COTO Log: Interested Parties List

Interested Party Int / Ext Reason for Inclusion

Attorney External Provides legal services
Certification Body External Audit for ISO/AS compliance, issue certifications
CPA External Provides accounting services and annual financial reviews
Direct Customer External Purchase our products and services
Local Community External Impacted by our activities in the region
Product End User External End user of our products and services
Public External Receive some products
Regulatory Bodies External Mandate regulatory requirements
Staffing Agencies External Provide candidates for hiring - conduct initial vetting of candidates
Supplier External Provides our raw materials and critical support services
US State Dept / Commerce Dept External Enforces ITAR / EAR requirements
US Treasury Dept External Prohibits certain transaction with some countries

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 COTO Log: Issues of Concern List
Ln Interested Party Issue of Concern Bias Processes Affected Prioritiy Treatment Method Record Reference / Notes
1 Local Community Wants our company to hire and retain local workers Neutral Production Low No Action: largely satisifed for now We do this naturally
2 Supplier Require clearly defined requirements Neutral Procurement Low Risk Register / FMEA See Risk Register
3 Direct Customer If happy, could expand current business Opportunity Opportunity Register See Opportunity Register
4 Employee / Staff Expect to be compensated Opportunity Manage company finances appropriately Financials (confidential)
5 Public Expect high quality products Opportunity See entry for Direct Customer above
6 Direct Customer Expect on time delivery Risk Sales Low Risk Register / FMEA See Risk Register
7 Public Concerned with safety of the product Risk Production Standard product design practices Design records
8 Regulatory Bodies Must comply with all regulations and statutes Risk All Processes Low No Action: Accept Risk per Mgmt Decision Do this as normal part of business
9 Supplier Vendor performance impacts on our reputation Risk Procurement Low Vendor performance oversight Flowdown of reqs on POs; auditing if needed; management review
records
10 Top Management Company must remain financially healthy Risk Manage company finances appropriately Financials (confidential)
11 US State Dept / Commerce Dept Failure to identify vulnerable steps in the process where there Risk
is a possibility of ITAR/EAR violations

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 COTO Log: Risk Register
Probability (of risk occurring) Consequence (if risk is encountered) Mitigation Plan
Ln (Required for risk factors >=8, Risk Factor
Prob. Cons. Risk Factor
# Process Risk Likelihood Previous Occurrences Rating
Potential Loss of
Customer or Entire
Potential Inability to
Meet Immediate Job
Potential Risk to Potential Violation of Impact on Company
Est. Cost of
Correction / Financial Rating (Prob x Cons) suggested for risk factors between 8 and 8) after
Human Health Regulations Reputation Mitigation
Contract Requirements Penalty

1 Contract Review & Sales Poor control over requirements changes Unlikely to occur Has not occurred in past 10 years. 2.0 Moderate Moderate None / NA None / NA Moderate < $10,000 2.2 4.3
2 Contract Review & Sales Inadequate requirements traceability Unlikely to occur Has not occurred in past 10 years. 2.0 Moderate Moderate None / NA None / NA Minimal < $10,000 2.0 4.0
3 Engineering Lack of redundancy & diversity in design Unlikely to occur Has not occurred in past 10 years. 2.0 Minor High Moderate Possible Moderate < $100,000 2.8 5.7
4 Engineering Inadequate definition of critical processes Unlikely to occur Has not occurred in past 10 years. 2.0 Minor High Moderate Possible Moderate < $100,000 2.8 5.7
5 Engineering Weak Risk Management process Somewhat likely to occur Has occurred in past 10 years. 3.0 Moderate Minor Minor Possible Minimal < $10,000 2.2 6.5
6 Engineering Inadequate System Safety evaluations & controls Somewhat likely to occur Has occurred in past 10 years. 3.0 Moderate Minor Minor Possible Moderate < $10,000 2.3 7.0
7 Engineering Inadequate inspection & auditing processes Unlikely to occur Has occurred in past 10 years. 2.5 None / NA Minor None / NA Possible Minimal < $10,000 1.7 4.2
8 Organization's Facilities State Department of PR non filling tax return (2010) Unlikely to occur Has not occurred in past 10 years. 2.0 None / NA Minor None / NA Possible Minimal $0 1.5 3.0
9 Organization's Facilities Fire Department approval permit denied (2010) Unlikely to occur Has never occurred. 1.5 Very High Very High None / NA Possible Severe < $10,000 3.2 4.8
10 Procurement Unclear deliverables Unlikely to occur Has never occurred. 1.5 High High None / NA None / NA Moderate < $100,000 2.7 4.0
11 Procurement Poor supplier assessment Unlikely to occur Has occurred in past 5 years. 3.0 Minor Minor Minor Possible Minimal < $100,000 2.2 6.5
12 Procurement Not understanding customer needs Unlikely to occur Has occurred in past 10 years. 2.5 Minor Minor None / NA None / NA Minimal < $10,000 1.7 4.2
13 Production Workmanship problems Somewhat likely to occur Has occurred in past 10 years. 3.0 Minor Moderate Minor Possible Minimal < $100,000 2.3 7.0
14 Production Inadequate qualification and training of personnel Somewhat likely to occur Has occurred in past 10 years. 3.0 Minor Minor Minor Possible Minimal < $10,000 2.0 6.0
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 COTO Log: Opportunity Register Number of active improvement activities: 0

Probability (of achieving the opportunity) Benefit (if opportunity is encountered)

Opportunity Pursuit Plan
Ln Prob. Opp Factor Post- Implementation
# Process Opportunity Rating Potential for New Potential Expansion of Potential improvement
Potential improvement
Improvement to Potential Cost of Ben. Rating
(Prob x Ben)
(suggested for Opp Factors >=12) Success? Status
Likelihood Previous Occurrences Business Current Business in satisfying regulations
to internal QMS
Company Reputation Implementation May reference external planning document
processes
1 All Processes Level of compliance to ISO 9001/AS9100. Likely to occur Has occurred in past year. 4.5 Moderate Moderate None / NA Moderate Moderate impact < $10,000 2.8 12.8 Recruit external resources to improve level of compliance
2 Sales Could be source of referrals to new customers Unlikely to occur Has not occurred in past 10 years. 2.0 Minor Minor None / NA None / NA No impact / NA $0 or N/A 2.0 4.0
3 Business Develop Concerned with growth of company Likely to occur Has occurred in past year. 4.5 Moderate Moderate Minor None / NA Minimal impact < $100,000 2.3 10.5
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 OPP RATING RATING: RISK RATING LIMIT: Type Priority Treatment Bias Processes
12.0 8.0 External Emergency No Action: Accept Risk per Mgmt DecisionOpportunity All Processes
RISK CONSIDERATION LIMIT Internal High Risk Register / FMEA Style Risk Business Development
8.0 Medium Root Cause Analysis Neutral Sales
Low Internal Auditing Mixed Engineering
Root Cause Analysis Procurement
Customize these as you like. Corrective Action Request (CAR) Production

The Risk Rating Limit is the minimum risk score which Vendor Auditing Service
Opportunity Trend Data will trigger a MANDATORY mitigation plan. Other Auditing Organization's Facilities
Number Open Improvement Initiatives 0 Management Review Activity Contract Review & Sales
The Risk Consideration Limit is a score which would Marketing Enhancement
Customize your list of Sales & Eng
Number Closed Improvement Initiatives 0
trigger a SUGGESTED mitigation plan. internal processes here.
Total Improvement Initiatives to Date 3 Other You can add as many as Human Resources
Opportunity Failed 0 The Opportunity Rating Limit is the minimum score you like, and the drop
Opportunity Abandoned 0
which would require a mandatory "opportunity down lists elsewhere in
pursuit plan." this spreadsheet will auto-
Met some expectations 0 populate accordingly.
Met all expectations 0
Exceeded expectations 0

Risk Trend Data

Total risks processed 14

Total risks requiring action

This
0
area provides some simple data on risks and opportunities which you
can incorporate into your Management Review activities.
Total risks suggesting action 0
Total risks accepted without action 14
 Likelihood Occurrences Potential Violation correction reputation cost of opp reputation
Cannot occur / not applicable Has never occurred. None / NA None / NA $0 None > $500,000 No impact / NA
Unlikely to occur Has not occurred in past 10 years. Minor Possible < $10,000 Minimal > $100,000 Minimal impact
Somewhat likely to occur Has occurred in past 10 years. Moderate Definite < $100,000 Moderate < $100,000 Moderate impact
Likely to occur Has occurred in past 5 years. High High > $100,000 Severe < $10,000 Good impact
Very likely to occur Has occurred in past year. Very High Legal Risk > $500,000 Very severe $0 or N/A Great impact
score Success
1 Opportunity Failed
2 Opportunity Abandoned
3 Met some expectations
4 Met all expectations
5 Exceeded expectations

(Required for risk factors >=

,
suggested for risk factors between
(Required for risk factors >=8,
suggested for risk factors between 8 and 8)

Opportunity Pursuit Plan

(suggested for Opp Factors >=
)
May reference external planning document
(suggested for Opp Factors >=12)
May reference external planning document