kSIST FprEN 9104-003:2022
(Main)Aerospace series - Quality management systems - Part 003: Requirements for Aviation, Space, and Defence Auditor Training, Development, Competence, and Authentication
Aerospace series - Quality management systems - Part 003: Requirements for Aviation, Space, and Defence Auditor Training, Development, Competence, and Authentication
This document defines the minimum requirements for auditors, CBs, Auditor Authentication Bodies (AABs), Training Provider Approval Bodies (TPABs), and Training Providers (TPs) who participate in the IAQG Industry Controlled Other Party (ICOP) scheme. The requirements in this standard supplement those defined within the EN 9104-1, EN 9104-2, ISO/IEC 17021-1, and ISO/IEC 17021-3 standards.
Data protection for the parties subject to this document and other relevant requirements of the ICOP scheme are managed via bi-lateral contracts between the joint controllers of the data.
Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil 003: Anforderungen an Schulung und Qualifikationen von Auditoren für Qualitätsmanagementsysteme der Luft- und Raumfahrt (AQMS)
Série aérospatiale - Systèmes de management de la qualité - Partie 003 : Exigences relatives à la formation, au développement, à la compétence et à l'authentification des auditeurs dans le domaine aéronautique, spatial et de défense
Le présent document définit les exigences minimales applicables aux auditeurs, aux OC, aux Organismes d'authentification des auditeurs (AAB), aux Organismes d'approbation des organismes de formation (TPAB) et aux Organismes de formation (OF) qui participent au schéma Autre partie sous surveillance de l'industrie (ICOP) de l'IAQG. Les exigences de la présente norme complètent celles qui sont définies dans l'EN 9104-1, l'EN 9104-2, l'ISO/CEI 17021-1 et l'ISO/CEI 17021-3.
La protection des données pour les parties soumises au présent document et autres exigences pertinentes du schéma ICOP sont gérées au moyen de contrats bilatéraux conclus entre les responsables conjoints du traitement des données.
Aeronavtika - Sistemi vodenja kakovosti - 003. del: Zahteve za usposabljanje, razvoj, usposobljenost in preverjanje avtentikacije presojevalcev na področju zračnega prometa, vesoljskih poletov in obrambe
General Information
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Standards Content (Sample)
SLOVENSKI STANDARD
oSIST prEN 9104-003:2022
01-marec-2022
Aeronavtika - Sistemi vodenja kakovosti - 003. del: Zahteve za usposabljanje,
razvoj, usposobljenost in preverjanje avtentikacije presojevalcev na področju
zračnega prometa, vesoljskih poletov in obrambe
Aerospace series - Quality management systems - Part 003: Requirements for Aviation,
Space, and Defence Auditor Training, Development, Competence, and Authentication
Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil 003: Anforderungen an
Schulung und Qualifikationen von Auditoren für Qualitätsmanagementsysteme der Luft-
und Raumfahrt (AQMS)
Série aérospatiale - Systèmes de management de la qualité - Partie 003 : Exigences
relatives à la formation, au développement, à la compétence et à l'authentification des
auditeurs dans le domaine aéronautique, spatial et de défense
Ta slovenski standard je istoveten z: prEN 9104-003
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.10 Vodenje in zagotavljanje Quality management and
kakovosti quality assurance
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
oSIST prEN 9104-003:2022 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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DRAFT
EUROPEAN STANDARD
prEN 9104-003
NORME EUROPÉENNE
EUROPÄISCHE NORM
December 2021
ICS 03.100.70; 03.120.10; 49.020 Will supersede EN 9104-003:2010
English Version
Aerospace series - Quality management systems -
Part 003: Requirements for Aviation, Space, and Defence
Auditor Training, Development, Competence, and
Authentication
Série aérospatiale - Systèmes de management de la Luft- und Raumfahrt - Qualitätsmanagementsysteme -
qualité - Partie 003 : Exigences relatives à la formation, Teil 003: Anforderungen an Schulung und
au développement, à la compétence et à Qualifikationen von Auditoren für
l'authentification des auditeurs dans le domaine Qualitätsmanagementsysteme der Luft- und Raumfahrt
aéronautique, spatial et de défense (AQMS)
This draft European Standard is submitted to CEN members for enquiry. It has been drawn up by the Technical Committee ASD-
STAN.
If this draft becomes a European Standard, CEN members are bound to comply with the CEN/CENELEC Internal Regulations
which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.
This draft European Standard was established by CEN in three official versions (English, French, German). A version in any other
language made by translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC
Management Centre has the same status as the official versions.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,
Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and
United Kingdom.
Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are
aware and to provide supporting documentation.
Warning : This document is not a European Standard. It is distributed for review and comments. It is subject to change without
notice and shall not be referred to as a European Standard.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATIO N
E U R OP ÄISCHES KOMITEE FÜR NORMUN G
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2021 CEN All rights of exploitation in any form and by any means reserved Ref. No. prEN 9104-003:2021 E
worldwide for CEN national Members.
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Contents Page
European foreword . 4
1 Scope . 6
2 Normative references . 6
3 Terms and definitions . 6
4 Auditor Authentication . 8
4.1 General. 8
4.2 Auditor Authentication Requirements . 8
4.3 Auditor Work Experience . 9
4.3.1 Authenticated Auditor Work Experience . 9
4.3.2 Authenticated Experienced Auditor Work Experience . 9
4.3.3 Authenticated Experienced Auditor Maintenance Work Experience . 9
4.4 Aviation, Space, and Defence Industry Knowledge. 10
5 Auditor Initial Authentication . 11
6 Auditor Re-Authentication . 12
7 Auditor Advancement . 13
8 Auditor Performance Monitoring and Management . 14
8.1 General. 14
8.2 Auditor Performance Criteria and Parameters . 14
8.3 Auditor Requirements . 14
8.4 Certification Body Requirements . 14
8.4.1 General. 14
8.4.2 Auditor Performance Assessment . 15
8.4.3 Auditor Performance Management . 16
8.4.4 Retained Documented Information . 16
9 Requirements for Auditor Authentication Bodies . 17
9.1 General. 17
9.2 Operational Requirements . 17
9.3 Auditor Application Review and Authentication . 18
9.4 Auditor Performance . 18
9.5 Auditor Suspension and Withdrawal. 19
9.6 Transfer of Auditor Authentication . 20
9.7 Auditor Authentication Body Withdrawal . 20
10 Requirements for Training Provider Approval Bodies . 21
10.1 General. 21
10.2 Approval of Training Providers . 21
10.3 Approval of Training Courses and Assessments. 22
10.4 Operational Requirements . 22
10.5 Training Provider Suspension or Withdrawal . 23
10.6 Training Provider Approval Body Withdrawal. 24
11 Requirements for Training Providers . 24
11.1 General. 24
11.2 Operational Requirements . 24
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11.3 Retained Documented Information . 25
11.4 Training Provider Changes . 25
12 Requirements for Training Courses and Assessments . 26
13 Use of Marks and Logos . 26
Annex A (informative) Acronym log . 27
Bibliography . 28
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European foreword
This document (prEN 9104-003:2021) has been prepared by the Aerospace and Defence Industries
Association of Europe – Standardization (ASD-STAN).
After enquiries and votes carried out in accordance with the rules of this Association, this Standard has
received the approval of the National Associations and the Official Services of the member countries of
ASD-STAN, prior to its presentation to CEN.
This document is currently submitted to the CEN Enquiry.
This document will supersede EN 9104-003:2010.
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Introduction
Industry established the IAQG, with representatives from Aviation, Space, and Defence (ASD) companies
in the Americas, Asia/Pacific, and Europe, to implement initiatives that make significant improvements
in quality and reductions in cost throughout the value stream.
The IAQG developed a global scheme for the acceptance and recognition of audits performed by
Certification Bodies (CBs), using the EN 9100 series standards and taking into account the schemes
already in use or under development in the various IAQG sectors, including the application of a
• 3rd party audit certification scheme with specific ASD requirements, under the guidance and
oversight of the ASD industry and
• harmonized approach for the purpose of improving the quality and process control throughout the
entire supply chain.
Confidence and reliance in the audit process depend on the development and provision of auditor
training, robust auditor authentication, and competence of those conducting the audits. Competence is
based on the demonstration of personal attributes, and the ability to apply knowledge and skills gained
through education, training, and experience.
This document has been prepared by the IAQG and standardizes the requirements for ASD Quality
Management System (QMS) auditor training, development, competence, and authentication in support of
certification to Aerospace Quality Management System (AQMS) standards. This document supplements
existing international standards for competency requirements.
In this standard, the following terms are used:
• “shall” indicates a requirement;
• “should” indicates a recommendation;
• “may” indicates a permission;
• “can” indicates a possibility or capability.
Words “example” or “e.g.” indicate suggestions given for guidance. Information marked “NOTE” is for
guidance in understanding or clarifying the associated requirement.
Rationale
This standard has been revised to align with the latest revisions of the International Aerospace Quality
Group (IAQG) EN 9104-001 and EN 9104-002 standards, the International Organization for
Standardization (ISO)/International Electrotechnical Commission (IEC) EN ISO/IEC 17021-1 and
EN ISO/IEC 17021-3 standards, and to incorporate lessons learned from past activities, including
feedback from interested parties.
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1 Scope
This document defines the minimum requirements for auditors, CBs, Auditor Authentication Bodies
(AABs), Training Provider Approval Bodies (TPABs), and Training Providers (TPs) who participate in the
IAQG Industry Controlled Other Party (ICOP) scheme. The requirements in this standard supplement
those defined within the EN 9104-001, EN 9104-002, EN ISO/IEC 17021-1, and EN ISO/IEC 17021-3
standards.
Data protection for the parties subject to this document and other relevant requirements of the ICOP
scheme are managed via bi-lateral contracts between the joint controllers of the data.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
1
EN 9100, Quality Management Systems - Requirements for Aviation, Space and Defence Organizations
EN 9104-001, Aerospace series - Quality management systems - Part 001: Requirements for Aviation, Space,
1
and Defence Quality Management System Certification Programs
EN 9104-002, Aerospace series - Quality management systems - Part 002: Requirements for Oversight of
1
Aerospace Quality Management System Registration/Certification Programs
1
EN 9110, Quality Management Systems - Requirements for Aviation Maintenance Organizations
1
EN 9120, Quality Management Systems - Requirements for Aviation, Space and Defence Distributors
EN ISO 9000, Quality management systems - Fundamentals and vocabulary (ISO 9000)
EN ISO/IEC 17000, Conformity assessment - Vocabulary and general principles (ISO/IEC 17000)
3 Terms and definitions
For the purposes of this document, the terms and definitions in EN ISO 9000, EN ISO/IEC 17000, the
EN 9104 series standards, the IAQG International Dictionary, and the following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
• ISO Online browsing platform: available at https://www.iso.org/obp
• IEC Electropedia: available at https://www.electropedia.org/
3.1
audit experience
experience gained and demonstrated by direct involvement in an audit as a team leader or team member
conducting 2nd or 3rd party QMS or AQMS audits
1
As developed under the auspice of the IAQG and published by various standards bodies [e.g., ASD-STAN,
SAE International, European Committee for Standardization (CEN), Japanese Standards Association (JSA)/Society
of Japanese Aerospace Companies (SJAC), Brazilian Association for Technical Norms (ABNT)].
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3.2
auditor authentication
process and output from confirming an auditor's competence has met or exceeded the minimum
requirements for an auditor, as defined in this standard
3.3
auditor authentication cycle
period of three years from initial authentication or re-authentication
3.4
auditor performance management
activity undertaken to monitor individual 3rd party auditor performance and establish improvement
programs, as required, to maintain auditor authentication, based on the results of performance
information gathered
3.5
Authenticated Auditor
AA
person with the demonstrated competence (i.e., knowledge, skills, and personal attributes) to conduct an
audit on ASD organizations that has been authenticated in accordance with the requirements of this
standard
3.6
Authenticated Experienced Auditor
AEA
person with the demonstrated competence (i.e., knowledge, skills, and personal attributes) to lead an
audit on ASD organizations that has been authenticated in accordance with the requirements of this
standard, together with appropriate recognized work experience and demonstrated knowledge in the
ASD industry
3.7
Aviation, Space, and Defence (ASD) lead auditor course
interactive training course approved by a TPAB, that includes current EN 9100 standard requirements,
the process approach as it applies to auditing an entire AQMS, and how to plan, conduct, report, follow-
up, and close an AQMS audit
3.8
Continual Professional Development
CPD
means by which professionals improve and broaden their knowledge and skills required to enhance
individual capability
Note 1 to entry: CPD includes relevant structured learning activities that focus on subjects and topics that are
related to the audit profession, including emerging industry technologies and regulatory requirements
3.9
contractor
person who undertakes work on behalf of an organization on a contract basis that is specified in a
mutually binding agreement
Note 1 to entry: This does not include individuals who provide expert advice professionally (i.e. consultancy).
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3.10
full system audit
direct involvement as a team leader or team member (as applicable) in a QMS (EN ISO 9001) or AQMS
(EN 9100, EN 9110, EN 9120) audit that covers all requirements of the respective standard, aligned to
the certification scope of the audited organization
3.11
International Aerospace Quality Group (IAQG) sanctioned requisites
activity mandated by the IAQG to support auditor authentication (e.g., training, assessment, evaluation)
3.12
Performance Improvement Plan
PIP
means to address performance improvement that includes a clear, structured set of actions and
deliverables, together with timescales, in order to attain a specified level of performance
3.13
regulatory aviation maintenance specific training course
interactive training course (or a series of courses) approved by a civil/military aviation authority,
conducted over a minimum two working days relating to aviation maintenance regulations
3.14
suspension
temporary restriction(s) applied to authentication or approval activity due to the non-fulfilment of
requirements
3.15
withdrawal
cessation of authentication or approval due to the non-fulfilment of requirements
4 Auditor Authentication
4.1 General
4.1.1 Auditors seeking authentication shall meet the requirements defined within this standard and
provide documented evidence of the required baseline training, audit experience, IAQG sanctioned
requisites, work experience, industry knowledge, and CPD (as applicable) relative to the applicable AQMS
standard to the AAB.
4.1.2 The following auditor grades have been established for each AQMS standard:
a) Authenticated Auditor (AA);
b) Authenticated Experienced Auditor (AEA).
4.2 Auditor Authentication Requirements
4.2.1 Auditor authentication shall be undertaken in accordance with the applicable requirements
relating to each authentication phase:
a) Auditor initial authentication (see Clause 5);
b) Auditor re-authentication (see Clause 6); or
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c) Auditor advancement (see Clause 7).
4.2.2 Auditors shall only conduct audits for which they are authenticated (e.g. AA/AEA EN 9100
auditors cannot perform audits to EN 9110 or EN 9120).
4.2.3 Auditors can be authenticated for one or more grades and/or standards, but only for one grade
(AA or AEA) per standard at the same time.
4.2.4 Auditors shall be authenticated to EN 9100, in order to be authenticated for other AQMS
standards (i.e. EN 9110 and/or EN 9120).
Where an auditor is already authenticated to EN 9100 and is seeking authentication to another AQMS
standard, the work experience utilized for initial authentication may be used to demonstrate compliance
to the requirements, provided the EN 9100 authentication is current.
4.2.5 Auditors shall disclose within their application to the AAB if they have had any previous
applications or authentications rejected, suspended, or withdrawn; including the reason(s) why.
4.3 Auditor Work Experience
4.3.1 Authenticated Auditor Work Experience
Work experience shall be full time as an employee or contractor in industries with similar scopes of
applicability (e.g. automotive, nuclear, maritime, medical devices, other high risk/safety critical
industries), with direct involvement in engineering, design, manufacturing, quality, or process control.
4.3.2 Authenticated Experienced Auditor Work Experience
Work experience shall be full time as an employee or contractor within the ASD industry with direct
involvement in engineering, design, manufacturing, quality, or process control within any of the following
organizations:
a) Major Equipment Manufacturer/Integrator Organization – An organization that designs, produces,
and delivers complete vehicles or systems for ASD applications (e.g. aircraft, ships, submarines,
major weapon systems, launchers or spacecraft).
b) Prime Organization – An organization that designs and/or produces a major assembly, major
subassembly, or major component of an ASD end item (e.g. cabins, wings, fuselages, propulsion
systems, control systems, health monitoring systems, ordnance management systems, radar systems,
emergency or backup systems).
c) ASD Regulatory Agency – A civil [e.g. National Aviation Authority (NAA)], military [e.g. Ministry of
Defence (MoD)], or space organization [e.g. European Space Agency (ESA), National Aeronautics and
Space Administration (NASA), Canadian Space Agency (CSA), Japan Aerospace Exploration Agency
(JAXA), China National Space Administration (CNSA)].
4.3.3 Authenticated Experienced Auditor Maintenance Work Experience
Work experience shall be full time as an employee or contractor within an aviation maintenance
organization authorized by a civil or military aviation authority with direct involvement in overhaul,
disassembling, inspection, testing, replacement, defect rectification, and the embodiment of a
modification or repair.
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4.4 Aviation, Space, and Defence Industry Knowledge
4.4.1 Industry knowledge shall include at a minimum, an understanding of the processes and controls
for
a) advance product quality planning,
b) change control,
c) containment, cause analysis, and corrective action,
d) configuration, identification, and traceability,
e) critical items and key characteristics,
f) design and development,
g) external provider approval and control,
h) foreign object damage/debris (FOD) prevention program,
i) nonconforming material management,
j) operational risk management,
k) ASD regulatory requirements,
l) prevention of counterfeit/unapproved parts,
m) product safety,
n) production part approval process,
o) production processes and product verification/validation and
p) sampling inspection or testing.
4.4.2 In addition for EN 9110 authentication, this knowledge shall also include at a minimum, an
understanding of the processes and controls for
a) aviation maintenance regulations,
b) continued airworthiness management,
c) development and/or maintenance of technical data,
d) qualification and certification of persons,
e) identification and control of serviceable/unserviceable articles or products,
f) parts distribution and rotable pools,
g) prevention of suspected unapproved parts,
h) installation of approved parts and
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i) return to service processes.
5 Auditor Initial Authentication
5.1 The requirements for auditor initial authentication for each auditor grade shall be in accordance
with Table 1.
5.2 To initiate the process, the auditor shall apply for authentication to their selected AAB for each
relevant AQMS standard.
Table 1 — AQMS Auditor Initial Authentication Requirements
Element Authenticated Auditor (AA) Authenticated Experienced Auditor (AEA)
Baseline Evidence of passing a TPAB approved ASD Lead Auditor Course (see 3.7).
Training
Audit Experience Evidence within the past three Evidence within the past three years of
(see 3.1) years of
a) a minimum of four 2nd party
a) a minimum of four 2nd party QMS/AQMS and/or 3rd party QMS full
QMS/AQMS and/or 3rd party system audits (see 3.10) leading a team
QMS full system audits in a team leader role,
(see 3.10) in a team member or
b) additional audits, if necessary, to
team leader role,
demonstrate coverage of all
b) additional audits, if necessary, requirements of the respective standard
to demonstrate coverage of all at least twice, and
requirements of the respective
c) a minimum of 20 on-site audit days
standard at least twice, and
(excluding planning and report writing).
c) a minimum of 20 on-site audit
days (excluding planning and
report writing).
IAQG Sanctioned Evidence of successful completion (including examination, as applicable) of any
Requisites IAQG requisites.
(see 3.11)
Auditor Work Evidence of two years work EN 9100 Evidence of four years ASD
Experience experience within the past ten work experience (see 4.3.2)
EN 9120
(see 4.3) years (see 4.3.1). within the last ten years.
EN 9110 EN 9100 above, plus evidence of
two years aviation maintenance
work experience (see 4.3.3)
within the last four years.
ASD Industry Evidence not required. EN 9100 Evidence of industry knowledge
Knowledge (see 4.4.1).
EN 9120
(see 4.4)
EN 9110 Evidence of industry knowledge
(see 4.4.2).
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6 Auditor Re-Authentication
6.1 The requirements for auditor re-authentication for each auditor grade shall be in accordance with
Table 2.
6.2 To initiate the process and prior to expiry, auditors shall apply for re-authentication in accordance
with their selected AAB requirements, in order to maintain their authentication.
6.3 Auditors shall disclose within their application to the AAB (in relation to their previous
authentication cycle)
a) any PIPs raised (see 3.12), including their status and
b) all CBs for whom they have conducted AQMS audits.
Table 2 — AQMS Auditor Re-Authentication Requirements
Element Authenticated Auditor (AA) Authenticated Experienced Auditor
(AEA)
Audit Evidence within the past three years of Evidence within the past three years of
Experience
a) a minimum of four 2nd and/or a) a minimum of four 2nd and/or
(see 3.1)
3rd party QMS/AQMS full system 3rd party AQMS full system audits
audits (see 3.10), (see 3.10),
b) additional audits, if necessary, to b) additional audits, if necessary, to
demonstrate coverage of all demonstrate coverage of all
requirements of the respective requirements of the respective
standard at least twice, and standard at least twice, and
c) a minimum of 20 on-site audit days c) a minimum of 20 on-site audit days
(excluding planning and report (excluding planning and report
writing). writing).
IAQG Sanctioned Evidence of successful completion (including passing an examination, as
Requisites applicable) of any IAQG requisites.
(see 3.11)
Auditor Work Evidence not required.
Experience
(see 4.3
...
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