AS9104-1:2022 Transition Guide
The AS9104-1:2022 standard has been published along with the associated Supplemental Rule 004.
AS9104-1:2022 supersedes AS9104-1:2012 and sets out the Requirements for Certification of Aviation, Space and Defense Quality Management Systems.
This standard addresses requirements for accreditation bodies such as the United Kingdom Accreditation Service (UKAS) and the ANSI National Accreditation Board (ANAB,) certification bodies like NQA and certified organizations.
NQA conduct audits to the AS9100, AS9110 and/or AS9120 standards. The method of auditing, the audit plans and the audit duration are all governed by AS9104-1:2022.
The supplemental rule previously mentioned is published alongside the 2022 version of AS9104-1, and defines the industry requirements for the implementation of AS9104-1:2022 such as timelines, expectations etc. This is published with an end goal of ensuring that AS9104-1:2022 is rolled out and adhered to by all interested parties.
The most significant changes concern the information we gather in preparation for an audit, and how it is used to determine permissible site structures, assists with audit planning and calculated audit time for the audit, audit planning and audit report writing.
Complex, several site and campus structures will no longer exist.
Therefore, all certificated organizations will be classified as single site or multiple site. It is likely that organizations currently classified as complex or campuses will be subject to an increased audit duration as a result of the new standard AS9104-1:2022. If you are unsure what your organization’s current structure is, this is noted on your NQA certificate.
Whereas the current version of AS9104-1 uses a simplistic formula to calculate actual audit time, the new AS9104-1:2022 standard has a different method.
- The effectiveness of your quality system
- The complexity of your organization
- Levels of customer satisfaction etc.
In addition, this new standard will ensure that the auditor(s) will be allocated additional time to provide more detailed audit planning, to document the audit results and conduct any post-audit activities.
This will be gathered using a Pre-Audit Data Gathering Form. With this information we will be able to determine your site structure, conduct effective audit planning and ensure that the auditor(s) have sufficient time to conduct the audit.
Some of the information presented below will be answered by the NQA auditor based on past audit results, whereas other information can be gathered from the OASIS database or NQA’s database. However, some of this information can only be obtained from you, our client.
Ultimately responses to the questions below will be used by the auditor(s) and NQA office for your forthcoming audits:
• The robustness of your internal audit program
• The competency of your internal auditors
• If your company had a major NCR issued by NQA/customers/regulatory agencies etc. in the past 12 months
• Whether or not your company has met customer satisfaction levels
• On-time delivery performance
• Conformance of delivered products/service to customers
• Customer complaints
• Effectiveness of your quality system as measured by your PEAR scores on previous audits
• Processes excluded per site (for multiple site organizations)
This data will act as an input to the Organization Certification Analysis Process (OCAP) calculation methodology found within AS9104-1:2022.
The output of that calculation will produce both audit duration (the time from the opening meeting to the closing meeting,) for each site along with additional time needed for report writing, audit planning etc. Taken together, the audit duration, plus the audit time, represents the total time for each audit.
• Provide notification to your aerospace, space and defense customers within 15 days of suspension
• Allow NQA to publish public data (e.g. information on the AQMS certification and its status,) and non-public data (e.g. audit results, assessment results, non-conformities, corrective action, scoring,) in the OASIS database
• Identify when there is a need to omit information that is proprietary or subject to restrictions, from the audit report, prior to the OASIS database entry
• Appoint and maintain an administrator for the OASIS database
• Support the audit process via direct input of data into the OASIS database, including online corrective action management
• Either provide electronic access to audit results data contained in the OASIS database, or download and distribute audit results data to your aerospace, space and defense customers and regulatory authorities, upon request, unless justification can be provided (e.g. competition, confidentiality and conflict of interest)
• Provide data required by this standard to NQA prior to initial, surveillance, and recertification audits for the completion of the OCAP analysis
• Adhere to the requirements of section 9 of AS9104-1:2022. To obtain a copy of this standard, click here
In accordance with the IAQG Supplemental Rule 004, NQA will have 90 days from the time we are accredited to apply the requirements of AS9104-1:2022 to our customer base. Therefore, it is expected that by end of 2023, your company’s audit duration will be calculated using the aforementioned bulleted inputs.
In addition, for those customers who currently have a campus, several sites or complex certificate, once NQA completes your audit using the new methodologies found in AS9104-1:2022, you will be issued a new certificate as a multiple site organization. Once transitioned, all certificates will reference the latest version of 9104-1. Your certificate expiry date will remain the same.
Alternatively, please register for our webinar dedicated to this change:
Prepare for takeoff: The aerospace AS9104 transition
AS9104-1:2022 supersedes AS9104-1:2012 and sets out the Requirements for Certification of Aviation, Space and Defense Quality Management Systems.
This standard addresses requirements for accreditation bodies such as the United Kingdom Accreditation Service (UKAS) and the ANSI National Accreditation Board (ANAB,) certification bodies like NQA and certified organizations.
NQA conduct audits to the AS9100, AS9110 and/or AS9120 standards. The method of auditing, the audit plans and the audit duration are all governed by AS9104-1:2022.
The supplemental rule previously mentioned is published alongside the 2022 version of AS9104-1, and defines the industry requirements for the implementation of AS9104-1:2022 such as timelines, expectations etc. This is published with an end goal of ensuring that AS9104-1:2022 is rolled out and adhered to by all interested parties.
Changes that affect your audit structure, NQA audit planning and length of audit
AS9104-1:2022 introduces some new concepts and requirements. Many of these will have little impact on the third-party audit that NQA conducts at your organization, whereas others may have a greater impact.The most significant changes concern the information we gather in preparation for an audit, and how it is used to determine permissible site structures, assists with audit planning and calculated audit time for the audit, audit planning and audit report writing.
Site structure changes
The permissible site structure change will have very little impact on single site and multiple site customers.Complex, several site and campus structures will no longer exist.
Therefore, all certificated organizations will be classified as single site or multiple site. It is likely that organizations currently classified as complex or campuses will be subject to an increased audit duration as a result of the new standard AS9104-1:2022. If you are unsure what your organization’s current structure is, this is noted on your NQA certificate.
Audit planning
AS9104-1:2022 requires that certification bodies consider much more information to assist with audit planning. This information will help to facilitate a more targeted and effective audit, enabling clients to focus on areas that need improvement and consequently support your ability to maintain compliance with the AS9100, AS9110 and/or AS9120 standards.Audit duration
The time needed for the NQA auditor to conduct audit planning, the audit itself and audit report writing time will be more reflective of your organization’s complexity and the effectiveness of your quality system.Whereas the current version of AS9104-1 uses a simplistic formula to calculate actual audit time, the new AS9104-1:2022 standard has a different method.
Calculating audit time: The new method
AS9104-1:2022 requires that certification bodies collect more information upfront, to ensure that the length of the audit is commensurate with:- The effectiveness of your quality system
- The complexity of your organization
- Levels of customer satisfaction etc.
In addition, this new standard will ensure that the auditor(s) will be allocated additional time to provide more detailed audit planning, to document the audit results and conduct any post-audit activities.
Preparation for AS9104-1:2022
In order to prepare for this new standard, you will begin to receive communications from NQA seeking more information than before.This will be gathered using a Pre-Audit Data Gathering Form. With this information we will be able to determine your site structure, conduct effective audit planning and ensure that the auditor(s) have sufficient time to conduct the audit.
Some of the information presented below will be answered by the NQA auditor based on past audit results, whereas other information can be gathered from the OASIS database or NQA’s database. However, some of this information can only be obtained from you, our client.
Ultimately responses to the questions below will be used by the auditor(s) and NQA office for your forthcoming audits:
• The robustness of your internal audit program
• The competency of your internal auditors
• If your company had a major NCR issued by NQA/customers/regulatory agencies etc. in the past 12 months
• Whether or not your company has met customer satisfaction levels
• On-time delivery performance
• Conformance of delivered products/service to customers
• Customer complaints
• Effectiveness of your quality system as measured by your PEAR scores on previous audits
• Processes excluded per site (for multiple site organizations)
This data will act as an input to the Organization Certification Analysis Process (OCAP) calculation methodology found within AS9104-1:2022.
The output of that calculation will produce both audit duration (the time from the opening meeting to the closing meeting,) for each site along with additional time needed for report writing, audit planning etc. Taken together, the audit duration, plus the audit time, represents the total time for each audit.
Changes that directly affect certified organizations:
AS9104-1:2022 is inclusive of requirements for certified organizations and adherence to these requirements will be evaluated by the NQA auditor. AS9104-1:2022 requires all AS9100, AS9110 and AS9120 customers to:• Provide notification to your aerospace, space and defense customers within 15 days of suspension
• Allow NQA to publish public data (e.g. information on the AQMS certification and its status,) and non-public data (e.g. audit results, assessment results, non-conformities, corrective action, scoring,) in the OASIS database
• Identify when there is a need to omit information that is proprietary or subject to restrictions, from the audit report, prior to the OASIS database entry
• Appoint and maintain an administrator for the OASIS database
• Support the audit process via direct input of data into the OASIS database, including online corrective action management
• Either provide electronic access to audit results data contained in the OASIS database, or download and distribute audit results data to your aerospace, space and defense customers and regulatory authorities, upon request, unless justification can be provided (e.g. competition, confidentiality and conflict of interest)
• Provide data required by this standard to NQA prior to initial, surveillance, and recertification audits for the completion of the OCAP analysis
• Adhere to the requirements of section 9 of AS9104-1:2022. To obtain a copy of this standard, click here
Timeline
NQA expects to be accredited to this new standard by the end of Q3 2023.In accordance with the IAQG Supplemental Rule 004, NQA will have 90 days from the time we are accredited to apply the requirements of AS9104-1:2022 to our customer base. Therefore, it is expected that by end of 2023, your company’s audit duration will be calculated using the aforementioned bulleted inputs.
In addition, for those customers who currently have a campus, several sites or complex certificate, once NQA completes your audit using the new methodologies found in AS9104-1:2022, you will be issued a new certificate as a multiple site organization. Once transitioned, all certificates will reference the latest version of 9104-1. Your certificate expiry date will remain the same.
Further information
Please contact us on 0800 0522424 or email enquiries@nqa.comAlternatively, please register for our webinar dedicated to this change:
Prepare for takeoff: The aerospace AS9104 transition