AS9120 Certification Process: Step‑by‑Step Journey from Gap Assessment to Audit

The aerospace industry operates on zero tolerance for quality failures, where a single component defect can have catastrophic consequences. For distributors and stockists in aviation, space, and defense sectors, AS9120 certification represents more than a quality badge, it's an essential requirement for participating in this high-stakes industry. According to research on aerospace quality management systems, organizations implementing robust quality frameworks can significantly enhance operational efficiency, product quality, and overall sustainability.

Understanding the AS9120 certification process becomes crucial when major Original Equipment Manufacturers (OEMs) like Boeing, Airbus, and Lockheed Martin increasingly require their suppliers to demonstrate compliance through certified quality management systems. For organizations evaluating different aerospace standards, understanding the differences between AS9100 vs AS9120 certifications helps determine the appropriate path forward. Additionally, exploring the broader context of quality management in the aerospace industry provides valuable insights for distributors entering this regulated marketplace.

Understanding AS9120 Requirements and Standards

AS9120 requirements are built on the foundation of ISO 9001:2015, with specialized additions addressing the unique challenges faced by aerospace distributors. According to the Society of Automotive Engineers (SAE), the AS9120 standard includes ISO 9001 quality management system requirements and specifies additional aviation, space, and defense industry requirements for stockist distributors.

The AS9120 standard encompasses several critical areas that distinguish it from general quality management systems:

Core Requirements Focus Areas

Product Traceability: Organizations must maintain comprehensive tracking from product receipt through delivery, ensuring complete chain of custody documentation. This requirement addresses the critical need for accountability throughout the aerospace supply chain.

Counterfeit Parts Prevention: AS9120:2016 provides requirements to mitigate the effects of the growing threat of counterfeit/fraudulent products while recognizing the emerging counterfeit/fraudulent statutory/regulatory requirements. This includes establishing robust supplier verification processes and implementing counterfeit detection protocols.

Risk Management Integration: The standard incorporates risk-based thinking throughout the quality management system, requiring organizations to identify, assess, and mitigate risks proactively rather than reactively.

Documentation Control: Enhanced requirements for documentation management ensure that all quality records, certificates, and compliance documents are properly controlled and accessible for regulatory audits.

Phase 1: Conducting a Comprehensive Gap Assessment

The foundation of any successful AS9120 certification process begins with a thorough gap assessment. This evaluation compares your current quality management system to AS9120 requirements and serves as an action plan, listing each task to be completed.

Initial Assessment Components

Current System Evaluation: Review existing quality management procedures, documentation, and processes against AS9120 requirements. This involves examining ISO 9001 compliance levels and identifying aerospace-specific gaps.

Documentation Review: Assess current documentation structure, including quality manuals, procedures, work instructions, and records management systems. The gap assessment identifies areas where aerospace-specific documentation requirements aren't met.

Process Analysis: Evaluate existing processes for product handling, supplier management, traceability systems, and quality control measures. Special attention goes to areas unique to aerospace distribution, such as batch splitting and configuration management.

Strategic Planning Based on Assessment

The gap assessment serves as a valuable project management tool, allowing companies to assess timing expectations based on available resources. Organizations typically need 6-12 months for complete implementation, depending on current system maturity.

Priority Matrix: Establish implementation priorities based on risk assessment and regulatory requirements. Critical safety-related requirements receive the highest priority.

Timeline Development: Create realistic milestone schedules considering organizational capacity and training requirements.

Phase 2: Documentation Development and System Design

Building a compliant AS9120 quality management system requires developing comprehensive documentation that addresses both ISO 9001 foundation requirements and aerospace-specific additions.

Quality Manual Creation

System Architecture: Develop a quality manual that clearly defines the scope of your quality management system, including applicable AS9120 requirements and any exclusions with proper justification. Similar to ISO audit checklist requirements, comprehensive documentation serves as the foundation for effective quality management.

Policy Framework: Establish quality policies that demonstrate commitment to continuous improvement, customer satisfaction, and regulatory compliance specific to aerospace distribution.

Organizational Structure: Define roles, responsibilities, and authorities for quality management, ensuring clear accountability for AS9120 compliance throughout the organization.

Procedure Development

Core Process Procedures: Create detailed procedures covering product receipt, storage, handling, and distribution activities. These must address aerospace-specific requirements for environmental controls, segregation, and handling precautions.

Traceability Procedures: Develop comprehensive traceability procedures ensuring complete product tracking from supplier to customer, including batch/lot identification and splitting activities.

Supplier Management Procedures: Establish procedures for supplier qualification, evaluation, and ongoing monitoring that meet aerospace industry requirements for supply chain control. Effective supplier quality management ensures compliance throughout the aerospace supply chain.

Phase 3: Employee Training and Implementation

All employees will need to be trained to work with the AS9120 Quality System. Successful implementation depends on comprehensive training programs that ensure understanding and consistent application of new procedures.

Training Program Development

Role-Based Training: Develop targeted training programs based on employee roles and responsibilities within the quality management system. Warehouse personnel need different training than quality managers or customer service representatives.

AS9120 Awareness Training: Provide organization-wide training on AS9120 requirements, emphasizing the importance of aerospace quality standards and each employee's contribution to compliance.

Competency Assessment: Establish methods for evaluating employee competency and maintaining training records as required by AS9120 documentation requirements.

Phase 4: Internal Audit and Management Review Process

You will conduct internal audits to see how your system is working and to improve it. Regular internal auditing ensures ongoing compliance and identifies improvement opportunities.

Audit Planning

Comprehensive Scheduling: Develop audit schedules covering all AS9120 requirements within planned intervals using a risk-based approach.

Auditor Competency: Train internal auditors on AS9120 requirements and effective auditing techniques.

Audit Execution: Conduct systematic audits evaluating procedure compliance and effectiveness, focusing on traceability, supplier management, and counterfeit parts prevention.

Management Review Requirements: Regular management reviews assess quality system performance, customer satisfaction, and improvement opportunities. Reviews ensure adequate resources remain available and verify that quality objectives align with business strategy.

Phase 5: Certification Body Selection and Audit Preparation

Choosing the right certification body and preparing for the certification audit represent critical success factors in achieving AS9120 certification.

Certification Body Selection

Accreditation Verification: Select certification bodies accredited by recognized accreditation bodies such as ANAB (ANSI-ASQ National Accreditation Board). According to ANAB-accredited bodies, ANAB-accredited CBs issued more certifications to AS9120 than any other accreditation body.

Industry Expertise: Choose auditors with aerospace industry experience who understand the unique requirements and challenges of aerospace distribution operations.

Geographic Coverage: Consider certification bodies with appropriate geographic coverage and language capabilities for your organization's locations and markets.

Phase 6: Stage 1 and Stage 2 Audit Process

The formal certification audit typically follows a two-stage approach designed to thoroughly evaluate your AS9120 implementation.

Stage 1 Audit (Documentation Review)

System Review: Auditors conduct a preliminary review of your quality management system documentation to verify completeness and compliance with AS9120 requirements.

Readiness Assessment: The Stage 1 audit identifies any significant gaps or issues that could prevent successful certification, allowing time for correction before Stage 2.

Stage 2 Audit (Implementation Assessment)

On-Site Evaluation: Comprehensive on-site assessment verifying that documented procedures are effectively implemented and maintained throughout your organization.

Process Verification: Auditors evaluate actual processes against AS9120 requirements, including traceability systems, supplier management, and counterfeit parts prevention measures.

Post-Certification: Surveillance and Continuous Improvement

After you're certified, certification bodies will conduct audits at least once a year to ensure you still meet the standard's requirements. Maintaining certification requires ongoing commitment to quality management system effectiveness.

Surveillance Audit Requirements

Annual Assessments: Certification bodies conduct annual surveillance audits to verify continued compliance with AS9120 requirements and the effectiveness of your quality management system.

Performance Monitoring: Regular monitoring of key performance indicators ensures your system continues delivering intended results and meeting customer expectations.

Continuous Improvement Framework

Data-Driven Decisions: Utilize quality data and customer feedback to drive improvement initiatives aligned with AS9120 requirements.

Technology Integration: Consider implementing digital quality management systems that enhance traceability and improve efficiency.

Common Challenges and Success Strategies

Implementation Challenges

Resource Constraints: Many organizations underestimate the time and resources required for thorough AS9120 implementation.

Cultural Change: Shifting to an aerospace quality culture requires significant organizational change management.

Supplier Integration: Ensuring suppliers meet AS9120 expectations requires extensive supplier development efforts.

Success Strategies

Executive Leadership: Strong leadership commitment creates organizational momentum and resource availability.

Cross-Functional Teams: Implementation requires coordination across quality, operations, purchasing, and customer service departments.

External Expertise: Experienced consultants can accelerate implementation while avoiding common pitfalls.

Benefits of AS9120 Certification

Achieving AS9120 certification delivers measurable benefits that extend beyond regulatory compliance to include operational improvements and business growth opportunities.

Operational Benefits

Enhanced Quality Control: AS9120 certification demonstrates a distributor's commitment to quality, traceability, counterfeit prevention, and customer satisfaction. According to studies on quality improvement in the aerospace industry, companies implementing quality programs experience improved performance indicators and return on investment.

Improved Efficiency: Standardized processes and clear procedures eliminate waste, reduce errors, and improve overall operational efficiency throughout the organization.

Risk Mitigation: Comprehensive risk management and traceability systems significantly reduce exposure to counterfeit parts, regulatory violations, and customer complaints.

Business Benefits

Market Access: Many aerospace OEMs and government agencies require AS9120 certification as a prerequisite for supplier approval, opening new business opportunities.

Competitive Advantage: Enhanced customer confidence: AS9120 certification assures customers that distributors adhere to stringent quality standards and possess the required infrastructure to deliver reliable products.

Customer Trust: Certification demonstrates commitment to quality and regulatory compliance, building stronger customer relationships and improving retention rates.

How BPRHub Accelerates AS9120 Certification Success

BPRHub's comprehensive AI QCG (Quality Compliance Grid) platform specifically addresses the unique challenges of AS9120 certification for aerospace distributors. Our integrated compliance management system automates quality tracking, documentation management, and audit preparation, significantly reducing implementation time and ensuring consistent adherence to AS9120 requirements.

Key Benefits with BPRHub:

→ Automated gap assessment tools identify specific areas requiring attention for AS9120 compliance 

→ Pre-built templates and procedures accelerate documentation development while ensuring requirement coverage

→ Integrated traceability systems provide comprehensive product tracking from receipt through delivery 

→ Real-time compliance monitoring alerts teams to potential issues before they become nonconformities 

→ Automated audit preparation tools ensure readiness for certification and surveillance audits 

→ AI-powered supplier quality management streamlines supplier audits and maintains certification currency

BPRHub's platform integrates seamlessly with existing business systems while providing the specialized functionality required for aerospace quality management. Our experienced team understands AS9120 requirements and provides hands-on support from gap assessments to internal audits, ensuring successful certification and ongoing compliance.

FAQs

What is AS9120 certification, and why is it important for aerospace distributors? 

AS9120 certification demonstrates that aerospace distributors maintain quality management systems meeting industry-specific requirements. It's essential because major aerospace OEMs increasingly require their suppliers to hold AS9120 certification, and it ensures proper handling of aerospace components throughout the distribution chain.

How long does the AS9120 certification process typically take? 

Typically, AS9120 certification takes 6-12 months from initial preparation to final certification. The timeline depends on your organization's size, existing quality systems, resource availability, and implementation approach. Organizations with existing ISO 9001 systems may achieve certification faster due to foundational elements already in place.

What are the main differences between AS9120 and ISO 9001 requirements? 

AS9120 builds upon the ISO 9001 foundation with aerospace-specific requirements, including enhanced traceability, counterfeit parts prevention, supply chain control, risk management, and documentation requirements. The standard addresses unique challenges faced by aerospace distributors that aren't covered by general quality management systems.

How often are surveillance audits conducted for AS9120 certification? 

AS9100, AS9110, and AS9120 certifications last for three years. However, during this time, your business will undergo annual surveillance audits to check your continued compliance with the standard's requirements. After three years, a recertification audit is required to renew your certification.

Can small aerospace distributors achieve AS9120 certification? 

Yes, AS9120 certification is scalable to organizations of all sizes. Small distributors often find certification opens new market opportunities that justify the investment. The key is developing proportionate systems that meet AS9120 requirements without creating unnecessary bureaucracy that impedes business operations.