ISO 9001 to AS9100 Gap Analysis Guide
Download our AS9100:2016 Gap Analysis Guide to discover the major additional requirements found in AS9100 as compared to ISO 9001.
Smithers Summarizes: AS9100 Requirements
Key Takeaways:
- AS9100 builds on ISO 9001:2015 with over 100 aerospace-specific requirements
- The standard follows a 10-clause structure (Clauses 4–10 contain auditable requirements)
- Aerospace additions include operational risk management, configuration management, product safety, and counterfeit parts prevention
- Certification requires a two-stage initial audit, followed by annual surveillance audits
- Organizations must demonstrate process interaction, risk-based thinking, and continual improvement
Aerospace organizations seeking to establish robust quality management systems face a critical decision: pursuing AS9100 certification. Understanding AS9100 requirements is essential for companies that design, manufacture, or supply products and services to the aviation, space, and defense industries.
What Are the AS9100 Standard's Requirements?
AS9100 requirements define the quality management system standards specifically tailored for the aerospace sector. Published by the International Aerospace Quality Group (IAQG), AS9100D works in conjunction with ISO 9001:2015, adding aerospace-specific controls to the foundational quality management framework.
AS9100 requirements address the unique challenges of aerospace manufacturing, where product safety, supply chain integrity, and rigorous traceability are non-negotiable. Most global aerospace manufacturers now require their suppliers to hold AS9100 certification, making compliance a business imperative.
The AS9100 Clause Structure
AS9100 requirements follow a 10-clause structure aligned with ISO 9001:2015. Clauses 0–3 provide introductory information, while Clauses 4–10 contain the auditable requirements that organizations must implement.
Clause 4: Context of the Organization
Organizations must understand their internal and external environment, identify interested parties and their expectations, define the scope of their quality management system, and document their processes and their interactions. AS9100 requirements emphasize that process maps must reflect the organization's actual operations, not generic templates.
Clause 5: Leadership
Top management must demonstrate active commitment to the quality management system. AS9100 requirements mandate that leadership establish a quality policy, define quality objectives, assign clear roles and responsibilities, and promote risk-based thinking throughout the organization. Unlike previous versions, AS9100D does not require a specific management representative title, but does require a designated member of management with unrestricted access to top management.
Clause 6: Planning
Planning requirements address risk and opportunity management, quality objectives, and change control. Organizations must identify risks and opportunities relevant to their quality management system and plan actions to address them. AS9100 requirements integrate risk management into operational decision-making rather than treating it as a separate activity.
Clause 7: Support
Support requirements cover resources, competence, awareness, communication, and documented information. Organizations must ensure adequate infrastructure, maintain calibrated measurement equipment, manage organizational knowledge, provide appropriate training, and control documents and records. AS9100 requirements specify that personnel must understand their contribution to product quality and safety.
Clause 8: Operation
Clause 8 contains the most extensive AS9100 requirements, governing product and service realization from customer communication through delivery. This clause includes aerospace-specific additions that distinguish AS9100 from ISO 9001.
Operational Risk Management (8.1.1): Organizations must identify and manage risks throughout operational processes, including those arising from new customers, markets, technology, and external providers.
Configuration Management (8.1.2): The AS9100 requirements mandate configuration management practices to maintain product definition integrity throughout the lifecycle.
Product Safety (8.1.3): A dedicated clause requires organizations to identify and address product safety considerations throughout design, manufacturing, and delivery. Product safety is defined as "the state in which a product can perform to its designed or intended purpose without causing unacceptable risk of harm to persons or damage to property."
Counterfeit Parts Prevention (8.1.4): Organizations must establish processes to prevent counterfeit parts from entering the supply chain. Counterfeit parts are defined as unauthorized copies or modifications knowingly misrepresented as genuine. The AS9100 requirements specify that identified counterfeit parts must be marked conspicuously, positively controlled, and physically rendered unusable.
Additional operational requirements address design and development control, supplier management, production control, identification and traceability, and nonconforming product handling. AS9100 requirements for supplier control are particularly rigorous, requiring organizations to maintain an approved supplier register, flow down applicable requirements, and monitor supplier performance for quality and delivery.
Clause 9: Performance Evaluation
Organizations must monitor and measure quality management system effectiveness through defined metrics, internal audits, and management reviews. AS9100 requirements specify that performance indicators should drive decision-making and demonstrate process effectiveness.
Clause 10: Improvement
The final set of AS9100 requirements addresses nonconformity management, root cause analysis, corrective action, and continual improvement. Organizations must verify the effectiveness of corrective actions to prevent recurrence.
AS9100 Certification Process
Meeting AS9100 requirements leads to certification through a structured audit process. Organizations must first implement the standard for a minimum of three months before pursuing certification.
The initial certification audit consists of two stages. Stage 1 verifies that the organization has established documented processes and is ready for full assessment. Stage 2 confirms that the quality management system fully conforms to AS9100 requirements through evidence review and process audits.
Following certification, organizations undergo annual surveillance audits to verify ongoing compliance. Every three years, a recertification audit evaluates the entire quality management system. Organizations must alert their certification body to any significant changes in scope, locations, or activities during the certification period.
Common Implementation Challenges
Organizations frequently struggle with certain AS9100 requirements during implementation. Process interaction documentation often proves challenging, as generic flowcharts fail to meet the standard's expectation for organization-specific detail. Risk management integration requires cultural change, moving beyond standalone risk registers to embed risk thinking into daily operations.
The aerospace-specific requirements in Clause 8.1 demand particular attention. Many organizations underestimate the documentation and control necessary for configuration management and counterfeit parts prevention. Supplier management requirements also prove extensive, requiring robust systems for evaluation, approval, monitoring, and flow-down of requirements.
Organizations should conduct a gap analysis comparing current practices against AS9100 requirements before beginning implementation. This assessment reveals specific areas requiring development and informs project planning.
Meeting AS9100 Requirements With Expert Support
AS9100 requirements establish a comprehensive framework for aerospace quality management that addresses both foundational quality principles and industry-specific risks. Organizations that successfully implement these requirements gain market access, improve operational efficiency, and strengthen their competitive position.
Smithers Quality Assessments Division provides expert guidance for organizations pursuing AS9100 certification. Our auditors bring deep aerospace industry knowledge and technical leadership in standard development. We design auditing services to add value and help organizations improve, not simply check boxes.
Contact Smithers Quality Assessments Division to discuss how we can support your AS9100 certification journey and help your organization meet the rigorous standards of aerospace quality management.
Request a quote or contact us today to learn more about how Smithers Quality Assessments Division can support your AS9100 certification and elevate your organization's aerospace quality management systems.
