Auditors generally do not review every AS9102 First Article Inspection (FAI) package. They sample evidence to test how consistently you apply your FAI process, how well it is controlled, and whether records are complete and traceable.
Typical AS9102 items auditors sample
While approaches differ by auditor and certification body, you should expect sampling from at least these areas:
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AS9102 Forms
- Form 1 (Part Number Accountability): Part revision, FAI type (full/partial), relationship to drawing and model, and whether all associated sub-FAIs are referenced.
- Form 2 (Product Accountability): List of materials, special processes, and functional tests, with cross-reference to certs and reports.
- Form 3 (Characteristic Accountability, Verification and Compatibility Evaluation): Balloon-to-characteristic traceability, results, acceptance status, and disposition of any nonconformances.
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Ballooned drawings or models
- Evidence that every drawing characteristic has a unique balloon/identifier.
- Clear linkage between balloon numbers and Form 3 line items.
- Handling of reference dimensions, implied requirements, and notes.
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Inspection and test records
- Raw inspection results for sampled characteristics (CMM reports, gage sheets, test logs).
- Confirmation that recorded values on Form 3 match the underlying data.
- Evidence that measuring equipment was calibrated at time of use.
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Material and special process certifications
- Mill certs, heat treat and plating certs, NDT reports, weld records, and other special process evidence.
- Verification that requirements and results on certs align with Form 2 entries and drawing notes.
- Use of approved sources where required by the customer.
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Change-control and configuration records
- Evidence that the FAI reflects the correct drawing/model revision and applicable specs.
- Partial/revised FAI logic: what changed, why a partial FAI was done, and how impact was assessed.
- Linkage to engineering change orders, deviations, concessions, and waivers where applicable.
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Process and routing evidence
- Traveler/router or MES records for the FAI lot or piece.
- Confirmation that the FAI part followed the released, approved process.
- Proof that key process parameters and special characteristics were controlled and recorded where required.
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Linkage to nonconformance and corrective action
- NCRs raised during FAI, including MRB decisions and dispositions.
- How FAI results are fed into corrective actions or process improvement when issues are found.
- Evidence that escapes or repeated FAI failures are investigated and addressed.
How auditors choose which FAIs and records to sample
Sampling is risk-based and tied to the audit plan. Common selection patterns include:
- Recent FAIs to see how your current process and tools work in practice.
- High-risk parts (safety-critical, complex geometry, special processes, tight tolerances, or known field issues).
- Key customers where additional flowdown requirements exist (customer-specific FAI forms, Net-Inspect, or portal workflows).
- Mix of new and revised FAIs to test your handling of design changes and partial FAIs.
- Supplied parts vs. in-house manufacture to evaluate supplier controls and incoming inspection when FAIs are done at the vendor.
What they are really testing
Across whatever packages they sample, auditors are less focused on the sheer volume of documents and more on the control of your FAI process:
- Traceability: Can you trace from drawing/model to balloon to Form 3 line to actual inspection record and gage, and back to the specific part or lot?
- Configuration control: Does each FAI correctly reflect the design baseline and any authorized deviations at that time?
- Completeness and accuracy: Are there missing characteristics, mis-typed data, or unexplained blanks?
- Consistency across sites and systems: Are AS9102 practices similar across different cells, plants, and systems (paper, spreadsheets, MES, FAI software)?
- Integration with other QMS processes: How FAI connects to document control, calibration, training, NCR/MRB, and change control.
Implications for brownfield and mixed-system environments
In most aerospace operations, FAIs are scattered across paper files, shared drives, email, customer portals, and sometimes dedicated FAI or MES modules. Auditors will often sample across these different storage locations and systems to see whether:
- You can reliably find the right FAI package for a given part, PO, or serial/lot number without long searches.
- The same part family shows consistent ballooning, measurement methods, and documentation even if different tools or plants were used.
- When systems change (for example, new MES, FAI software, or PLM), there is controlled migration and clear delineation between old and new processes, not a gap in evidence.
Full replacement of legacy FAI records is rarely practical. Auditors typically accept mixed archives as long as you have controlled access, version control, and a repeatable way to retrieve and demonstrate complete AS9102 evidence across systems.
Practical preparation
To be ready for the kinds of AS9102 sampling auditors usually perform:
- Maintain a simple index or register of FAIs (by part, customer, revision, FAI type, and location of records).
- Standardize your ballooning and Form 3 practices as much as practical across programs and plants.
- Verify that supporting evidence (inspection data, certs, routers, NCRs) is linked and retrievable for each FAI.
- Periodically perform internal process audits that mimic auditor sampling, to catch gaps in traceability and completeness before external audits.
