EN 9104-003:2009

SLOVENSKI STANDARD
01-maj-2009
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Aerospace series - Quality management systems - Part 003: Requirements for
Aerospace Quality Management System (AQMS) Auditor Training and Qualification
Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil 003: Anforderung an das
Qualitätsmanagementsysteme der Luft- und Raumfahrt anwendbar für Auditoren
Ausbildung und Qualifikation
Série aérospatiale - Systèmes de management de la qualité - Partie 003 : Exigences
applicables au Système de Management de la Qualité dans le domaine Aérospatial
(SMQA) Formation et Qualification des Auditeurs
Ta slovenski standard je istoveten z: EN 9104-003:2009
ICS:
03.120.10 Vodenje in zagotavljanje Quality management and
kakovosti quality assurance
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EUROPEAN STANDARD
EN 9104-003
NORME EUROPÉENNE
EUROPÄISCHE NORM
February 2009
ICS 49.020
English Version
Aerospace series - Quality management systems - Part 003:
Requirements for Aerospace Quality Management System
(AQMS) Auditor Training and Qualification
Série aérospatiale - Systèmes de management de la Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil
qualité - Partie 003 : Exigences applicables au Système de 003: Anforderung an das Qualitätsmanagementsysteme
Management de la Qualité dans le domaine Aérospatial der Luft- und Raumfahrt anwendbar für Auditoren
(SMQA) Formation et Qualification des Auditeurs Ausbildung und Qualifikation
This European Standard was approved by CEN on 11 July 2008.
CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European
Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national
standards may be obtained on application to the CEN Management Centre or to any CEN member.
This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CEN member into its own language and notified to the CEN Management Centre has the same status as the
official versions.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,
Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2009 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9104-003:2009: E
worldwide for CEN national Members.

Contents Page
Foreword .3
Introduction .4
1 Scope .5
2 Normative references .5
3 Terms and definitions .5
4 General .7
5 AQMS auditor competency requirements .8
6 Requirements for training courses . 10
7 AQMS aerospace experience auditor evaluation and authentication . 19
8 Re-authentication or withdrawal of AQMS AEA . 20
Annex A (normative) Detailed requirements for training courses . 21
A.1 AQMS foundation course . 21
A.2 AQMS standard auditor course . 21
A.3 EN 9100 - Aerospace industry specific course (formerly the in-depth/competency course) . 23
A.4 EN 9110 - Aerospace industry specific course for repair/maintenance. 24
A.5 Off-site/self study course . 25
Bibliography . 28

Foreword
This document (EN 9104-003:2009) has been prepared by the Aerospace and Defence Industries Association
of Europe - Standardization (ASD-STAN).
After enquiries and votes carried out in accordance with the rules of this Association, this Standard has
received the approval of the National Associations and the Official Services of the member countries of ASD,
prior to its presentation to CEN.
This European Standard shall be given the status of a national standard, either by publication of an identical
text or by endorsement, at the latest by August 2009, and conflicting national standards shall be withdrawn at
the latest by August 2009.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such patent rights.
According to the CEN/CENELEC Internal Regulations, the national standards organizations of the following
countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Cyprus, Czech
Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia,
Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain,
Sweden, Switzerland and the United Kingdom.
Introduction
This document is written to define a common process for aerospace auditor training and authentication to be
utilized by all the International Aerospace Quality Group (IAQG) sectors. In order to harmonize the
presentation, the clause numbering system of this standard has been modified accordingly.
In December 1998, the Aerospace Industry established the International Aerospace Quality Group (IAQG)
with the purpose of achieving significant improvements in quality and reductions in cost throughout the value
stream.
IAQG developed a truly global scheme IAQG 9104 for the use of assessment results performed by
Certification/Registration Bodies (CRBs), 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 the accreditation of personnel
certification bodies, accreditation of CRBs 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
demonstration 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.
(EN ISO 19011:2002, 7.1).
Knowledge and skills are only two elements of competency. Therefore, organizations operating AQMS audit
programs should establish and implement effective competency systems that are based on
EN ISO 19011:2002 (section 7), ISO/IEC Guide 62 and IAF GD 2.
The IAF Guidance on the application of ISO/IEC Guide 62 (IAF GD 2) requires personnel operating in a
specific technical field to have competence for the functions they perform, be they management, technical,
administrative or other (IAF GD 2 G 2.21). This means that an organization operating an aerospace auditing
program should have adequate personnel with required knowledge of aerospace processes, 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 Course to satisfy the
competency criteria in IAQG 9104 to support certification/registration and recognition of Aerospace Quality
Management Systems.
1 Scope
This document provides the minimum requirements (Body of Knowledge) for AQMS Auditors who will
participate in AQMS Certification/registration activities including Auditor Authentication process and for
training organization. It is applicable to auditors seeking formal approval to conduct audits of the AQMS
systems under the IAQG and those who manage the competency element of an AQMS audit program and to
training organizations.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
EN 9100, Aerospace series — Quality management systems — Requirements (based on ISO 9001:2000) and
Quality systems — Model for quality assurance in design, development, production, installation and servicing
(based on ISO 9001:1994)
EN 9104, Aerospace series — Quality management systems — Requirements for Aerospace Quality
Management System Certification/Registrations Programs
EN 9110, Aerospace series — Quality systems — Model for quality assurance applicable to maintenance
organizations
EN 9120, Aerospace series — Quality management systems — Requirements for stockist distributors (based
on ISO 9001:2000)
EN ISO 9000:2005, Quality management systems — Fundamentals and vocabulary (ISO 9000:2005)
EN ISO 9001, Quality management systems — Requirements (ISO 9001:2008)
EN ISO 19011:2002, Guidelines for quality and/or environmental management systems auditing
(ISO 19011:2002)
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1
accreditation body
AB
body recognized by an IAQG sector that has the primary responsibility for the accreditation of certification
bodies to issue certifications/registrations to Aerospace Quality Management Systems standards
3.2
aerospace
business of design, manufacture, maintenance, distribution and support of aviation vehicles and engines,
accessories and component parts, all ancillary and allied businesses including aerospace vehicle operations
NOTE This also includes Space and Defence.

1 Or the corresponding AAQG standards (e.g. AS, ARP, etc.) or APAQG (e.g. JISQ, SJAC, HB, etc.).
3.3
aerospace experience auditor
AEA
auditor that has met the requirements set forth in this document and in EN 9104
3.4
aerospace product
aircraft, rotorcraft, guided weapon, launcher, spacecraft, other product designed to travel through the air,
inside or outside the ground effect, or to travel outside the influence of the earth’s atmosphere or major
components of these products such as engines or major sub-systems or parts, appliances, equipment and
materials as contained in these
Refer to EN 9104.
3.5
aerospace quality management system standards
AQMS
standards published under the umbrella of IAQG generally referred to as EN 9100, EN 9110 and EN 9120
NOTE In some countries, these standards are published with different designations.
3.6
auditor
person that has met the requirements set forth in EN 9104 and this document
3.7
auditor authentication body
AAB
body recognized by an IAQG sector that has the primary responsibility for certifying or approving persons (e.g.
auditors) against specific requirements
3.8
blended learning
combination of electronic, knowledge-based training and face-to-face, skills-based training
3.9
body of knowledge
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 such as the
educational establishment, training establishments, membership and those organizations that need to define
guidance or competencies for their quality professionals
NOTE The IAQG's Body of Quality Knowledge is revised and administered by the IAQG People Capability Strategy
Stream that accepts requests for revision as and when they arise from user groups and other interested parties.
3.10
Certification Body(ies)
CB
body that audits and certifies/registers the conformity of the quality management system of organizations with
respect to published aerospace quality management system (AQMS) standards and any supplementary
documentation required under the system
NOTE Also referred to as a Certification/Registration Body (CRB).

2 Sectors may use other names for 'Auditor', 'Aerospace Auditor' and 'Aerospace Experienced Auditor’ (AEA) as long as
the requirements of EN 9104 and this document are applied.
3.11
electronic training
training that is conducted through computer-based methods (e.g. on-line, cd-rom)
3.12
international aerospace quality group
IAQG
body of prime aerospace Original Equipment Manufacturers (OEMs); this group is chartered to develop and
implement common requirements and guidelines for use by the space, aviation and defense industries for
quality improvement
3.13
IAQG sector or sector
sub-structure of the IAQG, consisting of the members in a specific area, such as Americas, Europe and
Asia/Pacific
3.14
sector management structure
SMS
organization established in a sector that manages the application of the sector scheme based on EN 9104
Each sector may use a different name for this organization (e.g. Registration Management Committee [RMC]
in the Americas and Asia Pacific, Other Party Management Team [OPMT] in Europe within the AeroSpace
and Defence Industries Association of Europe [ASD])
3.15
training provider approval body
TPAB
body recognized by the SMS that has the primary responsibility to conduct the review and approval of training
course content and training provider administration
3.16
work experience
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 organization such as National Aviation Authorities (NAA),
domestic Space Agency (e.g. ESA/NASA/CSA), Ministry of Defense (MoD).
The work experience should have included direct involvement and/or knowledge of aerospace industry
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 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, 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.
In addition for maintenance this work experience should have included direct involvement and/or knowledge of
maintenance regulations, such as EASA/FAR 145/147, and EASA Part M, return to service processes, flight
test, functional checks prior to flight, weight and balance, wing walking or aircraft marshalling techniques
4 General
4.1 To support the AQMS auditor programs for organizations participating under the IAQG Industry
Controlled Other Party scheme (ICOP), the IAQG has established minimum requirements for AQMS training
courses and authentication of AQMS auditors.
4.2 AQMS auditor competency programs shall provide for the definition of competency requirements and
include a process for the initial determination of AQMS auditor competency and ongoing evaluation of AQMS
auditor competency. Auditor competency programs shall be suitable to the nature and volume of AQMS audits
conducted.
4.3 AQMS auditor competency is gained through a combination of AQMS auditor training, industry specific
training, aerospace work experience and audit experience. Auditor competency can only be demonstrated
through on-site evaluation.
5 AQMS auditor competency requirements
5.1 AQMS Auditors seeking authentication are required to meet the guidelines identified in
EN ISO 19011:2002 (section 7.4) and shall possess a combination of audit experience, AQMS training,
Industry Specific training (as applicable), and Work Experience relative to an AQMS standard, as defined in
this document.
5.2 The following categories of auditors have been established:
 Auditor 9100.
 Auditor 9110.
 Auditor 9120.
 Aerospace Experience Auditor (AEA) 9100.
 Aerospace Experience Auditor (AEA) 9110.
 Aerospace Experience Auditor (AEA) 9120.
5.3 The auditor authentication requirement for each auditor category described in 5.2 includes the
qualification criteria specific to a particular AQMS standard. Auditors are found competent independently in
each category, and can only conduct audits to the identified standard (i.e. AEA 9100 auditors cannot perform
audits to EN 9110/EN 9120). Auditors can, however, be recognized for one or more Auditor categories.
5.4 The requirements to which auditors must demonstrate conformity before they can conduct audits
recognized by IAQG ICOP are identified in Tables 1 and 2. Note that two different sets of criteria can be
applied depending on the amount of Aerospace industry work experience the auditor holds, to become AEA.
5.5 Training courses required to support auditor authentication are required to be approved by the SMS
recognized TPAB (Training Provider Approval Body).
NOTE ABs are not responsible for approving training courses.
Table 1 — Requirement for 9100 and 9120 (EN 9100/9120)
Element Auditor 9100/9120 AEA 9100/9120
Auditor QMS Auditor by nationally-recognized personnel certification body or meet the
recognition education, training, work experience and audit experience of EN ISO 19011:2002
section 7.4.
4 full QMS or AQMS (9100) audits conducted for a total of 20 audit person days within
the past 3 years.
Audit Experience
nd rd
Only 2 or 3 party audits shall be considered.
Successful completion of an approved Foundation Course (see Annex A):
 9100 for 9100 auditors.
 9120 for 9120 auditors.
An attendee can only attend the Foundation Course if he/she has successfully
AQMS Auditor
completed a QMS (EN ISO 9001) auditor training course.
Training
or
Successful completion of an approved AQMS standard Auditor Course (see Annex A):
 9100 for 9100 auditors.
 9120 for 9120 auditors.
Successful completion of
an approved Aerospace
Industry Specific
Not required Industry Specific Course:
Training
9100/9110.
(See Annex A.)
4 years
of AQMS
Work Experience 2 years of AQMS
work experience
in AQMS sector Not required work experience
within the past
See 3.16 within the past 15 years.
10 years,
Successful completion of
as specified
a
two full audits witnessed
in 3.16.
by an AEA:
Auditor
Not required
Evaluation  9100 for 9100 auditors.
 9100 or 9110 for 9120
auditors.
a
If during witness audit a candidate shows insufficient knowledge of aerospace requirements as mentioned under Sec 3.1 of
Aerospace specific training course in Annex A, additional training and/or practical experience will be required.
Witness shall be performed by authenticated 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.

Table 2 — Requirement for 9110 (EN 9110)
Element Auditor 9110 AEA 9110
Auditor QMS Auditor by nationally-recognized AAB or meet the education, training, work
recognition experience and audit experience of EN ISO 19011:2002 (section 7.4).
4 full QMS or full AQMS audits (9100 or 9110) conducted for a total of 20 audit person
days within the past 3 years.
Audit Experience
nd rd
Only 2 or 3 party audits shall be considered.
Successful completion of an approved 9110 Foundation Course (see Annex A).
An attendee can only attend the Foundation Course if he/she has successfully
AQMS Auditor
completed a QMS (EN ISO 9001) auditor training course.
Training
or
Successful completion of an approved AQMS standard Auditor Course (see Annex A).
Successful completion of
Industry Specific an approved Aerospace
Not required
Training Industry Specific Course:
4 years
Repair/Maintenance.
of AQMS
work experience
Work Experience 2 years of AQMS
within the past
in AQMS sector, Not required work experience
10 years,
see 3.16 within the past 15 years.
as specified
in 3.16.
Successful completion
Auditor
Not required of 2 full 9110 audits
Evaluation
a
witnessed by an AEA.
a
If during witness audit a candidate shows insufficient knowledge of aerospace requirements as mentioned under Sec 4.1 of
Aerospace specific training course in Annex A, additional training and/or practical experience will be required.
Witness shall be performed by authenticated 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.

6 Requirements for training courses
NOTE See Annex A for detailed requirements for training courses.
6.1 Class size, attendance
The number of students in a class shall be no greater than 20, nor fewer than four. A course for fewer than
four attendees or greater than 20 attendees may be considered under rare and exceptional circumstances.
Attendees shall be required to be in attendance for the full duration of the course. Failure to do so shall be
reflected in the attendee’s continual and final evaluations.
6.2 Presentation and organization
The course shall be presented during consecutive days, unless otherwise authorized by the approval body.
The total course time shall be calculated in accordance with the minimum requirements for each course type.
If the course is given through interpreters, this time shall be increased as required to meet the learning
objectives.
Time devoted to meals, breaks, or other free time is not included in the calculation of the course duration.
Each attendee shall actively participate in workshop, case studies, role-playing, and/or actual auditing of an
organization as part of the structured class activities. For the Standard and Foundation courses, at least 50 %
of the total course time shall be used for such activities. For the Aerospace Industry Specific courses, at least
30 % of the total course time shall be used for such activities.
Each course offering shall be 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
course offering.
Any case studies shall be designed to cover the important aspects of the applicable AQMS and shall be
aerospace-industry related.
The course shall be structured and conducted so that each attendee is subjected to realistic audit practices
and conditions. 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.
Training aids, such as commercial training videos, videos produced during the course to record and review
performance of attendees, CDs or interactive training tools that are directly relevant may be used to
supplement the training by the instructors.
When activities (e.g. written quizzes or 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 during the entire exam to assure good examination
practice.
The instructor shall demonstrate effective management of the course, including attention to time schedule,
course content, requirements of the standard, instructor conduct, and other course requirements.
6.3 Course materials
Early in the course presentation the training provider shall provide to the students a description of the course
format, student responsibilities, how the student will be evaluated, and the basis for each type of evaluation.
Each student shall be provided with a complete set of course notes to supplement the training program.
The documents included in the course notes shall themselves illustrate good organization, layout and
document management practices, including document revision level and appropriate page numbering.
The set of course notes shall prominently identify the approved training provider (e.g. cover page).
The student notes shall cover each session and shall include all important points of the learning objective(s)
being covered.
Examples of typical documents, checklists and forms shall be included.
Course notes may include typical examination questions, provided they are not used in any of the
examinations, either during the course or following the course.
Each student shall have a copy of the applicable AQMS standard. If the standard is not supplied as part of the
course notes, each student shall be required to bring a copy to the course. A copy shall be made available for
loan to any student who does not have one.
6.4 Instructor qualifications
All instructors shall have the following competencies:
a) be thoroughly experienced in the principles and practices of auditing management systems relevant to
the content of the course(s) they instruct;
b) ability to facilitate the learning of appropriate auditing knowledge, and the development of auditing skills;
c) ability to teach, and familiarity with the current course materials and documentation;
d) knowledge of current auditing practices and of relevant standards.
Before allowing instructors to present a course, training providers shall first ensure he/she has acquired the
competencies as defined above. As a minimum this shall involve the instructor:
e) participating as an instructor under the supervision of a trained instructor, for a minimum of one course;
f) being monitored by the training provider presenting and managing the course.
One instructor for the Foundation and Standard course offering shall be certified as an Audit Team Leader by
an internationally recognized personnel certification body (or alternative equivalent acceptable to the Training
Provider Approval Body) or shall have acquired auditing competencies through practical experience in leading
teams of auditors on complete, relevant management system audits.
One instructor for each course offering shall have aerospace industry experience. This experience should
include a minimum of 4 (four) years of direct involvement in Engineering, Design, Manufacturing, Quality or
Process Control for a major airframe/spacecraft/space payload manufacturer, prime supplier, auxiliary
equipment supplier and/or appropriate national regulatory organization (e.g. NAA, MoD, Space Agency). The
four years should have been within the prior ten calendar years.
Once approved, an instructor may continue even if the work experience no longer meets the above
requirement (for example, aerospace industry experience was eleven years ago).
Each course offering should be taught by (an) instructor(s) in the language of the students. However, if
interpreters must be used, they shall be capable of providing effective interpretations. An interpreter shall be
provided for each instructor who does not speak the language of the students.
At least one instructor for the Foundation and Standard course should have current auditing experience in the
country and culture in which the course is conducted. If at least one instructor does not have such experience,
another person who has current knowledge of local requirements, culture and practices shall be included on
the instruction team to provide information and advice to the instructors. This adviser shall be present for parts
of the course where local knowledge is relevant.
The training provider shall have documented procedures that ensure that all instructors meet the training
provider's competence requirements and maintain satisfactory performance. These procedures shall include
review, at least annually, of each instructor's performance. Records of these reviews shall be maintained by
the training provider.
Where there has been no previous presentations of a course (i.e. where the training provider is seeking initial
approval), the training provider shall have documented evidence of fulfilment of the competence requirements
of the instructors before the initial presentation.
6.5 Facilities
The training provider shall see that suitable facilities for training are provided, including classroom, audio-
visual and other training equipment, and facilities for team activities.
6.6 Evaluation of attendees
Each student’s achievement of all learning objectives shall be measured by the training provider, through a
combination of continual evaluation conducted by the instructor throughout the duration of the course and
written examination.
6.7 Written examination
The written examination shall demonstrate the attendees comprehension of the audit process and application
of the AQMS, and their ability to provide written justification of their evaluations. The examination shall be
designed so that a competent attendee (i.e. one who has demonstrated achievement of the learning
objectives) could achieve a minimum mark of 70 % in the time designated within the specific AQMS course.
Strict adherence to the time limit is to be maintained.
For a student whose primary language is not that in which the course is conducted, the training provider may,
at its discretion, allow additional time to take the written examination. The attendee may use an appropriate
two-language dictionary. Any such allowance shall be indicated in the records of the course or of the
examination, with supporting reasons.
The instructor(s) may allow an attendee with a particular disability that adversely affects the attendee’s
capability to complete the examination in the allotted time, additional time for taking the written examination.
Any such allowance shall be indicated in the records of the course or of the examination, with supporting
reasons.
At least 75 % of the examination grade shall be based on questions that require essay responses that test the
students’ comprehension of the audit process and the application of the AQMS, and their ability to provide
written justifications of their evaluations. The exam shall include the writing of a nonconformity.
The remainder of the examination grade shall be based on multiple choice, true/false and/or short answer
questions.
The examination minimum passing grade shall be 70 %.
The only reference materials allowed during the examination are copies of the applicable AQMS standard, the
course notes provided by the training provider and any personal notes made by the attendee during the
course.
Copies of examination questions (other than those in an example examination paper), examination papers,
solutions or completed examination papers shall not be supplied to any student or any other party (except to
the approval body).
6.8 Continual evaluation
The continual evaluation shall be documented and shall evaluate each student’s:
a) achievement of the learning objectives, and
b) attendance and punctuality during the course,
c) auditing skills and ability to deal with various audit situations (soft skill).
Each student’s performance shall be reviewed at the end of each day by the instructor(s).
A daily grade shall be assigned for each student, reflecting the assessment of the instructor(s).
All students shall be informed privately and in a timely manner of the instructor's observations on strong and
weak point including the opportunities to improve.
A student who fails the continual evaluation must satisfactorily complete another full training course before
being eligible to receive a certificate of successful completion.
6.9 Grading; pass/fail decisions
Each examination paper shall be graded by the instructor(s). For examination papers with scores between
60 % and 75 %, another instructor shall check the addition of the score allocated in each section and re-grade
each paper.
The training provider shall have procedures to resolve any differences in grading and issue final grades.
If the course is given through interpreters, the translators who translate the students’ written examination
answers shall be selected by the training provider in such a way that the training provider is confident that they
provide impartial, knowledgeable and accurate translations.
The instructor shall review the written examinations and the continual evaluations, issue final evaluation, along
with pass/fail decisions based on the examinations and continual evaluations.
6.10 Re-examination
A student who fails the written examination shall be allowed one re-examination within 90 days of the last day
of the course.
A different examination paper shall be used for the re-examination.
The re-examination shall be taken in the presence of an approved proctor as described in the training
provider’s procedures.
A student who fails the re-examination must take a full training course again before being eligible to take
another examination.
6.11 Electronic training: course format
Courses in which additional auditing skills are to be learned (e.g. Foundation Course) may be conducted
completely in an electronic environment.
Courses in which new auditing skills are to be learned (e.g. AQMS Standard Course) may be conducted in a
“blended learning” format using a combination of electronic and face-to-face activities.
a) Assessment of auditing skills shall occur in a face-to-face, interactive environment.
b) The electronic portion and the face-to-face portion of the training shall be provided by the same training
provider (i.e. a student cannot take the electronic portion of one training provider’s training and attend the
face-to-face portion of a different training provider’s course).
c) Verification of successful completion of the electronic portion of the training shall be completed by the
training provider prior to the start of the face-to-face training. This verification shall be completed in
sufficient time to ensure the student does not attend the face-to-face portion of the training without having
fully completed the electronic portion.
d) Any student who does not successfully complete the electronic training prior to the face-to-face activities
shall be required to re-take the entire course.
e) There shall be no more than 90 days between the successful completion of the electronic portion of the
training and the commencement of the face-to-face training. The training provider’s registration
procedures shall ensure this is accomplished.
The amount of time the student is allowed to complete the electronic portion of the training shall not exceed
90 days.
The training provider shall be able to demonstrate that all of the learning objectives of the training intended to
be covered in the electronic environment can be effectively measured and successfully met without face-to-
face interaction. The training provider shall have adequate processes to ensure effective measurement of
student learning.
6.12 Program execution
Each student shall be provided with instructions for the operation of and navigation through the electronic
portion of course (e.g. a guide for the operation of a software program).
The program shall be developed in a format that is easily accessible for review, is compatible with standard
systems, is capable of measurement, and has capability to meet appropriate security requirements.
The program shall include practice testing capability.
The training provider shall ensure that student questions can be answered by a qualified instructor (for course
content) or technical support representative (for operation and navigation of the courseware) in an expedient
time frame (i.e. one business day).
6.13 Security
The training provider shall have adequate controls in place to ensure the integrity of the course content is not
compromised.
The training provider shall have adequate back-up systems to ensure the availability of the course content.
The training provider shall remain responsible for any activities subcontracted to another person or
organization (i.e. database maintenance, examination proctoring).
6.14 Quality management system (QMS)
Training Provider shall operate a management system that is documented and covers all the requirements of
this standard, and ensures the effective application of these requirements.
NOTE A documented quality management system based on EN ISO 9001, which addresses the requirements of this
Standard, would be one method of satisfying this requirement.
6.15 Administrative procedures
The training provider shall develop, implement and maintain documented procedures for the effective
administration of the course.
Areas covered shall include:
a) design, development and evaluation of course materials and documentation to ensure conformity with the
current criteria;
b) presentation of the course;
c) verification of prerequisite knowledge of students where this is required;
d) control of courses presented through affiliate or franchise organizations and courses presented overseas
and in other languages to ensure conformity with criteria;
e) control of course publicity and advertising;
f) document control system for maintaining the currency of procedures and course notes;
g) selection of, and ongoing training programs for instructors, including witnessing and evaluation annually;
h) management reviews;
i) records of individual students and each course offering, including analysis of statistics;
j) student evaluation procedure, including pass/fail criteria;
k) operation and conduct of the examination and re-examination, including security, invigilation and
confidentiality of examination questions and answers and marked papers;
l) issue and withdrawal of certificates;
m) storage and eventual disposal of marked papers and continual evaluation records;
n) methods, such as statistical techniques, used to measure student evaluations, instructor performance and
overall course performance;
o) submission of significant changes to the course(s) to the approval body for review and acceptance before
implementation; and
p) complaints and appeals.
6.16 Records
The training provider shall maintain records that demonstrate conformity to the requirements of these criteria
and shall be made available to the approval body.
Records, or translations of the records, shall be maintained in a language acceptable to the approval body.
Records may be in the form of any medium (hard copy, electronic, etc.) acceptable to the approval body.
If the training provider goes out of business, all the auditor training records shall be made available, free of
charge, to the Training Provider Approval Body (TPAB).
The records for pass/fail decisions and for course certificates shall be maintained for at least three years. All
remaining records shall be maintained for at least eighteen months unless otherwise specified.
The records for each course presentation shall include (as applicable):
a) venue and dates of presentation;
b) names of instruction team members (including substitutions), trainee instructors, and observers;
c) identification of the specific issue of the course documentation used;
d) identification of the examination paper used;
e) names of all students who attended the course, together with the continual evaluation results and the
examination results for each student;
f) marked examination papers and continual evaluation forms;
g) the percentage of students that successfully completed the course;
h) name of each student that took a re-examination, together with the re-examination result for each;
i) unique identification number of each certificate of successful completion and the name of the delegate to
whom it was issued.
6.17 Management review
The management of the training provider shall review at least annually the following, at a minimum, for
effectiveness and conformity to these criteria:
a) actions outstanding from previous management review meetings;
b) actions resulting from surveillance by the TPAB;
c) administrative procedures;
d) course design;
e) course presentation;
f) performance of instructors and future training/Continual Professional Development (CPD) needs;
g) complaints and appeals;
h) analysis of student feedback and pass/fail rates.
Records of reviews shall be retained for at least 3 (three) years.
6.18 Certificates
A certificate of "Successful Completion" shall be provided to each student who has passed both the written
examination and the continual evaluation. The certificate shall:
a) clearly state that the course is recognized by the approval body;
b) include the identification mark (if any) of the
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