# AS9100 Rev D Audit Readiness Checklist > Source: https://netray.co/tools/as9100-audit-readiness-checklist > Publisher: Netray (netray.co), AI and integration engineering for ERP and manufacturing systems. > Section: Free Tools ## Short answer A 30-point checklist for AS9100 Rev D certification and surveillance audits, weighted toward the aerospace-specific requirements where auditors write the most findings. ## Category aerospace-defense ## Tool **Kind:** checklist **Groups:** #### QMS Documentation and Context **Items:** **Text:** Quality manual or documented QMS scope reflects current operations, sites, and exclusions **Critical:** true Interested parties, internal/external issues, and risks are documented and periodically reviewed **Text:** All required documented information is controlled - current revisions at point of use, obsolete documents withdrawn **Critical:** true Quality objectives are measurable, deployed to functions, and progress is tracked Organization chart, roles, and QMS responsibilities are current and communicated Records retention meets customer and regulatory requirements (many aerospace contracts require 7-10+ years) #### Leadership, Planning, and Risk **Items:** Management review is conducted at planned intervals with all required inputs and documented outputs **Text:** Operational risk management (AS9100 clause 8.1.1) is applied to production and new work, not just an annual register **Critical:** true Actions from previous audits, management reviews, and CAPAs are closed with objective evidence Product safety (clause 8.1.3) responsibilities and processes are defined and personnel can explain them Ethical behavior and awareness of employee contribution to product conformity are promoted and evidenced #### Operations and Production Control **Items:** **Text:** First article inspection (per AS9102) is performed and documented for new or changed parts **Critical:** true **Text:** Work orders, routings, and travelers in the ERP match the actual process being run on the floor **Critical:** true Special processes (welding, heat treat, NDT, plating) are validated and performed by qualified personnel or Nadcap-approved sources Foreign object debris (FOD) prevention program is implemented and visible in production areas **Text:** Nonconforming product is identified, segregated, and dispositioned with required customer approvals (MRB authority documented) **Critical:** true Configuration management ensures the correct revision of drawings and specs is used at every operation Verification of purchased product includes raw material certs, and test reports are validated where required #### Supply Chain and Counterfeit Prevention **Items:** **Text:** Approved supplier list is current, with performance monitoring (OTD, quality) feeding supplier status **Critical:** true Counterfeit parts prevention process (clause 8.1.4) is documented and appropriate to your product risk Purchase orders flow down all applicable customer, regulatory, and AS9100 requirements to suppliers Supplier corrective actions are requested, tracked, and verified for effectiveness Customer-designated or directed sources are used where contractually required Raw material and component traceability is maintained to the level your contracts require #### Support, Competence, and Awareness **Items:** Competence records (training, qualifications, certifications) are current for all roles affecting conformity **Text:** Measurement equipment is calibrated, traceable to national standards, and recall status is enforced **Critical:** true Personnel can articulate the quality policy and how their work affects product safety and conformity Work environment and contamination controls match process requirements (ESD, cleanliness, humidity where applicable) Organizational knowledge is captured so critical process know-how does not walk out the door #### Performance Evaluation and Improvement **Items:** Internal audits cover the full QMS and all AS9100 clauses on a planned cycle, performed by trained auditors Customer satisfaction data (scorecards, OTD, escapes, complaints) is monitored and acted upon KPIs for process performance are tracked with actions where targets are missed **Text:** Corrective actions address root cause with effectiveness verification, not just containment **Critical:** true Counterfeit or suspect parts and significant escapes are reported as required (e.g., GIDEP, customer notification) **Scoring Note:** Certification bodies write the majority of aerospace findings against document control, risk-based thinking in operations, FAI, nonconforming product control, and calibration - the critical-flagged items above. Any unchecked critical item is a likely major or minor finding; treat more than three unchecked criticals as a signal to delay your audit date and remediate first. ## Content **Intro:** This free AS9100 audit readiness checklist helps aerospace and defense manufacturers prepare for Rev D certification, surveillance, or recertification audits. Thirty checkpoints span the full standard - QMS documentation, leadership and risk, production control, supply chain, competence, and improvement - and are weighted toward the aerospace-specific clauses where certification body auditors write the most findings: first article inspection, counterfeit parts prevention, product safety, FOD, and nonconforming product control. Use it as a pre-audit self-check with your quality team, or as the working agenda for your internal audit program in the quarter before the CB arrives. **Sections:** #### How to use this checklist before an audit **Body:** Work through the checklist eight to twelve weeks before your audit date, with evidence in hand rather than from memory - if you cannot point to the record, the auditor cannot either, and 'we do it but do not document it' is a finding. Assign each group to its process owner: quality for documentation and improvement, operations for production control, purchasing for supply chain, HR for competence. Then re-verify the critical items two weeks out, because these are the areas where a single lapse (an uncalibrated gauge on the floor, an obsolete drawing at a workstation, an unsegregated nonconforming part) produces findings regardless of how good your system looks on paper. Auditors sample reality, not intentions. #### Where AS9100 audits generate the most findings **Body:** Certification body data and registrar experience are consistent about where aerospace audits go wrong, and this checklist flags those areas as critical: **Bullets:** - Document and configuration control - wrong revisions at point of use remains the most common finding category in aerospace audits - Operational risk management (8.1.1) applied as a living process rather than a static risk register created for the last audit - FAI completeness under AS9102, especially delta FAIs after process or source changes that teams forget to trigger - Corrective action quality - containment mislabeled as root cause, and no effectiveness verification after closure #### Interpreting your gaps and deciding whether you are ready **Body:** Score pragmatically: unchecked non-critical items are audit risk you can manage with a documented action plan, and auditors generally respond well to self-identified issues already in your CAPA system. Unchecked critical items are different - each maps to clauses where findings are most frequently classified as major, and a major finding in certification stage 2 can delay certification by months while you remediate and the CB verifies. If more than three critical items are unchecked, the economically rational move is usually to push the audit date rather than absorb a failed stage 2, because remediating under a finding clock with customer visibility is more expensive than remediating on your own schedule. Feed every gap into your internal audit and CAPA processes so closure is itself evidenced. #### How Netray helps you pass and stay certified **Body:** A large share of AS9100 findings trace back to the ERP layer: travelers that do not match routings, revision control gaps between engineering and the floor, supplier performance data nobody trends, and traceability that breaks at receiving. Netray specializes in making Infor SyteLine, LN, and Baan do the QMS heavy lifting - enforced revision control, FAI triggers on new and changed items, supplier scorecards fed by live OTD and quality data, and full lot/serial traceability. We also deploy on-prem AI that drafts corrective actions, mines nonconformance trends, and audits traveler-versus-routing consistency automatically, so your quality team spends its time on prevention instead of paperwork before every audit. **Cta:** Work through the checklist with your process owners now, so your next AS9100 audit is a verification exercise instead of a discovery exercise. **Faq:** #### How is AS9100 different from ISO 9001, and do auditors really focus on the differences? **Answer:** AS9100 Rev D contains all of ISO 9001:2015 plus roughly 100 aerospace-specific additions: product safety, counterfeit parts prevention, operational risk management, configuration management, FOD, first article inspection, and stricter supplier control. Auditors absolutely concentrate on these additions, because that is what distinguishes an aerospace audit - a company that is solid on generic ISO clauses but weak on FAI, counterfeit prevention, or MRB authority will still accumulate findings quickly. #### What happens if we get a major finding during the audit? **Answer:** A major finding - a total breakdown of a process, or a minor left unresolved - must be closed with root cause analysis, corrective action, and objective evidence before certification is granted or maintained, typically within 60-90 days depending on the CB. In a certification audit, majors delay the certificate; in surveillance, an unclosed major can lead to suspension, which many aerospace customers treat as disqualifying. Self-identifying issues before the audit and having them in your CAPA system is the best protection. #### How often should we run internal audits against this checklist? **Answer:** AS9100 requires internal audits at planned intervals covering the whole QMS; most manufacturers run a rolling program that touches every process at least annually, with high-risk processes audited more often. A practical rhythm is quarterly internal audits covering a quarter of the checklist each cycle, plus a full-system pass 8-12 weeks before each CB visit. Frequency matters less than evidence quality - trained auditors, documented findings, and CAPAs verified for effectiveness. ## Search terms as9100 audit checklist, as9100 rev d requirements, as9100 certification preparation, aerospace quality management system, as9100 internal audit checklist, counterfeit parts prevention as9100, as9100 surveillance audit --- Talk to an engineer: https://netray.co/contact?intent=erp_ai | Machine catalog: https://netray.co/agent/catalog.json