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1 161Thorn Hill Road Warrendale, PA Scope 2. Definitions PROGRAM DOCUMENT PD 1000 Issue Date: 19-Apr-2015 Revision Date: 26-May-2015 INDUSTRY MANAGED ACCREDITATION PROGRAM DOCUMENT Table of Contents 3. General Industry Managed Accreditation Program Description 4. Roles and Responsibilities of any Industry Managed Accreditation Program 5. Industry Managed Accreditation Program Voting Membership and Officers 6. Documentation 7. Meetings 8. Program Data and Documentation Access 9. Personal Code of Ethics and Antitrust and Compliance 10. Audit and Accreditation Process 11. Trademark and Mark of Conformity Usage 12. Allegation Handling and Resolution FOREWORD The mission of an Industry Managed Accreditation Program (IMAP) is to provide global, independent and process and service assessments for the purpose of improving process and service quality by adding value, reducing total cost and promoting collaboration among stakeholders in industries where safety and quality are shared goals. The key elements of an Industry Managed Accreditation Program are: (1) an accreditation system that recognizes companies as being competent to furnish a specified process or service; (2) an assessment system that is based upon audits performed to standard criteria; and (3) active participation and management by stakeholders of the industry.

2 PRI PD 1000, 26-May SCOPE 1.1 This Industry Managed Accreditation Program Document defines the requirements and recommendations for implementing an industry managed accreditation program including: Operation of the Program Governing Board(s) (PGB), Program Management Council(s) (PMC) and its committees, Task Groups, PRI Staff, Procedures for conducting audits, awarding accreditation and continuing oversight. 1.2 Under these programs, an accredited supplier is authorized to use the program s mark (a mark of conformity) and a certificate issued to indicate that the accredited activity is in compliance with applicable standards, audit criteria, and/or specifications. 1.3 This document is owned by the PRI Board of Directors, which is empowered to make changes at its sole discretion. Any proposed revisions to this document by any other party must first be communicated by PRI to the Program Governing Boards and Program Management Councils for comment and consideration before these are presented by PRI to the PRI Board of Directors for approval. 2. REFERENCES PRI Bylaws PRI Governance Policy Manual 2.1 Definitions Alternate Voting Member: An individual designated to vote in the absence of the Voting Member. Audit: The systematic evaluation of an organization s capability to perform activities in compliance with defined requirements. Audit Criteria (AC): A document that is published by PRI and contains an established set of questions or conditions which are used to assess an organization for accreditation to a set of requirements as agreed upon by the Industry Managed Accreditation Program. Auditor: An individual approved to carry out an audit. Ballot: circulation of information to a group of individuals with the purpose of documenting comments and votes. PRI Staff: Those employed or contracted by PRI to execute specified functions associated with the Industry Managed Accreditation Program.

3 PRI PD 1000, 26-May Supplier: An organization that performs an activity that can be accredited by the Industry Managed Accreditation Program. Subscriber or equivalent term: An organization which meets the criteria as defined by the Industry Managed Accreditation Program and subscribes to the Program. Voting Member: Subscriber, Supplier or other program participant that has voting rights. 3. GENERAL INDUSTRY MANAGED ACCREDITATION PROGRAM DESCRIPTION 3.1 An Industry Managed Accreditation Program provides consistent methods for (1) assessing the capability of suppliers to meet specific program requirements, and (2) identifying those suppliers who have demonstrated a capability of providing an identified activity of specified quality, to all stakeholders. Policy, procedural, and operational decisions shall be made upon vote of the interested stakeholders. 3.2 The Industry Managed Accreditation Program is maintained by volunteer stakeholders from both public and private organizations, with administrative support provided by PRI Staff. Participation in the program shall be defined in Industry Managed Accreditation Program Procedures. 3.3 The Program Management Council forms Task Groups to maintain the accreditation process for specific activities in the Industry Managed Accreditation Program. 3.4 Supplier capability is initially determined through audits and information provided by suppliers. Continuing supplier capability is determined by periodic follow-up audits, and information received from suppliers and subscribers. 3.5 Suppliers initiate the accreditation process by completing an application for an audit that includes the required information. Auditors are assigned and the audit is conducted using approved audit criteria. 3.6 Identified deviations from program requirements are reviewed, as defined in Industry Managed Accreditation Program Procedures. Upon demonstration of compliance with requirements, accreditation is granted. 3.7 A list that identifies all accredited suppliers, along with their accredited activities, shall be maintained by PRI Staff. This list shall be available to subscribers of the Industry Managed Accreditation Program. Industry Managed Accreditation Program procedures shall define any additional access to this list. 3.8 An electronic, data management system, maintained by PRI Staff, shall be used to manage information and records associated with the Industry Managed Accreditation Program. 3.9 All Suppliers, organizations and individuals participating in the Industry Managed Accreditation Program are responsible for notifying PRI Staff of changes that impact their accreditation status, as outlined in the applicable program document(s).

4 PRI PD 1000, 26-May Each Industry Managed Accreditation Program shall preserve the integrity of all aspects and operations of that Program, avoiding the appearance or actual existence of a conflict of interest. At a minimum, such efforts shall prohibit and prevent influence on the audit and accreditation processes by entities or their representatives holding a commercial interest in either 1) a supplier seeking accreditation, 2) a competitor of a supplier seeking accreditation, or 3) an entity otherwise financially interested in the activity(s) in which a supplier seeks accreditation All Industry Managed Accreditation Program bodies (e.g. Program Governing Board, Program Management Council, Task Group, etc.) shall be committed to continuous improvement and shall continually seek to identify, develop, and deploy improvements to their processes. 4. ROLES AND RESPONSIBILITIES OF AN INDUSTRY MANAGED ACCREDITATION PROGRAM 4.1 The organization of any Industry Managed Accreditation Program shall be established by the PRI Board of Directors, PRI President and industry stakeholders. The organizational structure of an Industry Managed Accreditation Program shall be established and defined in Industry Managed Accreditation Program procedures. 4.2 The PRI Board of Directors (BOD) is responsible for all Industry Managed Accreditation Programs, as may be defined in PRI Bylaws and/or the PRI Governance Policy Manual. 4.3 Program Governing Board (PGB) The PRI President may establish a Program Governing Board for each Industry Managed Accreditation Program, each of which shall be charged with specific responsibility for the following: a. Fiduciary - Overseeing the financial stability of the Program. b. Planning - Long range strategic plans and objectives for the Program. Approving the Strategic Direction of the program c. Oversight - Overseeing the PMC activities (periodic reports from the PMC) d. Metrics - Review high level metrics from PMC. 4.4 Program Management Council (PMC) The Program Management Council shall be established by the PGB (if applicable) or the BOD. The PMC manages the Industry Managed Accreditation Program and establishes policies and procedures for operation of the Program. Task Group coordination and development, and oversight of the accreditation process.

5 PRI PD 1000, 26-May The Program Management Council shall be responsible for: a. Oversight - Oversee the operation of the Industry Managed Accreditation Program from a stakeholder perspective and verify that objectives are achieved. There shall be established criteria for oversight of the accreditation process. b. Self-Governance - Appoint committees to monitor Program operation. c. Policy and Procedures - Establish and implement policy and procedures for the program including rules to determine eligibility for participation in the Program as a subscriber. d. Task Group Development & Coordination Creation of Task Groups and the standardization of task group activities to reduce variability, when applicable. e. Appeals - Resolve challenges to decisions made as part of the accreditation process. f. Supplier Involvement - Support activities designed to provide suppliers appropriate input into Program operations. g. Metrics - Define and maintain metrics to monitor the overall performance of the Program. h. Accreditation Process - Establish the requirements for the accreditation process. i. Accreditation Decision - The authority for the accreditation decision may be delegated to the Task Groups by the Program Management Council. j. Delegation - Establish criteria for delegation of the aformentioned acitvities, as applicable. 4.5 PMC Committees The Program Management Council may establish committees and sub-teams to address specific topics as necessary. 4.6 Task Groups (TG) The Program Management Council may establish Task Groups. The Task Groups shall have specific responsibilities for the accreditation process including: a. Certification Process - Implement and manage the accreditation process, including the decision to certify the supplier. b. Appeals - Resolve challenges to decisions made as part of the accreditation process. c. Auditor Selection Establish and manage an auditor approval process. d. Auditor Training - Make recommendations and support training activities.

6 PRI PD 1000, 26-May e. Audit Criteria Development - Prepare and maintain audit criteria. f. Metrics - Take appropriate action based on established program metrics. Task Groups may develop additional metrics to manage their processes. 4.7 The Supplier Support Committee (SSC) The Industry Managed Accreditation Program may establish a Supplier Support Committee (SSC). The SSC has specific responsibility for the following: a. Representation - Represent the supplier community on non-technical, systemic Program issues which are common to the supplier base. b. Support - Provide a forum for suppliers to support the Program and be supported in a proactive and continuous basis. c. Communication - Facilitate communication between suppliers and other Industry Managed Accreditation Program stakeholders. Provide an opportunity for suppliers to be apprised of recent developments in the program and other matters of interest to the supplier community. 4.8 PRI Staff PRI Staff shall administer/facilitate the Program. PRI Staff shall be responsible for all administrative functions including: a. Industry Managed Accreditation Program Coordination - Facilitate the operations associated with the Program Governing Board(s), Program Management Council(s), Task Groups, and the SSC (as applicable). b. Auditor Maintenance - Contract, schedule, and train auditors under the auspices of the Task Groups. c. Voting Membership and Program Leadership - Facilitate the appointment and succession planning of Program leadership and the selection and eligibility of Program Voting Members. d. Information Management - Manage and coordinate all official information transfer, electronic and paper, associated with the Program. e. Internal Quality - Provide assurance through internal audits, metrics, and other methods that the staff processes are being conducted to the requirements contained herein.

7 PRI PD 1000, 26-May INDUSTRY MANAGED ACCREDITATION PROGRAM VOTING MEMBERSHIP AND OFFICERS 5.1 Industry Managed Accreditation Program procedures shall establish criteria for appointment of officers and voting eligibility The following types of voting membership are recommended: a. Subscriber Voting and Alternate Voting Members b. Supplier Voting and Alternate Voting Members The appointment of a Chairperson is required for each Industry Managed Accreditation Program body (such as Program Management Council, Task Groups, Supplier Support Committee, etc.). The appointment of a Vice Chairperson is recommended. The Industry Managed Accreditation Program shall establish term limits for each Program body The Chairperson and Vice Chairperson (if applicable) of the Program Management Council are recommended by the PMC to PRI Staff. The Chairperson and Vice Chairperson (if applicable) are confirmed annually by the Program Governing Board (if applicable) or the BOD A PRI Staff member shall serve as PMC Secretary, but shall have no vote. The PMC Secretary is responsible for the PMC meetings, minutes, and the day-to-day operation of the Industry Managed Accreditation Program. 6. DOCUMENTATION 6.1 Industry Managed Accreditation Program documentation shall define the requirements for the accreditation program and shall include, as a minimum: a. Operating Procedures b. Audit Criteria c. Legally binding agreements with Suppliers, Subscribers and Consultants 6.2 All documentation established to manage and implement the Industry Managed Accreditation Program shall be balloted and maintained as controlled documents as defined by the Industry Managed Accreditation Program. 6.3 The Industry Managed Accreditation Program shall also maintain Minutes to support the Industry Managed Accreditation Program bodies (i.e. Program Governing Board, Program Management Council (including Committees), Task Groups, Supplier Support Committee, etc.). 7. MEETINGS 7.1 Meetings may be held to provide information and execute the elements of the program. The frequency, permitted audiences (i.e. open to any interested party vs. limited to a

8 PRI PD 1000, 26-May specific audience), structure (i.e. face to face vs. electronic) and form of record shall be defined in Industry Managed Accreditation Program procedures. 7.2 Meeting administration and oversight: For purposes of appropriate oversight, any preplanned Industry Managed Accreditation Program event in which two or more subscriber or supplier representatives participate for purposes of discussing program-related business shall be administered by a PRI staff representative. 8. PROGRAM DATA AND DOCUMENTATION ACCESS 8.1 Industry Managed Accreditation Programs shall establish procedures to control access to Program data and documentation. 9. PERSONAL CODE OF ETHICS AND ANTITRUST AND COMPLIANCE 9.1 The strict adherence to all applicable laws and regulations, including but not limited to those related to export control and antitrust, is expected of all Industry Managed Accreditation Program participants The following activities, in association with any industry managed program, are strictly prohibited: Fixing or setting prices for selling products or services; Allocating geographic markets or customers between or among competitors; Bid rigging, bid rotation or otherwise distorting the bid process; Boycotting customers, suppliers or vendors; Agreeing upon levels of production or output; Conspiring to exclude competitors or customers from the market; and Discussing specific R&D, sales or marketing plans, or any company s confidential product, development or production strategies 9.2 Industry Managed Accreditation Programs shall establish a process to communicate and promote adherence to the requirements of this section that shall apply to all participants of the Industry Managed Accreditation Program, including PRI staff and independent contractor resources. 9.3 It is expected that all individuals involved with any Industry Managed Accreditation Program activity shall exhibit accepted professional standards of conduct and uphold and advance the integrity of the Industry Managed Accreditation Program. 9.4 Each individual acting for or in the name of the Industry Managed Accreditation Program has an inherent responsibility to uphold their position of trust relative to the public interest. It is expected that each individual exercise impartial professional judgment to assure

9 PRI PD 1000, 26-May confidence in the integrity of the Industry Managed Accreditation Program by avoiding conflicts of interest in all Industry Managed Accreditation Program-related activities. 9.5 When a competing interest has the potential to preclude or impair the exercise of one's independent professional judgment or unreasonably jeopardizes the integrity of the Industry Managed Accreditation Program activity, that individual shall voluntarily disassociate him- or herself from that particular activity, whether it is committee discussion, deliberations, decision-making or an audit activity. 9.6 Any person associated with an Industry Managed Accreditation Program activity who believes that continued participation by any other person may jeopardize the integrity of the Industry Managed Accreditation Program shall bring the matter to the attention of the Program Management Council. 9.7 All individuals associated with the Industry Managed Accreditation Program audit review process shall maintain the proprietary or confidential nature of information to which they are exposed or which comes into their possession as a result of their exposure to the supplier and/or audit reports during the accreditation process. Information of this type shall not be shared with individuals or organizations having no right to this information. 9.8 All individuals associated with the Industry Managed Accreditation Program audit and review process shall not unduly influence, or use personal conversations or connections, or their position, to influence the audit results or the review process. 10. AUDIT AND ACCREDITATION PROCESS 10.1 The Industry Managed Accreditation Program shall define procedures that control the audit and accreditation process. These procedures may include details around length of the audits, length of accreditation, opportunity for extended length of accreditation, suspension, withdrawal or non-issuance of accreditation, appeals of decisions made as a part of the accreditation process, etc The Industry Managed Accreditation Program shall not knowingly accredit any facility where the supplier and/or any of its principals have intentionally falsified anything directly related to the integrity of the current audit or accreditation process The Industry Managed Accreditation Program shall define the information to be contained on the certificate. The following recommended information may be contained: a. Name of the accredited organization b. Location (address) for which the accreditation is valid c. Accredited activity d. Scope of accreditation e. Accreditation expiration date

10 PRI PD 1000, 26-May Notification of Changes Suppliers who have received accreditation shall notify the Industry Managed Accreditation Program without delay of changes that may or will affect the Supplier's accreditation status Industry Managed Accreditation Program Procedures shall define the types of change that require notification and the action taken as a result of this information. 11. TRADEMARK AND MARK OF CONFORMITY USAGE 11.1 The individual marks associated with each Industry Managed Accreditation Program may be registered with the United States Patent and Trademark Office by the Performance Review Institute (PRI). Use of any PRI mark by any Industry Managed Accreditation Program participant shall be at the sole discretion of PRI 11.2 A supplier has the non-exclusive right and license to use the Program mark solely to indicate its certified status under the Program. A Supplier s license to use the Program mark immediately terminates upon the loss of accreditation or certification under the Program In every case the supplier shall take sufficient care of his publications and advertising so that no confusion arises between certified and non-certified activity to which the accreditation applies Improper or misleading references to the program, the certificate, or the mark that are found in advertisements, brochures, or other publications may be subject to corrective actions Industry Managed Accreditation Program Procedures shall define corrective actions that shall be taken in response to a reported misuse of its registered mark. 12. ALLEGATION HANDLING AND RESOLUTION 12.1 Industry Managed Accreditation Program Procedures shall be established defining actions that shall be taken when a formal written allegation of wrong doing, which negatively impacts the integrity of the accreditation process and/or the reputation or status of the Program, is received by PRI from a party that identifies themselves and provides contact information. NOTE: The change bar ( l ) located in the left margin is for the convenience of the user in locating areas where technical revisions, not editorial changes, have been made to the previous issue of this document.