Step-by-Step: AS9100 Internal Audit Process
1. Audit Planning
- Define audit scope, frequency, and responsibilities.
- Prioritize processes based on risk and criticality.
- Prepare an audit schedule for the year.
Sample sizing ensures auditors collect enough objective evidence to draw valid conclusions about process performance. AS9100D doesn’t specify a fixed number of records—it requires a risk-based approach. Higher-risk processes demand deeper review and direct observation, while stable, low-risk areas can rely on smaller samples.
2. Preparing the Audit
Gather relevant documentation, such as:
- Quality Manual
- Procedures and work instructions
- Previous audits, nonconformities, and actions
Use an AS9100 internal audit checklist to guide consistency.
3. Conducting the Audit
- Interview process owners
- Review evidence and documentation
- Observe actual activities and controls
- Evaluate process performance against objectives
4. Documenting Audit Findings
Capture:
- Conformities and strengths
- Nonconformities (linked to specific AS9100 clauses)
- Opportunities for improvement
Use a standardized internal audit report template to record results.
5. Corrective Action Process
- Initiate Corrective Action Requests (CARs)
- Perform root cause analysis
- Implement and verify effectiveness of fixes
6. Management Review & Follow-Up
Audit results must be reviewed by leadership, and unresolved issues must be tracked and re-audited.
AS9100 Audit Checklist
An effective AS9100 audit checklist helps auditors stay aligned with AS9100 Rev D and ensures coverage of all relevant clauses. Your checklist should include:
- Organizational Context (Clause 4)
- Leadership and Quality Policy (Clause 5)
- Planning and Risk Management (Clause 6)
- Operational Control and Configuration Management (Clause 8)
- Performance Monitoring and Nonconformity (Clause 9 & 10)
Internal Audit Template
A practical internal audit template should include:
- Audit Plan (process, auditor, date, scope)
- Evidence/Observation Log
- Clause reference numbers
- Nonconformity log with severity
- Signoff and corrective action summary
This ensures that audits are traceable, repeatable, and audit-ready for external certification bodies.
How It Ties into ISO 19011 Audit Process
AS9100 internal audits should follow the principles of ISO 19011:2018, the international standard for auditing management systems. ISO 19011 emphasizes:
- Auditor competence and impartiality
- Risk-based audit planning
- Evidence-based conclusions
- Ethical conduct and confidentiality
Following ISO 19011 makes your audits stronger and more aligned with registrar expectations.
Aerospace QMS Audit Expectations
The aerospace QMS audit, internal or external, is stricter than many other industries. Auditors focus on:
- Risk-based thinking throughout operations
- Counterfeit part prevention
- Configuration management and traceability
- Supplier controls and tiered oversight
- Evidence of continual improvement and leadership engagement
A strong internal audit process ensures you’re ready for OASIS database registration and third-party certification audits.
Avoiding Common Mistakes
- Auditing your own department (violates objectivity)
- Skipping interviews or on-the-floor observation
- Not linking findings to customer impact or risks
- Ignoring follow-up on past issues
Conclusion
The AS9100 internal audit process isn’t just about compliance—it’s your organization’s best opportunity to identify problems before your customers or regulators do. By using the right checklists, templates, and audit approach, you can maintain certification, improve processes, and stay ahead of the competition.
Ronnie Lee Roberts II has worked in the Department of Defense (DoD) quality space since 2017, supporting programs at Patuxent River and Webster Field (NAWCAD/NAVAIR). He has worked as a certified AS9100:2016 Rev D Lead Auditor (2022-2025), ISO/IEC 20000-1:2018 Lead Auditor (TPECS [2023]), and a Certified CMMI® Associate (2025) with experience supporting CMMI-DEV Level 3 environments. His expertise spans technical writing, document control, CAD design, logistics management, and quality control. Ronnie specializes in inspecting to specification, ensuring contract compliance, and preparing teams for success in high-stakes, audit-ready environments.
