AS9101 Revision E

Understanding the Changes

Introduction
Aviation, space and defense (ASD) organizations are highly regulated to ensure their products are safe and
reliable, conform to statutory and regulatory requirements, and meet or exceed customer expectations. The
extensive globalization of the industry and its supply chain complicates compliance and creates challenges to
the supplier as well as the end user.

The International Aerospace Quality Group (IAQG) was formed to help address and improve issues around
quality, delivery and cost to protect the integrity of the product and processes in the ASD sector.

Comprised of representatives from companies across the globe, the IAQG’s mission is to implement initiatives
that contribute to the improvement in the quality and cost efficiency throughout the value stream. Through
certification to standards in the AS9100 series, companies demonstrate their efforts to bring continual
improvement to the quality of their products and services.

International Aerospace Quality Group

IAQG Council General Assembly Forums

AAQG EAQG APAQG

(Americas) (Europe) (Asia & Pacific)

* Source: IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides]. Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf

AS9101 is the standard that governs how certification bodies conduct audits in the ASD sector. While the
changes to this standard directly impact CBs, there is an indirect aspect of this standard that holders of
certificates in the AS9100 series need to understand.

As the certification body of choice for many of the world’s ASD companies, it is important that we share the
changes this revision will bring to our activities and how we believe they may affect future audits.

2 BSI AS9101 Revision E I Understanding the Changes

Overview of AS9101 Rev. E
AS9101 provides Quality Management Systems Audit Requirements for ASD organizations. The Standard
has been revised by IAQG to incorporate the requirements for Certification Bodies (CBs) such as BSI, that
are introduced by ISO/IEC 17021 Conformity Assessment – Requirements for bodies providing audit and
certification of management systems, ISO 19011 Guidelines for auditing management systems, AS9104/1
– Aviation, Space and Defense Quality Management System Certification Program as well as inputs from
industry stakeholders associated with process-based auditing methods and the evaluation of process
effectiveness.

With Standards in the ASD sector, every revision brings together a working group of representatives from
across the IAQG world to ensure the changes incorporate the needs of each region. The AS9101 Team was
represented by the Americas, Asia/Pacific and Europe sectors with team members from 6 countries, 9 IAQG
companies and 5 certification bodies. The stakeholders include:

ASD supply chain Accreditation and

organizations Certification Bodies

IAQG member AS9101 AQMS

companies Revision auditors
Team

IAQG community ASD

and working groups authorities

The revisions of ISO 17021:2011 and 19011:2011 as well as the release of AS9104/1:2012 triggered the need for
changing AS9101. There were a number of other factors that underscored this decision. The previous version,
AS9101D, generated over 19 pages of questions, suggesting a significant need for clarification. Requirements
were often lost in the appendix instructions, leading to misunderstandings. This revision is also a reflection of
feedback from various ASD stakeholders as well as those comments that were received during the Aerospace
Auditor Transition Training (AATT).

AS9101 Revision E I Understanding the Changes BSI 3

Highlights
The revised Standard reinforces the importance of the process approach for evaluating “process-based
management systems” with the basic questions that the auditor will need to understand about every process
to include:

• Is the process identified and appropriately defined?

• Are responsibilities assigned?
• Are the processes adequately implemented and maintained?
• Is the process effective in achieving the desired results?

A new Process Evaluation Matrix (PEM) was developed to provide clear definitions to assist auditors in
determining process effectiveness levels. The PEM guides the auditor through numerical conclusions when
documenting Process Effectiveness Assessment Reports (PEARs).

Audit Methodologies previously defined as audit methods that can be used have been renamed as Audit
Approaches and are now mandatory. In short, “should” statements have become “shall” statements.

Forms have been consolidated, improved and moved out of the appendices. They are now available for
download on www.sae.org/iaqg. There are other changes to the forms, which include:

• Improving the forms including “QMS Process Matrix Report”, “NCR” and “Audit Report”

• Incorporating AS9104/1 requirements including Certification Structure

• Improving the forms to reflect OASIS database entry requirements, including
– Central function
– Associated locations/OIN
– Supplemental report number for traceability
– Number of employees
– Audit duration (auditor days)
– Audited (yes/no)
• Withdrawing the OER form, but keeping the principle of recording objective evidence.
– Capturing objective evidence in the updated PEAR form (for AS9100 series standards clause 7) and QMS
Process Matrix Report (for other than clause 7) and summarized on the Audit Report form
– Allowing the CB to use additional audit tools such as checklists or questionnaires, to help auditors in the
collection of objective evidence during the audit process

4 BSI AS9101 Revision E I Understanding the Changes

This chart provides a picture of the Process Approach and where Evidence of Conformity, Evidence of
Nonconformity and Evidence of Performance are recorded on the new forms.

Process Approach

Process-Based Auditing / Performance Focused

Inputs Controls & Resources Outputs

Evidence of Evidence of Evidence of

Conformity Nonconformity Performance

QMS Process Matrix Report

9101 FORM 2: QMS PROCESS MATRIX REPORT

12
Conformity
Clauses 13
NCR Number
(* = not applicable for 9120)
1 2 3 4 5 6 7 8 9 10 11 12

4. Quality Management System

9101 FOR
4.1 General Requirements -- -- -- -- -- -- -- -- -- -- -- -- M 3: PRO
1 CESS EFF
CB Name ECTIVEN
4.2 Documentation Requirements ESS ASS
ESSMEN
4.2.1 General -- -- -- -- -- -- -- -- -- -- -- -- T REPORT
PROCES
4.2.2 Quality Manual -- -- -- -- -- -- -- -- -- -- -- -- BSI S EFF
ASSESSMENECTIVENESS 2
CB Logo
3
4.2.3 Control of Documents -- -- -- -- -- -- -- -- -- -- -- -- 9101 FORM 4: NONCONFORMITY REPORT (NCR) Organisat
ion: T REPORT
4.2.4 Control of Records -- -- -- -- -- -- -- -- -- -- -- -- 4
1
CB Name
2
CB Logo 6 Site(s):
NONCONFORMITY REPORT (NCR) PEAR Num
T REPORT ber:
14
Summary of Objective Evidence: 5

ECTIVEN
ESS ASSESSMEN BSI SECTION
1 – PROCES
S DETAILS
7
Audit Repo
rt Number:
OIN(s):

S EFF
PROCES
9
5. Management Responsibility3: Process 8
Issue Date
M Name:
9101 FOR -- --
TION -- -- -- -- -- -- -- -- -- 10 :
5.1 Management Commitment -- AQMS Stan
S REALISA dard(s):
3 – PROCES -- nce: 3
Organisation:
5
Audit Report Number:
5.2 Customer Focus SECTION -- ces--of evide-- -- -- -- -- -- -- -- -- 9100 ☐
9110 ☐
and sour
of audit trails 9120 ☐
11
5.3 Quality Policy -- -- -- -- -- -- -- -- -- -- -- -- 6
NCR Number: Inputs: Applicabl
18
Summary e 9100/9110
/9120 claus
5.4 Planning
4
Site/OIN:
7
Issue Date: e(s):

5.4.1 Quality objectives -- -- -- -- -- -- -- -- -- -- -- -- 12

Activities:
-- -- -- -- -- -- -- -- -- -- -- SECTION 1 – NONCONFORMITY DETAILS
5.4.2 Quality Management System Planning --
13
-- -- -- -- -- -- -- -- -- -- -- 8
AQMS Standard(s):
8
Applicable 9100/9110/9120 requirement/clause: Outputs:
5.4.3 Safety Objectives (9110 only) --
Responsibility, Authority, and 9100 ☐ 9110 ☐ 9120 ☐
14
5.5 Interactio
Communication 9 10 ns/Interfa
Process/Area/Department: Classification (Ma/Mi): -- ces:
5.5.1 Responsibility and Authority -- -- -- -- -- -- -- -- -- -- -- -- 11
Statement of Nonconformity:
5.5.1.1 Accountable Manager (9110 only) -- -- -- -- -- -- -- -- -- -- -- -- SECTION
2 – PROCES
-- -- -- -- -- -- -- -- -- -- -- S RESULT
5.5.1.2 Maintenance Manager(s) (9110 only) -- 12
Objective Evidence:
15
Organisat S
ion’s meth
5.5.2 Management Responsibility -- -- -- -- -- -- -- -- -- -- -- -- od for deter
mining proc
-- -- -- SS -- -- -- -- -- -- -- -- ess resu
5.5.3 Internal Communication -- ENE lts:
CES S EFFECTIV 13
Containment Required? Yes No
Due Date:
4 – PRO
SECTION 14
Auditor
15
Organisation Representative Acknowledgement
l
ess Leve
Effectiven Name: Signature: Name: Signature:
19
Process
16
Performan
16 ce Measures
SECTION 2 – ORGANISATION’S PLANNED ACTIONS Response Due Date:
KPI 1:
[Attach continuation of response(s) on separate sheet, as needed.]
17
Containment Action(s): KPI 2:

18
Correction(s):
19
Planned Completion Date: KPI 3:
17
Auditor obse
Actual Completion Date: rvations
and comm
ents supp
orting proc
20
Root Cause: Referenc ess resu
e Target for lt determina
tion:
Audited Perio Value Meas
d ured
21
Corrective Action(s):
22
Planned Completion Date:
KPI 1: Audited Perio for
d
KPI 2: Comment
s
Actual Completion Date:
KPI 3:
23
Organisation Representative: Date:
24
Auditor Acceptance: Date:

Name:
SECTION 3 – AUDITOR VERIFICATION AND NCR CLOSURE
esentative
ion Repr 25
21
Organisat Details:

e(s): 9101 FOR

20
Auditor Nam 26 27 M 3: JUN
Auditor Name(s): Audit Team Leader: E 2014
Signature: Date: Signature: Date:

9101 FORM 4: JUNE 2014

PEARs (Section 3) NCRs PEARs (Section 2)

* Source: IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides]. Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf

AS9101 Revision E I Understanding the Changes BSI 5

Details of AS9101 Rev. E
The Reference documents incorporated in developing this Standard, including ISO/IEC 17021, AS9104/1, IAF
MD 3, IAF MD 4 as well as IAQG Procedure 105.6. have been updated. These changes brought about a shift
in focus to the evaluation of effectiveness and its associated processes as well as increased attention to
meeting the needs and expectations of the customer. The specific changes include:

Introduction
0.1 General
• Reference to ISO 19011 has been removed and replaced
with AS9104/1

• Effectiveness is defined as “extent to which planned activities are realized and planned results achieved”
drawing directly from the definitions in ISO 9000 clause 3.2.14.

Requirements
1. Scope – Reference to ISO 19011 has been removed and replaced with AS9104/1

2. Normative References:

• Provides for the updated AS9104/1

• Adds IAF MD 3 – Mandatory Document for Advanced Surveillance and Recertification Procedures (ASRP)

• Adds IAD MD 4 – Mandatory Document for Computer Assisted Auditing Techniques (CAAT)

• Adds IAQG Procedure 105.6 – Forms Management

3. Terms and Definitions

Revision E clarified a number of terms and definitions as indicated below, that are used throughout the audit
process as well as those terms that appear on the revised PEAR form. ISO 9000 is the standard for all Quality
Management Systems fundamentals and vocabulary; revising the terms in the AS9100 series brings the
language into conformity.

3.2 Key Performance Indicators (KPIs) are those measures associated with goals or targets showing how well
an organization is achieving its objectives or critical success factors for a particular project. KPIs are used to
objectively define a quantifiable and measurable indication of the organization’s progress toward achieving
its goals. KPIs are used throughout this revision and have been added to the new PEAR form.

The new terms “Planned Activities” and “Planned Results” were added to further define the term effectiveness
as found in ISO 9000 3.2.14.

6 BSI AS9101 Revision E I Understanding the Changes

3.7 Planned Activities are defined as the means, methods and internal requirements by which the
organization intends to achieve planned results of a given process to meet customer requirements. Planned
activities include conformity to process requirements and procedures.

3.8 Planned Results are the intended performance of a process as defined and measured by the organization.
Planned results include product conformity and on-time-delivery (OTD) to meet customer requirements and
may include other elements related to the process as defined by the organization.

3.9 Process Effectiveness Assessment Report has been expanded to help achieve the balance of conformity,
results and effectiveness, and to align the PEAR for collection of additional objective evidence that was
previously collected on the OER.

4. Auditing and Reporting

4.1.1 Audit Process The overview of the Audit Process Flow (Figure 1) has been revised to include additional
information unique to ASD that is not found in ISO 17021, while maintaining all of the ISO 17021 content.

Note: In Rev. E, Audit Methodologies have been replaced by Audit Approaches that the auditor must use (as
appropriate) and Special Processes have been repositioned under Audit Approaches.

4.1.2 Audit Approaches are linked to several principles that are promoted by the AS9100 series standards.
Each Audit Approach is described by the AS9101 Standard through a list of requirements that auditors
can easily recognize; however, they are presented in a different order than they are in the AS9100 series
standards. These approaches provide for a more effective audit trail than clause-by-clause auditing. These
approaches focus on several areas, including:

• Customer Focus

• Organizational Leadership

• QMS Performance and Effectiveness

• Process Management

• Special Processes

• Continual Improvement

AS9101 Revision E I Understanding the Changes BSI 7

 Pre-audit Activities Organization submits Exchange of information Review of application for
application for initial between organization and certification; selection of
(4.3.1) certification Certification Body audit team leader

Organization and CB engage Proposal for certification Identification of areas of concern; request
in formal arrangements for scope and confirmation Development of audit program for additional information (if applicable)
initial certification of audit program

Initial Certification Surveillance (4.3.4)

Final survellance audit to take place Recertification (4.3.5)
Recertification activates to be completed
within 12 months of Stage 2 audit, before expiry of certification
then at least annually.
Stage 1 (4.3.2)

Select and approve competent

Stage 1 audit team
Exchange of information between organization and CB
(e.g., change of scope); determine if change of audit program is required
Plan for Stage 1 audit;
perform Stage 1 audit

Document Stage 1 audit results, including Recertification Audit Planning

areas of concern (See Form 1)

Resolve Stage 1 areas of concern Confirm audit program and communicate to organization
(if applicable)

Stage 2 (4.3.3) Confirm/appoint component audit team

Confirm/appoint competent
Stage 2 audit team

Plan for Stage 2 edit(s) Plan for surveillance Plan for recertification

Perform Stage 2 Perform surveillance audit(s) Perform recertification audit(s)

Document audit results using QMS Process Matrix Report (see Form 2), PEARs (see Form 3), NCRs (see Form 4),
Audit Report (see Form 5), and Supplemental Audit Report (see Form 6)

Close Stage 2 Resolve surveillance audit nonconformity(s) Close recertification audit nonconformity(s)
audit notconformity(s) (if applicable) (if applicable) (if applicable)

Initial certification audit conclusions Surveillance audit conclusions Recertification audit conclusions

Initial certification decision Continued certification decision Recertification decision

Granting of initial certification and Granting of recertification and issuance

Confirmation of continued certification
issuance of certification documents of certification documents

Confirm or adjust audit program and appropriate audit follow-up and surveillance activities, including frequency and duration.
Special audits must also be taken into consideration.

Figure 1- Overview of Audit Process Flow

(see ISO/IEC 17021 – Figure E.1)
* Source: IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides]. Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf

8 BSI AS9101 Revision E I Understanding the Changes

In order to align the reporting with other AS Standards, the audit documents have been renamed and moved
from the Appendices to Forms and are now available online at www.SAE.org/IAQG. The Certification Structure
Reporting Requirements have been also added. The following tables indicate the changes in the revised
version. The Certification Structure Reporting requirements have been added to illustrate which forms are
required for each audit stage of the new Certification Structures as defined in AS9104/1.

AS9101 D Appendices (previous version) AS9101 E Forms (updated version)

Form 3 (PEAR) Section 3 & Form 2
Appendix A (Objective Evidence Report)
(QMS Process Matrix Report)
Appendix B (Nonconformity Report) Form 4 (Nonconformity Report)
Appendix C (PEAR) Form 3 (PEAR)
Appendix D (QMS Process Matrix) Form 2 (QMS Process Matrix Report)
Appendix E (Audit Report) Form 5 (Audit Report)
Appendix F (Stage 1 Audit Report) Form 1 (Stage 1 Audit Report)
Appendix G (Supplemental Audit Report) Form 6 (Supplemental Audit Report)
* Source: IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides]. Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf

Table 1 – Certification Structure Reporting Matrix

Type of Certification
Structure Single Multiple Several Complex
Campus
Site Sites Sites Organization
Audit Phase

Stage 1 Audit • Stage 1 Audit Report (Form 1)

• QMS Process Matrix Report

Stage 2 Audit • PEAR (Form 3); per site or combined, as appropriate
Surveillance • Nonconformity Report (NCR) (Form 4); as applicable
Recertification • Audit Report (Form 5)
• Supplemental Audit Report (Form 6); optional

• PEAR (Form 3); per site or combined, as appropriate

Special Audit • NCR (Form 4); as applicable
• Audit Report (Form 5)
* Source: IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides]. Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf

AS9101 Revision E I Understanding the Changes BSI 9

4.2 Common Audit Activities have been expanded to provide that audit planning, on-site auditing, and audit
reporting are common activities linked with Stage 1, Stage 2, surveillance, recertification as well as the
new provision for special audits. Nonconformity management is common for Stage 2, surveillance and
recertification audits.

Revision E has expanded a number of sections under Common Audit Activities.

4.2.1 Audit Planning has been expanded to incorporate the requirements from the AS9104/1 Standard.
These changes include the following to be considered when establishing the audit plan:

• (l.) Certification Structure [i.e single site, multiple site, campus, several sites, complex organization]

• (m.) Integrated and/or Combined Audits

• (n.) Use of Advanced Surveillance and Recertification Procedures (ASRP)

• (o.) Use of Computer Assisted Auditing Techniques (CAAT)

4.2.2 Conducting On-Site Audits has been changed to ensure that the organization’s purchasing process is
audited at least annually as defined by AS9104/1 clause 8.2.2n, and has brought about specific requirements
for conducting the Opening Meeting.

4.2.2.1 General repositions ‘an audit of special processes’ to 4.1.2 Audit Approaches, and adds the
requirement for (h.) an audit of the purchasing process at least annually.

4.2.2.2 Conducting the Opening Meeting has been changed to clarify the need to have the AEA conduct
site specific opening meetings for those organizations who have a non-single site structure, or choose an
alternative option to hold a central opening meeting with site representatives, either in person or by virtual
means.

4.2.2.5 Identifying and Recording Audit Findings was changed to clarify how to record objective evidence
using the updated QMS Process Matrix and the PEAR. This has changed as a result of withdrawing the
Objective Evidence Report.

– The audit team shall record measures, targets, and values of KPIs related to each audited product
realization process (see AS9100-series Standards clause 7) on the PEAR (section 2)

–Objective evidence for Product Realization processes (AS9100 series clause 7) shall be recorded on
the PEAR (section 3)

– Objective evidence for processes outside of Product Realization processes (9100 series clauses 4, 5,
6, 8) shall be recorded on the QMS Matrix (The organization and CB may agree to utilize the PEAR for
these processes; in this case, the objective evidence shall be recorded on the PEAR.)

10 BSI AS9101 Revision E I Understanding the Changes

Under this section, Revision E also introduces Process Results and Process Realization to be used in the
determination of effectiveness and to align with the new definitions of Planned Activities and Planned Results.

– Process realization – the extent to which planned activities are realized and

– Process results – the extent to which planned results are achieved

It introduces the Process Evaluation Matrix (PEM) (Table 3). The purpose of the PEM is to create a more
consistent way of determining the process effectiveness level, using a two axis model aligned to the definition
of effectiveness. The PEM provides a logical set of criteria that the auditor can select from, in order to
determine and visualize the effectiveness level. This is one of the more important sections in this revision.

Table 3 – Process Evaluation Matrix

Planned a) The process is defined, a) The process is defined, a) The process is defined,
activities implemented, and planned implemented, and planned implemented, and
fully activities fully realized, activities fully realized, planned activities fully
realized however however, realized,
b) The process is not b) The process is not and
delivering the planned delivering the planned b) The process is delivering
results and appropriate results, but appropriate the planned results
action is not being taken action is being taken.
2 3 4
Process Realization (a)

Planned a) The process is defined and a) The process is defined and a) The process is defined
activities implemented, but planned implemented, but planned and implemented, but
not fully activities not fully realized, activities not fully realized, planned activities not
realized however and, fully realized,
b) The process is not b) The process is not however
delivering the planned delivering the planned b) The process is delivering
results and appropriate results, but appropriate the planned results
action is not being taken. action is being taken.
2 2 3
Planned a) The process is not defined, a) The process is not defined, a) The process is not
activities implemented, and planned implemented, and planned defined, implemented,
not activities not realized, activities not realized, and planned activities not
realized and and realized,
b) T he process is not b) The process is not however
delivering the planned delivering the planned b) The process is delivering
results and appropriate results, but appropriate the planned results
action is not being taken. action is being taken.
1 2 2
Planned results not achieved Planned results not achieved, Planned results are achieved
and appropriate action is but appropriate action is
not taken being taken
Process Results (b)
* Source: IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides]. Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf

AS9101 Revision E I Understanding the Changes BSI 11

4.2.3 Audit Report in Revision E has been changed to define the reporting requirements for “combined” and
“integrated” audits. The CB shall now issue separate reports for each audit performed for each Standard.
Where appropriate, processes common between the Standards may be reported on the same PEAR and the
same QMS Process Matrix Report. Each report for “combined” and “integrated” audits shall be linked to all
other reports from the audit. This will provide improved and more accurate audit reporting when auditing to
more than one ASD Standard as each individual audit reports are now required. When processes are identical
among multiple Standards, it is now permissible to issue one PEAR report and QMS Process Matrix Report for
both Standards.

4.2.4 Nonconformity Management Revision E clarifies what is expected for a nonconformity that requires
containment. It clarifies Containment Action as (“fix now”) and directs the Audit Team Leader to require the
organization as a means of addressing the nonconformity to:

• Describe the immediate actions “fix now” taken to contain the nonconforming situation/conditions and to
control any identified nonconforming products

• Record all corrections

• Report within 7 calendar days, after the audit, the specific containment actions, including correction, and
reach agreement on those actions with the audit team leader within the next 14 calendar days

• Review containment action and correction during the audit, as appropriate

4.3.2 Stage 1 Audit changes clarify some requirements for AS9120 audits as well as the collection of
information.

• 4.3.2.1 General clarifies Stage 1 Off-Site provision for AS9120 by moving it from a NOTE into 4.3.2.1(b)
which can be conducted off-site based on consideration of various organization factors (e.g., size,
location, risk, previous audit team knowledge).

• 4.3.2.2 Collection of Information replaces the 12 month Data Collection requirement with (c.) Product
Conformity and OTD Performance measures and records. It does require that the data be sufficient to
allow the audit team leader to make a judgement on performance and trends

These changes have been made to assure organizations are not penalized if they did not previously have an
AQMS, nor are they eliminated from attempting certification if they do not have 12 months of data. Changes
to this section are also in response to FAQs on the previous versions the committee received reinforcing the
direction that notes should not be used to supersede requirements.

12 BSI AS9101 Revision E I Understanding the Changes

4.3.3 Stage 2 Audit is clarified to clearly determine the timeframe between Stage 1 and Stage 2 Audits as well
as what will be required if that timeframe is exceeded. Revision E states, “in the event the time period between
Stage 1 and Stage 2 exceeds 6 months, an additional Stage 1 audit shall be conducted.” There was no prior
requirement of how much time could transpire between the completion of a Stage 1 audit and the start of
Stage 2. Numerous questions were asked about if there will be a time limitation before a complete Stage 1
audit would have to be restarted, because of the risks of significant changes that could impact the Stage 2
audit. International consensus determined 6 months as an acceptable time limit.

Overview of AS9101 Rev. E Forms

A number of changes have been made to the forms required under AS9101. Some forms, like the OER have
been withdrawn, while others have been developed to better document the audit process as well as the
effectiveness of an organization’s processes.

• General
– The OER is withdrawn

– “Appendices” are changed to “Forms”

– “Shall” requirements are moved from instructions to the appropriate text in the standard

– Incorporated AS9104/1 requirements

– Forms are no longer part of the Standard and are managed according to IAQG Procedure 105.6

– Forms are available on the IAQG website at: http://www.sae.org/iaqg/forms/index.htm

• Form 1 Stage 1 Audit Report

– Deletes the 12-month “Data” requirement

– Adds the verification of the Certification Structure

– Adds the evaluation of the ‘level of QMS Integration’ (ref: AS9104/1 8.2.3)

– Deletes the signature line

• Form 2 QMS Process Matrix

– Supports evidence of Conformity to the 9100 series standards for clauses 4, 5, 6 & 8

– The AS9110 clauses were updated

AS9101 Revision E I Understanding the Changes BSI 13

• Form 3 Process Effectiveness Assessment Report (PEAR)
– Section 1 provides for a structured recording of Process Details

– Section 2 provides for a structured recording of Process Results (Performance)

– Section 3 provides for the recording of Process Realization (Objective Evidence)

• Note that Objective Evidence was formally recorded on the OER

– Section 4 provides for the recording of Process Effectiveness. (Numerical Value)

– Deletes the signature line

• Form 4 Nonconformity Report (NCR)

– Use for a Combined / Integrated Audit when a nonconformity is common across the AQMS standards

– Identifies when Containment is required and separates Containment information from Correction

– Establishes where detail is provided via an attachment, it is not permissible to simply say “see attached”.
It is permissible to describe the containment, correction, root cause and corrective action in summary
format provided that the full detail is annotated to the NCR via an attachment, which is also subsequently
uploaded to the OASIS with the associated NCR.

• Form 5 Audit Report

– Adds the reporting of the Certification Structure

– Adds provision for ASRP and CAAT reporting

– Adds provisions for OASIS Data

• Form 6 Supplemental Audit Report

– Adds the reporting of the Certification Structure

– Adds provision for ASRP and CAAT reporting

– Adds provisions for OASIS Data

– Shall be used to record results for individual sites, when the (Form 5) Audit Report does not include audit
details of the individual sites/locations

14 BSI AS9101 Revision E I Understanding the Changes

Next Steps
According to IAQG OPMT ICOP Resolutions Log, Resolution #117:

“Certification Bodies (CBs) shall implement the AS9101E / 9101:2014 audit requirements standard no later
than July 01, 2015. This timeline may be accelerated and implementation can occur upon completion of the
following:

1. CB procedures and processes shall be updated to address conformance and to the requirements of the
revised standard, including access to the approved 9101 Forms on the IAQG Forms Management System
website or other approved 9101 forms in other languages as may be provided by the IAQG sectors. CB
clients shall be notified when the revised standard will be used for AQMS audits.

2. Authenticated Aerospace Auditors and Aerospace Experienced Auditors using the revised standard
and associated forms shall have completed the web based IAQG OPMT sanctioned “IAQG 9AS101E/
AS9101:2014 Online Update Training Module” course. The CB shall maintain records of each AQMS
Auditor’s successful completion of the AS9101E / AS9101:2014 training module.

3. CB’s support personnel (e.g.; management, administrative) shall complete internal awareness training on
any changes that impact audit support processes.

4. Each CB shall advise their respective Accreditation Body (AB) and SMS (or CBMC) in writing that they
have established conformance to the revised standard and this resolution.

All prior versions of the AS9101 “Quality Management Systems Audit Requirements for Aviation, Space, and
Defense Organization” standard (e.g.; AS9101D / AS9101:2011) and associated forms shall no longer be used to
record AS9100/AS9110/AS9120 audits after July 1, 2015.

ABs, OP Assessors and CBs shall coordinate prior to all witness and office assessments of CBs to ensure that
the issue or version of 9101 is known by all parties prior to the conduct of a witness or office assessment.”

While IAQG requires all CBs implement these changes no later than July 1, 2015, BSI intends for its auditors
to begin using AS9101 Revision E starting March 1, 2015. Prior to any changes in our auditing procedures, BSI
will notify our customers as to when these changes will take place.

Bibliography:
IAQG 9101 team ( 2014) IAQG 9101:2014 (Rev. E) Changes Overview ‘Conformity plus Performance Equals Effectiveness’ [PowerPoint slides].
Retrieved from http://www.sae.org/iaqg/projects/9101E_changes.pdf
“Aerospace Standard” SAE Aerospace AS9101 Rev. D 2010.
“Aerospace Standard” SAE Aerospace AS9101 Rev. E 2014.

AS9101 Revision E I Understanding the Changes BSI 15

 BSI/USA/417/MS/115/E
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