight – Oversight and surveillance process to ensure conformance to established aerospace industry 9100-series standard accreditation/certification requirements • 9104-003 – Auditor Authentication & Training – A common process for aerospace auditor training and authentication to be utilized by all the IAQG sectors Page 9 IAQG OPMT OP Assessor Training On-Line Aerospace Supplier Information System (OASIS) • OASIS Database – 17,000+ Sites ˗ Database where all information related to ICOP certifications, auditors and audit results is stored ˗ Only general information such as Accreditation Bodies, Certification Bodies, Certified Supplier sites, Approved Auditors is publicly accessible. Audit data access is granted by certified organization. ˗ Audit results data available when authorized by Organization. ˗ Includes a robust Stakeholder Feedback process to Certification Bodies Page 10 IAQG OPMT OP Assessor Training On-Line Aerospace Supplier Information System (OASIS) • OASIS Database – Guidance ˗ OASIS database has an extensive guidance section that includes the latest information such as: ˗ The link to the guidance is on the OASIS homepage: Page 11 IAQG OPMT OP Assessor Training On-Line Aerospace Supplier Information System (OASIS) • Once a user is logged into OASIS, the database provides Data Search access to: – Certified Supplier Directory – Accreditation Information » National Accreditation Body » Certification Body – – – – – Training Approval Bodies Auditor Authentication Bodies Auditors Feedback Process Useful links » Supply Chain Management Handbook Page 12 IAQG OPMT OP Assessor Training On-Line Aerospace Supplier Information System (OASIS) • OP Assessors can request access to audit results data via the database: – Controlled by certified organization – Needed to support Witness Audit preparation • May need to contact organization directly if access is not granted. • Advise the organization as to the need and use of data to support witness audit preparation. • Click on “Assessment Results” tab. • Select the latest “Assessment History” • Use “click here” link at the bottom of web page to request access. 13 IAQG OPMT OP Assessor Training OASIS Feedback • OP Assessors should utilize the attached link below and review the OASIS Feedback guidance demonstration. OASIS Feedback Guidance Page 14 IAQG OPMT OP Assessor Training On-Line Aerospace Supplier Information System (OASIS) • OP Assessors should: – – – – Obtain an OASIS log on and password credentials Review help guidance section of the database Become familiar with the Feedback process Have the ability to: » Review public information » Request access to audit results (Tier 2) data and ▪ Recognize the need to maintain confidentiality of the data (Reference: 9104-001 section 19.1) » Know how to determine Certification Body (CB) accreditation and Auditor Authentication status. Page 15 IAQG OPMT OP Assessor Training OPMT - Sector Management Structure • Sector Management Structure (SMS) – The organization established in an IAQG sector that manages the application and oversight of the ICOP scheme as defined by this standard. – Each sector may use a different name for this organization » i.e., Registration Management Committee (RMC) in the Americas and » Page 16 Asia/Pacific, EAQG OPMT and national CBMCs in Europe. (Reference: 9104-001 Section 3.24) IAQG OPMT OP Assessor Training OPMT - Sector Management Structure Other Party Management Team IAQG General Assembly OPMT Committee Sector Management Structures • Acronyms: RMC - Registration Management Committee RMC OPMT JRMC (Americas) (Europe) (Asia / Pacific) OPMT - Other Party Management Team JRMC - Japan Registration Management Committee Voting Members; ABs; CBs; and Industry Representatives Page 17 Voting Members; ABs; CBs; and Industry Representatives Voting Members; ABs; CBs; and Industry Representatives AB - Accreditation Bodies CB - Certification Bodes IAQG OPMT OP Assessor Training OPMT - Sector Management Structure • An SMS may be supported by a Certification Body • Management Committee (CBMC) structure within the SMS. CBMC – An organization within an SMS that functions on a national level e.g., Italy, France, Germany, Spain, United Kingdom, Austria – Responsible for 9104-series standards conformance in their respective countries. – They perform the same functions as the SMS, under control of the SMS within their sector. (Reference: 9104-001 Section 3.10) Page 18 IAQG OPMT OP Assessor Training ICOP Responsibilities - IAQG Member Companies • Any IAQG member company wishing to recognize AQMS • certification shall provide resources needed to support the ICOP scheme and conduct shared oversight. IAQG Member Companies shall: – Ensure that assigned representatives, who support IAQG ICOP scheme – – – – Page 19 activities, have the necessary tools (e.g., published standards, computer, equipment) and resources to accomplish committed tasks. Ensure that only qualified individuals are assigned as OP assessors to conduct oversight assessments or participate in joint team assessments supporting the ICOP scheme oversight process. Ensure conformance with the requirements defined in 9104-002. Authorize and approve Other Party Assessors that represent their company. Maintain records to support the qualification of OP assessors. IAQG OPMT OP Assessor Training ICOP Responsibilities – IAQG OPMT • The OPMT is responsible for the management and oversight of • the 9100 series Aviation, Space and Defence Quality Management System certification program. Responsibilities also include: – Ensure that the OASIS database operates and functions effectively and is – – – – – – Page 20 accessible. Oversight of each SMS Periodic review of the lessons learned by each of the IAQG sectors. Reporting to the IAQG Council on the periodic reviews for each IAQG sector’s Evaluating the results of IAF Peer Reviews of ABs Monitor feedback from IAQG member companies, OASIS database users, certified organizations, and related stakeholders (e.g., ABs, CBs). Conducting periodic reviews and recommend initiatives that will continue to develop and improve the effectiveness of the ICOP scheme. IAQG OPMT OP Assessor Training ICOP Responsibilities - SMS • The SMS has the responsibility for the management, review, • approval, implementation, and modification of their sector operating procedure(s). The SMS has the responsibility to: – Establish and maintain operating procedures, which support – – – – – Page 21 implementation and conformance to ICOP requirements. Review and recognize ABs and new AB accreditations of CBs. Each SMS shall report essential data that describes deployment activities to the IAQG OPMT. The SMS shall determine and approve CBMCs, when utilized. Review and approve AABs and TPABs operating in their sector. Oversight of all recognized and approved bodies in accordance with 9104002. IAQG OPMT OP Assessor Training ICOP Responsibilities - CSOC • The Certification Structure Oversight Committee (CSOC) has • the responsibility for the review of complex certification structures and certification structure complaints as outlined in 9104-001 The CSOC has the responsibility to: – Establish and maintain operating procedures, which support implementation – – – – Page 22 and conformance to ICOP requirements. Review and approve complex certification structure audit programs. Review all requests and complaints via the AB-CSOC OASIS feedback function Support the development of guidance materials, lessons learned and FAQ’s Report to IAQG OPMT and SMS on CSOC activities. IAQG OPMT OP Assessor Training CSOC Guidance http://www.sae.org/iaqg/o rganization/csoc.htm • Committee established to review “Complex” certification structure audit programs. Action: OP Assessors should use website link: Review the site and OPMT Procedure 204 • Process defined in OPMT Procedure 204 • Committee supports resolution of complaints related to structure decisions 23 IAQG OPMT OP Assessor Training ICOP Responsibilities - Other Party (OP) Assessors • OP Assessors have the responsibility to be trained, qualified and • authorized by their respective IAQG Member company. They shall conduct assigned shared oversight activities in accordance with 9104-002. Additional OP Assessors responsibilities include: – Complete and maintain the required 9104-002 (Form A) declaration form. – Declare any conflicts of interest that may exist for a particular assessment – – Page 24 assignment (e.g., OP assessor contracted by AB or CB). Support the assessment team to meet the assessment objectives. Accept and complete assessment assignments from the oversight assessment team leader. Note: For joint assessment the AB Assessor will be the team leader. IAQG OPMT OP Assessor Training ICOP Responsibilities - Other Party (OP) Assessors • Additional OP Assessors responsibilities include: – Generating applicable assessment reports, including all required 9104-002 – – forms. Protection of confidential information obtained during an oversight assessment. Elevate any unresolved complaints/issues to the appropriate body (e.g., AB, SMS, IAQG OPMT). OP Assessors represent: • • • • Themselves Their IAQG Member Company The IAQG The Aviation, Space & Defense Industry Focused on conformance and adding value to the ICOP scheme. Page 25 IAQG OPMT OP Assessor Training 9104-002 Process Model • Appendix C – Industry Controlled Other Party (ICOP) Process Model was developed to provide a visual graphic of the overall process: Inputs: • Customer requirements Approval of ABs, TPABs and AABs • Regulatory Requirements • Supplier(s) AQMS Accreditation of CBs by ABs 9104-001 9104-003 Approval of TPs by TPABs Authentication of Aerospace Auditors by AABs Application Review Initial Audit (Stage 1 & 2) IAQG OPMT, SMS, CMBC 9104-002 Oversight 3 Year Certification Cycle Surveillance Re-certification 9100/9110/9120 Certification of a Supplier (CB Client) by CB’s Corrective Action & Certification Decision Acronyms: • IAQG – International Aerospace Quality Group • AAB – Auditor Authentication Body • OPMT – Other Party Management Team • AB – Accreditation Body • SMS – Sector Management Structure • AQMS Aerospace Quality Management System • TP – Training Provider • CB – Certification Body • TPAB – Training Provider Approval Body Outputs: • AQMS Certified Suppliers Delivering On Time & On Quality Products & Services • Records and Data into OASIS database. • CBMC – Certification Body Management Committee Page 26 IAQG OPMT OP Assessor Training Visualising ICOP - Turtle How (methods, procedures): With Whom (Resources): • IAQG Vision and Objectives • Authenticated Auditors (AEA and AA) • IAQG 9104-1, -2, -3 • CB certification and decision process personnel • ISO 17011 • AB Assessors • ISO 17021 and IAF Mandatory Documents 1 to 5 • AB accreditation process and decision personnel • IAQG OPMT Resolutions Log • OP Assessors • IAQG Procedure 112 • Sector Management Structure (SMS and CBMC) • IAQG OPMT 200 series procedures • OASIS Database Administrators and SAE Support • SMS and CBMC procedures ICOP Process Inputs: Process Steps: Approval of TPABs, TPs, AABs and ABs Training Authentication of Aerospace Auditors Accreditation of CBs 91XX Certification of Suppliers including: - Application Review - Initial Assessment - Surveillance - Re-certification - Decision Making Oversight • Regulatory Requirements • Customer requirements • Supplier(s) Outputs: • AQMS Certified Suppliers delivering on-time and on quality delivery (OTOQD) • OASIS Records and Data • OASIS Revenue to IAQG With What: (Equipment, Installations) Metrics: (KPIs, Measurables) • Accredited CBs • Agreed IAQG OPMT Metrics • ABs • IAQG Procedure 112 Budget, spend and cancellations • OASIS database • Approved TPs • Approved AABs • Approved TPABs • SMS budget including OP Assessor Travel Page 27 IAQG OPMT OP Assessor Training OP Assessor Training Please open Module 3 to learn more about the requirements for the face-to-face training. 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