AS9100 Internal Audit Checklist: Clause by Clause (Excel and PDF)
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.
| Clause | Audit question | Evidence seen | Result | Auditee | Audit date | |
|---|---|---|---|---|---|---|
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.
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How to use the checklist and plan the audit
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.
- 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
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
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
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.
Frequently Asked Questions
How often must AS9100 internal audits be done?
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?
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?
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?
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.
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.
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