How to apply for and maintain UK Aerospace Industry Controlled Other Party (ICOP) Auditor Authentication Scheme
Contents 1. General information 2 2. IRCA Aerospace auditor authentication grades 3 3. Criteria for Aerospace auditor 4 (AA) Grade 9100 and/or 9120 and/or 9110 4. Criteria for Aerospace Experienced Auditor (AEA) Grade 9100 and/or 9120 and/or 9110 5 5. Guidance on the AA and AEA criteria 6 6. How to apply 7 7. Fees 8 8. Renewal of authentication 9 9. How to regrade 10 10. Other information 11 Appendix I Definitions 12 Appendix II Code of Conduct Copyright IRCA 2012 The information detailed within this document was correct at time of publication. For more details about this Scheme and other services we provide, we advise you to see the IRCA website at www.irca.org. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means electronic, mechanical, photocopying, recording or otherwise without prior permission of the International Register of Certificated Auditors (IRCA). IRCA/3000/07/18 January 12 1
1. General information UK Aerospace Industry Controlled Other Party (ICOP) Auditor Authentication Scheme The Aerospace industry has identified the important role that auditor competence plays in providing confidence in the supplier audit and third party accredited certification process. IRCA administers this scheme on behalf of and in partnership with the UK s Certification Body Management Committee (CBMC), acting as the UK s Auditor Authentication Body (AAB) part of the IAQG Industry Controlled Other Party process defined in the AS/EN/JISQ 9104 series and specifically to meet the requirements for Aerospace Auditor Authentication defined in AS/EN/JISQ 9104/3 (current edition). Applicants who successfully meet the requirements defined in this document for Aerospace Auditor Authentication are placed on the OASIS database of aerospace authenticated auditors. This scheme has two grades of authentication: Aerospace Auditor (AA) Aerospace Experienced Auditor (AEA). As well as meeting the requirements for one of the above grades you must meet the requirements for at least one of three possible scopes below: AS/EN/JISQ/9100 (current edition), Quality Management Systems - Requirements for Aviation, Space and Defence Organisations AS/EN/JISQ/9110 (current edition), Quality Maintenance Systems Aerospace Requirements for Maintenance Organisations AS/EN/JISQ/9120 (current edition), Quality Management Systems Aerospace Requirements for Stockist Distributors. This document provides new applicants and existing IRCA Aerospace Authenticated Auditors with information about: the authentication process and how to apply the requirements for initial authentication the requirements for renewal of authentication the types of audits acceptable for certification fees the Code of Conduct. Authentication within the Aerospace scheme is available, without restriction, to all individuals world-wide who satisfy the certification requirements. However, if you are applying from a territory which is served by an IAQG approved Auditor Authentication Body, we ask that you apply to this body. 2
2. IRCA Aerospace Auditor Authentication grades There are two grades of auditor: Aerospace Auditor (AA) (see section 3) This grade recognises that you have met the requirements to conduct an Aerospace Audit (at the relevant scope see below) as part of an audit team, under the guidance of and Aerospace Experienced Auditor. Aerospace Experienced Auditor (AEA) (see section 4) This grade recognises that you have met the requirements to conduct lead an Aerospace Audit (at the relevant scope see below). Auditor scopes (see sections 3 and 4) Within your grade you must meet at least one of three scopes: Minimum scope: AS/EN/JISQ/9100 (current edition), Quality Management Systems - Requirements for Aviation, Space and Defence Organisations Additional scope(s): AS/EN/JISQ/9110 (current edition), Quality Maintenance Systems Aerospace Requirements for Maintenance Organisations AS/EN/JISQ/9120 (current edition), Quality Management Systems Aerospace Requirements for Stockist Distributors. 3
3. Criteria for Aerospace Auditor (AA) Grade 9100 and/or 9120 and/or 9110 These requirements are based on those defined in AS/EN/JISQ 9104/3 (current edition). Auditor certification You must either: Provide evidence that you hold IRCA certification as a QMS auditor or Aerospace QMS auditor at the one of Auditor, Lead Auditor or Principal Auditor or equivalent certification from a nationally recognised personnel certification body. Or Provide evidence that you meet the requirements of ISO 19011:2011 section 7.0. Auditor training You must either: Provide evidence that Successful completion of an industry approved AQMS auditor course: Or 9100 AQMS Course for the 9100 scope 9110 AQMS Course for the 9110 scope 9120 AQMS Course for the 9120 scope Provide evidence of successful completion of an approved ISO 9001 QMS Auditor course plus successful completion of an approved Aerospace Quality Management Foundation Course 1 9100 Foundation Course for the 9100 scope 9110 Foundation Course for the 9110 scope 9120 Foundation Course for the 9120 scope. Audit experience For the 9100 and 9120 scopes: You must provide evidence of conducting four full second or third party QMS (ISO 9001) or AQMS (9100) audits conducted of a total of 20 person audit days within the past three years 2 of the 4 audits presented may exclude section 7.3 (design) For the 9110 scope You must provide evidence of conducting four full second or third party QMS (ISO 9001) or AQMS (9100 or 9110) audits conducted of a total of 20 person audit days within the past three years 2 of the 4 audits presented may exclude section 7.3 (design). Clarification of 9104/3 regarding audit experience: Applications for initial authentication shall only include audits where the applicant has experienced direct involvement as part of the audit team as an auditor or audit team leader and submitted audits shall not include any audit where the applicant was an observer, an auditor or assessor under training, a witness assessor, an oversight witness assessor, a witness assessor for a CB or similar. For each of the audits submitted for consideration for the maintenance of authentication (re-authentication) the required participation shall mean direct involvement as part of the audit team as an auditor or audit team leader and submitted audits shall not include any audits where the applicant was; an observer, an auditor or assessor under training, a witness assessor, an oversight witness assessor, a witness assessor for a CB or similar. Aerospace audits shall be limited to only those audits conducted against an Aerospace Quality Management System (AQMS) standard i.e. 9100, 9110 or 9120. 1. Note that you may only attend a Foundation Course if you have successfully completed an approved ISO 9001 auditor training course 4
4. Criteria for Aerospace Experienced Auditor (AEA) Grade 9100 and/or 9120 and/or 9110 These requirements are based on those defined in AS/EN/JISQ 9104/3 (current edition). In addition to the requirements for AAs above (Section 3), AEAs must meet the following requirements noting that there are two routes: For the 9100 and 9120 scopes Either (Work experience route) Or (Training route) Additionally, For the 9110 scope Either (Work experience route) Or (Training route) Work experience Four years of acceptable full time AQMS work experience within the past ten years (see guidance below) Work experience Four years of acceptable full time AQMS work experience within the past ten years (see guidance below) Work experience Four years of acceptable full time AQMS work experience within the past ten years (see guidance below) Work experience Two years of acceptable full time AQMS work experience within the past fifteen years (see guidance below) Plus Industry specific training Successful completion of an industry approved Aerospace Industry Specific Course (9100 - see guidance below) Plus Auditor evaluation* Successful completion of two full audits witnessed by an authenticated AEA with the appropriate scope(s): 9100 for the 9100 Scope 9120 for the 9120 Scope Plus either Two years of full time experience performing repair/maintenance in the last four years Or Specific training in Repair/ Maintenance Plus Industry specific training Successful completion of an industry approved Aerospace Industry Specific Course: Repair/Maintenance Plus Auditor evaluation* Successful completion of two full audits witnessed by an authenticated AEA with the appropriate scope(s): 9110 for the 9110 Scope * If applicants apply for authentication via the training route for 9100/9110/9120, the applicant must ensure the AEA who witnesses their audits has not qualified as an AEA via the training route. 5
5. Guidance on the AA and AEA requirements Audit experience (AA and AEA) for in initial application and, re-grade 5.1.1. We only accept: full system audits covering all elements of ISO 9001:2000/2008 or accepted equivalent partial/ surveillance audits are not acceptable second and third party audits first party (internal audits) are not accepted audits completed in the three years prior to application audits where you are independent of the audited organisation and you are not auditing your own work (ie the development, implementation or maintenance of the system being audited) unless this activity occurs at least 24 months subsequent to your involvement audits which are not part of consultancy activity audits conducted at organisations that are predominantly aerospace audits of the same organisation at intervals of no less 12 months. Evidence of audit experience must be submitted on the IRCA Audit Log or an acceptable equivalent. Auditor training (AA and AEA) IRCA does not certify industry approved aerospace specific training or auditor training. We suggest you review the OASIS Online Aerospace Supplier Information System for current training providers: www.sae.org/iaqg Work experience (AEA) for 9100 and 9120 scopes We will accept full-time work experience 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 organisation such as National Aviation Authorities (NAA), domestic space agency (eg ESA/NASA/CSA), Ministry of Defence (MoD) NOTE 1 The work experience should have included direct involvement and/or knowledge of aerospace industries specific aspects such as: aerospace industry quality; regulatory and/or military aerospace requirements and regulations (EASA/FAR 21; AQAP); 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 programme; use of customer supplied products; calibration controls and positive recall system; acceptance authority media; non-conforming 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. Additional work experience (AEA) for 9110 scope In addition to the above, applicants for the 9110 scope shall be able to demonstrate two years full-time experience performing repair/maintenance in the four years or have undergone specific training in repair/maintenance. The work experience should have included direct involvement and/or knowledge of: 1. European Aviation Safety Agency (EASA) / Federal Aviation Regulations (FAR) 145/147, EASA part M or other recognised civil aviation regulations 2. Return to service processes 3. Flight test 4. Functional checks prior to flight 5. Weight and balance 6. Wing walking 7. Aircraft marshalling techniques. If you are an AEA already authenticated for 9100 and seeking authentication for another AQMS standard, we will accept your original 9100 work experience providing that your original 9100 authentication has been continuously maintained and is current. All other 9104-3 requirements still apply. Auditor evaluation (AEA training route) We will accept audit where you have been witnessed by an Aerospace Experienced Auditor who themselves have not become qualified via the Training Route and did not participate in the witnessed audit. You must provide documentary evidence that the witnessed audits were performed including the name of the witnessing AEA. 6
6. How to apply What you do Request an application pack We will provide you with an application pack free of charge. Either contact us and we will send it to you by post, or download all the documents yourself from our website. Tel: +44 (0)20 7245 6833 Fax: +44 (0)20 7245 6755 Email: irca@irca.org Website: www.irca.org Complete and submit the application form and the following documents When you apply for certification, please complete in English and send to us: IRCA/C6 Aerospace Auditor Authentication Application Form, attaching evidence as required IRCA/106 Audit Log & IRCA C4 Clause matrix for initial applicants only. your application fee do not send the annual certification fee. If your application is successful, we will write and ask you to pay the annual certification fee. Note: For renewals you must submit your renewal application at least three months prior to Oasis expiry, failure to do so may result in the application not being processed and subsequently you will need to reapply as an initial application. Note: if you are resident in a territory which has an IAQG Auditor Authentication Body, we suggest you apply to this organisation. What we do Aerospace Auditor Authentications may take up to 12 weeks to process. But that time may vary depending on the time required to verify the information submitted with the application. Giving us all the information we need will speed up the application process. The process has four parts: Administrative check All applications are checked first by our administration staff to make sure you have included all the information we need. Technical evaluation Evaluation of technical aspects (eg audit experience) is performed by IRCA s technical experts, the reviewing officers. The reviewing officers evaluate the information submitted against the certification requirements and perform verification of some or all of this information. At the conclusion of the technical evaluation, the reviewing officers will make a recommendation on certification to IRCA. We consider verification to be an essential element supporting the overall credibility of the certification process. Consequently, great care is taken by the reviewing officers in reviewing and verifying applications against all aspects of the certification requirements. We will perform the evaluation as speedily as we can, but sometimes it is not possible to be as quick as we (or you) would like. Processing your application is likely to take longer if you have unusual educational qualifications, if your current (or former) employers are slow to provide verification information or if the auditee organisations are not helpful. Certification The process for certification is overseen by the certification manager. The UK CBMC provides oversight for the award of IQAG auditor authentications. All decisions are made by personnel who are independent and who have no relationship (eg personal, contractual, voluntary or formal) with the applicant that may present a potential conflict of interest to the impartiality of the authentication process. Any such conflicts are documented by IRCA together with the resolution. Offer and award of certification We will write formally to you with an offer of certification to the appropriate grade. We will send you this offer and ask you to pay your first annual fee. Certification will be awarded when we receive your payment of the annual fee. Your details are then added to our online register of certificated auditors and we will send you your certification card. Authentication, where relevant, will be awarded when we receive your payment of the annual fee. For authentication your details are then added to the OASIS database. 7
7. Fees Fees are set annually and apply to the calendar year (1 January 31 December). Contact us directly or see www.irca.org for details of the current fees applicable for your country. Application fee We need you to pay this fee when you send in your application. Alternatively, we will invoice you on receipt of your application. This fee covers the costs of the application process and is not refunded if the application is unsuccessful. Annual authentication fee This fee covers the annual cost of administering your certification. We will normally invoice you for this fee when we first offer you certification following your application, and thereafter each year one month 2 before payment is due. Application for regrade fee This fee covers the costs of evaluating your regrade. We need you to pay this fee when you submit your request and, as with the application fee, the regrade fee is not refundable. If you are regraded during the year, we will not ask you to pay any further certification fees for that current year. You may request a regrade at any stage during the certification period. There is no regrade fee if we regrade you as part of the (three year) renewal of certification process. 2. Except every third year when your renewal is due. We invoice you after we have completed your renewal, on the basis that your grade (and fee) may have changed as a result of renewal. 8
8. Re-authentication You must renew your authentication every three years, ie at the end of the third completed year. We will write to you six months before your authentication period expires and ask you to send us your audit and CPD logs, and other documents. We will evaluate these against the renewal requirements listed below and make a authentication decision. We will then write to you with the results. Important You must apply for renewal of your authentication at least three months prior to the authentication expiry date, as detailed in clause 8.1.2 of the AS 9104/3 standard. Failure to submit your renewal within this timeframe will result in you having to justify, as part of the application pack, the reason for late application. This will be subject to review by IRCA and may result in the application for renewal being rejected. The renewal of certification process involves these five requirements: Continuing professional development (CPD) Audit experience Declaration of complaints Compliance with the IRCA Code of Conduct Payment of the annual fee. Audit experience You must have participated in a minimum of four audits over the past three years. Continuing professional development You must provide evidence that you have participated in a minimum of 15 hours of continuing professional development activities over the three year authentication period that addressed one or more of the following subject areas: changes to the applicable aerospace industry standard AQMS auditing methodologies changes to Aviation Authority Requirements updates/changes to IAQG/sectoral policies, criteria and procedures. All auditors certified to the ASCS programme, are recommended to attend a national or sector OPMT auditor conference. Declaration of complaints We need you to tell us about any complaints made against your professional conduct. It is important we know of any complaints as we need to consider these as part of the renewal of certification process. We will investigate all instances of complaints. If complaints are made against your conduct and you do not declare them, the consequences will be far more serious and may result in suspension or withdrawal of your certification. Compliance with the Code of Conduct We need you to make a declaration that you have always acted in compliance with the Code of Conduct (see Appendix II). Payment of the annual fee And finally, we need you to pay the annual fee (please note there is no additional fee for renewal). Because the fee will be dependent on the grade we offer you after renewal, we do not ask you to pay this fee until after we have completed the renewal. We will write to you with the results of the renewal and enclose the fee invoice and your new certification card. Failure to pay your annual fee will result in your certification being withdrawn. 9
9. How to regrade or expand your scope Regrading from AA to AEA You can apply to be regraded from AA to AEA grade at any time. To apply for regrade to AEA, you should provide us with evidence that meets the criteria described in section 4 and your regrade fee. A successful application for regrade will not normally result in a change to your renewal of certification date. Expanding your scope You can apply to expand your scope. To apply for scope expansion at the AA or AEA grades, you should provide us with evidence that meets the relevant criteria described in sections 3 or 4 and your regrade fee. A successful application for expansion will not normally result in a change to your renewal of certification date and any additional scopes will have their expiry dates aligned to 9100 expiry date. Please contact us if you need further advice on how to regrade or expand your scope. 10
10. Other information The certification period When your application is successful, we award certification for a period of three years, beginning in the month we award certification. This three year period is referred to as the certification period. At the end of the each certification period we require you to renew your certification. If you are successful at renewal, we award you certification for a further three year certification period, and so on. During the certification period, at the end of the first and second years, you may maintain certification by payment of the annual certification fee and by compliance with the Code of Conduct. We don t require you to submit any other documentation at the end of year 1 and year 2. At the end of the third year, all certified auditors are required to complete the renewal of certification process. Certification cards, certificates and the register We will send you a certification card following initial award of certification and annually thereafter when you pay your annual fee and comply with any other applicable requirements. Although the card is issued to you, it remains our property and you must return it to us should we ask you to. The IRCA certificate is intended for display as a formal recognition of your certification to a specific grade. You should not use it as proof of certification. Please contact us if you wish to purchase a certificate. The primary evidence of auditor authentication is via the Oasis website: www.sae.org/iaqg Appeals and complaints You have the right to appeal against any certification decision taken by us. We operate a quality system that includes established procedures for considering appeals and complaints. Enforcement of certification IRCA may enforce (suspend or withdraw) certification where evidence is made available which demonstrates: - non-adherence to 9104 series requirements or related documents - ineffective auditor performance - a breach of IRCA code of conduct. Confidentiality We undertake to consider as strictly confidential all information, correspondence and documentation submitted by you to us in support of your certification activities 3. We reserve the right to publish relevant details of each certified auditor in the register available on-line at www.irca.org. As IRCA operate the auditor authentication process on behalf of the UK CBMC within the ICOP scheme, the IAQG OPMT shall have access, as required, to all records and data associated to ICOP scheme, for the purposes of ensuring conformance with the standards requirements. Legal status The certification of auditors by us and all activities associated with the administration of the register is governed in accordance with English law and is subject to the exclusive jurisdiction of the English courts. 3. We reserve the right to disclose details of your certification record to other auditor certification bodies and accreditation bodies. We will do so with discretion and only in instances where we consider withholding this information will compromise the integrity of certification, eg where we have taken action against (ie suspended or withdrawn) your certification and you have applied to another auditor certification body without fully disclosing your record while certified by us. 11
Appendix I Definitions Appendix II Code of Conduct Audit A systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled. Auditee The organisation being audited. Audit Client The person or organisation requesting an audit. Generic Schemes where most of the initial requirements are the same: AEROSPACE, EMS, OH&S, ISMS, ITSMS, ISMS, Social Systems Audit Team Two or more auditors performing an audit, one of whom is appointed as leader. Lead Audit An audit where the auditor performed the audit whilst leading a team of at least one other auditor. Sole Audit An audit where one auditor performed all phases of the audit. It is a condition of certification that you agree to act in accordance with, and be bound by the following Code of Conduct: 1. To act in a strictly trustworthy and unbiased manner in relation to both the organisation to which you are employed, contracted or otherwise formally engaged (the audit organisation) and any other organisation involved in an audit performed by you or by personnel under your direct control. 2. To disclose to your employer any relationships you may have with the organisation to be audited before undertaking any audit function in respect of that organisation. 3. Not to accept any inducement, gift, commission, discount or any other profit from the organisations audited, from their representatives, or from any other interested person, nor knowingly allow personnel for whom you are responsible to do so. 4. Not to disclose the findings, or any part of them, of the audit team for which you are responsible or of which you are part, or any other information gained in the course of the audit to any third party, unless authorized in writing by both the auditee and the audit organisation to do so. First Party Audit An audit performed within an organisation by that organisation s own auditing resource. Also referred to as an internal audit. Second Party Audit An audit of contractors/suppliers undertaken by, or on behalf of, a purchasing organisation. This may include the audit of companies or divisions supplying goods or services to others within the same group. Also referred to as a supplier audit. 5. Not to act in any way prejudicial to the reputation or interest of the audit organisation. 6. Not to act in any way prejudicial to the reputation, interests or credibility of IRCA. 7. In the event of any alleged breach of this code, to co-operate fully in any formal enquiry procedure. Third Party Audit An audit of an organisation performed by a body that is independent of the organisation being audited, eg certification body or registrar. 12
International Register of Certificated Auditors (IRCA) 2nd Floor North Chancery Exchange 10 Furnival Street London EC4A 1AB United Kingdom Email: irca@irca.org Tel: +44 (0) 20 7245 6833 Fax: +44 (0) 20 7245 6755 WWW.IRCA.ORG