AS9100 Document Control Requirements Explained

Aerospace manufacturers face complex regulatory environments where documentation control failures can halt operations and result in significant compliance issues. Understanding AS9100 document control requirements is essential for building operational excellence and ensuring mission-critical aerospace components meet industry standards.

AS9100 Clause 7.5 governs documented information management, representing a shift from separate document and record control to unified information management. This requires control mechanisms that ensure information availability, protect integrity, and maintain security throughout product lifecycles.

Understanding AS9100 Documented Information Requirements

The latest revision of AS9100 follows the ISO 9001:2015 standard by using the term "documented information," which covers both documents and records under one comprehensive framework.

Four Categories of Documented Information

Documented information encompasses all meaningful data that organizations must control and maintain:

• Procedural Documents: Work instructions, process flows, quality manuals, and operational procedures that guide organizational activities and provide frameworks for consistent execution
• Evidence Records: Calibration certificates, inspection reports, test results, audit findings, and conformance documentation that demonstrate compliance and prove process execution
• Configuration Management Documentation: Engineering drawings, specifications, change control records, and configuration baselines that maintain product definition integrity throughout development and production
• Training and Competence Records: Employee qualification documentation, training matrices, competency assessments, and certification records that verify personnel capabilities

How to Meet Clause 7.5 General Requirements

Clause 7.5 establishes comprehensive requirements for creating, updating, and controlling documented information. Organizations must determine the necessary documented information for QMS effectiveness based on organizational size, process complexity, personnel competence, and regulatory obligations.

Step 1: Establish Creating and Updating Controls

When creating documented information, organizations need control over three key areas. Each piece must have a unique identification enabling precise referencing and retrieval, with purpose, scope, and applicability clearly defined. Documentation format must suit intended use and user competency levels, including accessibility controls and compatibility considerations for retention.

AS9100D clarifies that approval implies authorized persons and approval methods are identified for relevant types of documented information, as determined by the organization.

Step 2: Implement Electronic Document Protection

When documented information is managed electronically, define data protection processes to address protection from loss, unauthorized changes, unintended alteration, corruption, and physical damage.

How to Control Documented Information

Controlling documented information requires systematic approaches to availability, protection, distribution, and disposition.

Step 1: Set Up Availability and Access Controls

Ensure information is available where and when needed, in formats suitable for user requirements. Protection mechanisms must address confidentiality, unauthorized access, data corruption, and physical damage. Establish who can access specific information types and how distribution occurs.

Step 2: Define Retention and Disposition Requirements

AS9100D does not specify mandatory retention periods. Determine retention requirements based on customer contracts, regulatory obligations, and risk assessments. Industry practices suggest retention periods commonly vary based on customer specifications and product criticality.

Electronic documented information management requires specific data protection processes addressing data integrity, technology obsolescence, and backup and recovery to ensure records remain authentic throughout retention periods. 

Mandatory Documents Required for AS9100 Certification

Understanding which documents AS9100 requires enables organizations to focus resources on essential documentation while avoiding unnecessary over-documentation.

Core System Documentation

The foundation of AS9100 compliance includes:

• Quality Management System Scope defining QMS boundaries, applicable processes, and exclusion justifications
• Quality Policy showing top management commitment to quality objectives and customer satisfaction
• Quality Objectives establishing measurable targets supporting quality policy implementation
• QMS Process Description covering relevant interested parties, QMS scope, process sequence and interaction, and assigned responsibilities

Process Documentation Requirements

Organizations must document risk management procedures providing systematic approaches to identifying, assessing, and mitigating risks impacting product quality. Control of Externally Provided Processes covers supplier evaluation, selection, and ongoing performance monitoring. Design and Development Planning documents design stages, reviews, verification, validation, and controls when applicable.

Technical and Operational Documentation

Production Process Validation covers validation approaches, acceptance criteria, and revalidation requirements for processes where output cannot be fully verified through inspection. Control of Nonconforming Products establishes procedures for identifying, controlling, and dispositioning nonconforming products. Document Control Procedure describes how the organization creates, approves, distributes, and maintains documented information.

Record Retention Requirements and Best Practices

Record retention requirements represent challenging compliance aspects due to varying customer specifications and aerospace product lifecycles.

Customer-Driven Retention Periods

Retention periods vary significantly based on customer specifications. Commercial aerospace customers often specify retention periods, defense and government contracts potentially require longer periods based on asset lifecycles, and critical safety components may require retention for product operational life plus additional years.

Critical Record Types

Organizations should prioritize retention for:

• Calibration and Measurement Records: Traceability documentation supporting product conformity claims
• Inspection and Test Records: Final inspection results, in-process test data, and material certifications providing evidence of product conformity
• Supplier Quality Records: Supplier audit reports, qualification documentation, and performance evaluations demonstrating due diligence
• Design and Development Records: Engineering drawings, change control documentation, and validation results supporting configuration management

Organizations should establish retention policies based on customer contracts rather than assuming standard periods.

Implementing AS9100 Documentation Controls

Implementation challenges include understanding detailed technical requirements, resource intensity, change management, and regulatory complexity.

Technology Solutions for Document Control

Modern document management systems provide effective solutions through automated workflows that streamline approval processes via electronic routing, reducing administrative burden while ensuring timely reviews. 

Version control offers automatic version tracking, change history, and audit trails. Access controls use role-based permissions, ensuring only authorized personnel have access to sensitive documentation while maintaining traceability. Integration capabilities provide seamless connections with ERP and quality management systems, eliminating data silos.

Industry Best Practices

Leading aerospace manufacturers apply proven strategies:

• Start with risk assessment to prioritize documentation efforts based on product safety impact and regulatory criticality
• Leverage existing ISO 9001 systems by building upon established documentation frameworks while adding aerospace-specific requirements
• Implement phased rollouts, deploying documentation controls incrementally, starting with the highest-risk processes
• Focus on user experience by designing documentation systems with end-user needs in mind
• Establish clear ownership by assigning specific responsibilities for document creation, review, approval, and maintenance

How BPRHub Helps with AS9100 Document Control Requirements

BPRHub's platform revolutionizes AS9100D implementation. It centralizes aerospace compliance requirements. It uses a unified, intelligent system. This transforms complex regulatory obligations into competitive advantages.

Key capabilities include:

Unified Documentation Management: This consolidates all documented information requirements. It uses a single, searchable repository. It automatically maintains relationships between procedures. It maintains relationships between records. It maintains relationships between regulatory requirements.

AI-Powered Quality Compliance: BPRHub's AI-QCG for aerospace manages over 30 regulatory standards simultaneously. This enables integrated approaches. These approaches eliminate duplicate efforts. They work across AS9100, ISO 9001, ISO 14001, and ISO 45001.

Supplier Integration: BPRHub's supplier quality management capabilities enable seamless supplier portal access. This provides real-time documentation access. It maintains strict access controls. It maintains audit trails.

Automated Compliance and Audit Readiness: This provides real-time tracking of document status. It tracks review schedules. It tracks retention requirements. It uses automated workflows. This ensures continuous audit readiness. It reduces administrative overhead.

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Key Takeaways

→ AS9100 documented information unifies traditional document and record control into comprehensive information management, addressing procedural guidance and evidence records. 

→ Clause 7.5 requirements emphasize availability, protection, and lifecycle management with a focus on electronic document security and retention obligations.

→ Mandatory documents focus on core QMS elements while allowing flexibility for organization-specific requirements. 

→ Record retention periods depend on customer contracts, with industry practices varying based on product criticality and application. Implementation success requires balanced approaches combining technology solutions with change management.

→ BPRHub's unified platform transforms AS9100 documentation complexity. It creates streamlined competitive advantages. It uses automated workflows. It uses integrated compliance monitoring.

FAQs

What is the difference between AS9100 Rev C and Rev D document control requirements?

AS9100 Rev D consolidates separate document control and record control requirements into unified "documented information" management under Clause 7.5, aligning with the ISO 9001:2015 structure. The revision emphasizes electronic document protection and risk-based retention decisions.

How long must aerospace suppliers retain quality records under AS9100?

AS9100 does not specify mandatory retention periods. Organizations determine retention requirements based on customer contracts, regulatory obligations, and risk assessments. Customer specifications drive retention periods, which vary based on product application and criticality.

What are the most critical documents required for AS9100 certification?

Core mandatory documents include QMS scope, quality policy and objectives, process descriptions with responsibilities, risk management procedures, supplier control processes, document control procedures, and nonconforming product control processes.

Can organizations use electronic systems for AS9100 document control?

Yes, electronic document management systems are fully acceptable under AS9100 Clause 7.5.3.2. Organizations must define data protection processes addressing loss prevention, unauthorized changes, corruption, and physical damage.

How does AS9100 document control integrate with other quality standards?

AS9100's Annex SL structure enables seamless integration with ISO 9001, ISO 14001, and ISO 45001. Organizations can establish unified documentation frameworks addressing multiple standard requirements simultaneously.

What happens if suppliers cannot meet AS9100 record retention requirements?

Suppliers unable to meet customer-specified retention requirements must seek formal relief through customer approval processes. Organizations can maintain supplier records internally or implement alternative arrangements based on risk assessments.