AS9100 Document Control Procedure Example with KPIs and Audit Plan
This pack gives you a working AS9100 document control procedure and the supporting artifacts auditors ask for: a process interaction table, a KPI list and an audit plan with time schedule. Fill in the fields, edit the rows, and export to Word or PDF.
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AS9100 Document Control Procedure and Template Pack
Document Control Procedure QP-4.2-01 Rev C
Company: Acme Aerospace Components Ltd Process owner: Quality Manager
1. Purpose and scope
This procedure defines how Acme Aerospace Components Ltd creates, approves, issues, changes, distributes, protects and retires documents of the quality management system, including documents of external origin such as customer drawings, specifications and standards. It applies to all sites and processes in the certified scope.
2. Responsibilities
The process owner (Quality Manager) approves this procedure and appoints the document controller. Process owners approve documents in their area. All employees use only the current released revision.
3. Method
a) Identification: each document has a number, title, revision, date and approver. b) Review and approval: documents are reviewed for adequacy and approved before release. c) Distribution: controlled copies are made available in ERP document module and controlled network drive. Printed copies are uncontrolled unless stamped. d) Changes: a change request describes the change; the revision history records what changed and why. Obsolete versions are removed from points of use and, if retained, marked obsolete. e) External documents: customer and regulatory documents are logged, and revision status is checked when a purchase order or contract is accepted. f) Records are kept in legible form, protected from loss, with retention of 10 years after last delivery, or longer if the customer requires.
4. Process interaction table
| Process | Input from | Output to | Owner | Key records |
|---|---|---|---|---|
| Contract review | Customer | Planning | Sales manager | Reviewed order, risk record |
| Planning and scheduling | Contract review | Production | Planner | Work order, routing |
| Purchasing | Planning | Receiving | Buyer | Approved supplier list, PO flowdown |
| Production and special processes | Planning, purchasing | Inspection | Production manager | Traveler, process records |
| Inspection and release | Production | Shipping | Quality manager | FAI, inspection report, CoC |
| Delivery and support | Inspection | Customer | Logistics manager | Packing list, delivery record |
5. KPI list
| KPI | Definition | Target | Frequency | Owner |
|---|---|---|---|---|
| On-time delivery | Lines shipped on or before promise date divided by lines due | 95% | Monthly | Logistics manager |
| Quality escapes | Customer returns per million parts shipped | Below 500 | Monthly | Quality manager |
| Supplier on-time and quality | Receipts accepted on time divided by receipts due | 95% | Monthly | Buyer |
| First pass yield | Parts passing inspection first time divided by parts inspected | 98% | Weekly | Production manager |
| Corrective action closure | Corrective actions closed within due date divided by total due | 90% | Quarterly | Quality manager |
6. Audit plan
Audit start: 2026-11-09 Lead auditor: A. Singh Scope: Contract review, production control, special processes, inspection Criteria: AS9100 and company procedures Method: interviews, record sampling, process observation and trace of at least one order from contract review to delivery.
| Time | Process / clause area | Auditee | Auditor |
|---|---|---|---|
| Day 1 09:00 | Opening meeting, scope, context and risk | Top management | A. Singh |
| Day 1 10:30 | Contract review and customer requirements | Sales manager | A. Singh |
| Day 1 13:30 | Planning, configuration management | Planner | A. Singh |
| Day 2 09:00 | Production, special processes, FAI | Production manager | A. Singh |
| Day 2 13:00 | Purchasing and supplier control, counterfeit parts | Buyer | A. Singh |
| Day 2 15:30 | Closing meeting, findings, action dates | Top management | A. Singh |
Sample wording, not a certified procedure. Paraphrase and adapt to your own processes; do not copy clause text from the standard. Allocate audit time by risk and past performance, and confirm requirements with your registrar.
Automate AS9100 KPI reporting
See how KPIs such as on-time delivery can be calculated from your ERP without exporting to spreadsheets.
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What the document control procedure must cover
AS9100 expects documented information to be identified, reviewed, approved, available at points of use, protected and controlled for changes and retention. Aerospace adds specifics: controlling documents of external origin such as customer drawings and specifications, verifying revision status at contract acceptance, and keeping records for the period customers or regulators require. The sample procedure above covers each element in plain language that you can adapt.
- Unique identification, revision and approval on every document
- Current revision at point of use, obsolete copies removed or marked
- Customer and regulatory documents logged with revision check
- Records protected, retrievable and retained for a defined period
Process interactions and KPIs
A process interaction table (often drawn as a turtle diagram or flowchart) shows inputs, outputs, owners and records for each process, which is the quickest way to prove you understand how the system flows. Pair each process with a measurable KPI. Aerospace customers care most about on-time delivery and quality escapes, so start there and add supplier performance, first pass yield and corrective action closure.
Building an audit plan that works
An internal audit plan lists scope, criteria, method, date and time, auditee and auditor for each session. Schedule high-risk processes more often, such as special processes, and keep auditors independent of the area audited. Trace one real order end to end, because it exposes handoff gaps that process-by-process questions miss. Record evidence, not opinions, and agree finding due dates at the closing meeting.
Frequently Asked Questions
Is a documented document control procedure mandatory in AS9100?
AS9100 requires control of documented information, but it does not force a specific procedure format. Most registrars and customers expect a written procedure because it is the simplest way to prove the control exists and is followed.
What KPIs should an AS9100 company track?
At minimum track on-time delivery and product conformity, then add supplier performance, first pass yield, customer complaints and corrective action closure. Customers often provide their own scorecards, so align definitions with them.
How long is a typical AS9100 audit?
Registrars set audit days based on headcount, sites and complexity. A small shop may need two to four days for the initial audit, larger sites more. Internal audits are shorter and spread across the year according to risk.
Can I copy the standard's wording into my procedure?
No. The standard is copyrighted. Describe what your company does in your own words and reference the clause number. Auditors want to see your actual practice, not a repeat of the requirement.
Netray can connect a private on-prem AI layer to your ERP so on-time delivery, supplier and nonconformance KPIs are calculated from live data rather than assembled by hand.
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