AQMSAUDITORAUTHENTICATIONBODY

AS9120

AQMSAUDITOR

APPLICATIONGUIDE

PROBITASAUTHENTICATION
10272015

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.1of10
27October2015
 Auditor Authentication Body

INTRODUCTION

InDecember1998,theAerospaceIndustryestablishedtheInternationalAerospaceQualityGroup(IAQG)withthe
purposeofachievingsignificantimprovementsinqualityandreductionsincostthroughoutthevaluestream.

TheIAQGdeveloped9104,aglobalschemefortheuseofassessmentresultsperformedbyCertificationBodies
(CBs),basedonthe9100seriesstandards(9100,9110,and9120)andtakingintoaccounttheschemesalreadyinuse
orunderdevelopmentinthevariousIAQGsectors.

The9104/3documentsupplementstheexistinginternationalrequirementsfortheaccreditationofpersonnelCBs,
accreditationofCBsandauditorcertificationprograms.

Confidenceandrelianceintheauditprocessdependsonthecompetenceofthoseconductingtheaudit,making
certificationandregistrationdecisionsandsupportinganauditprogram.Competenceisbasedonthedemonstration
ofpersonalattributes,andtheabilitytoapplyAerospaceQualityManagementSystem(AQMS)knowledgeandskills
gainedthrougheducation,workexperience,auditortrainingandauditexperience(referenceISO19011,section7.1).

TheIAFGuidanceontheApplicationofISO/IECGuide62requirespersonneloperatinginaspecifictechnicalfieldto
havecompetenceforthefunctionstheyperform,betheymanagement,technical,administrative,orother.This
meansthatanorganizationoperatinganaerospaceauditingprogramshouldhaveadequatepersonnelwithrequired
knowledgeofaerospaceprocesses,product,andsystemrequirementstoensuretheirauditprogramisableto
operateeffectivelyandinaccordancewithAerospaceIndustryrequirements.

Thisdocumentprovidesguidanceontheminimumrequirements(BodyofKnowledge)forAQMSauditorswhowill
participateinAQMScertificationandregistrationactivities,includingtheauditorauthenticationprocess.Itis
applicabletoauditorsseekingformalcertificationtoconductAQMSauditsinsupportoftheIAQG.

FortheAmericas,theIAQGhasestablishedtheRegistrationManagementCommittee(RMC)tomanagethe
applicationandoversightoftheAQMScertificationschemeintheAmericas.TheRMCapproves,asappropriate,
AuditorAuthenticationBody(s)(AABs)thatauthenticateAQMSauditors.Theauthenticationofauditorsto
AQMSstandardsisgrantedbytheAABinaccordancewiththerequirementsof9104/1and9104/3.

ProbitasAuthenticationisanRMCrecognizedAuditorAuthenticationBodyandhasbeenapprovedbytheRMCto
authenticateAQMSauditorsinaccordancewiththecertificationschemerequirements.

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.2of10
27October2015
 Auditor Authentication Body

2CERTIFICATIONSCHEMES
2.1
ThefollowingcategoriesofAerospaceAuditorshavebeenestablished:
AQMSStandardAS9100 AQMSStandardAS9110 AQMSStandardAS9120
AA:AS9100 AA:AS9110 AA:AS9120
AEA:AS9100 AEA:AS9110 AEA:AS9120

2.2
TheavailableAQMScertificationschemesare:
9100:QualityManagementSystemsRequirementsforAviation,SpaceandDefenseOrganizations
9110:QualityManagementSystemsRequirementsforAviationMaintenanceOrganizations
9120:QualityManagementSystemsRequirementsforAviation,SpaceandDefenseDistributors

3CERTIFICATIONGRADES

3.1
Aerospaceauditorgradescanbedefinedas:
AerospaceAuditor(AA)recognizestheindividualhasmettherequirementstoparticipateinanAerospace
AudittothequalifiedschemeaspartofanauditteamandundertheguidanceofanAerospaceExperienced
Auditor.
AerospaceExperienceAuditor(AEA)recognizestheindividualhasmettherequirementstoleadan
AerospaceAudittothequalifiedschemeastheleadauditor.

3.2
ForAEA,twodifferentsetsofcriteriacanbeapplied,dependingontheamountofaerospaceindustryworkexperience
theauditorholds.
Directaerospaceindustryworkexperienceof4yearsintheprevious10years
or
Combinationof2yearsaerospaceindustryexperienceintheprevious15years,industryspecifictraining,
and2fullaerospaceindustrywitnessedauditsinthepreviousyears.

4CERTIFICATIONREQUIREMENTS

4.1
TheAS9120AQMSAuditorrequirementsarecontainedinthetablesbelow.Auditorsareauthenticatedindependently
ineachschemeandcanonlyconductauditstotheidentifiedstandard(e.g.,AEAAS9100auditorscannotperform
auditstoAS9110and9120).However,auditorscanberecognizedformorethanonescheme.

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.3of10
27October2015
 Auditor Authentication Body

Table1:9120AARequirements

9120AerospaceAuditor(AA)
AUDITOR QualityManagementSystem(QMS)auditorbynationallyrecognizedAABormeetthe
RECOGNITION education,training,workexperience,andauditexperienceofISO19011

QMS(ISO9001:2008)Auditor
TrainingCourse
AS9100
AATTcoursepriortothe and or
Aerospace
AQMS November1,2014 AQMSAS9100StandardAuditor
Auditor and
TRAINING release,9101E/9101:2014 Course
Transition
RevisionTrainingCourse
Training(AATT)
AS9120AerospaceAuditor
and
TransitionTraining(9120AATT)

INDUSTRY
SPECIFIC NotRequired
TRAINING

4fullQMSorAQMS(AS9100)auditsconductedforatotalof20auditdayswithinthe
AUDIT
past3years.
EXPERIENCE
Only2ndor3rdpartyauditswillbeconsidered.

WITNESSED
AUDIT NotRequired
EVALUATION

AQMSWORK
NotRequired
EXPERIENCE

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.4of10
27October2015
 Auditor Authentication Body

Table2:9120AEARequirementsQualificationthroughTraining

9120AerospaceExperienceAuditor

QualificationThroughTraining(AEA)
AUDITOR QualityManagementSystem(QMS)auditorbynationallyrecognizedAABormeetthe
RECOGNITION education,training,workexperience,andauditexperienceofISO19011

QMS(ISO9001:2008)Auditor
TrainingCourse
AATTcoursepriortothe and or
AS9100Aerospace
AQMS November1,2014 AQMSAS9100Standard
AuditorTransition and
TRAINING release,9101E/9101:2014 AuditorCourse
Training(AATT)
RevisionTrainingCourse
AS9120AerospaceAuditor
and
TransitionTraining(9120AATT)

INDUSTRY
SPECIFIC SuccessfulcompletionofanapprovedAerospaceIndustrySpecificCourse:9100/9110
TRAINING

4fullQMSorAQMS(AS9100AS9110)auditsconductedforatotalof20auditdayswithinthe
AUDIT
past3years.
EXPERIENCE Only2ndor3rdpartyauditswillbeconsidered.

WITNESSED
AUDIT Successfulcompletionof2fullAS9100orAS9110auditswitnessed*byanAEA.
EVALUATION

AQMSWORK
2yearsoffulltimeAQMSindustryworkexperiencewithinthepast15years.
EXPERIENCE

* If during a witness audit, the candidate shows insufficient knowledge of aerospace requirements, as
definedbyAppendixA,sectionA.3.1(AS9100)orsectionA.4.1(AS9110)industryspecifictrainingcourse,
additional training and/or practical experience will be required. Witness shall be performed by
authenticatedAEAwhothemselveshavenotbecomequalifiedviaanindustryspecifictraining.Thewitness
AEAshallnotperformtheauditasamemberoftheassessmentteam.

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.5of10
27October2015
 Auditor Authentication Body

Table3:9120AEARequirementsQualificationthroughAerospaceIndustryWorkExperience

9120AerospaceExperienceAuditor(AEA)

(QualificationThroughIndustryWorkExperience)
AUDITOR QualityManagementSystem(QMS)auditorbynationallyrecognizedAABormeetthe
RECOGNITION education,training,workexperience,andauditexperienceofISO19011

QMS(ISO9001:2008)Auditor
TrainingCourse
AATTcoursepriortothe and or
AS9100Aerospace AQMSAS9100Standard
AQMS November1,2014
AuditorTransition and
TRAINING release,9101E/9101:2014 AuditorCourse
Training(AATT)
RevisionTrainingCourse
AS9120AerospaceAuditor
and
TransitionTraining(9120AATT)

INDUSTRY
SPECIFIC NotRequired
TRAINING

4fullQMSorAQMS(AS9100/AS9110)auditsconductedforatotalof20auditdayswithinthe
AUDIT
past3years.
EXPERIENCE Only2ndor3rdpartyauditswillbeconsidered.

WITNESSED
AUDIT NotRequired
EVALUATION

AQMSWORK
4yearsoffulltimeAQMSindustryworkexperiencewithinthepast10years.
EXPERIENCE

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.6of10
27October2015
 Auditor Authentication Body

5GENERALGUIDANCEONTRAININGREQUIREMENTS
All AQMS auditor applicants must provide evidence that they have successfully completed AQMS training courses that
support aerospace auditor authentication. These courses must be approved and recognized by the IAQG. Auditor
applicants must upload course certificates to provide evidence of the following:
TheAuditormustbetrainedintheAQMSStandardrequirementsrelevanttotheAQMSbeingperformed
ThecoursehasbeenofficiallyapprovedbyaIAQGrecognizedTrainingProviderApprovalBody(TPAB)
ThecoursewasofferedbyaIAQGrecognizedTrainingProvider
Theauditorhassuccessfullycompletedthecourse
Certificatenumberandtrainingdates

6GENERALGUIDANCEONAUDITINGEXPERIENCE
All AQMS auditor applicants must provide evidence that theyhaveparticipatedinatleastfourauditsforaminimumof
20 days that covered the full ISO 9001 standard or applicable AQMS Standards. These audits must have been
completedwithinthepreviousthreeyears.

7GENERALGUIDANCEFOREVALUATINGWORKEXPERIENCEFORAEA

7.1
ToassistyouinevaluatingyourcredentialsandexperienceasitrelatestoanapplicationforAerospaceExperience
Auditor(AEA),thefollowingguidelinesmaybeapplied.

7.2 (AEA)AerospaceExperienceAuditorsfor9120(Distributors/Stocklists)
Auditorsthataretobeconsidered,asAerospaceExperienceAuditors(AEA)for9120musthavefouryearsaerospace
industryexperience,withintheprior10calendaryears,meetthetrainingandauditingexperiencerequirementslisted
above(Sections5and6),andthefollowing:

7.2.1
Traininginthe9120requirements.Thismaybeselftaught,butwithaformaltesttodemonstrateknowledgeof
thespecification.

7.2.2
WorkExperienceconsistingofFouryearsfulltimeintheaerospaceindustrydirectlyinvolvedinEngineering,
Design,Manufacturing,QualityorProcessControlforamajorairframemanufacturer,primesupplier,auxiliary
equipmentsupplierand/orappropriateofficialcivil,militaryorspaceorganization,suchasNAA,ESA/NASA,MoD.
Theworkexperienceshouldhaveincludeddirectinvolvementorknowledgeoftheelementsasdefinedin7.2.3
below.

OR

7.2.3
Iflessthanfouryearsaerospaceindustryexperienceinthelast10(ormorethansixconsecutiveyearssincelast
industryworkexperiencefromdatetheofapplication),thecompletionanofanindepthAerospaceIndustry
CompetencyCoursedevelopedbytheCRBoranindependentorganizationandtwoyearsfulltimeaerospace

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.7of10
27October2015
 Auditor Authentication Body

industryexperienceinthelast15isrequired.Boththecourseandthetrainingorganizationmustbeapprovedby
theIAQGRMC.Thecoursemustincludethefollowingtopicsataminimum:
Aerospaceindustryqualityperspective.
CAArequirements.
Principlesofmilitaryaerospacerequirementsandregulations.
Airworthinessandsafetyrequirements.
Aerospacematerialtraceabilityrequirements.
FlowdownofQualityrequirements.
FODpreventionprogramrequirements.
UseofCustomersuppliedproducts.
Calibrationcontrolsandpositiverecallsystem.
Acceptanceauthoritymedia.
Nonconformingmaterial,systemrequirementsandoperation.
Samplinginspectionrequirementsandlimitations.
Configurationmanagement/requirementscontrol.

AND

7.2.4
Inadditionto7.2.3,theauditormusthaveparticipatedinatleasttwofull9100or9110aerospaceindustryaudits
withinthepastthreeyearsandhavebeenwitnessedbyacurrentlyqualifiedAerospaceExperiencedAuditor,
whothemselvesdidnotbecomequalifiedviatraining.Theauditsmustcoverallelementsofthestandardand
musthavebeenconductedatorganizationsthatarepredominatelyaerospaceoriented.Theauditorcandidate
mustreceiveapositiveanddocumentedrecommendationforqualificationonallaudits.

NOTE: Exceptions to these requirements may be considered providing auditor applicant can demonstrate
adequateandrelevantAerospaceknowledgeandexperienceasper7.2.3and7.2.4.

8RECERTIFICATION

8.1
AQMS auditors must renew their authentication every three years. The reauthentication (recertification) process
includes:
Sixmonthspriortoexpirationtheauditorshouldbeginsubmittingtheevidencethattherequirementsforre
authentication are met including an Audit Log, Continuing Professional Development Development (CPD)
(usingtheoptionalCPDLog),andanyotherobjectiveevidencetosupportreauthentication.
AQMS auditors must formally apply for reauthentication at least three months prior to the current
authenticationexpirationdateandprovidedocumentedevidenceoftherequiredCPDandauditexperienceto
ProbitasAuthentication.

8.2
Tomaintainqualification,allauditors(AA)andaerospaceexperienceauditors(AEA)mustparticipateinatleast:
Fouraerospaceauditswithinthepreviousthreeyears
Continuingeducationinaccordancewithsectorialtrainingrequirements(15hours)thatrequiresreviewof
thechangestotheaerospaceindustrystandards,auditingmethodsandISOrequirementsataminimumof15
hourstotalwithinthreeyears.

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.8of10
27October2015
 Auditor Authentication Body

9AQMSAUDITORAPPLICATIONPROCESS

9.1
Tobegintheapplicationprocess,AQMSauditorapplicantsatProbitasAuthenticationarerequiredtocreatetheir
personalaccountatsaeitc.org/probitas.Completingandsubmittingalltherequestedinformationwillassistinthe
authenticationprocess.

9.2
Whentheauditorapplicantisreadytobegintheapplication,pleaseselectBeginApplicationandfollowthe
instructions.ProbitasAuthenticationrequiresthecompletionofanapplication,signedbytheapplicantseeking
certification,andincludesataminimumthefollowing:
Informationrequiredtoidentifytheapplicant,suchasname,addressandotherinformationrequiredbythe
certificationscheme
Thescopeofthedesiredcertification
Astatementthattheapplicantagreestocomplywiththecertificationrequirementsandtosupplyany
informationneededfortheassessment
Anysupportinginformationtodemonstrateobjectivecompliancewiththeschemerequirements
Noticetotheapplicantofhis/heropportunitytodeclare,withinreason,arequestforaccommodationof
specialneeds.
Unlessprohibitedbylaw,electronicsignaturesareacceptable.

9.3
Thefollowinginformationisrequiredintheauditorapplication:
Personalinformationincludingname,address,phone,andemail
Generaleducation
Workexperienceincludingcompany,companycontactforverification,typeofcompany
Jobexperienceincludingtitle,position,andinformationregardingspecificworkskills
Resumeandothersupportinginformation
Professionaltrainingrelatedtospecificauditorrequirements
Auditexperienceincludingauditlogs

9.4
WhenProbitasAuthenticationconductstheauditorauthenticationreview,theinformationcollectedinthe
applicationiscomparedagainstthecriteriaestablishedinthecertificationschemeforwhichtheauditorhascreated
theapplication.The decision to grant authentication, or reauthenticate an AA or AEA applicant,willbebased
primarilyontheinformationandobjectiveevidencetheauditorhasprovidedintheapplication.

9.5
ThegeneralauditorauthenticationprocessthatProbitasAuthenticationwillfollowis:
ProbitasAuthenticationreviewstheapplicationtoconfirmthattheapplicantcomplieswiththeapplication
requirementsofthecertificationscheme.
Ifapproved,ProbitasAuthenticationwillsubmittheauditorapplicationtotheIAQGRMSforrecognition.
Onceapproved,ProbitasAuthenticationwillaskapplicanttoreadandsigntheCodeofConduct.
AnOASISauditornumberwillbeassignedtotheauditoralongwitheffectiveandexpirationdates.

9.6
If the auditor application is rejected due to not meeting the certification scheme requirements, Probitas
RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.9of10
27October2015
 Auditor Authentication Body

Authenticationwill:
Notifyapplicantthattheydonotmeettherequirementsofthecertificationschemeandprovidetherationale
thedecisionwasbasedon
Notifyapplicantthatanothercertificationmaybeavailable,ifapplicable(i.e.AAinsteadofAEA)
Provideinformationregardingtheauditorsoptionofresubmittingtheapplicationforreview
ProvideinformationabouttheappealsprocessProbitasAuthentication

9.7
Anexampleofthefullauditorapplicationcanbefoundintheauditorresourcestabatsaeitc.org/probitas.

9.8
ProbitasAuthenticationhasestablishedthefollowingfeestructure.Pleasesubmitpaymentwithapplication,or
contactPROBITASAUTHENTICATIONtoinquireaboutotherpaymentoptions:

TYPEofACTIVITY FEE WHEN

New AQMS Auditor Certification $495 At submission of application
Annual Maintenance of Certification $245 End of years 1 and 2
Re-Authentication (re-certification) $245 End of year 3
Existing Oasis Members, through other $245 Fee for re-authentication with Probitas
AAB Authentication
Auditor Grade Expansion $470 At the time of application for upgrade

10CLOSING

10.1
Theoverallpurposeofcertificationofpersonsistorecognizeanindividual'scompetencetoperformataskorjob.

10.2
The certification body has a responsibility to ensure that only those persons who demonstrate competence are
awardedcertification.

10.3
Certification of persons provides value through public confidence and trust. Public confidence relies on a valid
assessmentofcompetence,byathirdparty,andreconfirmedatdefinedintervals.

10.4
ProbitasAuthenticationstrivestoprovidesuperiorservicetoallofourcustomers,includingthosecustomerswith
disabilitiesandspecialneeds.ProbitasAuthenticationrecognizestheneedsofpersonswithdisabilities,asdefined
bytheAmericanswithDisabilitiesAct(ADA).Intheeventyouwouldliketomakearequestforaccommodationof
specialneeds,pleasecontactus.

10.5
YoumaycontactProbitasAuthenticationat:
[email protected].
Call us at 724-776-4970
Ourmailingaddressis:
o ProbitasAuthentication
161ThornHillRoad
RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.10of10
27October2015
 Auditor Authentication Body

Warrendale,PA15096

RA005AS9120UGAS9120AQMSAUDITORAPPLICATIONGUIDEpg.11of10
27October2015