# AS9100 Internal Audit Checklist: Clause by Clause (Excel and PDF) > Source: https://netray.co/tools/as9100-internal-audit-checklist-by-clause > Publisher: Netray (netray.co), AI and integration engineering for ERP and manufacturing systems. > Section: Free Tools ## Short answer An editable AS9100D internal audit checklist, clause 4 to 10, with audit questions, evidence and results, plus a guide to building an audit plan. ## Category aerospace-defense ## Industry Aerospace ## Audience - Quality manager - Internal auditor ## Tool **Kind:** worksheet **Mode:** editable **Columns:** #### Clause **Key:** clause **Type:** text #### Audit question **Key:** question **Type:** text #### Evidence seen **Key:** evidence **Type:** text #### Result **Key:** result **Type:** select **Options:** - Conforms - Minor NC - Major NC - Observation - Not audited #### Auditee **Key:** auditee **Type:** text #### Audit date **Key:** date **Type:** date **Rows:** #### Are internal and external issues relevant to the QMS determined and monitored? **Clause:** 4.1 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-03 #### Is the QMS scope defined, including exclusions and their justification? **Clause:** 4.3 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-03 #### Are processes, inputs, outputs, owners and interactions defined, with risks addressed? **Clause:** 4.4 **Result:** Not audited **Auditee:** Process owners **Date:** 2026-11-03 #### Does top management show leadership, including on product conformity and on-time delivery? **Clause:** 5.1 **Result:** Not audited **Auditee:** General manager **Date:** 2026-11-04 #### Is the quality policy current, communicated and understood? **Clause:** 5.2 **Result:** Not audited **Auditee:** General manager **Date:** 2026-11-04 #### Are roles and authorities assigned, including a management representative with access to top management? **Clause:** 5.3 **Result:** Not audited **Auditee:** HR **Date:** 2026-11-04 #### Are risks and opportunities determined and actions planned and effective? **Clause:** 6.1 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-04 #### Are quality objectives measurable, tracked and aligned with the policy? **Clause:** 6.2 **Result:** Not audited **Auditee:** General manager **Date:** 2026-11-05 #### Are changes to the QMS planned and controlled? **Clause:** 6.3 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-05 #### Are monitoring and measuring equipment calibrated, traceable and labeled with status? **Clause:** 7.1.5 **Result:** Not audited **Auditee:** Calibration lead **Date:** 2026-11-05 #### Is organizational knowledge identified and maintained? **Clause:** 7.1.6 **Result:** Not audited **Auditee:** Engineering **Date:** 2026-11-05 #### Is competence defined, verified and recorded for roles affecting conformity? **Clause:** 7.2 **Result:** Not audited **Auditee:** HR **Date:** 2026-11-06 #### Is awareness of conformity, safety, ethical behavior and product safety demonstrated? **Clause:** 7.3 **Result:** Not audited **Auditee:** Shop supervisor **Date:** 2026-11-06 #### Are documented information controls applied, including retention and protection of records? **Clause:** 7.5 **Result:** Not audited **Auditee:** Document control **Date:** 2026-11-06 #### Are operational planning, configuration management, product safety and counterfeit part prevention addressed? **Clause:** 8.1 **Result:** Not audited **Auditee:** Program manager **Date:** 2026-11-09 #### Is contract review performed before commitment and are changes handled? **Clause:** 8.2.3 **Result:** Not audited **Auditee:** Sales **Date:** 2026-11-09 #### Are design and development controls applied, including verification and validation? **Clause:** 8.3 **Result:** Not audited **Auditee:** Engineering **Date:** 2026-11-09 #### Are external providers evaluated, approved, monitored and flowed down the required requirements? **Clause:** 8.4 **Result:** Not audited **Auditee:** Purchasing **Date:** 2026-11-10 #### Is production controlled, including first article inspection and special process validation? **Clause:** 8.5.1 **Result:** Not audited **Auditee:** Production manager **Date:** 2026-11-10 #### Is identification and traceability maintained through production and delivery? **Clause:** 8.5.2 **Result:** Not audited **Auditee:** Production manager **Date:** 2026-11-10 #### Is release of product verified against acceptance criteria and authorized by the right person? **Clause:** 8.6 **Result:** Not audited **Auditee:** Quality inspector **Date:** 2026-11-11 #### Are nonconforming outputs identified, controlled, dispositioned and recorded? **Clause:** 8.7 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-11 #### Is customer satisfaction, including on-time delivery and quality performance, monitored? **Clause:** 9.1.2 **Result:** Not audited **Auditee:** Sales **Date:** 2026-11-12 #### Is the internal audit program planned by risk and prior results, with independent auditors? **Clause:** 9.2 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-12 #### Does management review cover all required inputs and record decisions and actions? **Clause:** 9.3 **Result:** Not audited **Auditee:** General manager **Date:** 2026-11-12 #### Is root cause analysis done on nonconformities and corrective action effectiveness verified? **Clause:** 10.2 **Result:** Not audited **Auditee:** Quality manager **Date:** 2026-11-13 #### Is continual improvement evident in objectives, audits and reviews? **Clause:** 10.3 **Result:** Not audited **Auditee:** General manager **Date:** 2026-11-13 **Totals:** #### Questions in plan **Key:** clause **Agg:** count **Format:** integer **Notes:** Question wording summarizes requirements of AS9100D and is not the standard text. Use your licensed copy of AS9100D (SAE/IAQG) for exact requirements. Add rows for customer-specific requirements. ## Content **Intro:** This is an editable AS9100D internal audit checklist organized by clause 4 to 10. Add your evidence and result for each question, then export to Excel or PDF as your audit working paper. **Sections:** #### How to use the checklist and plan the audit **Body:** Start with an audit plan: scope, criteria (AS9100D and your own procedures), audit dates, auditors who are independent of the area, and the processes to be audited, scheduled by risk and past results. The date and auditee columns in this worksheet are your plan. Interview the process owner, ask to see records and follow one item through the process rather than reading the clause aloud. Record the evidence you saw so the result can be defended. **Bullets:** - Define scope, criteria and auditors before the first interview - Weight audit time toward high-risk or weak processes - Sample records from different dates and products - Trace at least one job from contract review to delivery #### Grading results **Body:** Use Conforms when evidence shows the requirement is met and effective. Use Minor NC for an isolated lapse or partial gap, and Major NC when a requirement is absent, a system failure exists or there is risk to product or customer. Use Observation for something that could become a problem. Your own procedure should define these terms, and each NC must go into corrective action with root cause, in line with clause 10.2. #### AS9100 specifics auditors probe **Body:** Compared with ISO 9001, AS9100D adds focus on product safety, counterfeit part prevention, configuration management, on-time delivery performance, first article inspection, special processes, key characteristics and flow-down to suppliers. Give those extra time. Also check that your internal audit program covers all clauses over the cycle and that results are fed into management review. #### Common mistakes **Body:** Auditors often check only for the existence of a procedure rather than its use, audit their own area, or write vague findings. A good finding states the requirement, the evidence and the gap. Another mistake is skipping follow-up, so confirm corrective actions are closed and effective before the next audit. **Cta:** Netray can add a private AI layer on your quality records so auditors can pull evidence across ERP and QMS data on-prem. Ask if you want to see how that works. **Faq:** #### How often must AS9100 internal audits be done? **Answer:** AS9100D requires audits at planned intervals based on process importance, changes and prior results. Many organizations cover all clauses at least annually and audit high-risk processes more often. Confirm with your certification body. #### Who can be an internal auditor? **Answer:** Someone competent and objective, who does not audit their own work. Train auditors on AS9100D and audit technique, and keep records of competence under clause 7.2. #### What should an audit plan include? **Answer:** Scope, criteria, schedule, auditors, auditees, the processes covered and the reporting method. Base the schedule on risk, past results and changes since the last audit. #### Does this replace the standard? **Answer:** No. The questions summarize requirements for audit use. Always refer to your licensed copy of AS9100D for exact text and add customer and regulatory requirements that apply. ## Search terms as9100 internal audit checklist, as9100 checklist for internal audits, as9100 quality audit checklist, as9100 checklist excel, as9100 pdf checklist, as9100 audit plan template, preparing for as9100 audit --- Talk to an engineer: https://netray.co/contact?intent=erp_ai | Machine catalog: https://netray.co/agent/catalog.json