EN 9104-002:2008

SLOVENSKI STANDARD
01-november-2008
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Aerospace series - Quality management systems - Part 002: Requirements for Oversight
of Aerospace Quality Management System Certification/Registrations Programs
Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil 002: Anforderungen an
Überwachung/Kontrolle von Zertifizierungsverfahren für Qualitätsmanagementsysteme
der Luft- und Raumfahrt
Série aérospatiale - Systèmes de management de la qualité - Partie 002 : Exigences
relatives à la supervision des processus de certification des Systèmes de Management
de la qualité dans le domaine aérospatial
Ta slovenski standard je istoveten z: EN 9104-002:2008
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 9104-002
NORME EUROPÉENNE
EUROPÄISCHE NORM
August 2008
ICS
English Version
Aerospace series - Quality management systems - Part 002:
Requirements for Oversight of Aerospace Quality Management
System Certification/Registrations Programs
Série aérospatiale - Systèmes de management de la Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil
qualité - Partie 002 : Exigences relatives à la supervision 002: Anforderungen an Überwachung/Kontrolle von
des processus de certification des Systèmes de Zertifizierungsverfahren für Qualitätsmanagementsysteme
Management de la qualité dans le domaine aérospatial der Luft- und Raumfahrt
This European Standard was approved by CEN on 1 May 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: rue de Stassart, 36  B-1050 Brussels
© 2008 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9104-002:2008: E
worldwide for CEN national Members.

Contents Page
Foreword.3
Introduction .4
1 Scope .5
2 Normative references .5
3 Terms and definitions .6
4 General.8
5 Requirements for participating international aerospace quality group member companies.9
6 Requirements for international aerospace quality group other party management team.10
7 Requirements for the sector management structure.13
8 Requirements for international aerospace quality group member shared oversight .15
9 Roles and responsibilities .17
10 Confidentiality and conflict of interest .19
11 Complaint resolution process .20
12 Records.20
13 Notes .20
Annex A (normative) International aerospace quality group (IAQG) industry controlled other party
(ICOP) sector management structure diagram and process model.21
Annex B (normative) On-line aerospace supplier information system (OASIS) management
assessment check sheet.23
Annex C (normative) Sector management structure (SMS) assessment check sheet .25
Annex D (normative) Certification body management committee (CBMC) assessment check
sheet.27
Annex E (normative) Accreditation body (AB) office assessment check sheet.30
Annex F (normative) Certification body (CB) office assessment check sheet.32
Annex G (normative) Accreditation body (AB) / certification body (CB) witness assessment
check sheet .35
Annex H (normative) Auditor authentication body (AAB) / training provider approval body (TPAB)
office assessment check sheet.38
Annex I (normative) Industry Controlled Other Party (ICOP) declaration form for other party (OP)
assessors conducting EN 9104 oversight .40
Annex J (normative) Oversight nonconformity record .41
Annex K (normative) Oversight assessment summary report.43
Bibliography .44

Foreword
This document (EN 9104-002:2008) 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 February 2009, and conflicting national standards shall be withdrawn
at the latest by February 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 robust shared oversight process to ensure conformance to established
aerospace industry 9100-series accreditation/certification requirements.
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.
This document details the operating processes of the IAQG Other Party Management Team (OPMT) that
monitors and reviews the Aerospace Supplier Quality System Accreditation/Certification Schemes of each
Sector Management Structure (SMS).
This document provides requirements for a shared oversight process based on:
 the establishment of oversight committees at the international and global sector levels;
 use of joint team assessments;
 the use of qualified and approved IAQG member Other Party (OP) assessors;
 the use of common assessment tools;
 the reporting of oversight results.
This document addresses the following issues:
a) Establishment of standard oversight processes in all three global sectors (Europe, Asia Pacific and the
Americas). The management of these global sector schemes is referred to as SMS.
b) Oversight of SMS, Certification Body Management Committees (CBMCs), Accreditation Bodies (ABs),
Certification Bodies (CBs), Auditor Authentication Bodies (AABs), Training Provider Approval Bodies
(TPABs) and training providers.
1 Scope
1.1 General
These requirements are applicable to IAQG global sectors when utilizing Aerospace Industry Controlled Other
Party (ICOP) schemes for the assessment and certification of supplier quality systems in accordance with the
requirements contained in EN 9104.
IAQG member companies have committed to perform sufficient oversight of the Aerospace
accreditation/certification assessment processes in order to ensure conformance to established requirements
contained in EN 9104.
NOTE The IAQG OPMT oversight structure is depicted graphically in Annex A.
1.2 Purpose
The purpose of this standard is to document the process for oversight of the 9100-series certification of
Aerospace Quality Management Systems (AQMS) program. This process shall be implemented by
participating IAQG member companies, ABs, CBs, AABs, TPABs and training providers to ensure consistent
conformance with the requirements of EN 9104.
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
1)
(based on ISO 9001:1994)
EN 9104:2006, Aerospace series — Quality management systems — Requirements for Aerospace Quality
1)
Management System Certification/Registrations Programs
EN 9104-003, Aerospace series — Quality management systems — Part 003: Requirements for Aerospace
1) 2)
Quality Management System (AQMS) Auditor Training and Qualification
EN 9110, Aerospace series — Quality systems — Model for quality assurance applicable to maintenance
1)
organizations
EN 9120, Aerospace series — Quality management systems — Requirements for stockist distributors (based
1)
on ISO 9001:2000)
EN ISO 9000, Quality management systems — Fundamentals and vocabulary (ISO 9000:2005)
EN ISO 9001, Quality management systems — Requirements (ISO 9001:2000)
EN ISO/IEC 17011:2004, Conformity assessment — General requirements for accreditation bodies
accrediting conformity assessment bodies (ISO/IEC 17011:2004)

1) Or the corresponding AAQG standards (e.g. AS, ARP, etc.) or APAQG (e.g. JISQ, SJAC, HB, etc.)
2) In preparation at the date of publication of this standard.
EN ISO/IEC 17021, Conformity assessment — Requirements for bodies providing audit and certification of
management systems (ISO/IEC 17021:2006)
EN ISO/IEC 17024:2003, Conformity assessment — General requirements for bodies operating certification of
persons (ISO/IEC 17024:2003)
EN ISO 19011:2002, Guidelines for quality and/or environmental management systems auditing (ISO
19011:2002)
IAF, Guidance on the Application of ISO/IEC Guide 61:1996
IAF, Guidance on the Application of ISO/IEC Guide 62:1996
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 CBs to issue
certifications/registrations to AQMS 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
This also includes Space and Defence.
3.3
3)
aerospace experience auditor (AEA)
auditor that has met the requirements set forth in EN 9104 and EN 9104-003
3.4
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
3.5
other party (OP) assessor
IAQG member representative that has been qualified and approved in accordance with this standard, and
supports a joint team assessment or conducts supplementary IAQG member oversight activity in accordance
with this standard
3.6
certification body (CB)
body that audits and certifies/registers the conformity of the quality management system of organizations with
respect to published AQMS standards and any supplementary documentation required under the system
Also, referred to as Certification Registration Body (CRB).

3) Sectors may use other names for 'Auditor', Aerospace Auditor' and 'Aerospace Experienced Auditor’ (AEA) as long as
the requirements of EN 9104 are applied.
3.7
certification bodies management committee (CBMC)
organization within an SMS that functions on a national level (e.g. Italy, France, Germany, Spain, UK, Austria);
responsible for EN 9104 conformance in their respective countries
They perform the same functions as the SMS under the control of their global SMS.
3.8
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 industry for quality improvement.
3.9
international aerospace quality group (IAQG) sector or sector
sub-structure of the IAQG, consisting of the members in a specific area, such as Americas, Europe and
Asia/Pacific
3.10
joint team assessment
oversight assessment conducted in accordance with the requirements of this standard by a team of
representatives, which may be comprised of AB assessors, OP assessors, and observers
3.11
nonconformity
non-fulfilment of a requirement (see EN ISO 9000)
major: the absence of, or the failure to implement and maintain, one or more requirements which would, on
the basis of available objective evidence raise significant doubt as to the credibility of conformance; or a
number of minor nonconformities against one or more requirements, which when combined, can represent a
breakdown of the system or process
minor: an observed lapse in conformance to a requirement
3.12
office assessment
on-site evaluation of an AB, CB, AAB or TPAB, at the management office, to the applicable aerospace
requirements, using the evaluation tools and methods contained in this standard
3.13
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 in the
Americas and Asia Pacific, OPMT in Europe within the AeroSpace & Defense Industrires Association of
Europe [ASD]).
3.14
training provider
body that has the primary responsibility for providing aerospace training against specific requirements
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
witness assessment
evaluation of an audit team conducting an on-site audit, to the applicable aerospace requirements, using the
evaluation tools and methods contained in this standard
4 General
4.1 Aerospace ICOP oversight requirements are contained within this standard. Aerospace sector
accreditation/certification/auditor authentication requirements are contained within the referenced published
standards (e.g. EN 9104). The check sheets contained in this standard (see Annexes B thru H) are provided,
as guidance, for conducting oversight assessments. These check sheets may be expanded by the IAQG
OPMT or respective SMS to cover additional requirements in their sectors or provide additional clarification,
as needed.
4.2 Any IAQG member company wishing to recognize AQMS certification shall conduct oversight.
4.3 Participating IAQG member companies shall provide the necessary resources to support the SMS
committees and oversight activities.
4.4 Industry auditors that have an employment relationship with a CB, can be neither OP assessors nor
voting members of SMS committees.
4.5 The IAQG OPMT and each global SMS shall annually conduct a review and evaluation of the scheme
to ensure its continued effectiveness. The evaluation shall include review and analysis of the following:
a) Data reported by participants in this process (i.e. IAQG member, AB, CB).
b) IAQG On-line Aerospace Supplier Information System (OASIS) database information (e.g. number of
findings, breakdown of findings based on majors vs. minors).
c) International Accreditation Forum (IAF) peer review activity on the ABs in each sector.
d) Complaints (i.e. AB, CB, SMS, IAQG member).
e) Assessment activity conducted by SMS recognized ABs at accredited CBs.
f) Joint team assessment oversight activities conducted by the SMS, which include:
 On-site office assessments of ABs.
 On-site office assessments of CBs.
 On-site witness assessments of AB/CB at client’s facilities.
 On-site office assessments of AABs.
 On-site office assessments of TPABs.
 Approval of training courses, when required.
4.6 Each AB shall report annually to the SMS the following information, for each CB they have accredited:
 date accredited;
 number of AEAs employed/contracted;
 date of last CB office assessment and witness assessment, including type, quantity of major/minor
nonconformities, and observations issued.
4.7 Each AB shall report annually to the SMS the results of any IAF Peer Evaluations, IAQG member or
Regulatory Authority assessments conducted for AB conformance to EN 9104.
4.8 The AB shall report CB performance data and/or trends to the voting members of the SMS and
designated SMS representatives.
4.9 The AB may provide the data above to the SMS during the AB office assessment conducted by the SMS.
5 Requirements for participating international aerospace quality group member
companies
5.1 Other party assessor
5.1.1 IAQG member companies shall ensure that assigned representatives who support IAQG OPMT
and/or SMS activities have the necessary tools (e.g. published standards, computer equipment) and
resources to accomplish committed tasks.
5.1.2 IAQG member companies shall ensure that their designated OP assessors are qualified in
accordance with this standard and they shall provide objective evidence of such every three years, via
submission of a completed declaration form (see Annex I) to the respective SMS.
5.1.3 IAQG member companies shall ensure that only qualified individuals are assigned to conduct
oversight assessments or participate in joint team assessments supporting the SMS.
5.1.4 Assessor qualification shall include comprehensive training on the following:
 EN 9104.
 EN 9104-002.
 EN 9104-003.
 AQMS standards (e.g. EN 9100, EN 9110, EN 9120).
 EN ISO 19011.
 ISO/IEC Guide 61 (Superseded by EN ISO 17011 on January 01, 2006).
 IAF Guidance on the Application of ISO/IEC Guide 61:1996.
 ISO/IEC Guide 62 (Superseded by EN ISO 17021 on August 01, 2006).
 IAF Guidance on the Application of ISO/IEC Guide 62:1996.
 Conflict of interest and confidentiality requirements.
 Complaint resolution process.
 Any applicable global sector SMS documents that apply (e.g. AS9014).
5.1.5 OP Assessors shall, as a minimum, meet the education and training requirements of EN ISO 19011
and continually meet the following requirements:
a) Auditing Experience: to have conducted at least three AQMS audits or OP assessments for a minimum of
nine assessment days, within the last three years.
NOTE 1 Joint team assessments and/or oversight assessments may be considered for meeting the above audit criteria.
b) Work Experience: four years aerospace industry experience within the prior ten calendar years.
NOTE 2 Work experience to include four years full time 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),
European Space Agency (ESA)/National Aeronautics and Space Administration (NASA), Ministry of Defense (MoD),
Department of Defense (DoD).
5.2 Supplemental international aerospace quality group member oversight
IAQG member companies may conduct additional oversight, above the minimum EN 9104-002 requirements
and outside the SMS shared oversight schedule.
a) This oversight activity must not be a duplication of SMS activity, but may be linked to IAQG member
analysis of internal ICOP recognition activity (e.g. number of CB clients, complaints, number of auditors).
b) IAQG members shall ensure that only qualified OP assessors are assigned to conduct supplemental
oversight assessments.
c) The oversight activity must be scheduled and coordinated with all affected parties in advance of
assessment conduct.
d) When applicable, the oversight assessment tools contained in this standard shall be used.
e) Any nonconformity identified shall be recorded on an Oversight Nonconformity Record (see Annex J) and
resolved in accordance with the complaint process defined in this standard.
f) IAQG member companies shall maintain records of supplemental oversight.
g) Supplemental IAQG member oversight activities shall be summarized and reported to the member’s
global SMS on an annual basis.
NOTE The intent of supplemental oversight is not to duplicate SMS activities, but to ensure that if an IAQG member
company conducts ICOP oversight that it shall be accomplished using trained OP assessors and the tools contained
within this standard shall be utilized.
6 Requirements for international aerospace quality group other party management
team
6.1 Responsibilities of the other party management team
6.1.1 The IAQG OPMT is the committee responsible for managing EN 9104 application on a global level.
6.1.2 Monitor that each SMS is implementing their sector schemes and is in conformance with EN 9104.
6.1.3 Provide a mechanism for a periodic review of the lessons learned by each of the sector schemes and
a review of any proposed changes.
6.1.4 Ensure that the OASIS database operates effectively and is accessible to the IAQG members.
6.2 Other party management team actions required to fulfil the responsibilities defined in
EN 9104
6.2.1 Review regular status reports from each SMS.
6.2.2 Perform a review of the operation and conformance of each sector scheme at least once every two
years.
6.2.3 Monitor feedback from IAQG members, CBs, and suppliers regarding overall process performance.
6.2.4 Review the operation of the OASIS database.
6.2.5 Review SMS procedures and processes.
6.3 Oversight of the on-line aerospace supplier information system database
6.3.1 The IAQG OPMT shall conduct an annual oversight assessment of the operation, maintenance, and
configuration control of the OASIS database. The assessment shall be accomplished utilizing the OASIS
Management Assessment Check Sheet as guidance (see Annex B). The assessment may be performed at
the SAE office.
6.3.2 The results of the assessment shall be recorded on an Oversight Assessment Summary Report
(see Annex K).
6.3.3 Any nonconformity identified, during the assessment, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
6.3.4 The review of database operations shall include:
 Reviewing SAE operating procedure for the OASIS database.
 Reviewing reports from the database administrator of any input rejections.
 Checking that each SMS has a process of assuring the accuracy of data being generated and maintained
in their sector.
 Monitoring feedback from IAQG members, ABs, CBs, and suppliers regarding the effectiveness and
accessibility of the database.
 Reviewing backup data and security processes.
 Reviewing the financial health condition of the OASIS database.
6.4 Oversight of sector management structure
6.4.1 The IAQG OPMT shall conduct an oversight assessment of the operation of each SMS. The
assessment shall be accomplished utilizing the SMS Assessment Check Sheet, as guidance (see Annex C).
6.4.2 The IAQG OPMT shall conduct assessments of the host SMS operation during face to face meetings
held in that SMS’s global sector.
6.4.3 The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see
Annex K).
6.4.4 Any nonconformity identified, during the assessment, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
6.4.5 The IAQG OPMT shall ensure that SMSs provide acceptable corrective action for all identified
nonconformities in a timely manner.
6.4.6 The oversight of each SMS shall take the following format:
a) Presentation by the SMS which demonstrates conformance to the requirements of EN 9104.
b) IAQG OPMT shall review the following:
 Controlling SMS operating procedures.
 Minutes of SMS meetings.
 SMS oversight activity.
 Auditor authentication records.
 TPAB and training course approvals.
 Feedback from IAQG members, CBs, and suppliers regarding overall process performance.
 Corrective action(s) taken from previous IAQG OPMT reviews.
6.5 International aerospace quality group reporting requirements
6.5.1 Annually the IAQG OPMT shall report the status and results of the global ICOP scheme to the IAQG
Council.
6.5.2 The report should include the following:
 Overall status and effectiveness of the ICOP scheme.
 Demographics (e.g. number of ABs, CBs, AEAs, AABs, TPABs, training course providers and certified
suppliers).
 SMS oversight activities.
 Scheduled versus completed assessments.
 IAQG member participation.
 Summary of oversight results.
 Details of resolutions taken.
 References of scheme documents, issue status, and any recent/proposed changes.
 OPMT initiatives including sub-team activities and opportunities for improvement.
 Status of the OASIS database.
7 Requirements for the sector management structure
7.1 General
7.1.1 The Sector Management Structure (SMS) is the committee(s) responsible for managing EN 9104
application in their respective global sector (Asia Pacific, Americas, Europe).
7.1.2 An SMS may be supported by a CBMC. A CBMC is the committee established by a National
Aerospace Industry Association (NAIA) to manage the application of the national scheme based on EN 9104
(e.g. France, Germany, Italy, Spain, United Kingdom).
7.2 Responsibilities of the sector management structure
 Manage EN 9104 application in their respective global sector (i.e. Asia Pacific, Americas, Europe).
 Report SMS activities and the effectiveness of their scheme to the IAQG OPMT.
 Review and recommendation of approval for ABs, CBs, AABs, TPABs and training courses.
 The management, review, approval, implementation, and modification of their sectorial procedure(s).
 Conduct oversight of CBMCs, ABs, CBs, AABs, and TPABs in accordance with this standard and EN 9104.
 Complaint resolution or elevation to the IAQG OPMT.
 Manage the shared oversight schedule for their sector (e.g. joint team assessments).
 Review and approval of AEAs in accordance with EN 9104-003.
 Provide a mechanism for a periodic review of the lessons learned and a review of any proposed changes.
7.3 Sector management structure oversight of certification body management committees
7.3.1 The SMS shall conduct an annual oversight assessment of each CBMC’s operation, as applicable.
The assessment shall be accomplished utilizing the SMS Assessment Check Sheet (see Annex C) and CBMC
Assessment Check Sheet (see Annex D), as guidance.
7.3.2 The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see
Annex K).
7.3.3 Any nonconformity identified, during the assessment, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
7.3.4 The SMS shall ensure that CBMCs provide acceptable corrective action for all identified
nonconformities and that they are addressed in a timely manner. Unresolved issues shall be elevated to the
IAQG OPMT in accordance with the process defined in Clause 11 of this standard.
7.3.5 The SMS oversight assessment shall include a review of the CBMC activity to ensure the committee
is in conformance with the requirements of EN 9104 (e.g. documentation and deployment, reporting, records,
complaint and feedback issues). The oversight assessment shall include a review of the following:
 Organization functioning and activities.
 Organization/composition, including voting rights.
 AB and CB approval activities.
 The delegation by the respective NAIA, when required.
 Corresponding documentation and controlling procedures.
 OASIS data entry and updates.
 AB and CB oversight activities.
 Auditor authentication procedure, activities and associated records.
 Complaint/appeals process.
 TPAB and training providers assessed, including a sample verification of records.
7.4 Oversight scheduling
7.4.1 Each SMS should establish an oversight surveillance sub-team that shall meet annually to review and
develop a schedule for shared oversight activities identified in this standard.
7.4.2 Scheduling shall be based on:
 EN 9104 oversight requirements.
 Data analysis (e.g. complaints, issues, assessment results).
 IAQG member companies’ recommendations.
7.4.3 All participating IAQG member companies shall provide resources to support the shared oversight
schedule.
7.4.4 The schedule should be based on a balanced distribution of assignments between participating IAQG
member companies and OP assessors.
7.4.5 SMS Oversight Surveillance Sub-team Chair and IAQG member companies shall ensure that only
approved OP assessors are assigned to support the schedule.
7.4.6 Prior to assessment assignment, consideration shall be given to any conflict of interest that may exist
(e.g. CB contracted by IAQG member).
7.4.7 Once the schedule has been established, any schedule changes shall be coordinated with all affected
parties.
7.4.8 The schedule shall be managed and maintained by the respective SMS Oversight Surveillance Sub-
team Chair.
7.5 Sector management structure approval of training courses
7.5.1 The SMS shall establish a process for the review and approval of the EN 9100-series aerospace
industry specific courses, in accordance with EN 9104 (see Clause 7) and EN 9104-003.
7.5.2 The SMS approval process shall be reviewed and approved by the IAQG OPMT.
7.6 Reporting requirements for the international aerospace quality group other party
management team
Each SMS shall report essential data that describes deployment activities to the IAQG OPMT. The report shall
include the following:
 Aerospace auditor population (approvals, disapprovals).
 OP assessor population.
 AB, CB, AAB, TPAB, and training provider population (approvals, disapprovals), including the number of
AQMS certifications issued.
 IAQG member oversight participation.
 Any key performance indicators agreed to by the IAQG OPMT.
8 Requirements for international aerospace quality group member shared oversight
8.1 General
8.1.1 All assessment activities shall be planned and scheduled with all affected parties, prior to conduct.
Whenever possible, OP assessors shall team with ABs to conduct joint team assessments.
8.1.2 Assessments shall be completed in accordance with the SMS oversight schedule.
8.2 Accreditation body/certification body witness assessments
8.2.1 The objective of any AB/CB witness assessment is to assess:
 Team competence.
 Conformity to established requirements.
 The effectiveness of the audit program.
 Conformity of the audit team with the AB/CB procedures and processes.
8.2.2 During AB/CB witness assessments, the OP assessor shall participate from the opening to closing
meeting of the assessment.
8.2.3 The OP assessor shall not influence the AB or CB audit team, during the audit conduct portion of the
witness assessment. The role when witnessing is one of observation only. Feedback to the audit team shall
occur upon conclusion of the client’s assessment (e.g. AB audit team debriefing). The OP assessor must
ensure that confidentiality between the AB/CB is maintained (e.g. no out-brief in front of client).
8.2.4 AB witness assessments shall be accomplished utilizing the AB/CB Witness Assessment Check
Sheet, as guidance (see Annex G). Whenever possible, AB witness assessments should take place during a
CB’s or TPCB’s re-accreditation office audit.
8.2.5 CB witness assessments shall be accomplished utilizing the AB/CB Witness Assessment Check
Sheet, as guidance (see Annex G).
a) The results, including the completed check sheet and associated nonconformity records (see Annexes G
and J respectively) shall be recorded in the AB audit report when a joint team assessment (AB and OP
assessor) is conducted.
b) The Oversight Assessment Summary Report (see Annex K) shall be completed by the OP assessor.
8.2.6 The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see
Annex K) by the OP assessor.
8.2.7 Any nonconformity identified, during the assessment, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
NOTE During joint team assessment activities, equivalent AB nonconformity reports may be utilized.
8.2.8 The assessment team leader shall ensure that acceptable corrective actions for all identified
nonconformities are addressed in a timely manner. Unresolved issues shall be elevated to the SMS, in
accordance with the process defined in section 11 of this standard.
8.3 Accreditation bodies assessments
8.3.1 An office assessment and at least one witness assessment shall be conducted annually.
8.3.2 AB office assessments shall be accomplished utilizing the AB Office Assessment Check Sheet, as
guidance (see Annex E).
8.3.3 The AB office assessment shall include:
a) A review of the AB activity to ensure conformance with the requirements of EN 9104 and applicable
standards (e.g. EN ISO 17011).
b) Verification that the AB has on file a letter of delegation/recognition from their respective NAIA or SMS.
c) A review of the last IAF peer evaluation and AB oversight office assessment reports, including actions
taken.
8.3.4 Any nonconformity identified, during the assessments, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
8.3.5 The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see
Annex K) by the OP assessor.
8.4 Auditor authentication bodies
8.4.1 An AAB office assessment shall be conducted annually.
8.4.2 AAB on-site office assessments shall be accomplished utilizing the AAB/TPAB Office Assessment
Check Sheet, as guidance (see Annex H).
8.4.3 The AAB oversight assessment shall include a review of the AAB activity to ensure conformance with
the requirements of EN 9104, EN 9104-003 and applicable industry standards (e.g. EN ISO 17024).
8.4.4 The assessment shall include a review of the previous AAB oversight office assessment reports,
including actions taken.
8.4.5 The assessment shall include a review of the last accreditation evaluation, if applicable.
NOTE When the AAB is a function of the CBMC, the AAB office assessment can be combined with the CBMC
assessment.
8.4.6 Any nonconformity identified, during the assessment, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
8.4.7 The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see
Annex K) by the OP assessor.
8.5 Training provider approval bodies
8.5.1 A TPAB office assessment shall be conducted annually.
NOTE The TPAB office assessment may be conducted at the same time as the AAB assessment (e.g. AAB and
TPAB are the same organization).
8.5.2 TPAB on-site office assessments shall be accomplished utilizing the TPAB portion of the AAB/TPAB
Office Assessment Check Sheet, as guidance (see Annex H).
8.5.3 The TPAB oversight assessment shall include a review of their activity to ensure conformance with
the requirements of EN 9104, EN 9104-003 and applicable industry standards (e.g. EN ISO 17024).
8.5.4 The assessment shall include a review of the latest TPAB oversight office assessment reports,
including actions taken.
8.5.5 Any nonconformity identified, during the assessment, shall be recorded on an Oversight
Nonconformity Record (see Annex J).
8.5.6 The results of the assessment shall be recorded on an Oversight Assessment Summary Report (see
Annex K) by the OP assessor.
8.6 Certification bodies
8.6.1 An office assessment and at least one witness assessment shall be conducted annually.
8.6.2 CB office assessments shall be accomplished utilizing the CB Office Assessment Check Sheet, as
guidance (see Annex F).
a) The CB office assessment shall include a review of CB activity to ensure conformance with the
requirements of EN 9104 and applicable industry standards (e.g. ISO/IEC Guide 62 and IAF Guidance on
the Application of ISO/IEC Guide 62).
b) The assessment shall include a review of the latest CB oversight office assessment reports, including
actions taken.
c) The results, including the completed check sheet and associated nonconformity records (see Annexes F
and J respectfully) shall be recorded in the AB audit report when a joint team assessment (AB & OP
assessor) is conducted.
d) The Oversight Assessment Summary Report (see Annex K) shall be completed by the OP assessor.
9 Roles and responsibilities
9.1 General
9.1.1 The IAQG OPMT and each SMS shall ensure that all participants in this process are aware of their
role and responsibilities.
9.1.2 All participants must ensure that they have the appropriate authority from their organization, prior to
participation.
9.1.3 Prior to oversight activity, consideration shall be given to any conflict of interest that may exist (e.g.
OP assessor contracted by AB) and such conflict shall be resolved between all affected parties.
9.2 Oversight assessment team leader
9.2.1 During joint team assessments (AB and OP assessor) a participating AB assessor shall be the
assessment team leader and during non-joint team assessments (assessment without an AB assessor) a
participating OP assessor shall be the team leader.
9.2.2 The assessment team leader shall be identified and their role communicated to all affected parties,
prior to the oversight assessment conduct.
9.2.3 The assessment team leader shall ensure the oversight activity is accomplished in accordance with
the requirements of this standard and meets the objectives of the assessment.
9.2.4 Additional assessment team leader responsibilities include the following:
 Resolution of any conflict of interest between affected parties.
 Conducting opening and closing meetings.
 Documenting the assessment results, including all required appendices.
 Generation of assessment reports.
 Corrective action review and acceptance.
 Notification of closure to the assessed organization.
 Elevation of any complaints/issues to the SMS or IAQG OPMT, as required.
9.3 Other party assessor
9.3.1 OP Assessors are responsible to ensure they have been approved by their respective IAQG member
company and submit a completed declaration form (see Annex I) to the SMS, prior to conducting an
assessment.
9.3.2 The declaration form (see Annex I) shall be reviewed and signed by the OP assessor and their IAQG
member company representative, prior to submitting to the SMS.
9.3.3 OP assessors are expected to declare any potential conflict of interest (see 10.3.1 of this standard),
prior to acceptance of an oversight assignment.
9.3.4 Additional OP assessor responsibilities include the following:
 Cooperating with the assessment team to meet the objectives of the assessment.
 Accepting and completing assessment assignments from the assessment team leader.
 Documenting the assessment results, including all required appendices.
 Generation of assessment reports.
 Elevation of any complaints/issues to the SMS or IAQG OPMT, as required.
9.4 Sector management structure/certification body management committees oversight
chair
9.4.1 SMS/CBMC Oversight Chair(s) are expected to declare any potential conflict of interest, prior to
acceptance of the assignment.
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