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AS9100 internal audit checklist

An AS9100 internal audit checklist is the auditor's plan for checking that an aerospace quality management system works the way it says it does. It sets the questions to ask, the clause each one tests, the evidence to look for and how much of it to sample. AS9100, developed by the IAQG and published in the Americas by SAE, takes all of ISO 9001 and adds requirements for aviation, space and defense. So this checklist follows clauses 4 to 10 and puts the aerospace additions where they belong: operational risk management, configuration management, product safety, prevention of counterfeit parts, critical items and key characteristics, foreign object debris, first article inspection, on-time delivery, and human factors in corrective action. It has 42 questions in eight groups, each ending with the AS9100D clause number and title, written in this template's own words with what to look for. Each answer is graded conforming, opportunity, minor, major or N/A against the evidence you saw. The PDF has an audit plan, the questions, a finding and corrective action report, a findings log, how to run the audit and a worked example; the Excel version counts the grades, works out conformance by group and keeps the findings log with due dates. The checklist supports internal audits beside your own quality system and procedures. It is not a certification audit and does not make a site AS9100 compliant. Clause numbers follow AS9100D (2016); check the edition your certification body audits you against.

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Page 1 of the AS9100 internal audit checklistThe audit plan with header fields, an independence check, a schedule of the eight groups with the sample to take, and the five grades.
42 questions on clauses 4 to 10Aerospace additionsEvidence to look forSample for each areaFive gradesFinding and corrective action reportFindings logConformance by groupWorked example to closure
Filled-in AS9100 internal audit checklist: a machining and assembly supplier
The same sheet filled in with the worked example (page 10 of the PDF, illustrative numbers). Open full size (opens the picture in a new tab)

When to use it

When to use an AS9100 internal audit checklist

  • When the audit programme says an area or process is due, so that every clause and process is covered over the cycle.
  • Before a certification, surveillance or customer audit, to find the gaps while there is still time to close them.
  • After a customer escape, a run of late deliveries or a big change such as a new site, machine or product line.
  • To train new internal auditors: the questions, the evidence to look for and the samples show what an evidence-based audit looks like.

How to fill it in

  1. 1

    Plan from risk and the programme

    Pick the processes from the audit programme, weighted by escapes, late deliveries, customer findings and recent changes. Fill in the audit plan on page 1 and send it to the area owner.

  2. 2

    Pick independent auditors

    Nobody audits their own work. In a small shop, swap auditors between areas or bring one in.

  3. 3

    Start on the floor

    Follow a part from the order through receiving, the traveler, the machine, inspection, release and shipping. Watch the work and ask the people doing it before you read the procedure.

  4. 4

    Write the evidence, then grade

    For every question, write what you sampled: travelers, programs, gauges, certificates, people. Then grade it conforming, opportunity, minor, major or N/A.

  5. 5

    Write each finding in four parts

    The condition, the requirement it fails (the clause, your procedure or the customer's), the evidence someone else can go and check, and the impact on the product or on delivery.

  6. 6

    Carry it through corrective action

    Correction and containment first, then the root cause including human factors, the corrective action, a flow-down to the supplier if the supplier caused it, and a check that it worked before closing.

The major finding

From finding to closure: the example's corrective action

Closed only when data showed the action worked, not when it was done.

  1. Day 1Contain40 parts held; the next part through a partial FAI.
  2. Day 2Tell the customer3 lots had shipped without the partial FAI.
  3. Day 10Root causeNo prompt on the program release form, and no training: a human factors cause.
  4. Day 24ActA required question on the form and a one-point lesson for 4 programmers.
  5. Day 97Verify and close4 program moves since, each with a partial FAI.

What AS9100 adds

Where the aerospace additions sit in AS9100D, and what to ask on the floor

The requirements AS9100 adds to ISO 9001, by AS9100D clause number. The questions are this template's own; read the clause before you write a finding.

  • Operational risk management

    Clause
    8.1.1
    What to ask on the floor
    What could go wrong on this part or contract, and what was done about it?

  • Configuration management

    Clause
    8.1.2
    What to ask on the floor
    Can you show this part was built to the current drawing and every approved change?

  • Product safety

    Clause
    8.1.3
    What to ask on the floor
    Which items here affect safety, and how are they controlled?

  • Prevention of counterfeit parts

    Clause
    8.1.4
    What to ask on the floor
    Where did this part or material come from, and how was it verified?

  • Critical items and key characteristics

    Clause
    8.1 and 8.3.5
    What to ask on the floor
    How is this key characteristic controlled: SPC, a 100% check, or both?

  • Foreign object debris

    Clause
    8.5.1
    What to ask on the floor
    Show me the last FOD walk and the tool control at this station.

  • First article inspection

    Clause
    8.5.1.3
    What to ask on the floor
    What was the last change here, and did it call for a partial FAI?

  • On-time delivery

    Clause
    5.1.2, 9.1.2 and 9.3
    What to ask on the floor
    How is on-time delivery measured, and what happened the last time it missed?

  • Human factors in corrective action

    Clause
    10.2
    What to ask on the floor
    Did the root cause look at the conditions around the person: training, prompts, workload, fatigue?

What's on the checklist

The 42 audit questions, by area of the standard

Eight groups that follow AS9100D clauses 4 to 10, with the aerospace additions (operational risk, configuration management, product safety, counterfeit parts, key characteristics, FOD, first article and on-time delivery) where they belong. Each question ends with the clause number and title it tests; the questions are this template's own words. On the sheet each one has room for the evidence you saw, a grade and a finding number.

Context, leadership and planning

Sample: the process map, the last management review, 3 objectives and 3 short interviews at stations.

  1. 1Does the scope and the process map match what the site really does, including outsourced and special processes? Look for: the scope statement, the process map, the list of outsourced processes. (4.4 Quality management system and its processes)
  2. 2How does top management track product conformity and on-time delivery, and what did it do the last time either missed? Look for: the two measures, a review record, one action taken. (5.1.2 Customer focus)
  3. 3Can people at the station say what their area's quality objectives are and how their own work affects them? Look for: posted objectives, three short interviews. (6.2 Quality objectives)
  4. 4Are the risks and opportunities to the business identified, with actions whose effect has been checked? Look for: the risk register, two actions, how their effect was judged. (6.1 Actions to address risks and opportunities)
  5. 5Is there a management representative with the authority to resolve quality problems, and can people say who it is? Look for: the appointment, the organization chart, one recent example. (5.3 Roles, responsibilities and authorities)

Support: people, measurement and documents

Sample: 5 gauges from the floor, 5 training records, 5 documents at stations.

  1. 6Pick 5 gauges at the stations: are they in the recall system and in date, and is product reassessed when a gauge is found out of tolerance? Look for: the gauge labels, the register, one out-of-tolerance report. (7.1.5 Monitoring and measuring resources)
  2. 7Were people trained and signed off before working alone, including on special processes and inspection? Look for: training records against the job, the newest person in the area. (7.2 Competence)
  3. 8Do people know how their work affects product conformity and product safety, and why ethical behaviour matters? Look for: awareness training, short interviews on the floor. (7.3 Awareness)
  4. 9Are the documents and drawings at the station the current revision, with obsolete ones removed or marked? Look for: 5 documents at stations against the master list. (7.5.3 Control of documented information)
  5. 10Are records kept for the time the customer or contract requires, and protected from loss and damage? Look for: the retention rule, a record from the oldest required year, the backup. (7.5.3 Control of documented information)
  6. 11Are lessons from problems, escapes and projects captured and used? Look for: a lessons learned list, one change made because of it. (7.1.6 Organizational knowledge)

Operational planning and aerospace controls

Sample: 2 recent new parts or contracts, and 1 product safety item.

  1. 12For a recent new part or contract, were operational risks identified, assessed and reduced, with the remaining risk accepted by the right person? Look for: the risk assessment, the mitigation, the acceptance. (8.1.1 Operational risk management)
  2. 13Can the as-built product be traced to the drawing revision and every approved change? Look for: the configuration record for one part, the change approvals. (8.1.2 Configuration management)
  3. 14Has the site identified its product safety items and does it control them from planning to delivery? Look for: the product safety list, how one item is controlled, related awareness. (8.1.3 Product safety)
  4. 15Is there a counterfeit parts prevention process: training, buying from original or authorized sources, verification, reporting and quarantine of suspect parts? Look for: the procedure, training records, the quarantine area. (8.1.4 Prevention of counterfeit parts)
  5. 16Are critical items and key characteristics identified and controlled as planned, for example with SPC or 100% inspection? Look for: the key characteristics on one drawing and their control on the floor. (8.1 Operational planning and control)
  6. 17Were the customer's requirements, including special requirements, reviewed before the order was accepted? Look for: 2 order reviews, how special requirements were flagged. (8.2.3 Review of the requirements for products and services)
  7. 18Are design or customer-driven changes reviewed, approved and passed to the floor, with customer approval where the contract requires it? Look for: one change from request to the floor. (8.3.6 Design and development changes)

External providers

Sample: the approved supplier list, 8 purchase orders, 3 receipts.

  1. 19Is there an approved supplier list with each supplier's scope and status, and is supplier quality and on-time delivery reviewed? Look for: the list, the scorecards, one action on a poor supplier. (8.4.1 General)
  2. 20Do purchase orders flow down the requirements: key characteristics, special processes, first article inspection, right of access, counterfeit prevention and record retention? Look for: 8 purchase orders against the flow-down list. (8.4.3 Information for external providers)
  3. 21Is bought product verified at receiving or at the source, with certificates checked against the order? Look for: 3 receipts with their inspection records and certificates. (8.4.2 Type and extent of control)
  4. 22Are special processes bought only from sources the customer has approved, where the customer requires it? Look for: 3 special process orders against the customer's approved source lists. (8.4.1 General)

Production and service provision

Sample: 3 travelers in progress, 3 NC programs, 1 special process, 2 shipped orders.

  1. 23Is work done to current instructions, with a traveler or router that records each operation and every inspection point signed? Look for: 3 travelers in progress. (8.5.1 Control of production and service provision)
  2. 24Are foreign objects prevented, found and removed in the production areas? Look for: the FOD program, a FOD walk record, tool control at the station. (8.5.1 Control of production and service provision)
  3. 25Are equipment, tools and NC programs validated before use, controlled and stored properly? Look for: 3 programs on the machines against the released revision, tool storage. (8.5.1.1 Control of equipment, tools and software programs)
  4. 26Are special processes validated, run by qualified people on qualified equipment, with the parameters recorded? Look for: one special process record, the operator's qualification. (8.5.1.2 Validation and control of special processes)
  5. 27Is a first article inspection done for new parts and repeated after the changes that call for one? Look for: 2 FAI records, a recent change and whether it triggered a partial FAI. (8.5.1.3 Production process verification)
  6. 28Can product status and traceability be followed from the part back to the raw material certificate? Look for: one part traced both ways. (8.5.2 Identification and traceability)
  7. 29Is customer-owned property (tooling, material, data) identified, protected and reported if lost or damaged? Look for: the customer property list, one item on the floor. (8.5.3 Property belonging to customers or external providers)
  8. 30Is product protected during handling and storage, including shelf-life items and ESD-sensitive parts? Look for: shelf-life labels, storage conditions. (8.5.4 Preservation)
  9. 31Are changes to production processes reviewed and authorized, with who authorized them recorded? Look for: one recent process change and its approval. (8.5.6 Control of changes)
  10. 32Is product released only after all planned inspection is complete, by authorized people? Look for: 2 shipped orders with their release records. (8.6 Release of products and services)

Nonconforming output

Sample: 3 recent nonconformance reports and the hold area.

  1. 33Is nonconforming product identified, segregated and dispositioned by authorized people, with customer approval for use-as-is or repair where the customer is the design authority? Look for: 3 NCRs and their dispositions. (8.7.1 Control of nonconforming outputs)
  2. 34Is scrap made unusable, and are suspect or counterfeit parts kept out of the supply chain? Look for: scrap marking, the quarantine area. (8.7.1 Control of nonconforming outputs)
  3. 35Is the customer told promptly when nonconforming product may have been delivered? Look for: the notification rule, one notification sent. (8.7.1 Control of nonconforming outputs)

Performance evaluation

Sample: the last 6 months of measures, the audit programme and the last management review.

  1. 36Are customer satisfaction measures, including on-time delivery, complaints and returns, tracked and acted on? Look for: the measures, one action. (9.1.2 Customer satisfaction)
  2. 37Is process performance data analyzed to find where to improve? Look for: one analysis and what came of it. (9.1.3 Analysis and evaluation)
  3. 38Does the internal audit programme cover every process and requirement, with auditors independent of the work they audit? Look for: the programme, two audit reports, who audited what. (9.2 Internal audit)
  4. 39Does management review cover on-time delivery, audit results and risks, and lead to recorded actions? Look for: the last review's minutes and its actions. (9.3 Management review)

Improvement and corrective action

Sample: 3 closed corrective actions, including one from a customer.

  1. 40Are root causes found, including human factors where they apply, and are corrective actions passed to the supplier when the supplier caused it? Look for: 3 corrective action records. (10.2 Nonconformity and corrective action)
  2. 41Is each corrective action checked to see that it worked, with specific steps taken when a correction or action is late or does not work? Look for: the effectiveness checks, one overdue action and what was done. (10.2 Nonconformity and corrective action)
  3. 42Are improvement opportunities picked up from data, audits and people, and are the results checked? Look for: the improvement list, one finished project. (10.3 Continual improvement)

A filled-in example

Illustrative, not a benchmark

An example: an internal audit of a machining and assembly supplier, from receiving to shipping (illustrative, the same as pages 10 and 11 of the PDF and the Excel example sheet).

The example audit, graded

  • Conforming: 33 questions
  • Opportunity: 2 questions
  • Minor: 4 questions
  • Major: 1 question
  • N/A: 2 questions

42 questions: 33 conforming, 2 opportunities, 4 minor, 1 major and 2 not applicable. Conformance is 35 of 40 graded, 87.5 percent.

Conformance = (33 + 2) ÷ 40 = 87.5%. The major, a missed partial FAI after an NC program move, was closed on day 97.
  • 42 questions: 2 N/A (no design responsibility, and no customer property on site), so 40 graded.
  • 33 conforming and 2 opportunities: lessons from escapes are not written down, and scrap data is not reviewed for trends.
  • 4 minor: 2 of 6 operators could not say what product safety means for their parts, 2 of 5 receiving inspectors had no counterfeit parts training on record, 2 of 8 outside process orders missed the record retention flow-down, and two open hydraulic fittings on a bench were not capped.
  • 1 major: an NC program moved from machine 4 to machine 6 in August with no partial FAI, and 3 lots shipped.

Conformance = (33 + 2) ÷ 40 = 87.5%. The major went through corrective action: parts held on day 1, the customer told on day 2, a partial FAI passed on day 3, the root cause (no prompt on the program release form, a human factors cause) found on day 10, the fix in place on day 24, and the finding closed on day 97, after the next 4 program moves each had a partial FAI.

Common mistakes

  • Auditing the manual

    Reading procedures only proves the paperwork exists. Follow a part on the floor and trace back to the procedure.

  • Skipping the aerospace clauses

    Counterfeit parts, configuration, product safety and FOD are where generic ISO 9001 checklists go quiet, and where customers look first.

  • Closing on the action, not the effect

    A corrective action is closed when data shows it worked, not when the form is filled in.

  • Stopping the root cause at the person

    "Operator error" is where the analysis starts. Ask what about the training, the prompt, the workload or the tool let the error happen.

  • Auditing your own area

    People miss their own blind spots and go easy on their own findings. Swap auditors between areas.

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FAQ

AS9100 internal audit checklist: common questions

  1. An audit a company runs on its own quality management system, to check that it meets AS9100, its own procedures and its customers' requirements, and that it works. It runs on a planned programme, done by trained auditors who do not audit their own work.

  2. AS9100 includes all of ISO 9001 and adds requirements for aviation, space and defense, among them operational risk, configuration management, product safety, counterfeit parts, key characteristics, FOD, first article inspection, on-time delivery and human factors.

  3. At planned intervals that cover every process and every requirement over the audit cycle, and more often where the risk or past results call for it. Many sites cover everything once a year; your audit programme and your certification body set the rhythm.

  4. In short: react to the nonconformity, find the root cause, including human factors where they apply, act so it does not happen again, flow the action down to a supplier that caused it, and check that it worked, with specific steps when an action is late or fails. Read clause 10.2 for the full list.

  5. No. It supports internal audits beside your own quality system. Certification comes from an accredited certification body auditing your system against the standard.

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