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ISO 9001 Document Control vs. Record Control: What Auditors Actually Look For

Most people assume ISO 9001 document control and record control are the same requirement. They are not. ISO 9001 draws a clear line between the two, and a certification auditor checks each one against separate criteria. 

Understanding that distinction before your audit is one of the most practical steps toward a clean certification outcome.

The 2015 revision replaced "documents" and "records" with a single term—"documented information.” That simplified the language but obscured a difference that still matters when an auditor reviews your quality management system. 

Document Control and Record Control Simply Explained

Under ISO 9001, documents are the policies and instructions you maintain and keep current. Records are the completed evidence you retain to prove your system is working. The standard calls both "documented information" but imposes different control requirements on each.

According to the ISO Guidance on the Requirements for Documented Information of ISO 9001:2015, “The distinction between "maintain" and "retain" is precisely where document control and record control diverge.”

Document control covers living files—procedures, work instructions, and quality manuals—that you actively manage, approve, and update. Record control covers completed files—filled inspection forms, audit logs, and training confirmations—that you protect, store, and produce on request. 

“The ISO Guidance on the Requirements for Documented Information of ISO 9001:2015 uses “maintain” for documents and "retain" for records, signalling two distinct sets of obligations. Treating them the same is one of the fastest routes to a Stage 1 nonconformance.”

What “Documented Information” Means in ISO 9001

Clause 7.5 covers all written information your QMS requires you to control. Sub-clause 7.5.2 governs how you create and update it. Sub-clause 7.5.3 governs how you control it. The operative distinction is in those control requirements—documents fall under “maintain,” and records fall under "retain."

Documents vs. Records—The Practical Difference

A quality manual is an active, versioned document updated when your process changes. A completed inspection form is a record—a finished file that captures something that already happened. The same file can shift category: a draft procedure is a document, but once completed and used as objective evidence, it becomes a record. Recognizing that shift is what separates a QMS ready for certification from one that is not.

Why the Distinction Matters to Your Certification Outcome

Treating records like documents—or vice versa—produces nonconformance findings during a Stage 1 audit, requiring a corrective action response before certification proceeds. 

NovelVista's analysis of Common ISO 9001 Non-Conformities , “Identifies document and record control gaps as a recurring source of findings in third-party ISO 9001 audits.”

The Cost of Getting It Wrong Before Your Audit

Document control gaps are specific: an obsolete work instruction still in use, a procedure with no approval signature, or a policy with no version number. Each is a verifiable Clause 7.5.2 failure. Record control gaps look different—a missing retention schedule, inspection records that cannot be located, or training logs stored in a personal email folder. A business with well-written documents but no record control structure is not audit-ready.

How Correct Document and Record Control Strengthens Your Audit Outcome

When document control is sound, the Stage 1 auditor confirms your QMS is current and available at the point of use—clearing the path to Stage 2. When record control is sound, the Stage 2 auditor finds objective evidence your system is being followed, not just described. Businesses that treat both as distinct requirements move through both audit stages with fewer findings.

Two Misconceptions About Document and Record Control That Fail Audits

The most common misconceptions are that both controls follow the same process and that having documents in order means records are covered. 

“isoTracker's report on the 6 Top Reasons for Failing an ISO 9001 Audit (2025) notes that documented information failures—across both documents and records—appear consistently among the contributors to audit nonconformance findings.”

Misconception 1—"If My Documents Are Controlled, My Records Are Too"

Document control addresses version management, approval status, and availability at the point of use. Record control addresses retention periods, legibility, and retrieval access. One passing does not mean the other passes. Clause 7.5.2 requires you to "maintain" documents—the former stays active and current. Clause 7.5.3 requires you to "retain" records—the latter is preserved after the fact. Two verbs, two obligations, two separate audit checkpoints.

Misconception 2—"Record Control Just Means Keeping Files"

ISO 9001 requires records to be legible, identifiable, retrievable, and protected from unintended alteration or loss. A shared folder with no naming convention and no defined retention period does not satisfy the standard. Retention requirements also vary by industry—if your sector carries specific regulatory obligations, those sit above the ISO 9001 baseline.

How KSQA Reviews Document and Record Control During Certification

KSQA's Stage 1 audit is a virtual documentation review where an IAS-accredited auditor assesses whether your QMS documented information meets ISO 9001 Clause 7.5 requirements before Stage 2 begins. 

Identifying gaps at Stage 1 protects you from larger findings at Stage 2, where the focus shifts to verifying your system operates as documented.

KSQA conducts Stage 1 as a virtual review of your QMS policies, procedures, and record control structure. 

The auditor checks document version control, approval status, and availability—then reviews your record retention framework, protection controls, and retrieval process. Gaps identified at this stage give your organization the opportunity to address them before Stage 2 proceeds.

What KSQA's Stage 1 Audit Covers

The auditor examines your QMS policies and procedures for version control, approval signatures, and point-of-use availability. 

Your record control framework is reviewed separately—how records are stored, protected, retained, and retrievable on request. Gaps are documented and communicated before Stage 2 is scheduled, preventing a finding from escalating into a major nonconformance.

Why IAS Accreditation Matters for This Evaluation

KSQA holds IAS Management Systems Certification Body Accreditation—MSCB-207, issued by the International Accreditation Service, confirming KSQA operates as a qualified third-party certification body for ISO 9001. 

With more than 20 years of experience in ISO certification auditing and hundreds of successful certifications completed, KSQA's auditors deliver a substantive Clause 7.5 review—not a checklist reading.

Frequently Asked Questions (FAQs)

What is the difference between document control and record control in ISO 9001?

Document control covers living files—procedures, work instructions, and quality policies—that you actively manage and update. Record control covers completed files—inspection logs and training records—that you preserve as objective evidence. The ISO Guidance on the Requirements for Documented Information of ISO 9001:2015 uses "maintain" for documents and "retain" for records, signalling two distinct obligations. Confusing the two is a recognized source of Stage 1 nonconformance findings.

What does an ISO 9001 auditor check for in document control?

A Stage 1 auditor verifies your documents are current, carry an approval status, and are available at the point of use, with obsolete versions removed or identified. A document with no version identification generates a finding regardless of its content quality.

Can a document become a record under ISO 9001?

Yes. A draft procedure is a document under active control. Once completed and used as objective evidence that a process occurred as designed, it functions as a record. Applying the correct control at the right time prevents a common source of audit confusion.

What happens if my records are not in order before an ISO 9001 audit?

The auditor raises a nonconformance finding—minor or major, depending on scope. A minor finding requires a documented corrective action before the certificate is issued. A major finding can delay the Stage 2 audit until the gap is resolved.

How does KSQA review documented information during a Stage 1 audit?

KSQA conducts Stage 1 as a virtual documentation review—no travel required. The auditor reviews your QMS against ISO 9001 Clause 7.5 and documents any gaps before Stage 2 is scheduled. Certificates are issued within 2–3 days of successful completion—significantly faster than the 30–45 day timelines common among larger certification bodies.

Conclusion

ISO 9001 Document control and record control are two distinct requirements inside ISO 9001's documented information framework. One governs what you maintain and keep current. The other governs what you retain as proof. An auditor evaluates both separately, at different stages, against different criteria.

A QMS that treats the two as interchangeable will generate findings that a well-prepared one avoids. KSQA is an IAS-accredited certification body with more than 20 years of experience conducting ISO 9001 audits across the United States. 

Request your ISO 9001 certification quote from KSQA today.

CONTACT US

Website : https://www.ksqa.org/

Mail : [email protected]

Phone : [phone]

Address : 5760 Hwy 32,Water Valley, MS 38965

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Confused About ISO Requirements? A Clear Roadmap for Small Businesses to Avoid Costly Mistakes

If ISO certification feels confusing, you’re not alone. Many small businesses struggle with unclear requirements, complex documentation, and fear of failing audits. The result? Delays, wasted money, and missed opportunities. The good news is you don’t need to overcomplicate it.

With the right ISO certification roadmap, you can simplify the process, avoid costly mistakes, and get certified faster without stress.

Why ISO Requirements Feel Confusing (And How You Can Simplify Them)

ISO standards are structured frameworks, but they often feel complex because businesses approach them without clarity.

Focus on What Applies to Your Business

Instead of reviewing the entire standard, start by identifying what applies to your business operations. This keeps your efforts focused and avoids unnecessary work.

Map Your Current Processes First

Documentation becomes easier when you map your current processes first, then align them with ISO requirements. This avoids creating impractical systems.

Follow a Clear ISO Certification Roadmap

If you lack internal expertise, following a clear ISO certification roadmap ensures each step is logical and actionable.

According to the International Organization for Standardization, ISO 9001 is used by over 1 million organizations in 189 countries, proving its global reach and reliability. (Source)

When broken into steps, ISO becomes manageable, not overwhelming.

What Happens If You Get ISO Certification Wrong?

Without a structured ISO certification roadmap, businesses often face avoidable problems.

Poor planning leads to failed audits, requiring rework and additional audit costs.

Inconsistent documentation creates confusion and weak process control.

Delays in certification can impact contracts and business opportunities.

The key difference is not certification; it’s correct implementation. In the U.S., OSHA, FDA, and cybersecurity regulations also increase demand for ISO standards, supported by rapid adoption of AI and cloud-based certification systems. (Source)

Common ISO Mistakes (And How to Avoid Them)

Most ISO challenges come from execution mistakes. Here’s how to solve them:

Skipping Gap Analysis

Instead of jumping into documentation, evaluate your current processes against ISO requirements. This creates a clear action plan and prevents duplication of effort.

2. Overcomplicating Documentation

Avoid lengthy manuals. Focus on simple, usable procedures that employees can follow daily.

3. Choosing the Wrong ISO Standard

Align certification with your business goals. This ensures your effort delivers value, not just compliance.

4. Ignoring Internal Audits

Use internal audits to identify gaps early and fix them before certification.

5. Working Without A Roadmap

A structured ISO certification roadmap keeps your implementation focused and efficient.

Fixing these early helps you reduce delays and improve audit success.

A Practical ISO Certification Roadmap (Step-by-Step)

A clear ISO certification roadmap helps you move from confusion to execution.

Step 1: Select the Right ISO Standard

Choose based on your business goals to ensure relevance and impact.

Step 2: Conduct a Gap Analysis

Compare your current processes with ISO requirements and identify gaps.

Step 3: Build Practical Documentation

Focus on:

Key processes

Roles and responsibilities

Standard procedures

Keep it simple and actionable.

Step 4: Implement Across Your Team

Train employees and ensure processes are followed consistently.

Step 5: Conduct Internal Audit

Evaluate your system and fix issues before the final audit.

Step 6: Certification Audit (Stage 1 & Stage 2)

External auditors review your system and identify any gaps.

Step 7: Maintain and Improve

Continuous improvement ensures long-term benefits and compliance.

Research shows ISO systems help standardize operations, improve efficiency, and strengthen internal communication when implemented effectively. (Source)

Real Business Benefits of ISO Certification

When you follow a proper ISO certification roadmap, the benefits are practical and measurable.

Improved Operational Efficiency

Standardized processes reduce errors and improve consistency across operations.

2. Better Market Access

ISO certification is often required in supply chains and government contracts.

3. Stronger Credibility and Trust

Certification demonstrates adherence to globally recognized standards.

4. Improved Risk Management

ISO frameworks help identify and control operational risks.

Studies compiled by the International Organization for Standardization confirm that standards contribute to business efficiency, innovation, and economic value across industries.

ISO Certification Cost: Why Planning Matters

Costs depend more on your approach than the certification itself.

Poor planning leads to rework and repeated audits

Inefficient systems increase operational costs

Lack of expertise slows down implementation

Following a structured roadmap helps to avoid unnecessary work, reduce delays, and control overall costs.

DIY vs. Expert Support: What’s the Smarter Choice?

Third-party certification bodies are projected to hold ~55% market share by 2025, driven by their global accreditation, impartial audits, and trusted compliance standards. (Source)

This growing reliance shows why many businesses prefer expert support for ISO certification implementation over doing everything alone.

Practical Tips to Make ISO Certification Easier

Break implementation into small, manageable steps.

Involve your team early for smoother adoption.

Review progress regularly to stay aligned with your roadmap.

Focus on improving processes—not just passing the audit.

How KSQA Helps You Implement ISO the Right Way

A structured approach is where most businesses succeed or fail. KSQA helps simplify that process.

Provides a clear ISO certification roadmap tailored to your business.

Helps create practical, audit-ready documentation.

Prepares your team for certification audits.

Reduces delays and avoids costly mistakes.

This ensures your certification process is efficient, structured, and aligned with business goals.

Most Frequently Asked Question Before Getting ISO Certification

What should I understand before starting ISO certification?

You should understand your business processes and the required ISO standard and follow a structured ISO certification roadmap to avoid confusion and delays.

2. Do I need technical knowledge before starting ISO certification?

No technical expertise is required. A clear ISO certification roadmap guides you step-by-step through requirements, documentation, and audit preparation easily.

3. How do I know which ISO standard my business needs?

Choose based on business goals like quality, environment, or security. A structured ISO certification roadmap helps you decide correctly.

4. Can ISO certification be done without disrupting daily business?

Yes, when you follow a proper ISO certification roadmap, implementation integrates smoothly into daily operations without affecting productivity significantly.

5. What is the biggest mistake businesses make before starting ISO?

Starting without a clear ISO certification roadmap leads to confusion, rework, wasted time, and difficulty during audit preparation stages later.

Take the Right Step Forward

ISO certification is not complicated; it becomes difficult only without clarity. When you follow a structured ISO certification roadmap, you reduce risks, save time, and improve your chances of success.

 Choose a smarter way forward with the KSQA Virtual Audit Process.

Reduce ISO 9001 & AS9100 certification costs.

3-year certification with annual audit

Fixed price—no surprises

Get certified faster. Spend less. Stay compliant with confidence!

CONTACT US

Website : https://www.ksqa.org/

Mail : [email protected]

Phone : [phone]

Address : 5760 Hwy 32,Water Valley, MS 38965

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ISO 9001 Certification Services: Solve Quality Challenges and Unlock Growth and Customer Trust

When evaluating ISO 9001 certification service providers in the USA, you’ll find capable partners, each with strengths in multi‑standard support and hands‑on audit assistance.

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How the AS9100 Certification Process Works: A Practical Guide for Aerospace Companies

Understanding the AS9100 certification process can feel overwhelming, especially if you’re aiming to meet strict aerospace quality standards. But with KSQA’s guidance, it becomes a structured, achievable journey.

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Worried About Hidden Expenses? Understanding AS9100 Certification Cost Before You Start

Getting your aerospace company certified can feel overwhelming, especially when thinking about the AS9100 certification cost.

Many companies are surprised by hidden expenses that pop up along the way. But with the right knowledge, you can plan ahead and save money.

In this blog, we’ll break down the main costs, explain what affects pricing, and give practical tips to manage expenses efficiently.

Major Factors That Affect AS9100 Certification Cost

When it comes to AS9100 certification cost, it’s not just the fee paid to the registrar. Several factors can influence the total price, and understanding them early can save both time and money.

Company Size

For instance, industry data show that small- to medium-sized businesses often spend between $10,000 and $50,000 for AS9100 certification. (source)

Scope of Certification

If your certification covers multiple departments or locations, the cost increases. In fact, for a 100-person company, estimates put the cost around $20,000. Expanding the scope means more audits, more documentation, and more time from auditors. (source)

Process Complexity

Companies with complex manufacturing or assembly processes will have a higher AS9100 certification cost. Complex workflows require more detailed audits and extensive documentation to meet the standards.

Preparation Level

How ready your company is before the audit can greatly affect costs. Well-prepared companies with clear procedures, trained staff, and organized documentation often face lower additional costs because auditors spend less time on corrections.

Here’s a table to make these factors easy to understand:

By knowing these factors, you can estimate your AS9100 certification cost more accurately and avoid surprises later.

Common Hidden Costs You Might Miss

Many companies focus only on the registrar fee, but hidden costs often make up a large part of the AS9100 certification cost. These are expenses that aren’t immediately obvious but can add up quickly.

Staff Training: Employees need to understand AS9100 standards and internal procedures. Training sessions, workshops, or external courses are often required.

Documentation and Software: Quality management software or creating detailed documentation can be expensive, depending on your current systems.

Pre-audit or Gap Assessments: Many companies hire external consultants or conduct internal pre-audits to ensure readiness, adding to costs.

Travel and Accommodation: If your company has multiple locations, auditors may need to travel, which increases overall expenses.

Understanding these hidden costs helps you plan your budget effectively. Preparing in advance reduces the chance of delays, re-audits, or unnecessary spending.

Tips to Manage and Reduce AS9100 Certification Cost

You can manage your AS9100 certification cost without cutting corners. Here are some practical strategies:

Start Early: Begin documentation and staff training well before the audit. Early preparation helps prevent last-minute costs.

Leverage Existing Processes: Align current procedures with AS9100 standards instead of creating new ones from scratch. This saves time and money.

Internal Training: Use your team’s knowledge to train employees instead of relying solely on expensive external courses.

Compare Registrars: Audit fees vary among registrars. Research and select the registrar offering the best balance of cost and service.

Organize Documentation: Well-structured files and records reduce auditor time and can lower fees.

By following these tips, you can reduce unnecessary spending while keeping your certification process smooth and efficient.

Frequently Asked Questions (FAQs)

What are the requirements for AS9100 certification?

The requirements include a documented quality management system, process controls, internal audits, and compliance with aerospace quality standards.

2. Who issues AS9100 certification?

AS9100 certification is issued by accredited certification bodies or registrars recognized internationally.

3. How long is AS9100 certification valid?

AS9100 certification is valid for 3 years, with annual surveillance audits to ensure ongoing compliance. (source)

4. Can multiple locations be certified under one AS9100 audit?

Yes, multiple sites can be included under one audit, but this increases audit scope and overall certification cost.

5. What is the difference between ISO 9001 and AS9100 certification?

AS9100 includes all ISO 9001 requirements plus aerospace-specific quality and safety standards.

Wrapping Up: Plan Smart, Save Big with Expert Guidance

Understanding the full AS9100 certification cost is key to budgeting properly and avoiding surprises. Hidden expenses like staff training, documentation, and pre-audit checks can add up quickly if not planned.

By preparing early and organizing your processes, you can control costs and make the certification journey smoother. For reliable insights, detailed guidance, and practical tips on managing AS9100 certification cost and the certification process, KSQA is an excellent resource.

With KSQA, aerospace companies can achieve AS9100 certification efficiently, stay within budget, and confidently navigate every step of the process. Proper planning today leads to smoother certification tomorrow. Call now!

Address: 5760 Hwy 32, Water Valley, MS 38965

Phone: [phone]

Email: [email protected]

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What Questions to Ask Before Applying for ISO 9001 Certification for Small Business

The global market for ISO certifications was valued at more than USD 10.258 billion in 2024 (source), with ISO 9001 playing a key role.

For small businesses seeking efficiency and growth, pursuing ISO 9001 certification for small businesses can be a smart move. But knowing the right questions to ask before you begin helps you make informed decisions and avoid wasted effort.

This article will guide you with clear, simple advice to set your path to certification wisely.

Key Questions to Ask Before Applying for ISO 9001 Certification for Small Business

What Are the Total Costs Involved?

Ensure you understand the full financial impact, including audit fees, registration charges, and internal resource needs. Ask if the certifying body offers fixed pricing or packages tailored for ISO 9001 certification.

Also, consider ongoing costs such as surveillance audits. Knowing all fees upfront helps protect your budget and prevents surprises later.

2. Is the Certifier Accredited?

Accreditation matters. Look for certifying bodies recognized by global accreditation forums. Accredited certifications give you credibility. Also ask about their experience with small businesses.

This ensures they understand constraints around staff and budgets, making the ISO 9001 certification for small business journey smoother and more tailored.

3. How Long Does the Certification Take?

Ask about the timeline from application to certification. Understand the length of each phase: documentation review, audit, and decision. Small businesses benefit from efficient schedules that avoid long disruptions.

A clear timeline helps you plan operations and avoid delays while pursuing ISO 9001 certification for small businesses.

4. Are There Templates and Tools to Help Us?

Templates, examples, and online tools can simplify the process. Ask if the provider offers documentation templates, training materials, or dashboards to track progress.

These tools reduce workload and make the ISO 9001 certification more manageable, especially with limited staff or documentation experience.

5. What Support is Available for Internal Training?

As of 2025, more than 120,000 organizations in the United States hold ISO 9001 certification (source). Ask whether training sessions or workshops are available for your team. Support can include webinars, guides, or coaching.

Well-trained staff make implementation smoother and reduce mistakes during audits. This support helps reinforce roles and responsibilities throughout the certification process.

6. How is the Audit Conducted?

Learn whether the audit is virtual or in-person. Virtual audits can save time and travel costs, which benefits small teams. Also ask about the flexibility in scheduling and how audit findings are communicated.

A supportive, clear audit process sets small businesses up for success with ISO 9001 certification.

What Happens After Certification

Ask about post-certification commitments like surveillance audits and recertification cycles. Understanding these lets you budget for recurring costs. It also ensures long-term benefits from your investment in ISO 9001 certification, rather than seeing it as a one-time effort.

Can You Support Continuous Improvement?

Find out if the certifier provides tools for ongoing compliance, such as refresher training or improvement check-ins. Continuous support helps ensure your small business retains quality, adapts to changes, and gains long-term value from your certification journey.

Wrapping Up

By asking these key questions, you can better evaluate how to achieve ISO 9001 certification for a small business in a cost-effective and efficient way. Getting ready beforehand helps avoid mistakes and ensures valuable, lasting results for your business.

Ready to start your ISO 9001 journey with confidence? KSQA makes certification simple, clear, and tailored for small businesses. They offer fixed pricing, easy-to-use templates, virtual audits, and ongoing support for ISO 9001 certification. Visit KSQA’s official website now to get started!

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AS9100 Cost vs. Value: Is It Worth the Investment for Aerospace Businesses?

Have you heard about AS9100 certification? If you’re in the aerospace, aviation, or defense industry, you may have considered it. But still unsure about whether it’s worth the effort and investment. That’s a fair question—and one many companies wrestle with.

In this blog, let’s explore what AS9100 really means for your aerospace business, what goes into getting certified, and why the value often outweighs the cost of AS9100 when done right.

AS9100 Certification: Worth For Your Aerospace Business

What Is AS9100 Certification?

AS9100 is a globally recognized quality management standard created specifically for aerospace. In 1991, the International Aerospace Quality Group (IAQG) expanded the earlier AS9000 to AS9100 by incorporating some requirements in ISO 9001.

In AS9001 certification, there is a checklist of strict standards for safety, reliability, traceability, and risk control in defense and aerospace sectors.

2. Why Do Companies Invest in AS9100?

The AS9100 certification service market is booming! Valued at USD 15,310 million in 2023 and projected to grow at a CAGR of 13.3% during the forecast period, this rapid growth underscores that AS9100 certification is essential for aerospace companies to stay competitive. (source)

For organizations in aerospace, investing in AS9100 certification is not just a mark of compliance—it's a strategic move for long-term growth and global credibility.

This certification is mandatory to be in the supplier market of aerospace manufacturers and government contractors.

But achieving AS9100 certification is a complex process. It includes planning, time, consultation, audit, and fees. Let’s dive deep into what exactly you are paying for.

Here Are Some Variable Contributions to AS9100 Certification Costs

While certification pricing varies by company, the main cost components are generally consistent across the board. Here are a few areas to consider:

Process Support Services

Many businesses bring in consultants to help implement AS9100 certifications, conduct gap assessments, and guide them through the audit process. The level of support you need will impact the cost of the AS9100 certificate.

Team Training Programs

Your team will need to understand AS9100 certification requirements and how they apply to their roles. Training can include workshops, internal sessions, or online courses. These efforts are essential to build internal knowledge and avoid confusion during audits.

Internal Audit Preparation

Conducting internal audits is a smart approach to avoid costly errors and delays in certification. Before you contact any certification body, an audit helps ensure your systems are error-free and ready to be registered.

This audit can be performed by your staff or a third party; this is a key part of the preparation.

Certification Body Fees

You’ll need to work with an accredited certification body. Their charges typically include time spent on auditing your processes, reviewing documentation, and issuing your certificate.

Additional costs like auditor travel and administrative fees can increase the overall cost of AS9100 certification.

Ongoing Maintenance

AS9100 certification isn’t a one-time process. You need to do regular annual surveillance audits, documenting improvements, and continuously meeting quality standards.

It takes time, your staff’s dedication, and sometimes further investment in process upgrades.

What’s the Value in Return after Getting an AS9001 Certificate?

“With the ISO certification market projected to grow from $16.14 billion in 2024 to $66.25 billion by 2034, it's clear that certification is more than compliance—it's a competitive edge.” (source)

While the process involves costs for training, audits, and consulting, the long-term benefits—trust, market access, and global credibility—make it worthwhile. Let’s understand better.

Final Thoughts

AS9100 certification is a strategic investment—not just a compliance checkbox. It strengthens your internal systems, elevates your company’s reputation, and opens the door to new business opportunities in the aerospace industry.

Partnering with KSQA saves you the time and cost of AS9100 certification. The long-term value it delivers in efficiency, customer trust, and market access makes it well worth the effort.

Fast-track your aerospace certification—talk to KSQA experts now!

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What Are the Key Steps in the AS9100 Certification Process?

The AS9100 certification process ensures compliance with the globally recognized AS9100 standard, and obtaining this certification opens up new opportunities in the aerospace and defense industries.

What is the first step in becoming AS9100 certified, and why is it important for aerospace companies? This is a common question among manufacturers looking to improve their quality management systems.

The AS9100 certification process ensures compliance with the globally recognized AS9100 standard, and obtaining this certification opens up new opportunities in the aerospace and defense industries.

In this blog, let’s get started with the key steps in the AS9100 certifications.

Step-by-Step Breakdown of the AS9100 Certification Process

If you want to improve your operational quality and meet aerospace standards, becoming AS9100 certified is a critical step.

According to an analysis by SimpleQuE, a staggering 96% of companies holding AS9100 series certifications have fewer than 500 employees. This highlights the accessibility and importance of AS9100 certification for small to medium-sized enterprises in the aerospace industry.

So to help them out, here's a simple and comprehensive breakdown of the process:

Understand the AS9100 Standard Requirements

The AS9100 standard is based on ISO 9001 and includes additional aerospace-specific requirements. It covers everything from risk management to product traceability and supplier performance. This standard is recognized by major aerospace manufacturers like Boeing and Lockheed Martin.

2. Conduct a Gap Analysis

Businesses conduct a gap analysis before beginning the certification process. This step compares your existing quality system to the AS9100 requirements. Identifying areas for improvement allows you to prioritize your changes.

3. Train Employees and Implement Changes

Employee training is critical for ensuring that everyone understands their role in meeting AS9100 standards.

From documentation updates to production protocols, the company must implement changes that are consistent with the AS9100 standard and go for certification organizations that provide expert training programs to help teams get up to speed quickly.

4. Conduct Internal Audits

Once the changes are implemented, internal audits ensure that your new systems meet the required standards. This internal review helps to identify any issues before the official audit. Many companies have improved internal performance after implementing AS9100 certification processes.

5. Choose a Certification Body and Schedule the Audit

To become certified, you must work with an accredited certification body. They will carry out a two-stage audit:

Stage 1 Audit: Reviews your documentation and readiness.

Stage 2 Audit: A deeper dive into your practices to ensure full compliance.

6. Certification and Ongoing Surveillance

After passing the audits, you will receive your AS9100 certificate. However, it does not end there. To maintain your certification, you will have to go through annual surveillance audits.

Obtaining certification also helps to establish trust with clients, suppliers, and regulatory bodies. Many aerospace companies require AS9100 as a condition of doing business.

It also promotes better documentation, consistency, and waste reduction, all of which help to reduce long-term costs and improve operational efficiency.

As of May 9, 2023, there are 21,457 AS9100:2016 (including EN9100:2018, JISQ9100:2016, and KSQ9100:2018) certifications worldwide, with 9,044 issued in the U.S. (Source)

Companies that follow the AS9100 standard are more likely to detect issues early on, maintain compliance, and meet customer expectations consistently.

Follow Up

The AS9100 certification process is more than just a checkbox; it is a strategic step for aerospace companies seeking to excel. The benefits range from improved quality management to gaining the trust of major industry players. 

Companies that invest in AS9100 certification frequently report improved operations, lower risk, and higher customer satisfaction.

At KSQA, they guide businesses through every step from training to final certification. Their expert auditors and tailored programs are here to make the journey easier for your team.

Ready to start your AS9100 journey? Contact KSQA today to set up a free consultation and take your aerospace quality systems to the next level!