Certification Criteria for AS9100 Auditors and AS9100 Aerospace Experience Auditors

This handbook is for individuals applying for initial certification, advancement of grade, or maintenance of certification in the Registrar Accreditation Boards AS9100 Aerospace Auditor program

Registrar Accreditation Board

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Dear Auditor: Thank you for your interest in RABs certification program for AS9100 Auditors. This program is designed to be rigorous, thorough, and fair, and to offer assurance that RAB-certified auditors have attained specific qualifications. In addition to the personal satisfaction youll gain in knowing that you meet the stringent requirements of an internationally respected program, RAB certification provides independent verification of and attestation to your professional auditing credentials. As an RAB-certified auditor, you can benefit from recognition in your workplace and beyond. Your acceptance and credibility are enhanced when you are certified by a respected and proven auditor certification body such as RAB. In addition, if your organization is audited, your responses carry more weight and acceptance when the visiting auditor knows that you are an RAB-certified auditor. RAB Aerospace Auditor certification is an important acknowledgment of the credibility of your work and a formal recognition of your aerospace auditing experience. It also satisfies some of the requirements you must meet to conduct AS9100 audits for certification/registration bodies. RAB certification is an investment in your current job, and can enhance your professional future. It can help you maximize your career potential and attain your professional goals. If you have questions about the process, contact a member of RABs auditor certification department at 888-722-2440 or 414-272-3937, or send e-mail to rab@rabnet.com. Sincerely,

Robert H. King Jr. President and CEO Registrar Accreditation Board

Registrar Accreditation Board P.O. Box 3005 Milwaukee, WI 53201-3005 414-272-3937 888-722-2440 fax 414-765-8661 rab@rabnet.com www.rabnet.com

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Contents
Be sure you have read and understand the contents of this handbook before completing the application forms.
1.0 Normative References ............................................................................................................4 2.0 Definitions................................................................................................................................4 3.0 RAB Evaluation of Applications ...........................................................................................5 3.1 Evaluation Personnel.........................................................................................................6 3.2 Evaluation Process ............................................................................................................6 3.2.1 Initial Review ...........................................................................................................6 3.2.2 Technical Review .....................................................................................................6 3.3 Certification.......................................................................................................................7 3.4 Certificates.........................................................................................................................7 3.4.1 RAB QMS Certification...........................................................................................7 3.4.2 Non-RAB QMS Certification ..................................................................................7 4.0 General Requirements for AS9100 Auditor ..........................................................................7 4.1 Required Documentation...................................................................................................7 4.2 Current Auditor Certification ............................................................................................8 4.3 Training Requirements ......................................................................................................8 4.3.1 General Auditor Training .........................................................................................8 4.3.2 AS9100 Training ......................................................................................................8 4.4 Auditor Experience Requirements ....................................................................................8 4.5 Eligible Audit Criteria .......................................................................................................8 4.5.1 Independent Audit Requirement ..............................................................................9 4.5.2 Conformity to AS9100 .............................................................................................9 4.5.3 Complete Management System Audits ....................................................................9 4.5.4 ISO 19011.................................................................................................................9 4.5.5 Audit Days................................................................................................................9 4.5.6 Off-Site vs. On-Site Time ........................................................................................9 4.5.7 Conversant in the Language.....................................................................................9 4.5.8 Verifiability of Audits.............................................................................................10 4.6 Application Sponsor ........................................................................................................10 5.0 General Requirements for AS9100 Aerospace Experience Auditor ................................10 5.1 Work Experience Option (AIEA)....................................................................................10 5.2 IRCA Aerospace Certification Option (AIEA) ...............................................................11 5.3 Aerospace Industry Competence/Witness Audit Option (AEA).....................................11 5.3.1 Aerospace Industry Competency Training .............................................................11 5.3.2 Witness Audits ........................................................................................................11 6.0 Personal Declaration ............................................................................................................12 7.0 Audit Log...............................................................................................................................12 8.0 Complaints and Appeals ......................................................................................................13 8.1 Complaints About Auditors.............................................................................................13 8.2 Complaints About RAB ..................................................................................................13 8.3 Appeals ............................................................................................................................13 9.0 Cancellation, Suspension, or Reduction in Certification Grade......................................14 10.0 Aerospace Auditor Directory...............................................................................................14 Appendix A Code of Conduct for RAB Auditors .....................................................................15 Appendix B Maintenance Requirements ....................................................................................16 Appendix C Advancement in Grade of Certification...............................................................16
2002 Registrar Accreditation Board

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This program for certification of AS9100 Auditors and AS9100 Aerospace Experience Auditors has been developed and is administered by the Registrar Accreditation Board (RAB) in association with the Registrar Management Committee (RMC) of the Americas Aerospace Quality Group (AAQG). Certification under this program is available without discrimination to all who meet the requirements described herein.

1.0

Normative References
The following standards are to be used as references in the RAB certification program for AS9100 Auditor and AS9100 Aerospace Experience Auditors. The most current revisions of the editions indicated shall be used at all times. Changes incorporated into future editions of these standards will be evaluated for their effect on the program.
AS9100, Aerospace Standard Specification with guidance for use

ISO 19011, Guidelines for auditing quality and/or environmental management systems IAQG104, Requirements for Aerospace Supplier Quality System Certification/Registration schemes for use by the IAQG Sectors AIR5359A, Requirements for Registration of Quality Systems to AS9000 or AS9100 AIR5493, Requirements for Development, Implementation, and Control of Aerospace Auditor Training

2.0

Definitions
For the purpose of the RAB certification criteria for AS9100 Auditor and AS9100 Aerospace Experience Auditors, the following definitions are used throughout this document, including its appendices: AS9100 Auditor (AA): Any auditor who has met the requirements set forth in Section 4.0 of this document. AS9100 Aerospace Experience Auditor (AEA or AIEA): Any auditor who has met the requirements set forth in Section 5.0 of this document. Auditors conducting audits for original equipment manufacturers (OEMs) in support of recognized shared audits at suppliers may be referred to as AS9100 Aerospace Experience Auditors provided that they meet the requirements set forth in Section 5.0 of this document. (AIEAgained certification via option 5.1; AEAgained certification via option 5.2 or 5.3.) Americas Aerospace Quality Group (AAQG): An SAE Aerospace Council subcommittee (G-14) of prime aerospace original equipment manufacturers (OEMs). This group is chartered to develop common requirements for use by the aerospace industry for quality improvement. Aerospace: The business of design, manufacture, overhaul, distribution, and support of aerospace vehicles and engines, accessories, and components, and all ancillary and allied businesses including aerospace vehicle operations.
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Aerospace Product: An aircraft, rotorcraft, guided weapon, spacecraft, or other product designed to travel through the air, inside or outside the ground effect, or to travel outside the influence of the earths atmosphere, or major components of these products such as engines or major subsystems. Complete Aerospace Quality System Audit: An audit that encompasses all paragraphs of the AS9100 standard and all areas within the scope of the management system. Examples of audits that would not be acceptable include: Audits of individual departments Audits of other units within the enterprise Audits that do not cover all elements of the Aerospace Quality System Consulting/Auditing: Audits where advice is given on an action plan for developing and/or improving the system as part of the audit or where the auditor has or had a part in setting up the system or where the auditor is or was involved in the ongoing development of the system. Independent Audit: An audit where independence is the basis for the impartiality of the audit and objectivity is the basis of the audit conclusions. Auditors engaged in an independent audit must be independent of the activity being audited and must be free from bias and conflict of interest. These auditors maintain an objective state of mind throughout the audit process to ensure that the audit findings and conclusions will be based only on the audit evidence. This is compatible with ISO 9000:2000, Auditors shall not audit their own work. On-site activity: The auditing activities that include the opening and closing meetings and the conformance auditing phase. Off-site activity: The auditing activities that include planning, document review, and preparation of the audit report, even if these functions are performed on the premises of the auditee. Sponsor: A person of good character who, through acquaintance with the applicant on a professional basis, is able to attest to the applicants personal attributes and experience. RMC: The Registrar Management Committee, a subgroup of the Americas Aerospace Quality Group (AAQG). Total time (of the audit): The total amount of time engaged in audit activity, including on-site and off-site time. Technical Review: The verification by RAB of an auditors credentials and qualifications; in essence, performing an audit on each applicant.

3.0

RAB Evaluation of Applications

RAB maintains documented procedures that are used in the evaluation of all applications. These procedures cover all aspects of the evaluation from receipt of the application through notification of the certification decision and the appeals process.

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3.1

Evaluation Personnel RAB maintains a pool of personnel to evaluate certification applications. All personnel are selected and trained using documented procedures. Reviews are conducted to ensure that the work of all personnel is competently performed. Evaluation Process When an application is received at RAB headquarters, it goes through a two-step process consisting of initial and technical reviews. 3.2.1 Initial Review The application is initially reviewed for completeness of information. If additional information is required, the applicant is contacted. Requests for additional information will likely extend the time required to process the application. Applications with complete information are forwarded to technical review. 3.2.2 Technical Review* The technical review is a critical step in the evaluation process that is intended to verify and confirm the data included with the application. The review process includes contacting several of the references listed on the application. These may include employers, sponsors, and auditees. The RAB technical reviewer then makes a recommendation to grant or deny certification.
Processing time depends largely on the applicant providing complete and accurate information on all forms.

3.2

TIP

The technical review may conclude in one of three manners:

3.2.2.1 Recommendation to approve

If no issues of concern are found during the review of an application, the reviewer recommends that the applicant for the AS9100 Auditor grade be granted certification. For AS9100 Auditors only, RAB will grant the certification directly to the applicant. For AS9100 Aerospace Experience and Aerospace Industry Experience Auditors, RAB will recommend to the RMC that the applicant be certified.
3.2.2.2 RMC approval (AS9100 Aerospace Experience

Auditor only) For an applicant for AS9100 Aerospace Experience Auditor, a recommendation to grant certification is made to the RMC. All AS9100 Aerospace Experience auditors (AEA and AIEA) applicants must be approved by the RMC. 3.2.2.3 Recommendation to not approve If there are issues of concern or the RAB technical reviewer is unable to make a recommendation to approve based on the information provided, the nonconformance to the RAB criteria is recorded and the applicant is
*Refer to Section 2.0 Definitions.

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notified. The applicant is requested to provide the required objective evidence to demonstrate that the requirements have been met. AEA and AIEA applications that do not meet the requirements described will not be forwarded to the RMC for review. When the evaluation has been completed, the applicant is notified by letter of the certification decision. 3.3 Certification A certified auditor receives a certificate, lapel pin, and wallet card, and is also sent information on maintaining certification, including an audit log (AC5) and a continuing professional development form (AC10). Certificates 3.4.1 RAB-Certified QMS Auditors C RAB-certified QMS auditors will receive a certificate that reads Quality Management Systems Auditor or Quality Management Systems Lead Auditor and AS9100 Auditor or AS9100 Aerospace Experience Auditor as appropriate. 3.4.2 Non-RAB-Certified QMS Auditors R C Non-RAB-certified QMS auditors will receive a certificate that reads AS9100 Auditor or AS9100 Aerospace Experience Auditor as appropriate.

3.4

TIP

Audit experience and continuing professional development should be recorded at the time each activity is completed.

4.0
4.1

General Requirements for AS9100 Auditor

Required Documentation for Application as AS9100 Auditor Each AS9100 Auditor* applicant must submit: Application for initial certification (form AAC2) Proof of current QMS-A or QMS-LA certification. Copy of certificate of successful completion of a nationally accredited QMS lead auditor course Copy of documentation that demonstrates successful completion of an accreditation body-approved aerospace auditor training course, including a copy of the course syllabus and evidence of the course instructors qualifications RAB audit logs (form AC5)

Forms may be revised at any time. Use of current forms is required. All required forms, as referenced throughout this document, are available on RABs Web site (www.rabnet.com) or through RABs Auditor Certification Department.
*Refer to Section 2. Definitions.

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All communication, correspondence, and documentation submitted shall be in English or accompanied by a certified translation of the original. Submit only the documentation specified. RAB reserves the right to destroy all documentation not used in the certification process. 4.2 Current Auditor Certification Requirements The applicant shall demonstrate proof of current RAB QMS-A or QMS-LA certification, or proof of maintenance of certification from another IATCA MLA certifying body if the applicant is not RAB certified. Training Requirements 4.3.1 General Auditor Training The applicant shall demonstrate successful completion of an RAB-accredited (or other IATCA MLA signatory-approved) QMS Lead Auditor training course. The applicant must demonstrate successful completion of the training course by passing both the continuous evaluation and the course providers examination. Only certificates that demonstrate successful completion, including an examination, shall be considered. Certificates of attendance are not acceptable. 4.3.2 AS9100 Training The applicant must demonstrate successful completion of training on the AS9100 standard through an RAB-approved course. The applicant must demonstrate successful completion of the training course by passing both the continuous evaluation and the course providers examination. Only certificates that demonstrate successful completion, including an examination, shall be considered. Certificates of attendance are not acceptable. A course syllabus must be included along with evidence of the instructors qualifications. The qualifications shall include teaching and/or training experience, ISO 9000 RAB or internationally recognized lead auditor approval, and a minimum of four years of aerospace experience within the previous 10 years. 4.4 Auditing Experience Requirements Within the last three years, the applicant shall have participated in at least four audits for a minimum of 20 days that cover all elements of the ISO 9001 standard or the AS9000 or AS9100 standard. See Section 6.0 for audit log information. Eligible Audit Criteria Only eligible audit experience completed in the three years immediately prior to application shall be considered.
If possible, submit more than the required number of audits in case one or more audits is deemed ineligible. Each audit submitted must include complete information that can be verified by RAB. Submitting audits with incomplete information will result in a delay in processing. RAB reserves the right to destroy all documentation not used in the certification process.

4.3

4.5

TIP

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4.5.1 Independent Audit Requirement Only independent audits* satisfy the auditing experience requirements. 4.5.2 Conformity to AS9100 All audits must be for determining conformity to the ISO 9000 standard or equivalent. A list of RAB-approved ISO 9000-equivalent standards is available on RABs Web site (www.rabnet.com). The auditor may have no part in the setup, ongoing development, or maintenance of the Quality Management System being audited. (See Consulting in Section 2.0 Definitions.) Audits that are combined with consulting activities cannot be used to meet the audit experience requirement for initial certification, advancement of grade, or maintaining certification. (See Consulting in Section 2.0 Definitions for examples.) 4.5.3 Complete Management System Audits Only complete Aerospace Quality System* audits to ISO 9000 or the equivalent are acceptable for certification. Partial Aerospace Quality System audits (for example, surveillance audits) are acceptable. However, because only a portion of the Aerospace Quality System is audited or the audit may not include all activities covered in AS9100, partial audits may be combined to equal one complete management system audit, which must cover all portions of the AS9100 management system. After auditor certification has been achieved, surveillance audits may be used in satisfying a portion of the auditing requirements to maintain certification. 4.5.4 ISO 19011 The audit must include all activities covered in ISO 19011, including a report covering the evaluation of the conformance of the complete Aerospace Quality System to the AS9100 standard. 4.5.5 Audit Days Audits must be recorded in calendar days, not audit-days or man-days. On-site activity shall not be less than six hours per day. 4.5.6 Off-Site vs. On-Site Time S S Off-site time is limited to one day for each day of on-site activity, plus one day. A maximum of six days of off-site time is allowed, no matter how much time is spent engaged in on-site activity. 4.5.7 Conversant in the Language The applicant shall be conversant in the language used at all audits that are submitted for certification. 4.5.8 Verifiability of Audits Audits must be verifiable through the auditee. If a contact persons name and telephone and fax numbers at the company audited cannot be provided, that audit will not be considered for certification. In addition, if the auditee cannot accurately verify the details of an audit, the audit experience cannot be considered.
*Refer to Section 2. Definitions.

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4.6

Application Sponsor An application sponsor* is intended to be a supporter of the applicant and of the RAB certification program. It is the responsibility of the sponsor, to the best of his or her ability, to review the application and all attachments for completeness and accuracy. The sponsor shall have a close working relationship with the applicant and have direct experience and/or personal knowledge of the information that he or she is confirming. The sponsor may be contacted to confirm the applicants personal attributes and audit management capabilities.

5.0

General Requirements for AS9100 Aerospace Experience Auditor

Each applicant for AS9100 Aerospace Experience Auditor must meet the requirements of an RAB-certified AS9100 Auditor in addition to one of the following three options. If the applicant is already a certified AS9100 Auditor, the applicant must provide evidence of current certification and meet one of the three requirements (5.1, 5.2, or 5.3) below.

5.1

Work Experience Option (AIEA) Applicants must have at least four years of 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 NASA, DOD, or FAA organization. These four years of work experience shall have been obtained within the 10 calendar years prior to application. A resume or similar documentation showing information on work actually performed, positions held, reporting levels, and areas of responsibility is required as objective evidence to satisfy the work requirement. The documentation provided, which shall include employer and/or client contacts, must clearly demonstrate how the applicants work experience meets the relevant work experience requirements. Note: Applicants who meet the requirements of the work experience option will be considered Aerospace Industry Experience Auditors, although this is not a separate certification status. The certification numbers for these auditors will begin with the designation AIEA. This designation will be used to identify auditors who are qualified to witness audits of applicants seeking certification at the AEA grade under Section 5.3 requirements. It will also be used to identify auditors who are qualified to be instructors of industry in-depth competency course for applicants using the AEA option defined in Section 5.3. OR

5.2

IRCA Aerospace Certification Option (AIEA) An auditor holding a current AS9000 Aerospace Experience Auditor approval or Aerospace

*Refer to Section 2. Definitions.

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Auditor certification under IRCA TS 157 criteria shall satisfy the requirements with the addition of the required AS9100 training. OR 5.3 Aerospace Industry Competency/Witness Audit Option (AEA) If the applicant has had less than four years of aerospace industry experience in the last 10 years (or if it has been more than six consecutive years since the last industry work experience prior to date of the application), completion of an in-depth Aerospace Industry Competency course and witness audit experience is required. 5.3.1 Aerospace Industry Competency Training The course shall have RMC approval and shall include as a minimum: Aerospace Industry Quality Perspective Federal Aviation Authority Roles/Responsibilities/Regulations Overview DCMA Roles/Responsibilities 1st Production Article Inspection (AS9102) Aerospace material traceability requirements Aerospace material accountability systems Aerospace subcontractor approval and control requirements Key/critical characteristic classification (AS9103) Quality requirements flow downs FOD program requirements Use of customer supplied products Positive recall system Stamp control Nonconforming material, system requirements and operation Sampling inspection requirements and limitations

A course syllabus and certificate of successful completion, including evidence of a scored or graded examine, shall be provided as evidence of this training. The course instructor must be an AIEA meeting the requirements of Section 5.1. A resume or similar documentation providing information qualifications of the instructor as they apply to providing this training is required. 5.3.2 Witness Audits
5.3.2.1 Minimum Requirement

The applicant must demonstrate participation in a minimum of two complete aerospace industry audits within the three years prior to application and have been witnessed by a qualified AS9100 Aerospace Experience Auditor.
5.3.2.2 Witnessing Auditor

The witnessing auditor shall: Be an RAB-certified AS9100 Aerospace Experienced Auditor (AIEA)

*Refer to Section 2. Definitions.

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at the time each witnessed audit occurred and not have been qualified via the in-depth training option. Assess the applicants competence, independent of any other consideration. Decide on the type and level of guidance needed during each phase of the audit process (from preparation to reporting). Be available on site for the audit duration. Be in a position to evaluate the auditor candidate. When satisfied with an auditors performance, complete a Review of Auditor Performance form (AAC8) attesting to the competence of the candidate to perform and/or lead audit teams.

Only audits supported on a Review of Auditor Performance form (AAC8) shall be considered a witnessed audit for the purposes of certification for the AEA grade. See the Aerospace Auditor directory on RABs Web site (www.rabnet.com) for a list of qualified AIEAs.

6.0

Personal Declaration
Each applicant shall sign the personal declaration to indicate that the information contained in the application and all attachments is verifiable and accurate to the best of his or her knowledge. In addition, the personal declaration indicates that the applicant currently complies with and will continue to comply with the Code of Conduct for RAB Auditors (Appendix A).

7.0

Audit Log (Form AC5)

Each applicant shall record eligible audit experience in an audit log to demonstrate auditing experience. A copy of the RAB audit log is enclosed with application packages. The form can also be downloaded from RABs Web site (www.rabnet.com). Alternative audit logs may be accepted if they include all information required on the RAB audit log.

TIP

Refer to p. 2 of the RAB audit log (form AC5) for specific details on completing the log accurately. Each audit log submitted must include complete information that can be verified by RAB.

Submitting audit logs with incomplete information will result in a delay in processing.

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The following information must be recorded on the audit log for each audit: Applicants printed name First date of site visit On-site time* and total time* (including off-site time*) of the audit recorded in calendar days Auditee information including the full company name, address, and contact persons name, telephone and fax numbers, and e-mail address. (For audits conducted outside the United States, include country code and city code with phone and fax number.) Applicants role in the audit Number of auditors on the audit team, including the lead auditor Elements of the standard audited by the applicant Name and contact information for the company that employed the auditor Name, telephone and fax numbers, and e-mail address for the audit team leader (if different from the applicant)

8.0
8.1

Complaints and Appeals

Complaints About Auditors Complaints about the actions or conduct of an RAB-certified auditor will be reviewed and investigated by RAB according to documented procedures. Complaints can be submitted via RABs Web site (www.rabnet.com, under Feedback). A valid substantiated complaint may result in cancellation of certification. Complaints About RAB Written complaints about RAB can be submitted to RABs Auditor Certification Board in care of RABs Auditor Certification Department, or via RABs Web site (www.rabnet.com, under Feedback). Each complaint will be reviewed, investigated, and resolved in a timely manner through a formal documented process. Appeals Appeals of adverse certification or recertification decisions or cancellation of certification must be submitted in writing. The written appeal will be reviewed, investigated, and resolved in a timely manner through a formal documented process. The following decisions can be appealed: Initial certification not approved Continuation of certification not approved Upgrade of certification not approved Reduction in certification grade Cancellation of certification Suspension of certification

8.2

8.3

All appeals shall be submitted in writing to RABs Auditor Certification Board Appeals Committee in care of RABs Auditor Certification Department. The applicant shall sub*Refer to Section 2. Definitions.

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mit his or her appeal to RAB no later than 30 days after notification of the decision that triggered the appeal. The appeal shall include appropriate substantiation for the appellants position and shall contain additional or updated information.

9.0

Cancellation, Suspension, or Reduction in Certification Grade

Certification as an RAB auditor entails continually conforming with the requirements of this certification program, including the Code of Conduct for RAB Auditors (Appendix A). Failure to do so may result in the cancellation, suspension, or reduction in grade of certification.

10.0

Aerospace Auditor Directory

Each auditor certified by RAB is listed in a directory unless the auditor specifically requests to be omitted. This directory is published on RABs Web site (www.rabnet.com) and is updated weekly. Each entry in the directory includes: Auditors name Company affiliation (if desired) Address Telephone and/or fax number(s) E-mail address Certification grade Date of certification Availability for hire Language skills (if applicable)

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Appendix A: Code of Conduct for RAB Auditors

As a Registrar Accreditation Board (RAB)-certified auditor, I pledge to uphold professional principles in the fulfillment of my responsibilities. In promoting a high standard of ethical conduct, I shall:
01. Act professionally, accurately, and in an unbiased manner. 02. Strive to increase the competence and prestige of the auditing profession. 03. Assist those in my employ or under my supervision in developing their management and auditing skills specific to their chosen professions. 04. Not represent conflicting or competing interests, and disclose to any client or employer any relationships that may influence my judgment. 05. Not discuss or disclose any information relating to an audit unless authorized in writing by the auditee and the auditing organization. 06. Not accept any inducement, commission, gift, or any other benefit from auditee organizations, their employees, or any interested party, or knowingly allow colleagues to do so. 07. Not intentionally communicate false or misleading information that may compromise the integrity of any audit or the auditor certification process. 08. Not act in any way that would prejudice the reputation of the auditor certification body or the auditor certification process, and cooperate fully with an inquiry in the event of any alleged breach of this code. 09. Conduct myself professionally, with truth, accuracy, fairness, and responsibility to my publics. 10. Preface any public statements that I may issue by clearly indicating on whose behalf they are made. 11. Take care that credit for the work of others is given to those to whom it is due. 12. Act in professional matters as a faithful agent or trustee for each employer or client. 13. Not misrepresent my own or any other individuals qualifications, competence, or experience, nor undertake auditing work beyond my qualifications. 14. Not accept compensation from more than one party for the same service without the consent of all parties. If employed, I will engage in supplementary auditing or consulting employment only with the consent of my employer. 15. Not accept retainers, commissions, or valuable considerations from companies audited, unless employed by such companies to undertake such auditing on their behalf. 16. Not accept retainers, commissions, or valuable considerations from any interested parties in exchange for offering confidential information or disclosures that in any way relate to registrars, clients, employers, auditees, or the RAB accreditation system or auditor certification system. 17. Not serve any private or special interest in fulfillment of the duties of auditor, thereby excluding, by definition, the auditing for registration purposes of any company, division, or business unit by which I am employed, with which I have a consulting arrangement, or in which I have a significant interest, including financial, familiar, or personal.* 18. Not serve as an auditor of a primary competitor of any company, division, or business unit by which I am employed or with which I have a consulting arrangement in effect unless I have written approval from both parties.* 19. Ensure that my employer or I formally log all complaints regarding my performance, and address all logged complaints in a manner to prevent recurrence.

*These restrictions continue to apply for two years after the termination of the relationship.

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Appendix B: AS9100 Auditor and AS9100 Aerospace Experience Auditor Maintenance Requirements
All AS9100 Auditors and AS9100 Aerospace Experience Auditors are required to maintain their competence by engaging in continuous professional development (CPD). This activity involves ongoing learning and auditing experience.

Auditing Maintenance Requirements

All auditors must participate in at least four AS9100 aerospace audits in three years.
TIP: These audits may be used to maintain the applicants existing QMS certification.

Continuous Professional Development (CPD) Requirements

1. All auditors shall demonstrate successful completion of at least 15 hours of Continuous Professional Development activities every three years. This shall be accomplished by gaining CPD through participation in professional activities related to the aerospace industry. Examples of acceptable activities include but are not limited to: Completion of aerospace industry-specific courses Attendance at aerospace professional or association meetings or committees Attendance at aerospace conferences, seminars, or workshops Achieving aerospace industry-specific certifications Teaching aerospace industry-specific courses, but the same course will be considered only once every three years for a maximum of 10 hours per course 2. These activities shall identify personal strengths and weaknesses and identify areas for both personal improvement and improvement of auditing methodologies and skills. These activities should provide evidence of multifaceted development. 3. No more than 10 hours will be granted for any one activity.
TIP: These CPD hours may be used to maintain a portion of the 45-hour CPD requirement for the applicants existing QMS certification.

Appendix C: Advancement in Grade of Certification

Advancement of grade is optional and may be made at any time, provided the applicants certification is current. Aerospace Experience Auditor requirements can be found in Section 5.0 General Requirements for AS9100 Aerospace Experience Auditor of this document. An applicant for Aerospace Experience Auditor must first meet the requirements of an Aerospace Auditor as outlined in Section 4.0 General Requirements for AS9100 Auditor. Note: An applicant applying directly to Aerospace Experience Auditor must meet the criteria in both Sections 4.0 and 5.0.
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