SAE AS 9104 3-2007 Requirements for Aerospace Auditor Competency and Training Courses《航空航天审核员资格和培训课程要求》.pdf

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1、_ SAE Technical Standards Board Rules provide that: “This report is published by SAE to advance the state of technical and engineering sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent infringement arising there

2、from, is the sole responsibility of the user.” SAE reviews each technical report at least every five years at which time it may be reaffirmed, revised, or cancelled. SAE invites your written comments and suggestions. Copyright 2007 SAE International All rights reserved. No part of this publication m

3、ay be reproduced, stored in a retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of SAE. TO PLACE A DOCUMENT ORDER: Tel: 877-606-7323 (inside USA and Canada) Tel: 724-776-4970 (outside USA)

4、 Fax: 724-776-0790 Email: CustomerServicesae.org SAE WEB ADDRESS: http:/www.sae.org AS9104/3 AEROSPACE STANDARD Issued 2007-03 Requirements for Aerospace Auditor Competency and Training Courses RATIONALE This document is written to define a common process for aerospace auditor training and authentic

5、ation to be utilized by all the International Aerospace Quality Group (IAQG) sectors. FOREWORD In December 1998, the Aerospace Industry established the IAQG with the purpose of achieving significant improvements in quality and reductions in cost throughout the value stream. IAQG developed a truly gl

6、obal scheme 9104 for the use of assessment results performed by Certification Bodies (CBs), based on the 9100-series standards and taking into account the schemes already in use or under development in the various IAQG sectors. This document supplements the existing international requirements for th

7、e accreditation of personnel CBs, accreditation of CBs and auditor certification programs. Confidence and reliance in the audit process depends on the competence of those conducting the audit, making certification/registration decisions and supporting an audit program. Competence is based on the dem

8、onstration of personal attributes, and the ability to apply Aerospace Quality Management System (AQMS) knowledge and skills gained through education, work experience, auditor training and audit experience (reference ISO 19011, section 7.1). Knowledge and skills are only two elements of competency. T

9、herefore, organizations operating AQMS audit programs should establish and implement effective competency systems that are based on ISO 19011 section 7, ISO/IEC Guide 62, and IAF Guidance on the Application of ISO/IEC Guide 62. The IAF Guidance on the Application of ISO/IEC Guide 62 requires personn

10、el operating in a specific technical field to have competence for the functions they perform, be they management, technical, administrative, or other. This means that an organization operating an aerospace auditing program should have adequate personnel with required knowledge of aerospace processes

11、, product, and system requirements to ensure their audit program is able to operate effectively and in accordance with Aerospace Industry requirements. Contained herein are requirements for Aerospace Auditor Competency and Training Courses to satisfy the competency criteria in 9104 to support certif

12、ication/registration and recognition of AQMS. SAE AS9104/3 - 2 - TABLE OF CONTENTS 1. SCOPE 3 2. REFERENCES 3 3. DEFINITIONS . 4 3.1 Accreditation Body (AB) 4 3.2 Aerospace. 4 3.3 Aerospace Experience Auditor (AEA). 4 3.4 Aerospace Product . 4 3.5 Aerospace Quality Management System (AQMS) Standards

13、 4 3.6 Auditor. 4 3.7 Auditor Authentication Body (AAB). 4 3.8 Blended Learning 4 3.9 Body of Knowledge . 5 3.10 Certification Body (CB) . 5 3.11 Electronic Training 5 3.12 International Aerospace Quality Group (IAQG) 5 3.13 International Aerospace Quality Group (IAQG) Sector or Sector. 5 3.14 Secto

14、r Management Structure (SMS). 5 3.15 Training Provider Approval Body (TPAB) . 5 3.16 Work Experience. 5 4. GENERAL . 6 5. AEROSPACE QUALITY MANAGEMENT SYSTEM AUDITOR COMPETENCY REQUIREMENTS 6 6. REQUIREMENTS FOR TRAINING COURSES . 7 6.1 Class Size, Attendance. 7 6.2 Presentation and Organization . 7

15、 6.3 Course Materials. 9 6.4 Instructor Qualifications 10 6.5 Facilities 11 6.6 Evaluation of Attendees 11 6.7 Written Examination 11 6.8 Continual Evaluation . 11 6.9 Grading; Pass/Fail Decisions 12 6.10 Re-examination. 12 6.11 Electronic Training Course Format . 12 6.12 Program Execution 13 6.13 S

16、ecurity . 13 6.14 Quality Management System (QMS) 13 6.15 Administrative Procedures 13 6.16 Records. 14 6.17 Management Review 15 6.18 Certificates 15 6.19 Complaints and Appeals . 16 6.20 Subcontracting of Courses 16 6.21 Confidentiality 16 6.22 Changes 16 6.23 Variations 17 6.24 Suspension or Canc

17、ellation 17 7. AEROSPACE QUALITY MANAGEMENT SYSTEM AEROSPACE EXPERIENCED AUDITOR ASSESSMENT AND AUTHENTICATION 17 8. RE-AUTHENTICATION OR WITHDRAWAL OF AEROSPACE QUALITY MANAGEMENT SYSTEM AEROSPACE EXPERIENCED AUDITOR. 18 8.1 Maintenance of AEA Approval 18 8.2 Withdrawal of AEA Approval. 18 APPENDIX

18、 A DETAILED REQUIREMENTS FOR TRAINING COURSES 20 TABLE 1 9100 AND 9120 AUDITOR AND AEROSPACE EXPERIENCED AUDITOR REQUIREMENTS 8 TABLE 2 9110 AUDITOR AND AEROSPACE EXPERIENCED AUDITOR REQUIREMENTS 9 SAE AS9104/3 - 3 - 1. SCOPE This document provides the minimum requirements (Body of Knowledge) for AQ

19、MS auditors who will participate in AQMS certification/registration activities, including the auditor authentication process and requirements for a training organization. It is applicable to auditors seeking formal approval to conduct audits of the AQMS in support of the IAQG, and those who manage t

20、he competency element of an AQMS audit program and/or training organizations. 2. REFERENCES For undated references, the latest version of the following publications referred to applies. Members of ISO (International Organization for Standardization) and IEC (International Electro-technical Commissio

21、n) maintain registers of currently valid International Standards. AS/EN/JSIQ 9100 Quality Management Systems Aerospace Requirements AS/EN 9110 Quality Management Systems Aerospace Requirements for Maintenance Organizations AS/EN 9120 Quality Management Systems Aerospace Requirements for Stockist Dis

22、tributors AS/EN/SJAC 9101 Quality Management System Assessment AS/EN 9111 Quality Management System Assessment for Maintenance Organizations AS/EN 9121 Quality System Assessment Applicable to Stockist Distributors AS/EN/SJAC 9104 Requirement for Aerospace Quality Management System Certification/Regi

23、strations Programs AS/EN/SJAC 9104-2 Requirements for Oversight of Aerospace Quality Management Systems Registration/Certification Programs ISO 9000 Quality management systems Fundamentals and vocabulary ISO 9001 Quality management systems requirements ISO 17011 Conformity assessment General require

24、ments for accreditation bodies accrediting conformity assessment bodies ISO 17021 Confromity assessment Requirements for bodies providing audit and certification of management systems ISO 17024 Conformity assessment General requirements for bodies operating certification of persons ISO 19011 Guideli

25、nes for quality and/or environmental management systems auditing ISO/IEC Guide 62 General requirements for bodies operating assessment and certification/registration of quality systems IAF Guidance on the Application of ISO/IEC Guide 62 (IAF GD 2) SAE AS9104/3 - 4 - 3. DEFINITIONS For the purpose of

26、 this document the following definitions are used: 3.1 Accreditation Body (AB) A body recognized by an IAQG sector that has the primary responsibility for the accreditation of CBs to issue certifications/registrations to AQMS standards. 3.2 Aerospace The business of design, manufacture, maintenance,

27、 distribution, and support of aviation vehicles and engines, accessories and component parts, all ancillary and allied businesses, including aerospace vehicle operations. This also includes Space and Defense. 3.3 Aerospace Experience Auditor (AEA) An auditor that has met the requirements set forth i

28、n 9104 and this document. Sectors mays use other names for Auditor, Aerospace Auditor, and Aerospace Experience Auditor (AEA) as long as the requirements of 9104 and this document are applied. 3.4 Aerospace Product “Aerospace Product” shall mean an aircraft, rotorcraft, guided weapon, launcher, spac

29、ecraft, other product designed to travel through the air, inside or outside the ground effect, or to travel outside the influence of the earths atmosphere, or major components of these products such as engines or major sub-systems or parts, appliances, equipment, and materials as contained in these.

30、 3.5 Aerospace Quality Management System (AQMS) Standards Standards published under the umbrella of IAQG generally referred to as 9100, 9110, and 9120. NOTE: In some countries these standards are published with different designations. 3.6 Auditor An auditor shall refer to a person that has met the r

31、equirements set forth in 9104 and this document. 3.7 Auditor Authentication Body (AAB) A body recognized by an IAQG sector that has the primary responsibility for certifying or approving persons (i.e., auditors) against specific requirements. 3.8 Blended Learning A combination of electronic knowledg

32、e-based training and face-to-face skills-based training. SAE AS9104/3 - 5 - 3.9 Body of Knowledge The framework that defines the current boundaries of knowledge of the quality profession within the IAQG. It is set out as simple statements of knowledge that can be used and developed by user groups su

33、ch as the educational establishment, training establishments, membership, and those organizations that need to define guidance or competencies for their quality professionals. NOTE: The IAQGs Body of Knowledge is revised and administered by the IAQG People Capability Strategy Stream which accepts re

34、quests for revision as and when they arise from user groups and other interested parties. 3.10 Certification Body (CB) A body that audits and certifies/registers the conformity of the quality management system of organizations with respect to published AQMS standards and any supplementary documentat

35、ion required under the system. Also referred to as Certification/Registration Body (CRB). 3.11 Electronic Training Training that is conducted through computer-based methods (i.e., on-line, cd-rom). 3.12 International Aerospace Quality Group (IAQG) A body of prime aerospace Original Equipment Manufac

36、turers (OEMs). This group is chartered to develop and implement common requirements and guideline for use by the space, aviation, and defense industry for quality improvement. 3.13 International Aerospace Quality Group (IAQG) Sector or Sector A sub-structure of the IAQG consisting of the members in

37、a specific area, such as the Americas, Europe, and Asia/Pacific. 3.14 Sector Management Structure (SMS) The organization established in a sector that manages the application of the sector scheme based on 9104. Each sector may use a different name for this organization (i.e, Registration Management C

38、ommittee in the Americas and Asia Pacific, Other Party Management Team OPMT in Europe within the AeroSpace this may include actual practice audits. When attendees participate in actual audit situations, transit time to and from the audit site, and delay time is not counted as part of the course time

39、. Training aids, such as commercial training videos, videos produced during the course to record and review performance of attendees, compact discs, or interactive training tools that are directly relevant may be used to supplement the training by the instructors. 6.2.4 Each course offering shall be

40、 presented by at least one instructor, who shall be actively involved in the instruction and evaluation for the full length of the course. Additional resource people or trainee instructors may be used for specific subjects or activities; however, the one instructor remains responsible for the entire

41、 course offering. When activities (e.g., written quizzes, preparation of checklists) involve neither instruction nor evaluation and do not require the availability of the instructors for explanation, clarification or counsel, only one instructor needs to be present. The instructor shall be present d

42、uring the entire exam to assure good examination practice. SAE AS9104/3 - 8 - TABLE 1 - 9100 AND 9120 AUDITOR AND AEROSPACE EXPERIENCED AUDITOR REQUIREMENTS ELEMENT 9100/9120 AUDITOR 9100/9120 AEROSPACE EXPERIENCED AUDITOR AUDITOR RECOGNITION Quality Management System (QMS) auditor by nationally-rec

43、ognized AAB or meet the education, training, work experience, and audit experience of ISO 19011 (see section 7.4). AUDIT EXPERIENCE 4 full QMS or AQMS (9100) audits conducted for a total of 20 audit person days within the past 3 years. Only 2ndor 3rdparty audits shall be considered. Successful compl

44、etion of an approved AQMS Foundation Course (see Appendix A): 9100 for 9100 auditors. 9120 for 9120 auditors. NOTE: An attendee can only attend the AQMS Foundation Course, if he/she has successfully completed a QMS (ISO 9001) auditor training course. or AQMS AUDITOR TRAINING Successful completion of

45、 an approved AQMS Standard Auditor Course (see Appendix A). 9100 for 9100 auditors. 9120 for 9120 auditors. INDUSTRY SPECIFIC TRAINING Not required. Successful completion of an approved aerospace industry specific course: 9100/9110 (see Appendix A). 4 years of AQMS work experience within the past 10

46、 years (see section 3.16). AQMS WORK EXPERIENCE (see section 3.16) Not required. 2 years of AQMS work experience within the past 15 years. AUDITOR EVALUATION Not required. Successful completion of 2 full audits witnessed* by an AEA: 9100 for 9100 auditors. 9100 or 9110 for 9120 auditors. * If during

47、 a witness audit, the candidate shows insufficient knowledge of aerospace requirements, as defined by Appendix A, section A.3.1 (9100) or section A.4.1 (9110) industry specific training course, additional training and/or practical experience will be required. Witness shall be performed by authentica

48、ted AEA who themselves have not become qualified via an industry specific training. The witness AEA shall not perform the audit as a member of the assessment team. SAE AS9104/3 - 9 - TABLE 2 - 9110 AUDITOR AND AEROSPACE EXPERIENCED AUDITOR REQUIREMENTS ELEMENT 9110 AUDITOR 9110 AEROSPACE EXPERIENCED

49、 AUDITOR AUDITOR RECOGNITION QMS auditor by nationally-recognized AAB or meet the education, training, work experience, and audit experience of ISO 19011 (see section 7.4). AUDIT EXPERIENCE 4 full QMS or full AQMS audits (9100 or 9110) conducted for a total of 20 audit person days within the past 3 years. Only 2ndor 3rdparty audits shall be considered. Successful completion of an approved 9110 AQMS