CERTIFICATION REQUIREMENTS AS9100 AEROSPACE AUDITOR CERTIFICATION PROGRAM

Transcription

1 CERTIFICATION REQUIREMENTS AS9100 AEROSPACE AUDITOR CERTIFICATION PROGRAM Exemplar Global Qualification-Based Training Provider Certification Program

2 Exemplar Global is accredited by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ) and INMETRO as meeting the requirements of the International Standard for Personnel Certification Bodies, ISO/IEC 17024:2003 General requirements for bodies operating the certification of persons. This program is not covered under the Exemplar Global scope of accreditation with JAS-ANZ and INMETRO. Disclaimer While every effort is made to ensure that the process for evaluating applications for certification is effective, Exemplar Global does not accept liability for the performance, conduct or services provided by the certified person or organisation. Copyright Exemplar Global This Certification Program and associated Intellectual Property is subject to Exemplar Global Copyright. Apart from any fair dealing for the purposes of application, review or reference, as permitted under the Australian and United States of America Copyright Acts, no part of this Program may be reproduced by any process without the written permission of the Chief Executive Officer of Exemplar Global. Page 2

3 Table of Contents SECTION PAGE Introduction 4 Grades of Certification 5 Aerospace Auditor (AA) Requirements 6 Aerospace Experienced Auditor (AEA) Requirements Aerospace Industry Experienced Auditor (AIEA) Requirements Online Application and Application Review Process Pay First Annual Installment Fee 13 Confirmation of Certification 14 Recertification 16 Expansion of Certification Grade 17 ANNEXES Annex A: Certification Requirements for Exemplar Global Certified AS9110 Auditors 18 Annex B: QMS Auditor Recognition Alternative Requirements 19 Annex C: Auditors Authenticated by Other IAQG Sectors 20 Annex D: General Definitions and Abbreviations 22 Annex E: Personal Attributes 23 Annex F: Conditions for Audit Experience 24 Annex G: Continuing Professional Development 25 Annex H: Terms and Conditions 26 Annex I: Fee Schedule 30 Annex J: Summary of Certification Requirements 31 Page 3

4 Introduction The AS9100 Aerospace Auditor Certification Program has been developed by Exemplar Global in liaison with industry representatives. The Program provides international recognition for auditors of Aerospace Quality Management Systems (AQMS) who conduct audits using International or National Standards, recognized by Exemplar Global. Confidence and reliance in the audit process depends on the competence of personnel conducting the audit. The Program has been developed to meet the following key objectives: To meet the requirements of SAE AS9104/3, issued ; To ensure that auditors meet or exceed the audit competencies defined by Exemplar Global, using ISO19011:2002; To assist organizations in selecting competent auditors; and To enhance the professional recognition of Exemplar Global certified auditors. Page 4

5 Grades of Certification There are three grades of AS9100 Aerospace Auditor certification. Please select your Grade: Aerospace Auditor (AA) grade recognizes that an applicant has demonstrated the competencies to conduct a AS9100 Aerospace audit and perform as a member of an audit team. Continue to page 6 for details of the requirements for AA certification. Aerospace Experienced Auditor (AEA) grade recognizes that an applicant has demonstrated Aerospace Auditor competence and has provided evidence of some aerospace industry work experience. Continue to page 7 for details of the requirements for AEA certification. Aerospace Industry Experienced Auditor (AIEA) grade recognizes that an applicant has demonstrated Aerospace Auditor competence and has provided evidence of full aerospace industry work experience. Continue to page 9 for the details of the requirements for AIEA certification. Page 5

6 Aerospace Auditor (AA) Requirements The information contained on this page provide Applicants with the requirements that must be demonstrated and documented, in order to obtain AS9100 certification at the Aerospace Auditor (AA) grade. All AA applications will be evaluated against the following requirements: KNOWLEDGE Applicants must submit evidence (Certificate of Completion) of successful completion of the following training: Option 1: Option 2: Approved AS9100 Aerospace Auditor Transition Training Course (previously AS9100 C Foundations Course); and QMS (ISO 9001:2008) auditor training course, completed within the last three consecutive years from the date of application; or Approved AS9100 Aerospace Auditor Transition Training Course (previously AS9100 C Foundations Course); and Approved AS9100 C AQMS Standard Auditor Course, completed within the last three consecutive years from the date of application. The Exemplar Global register of Certified Training Providers is available at QMS AUDITOR RECOGNITION Applicants must submit evidence (i.e. certificate or ID card) of certification as an ISO 9001:2008 auditor, by a nationally-recognized Auditor Authentication Body (AAB). Alternatively, evidence of meeting the education, work experience, auditor training, and audit experience requirements of ISO 19011:2002, Section 7.4 is acceptable for meeting the Auditor Recognition Alternative Requirements. Refer to Annex B, page 19, for details. AUDIT EXPERIENCE Applicants must provide evidence of 20 onsite audit days, conducted within the last three consecutive years from the date of application. The 20 audit days must include at least four complete audits and have been conducted to the ISO 9001:2008 or AS9100 Standards. All audits must be logged on the Exemplar Global Audit Log available from the Program Examiner. Note: Exemplar Global AS9110 certified auditors seeking equivalent AS9100 Certification, refer to Annex A, page 18, for requirements. NOW GO TO ONLINE APPLICATION - (Page 11) Page 6

7 Aerospace Experienced Auditor (AEA) Requirements The information contained on this page provides applicants with the requirements that must be demonstrated and documented, in order to obtain AS9100 certification at the Aerospace Experienced Auditor (AEA) grade. All AEA applications will be evaluated against the following requirements. KNOWLEDGE Applicants must submit evidence (Certificate of Completion) of successful completion of the following training: Option 1: Option 2: Approved AS9100 Aerospace Auditor Transition Training Course (previously AS9100 C Foundations Course); and Approved AS9100 Aerospace Industry Specific course; and QMS (ISO 9001:2008) auditor training course, completed within the last three consecutive years from the date of application; or Approved AS9100 Aerospace Auditor Transition Training Course (previously AS9100 C Foundations Course); and Approved AS9100 C AQMS Standard Auditor Course, completed within the last three consecutive years from the date of application; and Approved AS9100 Aerospace Industry Specific course. The Exemplar Global register of Certified Training Providers is available at QMS AUDITOR RECOGNITION Applicants must submit evidence (i.e. certificate or ID card) of certification as an ISO 9001:2008 auditor, by a nationally-recognized Auditor Authentication Body (AAB). Alternatively, evidence of meeting the education, work experience, auditor training, and audit experience requirements of ISO 19011:2002, Section 7.4 is acceptable for meeting the Auditor Recognition Alternative Requirements. Refer to Annex B, page 19, for details. AUDIT EXPERIENCE Applicants must provide evidence (Audit Log) of 20 onsite audit days, conducted within the last three years prior to application. The 20 audit days must include at least four complete audits and must have been conducted to the ISO 9001:2008 or AS9100 Standards. Please note, that once the four complete audits have been met, partial audits can be used to make up the remaining 20 audit days. CONTINUED OVER PAGE Page 7

8 Aerospace Experienced Auditor (AEA) Requirements (continued) For more information on the acceptable auditing experience, refer to Annex F, page 24, Conditions for Audit Experience. WITNESSED AUDIT EXPERIENCE Evidence of two complete AS9100 or AS9110 audits, witnessed by an approved Aerospace Experienced or Aerospace Industry Experienced Auditor. Witnessed audits must be logged on the Exemplar Global Review of Auditor Performance Report form available from the Program Examiner. WORK EXPERIENCE Applicants must provide evidence of at least two years full-time aerospace work experience within the past 15 years. Work Experience must: Be in the aerospace industry directly involved in engineering, design, manufacturing, quality, or process control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier and/or appropriate official civil, military, or space organization, such as, National Aviation Authorities [NAA], domestic Space Agency (e.g., European Space Agency [ESA], National Aeronautics and Space Administration [NASA], Canadian Space Agency [CSA]), Department/Ministry of Defense [DoD/MoD]; and Have included direct involvement and/or knowledge of aerospace industry specific aspects (e.g., aerospace industry quality, regulatory and/or military aerospace requirements, first article inspection, airworthiness and safety requirements, aerospace material traceability requirements, aerospace sub-contractor approval and control, variation management of key characteristics, flow-down of AQMS requirements, Foreign Object Damage/Debris [FOD] prevention program, use of customer supplied products, calibration controls and positive recall system, acceptance authority media, nonconforming material management, sampling inspection/statistical process control requirements and limitations, special processes, configuration management/requirements control, manufacturing techniques, tool control, design development verification and validation). Work experience shall be documented on the Work Experience Documentation form available from the Program Examiner. Note: Exemplar Global AS9100 certified auditors seeking equivalent AS9110 Certification, refer to Annex A, page 18, for requirements. NOW GO TO ONLINE APPLICATION - (Page 11) Page 8

9 Aerospace Industry Experienced Auditor (AIEA) Certification Requirements The information contained on this page provides applicants with the requirements that must be demonstrated and documented, in order to obtain AS9100 certification at the Aerospace Industry Experienced Auditor (AIEA) grade. All AIEA applications will be evaluated against the following requirements. KNOWLEDGE Applicants must submit evidence (Certificate of Completion) of successful completion of the following training: Option 1: Option 2: Approved AS9100 Aerospace Auditor Transition Training (previously AS9100 C Foundations Course); and QMS (ISO 9001:2008) auditor training course, completed within the last three consecutive years from the date of application; or Approved AS9100 Aerospace Auditor Transition Training (previously AS9100 C Foundations Course); and Approved AS9100 C AQMS Standard Auditor Course, completed within the last three consecutive years from the date of application. The Exemplar Global register of Certified Training Providers is available at QMS AUDITOR RECOGNITION Applicants must submit evidence (i.e. certificate or ID card) of certification as an ISO 9001:2008 auditor, by a nationally-recognized Auditor Authentication Body (AAB). Alternatively, evidence of meeting the education, work experience, auditor training, and audit experience requirements of ISO 19011:2002, Section 7.4 is acceptable for meeting the Auditor Recognition Alternative Requirements. Refer to Annex B, page 19, for details. CONTINUED OVER PAGE Page 9

10 Aerospace Industry Experienced Auditor (AIEA) Certification Requirements (continued) AUDIT EXPERIENCE Applicants must provide evidence of 20 onsite audit days, conducted within the last three years prior to application. The 20 audit days must include at least four complete audits and must have been conducted to the ISO 9001:2008 or AS9100 Standards. Please note, that once the four complete audits have been met, partial audits can be used to make up the remaining 20 audit days. Audit experience must be logged on the Exemplar Global Audit Log, available at For more information on the acceptable auditing experience, refer to Annex F, page 24, Conditions of Audit Experience. WORK EXPERIENCE Applicants must provide evidence of at least four years full-time aerospace work experience within the past 10 years. To meet this requirement, the experience must: Be in the aerospace industry directly involved in engineering, design, manufacturing, quality, or process control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier and/or appropriate official civil, military, or space organization, such as, National Aviation Authorities [NAA], domestic Space Agency (e.g., European Space Agency [ESA], National Aeronautics and Space Administration [NASA], Canadian Space Agency [CSA], Department/Ministry of Defense [DoD/MoD]. Include direct involvement and/or knowledge of aerospace industry specific aspects (e.g., aerospace industry quality, regulatory and/or military aerospace requirements, first article inspection, airworthiness and safety requirements, aerospace material traceability requirements, aerospace sub-contractor approval and control, variation management of key characteristics, flow-down of AQMS requirements, Foreign Object Damage/Debris [FOD] prevention program, use of customer supplied products, calibration controls and positive recall system, acceptance authority media, nonconforming material management, sampling inspection/statistical process control requirements and limitations, special processes, configuration management/ requirements control, manufacturing techniques, tool control, design development verification and validation). Note: Exemplar Global AS9100 certified auditors seeking equivalent AS9110 Certification, refer to Annex A, page 18, for requirements. Work experience shall be documented on the Work Experience Documentation form available at NOW GO TO ONLINE APPLICATION - (Page 11) Page 10

11 Online Application and Application Review Process Online Application Process: To apply for certification, you will need to complete the Online Application Form at This process includes: confirmation to observe the Exemplar Global Code of conduct, payment of Application Fees; and uploading evidence of the certification requirements for the grade of certification sought, as detailed in the previous pages of these certification requirements. NOTE: 1. If review determines that application is missing the required evidence, the Examiner will notify the applicant, and provide 10 calendar days for the applicant to submit the information. All information not submitted within the 10 day timeframe, will cause significant delays in the application process, and will result in the file being closed. 2. In the event that the file is closed, the applicant will have 10 days to request that the review process is reopened, without penalty. All requests received after the 10 day window, will result in the applicant being required to reapply for certification. Review Process: Once you have submitted the online application, your application will be assigned to an Exemplar Global Personnel Certification Examiner, who will complete the application review process, as follows (estimated times subject to change): 1. Initial Review - Applications are processed in the order they are received. The Examiner assigned to review your file will evaluate the documentary evidence uploaded during the application process against the certification requirements for the grade of certification sought. The initial review process, which begins after the required documentation is uploaded, typically takes 10 days to complete. 2. Technical Review - Upon verification of a complete file, the Examiner will work with Aerospace Subject Matter Experts to verify the technical merits of the supporting evidence provided in support of your application. During this process, Exemplar Global will verify auditing experience, work experience and/or training records. To assist our Examiners and SMEs with completing the review process in a timely manner, please ensure that you have provided the accurate and complete information. The inability for Exemplar Global to verify any of the information you have provided in support of your application, may cause significant delays in the application process. The Technical Review process typically takes 14 days to complete. CONTINUED OVER PAGE Page 11

12 Online Application and Application Review Process (continued) 3. AAQG s AAQG-RMC Endorsement - Upon successfully verifying the technical merits of your application, Exemplar Global will make recommendation for approval to the AAQG-RMC for endorsement. The AAQG-RMC endorsement process typically takes 20 days to complete. 4. Final Review - Following approval from the RCMAR, your application will be reviewed by the Examiner and their supervisor, this process typically takes 5 days to complete. Once an application has been approved by both AAQG-RMC and an Exemplar Global supervisor, an will be sent to the applicant requesting to make payment. After payment has been made, within 5 business days the OASIS Database will be updated and an ID card will be shipped. NOTE: 1. If the AAQG-RMC endorses the application, the applicant will be sent an invoice for the First Annual Installment. Upon payment of the First Annual Installment, see Pay First Annual Installment Fee, page 13 for details, Certification will be confirmed, see Confirmation of Certification, page 14 for details. 2. If the AAQG-RMC does not endorse the application, the applicant will be allowed an opportunity to submit the requested information for deliberation. If the application is denied following the second submission, the applicant may submit an Appeal. NOW GO TO PAY FIRST ANNUAL INSTALLMENT FEE - (Page 13) Page 12

13 Pay First Annual Installment Fee When all certification requirements have been demonstrated, verified, and approved, Exemplar Global will notify the applicant that the application has been approved. An invoice for the First Annual Installment Fee will be provided with this notification. Details on acceptable methods of payment are provided on the invoice. Payment of this invoice must be received by Exemplar Global before certification is confirmed. Note: Payments may be made in US$, AU$ or. All fees are non-refundable and subject to change. Please refer to the fees listed for each region on the website for details. NOW GO TO CONFIRMATION OF CERTIFICATION - (Page 14) Page 13

14 Confirmation of Certification When payment for the First Annual Certification Fee has been received by Exemplar Global, a certificate and ID card is issued to the Auditor and the Auditor s certification details will be added to the OASIS database. Certificate & ID Card The certificate includes the following information: Certified auditor s name; Exemplar Global customer number; Type and grade of certification; Date certification awarded; and Date certification expires. The ID card includes the following information: Certified auditor s name; Exemplar Global customer number; Type and grade of certification; and Date certification expires. Certificates and ID cards remain the property of Exemplar Global and must be returned if certification is suspended or withdrawn. Auditors are required to immediately notify Exemplar Global if a certificate or ID card is lost or stolen. Updated certificates and ID cards will be issued at each recertification. CONTINUED OVER PAGE Page 14

15 Confirmation of Certification (continued) Online Aerospace Supplier Information Systems (OASIS) Database As part of the Confirmation of Certification Process, Exemplar Global will enter the following details in the OASIS database (within 5 business days of AAQG-RMC approval). The OASIS database includes the following information: Certified auditor s name; Certified auditor s contact details; Family of Standards (i.e. 9100, 9110, etc.); Certification status; Certification issue date (date certification was issued by Exemplar Global); Certification expiration date (Exemplar Global recertification date); Auditor type (grade); and Auditor type start date. Once entered into the OASIS Database, auditors will receive confirmation of their username and password for accessing the OASIS Database, directly from the SAE site. The OASIS Certified Auditor s issue date and expiration date are updated at each expansion and/or recertification. NOW GO TO RECERTIFICATION - (Page 16) Page 15

16 Recertification To maintain certification, all certified auditors are required to demonstrate continuing compliance with the current certification requirements for the grade of certification awarded. Exemplar Global will provide reminders with the invoice for Recertification Fee when the date for recertification is due and the information required. Every three years from the date of initial certification and each subsequent recertification, auditors must demonstrate continuing compliance with the current certification requirements by providing: Evidence of participation in at least four AQMS audits in three years, in accordance with the Conditions for Audit Experience in Annex F page 24. Audit logs can be downloaded from Exemplar Global at document-library. Participate in a minimum of 15 hours continuing education activities, in accordance with sectorial training requirements, that require a review of changes to the AQMS standards, auditing methods, aviation authority requirements and ISO requirements. CPD guidance is available in Annex G, page 25. CPD Logs can be downloaded from Exemplar Global at Confirmation that the Exemplar Global Code of Conduct has been adhered to and any complaints against performance have been resolved. Code of Conduct Forms can be downloaded from Exemplar Global at document-library. Recertification Fees These fees are payable every 3rd anniversary of initial certification and each subsequent recertification. The Recertification Fee includes the Annual Certification Fee. The applicable fee will be invoiced by Exemplar Global. Recertification Review Process Recertifications are processed in the order they are received. Recertification approval of AQMS auditors is delegated by the AAQG-RMC committee to the authenticating AAB, this process typically takes 14 days to complete from the day all required documentation is submitted. Recertification approval of AB Assessors that are re-authenticating their auditor status shall include the approval of the AAQG-RMC committee and follow the same AAQG- RMC committee approval steps as initial authentication. The recertification process for AB Assessors follows the same steps and estimated timeline as the Online Application and Application (Page 11) Review Process without the need for the Technical Review. NOW GO TO EXPANSION OF CERTIFICATION GRADE - (Page 17) Page 16

17 Expansion of Certification Grade Exemplar Global certified AS9100 auditors can apply to expand their certification grade to a higher level at any time, by following these steps: 1. Review and gather evidence of the certification requirements, relevant to the certification grade you wish to expand to; 2. Log into the Online Portal, by clicking the Online Portal button from the Exemplar Global website homepage at If you are unsure of your login details, please contact an Exemplar Global representative for assistance; 3. Click the Approved and Pending Payment Programs link; 4. Scroll down the page to find the line that contains your current AS9100 Certification; 5. Click on the Expansion icon; and 6. Follow the steps to complete the online application process. During the application process, you will be required to submit the Application Fees for Expansion of Grade and upload evidence of the grade-specific requirements. For details on the grade-specific requirements refer to the following page: Aerospace Experienced Auditor (AEA) - page 7 Aerospace Industry Experienced Auditor (AIEA) - page 9 Note: Payments may be made in US$, AU$ or. All fees are non-refundable and are subject to change. Please refer to the fees listed for each region on the website for details. NOW GO TO CONFIRMATION OF CERTIFICATION - (Page 15) Page 17

18 Annex A Certification Requirements for Exemplar Global Certified AS9110 Auditors All auditors holding a valid Exemplar Global AS9110 Certification must submit the requirements listed in this Annex. Please note that these requirements refer to AQMS auditors applying for the same grade of certification. ALL GRADES: Knowledge - Applicants must submit a Certificate of Attainment as evidence of successful completion of approved AS9100 C Foundations Course (now AS9100 Aerospace Auditor Transition Training course). AQMS Auditor Recognition - Copy of valid Exemplar Global AQMS ID card or certificate. In addition to the knowledge and AQMS Auditor Recognition requirements detailed above, AEA and AIEA applicants must provide the following: AEA Grade - Witnessed Audit Experience - Evidence of two complete AS9110 audits, witnessed by an Exemplar Global approved Aerospace Industry Experienced Auditor or Aerospace Experienced Auditor certified by an approved AAB. Witnessing Auditor must be authenticated in the OASIS Database. AIEA Grade - Work Experience - 2 years full time experience performing repair/ maintenance in the last four years. Be in the aerospace industry directly involved in engineering, design, manufacturing, quality, or process control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier and/or appropriate official civil, military, or space organization, such as, National Aviation Authorities [NAA], domestic Space Agency (e.g., European Space Agency [ESA], National Aeronautics and Space Administration [NASA], Canadian Space Agency [CSA], Department/Ministry of Defense [DoD/MoD]; and Have included direct involvement and/or knowledge of aerospace industry specific aspects (e.g., aerospace industry quality, regulatory and/or military aerospace requirements, first article inspection, airworthiness and safety requirements, aerospace material traceability requirements, aerospace subcontractor approval and control, variation management of key characteristics, flow-down of AQMS requirements, Foreign Object Damage/Debris [FOD] prevention program, use of customer supplied products, calibration controls and positive recall system, acceptance authority media, nonconforming material management, sampling inspection/statistical process control requirements and limitations, special processes, configuration management/requirements control, manufacturing techniques, tool control, design development verification and validation). Work experience shall be documented on the Work Experience Documentation form available at Witnessed audits must be logged on the Exemplar Global Review of Auditor Performance Report form available at END OF ANNEX A Page 18

19 Annex B QMS Auditor Recognition Alternative ISO 19011:2002, Section 7.4 As an alternative to meeting the Auditor Recognition requirements, applicants may provide evidence of meeting the education, work experience, auditor training and audit experience requirements of ISO 19011:2002, Section 7.4, to satisfy Auditor Recognition requirements. Applicants should refer to the Standard for information on each of the requirements. The information below is provided as guidance on what evidence Exemplar Global will accept as meeting each of the requirements. All applicants are required to provide evidence of the following education, work experience, audit training, and auditing experience: Education - Secondary education or higher; (a copy of Diploma, Degree, official or unofficial transcripts is required). Work Experience - Five years, with at least two of the five being in the QMS field (a Resume or CV is required). Audit Training - 40 hours minimum of audit training (Certificate of Attainment from training provider is required). Auditing Experience - AA Grade - 20 onsite audit days, conducted to the 9100, 9110 or ISO 9001:2008 Standards. The 20 audit days must include at least four complete audits. The applicant must have performed in the role as auditor-in-training, under the direction and guidance of an auditor competent as an audit team leader. All audits must have been completed within the last three consecutive years from the date of application. After the four complete audits have been demonstrated, any combination of partial or complete audits may be used to make up the remaining 20 days. Auditing Experience - AEA/AIEA Grade - 35 onsite audit days conducted to the 9100, 9110, or ISO 9001:2008 Standard. The 35 days must include seven complete audits, for a total of at least 35 audit days. Four of the seven complete audits and at least 20 of the 35 audit days, the applicant must have been in the role of an auditor-intraining, under the direction and guidance of an auditor competent as an audit team leader, completed within the last three consecutive years from the date of application. The remaining 3 complete audits and 15 audit days, they must have been conducted in the role of an audit team lead auditor under the direction and guidance of an auditor competent as an audit team leader, completed within the last two consecutive years from the date of application. Once the seven complete audits have been demonstrated, any combination of partial or complete audits may be used to make up the remaining 35 days. Notes: 1. Evidence of the observing Lead Auditor s competence must be submitted with the application. Evidence may include QMS certification with an approved AAB (for QMS audits) and/or AEA/AIEA authentication in the OASIS Database (Aerospace audits). 2. All audits must be logged on the Exemplar Global Audit log available at exemplarglobal.org/myexemplar/document-library. 3. Contact and/or certification details for the Observing Lead Auditor will be documented in Column 10 of the Aerospace Audit Log. END OF ANNEX B Page 19

20 Annex C Auditors Authenticated by Other IAQG Sectors Applicants who are certified with an IAQG Sector approved AAB, may apply for certification though the Exemplar Global online application process. The documentation required to support the application is listed below: Current AQMS Auditor Recognition - Evidence of current AQMS Auditor recognition, relevant to the grade of certification being sought. A copy of the certification ID card or certificate may be submitted as evidence. Additionally, a screen print from the OASIS database may be submitted; Past QMS Recognition Evidence of QMS certification by a nationally-recognized Auditor Authentication Body. Exemplar Global will accept a copy of an expired QMS certificate or ID card, as long as the certification dates are within the timeframe of the original AAB AQMS certification; Knowledge - Evidence of approved AS9100 AATT Training; Audit Experience - Evidence of 20 onsite audit days, conducted within the last three consecutive years from the date of application. The 20 audit days must include at least four complete audits and may have been conducted to the ISO 9001:2008 or AS9100 Standards; Witnessed Audit Experience (AEA Grade) - Evidence of two complete AS9100 audits, witnessed by an approved Aerospace Experienced or Aerospace Industry Experienced Auditor. Witnessed audits used to obtain the initial certification may be submitted for consideration. Work Experience (AEA Grade) Applicants must provide evidence of at least two years full-time aerospace work experience within the past 15 years. Work Experience (AIEA Grade) Applicants must provide evidence of at least four years full-time aerospace work experience within the past 10 years. All work experience must meet the requirements below: Be in the aerospace industry directly involved in engineering, design, manufacturing, quality, or process control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier and/or appropriate official civil, military, or space organization, such as, National Aviation Authorities [NAA], domestic Space Agency (e.g., European Space Agency [ESA], National Aeronautics and Space Administration [NASA], Canadian Space Agency [CSA], Department/Ministry of Defense [DoD/MoD]; and CONTINUED OVER PAGE Page 20

21 Annex C Auditors Authenticated by Other IAQG Sectors (continued) Have included direct involvement and/or knowledge of aerospace industry specific aspects (e.g., aerospace industry quality, regulatory and/or military aerospace requirements, first article inspection, airworthiness and safety requirements, aerospace material traceability requirements, aerospace sub-contractor approval and control, variation management of key characteristics, flow-down of AQMS requirements, Foreign Object Damage/Debris [FOD] prevention program, use of customer supplied products, calibration controls and positive recall system, acceptance authority media, nonconforming material management, sampling inspection/statistical process control requirements and limitations, special processes, configuration management/requirements control, manufacturing techniques, tool control, design development verification and validation). Applicants are required to apply through the Exemplar Global Online Application process at pay the fees specific to the grade of certification sought, and upload evidence of meeting the requirements outlined in the Annex. END OF ANNEX C Page 21

22 Annex D General Definitions and Abbreviations In addition to definitions and abbreviations specific to Exemplar Global, for the purpose of these certification requirements, the definitions provided in ISO 19011:2011 Guidelines for Quality and/or Environmental Management Systems Auditing and ISO/IEC 17024:2003 General Requirements for Bodies Operating Certification of Persons and the International Aerospace Quality Group (IAQG) are shown. AS9100 Aerospace Auditor: An Aerospace Auditor, Aerospace Experienced Auditor, or Aerospace Industry Experienced Auditor, certified by Exemplar Global as having successfully met the requirements in this document. Audit: Systematic, independent, and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled. Audit Criteria: Set of policies, procedures, or requirements (used as a reference). Auditor: Person with the competence to conduct an audit. Auditor Approval Body (AAB): A body recognized by an International Aerospace Quality Group (IAQG) Sector that has the primary responsibility for the approval of Auditors to Quality Management System standards, such as Exemplar Global. Certification (Exemplar Global): Conducted at the request of an auditor. When individual certification is granted, it provides the individual with Exemplar Global AS9100 credentials (certificate, ID Card and OASIS entry), that serve as acknowledgement and evidence that the auditor may conduct AS9100 audits for a CB or other organizations. In this case, the individual holds credentials with Exemplar Global as a certified auditor and are also entered into the OASIS database. Expansion: Movement from one certification grade to another via demonstration of the requirements for that grade. Online Aerospace Supplier Information Systems (OASIS): Website that represents the online comprehensive assessment data repository application representing the output of business processes undertaken by IAQG Exemplar Global Program Examiner: Employee of Exemplar Global with responsibility for management of designated programs and evaluation of applications. Reduction: Movement to a lower grade of certification. Registration Management Committee (AAQG-RMC): An industry group charged with the oversight and management of the AQMS certification program and supporting processes, systems, and documentation for the Americas sector. END OF ANNEX D Page 22

23 Annex E Personal Attributes In Applicants must exhibit the personal attributes, as shown below. The personal attributes required by Exemplar Global are related to the personal behaviors defined in ISO 19011:2011 Guidelines for Auditing Management Systems. Ethical - fair, truthful, sincere, honest and discreet; Open-minded - willing to consider alternative ideas or points of view; Diplomatic - tactful in dealing with dealing with people; Observant - actively observing physical surroundings and activities; Perceptive - aware of and able to understand situations; Versatile - able to readily adapt to difference situations; Tenacious - persistent and focused on achieving objectives; Decisive - expedites decisions methodically; Self-reliant - able to act and function independently whilst interacting effectively with others; Acting with fortitude - able to act responsibly and ethically, even though these actions my not always be popular and may sometimes result in disagreement or confrontation; Open to improvement - willing to learn and respectful to the culture of the auditee; and Collaborative - effectively interacting with others, including audit team members and auditee s personnel. These personal attributes will be verified by Exemplar Global Program Examiners with audited organizations provided on an applicant s audit log, references, and employers as applicable. END OF ANNEX E Page 23

24 Annex F Conditions for Audit Experience Only eligible audit experience completed in the three years prior to application is considered. Only independent audits satisfy the audit experience requirements. The auditor shall be independent from the audited organization. First party audits cannot be used to meet audit experience requirements. Internal audits, sometimes called first party audits, are conducted by the organization itself, or on its behalf, for management review and other internal purposes (e.g. to confirm the effectiveness of the management system or to obtain information for the improvement of the management system). Internal audits can form the basis for an organization's self declaration of conformity. In many cases, particularly in small organizations, independence can be demonstrated by the freedom from responsibility for the activity being audited or freedom from bias and conflict of interest. External audits include second and third party audits. Second party audits are conducted by parties having an interest in the organization, such as customers, or by other persons on their behalf. Third party audits are conducted by independent auditing organizations, such as regulators or those providing certification. All audits must be for determining conformity to ISO 9001:2008 or AS9100 management systems. The auditor cannot audit his/her own work. The auditor may have no part in the set up of, ongoing development of, or maintenance of the organization being audited unless the audit occurs at least 24 months subsequent to this activity. Audits that are combined with consulting activities cannot be used to meet the audit experience requirement for initial certification, expansion, or recertification. Examples of consultancy audits include: Audits where advice was given on an action plan for developing/improving the system as part of the audit; Audits where the auditor had a part in setting up the system; or Audits where the auditor was involved in the ongoing development of the system. Audits shall be recorded in man days and shall not be less than eight hours per day. The Exemplar Global Audit Log is available at document-library. END OF ANNEX F Page 24

25 Annex G Continuing Professional Development (CPD) All certified auditors are required to provide evidence of Continuing Professional Development (CPD) upon recertification. All auditors are required to undertake at least 15 hours of appropriate CPD every three years, that includes a review of changes to the AQMS standards, auditing methods, aviation authority requirements, and ISO requirements. The Exemplar Global CPD Log is available at document-library. The CPD Log should show the duration and type of activity undertaken and details of the provider. The following are examples of acceptable CPD activities: Participation in formal/short courses; Participation in in-house courses/workshops; Attendance at conferences, seminars, and workshops; Attendance at Professional Body/Association meetings; Participation in relevant committees and working groups; Delivery of publicly presented papers; Preparation of published articles; Presenting a training course (only one time per recertification period can be considered); and Developing new training course material. END OF ANNEX G Page 25

26 Annex H Terms and Conditions Exemplar Global has defined Terms and Conditions for certification, as shown in this Annex. Code of Conduct All certified auditors have an obligation to improve the standing of their profession by observing the Exemplar Global Code of Conduct (Code). Compliance with the Code is a condition of certification and all applicants are required to sign their agreement to comply with the Code at time of application for certification. All certified auditors are required to confirm that they have complied with the Code at each period of recertification. Exemplar Global Code of Conduct: 1. I will act professionally, accurately, and in an unbiased manner. 2. I will strive to increase the competence and prestige of my profession. 3. I will assist those in my employ or under my supervision in developing their professional competencies. 4. I will not undertake any assignments that I am not competent to perform. 5. I will not represent conflicting or competing interests and will disclose to any client or employer any relationships that may influence my judgment. 6. I will not discuss or disclose any information relating to any assignment unless required by law or authorized in writing by the client and/or my employing organization. 7. I will not accept any inducement, commission, gift, or any other benefit from client organizations, their employees, or any interested party or knowingly allow colleagues to do so. 8. I will not intentionally communicate false or misleading information that may compromise the integrity of any assignment or the personnel certification process. 9. I will comply with any Exemplar Global Certification Requirements, procedures and advisories which are relevant to my profession or certification. 10. I will comply with industry specific standards, including international standards which are relevant to my profession or certification. 11. I will not act in any way that would prejudice the reputation of Exemplar Global or the personnel certification process and will cooperate fully with an enquiry in the event of any alleged breach of this code. 12. I will submit myself to this Code of Conduct and Exemplar Global complaints, appeals, and disciplinary procedures. 13. I understand that any breach of this Code of Conduct may lead to warnings, suspension, or withdrawal of certification, in accordance with the Exemplar Global disciplinary procedures. CONTINUED OVER PAGE Page 26

27 Annex H Terms and Conditions (continued) Reduction of Certification Certified persons can reduce their certification at any time by providing written notification to Exemplar Global. A reduction in certification may also be advised to an Applicant by the Exemplar Global Program Examiner after evaluation of the Application. Acceptance of a reduction of certification must be provided in writing. Exemplar Global does not refund fees to any certified persons when reducing certification. Suspension Exemplar Global reserves the right to suspend certification as a result of investigations into the conduct or performance of certified persons. Refer to Complaints for further details. Exemplar Global does not refund fees to any certified persons when suspending certification. Withdrawal Exemplar Global reserves the right to withdraw certification as a result of investigations into the conduct or performance of certified persons. Refer to Complaints for further details. Certified persons may withdraw their certification at any time by notification in writing to the Exemplar Global AS9100 Aerospace Program Examiner. If certification is withdrawn due to non-compliance of certification requirements, the Auditor may not reapply for Certification for 12 months from the date of withdrawal. Exemplar Global remains the sole owner of any certificates and ID cards issued to certified auditors. In the event of withdrawal of certification, the certificate and ID card issued must be returned to Exemplar Global. Exemplar Global does not refund fees to any certified auditor when withdrawing certification. Complaints Against Auditors: Complaints against the actions or conduct of a certified auditor will be reviewed and investigated by Exemplar Global using documented procedures. A valid substantiated complaint may result in withdrawal of certification. Against Exemplar Global: Complaints against Exemplar Global must be submitted in writing to Exemplar Global via the , info@exemplarglobal.org. Each complaint will be reviewed, investigated, and resolved in a timely manner through a formal documented process. In appropriate circumstances, the Exemplar Global Program Committee will investigate complaints against Exemplar Global. CONTINUED OVER PAGE Page 27

28 Annex H Terms and Conditions (continued) Appeals An appeal against adverse certification decisions or withdrawal of certification must be submitted in writing. The written appeal will be reviewed, investigated, and resolved in a timely manner through a formal documented process. Appeals may be made on the following decisions: Refusal to grant initial certification; Refusal to grant continuation of certification; Refusal to grant an expansion of grade of certification; Reduction in certification grade; Withdrawal; or Suspension. All appeals shall be submitted in writing to Exemplar Global via (info@exemplarglobal.org). The applicant is required to submit their appeal to Exemplar Global no later than 30 days after notification of the decision. The appeal must include appropriate substantiation for the appellant s position and it shall contain any additional or updated information. Appeals against certification decisions made by the AAQG-RMC, will be heard and resolved by the AAQG-RMC. Exemplar Global does not have the authority to overturn certification decisions made by the AAQG-RMC. Certification Information For information on the Exemplar Global: Certification processes; Applicants rights and responsibilities; Complaints and appeals process; Conditions of use for certificates, ID cards and Exemplar Global logo; and Privacy. Please contact Exemplar Global via info@exemplarglobal.org with any questions regarding Terms and Conditions of certification. CONTINUED OVER PAGE Page 28

29 Annex H Terms and Conditions (continued) Your application will not be processed until you have read and accepted the following Exemplar Global, Inc. Terms and Conditions: 1.Nature of Relationship: I recognize and understand that I am utilizing Exemplar Global s services in applying for certification, maintenance of certification and/or renewal of certification, approval for which lies in the complete discretion of a third-party independent committee: Americas Aerospace Quality Group- Registration Management Committee (AAQG-RMC). Exemplar Global has no ability to affect or influence any certification decision made by AAQG-RMC. Further, Exemplar Global will notify me of any certification decision as directed by AAQG-RMC. 2.Limitation of Liability. In the event of any claim I bring against Exemplar Global for breach of contract, negligence, or any other theory of law, Exemplar Global s total liability to me shall not exceed two times the fees paid to Exemplar Global with respect to the certification application or exercise in question. In no event shall Exemplar Global be liable for my lost profits or any other type of incidental or consequential damages. 3.Alternate Dispute Resolution. In the event of any dispute arising out of my engagement in the relationship with Exemplar Global, I will first try in good faith to settle the dispute voluntarily with the aid of an impartial mediator who will attempt to facilitate negotiations between myself and Exemplar Global (the parties). A dispute shall be submitted to mediation by written notice to the other party or parties. The mediator will be selected by agreement by the parties. If the parties cannot agree on a mediator, a mediator will be designated by the American Arbitration Association at the request of a party. If the mediation is not successful, the dispute will be resolved by final and binding arbitration under the Commercial Arbitration Rules of the American Arbitration Association. The arbitration shall take place in a location convenient to the parties. The arbitrators shall have the authority to permit limited discovery, including depositions, prior to the arbitration hearing, and such discovery shall be conducted consistent with the Federal Rules of Civil Procedure. The arbitrators shall have no power or authority to award punitive or exemplary damages. The cost of the arbitrator shall be borne equally by the parties, unless otherwise ordered by the arbitrator. 4.Choice of Law. The construction, interpretation and enforcement of this Agreement shall be governed by the laws of the State of Wisconsin. END OF ANNEX H Page 29

30 Annex I Fee Schedule All fees paid to Exemplar Global are non-refundable and subject to change. Payments may be made in US$, AU$ or. Please refer to the fees listed for each region on the website personnel-certification/fee-calculator/ for details. APPLICATION FEES Provides for the receipt and desk audit of the application. This fee must accompany all applications. CERTIFICATION AND ANNUAL INSTALLMENT FEES Provides for the certificate and ID card (First Annual Certification Fee), inclusion on the Exemplar Global Certified Personnel Register (available to the public through the Exemplar Global website) and ongoing certification (Annual Fee). The First Annual Installment Fee is payable AFTER your application has been approved. Do not submit this fee with your application. Annual Installment Fees are payable annually on the anniversary of the certification and will be invoiced by Exemplar Global. RECERTIFICATION FEES Provides for Annual Fee, administration costs, ongoing certification, reissue of the certificate and ID card, and inclusion on the Exemplar Global Certified Personnel Register and OASIS Database. This fee is payable every third anniversary of initial certification and recertification and includes the Annual Installment Fee and will be invoiced by Exemplar Global. EXPANSION FEE Provides for the receipt and desk audit of the application, issue of updated certificate and ID card and update on the Exemplar Global Certified Personnel Register. This fee is payable upon submission of an online expansion of grade application. END OF ANNEX I Page 30

31 Annex J Summary of Certification Requirements Please note that this table is a SUMMARY ONLY of certification requirements. Applicants MUST refer to the details provided in these Certification Requirements. Certification Requirements Aerospace Auditor (Page 6) Knowledge Option 1 Approved AS9100 AATT Course (previously AS9100 C Foundations Course); plus QMS (ISO 9001:2008) auditor training course. Option 2 AS9100 C Standard Auditor Course; plus Approved AS9100 AATT Course (previously AS9100 C Foundations Course). Aerospace Experienced Auditor (Page 7) Option 1 Approved AS9100 AATT Course (previously AS9100 C Foundations Course); plus QMS (ISO 9001:2008) auditor training course; plus AS9100 C Industry Specific Course. Option 2 AS9100 C Standard Auditor Course; plus Approved AS9100 AATT Course (previously AS9100 C Foundations Course); plus AS9100 C Industry Specific Course. Aerospace Industry Experienced Auditor (Page 9) Option 1 Approved AS9100 AATT Course (previously AS9100 C Foundations Course); plus QMS (ISO 9001:2008) auditor training course. Option 2 AS9100 C Standard Auditor Course; plus Approved AS9100 AATT Course (previously AS9100 C Foundations Course). Auditor Recognition Quality Management System ISO 9001:2008 auditor certification, or ISO 19011:2002, Section 7.4 Quality Management System ISO 9001:2008 auditor certification, or ISO 19011:2002, Section 7.4 Quality Management System ISO 9001:2008 auditor certification, or ISO 19011:2002, Section 7.4 Work Experience N/A 2 years full-time aerospace work experience within the past 15 years. 4 years full-time aerospace work experience within the past 10 years. Audit Experience 4 complete QMS (9001:2008) or AQMS (9100) audits conducted for a total of 20 audit days within the past 3 years. 4 complete QMS (9001:2008) or AQMS (9100) audits conducted for a total of 20 audit days within the past 3 years. 4 complete QMS (9001:2008) or AQMS (9100) audits conducted for a total of 20 audit days within the past 3 years. Witnessed Audit Experience N/A 2 complete AS9100 audits witnessed by a certified AEA or AIEA. N/A END OF CERTIFICATION REQUIREMENTS Page 31