Table of Contents for AS9101D Auditing for Process Performance : Combining Conformance and Effectiveness to Achieve Customer Satisfaction


List of Figures and Tables
xiii
Preface xvii
Chapter 1 History of Aerospace Industry Standards
1(16)
AS9000:1997
1(1)
AS9100:1999 (Revision A)
2(1)
AS9100 Revision B
3(1)
AS9101---Audit Checklist
3(1)
AS9104
3(1)
Foundation Years 2000 and 2001
4(1)
AS9100 Revision C
5(1)
AS9100, AS9110, and AS9120 Standards
6(9)
Aerospace, Defense, and Space Industries
6(1)
Maintenance Organizations
6(1)
Distributors to Aviation, Space, and Defense
7(1)
Common Aerospace Auditing Standard
7(8)
Summary
15(2)
Chapter 2 AS9100C Key Changes and the Impact to the Quality Management Systems
17(16)
AS9100 Changes
17(7)
Impact of Key Characteristics and Risk Management Process on the QMS
18(5)
Customer Focus and Customer Satisfaction
23(1)
AS9101 Changes
24(6)
Customer Core Principle 1 (CP1)---Customer Driven
25(2)
Customer Core Principle 2 (CP2)---Process-Based Approach
27(1)
Customer Core Principle 3 (CP3)---Organizational Performance Focus
28(2)
Customer Core Principle 4 (CP4)---Audit Methodology
30(1)
Customer Core Principles CP5 and CP6
30(1)
ISO 9001:2008 Changes
30(2)
Summary
32(1)
Chapter 3 AS9110 and AS9120 Key Changes
33(8)
AS9110 Revision A---Requirements for Aviation Maintenance Organizations
34(4)
Human Factors and Safety
35(1)
Resource Management
35(1)
Counterfeit Part and Suspect Unapproved Part
36(1)
Quality Manual and Procedures
36(1)
Management Review
37(1)
Control of Production and Service Provision
38(1)
AS9120A---Requirements for Aviation, Space, and Defense Distributors
38(2)
Clauses 3.3 and 3.7 Counterfeit Part/Suspected Unapproved Part (SUP)
39(1)
7.1 Planning of Product Realization
39(1)
7.1.1/7.5.3 Configuration Management
39(1)
7.1.2 Work Transfer
40(1)
Summary---AS9110 and AS9120 Changes
40(1)
Chapter 4 Understanding AS9101D Auditing Requirements---What Has Changed
41(18)
Process Approach
43(2)
Audit Methodology
45(4)
Clauses 4.1.2.1 Customer Focus, and 4.1.2.2, Organizational Focus
45(1)
Clause 4.1.2.3 Quality Management System Performance and Effectiveness
46(1)
Clauses 4.1.2.4 Process Management, and 4.1.2.5, Process Performance and Effectiveness
47(1)
Clause 4.1.2.6 Continual Improvement
47(2)
Common Audit Activities
49(6)
Clause 4.2.1 Audit Planning
50(1)
Clause 4.2.2 On-Site Auditing
50(3)
Clause 4.2.3 Audit Reporting
53(2)
Clause 4.2.4 Nonconformity Management
55(1)
Clause 4.2.5 Audit Records
55(1)
Audit Phases
55(2)
Clause 4.3.1 Pre-Audit Activities
55(1)
Clause 4.3.2 Stage 1 Audit---Conclusions/Outputs
56(1)
Clauses 4.3.3 Stage 2 Audit, and 4.3.4, Surveillance
56(1)
Clauses 4.3.5 Recertification, and 4.3.6, Special Audits
57(1)
Summary of AS9101D
57(2)
Chapter 5 The Aerospace Auditing Approach---Process Approach, Customer Focus, and Leadership
59(24)
Process Approach
59(11)
Understanding the Process Approach and the Organization's Processes
59(1)
Understanding a Process Map
60(1)
Process Hierarchy
60(2)
Examples of Customer Oriented Processes
62(2)
Process Interfaces between Sites in an Organization
64(1)
Process Map and Process Interfaces
65(1)
Measuring and Monitoring Processes
66(1)
Relationship between Process Performance and Overall Performance
66(1)
Auditing Each Process
66(4)
Customer Focus
70(11)
Auditing Customer Focus
71(10)
Summary
81(2)
Chapter 6 Understanding Audit Trails
83(22)
Audit Trails and Customer Oriented Processes
83(1)
How to Use Audit Trails When Auditing Processes
84(2)
Business Planning and Management (BPM) Review Audit Trail
86(3)
Links and Samples
87(2)
New Product Development (NPD) Audit Trail
89(3)
Links and Samples
91(1)
Provision Audit Trail
92(3)
Links and Samples
94(1)
Production and Service Provision Audit Trails
95(1)
Audit Trails and Audit Planning
96(1)
Process Monitoring and Improvement
97(3)
Conducting a Process Approach Audit
97(1)
Links and Samples
98(2)
Completing the Process Audit Worksheet/PEAR
100(5)
Chapter 7 Stage 1 Audit
105(30)
Step 1 Obtain Materials for Stage 1 Audit
107(1)
Step 2 Evaluate the Process Focus
108(7)
Step 2a Confirm Supporting Functions and Determine Process Responsibilities---Study the Scope
109(1)
Step 2b Processes Showing Sequence and Interaction, Including Key Indicators and Performance Trends, for 12 Months
110(3)
Step 2c Conduct Document Review and Confirm That the Processes Address All Requirements of AS9100/AS9110/AS9120
113(2)
Step 2d Confirm That a Quality Manual Is Available for Each Site to Be Audited
115(1)
Step 3 Conduct Customer Focus and Performance Analysis
115(8)
Step 3a Study Customer Performance: Scorecard Results, Policy, Performance Objectives and Targets, and Past Customer Failures
115(3)
Step 3b Evaluate Internal Audit and Management Review Results from the Previous 12 Months
118(2)
Step 3c Identify Suspect Processes (That Is, Those Suspected of Poor Performance Based on Customer and Performance Data Analysis)
120(1)
Step 3d Confirm the Customer-Specific Quality Management System Requirements to Be Included in the Audit
121(2)
Step 4 Determine the Appropriate Scope
123(1)
AS9100/AS9110/AS9120, Clause 1.2
123(1)
Step 5 Determine the Organization's Readiness
124(1)
Step 6 Prepare and Deliver the Stage 1 Report
125(1)
Step 7 Create an Audit Plan
125(4)
Clause-Driven Audit Plan versus Process-Driven Audit Plan
126(1)
Auditor Requirements
127(2)
Step 8 Conduct Process Analysis and Prepare a Customized Process Worksheet
129(6)
Preparing the Process Audit Worksheet/PEAR
129(1)
Preparing Audit Checklists
129(1)
Auditor Requirements
130(5)
Chapter 8 Stage 2: On-Site Audit
135(34)
Conducting the Audit
135(2)
Step 9 Conduct Audit of Remote Supporting Functions
137(1)
Auditor Requirements
137(1)
Step 10 Opening Meeting
138(2)
Auditor Requirements
138(2)
Step 11 Conducting the Audit
140(14)
Audit Trails and Audit Planning
140(2)
Following the Prioritized Audit Plan
142(1)
Conducting an Aerospace Process Approach to Audits
142(1)
Links and Samples
142(2)
Completing the Process Audit Worksheet/PEAR
144(5)
Performance Analysis
149(1)
Step 11a Conduct Facility Tour, If Needed
150(1)
Step 11b Study Customer and Organizational Performance
151(1)
Step 11c Meeting with Top Management
151(2)
Step 11d Audit Organizational Processes
153(1)
Step 11e Verify That All Processes and Clauses Are Audited
154(1)
Step 12 Writing Nonconformities
154(4)
Major Nonconformity (Clause 3.2)
155(1)
Minor Nonconformity (Clause 3.3)
155(1)
Auditor Requirements
156(2)
Step 13 Closing Meeting
158(2)
Closeout Meetings
158(1)
Step 13a Determine Audit Team Next Steps
158(1)
Step 13b Prepare the Draft Report
158(1)
Step 13c Conduct Closing Meeting
159(1)
Step 14 Audit Report
160(1)
Formality of the Audit Report
161(1)
Clause-to-Process Matrix
161(1)
Management Representative Acceptance of Audit Report
161(1)
Auditor Requirements
161(1)
Step 15 Corrective Action and Closeouts
161(8)
Auditee's Responsibility
162(1)
Auditor's Responsibility
162(1)
Step 15a Evaluate Root Cause Analysis and Systemic Corrective Action
163(3)
Step 15b Complete a Follow-up Audit as Needed
166(1)
Conclusion
167(2)
Appendix A Confidential Assessment Report for Stage 1 169(40)
Appendix B Confidential Assessment Report for Stage 2 209(22)
Appendix C AS9100C Checklist by Clause and Objective Evidence Record (OER)
About the Author 231(2)
Index 233