AS9100D Audit Checklist

This Process Street checklist was built to help auditors conduct an effective audit on the implementation of the AS9100D aerospace quality management standard. 

This checklist is not meant to be followed verbatim. Instead, it should be used as a framework to supplement your audits and make sure that the basic requirements are being met.

The checklist takes you step-by-step, through the entire auditing process. Each task is supplemented with even more information to help further build context and leave no questions unanswered. This checklist also uses various form fields to give you the ability to record all your audit findings and notes as you move through the process.

We recommend that you edit the contents of this checklist to better suit your particular needs, if necessary.

First thing, before beginning the audit, take a moment to enter some basic details using the form fields below.

Audit programme manager information

Auditee information

If this process will involves multiple people, feel free to use the members form field to be able to assign additional individuals.

After you've recorded the basic details, you should establish the context of the audit. To be able to properly understand the context of the audit, you should take into account the auditee’s:

Use the form fields below to write notes and record the finalized context of the audit.

Next, you need to establish objectives of the audit.

The audit objectives should be consistent with the context of the auditee and include the following information:

Use the form fields below to write notes and record the finalized audit objectives.

Now, you should establish the scope of the audit.

The scope of the audit should be consistent with the auditee's context and include the following information:

Use the form fields below to write notes and record the finalized audit scope.

After you're finished establishing the audit scope, you need to establish the audit criteria.

The criteria should be defined while keeping in mind that it will be used as a reference to which the QMS's conformity will be evaluated.

The audit criteria might include:

Use the form fields below to write notes and record the finalized audit criteria.

You should also make sure all necessary tools and systems are in place to ensure effective monitoring of the audit.

Audit monitoring systems might include any of the following:

Next, you should request all relevant documentation from the auditee. 

Use the form fields below to write notes.

You should now take some time to assign audit team and lead auditor.

When deciding on your audit team, keep in mind:

Use the fields below to assign audit team members.

Now, you should assign the audit team leader.

Use the form fields below to record the details of the lead auditor.

Now that you've made all the necessary preparations for the audit, you should, review all of the auditee's documented information pertaining to the management system.

This will serve as a great jumping off point for the lead auditor and allow them to easily pinpoint any problem areas in the auditee's QMS.

The documented information could take the form of things such as:

• Processes (paper and/or software)
• Management system documents and records
• Previous audit reports

Using the form-fields below, record any issues observed in the documentation.

Use the form fields below to record the issues found in the documented information, and what actions you've taken to resolve these issues.

Now that you've reviewed all the documented information and resolved any issues, you should prepare an audit plan.

The audit plan should contain the following information:

Upload your finalized audit plan below:

Now that your audit plan is all set, you just need to assign work to the audit team.

All the work that will be assigned should have been detailed in the audit plan.

This is a great opportunity to use Process Street's task assignment feature for assigning individual tasks in this checklist to specific audit team members.

To begin the audit, you should first make contact with the auditee and make sure the following factors are in order:

Use the form field below to select the date of the opening meeting.

After you've made all the necessary arrangements with the auditee and scheduled the opening meeting, what's next is to actually conduct the meeting.

The opening meeting should be hosted by the lead auditor.

During the opening meeting, make sure to confirm the following information with the team:

Usually, an opening meeting will include the auditee's management, in addition to specialists that work closely with the processes being audited.

Use this meeting as an opportunity to ask any the necessary questions about the audit process and clear up any gaps of knowledge you may have. The meeting can range in size and scope depending on the organization being audited.

It's important that during the opening meeting, the following information is clearly communicated:

Any relevant audit information should be made easily accessible to all the relevant parties. This can be done by documenting the location of the information in the form field below.

You may also want to consider uploading any additional crucial information to a secure central repository that can be easily shared with the auditee.

Assessing the organization and its context is vital when developing a quality management system. It helps to to pinpoint, analyze, and develop a better understanding of the auditee's business environment.

Record information regarding the organization and its context in the form fields below.

After assessing the organization and its context, you should assess the needs and expectations of the interested parties.

After you've gathered the information, document any evidence that pertains to the needs and expectations of interested parties in the form fields below.

Now, you should assess the scope of the QMS.

Simply put, the scope of the QMS is a description of the processes, procedures, services, and products that the QMS was developed for.

After you've gathered the information, document any evidence that pertains to the QMS scope in the form fields below.

After assessing the scope of the QMS, you should then assess the QMS leadership.

After you've gathered the information, document any evidence that pertains to the QMS leadership in the form fields below.

Now, you should assess the QMS customer focus.

After you've gathered the information, document any evidence that pertains to the QMS customer focus in the form fields below.

After assessing the QMS customer focus, you should assess the QMS quality policy.

After you've gathered the information, document any evidence that pertains to the QMS quality policy in the form fields below.

Now, you should assess the organizational roles and responsibilities of the QMS.

After you've gathered the information, document any evidence that pertains to the organizational roles and responsibilities of the QMS in the form fields below.

After assessing the QMS organizational roles and responsibilities, you should assess the documentation of risks and opportunities in the QMS.

After you've gathered the information, document any evidence that pertains to the documentation of risks and opportunities in the QMS in the form fields below.

Now, you should assess the QMS quality objectives.

After you've gathered the information, document any evidence that pertains to the QMS quality objectives in the form fields below.

After assessing the QMS quality objectives, you should assess the QMS change management procedures.

After you've gathered the information, document any evidence that pertains to the QMS change management procedures in the form fields below.

Now, you should assess the organization and allocation of QMS resources.

After you've gathered the information, document any evidence that pertains to the organization and allocation of QMS resources in the form fields below.

After assessing the organization and allocation of QMS resources, you should assess the HR integration with QMS.

After you've gathered the information, document any evidence that pertains to the HR integration with QMS in the form fields below.

Then you should assess the QMS infrastructure.

After you've gathered the information, document any evidence that pertains to the QMS infrastructure in the form fields below.

Now, you should assess the QMS work environment.

After you've gathered the information, document any evidence that pertains to the QMS work environment in the form fields below.

After assessing the QMS work environment, you should assess the QMS monitoring and measurement of resources.

After you've gathered the information, document any evidence that pertains to the QMS monitoring and measurement of resources in the form fields below.

Now, you should assess the organizational knowledge of QMS.

After you've gathered the information, document any evidence that pertains to the organizational knowledge of QMS in the form fields below.

After assessing the QMS organizational knowledge, you should assess the QMS competence.

After you've gathered the information, document any evidence that pertains to the QMS competence in the form fields below.

Now, you should assess the QMS awareness.

After you've gathered the information, document any evidence that pertains to the QMS awareness in the form fields below.

After assessing the QMS awareness, you should assess the communication of QMS within the organization.

After you've gathered the information, document any evidence that pertains to the communication of QMS within the organization in the form fields below.

Now, you should assess the documented information.

After you've gathered the information, document any evidence that pertains to the documented information in the form fields below.

After assessing the documented information, you should assess the operational planning and control.

After you've gathered the information, document any evidence that pertains to the operational planning and control in the form fields below.

Now, you should assess the operational risk management.

After you've gathered the information, document any evidence that pertains to the operational risk management in the form fields below.

After assessing the operational risk management, you should assess the configuration management.

After you've gathered the information, document any evidence that pertains to the configuration management in the form fields below.

Now, you should assess the product safety.

After you've gathered the information, document any evidence that pertains to the product safety in the form fields below.

After assessing the product safety, you should assess the prevention of counterfeit parts.

After you've gathered the information, document any evidence that pertains to the prevention of counterfeit parts in the form fields below.

Now, you should assess the requirements for products and services

After you've gathered the information, document any evidence that pertains to the requirements for products and services in the form fields below.

After assessing the requirements for products and services, you should assess the customer communication.

After you've gathered the information, document any evidence that pertains to the customer communication in the form fields below.

Determine, review, changes

Now, you should assess the requirements for products and services.

After you've gathered the information, document any evidence that pertains to the requirements for products and services in the form fields below.

After assessing the requirements for products and services, you should assess the design and development of products and services.

After you've gathered the information, document any evidence that pertains to the design and development of products and services in the form fields below.

Now, you should assess the control of externally provided services and processes.

After you've gathered the information, document any evidence that pertains to the control of externally provided services and processes in the form fields below.

After assessing the control of externally provided services and processes, you should assess the type and extent of control.

After you've gathered the information, document any evidence that pertains to the type and extent of control in the form fields below.

Now, you should assess the information of external providers.

After you've gathered the information, document any evidence that pertains to the information of external providers in the form fields below.

After assessing the information of external providers, you should assess the production and service provision.

After you've gathered the information, document any evidence that pertains to the production and service provision in the form fields below.

Now, you should assess the control of production and service provision.

After you've gathered the information, document any evidence that pertains to the control of production and service provision in the form fields below.

After assessing the control of production and service provision, you should assess the identification and traceability.

After you've gathered the information, document any evidence that pertains to the identification and traceability in the form fields below.

Now, you should assess the property belonging to customers or external providers.

After you've gathered the information, document any evidence that pertains to the property belonging to customers or external providers in the form fields below.

After assessing the property belonging to customers or external providers, you should assess the preservation procedures.

After you've gathered the information, document any evidence that pertains to the preservation procedures in the form fields below.

Now, you should assess the post-delivery activities.

After you've gathered the information, document any evidence that pertains to the post-delivery activities in the form fields below.

After assessing the post-delivery activities, you should assess the control of changes.

After you've gathered the information, document any evidence that pertains to the control of changes in the form fields below.

Now, you should assess the release of products and services.

After you've gathered the information, document any evidence that pertains to the release of products and services in the form fields below.

After assessing the release of products and services, you should assess the control of nonconforming outputs.

After you've gathered the information, document any evidence that pertains to the control of nonconforming outputs in the form fields below.

Now, you should assess the systems and procedures for QMS monitoring.

After you've gathered the information, document any evidence that pertains to the systems and procedures for QMS monitoring in the form fields below.

After assessing the systems and procedures for QMS monitoring, you should assess the customer satisfaction.

After you've gathered the information, document any evidence that pertains to the customer satisfaction in the form fields below.

Now, you should assess the analysis and evaluation procedures.

After you've gathered the information, document any evidence that pertains to the analysis and evaluation procedures in the form fields below.

After assessing the analysis and evaluation procedures, you should assess the previous internal audits.

After you've gathered the information, document any evidence that pertains to the previous internal audits in the form fields below.

Now, you should assess the management review procedures.

After you've gathered the information, document any evidence that pertains to the management review procedures in the form fields below.

After assessing the management review procedures, you should assess the continuous improvement policy.

After you've gathered the information, document any evidence that pertains to the continuous improvement policy in the form fields below.

Now, you should assess the nonconformity and corrective action.

After you've gathered the information, document any evidence that pertains to the nonconformity and corrective action in the form fields below.

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• nmtgroup - Quality Systems Manual
• advisera - Applying AS9100 Rev D
• PJR - AS9100D revision 2016 
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• as9100store - Risk Management Guidance Material

• AS9100D Checklist (Mandatory Documentation for AS9100D)
• AS9100D Quality Management System Structure Template
• AS9100D Project Manager Meeting Planner Checklist
• AS9100D Risk Management Checklist
• AS9100C to AS9100D Transition Requirements Checklist