Major Revision for AS9104/1A Which Impacts Audit Planning and Duration

AS9104/1A was published on 01/07/2022 and includes some major revisions from the previous version.  This standard covers the entire certification process and the requirements for:

• Accreditation Bodies,
• Certification Bodies (CBs) and their auditors,
• Audits and reports, OASIS database, and more.

The International Aerospace Quality Group (IAQG) developed a global scheme for the acceptance and recognition of audits performed by CBs, using the AS9100 series of standards. The purpose of the harmonized approach is to improve the quality and process control throughout the entire supply chain. 

What impact will this have on Aerospace suppliers?

Audit Durations:

• Depending on risk, performance, improvement and other factors, audit time may be increased or reduced at each site.
• New tool – Organization Certification Analysis Process (OCAP) will be utilized by the CBs to determine increases in audit duration or allow for decreases, with limitations
• Audit time can be reduced up to a maximum of 50% (through PBS/RP – Performance Based Surveillance/RP Recertification Process)
• Non-applicable processes shall result in reduced audit duration from the established minimum baseline.
• Audit report writing will be included in audit duration calculations with a minimum 10% addition.
• Audit planning time of 10% will also be added to the audit calculations.
• Single Site and Multiple Site structures only (Campus and Several Site have been removed)
• Purchasing is no longer mandatory for every audit
• Up to 30% can be conducted remotely (post COVID-19)

Audit Planning:

In the audit planning process, the CB requires client participation and submission of QMS performance and change data in advance of any audit. This allows the lead auditor to analyze the data and determine the audit time.

Part of the audit planning includes the OCAP process and risk assessment which considers:

• Meeting customer requirements – on time delivery performance
• Customer complaints and returns
• KPI results
• PEAR scores
• Internal auditor competence
• Size and complexity of the site

The resulting outcome could be a 10% reduction or 10% addition in audit time, or no change based on low, medium or high risk.

Note that if the data supplied by the company is not accurate, a non-conformance will be issued.

How does a company qualify for up to a 50% reduction of audit time?

CBs will utilize a PBS (Performance Based Surveillance)/RP (Recertification Process):

• Must have completed one (3-year) AQMS cycle
• Annual OCAP performance results
• Mature internal audit program
  • Annual audit of QMS
  • Continual audit program (risk based)
  • Input driven (KPI, customer complaints)
  • Defined and structured program that is flexible based on performance/risk
  • Linked to change management
• Competent internal auditors
• Ethics policy
• No major NCRs
• No suspension in last 6 years
• Continual improvement activity
• Control of organizational changes
• Exceeding customer satisfaction
• No violations of regulatory approvals

Annually must meet qualifications for:

• Performing annual review
• Continue to meet qualification requirements as listed above

In summary, once the AS9104/1A standard is published, the Certification Bodies will have 18 months to train and transition.  So that gives companies time to drive improvements.

How can you prepare for the AS9104/1A changes?

• More attention will be placed on audit and KPI performance which will impact audit time so it’s to your benefit to make these a key focus
• Consider your site structure and if the changes impact you and subsequent audit durations.
• In the audit planning process be sure to complete the data forms issued and ensure the data is true and accurate.
• How is your OTD (On Time Delivery) and quality performance?
• What training have your internal auditors received?
• What are your PEAR scores?

For an update regarding AS9104/!A, read our blog How Will AS9104/1A Affect Companies That Are AS9100, AS9110 and AS9120 Certified?

Information regarding AS9104/1:2022 provided by global certification body – NQA.

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