AS 9100, AS 9110 and AS 9120

1. Introduction
2. Overview
3. Global adoption
4. Benefits
5. Auditing
6. Choosing a registrar
7. Route to registration
8. Costs
9. Contributing editor

The aerospace standards consist of AS 9100, AS 9110 and AS 9120. AS 9100 Revision B is the aerospace standard that covers the manufacturing of parts within the aerospace industry.  However, the new Revision C has extended the scope of the standard to include aviation, space and defence organisations.  AS 9100 is currently at Revision B but will be at Revision C after 1 July 2011. All audits after this date will be carried out to Revision C but the back stop is 1 July 2012 when any Revision B certificates still outstanding will not be valid.

AS 9110 is the standard titled ‘Aviation Maintenance’ and will be at the 2010 version this year. This standard, as the name implies, is for organisations carrying out the maintenance of aircraft or associated components.

AS 9120 is the standard for the distributors to the aerospace industry and is titled ‘The Requirements for Aviation, Space and Defence Distributors’.  Although commonly applicable to raw material distributors, it can be applied to all distributors to the aerospace industry.

Organisations can have a mix of standards on the same certificate, for example, when a component is being manufactured it is manufactured under AS 9100, but when the component is returned for refurbishment or maintenance then this activity applies under AS 9110. Many special processes within the aerospace industry, such as electro plating or welding, are subject to NADCAP certification.  Generally, a prerequisite for this certification is to be certified to AS 9100.

The AS 9100 standard is based squarely on the ISO 9001:2008 standard with about an extra third added to cater for the more strict requirements of the aerospace industry.  Indeed, the AS 9100 standard and associated AS 9110 shows the ISO 9001 in normal font and the Aerospace Standard requirements in bold.  Originally, ISO 9001 was used in the aerospace industry until companies began supplementing it with their own content, such as Boeing with their D1-9000 and the automotive Q Standard.  This created a patchwork of competing requirements until a single unified document, AS 9000, was produced in North America.  After release, individual companies discontinued use of their supplements.

When ISO 9001:2000 was introduced there was a philosophical change to process management and the AS9000 standard was subsequently rewritten and released as AS9100.  A later revision, Revision B, then followed until Revision C was released in January 2009 which incorporates a number of changes, one of which has been an increase in the scope of Revision C to be reflected in the title ‘Aviation, Space & Defence’.

The supply chain in the Aviation, Space & Defence industries is global and the requirement to maintain the very high safety record of the industry has ensured that the AS 9100 series of standards has been developed.  The International Aerospace Quality Group (IAQG) consists of representatives of the top 64 aerospace companies in the world including Airbus and Boeing and they are ensuring that the quality standards are being maintained.  They have been the instigators of the new AS 9100 Revision C which will raise the quality standards even higher than before through more robust process auditing.  In addition, the improvement of the supply chain on time delivery performance and the improvement of the quality of the delivered items have been set as achievable goals.

Is AS 9100, AS 9110 & AS 9120 relevant to your organization?

The IAQG members have been ensuring that the AS 9100 has been implemented further and further down the supply chain since the standard was implemented.  In general, you need to be certified to AS 9100 once your aerospace turnover exceeds 10% of your business or at any other time the organisation sees fit to be certified.  Some organisations will get certified to AS 9100 without having any aerospace work in anticipation of winning aerospace work once they are certified.

The AS 9100 Revision B standard has been issued to a total of 12,733 (March 2011) suppliers and customers worldwide, through a total of 87 certification bodies. The certification to AS 9110 and AS 9120 has been less prolific but is steadily increasing.

The IAQG has set up a global database called OASIS containing the members of the IAQG, suppliers and auditors.  Once a supplier has gained AS 9100 then they are required to be entered into this database.  This means that IAQG members can see the scope of registration of suppliers.

The AS 9100, AS 9110 & AS 9120 Standards have all the benefits of ISO 9001:2008, including the motivation of staff, less waste, better delivery, and orders being consistently met. For a full list of benefits, see the benefits of ISO 9001:2008.

The AS 9100 series of Standards require a 2 stage auditing methodology in that the organisation is required to carry out internal audits as well as having external auditors from a certifying body carry out audits.

Internal Audits - Staff from the organisation can be trained to carry out audits through formal courses which are often 2 days in length or they can be trained in house with the use of ‘mentors’ who will guide them through the training process.  Whichever route is chosen, the external auditor will ensure internal audits are carried out in a competent manner.  Staff are unable to carry out audits on their own work, thus a minimum of 2 internal auditors are required. Consultants can be employed to carry out these audits though this will add to your auditing costs.  The internal audits will need to be carried out on the full Quality Management System with each area being audited at least once per year.  However, depending on the importance of certain areas or the weakness of certain processes then this can be varied to suit.  The internal audit process should ensure that the organisation is working to established processes and to ensure that any improvements are noted and captured within the Quality Management System.  Non conformances can be a useful source of continual improvement, not a cause for starting the ‘blame game’.

External Audits - These will be carried out by a certifying body that will provide auditors experienced in your organisation’s field of work.  External auditors in the aerospace field will be expected to have spent at least 4 of the last 10 years working in the aerospace field and have genuine aerospace experience.  As well as being qualified as a lead auditor for ISO 9001:2008 the auditor will have had to pass the relevant AS 9100, AS 9110 & AS 9120 courses.  Better certification bodies will expect their auditors to be registered with the International Register of Certified Auditors (IRCA).  The certification body ensures that the auditor is mentored until they reach the expected auditing standard.

There are approximately 1,000 certification bodies globally so it is important to select an approved certification body that is relevant to the industry sector you are operating within. It is beneficial to your organisation to comply with the following criteria:

• Ensure the company is accredited to ISO/IEC 17021:2006, and the certification body accreditation is issued by a recognised competent body.
• Receive quotations from several certification bodies before making a decision.
• Do not simply select the cheapest quotation as their auditing or service may be below standard.
• Ensure the certification body is recognised by your customers and has the relevant sector experience for your industry sector.
• You are not obliged to use the services of an accredited certification body. In some countries you may find a certification body that is recognised in your country, and by your customers, and which delivers a high level of service while operating under stringent accreditation guidelines and rules.  However, you may find it very difficult to convince other customers that you have a valid certificate if it is not supported by an accredited certification body.

These are the various steps to registration:

1. Pre-audit Assessment
   • Check documentation with lead assessor
     The lead assessor will review your documentation to ensure that all documented procedures cover the requirements of AS 9100, AS 9110 & AS 9120.
   • Determine date of assessment
     Together with your lead assessor, you will determine the best timetable for your registration and agree on a date for the 1st and 2nd stage initial assessments. Many organizations benefit from the pre-assessment "dry run" of the formal assessment.
2. Initial Assessment conducted (1st Stage)
   A 1st stage initial assessment will be conducted by your external auditor. This will cover the basic documentation and your prepared state for the 2nd stage audit. You will be informed of his recommendation at the closing meeting.
3. Initial Assessment conducted (2nd Stage)
   • The 2nd stage initial audit cannot be conducted immediately after the 1st stage audit in the aerospace scheme but areas covered in the 1st stage can be accounted for in the 2nd stage audit. The combination of the 1st and 2nd stage audits will result in a recommendation from the lead auditor at the end of the audit.
4. Registration Confirmation
   Following your auditors recommendation, your registration will be confirmed by the technical reviewers.
5. Certificate Issued
   Your certificate of registration will arrive soon after your registration has been confirmed.
6. Continued Assessment
   After registration your nominated auditor will visit your organization every 6 months or annually to ensure that your management system continues to meet the requirements of AS 9100, AS 9110 or AS 9120. The number of days required for the Continued Assessment will depend on the number of staff within the scope of registration.
7. Reassessment
   Your registrar is required to perform a reassessment of your management system every 3 years. This is approximately 2/3 of the initial assessment duration at the end of the closing meeting your auditor will confirm the outcome if you are successful.

Internal Costs - No matter which route is taken to achieve certification, a certain amount of time and effort is required by the organisation, resulting in costs. If a do-it-yourself approach is taken then a project leader will need to be nominated who may spend a good portion of his time ensuring the work required is being carried out.  The upgrade from ISO 9001:2008 to the aerospace standards, for the average sized company of 50-80 staff, will take approximately 4-6 months.  To go straight to the aerospace standard without the benefit of having ISO 9001:2008 beforehand can be done but good project management needs to be in force and this may take up to a year to get fully established.  For organisations that have only recently started up, the new requirement for documentation is that the external auditor will need to see a minimum of 12 months of records before recommending the certificate be issued.

3rd Party Consultancy - The complexity of the aerospace standards means that there are a number of pit falls for the do-it-yourself organisation.  A consultant, with years of experience in both auditing other quality management systems and installing systems for organisations knows exactly what is required, and the organisation will not be ‘re-inventing the wheel’.  It may be more cost effective for the consultant to advise on progress rather than spend time actually doing the work for you.  It is your quality management system and you should have a major input.  Your organisation has got to the stage it is at by doing things your way.  The aerospace standard simply asks for more discipline in certain areas and consideration of certain topics, such as Foreign Object Debris/Damage.  Be wary of the consultant who brings in a copy of his quality management system and then proceeds to change everything to his way.

Certification Costs - Costs of registration are dependent on the size of your organization. Most registrars charge a certain rate per day to be on-site at your facility. This day rate will vary depending on your country but the typical day rate in the United Kingdom will vary between £600 and £800 per auditor day depending on the registrar. Small companies with less than 20 staff could expect one auditor on site for the initial audit for 1-3 days. Large companies with 126 – 175 staff can expect several auditors on site for approximately 10 days, depending on the complexity of the processes being carried out and whether design is an issue.

Other fees include application fees, certificate fees and annual licence fees. To maintain your certification, the certifying body must return periodically, i.e. annually or every 6 months, to audit a portion of your system. These costs will be less than the original visit since the time spent will be shorter. Once every three years the registrar returns to audit your entire system but the number of days will be slightly less than the original initial audit.

Andrew Bolton

Andrew has had a 39 year career in the Royal Air Force as an aircraft technician with the last 25 years being involved with Quality Management Systems. For the last 7 years, he has been a self-employed external auditor working mainly for BSI specialising in AS 9100 Revision B and also being involved with AS 9110 and AS 9120. His work has taken him all over the world, including the Falkland Islands, and is now the director of his own consultancy business, ABC Quality Management Limited.

Andrew maintains both the AS 9100 Revision C and AS 9120:2010 qualifications and is registered in the OASIS database as such. He is a member of the Chartered Quality Institute and the Chartered Management Institute.