Module 13
Oversight Assessment of
Auditor Authentication Bodies
February 2015
IAQG OPMT OP Assessor Training
Module Summary
• In this module we will discover:
‒ All about Auditor Authentication Bodies (AAB)
‒ Requirements for AAB’s
» 9104-001 as applicable to AAB’s (Section10)
» 9104-003
‒ How to conduct AAB Oversight
» Office Assessment including 9104-002 Form G
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IAQG OPMT OP Assessor Training
9104 Series Requirements for AAB’s
• We will examine the following requirements in 9104-001
• Section 10 - “Requirements for Auditor Authentication Bodies”
• We will also review requirements in 9104-003:
–
–
–
–
Section 5 – Aerospace Auditor Competency
Section 7 – Requirements (for the AAB)
Section 8.1 – Maintenance (of authentication)
Section 8.2 – Withdrawal of authentication
• Each SMS or CBMC has it’s own procedures to control the
process of authentication of auditors
• Note: 9104-002 Form G questions will be referenced (Gxx)
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IAQG OPMT OP Assessor Training
Auditor Authentication Bodies:
• Auditor Authentication Bodies (AABs)
- May be part of the SMS or CBMC, or
- Subcontracted to an independent organisation (G6)
• Similarly, AAB authentication decision making can be: (G15)
– Delegated to the AAB
– Retained by the SMS or CBMC
• In either case AABs are subject to oversight annually
• Oversight of AABs is described in 9104-002 clause 7.8
• Oversight of the AAB is to be conducted independently and
•
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objectively using OP Assessors that are not part of the process
Have you been authenticated by the AAB you have been asked
to oversight?
IAQG OPMT OP Assessor Training
9104-001
Section 10: Auditor Authentication Bodies:
• AAB is responsible for the authentication and re-authentication of
AQMS Auditors and must comply with 9104-003 requirements
(G11)
• Authentication is only for AQMS Auditors grade AA or AEA
• AAB agrees to periodic oversight and access to records (G7)
• The AAB has to have a documented management system for
authentications but not to any specific standards and includes: (G1)
– AAB to work a process for authentication includes evaluation of each
application against 9104-003 requirements (G2-3) (G12)
– Auditor applicant disclosure of any previous applications, authentications or
rejections (G18)
– Records to be kept for 2 authentication cycles (G35)
– ISO/IEC 17024 referenced as guidance material only
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IAQG OPMT OP Assessor Training
9104-001
Section 10: Auditor Authentication Bodies:
• The AAB documented management system includes (continued):
– A person with aviation, space or defence knowledge to support AEA
authentication decisions (G32-33)
– Requirements for independence of authentication decisions (i.e. no conflicts
of interest) and communication of decision to applicant (G34)
– Auditor complaint and appeal processes including feedback to originator
within 60 calendar days (G8-9) (G27)
– Process to address auditor competency feedback and sector
recommendations for withdrawal of authentication (G25-26) (G28)
– Prevention of re-application for 12 months after withdrawal unless due to
inactivity or lack or renewal
(G14)
– Entry to OASIS of authentication data (G16) (G30)
– Recognition of AQMS auditor authentication in other sectors
» Note: Does not imply ability to transfer authentication
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IAQG OPMT OP Assessor Training
Scope of 9104-003:
• 9104-003 provides the minimum requirements (Body of
Knowledge) for AQMS Auditors who will participate in AQMS
Certification activities including the Auditor Authentication
process and for training organisations.
• It is applicable to auditors seeking formal authentication to
conduct audits of the AQMS systems under the IAQG and those
who manage the competency element of an AQMS audit
program and to training organisations.
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IAQG OPMT OP Assessor Training
Section 3: Terms and Definitions:
• Please read section 3
• Specifically note definitions for:
– Aerospace Experience Auditor (AEA)
– Auditor
– Auditor Authentication Body
– Work Experience (3.16)
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IAQG OPMT OP Assessor Training
9104-003
Section 5: Aerospace Auditor Competency:
• There are two different categories of Auditors:
– Aerospace Auditors
– Aerospace Experienced Auditors
• Aerospace Auditors can be AA or AEA for each AQMS
standard (9100, 9110 and 9120)
• Detailed requirements are defined in the 9104-003 standard,
Tables 1 and 2 (G13)
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IAQG OPMT OP Assessor Training
9104-003
Section 5: Aerospace Auditor Competency:
Table 1 – Requirement for 9100 and 9120
(Standard: 9100/9120)
Element
Auditor 9100/9120
AEA 9100/9120
Auditor
QMS Auditor by nationally-recognized personnel certification body or meet the
recognition
education, training, work experience and audit experience of ISO 19011:2002
section 7.4
Audit
4 full QMS or AQMS (9100) audits conducted for a total of 20 audit person days
Experience
within the past 3 years
AQMS Auditor
Training
Only 2nd or 3rd party audits shall be considered
Successful completion of an approved Foundation Course (See Appendix A):
- 9100 for 9100 auditors
- 9120 for 9120 auditors
An attendee can only attend the Foundation Course if he/she has successfully
completed a QMS (ISO 9001) auditor training course
Or
Industry
Specific
Training
Work
Experience in
AQMS sector
See 3.16
Auditor
Evaluation
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Successful completion of an approved AQMS standard Auditor Course
(see Appendix A)
- 9100 for 9100 auditors
- 9120 for 9120 auditors
Not required
Successful completion
of an approved
Aerospace Industry
Specific Course:
9100/9110.
(See Appendix)
4 years of AQMS work
experience within the
Not required
2 years of AQMS work
past 10 years, as
experience within the
specified in 3.16
past 15 years
Not required
Successful completion
of 2 full audits
witnessed* by an AEA :
-9100 for 9100 auditors
-9100 or 9110 for 9120
auditors
IAQG OPMT OP Assessor Training
9104-003
Section 5: Aerospace Auditor Competency:
Table 2 – Requirement for 9110
(Standard 9110)
Element
Auditor 9110
AEA 9110
QMS Auditor by nationally-recognized AAB or meet the education, training, work
Auditor
experience and audit experience of ISO 19011:2002 section 7.4
recognition
Audit
4 full QMS or full AQMS audits (9100 or 9110) conducted for a total of 20 audit
Experience
person days within the past 3 years
nd
AQMS Auditor
Training
rd
Only 2 or 3 party audits shall be considered
Successful completion of an approved 9110 Foundation Course (See Appendix A):
An attendee can only attend the Foundation Course if he/she has successfully
completed a QMS (ISO 9001) auditor training course
Or
Successful completion of an approved AQMS standard Auditor Course for 9110
(see Appendix A)
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Industry
Specific
Training
Not required
Work
Experience in
AQMS sector
See 3.16
Auditor
Evaluation
Not required
Not required
Successful completion
of an approved
Aerospace Industry
Specific Course:
Repair/Maintenance
2 years of AQMS work
experience within the
past 15 years
Successful completion
of 2 full 9110 audits
witnessed* by an AEA
4 years of AQMS work
experience within the
past 10 years
as specified in 3.16
In addition,
2 years full time
experience performing
repair/maintenance in
the last 4 years
or
Specific Training in
Repair/Maintenance
IAQG OPMT OP Assessor Training
9104-003
Section 5: Tables 1 and 2 - Notes:
• If during witness audit a candidate shows insufficient
knowledge of aerospace requirements as mentioned under Sec
3.1 & 4.1 of Aerospace specific training course in 9104-003
Appendix A, additional training and/or practical experience will
be required.
• Witness shall be performed by authenticated AEA who
themselves have not become qualified via an industry specific
training. The witness AEA shall not perform the audit as a
member of the assessment team.
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IAQG OPMT OP Assessor Training
9104-003
Auditor Authentication:
• Process by which trained and competent auditors become
recognised by industry to be able to audit third-party AQMS
certification audits
Auditor Authentication Body (AAB):
• 9104-003 section 7 – Requirements: (G2)
– The Auditor Authentication Body (AAB) must be approved by the
SMS (and is visible on OASIS)
– AAB shall have documented processes and procedures for
authentication of AA & AEA. (G2) (G11)
– The AAB may sub-contract the auditor authentication process to
another body, arrangement to be documented and the AAB retains
full responsibility for the sub-contracted auditor authentication. (G6)
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IAQG OPMT OP Assessor Training
9104-003
Section 7: Auditor Authentication Process:
• Sections 7.4 to 7.8:
– Auditors can be authenticated by any AAB
– Authentications from any AAB are recognised by all other AABs
and sectors
– AAB evaluates an application and submission against 9104-003
requirements for AA or AEA for 9100, 9110 or 9120
– Authentication is valid for three (3) years – no extensions! (G19)
– All authenticated AA and AEA are registered in the IAQG OASIS
database.
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IAQG OPMT OP Assessor Training
9104-003
Section 8: Auditor Re-Authentication Process:
• Section 8.1 – Maintenance (G12) (G21-22)
• Each Auditor (AA or AEA) shall:
– Participate in a minimum of 4 (four) audits over 3 (three) years
» Note: Error in EN 9104-003 ‘conducted to the applicable AQMS’ to be ignored
– Participate in 15 hours of continuing education activities over 3
(three) years in the following:
»
»
»
»
Changes to the applicable aerospace industry standard;
AQMS auditing methodologies;
Changes to Aviation Authority Requirements
Updates or changes to IAQG or Sector policies, criteria and
procedures
• Must apply at least 3 months before expiration to re-authenticate
(G20)
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IAQG OPMT OP Assessor Training
9104-003
Section 8.2: Withdrawal of Authentication:
(G23)
• Authentication can be withdrawn if the auditor:
– The auditor is not fulfilling the 9104 series standard
– Application for AQMS auditor authentication contains false
information
– The auditor has falsified audit findings
– The auditor has performed / taken action during an audit activity
that will bring the IAQG into disrepute
• Withdrawal must be supported by objective evidence
• Decision by AAB ratified by SMS
• Re-instatement or authentication possible again in the future
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IAQG OPMT OP Assessor Training
Requirements for Auditor Authentication:
• Also IAQG OPMT Resolutions impact the process:
–
–
–
–
–
–
–
–
–
–
–
61: Use of existing work experience for other AQMS authentication
64: Decision-making, withdrawal and impartiality
65: Definition of work experience
79: Correction of publishing mistake in EN 9104-003
91: Clarification of ‘participation’ in an audit
97: Definition of a ‘full’ audit
102: 9104-003 requirements as applied to AB Assessors
109: Clarification to 9104-003 table 2 for Repair and Maintenance trg
111: Process for an AQMS auditor go to another AAB
112: Use of previously submitted audits when applying for AEA
115: Consolidation of AQMS training requirements for AQMS auditors
• 9104-003 clause 7.3 and 9104-001 clause 10.3 requires each AAB
to have documented processes and procedures
• You will need to take account of all of these requirements when
assessing an AAB
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IAQG OPMT OP Assessor Training
EN 9104-003 clause 8.1: Maintenance
• EN9104-003:2010 Section 8.1 “Maintenance of AEA approval” has
been published with an error in the text.
• The sentence “Participate in a minimum of 4 (four) audits over 3
(three) years conducted to the applicable AQMS” should read:
– “Participate in a minimum of 4 (four) AQMS standard audits over 3
(three) years.”
• IAQG OPMT Resolution 79 ensures applicability of the second
sentence in EN 9104-003:2010
• Requirements for authentication and re-authentication apply to
both AA and AEA AQMS Auditors (see 9104-001 clause 6.7c)
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IAQG OPMT OP Assessor Training
AAB Assessment:
• OP Assessor Requires:
– 9104-002 Forms
» Form D – Oversight Nonconformity Record
» Form G – AAB Assessment Check Sheet
– Standards and Reference Documents:
» 9104 series (9104-001, 9104-002, and 9104-003)
» Sector specific procedures
» IAQG Supplemental Rules (if applicable)
» IAQG Resolutions Log
» AAB procedures
– Audit Plan
– Copy of previous oversight reports
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IAQG OPMT OP Assessor Training
AAB Assessment:
• Conduct the assessment
– Gather objective evidence that the AAB has implemented 9104 series
requirements and is working effectively
– Follow your audit plan
– Use checklist for guidance
• Focus on AAB implementation and activity:
– Ensure conformance to 9104-002 section 5.3 (Confidentiality and
Conflict of Interest) and 9104-003
– Review of previous oversight assessment reports including actions
taken
– A review of the last accreditation evaluation (if applicable)
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IAQG OPMT OP Assessor Training
9104-002 Form G Check Sheet:
• Review the check sheet now:
• Questions on content?
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IAQG OPMT OP Assessor Training
Assessing Applicant Files:
• Follow the authentication process
– Application – form, complete, required information?
– Evaluation of application against criteria
» Industry experience valid?
» Audit logs demonstrate ‘full’ audits?
– Are certificates of training only from approved courses?
– Fulfilment of IAQG Resolutions
– Independence of authentication decision-making
– Correct entry of auditor details, authentication and period of
authentication on OASIS?
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IAQG OPMT OP Assessor Training
Assessing Applicant Files:
• Follow the authentication process
– Timely submission of re-authentication process
» at least 3 months before expiry
– Compliance with correct re-authentication criteria (audit logs)
– Don’t forget the correct use and interpretation AATT based training
courses for authentication
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IAQG OPMT OP Assessor Training
Some other items to assess:
• Structure in relation to SMS/CBMC
• Constitution including independence
• Arrangements for subcontracting and control (if subcontracted)
• SMS endorsement or delegation of decision-making
• Appeals
• Complaints
• Withdrawals
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IAQG OPMT OP Assessor Training
Some other items to assess:
•
•
•
•
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Procedures in compliance with requirements
Activities and records in compliance with procedures
Independence of evaluators and decision-makers
Competence of those involved in the process?
IAQG OPMT OP Assessor Training
After the AAB Assessment:
• Provide report to the AAB and SMS or CBMC Oversight WG
Chair
• Ensure the AAB and SMS or CBMC have records of the
verification and closure of any Form D Nonconformity Records
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IAQG OPMT OP Assessor Training
Questions
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IAQG OPMT OP Assessor Training