AS9100 Rev. C Document References

Airplane, aerospace, AS9100

Q: My organization is getting ready for our registration audit to AS9100 Rev. C  — Requirements for Aviation, Space and Defense Organizations.  There is a debate regarding procedures and the document references with those procedures.  If the procedure does not mentioned a document within the body of the document we normally do not include it in the reference section of the procedure.  Our internal auditor says that we should reference all documents that show linkage in the process approach.

For example, the auditing procedure references corrective action, preventive action, etc., but does not have any of the document mentioned in the body of the procedure.

Can you settle this matter? Our auditor says that we will get a finding if this is not done.

A: The process approach is more than including references to documents, especially with AS9100 revision C requirements to identify your product realization processes.  I would encourage you to examine some guidance materials available on the ISO website:
Introduction and support package: Guidance on the concept and use of the process approach for management systems action procedures, but the narrative of the procedure does not include how these procedures tie into the auditing practice?  It would seem that the auditing procedures body should support the referenced procedures and explain how they are applicable within the auditing process.  If I was your auditor, I would issue an observation or opportunity for improvement for that condition.

Your first paragraph seems to indicate the reverse scenario.  If a document is not referenced within the body of the document, then it is not a referenced procedure.  Yes, that appears reasonable.

It is a good practice to show the interrelationship of documents to include parent-child relationships and referenced documents when appropriate.

Buddy Cressionnie
International Aerospace Quality Group Americas AS9100 Lead
Voting member of the U.S. TAG to ISO/TC 176
Southlake, TX

Resources about Quality Culture

ASQ Global State of Quality 2016

Q: I am a senior member of ASQ.  I plan on giving a two to three hour workshop on quality culture at my company.  Do you have any audiovisual materials and/or examples from other successful companies that I could use for my slide presentation?  I would really appreciate it if you could provide me with more informaton on creating a quality culture.

A: According to The Quality Improvement Glossary by Donald L. Siebels, quality culture “consists of employee opinions, beliefs, traditions, and practices concerning quality within an organization”.

ASQ has over 200 books and articles on the topic of quality culture.  I have included links to a number of different resources, including webcasts and case studies, that contain content that I believe pertains most to your question regarding quality culture.

Case Studies:

“Quality Culture in Small Business: Four Case Studies”:

“Building a Culture of Quality”:

“Quality Engrained in Culture at Iowa Hospital”:

“R. L. Polk & Co.: Making Every Issue the Only Issue”:

“Celsius Australia: BEST PRACTICES, Reach for the STARS”:

Articles/Conference Papers:

“A Framework for Organizational Quality Culture”:

“A Nontraditional Approach to Creating a Quality Culture”:

“Creating a Quality Driven Culture…Breaking Through the Culture Wall”:

“Creating a Culture of Success Is a Team Effort”:

“The Modern Noah’s Ark”:


“Creating a Quality Culture Webcast”:

“Juran’s Quality Handbook: The Complete Guide to Performance Excellence Webcast”:

“Executive Insight Webcast Interview with Mark Laney of Heartland Health”:

(discusses how they built a culture of high performance in their organization)

These videos are from ASQ’s blog, “A View from the Q”.  The videos are located at the end of the blog posts:

“Coca-Cola’s Quality Culture”:

“Four Questions: Creating a Culture of Quality with Dr. J.J. Irani”:

“The Ps and Qs of the new General Motors”:

“Four Questions: Talking Quality with Ford Motor Company”:

2011 ASQ World Conference on Quality and Improvement On-Demand Recordings (Available for purchase):

Includes the topics “Building a Quality Culture” and “Organizational Excellence”


“Quality Makes Money: How to Involve Every Person on the Payroll in a Complete Quality Process (CQP)”:

“The Progressive Audit: A Toolkit for Improving Your Organizational Quality Culture”:

I hope that this information helps.  If you are interested in doing some more searching on your own, you can search for articles and books in the ASQ Knowledge Center:

If you are interested in using any of these resources in your presentation, please contact ASQ’s Quality Information Center for more information on using and reprinting ASQ resources or see the following link on ASQ’s copyright permission policies:

Best regards,

ASQ Research Librarian
Milwaukee, WI

ISO 9001 Management Representative

About ASQ's Ask the Standards Expert program and blog

Q: ISO 9001:2008 Quality management systems — Requirements defines the responsibilities of the management representative (MR). To carry out these responsibilities, the MR needs certain defined authorities. What principle authorities should a MR posses to meet the responsibilities defined? I am a quality manager and I report to the project director, who reports to the CEO. While auditing other directors in the organization, my boss (the project director), requested from me to discuss with him the audit results of other director’s’ audit findings since I am reporting to him. I pointed out that the MR Role is independent and it is not a part of the function of Quality Manager where I report to him.

How can I make it clearer that I need independent authorities to perform the role of the MR?
A: Section 5.5.2 Management Representative: defines the appointment and responsibilities of the management representative. He/she is appointed by top management. The implication is that top management can ask for reports on the MR’s responsibilities. A summary of these are:

  • Ensure QMS process are established, implemented and maintained
  • Reporting to top management on performance of QMS and need for improvement
  • Ensure promotion of customer Requirements in the Org.

It is true that management representative responsibilities are not those of the quality manager. But, ISO 9001 does not define responsibilities of the quality manager.

My suggestion is to go to the person who appointed you management representative and ask him if you should provide the information requested.

Sandford Liebesman, Ph.D.
Voting member of the U.S. TAG to ISO/TC 176
ASQ Fellow
Morristown, NJ

ANSI/ASQC C1-1996 Supplier Testing

Schedule, calendar, timeline

Q: I need clarification on the following, please:

ANSI/ASQC C1-1996 — Specification of General Requirements for a Quality Program — has been included in the required specifications from a prospective customer. Section 3.3.4 states (in the last sentence) “Furthermore, the validity of certifications shall be periodically verified by the buyer through independent testing.”

What criteria (time-frame, suppliers, mills, etc.) should be used to comply with “periodically?”

What testing is to be performed for the required independent testing? Is it to be only a chemical analysis, or are mechanical tests to be performed as well?

Does this standard require independent testing of materials in purchased components such as gaskets, glass, bolts and fittings, or is “raw materials” only meant to be the base materials such as plate and sheet steel that we purchase?

A: To begin with, most establishments, including your customer, already know that materials most often come with material test certificates.  For example, when you order a sheet of steel from EMJ Metals or another supplier, they will supply a test certificate along with it.

The certificates include that data which would be most important to your customer such as chemical analysis, mechanical properties, ASTM specifications, etc. You are probably already aware of all this.

As for “periodic” and “independent” testing, here is my opinion:

If you have, in writing, a document stating that all purchased materials will be subject to receiving inspection and such inspections will verify that customer requirements have been met, that will be step 1.

For step 2, if you go to the web site of almost any materials supplier, they will have documentation (quality manual, ISO certification, etc.) which you can use as evidence they are a qualified supplier.

You can then contact that supplier and ask if they will verify, in writing, that they also test the material they are sending.  Steel suppliers, like most material suppliers, sell what they receive from the original mills.  The material certs they provide to you are made of tests the mills run.  A company such as EMJ, which I mentioned earlier, uses what is called a Niton tester to verify chemical make up of the product which they buy and in turn sell to their customers.

Finally, step 3: as with any quality management system, you must “do what you say you do.”  So, if you say that part of your receiving inspection includes hardness testing, be ready to provide evidence of that (incoming inspection reports).

In closing, I feel confident that if you prepare the steps noted above, or something similar and communicate this to your potential customer, they will be doubly satisfied with your company. Doubly because all of this would display evidence of an organization with a mature QMS.

Bud Salsbury,
ASQ Senior Member, CQT,CQI

ISO/TS 16949 Clause, Product Testing

Automotive inspection, TS 16949, IATF 16949

Q: Can you please clarify a requirement in clause in ISO/TS 16949 Quality management systems—Particular requirements for the application of ISO 9001:2008 for automotive production and relevant service part organizations. The requirement is as follows: “A layout inspection and a functional verification to applicable customer engineering material and performance standards shall be performed for each product as specified in the control plans.”

We have a third-party auditor claiming that “product” means every part number.  Our belief is that this is every product family, not every part number.   As a company trying to stay in business, testing every part number is not feasible or cost efficient.

A: This is a controversial area as all production parts that conform to TS 16949 must be PPAPed which is, in effect, an inspection of each part that is produced. If parts produced have different part numbers depending on whom they are supplied to, then one PPAP would be OK. Also, it would be OK if the supplier can get a variance from its customers to the requirement “A layout inspection and a functional verification to applicable customer engineering material and performance standards shall be performed for ‘each product’ as specified in the control plans.” The supplier may want to seek a sanctioned interpretation by the International Automotive Oversight Bureau.

Ron Berglund
Voting member of the U.S. TAG to ISO/TC 176
ASQ Fellow
Canton, MI

Value of CQA Certification in Aerospace Auditing


Q: What groups recognize the ASQ Certified Quality Auditor (CQA) Certification? The CQA is not enough to conduct an  internal audit to AS9100:2009 Revision C Quality management systems—Requirements for aviation, space and defense organizations, and I am not trained in AS9100C.

Why become a Certified Quality Auditor (CQA)?

A: Thank you for contacting ASQ Ask the Experts. The ASQ CQA is recognized by companies, industries and organizations worldwide as evidence of an individual that has demonstrated their ability to meet established criteria for quality management system auditing.

AS9100C contains requirements that are specific to the aerospace industry and  exceed the ASQ CQA requirements.

Having an ASQ CQA would be a good start toward obtaining an AS9100C auditor certification.  However, keep in mind that although first party internal auditors should be trained as auditors, rarely would they be required to be certified for the purpose of conducting internal (first party) audits.  I hope this helps.

Bill Aston
ASQ Senior Member
Managing Director of Aston Technical Consulting Services
Kingwood, TX