QMS: Questions to Ask for AS9100 Audit on Clause 9.2

Clause 9.2 of AS9100 Rev D requires organizations to establish and maintain an internal audit program that ensures their quality management system (QMS) conforms to both the organization’s requirements and the standard itself. It also confirms that the QMS is effectively implemented and maintained.

Internal audits are not just a certification checkbox. They are a critical management tool for finding weaknesses, driving improvement, and preparing for external audits. Below we’ll explain clause 9.2 in plain language, then provide a structured set of questions to ask for AS9100 audit on clause 9.2 that align with the exact requirements of the standard.

Clause 9.2 Explained in Plain Language

9.2.1 requires organizations to conduct internal audits at planned intervals to confirm:

• The QMS conforms to organizational requirements (including customer, statutory, and regulatory requirements).
• The QMS conforms to AS9100 requirements.
• The QMS is effectively implemented and maintained, with performance indicators available to support this.

9.2.2 requires that organizations:

• Plan and maintain an audit program that considers process importance, organizational changes, and past audit results.
• Define criteria and scope for each audit.
• Select auditors to ensure objectivity and impartiality.
• Report audit results to relevant management.
• Take correction and corrective actions promptly.
• Retain documented information as evidence of the audit program and results.

Categorized Audit Questions for Clause 9.2

Here are sample questions aligned with each requirement of 9.2.1 and 9.2.2.

Planning of Audits

• Is there a documented internal audit program that covers all QMS processes at planned intervals?
• How does the organization determine the frequency of audits?
• Are previous audit results and process risks considered when planning?
• Is there evidence that audit schedules are updated when processes or organizational changes occur?

Audit Criteria and Scope

• For each audit, are the scope and criteria clearly defined in advance?
• Do audit plans reference both the organization’s QMS requirements and AS9100 clauses?
• Is there evidence that customer, statutory, and regulatory requirements are considered?

Competence of Auditors

• What process is used to qualify auditors?
• Do records show that auditors are trained in AS9100 and internal audit techniques?
• How is auditor competence periodically evaluated?

Objectivity and Impartiality

• Are auditors assigned to areas where they are independent of the activity being audited?
• Are there documented measures to prevent conflicts of interest?
• How is impartiality verified before audits begin?

Reporting of Results

• How are audit findings documented and communicated to management?
• Is there evidence that audit results are reviewed at appropriate levels of leadership?
• Are opportunities for improvement documented as well as nonconformities?

Correction and Corrective Actions

• Are nonconformities addressed without undue delay?
• Is there a documented process for initiating and tracking corrective actions?
• Are corrective actions verified for effectiveness?
• Does the audit program include follow-up audits where needed?

Documented Information

• Are records of audit plans, checklists, reports, and corrective action tracking retained?
• Can the organization demonstrate evidence of audit results over time?
• Are audit records readily accessible for external certification auditors?

Practical Tips for Internal Audits

• Use objective evidence: Always ask for records that prove compliance, such as audit schedules, completed checklists, or competence records.
• Spot red flags: Repeated findings with no effective resolution, gaps in audit coverage, or auditors reviewing their own work.
• Link to performance indicators: Audits should reference data such as defect rates, delivery performance, and customer complaints to demonstrate effective implementation.
• Engage auditees: Ask employees how audits affect their work and if they understand why audits are performed.

Also consider these human factors when auditing within your organization:

• Audit the system, not the people: The goal is to evaluate how well the quality management system (QMS) is functioning, not to criticize individuals. Phrase questions in terms of process performance instead of personal actions.
• Example: Ask “How is this procedure followed in daily work?” instead of “Why didn’t you do this step?”
• Do not use names in reports: Audit findings should describe processes, evidence, and results — not individuals. Instead of writing “John Smith failed to complete the form,” use wording such as “The required form was not completed as specified in procedure QP-7.1.” This maintains neutrality and avoids personal blame.

Templates and Checklists

In order to strengthen your audit program, use structured tools such as:

• Annual Audit Program – schedule of processes, frequency, and auditors.
• Clause 9.2 Audit Checklist – broken into planning, competence, impartiality, reporting, and corrective action sections.
• Audit Report Form – to capture findings, classify nonconformities, and track follow-up actions.
• Corrective Actions(s) Log – track nonconformities and encourage follow-up to close these findings in a timely manner.

Having templates not only supports compliance but also ensures consistency across multiple auditors.

Conclusion

The right questions to ask for AS9100 audit on clause 9.2 go beyond compliance—they help organizations measure how effectively their quality management system is working. By focusing on planning, auditor competence, impartiality, reporting, and corrective actions, internal audits become a driver of continual improvement.

When done well, clause 9.2 audits provide management with the insight needed to strengthen performance and maintain aerospace quality standards.

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.

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