AS9100D Surveillance Audit Question

[GaryD2023]

Hello.
I have a question regarding whether or not it is required that I provide QMS documentation to an auditor, at their request, prior to an upcoming AS9100D audit.
The auditor requested QMS documentation so he may complete his audit plan in detail, but from what I understand, it is not necessarily required.
I have been told it is advantageous for my company to not provide the documents prior to the audit, but may irk the auditor in doing so....
What are some of your experiences with this situation, and am I correct in assuming the these docs do not have to be provided?
Thanks in advance!

 

[Sidney Vianna]

Yes, you are mandated to provide appropriate data and information to the CB for proper audit planning purposes. Failure to do so might lead to decertification proceedings.

For more info browse https://iaqg.org/wp-content/uploads/2019/10/9104-1Key_Changes02April2020.pdf

 

[yodon]

advantageous for my company to not provide the documents prior to the audit

Not exactly the best mindset going into audits! I know auditors can take a lot of blame for exploiting the minutiae, but I try to push the culture of "audits are healthy." If audits are viewed as a growth opportunity, there would be no such thoughts of trying to gain an 'advantage' over the auditor.

 

[Sidney Vianna]

Both the IATF and the IAQG have realized that, in order to give CB auditors a chance to make their audits more effective focusing on issues of relevance and importance, proper planning is paramount. For a proper audit planning, the QMS performance data must be assessed in the planning stage. So this aspect was codified in 9104-1 and the registrants should have been made aware of it.

Analogy to going to a doctor for an annual checkup with a full blood test results on hand, versus none.

 

[Randy]

Not exactly the best mindset going into audits!

Doesn't matter, what's required, is required.

 

[yodon]

Doesn't matter, what's required, is required.

No disagreement! It's just if they're going into an audit thinking they can gain an advantage by not providing documents up front, what else are they going to do to try to gain an advantage over the auditor (delays in providing materials while on site, delays finding people, etc.). The whole "us versus them" thing is just not healthy, IMO.

 

[Randy]

Gotcha.........."Don't say anything until you're asked, and kinda beat around the bush when you do" mentality.

 

[Quality-Nation]

The auditor requested QMS documentation so he may complete his audit plan in detail, but from what I understand, it is not necessarily required.

What is being requested? The term “QMS documentation“ is an expansive one. Some possibly shouldn’t be shared ahead of an audit and, as such, is probably not “required” to plan an audit.