IAQG IAQG AS 9104 System AS 9104 System

Process Process Flowcharts Flowcharts

Team Mandate

To create a process-based model overview of the IAGQ AS9104 registration system for the Americas Sector Management Structure (SMS).

Team Members and Contributors• Members:

• Reg Blake – Team Leader

• Jeff Carr – NQA

• Mike Harrell – UL Inc.

• Roger Ritterbeck - QMI

• Contributors/Reviewers:

• Carl Blazik – CRS Registrars Inc.

• Trudy Keaveney – NQA

• Nik Sutton - Boeing

• Tim Lee - Boeing

CustomerRequirements(IAQG OEM)

Design&

DevelopmentManufacture Maintenance Customer

Satisfaction

Value Stream

IAQG AS9104 Overview of Requirements

Voluntary Certification/Registration

Harmonized Approach to the CRBs

Controlled Use of Assessment Results

SectorialRegionalSchemes

AccreditedCRBs

Qualifiedand

ApprovedAuditors

Use ofInternationalAerospaceStandards

GlobalAcceptance

IAQG AS9104 - Three Fundamental Requirements

Certification/Registration Body ProcessCRB Requires Accreditation To

AQMS(s)

CRB Must First Be Accredited ToISO/IEC Guide 62 and ISO 19011 For

ISO 9001:2000 By A IAQG SectorRecognized AB

(AS9104 Clause 6.1)

The CRB Must Have BeenAccredited for >1 Year Prior To

Submitting an Application To BeAcceptable By The IAQG Sectors

(AS9104 Clause 6.1)

The CRB Needs To DetermineWhich AQMS(s) They Are

Competent To Apply For UnderScope Sector 21 (NACE DM 35.3)

(AS9104 Clause 6.2)

The Management Committee OrAdvisory Group Of The CRB Must A

Person(s) With AerospaceBackground and Knowledge

(AS9104 Clause 6.3)

The CRB Certification FunctionShall Have Person(s) With

Aerospace Background AndKnowledge Involved In Certification

Decisions(AS9104 Clause 6.4 a.)

The CRB Shall Use An AuditorTraining Program That Is Approvedby The AB And Complies With TheRequirements Of The Respective

IAQG Sector And Maintain TrainingRecords

(AS9104 Clause 6.4 b.)

Auditors Of The CRB Shall MeetThe Requirements Of AS9104

(AS9104 Clause 7)

CRB Shall Have SpecificProcedures, Tools, And Techniques

In Its Systems For Granting,Maintaining, Extending, Reducing,

Suspending and WithdrawingCertification/Registration

(AS9104 Clause 6.4 e.)CRB Has To Agree To IAQG

Member Company, AB, RegulatoryOr Government Bodies 'Right Of

Access' For Establishing They HaveUsed Correct Criteria And Methods

(AS9104 Clause 6.4 g.)

AQMS Standards

AerospaceAssessment

Report &Questionnaires

Sector SchemeApplicable For

AQMSCertification/Reg.

Scoring ProcessAnd Use of NCR

Reports

AdditionalSectorial Training

Requirements

MinimumContent OfTraining:

Civil AviationAuthority (CAA)Requirements

Applicable Space& Defense

Requirements

CRB Agrees To PeriodicSurveillance And Annual WitnessAudits By ABs And IAQG Sectors

With Results Reported To TheSector SMS

(AS9104 Clause 6.4 f.)

The CRB Shall Not Have AnyConflict Of Interest Relating To

Consulting and Training Services(AS9104 Clause 6.4 i.)

CRB Submits Application ForAccreditation, Including

Qualifications Of Auditors, To ABProcess Under Sector

Requirements

AB Conducts Office And WitnessAudits And Makes

Recommendation For AccreditationTo IAQG Sector SMS

CRB Receives Sector SMS ApprovalAnd AB Accreditation For AS9100

And Applicable AQMS(s)

End OfAccreditation

Process

Summary Of Requirements For Aerospace Industry Auditors

AUDITOR(AS9104 Clause 7.1)

Auditors Are To Be Trained And ApprovedFor ISO 9001 Auditing Per ISO 19011

General Knowledge Of Aerospace QualityManagement Systems Standards

Auditor Training In Industry Standards AndCurrent Aerospace Industry Requirements

(AS9104 Clause 6.4.b)

AEROSPACEEXPERIENCED AUDITOR(Includes AS9104 Clauses

7.1 & 7.2/7.3/7.4)

4 Years Of AerospaceWork Experience In The

Last 10 Years(AS9104 Clauses 7.2.1 /

7.3.2 / 7.4.2)

Industry Experience &Training On AerospaceIndustry RequirementsAnd 2 Witness Audits

(AS9104 Clauses 7.2.3 /7.3.3 / 7.4.3)

ALL AUDITORS &AEROSPACE

EXPERIENCED AUDITOR

15 Hours Of Continuing Education For AuditorsWithin Every 3 Years & 4 Audits Within 3 Years

(AS9104 Clause 7.5)

AS9104 Clause 7.6 TABLE 1

ALL

OR OR

ALL

Requirements For Auditors

Start Auditor Qualification Process

Auditors Of AQMS Shall As A MinimumContinually Meet ISO 19011 RequirementsFor Education, Training, Work And Audit

Experience(AS9104 Clause 7.1)

Auditing Experience - Participated >4Audits For >20 That Covers Complete ISO9001 or AQMS standard(s) Within Last 3

Years.(AS9104 Clause 7.1 a.)

Auditor Shall be trained In AQMS StandardRequirements Relevant To Audit Being

Performed. CRB Can Perform Training OrOutsource It.

(AS9104 Clause 7.1 b.)

CRB Training Program Shall Be ReviewedAnd Approved By AB(AS9104 Clause 7.1 b.)

CRB Training Program Shall Be InAccordance With Sectorial Training

Requirements(AS9104 Clause 7.1 b.)

Aerospace Experience Auditors (AEA) ShallHave 4 Years Aerospace Industry

Experience Within Prior 10 Calendar YearsAnd Meets Clause 7.1 Requirements

(AS9104 Clause 7.2)

Work Experience: 4 Years Full Time InAerospace Industry Directly Involved In

Engineering, Design, Manufacturing,Quality Or Process Control For Major

Airframe Manufacturer, Prime Supplier,Auxiliary Equipment Supplier And/Or

Appropriate Official Civil, Military Or SpaceOrganization, Such As National Aviation

Authorities (NAA), European Space Agency(ESA)/NASA, Ministry Of Defence (MoD).

Work Experience To Include DirectInvolvement Or Knowledge Of Elements In

Clause 7.2.2.1(AS9104 Clause 7.2.1)

Where An Auditor Holds CurrentCertification Under Existing Accredited

Aerospace Auditor Procedure AcceptableTo The SMS Not Based On Above

Requirements (e.g. SBAC TS 157 BeforeJanuary 2001) For The Initial 3 Years TheAuditor Requirements Shall Be Satisfied

Plus Addition Of Required AQMS StandardTraining

(AS9104 Clause 7.2.2)

If <4 Years Aerospace Industry ExperienceIn Last 10 (Or >6 Consecutive Years SinceLast Industry Work Experience From Date

Of Application) The Completion Of In-depthAerospace Industry Competency Course

Developed By CRB Or IndependentOrganization. Both Course And TrainingOrganization Shall Be Approved By SMS.The Course Shall Include, As A Minimum,

The Following Topics: (See Next Box)(AS9104 Clause 7.2.2.1)

# Aerspace Industry Perspective# CAA Requirements# Principles Of Military AerospaceRequirements And Regulations

# First Article Inspection (AS9102)# Airworthiness And Safety Requirements# Design, Development, Verification AndValidation

# Aerospace Subcontractor Approval AndControl Requirements

# Variation Management Of KeyCharacteristics (AS9103)

# Flow Down Of Quality Requirements# Foreign Object Damage (FOD) PreventionProgram Requirements

# Use Of Customer Supplied Products# Calibration Controls and Positive RecallSystem

# Acceptance Authority Media# Nonconforming Material, SystemRequirements and Operation

# Sampling Inspection Requirements andLimitations

# Special Processes# Configuration Management/RequirementsControl

(AS9104 Clause 7.2.2.1)

A

And

Or

Or

And

Requirements For Auditors (2)

NOTE: Exceptions To Clause 7.2.2.2.Requirements Will Be Considered

Providing Candidates Can DemonstrateAdequate And Relevant Aerospace

Knowledge And Experience Per 7.2.1 and7.2.2.1

(AS9104 Clause 7.2.2.2)

AEA For AS9120 (Distributors/Stockists):AEA Shall Have 4 Years Aerospace IndustryExperience Within Prior 10 Calendar Years ,Meet The Requirements Of Clause 7.1 And

The Following: (Two Boxes)(AS9104 Clause 7.3)

Training In AS9120 Requirements: This mayBe Self-taught, But With Formal Test To

Demonstrate Knowledge Of theSpecification.

(AS9104 Clause 7.3.1)

If <4 Years Aerospace Industry ExperienceIn Last 10 (Or >6 Consecutive Years SinceLast Industry Work Experience From Date

Of Application) The Completion Of In-depthAerospace Industry Competency Course

Developed By CRB Or IndependentOrganization. Both Course And TrainingOrganization Shall Be Approved By SMS.The Course Shall Include, As A Minimum,

The Following Topics: (See Next Box)(AS9104 Clause 7.3.2.1)

# Aerspace Industry Perspective# CAA Requirements# Principles Of Military AerospaceRequirements And Regulations

# First Article Inspection (AS9102)# Airworthiness And Safety Requirements# Aerospace Material TraceabilityRequirements

# Flow Down Of Quality Requirements# FOD Prevention Program Requirements# Use Of Customer Supplied Products# Calibration Controls and Positive RecallSystem

# Acceptance Authority Media# Nonconforming Material, SystemRequirements and Operation

# Sampling Inspection Requirements andLimitations

# Configuration Management/RequirementsControl

(AS9104 Clause 7.3.2.1)

A

Or

And

In Addition To 7.2.2.1, Auditor Shall HaveParticipated In At Least 2 Full AS9100

Aerospace Industry Audits Within The Past3 Years And Have Been Witnessed By

Currently Qualified AEA Or The AB, WhoThemselves Have Not Become Qualified ViaTraining Per 7.2.2.1. Audits Shall Cover AllElements Of The Standard And Shall HaveBeen Conducted At Organizations That ArePredominately Aerospace Oriented. Auditor

Shall Receive Positive And DocumentedRecommendation For Qualification On All

Audits.(AS9104 Clause 7.2.2.2)

Work Experience: 4 Years Full Time InAerospace Industry Directly Involved In

Engineering, Design, Manufacturing,Quality Or Process Control For Major

Airframe Manufacturer, Prime Supplier,Auxiliary Equipment Supplier And/Or

Appropriate Official Civil, Military Or SpaceOrganization, Such As National Aviation

Authorities (NAA), European Space Agency(ESA)/NASA, Ministry Of Defence (MoD).

Work Experience To Include DirectInvolvement Or Knowledge Of Elements In

Clause 7.3.2.1(AS9104 Clause 7.3.2)

BAnd

Requirements For Auditors (3)

NOTE: Exceptions To Clause 7.2.2.2.Requirements Will Be Considered

Providing Candidates Can DemonstrateAdequate And Relevant Aerospace

Knowledge And Experience Per 7.3.2 and7.3.2.1

(AS9104 Clause 7.2.2.2)

AEA For AS9110 (Maintenance):AEA Shall Have 4 Years Aerospace IndustryExperience Within Prior 10 Calendar Years ,Meet The Requirements Of Clause 7.1 And

The Following: (Two Boxes)(AS9104 Clause 7.4)

Training In AS9110 Requirements AndTested.

(AS9104 Clause 7.4.1)

If <4 Years Aerospace Industry ExperienceIn Last 10 (Or >6 Consecutive Years SinceLast Industry Work Experience From Date

Of Application) The Completion Of In-depthAerospace Industry Competency Course

Developed By CRB Or IndependentOrganization. Both Course And TrainingOrganization Shall Be Approved By SMS.The Course Shall Include, As A Minimum,

The Following Topics: (See Next Box)(AS9104 Clause 7.4.1.2)

# Aerspace Industry Perspective# CAA Requirements# Principles Of Military AerospaceRequirements And Regulations

# First Article Inspection (AS9102)# Airworthiness And Safety Requirements# Design, Development, Verification AndValidation

# Aerospace Material TraceabilityRequirements

# Aerospace Subcontractor Approval AndControl Requirements

# Variation Management Of KeyCharacteristics (AS9103)

# Flow Down Of Quality Requirements# FOD Prevention Program Requirements# Use Of Customer Supplied Products# Calibration Controls and Positive RecallSystem

# Acceptance Authority Media# Nonconforming Material, SystemRequirements and Operation

# Sampling Inspection Requirements andLimitations

# Special Processes# JAR/FAR 145/136 (EASA IR M)# Tool Control# "Return To Service" Process# Flight Test# Functional Check Flight# Weight And Balance# Wing Walking Or Aircraft MarshallingTechniques

# Configuration Management/RequirementsControl

(AS9104 Clause 7.3.2.1)

B

Or

And

In Addition To 7.3.2.1, Auditor Shall HaveParticipated In At Least 2 Full AS9100 Or

AS9110 Aerospace Industry Audits WithinThe Past 3 Years And Have Been WitnessedBy Currently Qualified AEA Or The AB, WhoThemselves Have Not Become Qualified ViaTraining Per 7.3.2.1. Audits Shall Cover AllElements Of The Standard And Shall HaveBeen Conducted At Organizations That ArePredominately Aerospace Oriented. Auditor

Shall Receive Positive And DocumentedRecommendation For Qualification On All

Audits.(AS9104 Clause 7.3.2.2)

Work Experience: 4 Years Full Time InAerospace Industry Directly Involved In

Engineering, Design, Manufacturing,Quality Or Process Control For Major

Airframe Manufacturer, Prime Supplier,Auxiliary Equipment Supplier And/Or

Appropriate Official Civil, Military Or SpaceOrganization, Such As National Aviation

Authorities (NAA), European Space Agency(ESA)/NASA, Ministry Of Defence (MoD). InAddition They Shall Had Specific Training

In Repair/Overhaul Or Demonstrated 2Years Full-time Experience In The Last 4

Years. Work Experience To Include DirectInvolvement Or Knowledge Of Elements In

Clause 7.4.1.2(AS9104 Clause 7.4.1.1)

CAnd

Requirements For Auditors (4)

NOTE: Exceptions To These RequirementsWill Be Considered Providing CandidatesCan Demonstrate Adequate And Relevant

Aerospace Knowledge And Experience Per7.4.1.1and 7.4.1.2

(AS9104 Clause 7.4.1.3)

To Maintain Qualification All Auditors AndAEAs Shall Participate In At Least 4

Aerospace Audits In 3 Years AndParticipate In Continuing Education In

Accordance With Sectorial TrainingRequirements That Requires Review Of The

Changes To The Aerospace IndustryStandards, Auditing Methods And ISO

Requirements At A Minimum Of 15 HoursTotal Within 3 Years(AS9104 Clause 7.5)

AUDITOR(AS9104 Clause 7.1)

CAnd

In Addition To 7.4.2.1, Auditor Shall HaveParticipated In At Least 2 Full AerospaceIndustry Audits Within The Past 3 YearsAnd Have Been Witnessed By Currently

Qualified AEA Or The AB, Who ThemselvesHave Not Become Qualified Via Training

Per 7.4.2.1. Audits Shall Cover All ElementsOf The Standard And Shall Have BeenConducted At Organizations That Are

Predominately Aerospace Oriented. AuditorShall Receive Positive And Documented

Recommendation For Qualification On AllAudits.

(AS9104 Clause 7.4.1.3)

Auditors Are To Be Trained And Approved ForISO 9001 Auditing Per ISO 19011

General Knowledge Of Aerospace QualityManagement Systems Standards

Auditor Training In Industry Standards And CurrentAerospace Industry Requirements

(AS9104 Clause 6.4.b)

AEROSPACEEXPERIENCED AUDITOR(Includes AS9104 Clauses

7.1 & 7.2/7.3/7.4)

OR

4 Years Of AerospaceWork Experience In The

Last 10 Years(AS9104 Clauses 7.2.1 /

7.3.2 / 7.4.2)

OR

Industry Experience &Training On AerospaceIndustry RequirementsAnd 2 Witness Audits

(AS9104 Clauses 7.2.3 /7.3.3 / 7.4.3)

ALL AUDITORSAEROSPACE

EXPERIENCED AUDITORS15 Hours Of Continuing Education For AuditorsWithin Every 3 Years & 4 Audits Within 3 Years

(AS9104 Clause 7.5)

Summary Of Requirements For Aerospace Industry AuditorsTABLE 1

Start Audit TeamConclusions and

Reporting

For Surveillance, Audit Team LeaderAdvises If Any Nonconformities

Jeopardize AnExisting Certificate(AS9104 Clause 8.4)

AQMS Audits Shall Be DocumentedOn Aerospace Assessment Report

And Questionnaires Paper OrElectronic Versions (AS9104 Clause

8.4)

State Conclusions on Conformityand Effectiveness of QMS To AQMSStandards Requirements (AS9104

Clause 8.4)

Failure to Agree Course of Action -Invoke CRB's Appeals Process

(AIR5359 Clause 8.4)

The Audit Team Leader PresentsAudit Report To Organization BasedOn Aerospace Assessment Reportand Questionnaires As A Minimum

(AS9104 Clause 8.4)

Where CRB Denies Or SuspendsCertification/Registration They

Agree Appropriate Course Of ActionWith Organization

(AS9104 Clause 8.4)

CRB Shall Provide OrganizationWith Copies Of All Information On

Audit Results (Checklists, Findings,Supporting Documents, Other

Correspondence) For Sharing withCustomers

(AS9104 Clause 8.4)

CRB Shall Submit Summary ResultsOf Audit To AQMS Standard(s) Into

IAQG-OASIS Database Within 1Month After Certificate Issue Date

Or Surveillance Visit Date(AS9104 Clause 8.4)

Data Entry Done By CRB, SMS InAccordance With Sector Or National

Aerospace Industry AssociationArrangements

(AS9104 Clause 8.4)

Information To Go IAQG-OASISDatabase:# CRB Name, Contact Person,Phone, Fax, E-mail Address# Supplier Name, Address/Locations Involved in Audit, ContactPerson, Phone, Fax, E-mail Address# Certificate(s) Issued, IncludingIssue And Expiry Date# Scope Of Certification# Type Of Audit Performed (Initial,Surveillance, or Re-certification)# Audit Dates And Number OfAuditorDays# Aerospace Experience Auditor(s)Involved# Number Of Major/Minor NCRs (PerClause Of The AQMS Standard)# Scoring Results# Audit Summary# Date And Audit Summary(Surveillance And Re-CertificationAudits)NOTE: Training/Guidance On Data/Entry Provided By SMS UponCRB's Accreditation

(AS9104 Appendix A)

End Of Process

Audit Team Conclusions And Reporting

RecordsRecords

(AS9104 Clause 12)

Supporting Evidence of CRB'sQualification Held &

Maintained At AB(s) Office ForMinimum Period Of 6 Years

(AS9104 Clause 12.1)

SMS Shall Have Access ToRecords Of Approval Of CRB

Pertaining To Relevant AQMSRecognition

(AS9104 Clause 12.1)

CRB Representatives To TheSMS Shall Not Have Access ToRecords Of CRB Competitors

(AS9104 Clause 12.1)

IAQG OT And AuthorizedAgents Shall Have Access ToAll Records And Data Relating

To Aerospace IndustryScheme Including:

- IAF Peer Review Reports- AB Reports Of CRBs- Supplier Certification ReportsIn All Sectors For Confirming

Conformance With AS9104Across All Sectors

(AS9104 Clause 12.2)

See Fees

Fee Requirements(AS9104 Clause 13)

IAQG May Establish Fees ForRegistration of Audit Data In

OASIS(AS9104 Clause 13)

Sector May Establish Feesfor Recognition And Approval

Of CRBs And Auditors(AS9104 Clause 13 a.)

See Responsibilities

Fees

Sector May Establish Feesfor Certification/Registration

Of Suppliers(AS9104 Clause 13 b.)

1.1. Approved/Certified AS training Approved/Certified AS training

2.2. Auditor Approval/CertificationAuditor Approval/Certification

3.3. Accreditation processAccreditation process

Note: While you may proceed with all steps Note: While you may proceed with all steps concurrently, your application may be concurrently, your application may be delayed pending completion of a delayed pending completion of a previous stepprevious step

Steps to AS

Accreditation

RAB/QSA International - ProcessesCRB

AS9110

Separate Paths Options(RABQSA or

IRCA)

AIR 5359B(AS9014)

AIR5493(AIR5493-1 Competence)

(AIR5493-2 Training)

ISO 17011 ISO 17024

ANAB / SCCInmetro

(CRB Acc.)

RABQSA(PCB/TCP)

AuditorProgram

CourseProgramCRB Acc.

Program

IndustryOversight

Step #1AS Training Course Approval/Certification Process

Application for ApprovalOr Certification by

RABQSA is Received

Documentation Review

Achieves Criteria?

Request Additional Information From Training Provider

Approval or Certification?Entered on

RABQSAAS Register

Evaluation of Course & Admin Processes (On-site)

Achieves Criteria?

Approved

Request AdditionalInformation fromTraining Provider

Certification ApprovedEntered on RABQSA

Certified Training Provider Register

Maintain

No

NoYes

Certification

YesApproval

Step #2

AQMS Auditor Approval/Certification ProcessApplication for Approval

Or Certification byRABQSA is Received

Initial Technical Review forApproval or Certification

Achieves Criteria?

Request Additional Information From Applicant

Approval or Certification?

Entered on CRB Letter &

OASIS Database

Certification Approved

Approved

Entered on RABQSA Certified Auditor Register

And Oasis Database

Maintain

No

Certification

ApprovalYes

Team Recommendations• Circulation of Material

• Encourage Adoption of Process Mapping in all Future Aerospace Documents

• Consider Careful Layout/Structure of Future Documents (Duplication/Contradictions etc.)

• Make Maximum Use Of Web Site as Communication Tool

• Alignment with 9104 and 5359 (New Version)

• Alignment with Updated Procedure 102

• Flow 5493