A look at the top 8 ASA-100 audit findings from 1/1/22 to 6/12/24

Jim Lee, simpleQuE CEO, recently attended the 2024 Aviation Suppliers Association (ASA) Annual Conference and Quality Committee meeting.  Valuable data about audit findings was presented, which can benefit those aircraft parts distributors trying to obtain ASA-100 accreditation, and those already maintaining their accreditation year-after-year.  (There were 688 total certifications worldwide as of June 2024)

This data from the last 2.5 years (1/1/22-6/12/24) from ASA’s audits of distributors is valuable to use as a benchmark to compare your company against others. It is also helpful to learn of the problem areas where findings typically occur to improve your own quality management system and help you focus on common trouble spots to avoid during your ASA audits.

• As of 6/12/24 there were 737 audits through ASA forecasted for 2024. As of that date, more NCRs were already generated than were issued in all of 2023.
• There is an average of 3 findings per audit
  • Note: the number of findings has been increasing to over 3.5 findings per audit in the first half of 2024, primarily due to the large number of TAC-2000 companies that are trying to maintain AC 00-56 compliance and not having all the extra ASA-100 requirements when they move to ASA. TAC-2000 is no longer recognized by the FAA, as they have withdrawn from the FAA program.
• The average number of findings for all audits is a little misleading because 40% of the audits have no findings.
• 60% of audits have findings. If we remove the audits with no findings and compare the quantity of findings for the audits that have findings, the statistics change to almost 4 findings per audit.
• Looking just at initial accreditation audits, there’s an average of 5 findings per audit.

These last two statistics are more noteworthy to benchmark.  So let us learn from the top issues identified during ASA audits against its 15 clauses.  Here are the top 8 problem areas where ASA audit findings occur and dive into the details behind the top 5 issues that distributors struggle with.

There is a year-over-year increasing trend of non-conformances in Procurement, Material Control, and Certification & Release of Materials which could be a sign of aviation industry focus on supply chain issues.  Here is a breakdown behind the top 6 clauses using 2024 year-to-date data.

Clause 5 – Procurement

• 65 problems with Terms and Conditions or required flow-down of non-incident or accident statement (NIS)
• 63 issues with the approved supplier list, not up to date, missing information, etc.
• 32 issues with traceability, or listed condition of parts
• 11 problems with the drop shipment process and appropriate records
• 11 with no quality history for each approved supplier

Clause 4 – Training and Authorized Personnel

• 64 issues with missing training records to show required training was completed
• 36 issues with no list of the personnel and their alternates authorized to perform inspection functions, or the list was not up to date
• 21 issues with required Suspect Unapproved Parts or Counterfeit Parts training
• 16 issues with training records missing required information. ASA-100 has very specific requirements for what training records must contain.

Clause 1 – Quality System and Quality Manual

• 81 problems with incorrect versions of documents being used, documents/forms not referenced in the quality manual, quality manual not accurate or current.
• 18 issues with the quality manual not addressing all ASA elements, or not up to date
• 11 problems with distribution or accessibility of the manual or documents, or ASA not being notified of changes

Clause 8 – Material Control

• 30 problems with the Electro-Static Discharge (ESD) Process
• 28 issues with the Control of Nonconforming Product (Segregation/Recall/Log)
• 19 issues with scrap records
• 11 issues with inventory accuracy and part identification/condition tag – ATA-300 requirement, messy, storage

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Clause 2 – Self-Audit/Evaluation and Accreditation Programs

• 77 issues with noncompliance in the following areas – Internal audits not performed annually with adequate records maintained, not following the distributor’s written procedure. Corrective actions not documented with the process being followed to close out any audit findings. (Outsourcing your internal self-assessment audit to an experienced 2^nd party like simpleQuE, can ensure the annual schedule is adhered to and provide qualified auditors to help improve your business and minimize headaches when the ASA auditors come in.)

Clause 10 – Certification and Release of Materials

• 46 problems with True Copy: Either no True Copy stamp or not stamping shipped documents per Appendix A
• 45 problems with missing statements on Material Certifications that parts weren’t subjected to conditions of extreme stress, heat or environment, and that parts were not previously installed in a public aircraft, such as a government use aircraft or a military aircraft
• 8 issues with inaccurate information on the Material Cert or ATA-106 Material Certification Form

Clause 11 – Shipping, and Clause 6 – Receiving Inspection

• The last two problem areas are with the distributor’s receiving, shipping, and inspections not following documented procedures, or not maintaining appropriate records. Inspectors must be trained with evidence of this training being maintained.

Let SimpleQuE assist you in obtaining ASA-100 accreditation, or AS9120 certification, and give you peace of mind by performing your annual internal self-assessment audits.