EN 9104-001:2013

SLOVENSKI STANDARD
01-februar-2014
1DGRPHãþD
SIST EN 9104:2009
Aeronavtika - Sistemi vodenja kakovosti - 001. del: Zahteve za programe
certificiranja sistemov vodenja kakovosti v letalstvu, vesoljskih dejavnostih in
obrambi
Aerospace series - Quality management systems - Part 001: Requirements for Aviation,
Space, and Defence Quality Management System Certification Programs
Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil 001: Anforderungen an
Zertifizierungsprogramme für Qualitätsmanagementsysteme in der Luftfahrt, Raumfahrt
und Verteidigung
Série aérospatiale - Systèmes de management de la qualité - Partie 001: Exigences
applicables aux processus de certification des systèmes de management de la qualité
dans le domaine aéronautique, spatial et de défense
Ta slovenski standard je istoveten z: EN 9104-001:2013
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 9104-001
NORME EUROPÉENNE
EUROPÄISCHE NORM
March 2013
ICS 03.120.10; 49.020 Supersedes EN 9104:2006
English Version
Aerospace series - Quality management systems - Part 001:
Requirements for Aviation, Space, and Defence Quality
Management System Certification Programs
Série aérospatiale - Systèmes de management de la Luft- und Raumfahrt - Qualitätsmanagementsysteme - Teil
qualité - Partie 001: Exigences applicables aux processus 001: Anforderungen an Zertifizierungsprogramme für
de certification des systèmes de management de la qualité Qualitätsmanagementsysteme in der Luftfahrt, Raumfahrt
dans le domaine aéronautique, spatial et de défense und Verteidigung
This European Standard was approved by CEN on 10 November 2012.

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-CENELEC 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-CENELEC Management Centre has the same
status as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United
Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2013 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9104-001:2013: E
worldwide for CEN national Members.

Contents Page
Foreword . 4
Introduction . 5
Rationale . 6
1 Scope . 8
2 Normative references . 8
3 Terms and definitions . 9
4 Requirements of the sector management structure . 12
5 Requirements for accreditation bodies . 14
6 Requirements for certification bodies . 20
7 For aerospace requirements quality management system auditors . 23
8 Requirements for audits and reporting . 23
9 Requirements for oversight process. 36
10 Requirements for auditor authentication bodies . 36
11 Requirements for training provider approval bodies . 38
12 Online aerospace supplier information system database . 40
13 Requirements of the other party management team . 41
14 Online aerospace supplier information system database feedback process . 42
15 Sector management structure . 43
16 Cross frontier policy for EN 9104/2 oversight activity . 45
17 Records . 45
18 Requirements for certified organizations . 46
19 Confidentiality and conflicts of interest . 46
20 Fees and financials . 47
21 NOTES . 47
Appendix A ACRONYM LOG . 48
Appendix B Industry controlled other party scheme certification structures matrix for
9100/9110/9120:2009 certification audits . 49
Appendix C Information to be uploaded into the online aerospace supplier information system
database . 51

Figures and Tables Page
Table 1 — Accreditation body assessment requirements of certification bodies . 17
Table 2 — Audit duration requirements . 25
Table 3 — Multiple site organization audit frequency . 27
Table 4 — Permissible reductions for reduced SCOPE / complexity for several site organizations . 28
Table 5 — Online aerospace supplier information system database data responsibility . 40
Figure 1 — Illustration of the customer – Supplier – Certification body feedback loops within
the online aerospace supplier information system database . 43
Figure 2 — Sector management structure diagram . 44

Foreword
This document (EN 9104-001:2013) 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 September 2013, and conflicting national standards shall be withdrawn at the
latest by September 2013.
This document supersedes EN 9104:2006.
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, Croatia, Cyprus, Czech
Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece,
Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,
Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom.
Introduction
In December 1998, the aviation, space, and defence industry established the IAQG with the goal of achieving
significant improvements in quality and reductions in cost throughout the value stream.
The IAQG developed specific requirements for aviation, space, and defence (interchangeably referred to as
'aerospace') quality management systems that are to be implemented and maintained throughout the supply chain
for the design, manufacture, and maintenance of products used in aviation, space, and defence applications.
These requirements are published simultaneously as the EN 9100-series standards (i.e., EN 9100, EN 9110,
EN 9120) by SAE International in the Americas, AeroSpace and Defence Industries Association of Europe -
Standardization (ASD-STAN) in Europe, and Japanese Standards Association (JSA) and Society of Japanese
Aerospace Companies (SJAC) in Asia/Pacific.
Another initiative of the IAQG was the development of a global scheme for the acceptance and recognition of
audits performed by Certification Bodies (CBs), using the EN 9100-series standards, and taking into account the
schemes already in use or under development in the various IAQG sectors. All these schemes have two major
elements in common:
rd
• the use of a 3 party audit certification scheme with specific aviation, space, and defence elements and
requirements, under the guidance and oversight of the aviation, space, and defence industry; and
• the use of a harmonized approach with the CBs for the purpose of improving the quality and process control
throughout the entire supply chain.
Rationale
After the initial publication of International Aerospace Quality Group (IAQG) EN 9104 standard in 2004, it became
evident that a single standard containing all aspects of the Industry Controlled Other Party (ICOP) Aerospace
Quality Management System (AQMS) was too complex. It was decided that the standard be broken into three
sections:
• EN 9104-001 – Requirements for Aviation, Space, and Defence Quality Management System Certification
Programs;
• EN 9104-002 – Requirements for Oversight of Aerospace Quality Management System Registration/
Certification Programs; and
• EN 9104-003 – Requirements for Aerospace Auditor Competency and Training Courses.
The requirements for oversight and AQMS auditor qualification information (EN 9104-002 and EN 9104-003
respectively) were removed from the original EN 9104 text. This effort necessitated the total rewrite of the initial
standard, now re-designated as EN 9104-001, which is the keystone document of the EN 9104-series trilogy.
This standard defines the basic requirements for managing the AQMS certification scheme (commonly referred to
as the 'ICOP scheme'). Two other standards in this series (i.e., EN 9104-002, EN 9104-003) provide specific
requirements for defining the oversight process, and the AQMS auditor qualification and training requirements,
respectively. These three standards together are commonly referred to as the ICOP certification management
system 'Trilogy'.
This standard establishes provisions for the individual IAQG sector schemes controlled use of audit results
provided by CBs, based on three primary criteria:
• the use of accredited CBs;
• the CB’s use of qualified and authenticated AQMS auditors; and
• the use of international aviation, space, and defence standards for quality management systems.
This standard addresses the following elements necessary for the ICOP scheme:
a) the approval of Accreditation Bodies (ABs), Auditor Authentication Bodies (AABs), and Training
Provider Approval Bodies (TPABs);
b) the qualification, accreditation, and recognition of CBs;
c) the audits of quality management systems by accredited CBs;
d) the criteria for determining the certification structure, content, and duration of audits;
e) the recording and disposition of nonconformities generated by the audits;
f) the posting of audit results, findings, and certification;
g) the entry of data into the Online Aerospace Supplier Information System (OASIS) database; and
h) the use of International Accreditation Forum (IAF) guidance and mandatory documents for established
processes (e.g. audit duration calculations, multiple site certifications).
Additionally, this standard references the other standards in the EN 9104-series (i.e., EN 9104-002, EN 9104-003)
that specify:
i) the minimum standards of qualification and experience for AQMS auditors;
j) the authentication of AQMS auditors by AABs and recognition by IAQG sectors;
k) the oversight of ABs, CBs, TPABs, AABs, and AQMS auditors by applicable Sector Management
Structure (SMS) and IAQG Original Equipment Manufacturers (OEMs), and other organizations and
their representatives who participate in the management of the ICOP scheme; and
l) the operation of the IAQG oversight function.
This standard also provides guidance for the use of the required audit process reporting tools (see EN 9101), and
provides clarifications and process improvements resulting from the lessons learned during the initial operation of
the ICOP scheme.
1 Scope
This European Standard defines the requirements and industry-accepted practices for managing the ICOP
scheme, which provides confidence to aviation, space, and defence customers and organizations that their
suppliers with certification of their quality management systems, issued by accredited CBs, meet the applicable
AQMS standard requirements. The requirements established in this standard are applicable to the IAQG and its
three sectors for managing AQMS certification and associated activities. The requirements are applicable to IAQG
working groups [e.g. SMS, Other Party Management Team (OPMT)], IAQG member companies, ABs, CBs,
Certification Body Management Committees (CBMCs), AABs, TPABs, Training Providers (TPs), and organizations
seeking/obtaining AQMS standard certification.
The AQMS standard adopted by the organization should be EN 9100, EN 9110, and/or EN 9120, as appropriate to
the organization’s activities; these standards are referred to throughout this writing as ‘AQMS standards’. IAQG
member companies have committed to recognize the certification of a supplier’s quality management system to all
equivalent AQMS standards (e.g. AS, EN, JISQ, NBR). IAQG sectors may expand the application of the
requirements defined in this standard for other standards approved by the IAQG and its three sectors
[i.e., Americas Aerospace Quality Group (AAQG), European Aerospace Quality Group (EAQG), Asia/Pacific
Aerospace Quality Group (APAQG)].
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are indispensable for
its application. For dated references, only the edition cited applies. For undated references, the latest edition of the
referenced document (including any amendments) applies.
EN 9100, Quality management systems — Requirements for aviation, space and defence organizations
EN 9101, Quality management systems — Audit requirements for aviation, space, and defence organizations
EN 9104-002, Aerospace series — Quality management systems — Part 002: Requirements for oversight of
aerospace quality management system certification/registrations programs
EN 9104-003, Aerospace series — Quality management systems — Part 003: Requirements for Aerospace Quality
Management System (AQMS) — Auditor Training and Qualification
EN 9110, Quality management systems — Requirements for aviation maintenance organizations
EN 9120, Quality management systems — Requirements for aviation space and defence distributors
NOTE Equivalent versions (e.g. AS, EN, JISQ, SJAC, NBR) of the IAQG standards listed above are published
internationally in each IAQG sector.
EN ISO 9000, Quality management systems — Fundamentals and vocabulary (ISO 9000)
EN ISO 9001, Quality management systems — Requirements (ISO 9001)
EN ISO/IEC 17011:2004, Conformity assessment — General requirements for accreditation bodies accrediting
conformity assessment bodies (ISO/IEC 17011:2004)
EN ISO/IEC 17021:2011, Conformity assessment — Requirements for bodies providing audit and certification of
management systems (ISO/IEC 17021:2011)
EN ISO/IEC 17024:2003, Conformity assessment — General requirements for bodies operating certification of
persons (ISO/IEC 17024:2012)
EN ISO 19011:2011, Guidelines for auditing management systems (ISO 19011:2011)
IAF GD 3:2003, IAF Guidance on cross frontier accreditation
IAF MD 1:2007, IAF Mandatory document for the certification of multiple sites based on sampling
IAF MD 2:2007, IAF Mandatory document for the transfer of accredited certification of management systems
IAF MD 3:2008, IAF Mandatory Document for Advanced Surveillance and Recertification Procedures (ASRP)
IAF MD 4:2008, IAF Mandatory Document for the Use of Computer Assisted Auditing Techniques ("CAAT") for
Accredited Certification of Management Systems
IAF MD 5:2009, IAF Mandatory document for duration of QMS and EMS audits
IAF ML 4:2011, Policies and procedures for a multilateral recognition arrangement on the level of accreditation
bodies and on the level of regional groups
3 Terms and definitions
Definitions for general terms can be found in EN ISO 9000 and the IAQG International Dictionary, which is located
on the IAQG website. An acronym log for this standard is presented in Appendix A. For the purposes of this
document, the following terms and definitions apply.
3.1
Accreditation Body (AB)
body approved by an IAQG sector that has the primary responsibility for the accreditation of CBs to issue
certifications to AQMS standards
3.2
aerospace
business of design, manufacture, maintenance, distribution, or support of aviation, space, and defence vehicles,
engines, accessories, or component parts; and all ancillary and allied businesses, including vehicle maintenance
and parts distribution operations
3.3
Aerospace Quality Management System (AQMS)
quality management system based upon EN ISO 9001 that includes additional aviation, space, and defence
requirements, as established in IAQG standards EN 9100, EN 9110, and EN 9120
3.4
Aerospace Quality Management System (AQMS) auditor
person with the demonstrated attributes (i.e., training, audit experience, industry experience) and competence to
conduct an audit on aviation, space, and defence organizations. An AQMS auditor is defined as either an
Aerospace Experience Auditor (AEA) or an Aerospace Auditor (AA), and shall have met the requirements set forth
in EN 9104-003 and Clause 7 of this standard
Note 1 to entry: The term 'Aerospace Auditor' (AA) is the same as the term 'auditor' defined in EN 9104-003.
IAQG sectors may use other names for an AQMS auditor as long as the requirements of this standard and
EN 9104-003 are applied.
3.5
assessment
systematic process to assess the competence of a conformity assessment body (e.g. AB, CB, AAB, TPAB) based
on defined assessment criteria (see EN ISO/IEC 17011)
3.6
audit
systematic, independent, and documented process for obtaining audit evidence and evaluating it objectively to
determine the extent to which audit criteria are fulfilled
3.7
Auditor Authentication Body (AAB)
body approved by the IAQG sector that has the primary responsibility for authenticating AQMS auditors, in
accordance with specific requirements
3.8
central office (also referred to as central function)
organization location/activity that controls the ‘common’ quality management system for the organization under a
single AQMS standard certificate
3.9
Certification Body (CB)
body that performs audit and certification services, and is subject to accreditation with respect to AQMS standards
and any supplementary documentation required under the ICOP scheme
3.10
Certification Body Management Committee (CBMC)
organization within an SMS that functions on a national level (e.g. Italy, France, Germany, Spain, United Kingdom,
Austria) responsible for EN 9104-series standards conformance in their respective countries. They perform the
same functions as the SMS, under control of the SMS within their sector
3.11
certification structure
term utilized to describe how the certification activities of an aviation, space, and defence organization will be
structured and managed by the contracted CB. The defined structure will assist CBs with the development of a
robust and conforming audit program, and provide industry with visibility of the structure within the OASIS
database. These structures are defined below; further description is provided in Appendix B.
a) Single Site – An organization having one location. The organization may be operating under one large building
or several buildings at that location. The organization may have one or multiple products or product families
flowing though one or multiple processes.
b) Multiple Site – An organization having an identified central function (the central office, but not necessarily the
headquarters of the organization) at which certain activities are planned, controlled, or managed and a network
of sites at which such activities are fully or partially carried out. With the exception of the central office the
processes within each of the sites are substantially the same and are operated to the same methods and
procedures (see IAF MD 1, "Multi-site Organization" definition and eligibility requirements).
c) Campus – An organization having an identified central function (the central office, but not necessarily the
headquarters of the organization) at which certain activities are planned, controlled, or managed; and that has
a decentralized, sequential, linked product realization process. For the purposes of this standard, it is referred
to as a value stream where the outputs from one site are an input to another site, which ultimately results in the
final product or service.
d) Several Sites – An organization having an identified central function (the central office, but not necessarily the
headquarters of the organization) at which certain activities are planned, controlled, or managed and a network
of sites, that do not meet the criteria for either a multiple site or a campus organization.
e) Complex – An organization having an identified central function (the central office, but not necessarily the
headquarters of the organization) at which certain activities are planned, controlled, or managed and a network
of locations that are any combination of multiple site, campus, several sites, or more than one campus.
3.12
combined audit
audit of an organization’s management system(s) against two or more AQMS standards conducted at the same time
3.13
cross frontier accreditation
policy that allows for an AB to conduct assessments/oversight on CBs operating in countries other than the country
in which the AB accreditation or lead office of the CB is based. The AB performing the assessment/oversight has to
be recognized by the IAQG and listed in the OASIS database
3.14
Industry Controlled Other Party (ICOP)
AQMS standard certification scheme, under IAQG and industry management, for the assessment and certification
of organization quality management systems by other parties, in accordance with the requirements defined in the
EN 9104-series standards
3.15
Integrated Management System (IMS)
organization methodology using a single quality management system to manage multiple aspects of organizational
performance to meet the requirements of multiple AQMS standards (e.g. EN 9100 and EN 9110)
Note 1 to entry: Management systems may exhibit different levels of integration (see 8.2.3).
3.16
International Aerospace Quality Group (IAQG)
body of prime aviation, space, and defence OEMs. This group is chartered to develop common requirements and
guidelines for use by the aviation, space, and defence industry for quality improvement
3.17
International Aerospace Quality Group (IAQG) Other Party Management Team (OPMT)
body of prime aerospace OEMs that has the primary responsibility for the management of the ICOP scheme
3.18
International Aerospace Quality Group (IAQG) sector
sub-structure of the IAQG that consists of members in a specific geographic area (i.e., Americas, Europe,
Asia/Pacific)
3.19
lead office
single office of a CB that has the responsibility for the implementation of the EN 9104-series standard’s
requirements
3.20
office assessment
on-site evaluation of an AB, AAB, or TPAB management office or CB lead office to the applicable AQMS standard
requirements using the evaluation tools and methods contained in the EN 9104-series standards
3.21
Online Aerospace Supplier Information System (OASIS) database
web-based IAQG application containing information on participating National Aerospace Industry Associations
(NAIAs), ABs, TPABs, AABs, accredited CBs, AQMS auditors, certified suppliers, and audits, which are approved
and recognized by the SMS through the ICOP scheme
3.22
organization
any legal entity or defined part of a legal entity with a quality management system that is subject to an ICOP audit
and the associated certification process
3.23
Pre-audit
activities undertaken by a CB with its client, after initial contact or application, before commencement of the initial
certification audit (i.e., Stage 1 and Stage 2 audit activities)
3.24
Sector Management Structure (SMS)
organization established in an IAQG sector that manages the application and oversight of the ICOP scheme as
defined by this standard. Each sector may use a different name for this organization [i.e., Registration Management
Committee (RMC) in the Americas and Asia/Pacific, EAQG OPMT and national CBMCs in Europe]
3.25
site
permanent location where an organization carries out work or a service
3.26
Training Provider Approval Body (TPAB)
body approved by the SMS that has the primary responsibility to conduct the review and approval of training course
content and TP administration
3.27
value stream
end-to-end business process which delivers a product or service to a customer. The process steps may use and
produce intermediate goods, services, and information to achieve the end product or service
3.28
witness assessment
evaluation of an assessment or audit team’s (e.g. AB, CB) conduct during an on-site assessment or audit to
applicable criteria (i.e., requirements defined in AQMS standards and an assessment or audit team’s procedures),
using the evaluation tools and methods defined in this standard and EN 9104-002
3.29
witness audit
evaluation of an auditor’s ability and competency to perform AQMS audits to the applicable standard and
associated requirements
4 Requirements of the sector management structure
4.1 The SMS has the responsibility for the management, review, approval, implementation, and modification of
their sector operating procedure(s). The SMS shall be the governing body by which the requirements for and
recognition of CBs and authentication of auditors to AQMS standards are determined; consistent with the
requirements of this standard.
4.2 The SMS has the responsibility to review and recognize new AB accreditations of CBs. This is to be initially
evaluated by the SMS or CBMC, if applicable, ensuring that an AB meets the requirements defined in Clause 5;
particularly with respect to the decision-making process and defined competence requirements, which is annually
verified through oversight of the AB to the requirements of this standard.
Where agreed upon between the AB and the SMS or CBMC, if applicable, there can be an additional review, as
part of the AB’s accreditation decision-making process, by the SMS or an industry expert endorsed by the SMS
ensuring that the AB fully meets the competence requirements of 5.4.2.
4.3 The SMS shall determine and approve CBMCs, when utilized. CBMCs operate as an extension of the SMS,
performing the same functions on a national level to the requirements of this standard.
4.4 The SMS and CBMC, if applicable, shall report to the IAQG OPMT, OASIS database administrator, and
other parts of the SMS notification of suspension or withdrawal of ABs, CBs, AAB, and TPABs.
4.5 The SMS shall identify which ABs are approved to accredit CBs for AQMS standard certification in
accordance with this standard. The method and results of approval shall be documented and records maintained.
ABs approved by the SMS shall be identified in the OASIS database.
4.6 The SMS shall recognize CBs that are accredited to certify an organization’s AQMS. The accreditation of
CBs for AQMS standards shall be granted and surveillance performed by the AB in accordance with this standard.
The method and results of recognition shall be documented and records maintained. CBs recognized by the SMS
shall be identified in the OASIS database.
4.7 Each SMS shall define a process for the approval, suspension, and withdrawal of approval of AABs and
TPABs in accordance with the requirements of EN 9104-003 and this standard. Only AABs approved by an SMS
shall qualify for AQMS auditor evaluation, authentication, and re-authentication.
Those who participate in the evaluation or make the decision to approve, suspend, or withdraw an AAB or TPAB
shall not have participated in the development of the management systems or processes or in the work of the AAB
or TPAB for a minimum period of two years before the decision. Furthermore, they shall not have any personal,
contractual, voluntary, or formal relationship with the AAB or TPAB that would present a potential conflict of interest
to the impartiality of the decision.
4.8 Where an AAB or TPAB’s approval is withdrawn, any application to an SMS for re-approval shall be rejected
for a period of 12 months from the date of withdrawal. The AAB or TPAB has the right to appeal this decision to the
IAQG OPMT.
4.9 The SMS shall approve, as appropriate, AABs that authenticate AQMS auditors. The authentication of
auditors to AQMS standards shall be granted by the AAB in accordance with the requirements of EN 9104-003 and
this standard. The method and results of approval shall be documented and records maintained. AABs approved
by the SMS shall be identified in the OASIS database.
4.10 The SMS shall approve, as appropriate, TPABs that review and approve the AQMS standard training
courses and TPs. The approval of training courses and TPs for AQMS standards shall be granted by the TPAB in
accordance with the requirements of EN 9104-003 and this standard. The method and results of approval shall be
documented and records maintained. TPABs approved by the SMS shall be identified in the OASIS database.
4.11 The SMS shall recognize the authentication by AABs of auditors that perform AQMS audits of organizations.
This shall be documented by a formal process by each SMS in accordance with the requirements of EN 9104-003
and this standard. The method and results of SMS approval shall be documented and records maintained. AQMS
auditors recognized by the SMS shall be identified in the OASIS database.
4.12 The approval, recognition, certification, or authentication of ABs, AABs, TPABs, TPs, CBs, and AQMS
auditors by any IAQG sector to the requirements of this standard shall be recognized by the other IAQG sectors.
4.13 Each SMS has the right to withdraw or suspend the approval, recognition, or authentication of ABs, CBs,
AABs, TPABs, or AQMS auditors based on, but not limited to poor performance, nonconformity to requirements, or
falsification of data.
4.14 Each SMS shall establish and maintain operating procedures, which support implementation and
conformance to the SMS requirements established by this standard. The procedures shall include record retention
requirements.
4.15 Each SMS shall report essential data that describes deployment activities to the IAQG OPMT. Essential data
includes information on the AQMS auditor population (i.e., approvals, disapprovals, numbers of AAs and AEAs),
the CB population (i.e., approvals, disapprovals), auditor training and authentication organizations, the number of
AQMS standard certifications issued, and oversight activities by the SMS and IAQG OEMs.
NOTE AB, CB, AAB, and TPAB approval documents and procedures may be reviewed by the IAQG OPMT.
4.16 Each IAQG sector shall define a process for the development and issuance of resolutions to provide
clarification to this standard, EN 9104-002 and EN 9104-003 standards, and sector specific ICOP scheme process
documentation. However, the SMS shall ensure concurrence from the other sector IAQG OPMT representatives
before issuance of any ICOP scheme resolutions.
All IAQG sector and OPMT resolutions shall be published in the OASIS database (see IAQG ICOP Resolutions
Log). Once published in the database, resolutions shall have the same authority as the applicable standard. All
resolutions will be incorporated, as appropriate, into the next revision of the standard.
5 Requirements for accreditation bodies
5.1 General
a) The responsibilities of the AB shall be granting, maintaining, suspending, extending, and withdrawing
accreditation of CBs in concurrence with the applicable SMS to the requirements of this standard.
b) The AB shall agree to periodic oversight, including witness assessments by the approving SMS. ABs shall
provide their sector’s IAQG member companies and applicable regulatory authorities the 'right of access' to all
AB and CB records and information related to the implementation and maintenance of the ICOP scheme,
including AB and CB activities associated with the EN 9104-series standards requirements and recognition by
the applicable SMS.
c) ABs shall ensure that this ‘right of access’ is communicated to its AQMS IAQG sector accredited CBs. This
access will include information or records pertaining to IAF Peer Reviews of the AB.
5.2 Organizational requirements for accreditation bodies
a) ABs shall conform to requirements defined in EN ISO/IEC 17011 and IAF ML 4. ABs shall be members of the
IAF and signatories of the IAF Multilateral Agreement (MLA) for the accreditation of CBs that certify quality
management systems, in order to participate in the ICOP scheme.
b) The AB shall work with the applicable IAQG sectors to give assurance that CBs continue to perform in a
manner consistent with the EN 9104-series standards requirements.
c) The AB shall have a person(s) with continuing aviation, space, or defence industry involvement through direct
and relevant work experience in the industry [i.e., involvement with aerospace manufacturing/maintenance, the
National Aviation Authority (NAA), NAIA, or equivalent] in the AB’s structure for developing and maintaining the
principles and major policies of operation of its accreditation system, as defined in EN ISO/IEC 17011.
5.3 Quality management system requirements for accreditation bodies
a) The AB shall have procedures, tools, and techniques in its system in accordance with the requirements of
EN ISO/IEC 17011 and this standard for granting, maintaining, suspending, extending, and withdrawing
accreditation of CBs operating within the ICOP scheme. ABs shall undertake the process to accredit each CB
for the certification of each AQMS standard in accordance with the requirements of this standard.
b) ABs shall require CBs to identify a single office location that has overall responsibility for the implementation of
the EN 9104-series standards requirements. The CB lead office responsibility and authority for the design,
development, and maintenance of the implementation of the EN 9104-series standards shall be through a
person(s) employed by or directly contracted to that CB lead office. ABs shall require that this person(s) is
formally identified by the CB.
c) ABs shall require that activities relating to the implementation of the EN 9104-series standards, including the
initial qualification and performance monitoring of AQMS auditors, application review, assignment of audit
teams, review of reports, certification decisions, and the issue of certification documents are all conducted and
controlled by a competent person(s) employed or directly contracted (i.e., through a written agreement
between the CB and a person) by the CB lead office. ABs shall require that CBs do not outsource any of the
activities required by this standard or deploy these activities to other offices and do not utilize critical locations,
as defined by the IAF; critical locations are not recognized by the IAQG or any SMS/CBMC.
d) The AB shall present CB AQMS accreditation decisions for recognition to the SMS (see 4.2).
e) ABs shall have an application process for the accreditation of CBs for AQMS certification. The CB application
shall provide the AB with evidence that the CB has developed the necessary documented processes required
by this standard to provide for certification of clients (organizations) to each applicable AQMS standard.
f) ABs shall ensure that accreditation documents that encompass the scope of accreditation of CBs to EN 9104-
001 requirements clearly identify or contain:
• the CB's aerospace lead office;
• a statement that indicates that the accreditation granted is in accordance with the applicable requirements
of EN 9104-001; and
• the AQMS standard(s) that the CB is accredited to grant certification.
g) The AB shall establish arrangements to ensure that information concerning the accreditation granted to a CB
operating in accordance with the requirements of EN 9104-001 are uploaded in English in the OASIS database.
The information to be uploaded shall include:
• the CB’s aerospace lead office;
• CB contact information; and
• the AQMS standard(s) that the CB is accredited to grant certification.
h) The AB’s application process shall provide information and obtain assurance that applicant CBs will not issue
any AQMS standard certificates before a decision to grant accreditation for AQMS certification to the CB has
been made. ABs shall ensure that CBs communicate in writing to any applicant or client that AQMS
certification cannot be issued until the CB is accredited for the AQMS standard(s) by the AB.
Failure by the CB to conform with these requirements shall be seen as bringing AQMS accreditation, the ICOP
scheme, and the IAQG into disrepute; and the AB may terminate the application process. Where a CB
application has been terminated, the AB shall communicate in writing to the applicant CB the reasons for
termination of the application and that they are not able to process any subsequent applications for
accreditation for AQMS certification for a period of not less than 12 months.
i) When an AB receives an application to accredit a CB outside of its normal region (i.e., country, IAQG sector),
the AB shall recommend the CB seek accreditation through the ICOP approved AB operating in the CB’s
region. ABs involved in accrediting a CB outside of its normal region shall notify the ICOP scheme approved
AB operating in the country/sector of the CB’s application.
5.3.1 Certification body initial accreditation to aerospace quality management system standards
Initial accreditation of a CB within the ICOP scheme shall be for the certification of clients to the EN 9100 AQMS
standard. The AB’s management system shall ensure, at a minimum, the following activities are performed:
a) documentation review to include, but not limited to revisions to the CB’s documented management system,
competence requirements established by the CB, and any other area that indicates conformance of
requirements to this standard;
b) office assessment(s); and
c) witness assessments to include, at a minimum, one Stage 1 audit and one Stage 2 audit for the complete
EN 9100 standard. If the CB is already accredited by another AB and recognized by the ICOP scheme, the
witness assessments can take place during a surveillance audit.
5.3.2 Certification body extension of scope of accreditation
To extend the scope of accreditation of a CB beyond the EN 9100 standard, to provide further AQMS standards
certification (i.e., EN 9110, EN 9120), the AB’s management system shall ensure, at a minimum, the following
activities are undertaken:
a) For initial accreditation for EN 9110 certification, the documentation review shall include, but not be limited to
revisions to the CB’s documented management system, competence requirements established by the CB, and
any other area that indicates conformance to the requirements of this standard. Witness assessments shall
include, at a minimum, one Stage 1 and one Stage 2 audit for the complete EN 9110 standard.
b) For initial accreditation for EN 9120 certification, the documentation review shall include, but not be limited to
revisions to the CB’s documented management system, competence requirements established by the CB, and
any other area that indicates conformance to the requirements of this standard.
5.3.3 Certification body accreditation surveillance and reassessment
a) For surveillance and reassessment of the CB accreditation for AQMS standard certification, the AB’s
management system shall ensure, at a minimum, that assessment activities are conducted, which include:
• one annual office assessment of the lead office that includes a review of CB client
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