AS9100:2009*

INTERNAL AUDIT PROGRAM

 

*AS9100 is a quality management standard for the aerospace industry.
AS9100  is for organizations in the aviation, space, and defense industries.
 AS9100:2009 is also known as AS9100C, prEN9100:2009, and JIS Q 9100:2009.

Praxiom Research Group Limited

Introduction to AS9100 Audit Program

Our Audit Program is made up of five programs:

  1. AS9100 Compliance Audit Program
  2. AS9100 Policy Audit Program
  3. AS9100 Procedures Audit Program
  4. AS9100 Process Audit Program
  5. AS9100 Records Audit Program

Each of these five programs will be discussed below.

We begin with a table of contents. It shows how we've organized our
 AS9100 Internal Audit Program. While the content of each program
is different, the following table shows that each one of our five audit
programs is organized in the same way.

This web page will introduce our AS9100:2009 Internal Audit Program.
However, it will not present the complete audit program. Instead, it will
show you how our audit program is organized and it will explain how
it works. Once you've examined our approach, we hope you'll consider
purchasing our complete AS9100:2009 Internal Audit Program.

Our AS9100 Internal Audit Program (Title 72) is 216 pages
long, and is available in both pdf and MS doc file formats.

AS9100:2009 INTERNAL AUDIT PROGRAM

TITLE 72 TABLE OF CONTENTS

PART

INTRODUCTION

PAGE
1 Introduction to AS9100:2009 4
2 Introduction to Audit Program 7
A AS9100 COMPLIANCE AUDIT PROGRAM 16
1 Compliance Audit Procedure 16
2 Compliance Audit Profile 17
3 Compliance Audit Questions SAMPLE
HTML
4 Compliance Audit Scores 118
5 Compliance Audit Summary 119
6 Compliance Audit Conclusions 120
7 Compliance Audit Recommendations 121
8 Compliance Audit Implementation Record 122
B AS9100 POLICY AUDIT PROGRAM 123
1 Policy Audit Procedure 123
2 Policy Audit Profile 124
3 Policy Audit Questions 125
4 Policy Audit Scores 128
5 Policy Audit Summary 130
6 Policy Audit Conclusions 131
7 Policy Audit Recommendations 132
8 Policy Audit Implementation Record 133
C AS9100 PROCEDURES AUDIT PROGRAM 134
1 Procedures Audit Procedure 134
2 Procedures Audit Profile 135
3 Procedures Audit Questions 136
4 Procedures Audit Scores 142
5 Procedures Audit Summary 144
6 Procedures Audit Conclusions 145
7 Procedures Audit Recommendations 146
8 Procedures Audit Implementation Record 147
D AS9100 PROCESS AUDIT PROGRAM 148
1 Process Audit Procedure 148
2 Process Audit Profile 149
3 Process Audit Questions SAMPLE PDF
4 Process Audit Scores 193
5 Process Audit Summary 195
6 Process Audit Conclusions 196
7 Process Audit Recommendations 197
8 Process Audit Implementation Record 198
E AS9100 RECORDS AUDIT PROGRAM 199
1 Records Audit Procedure 199
2 Records Audit Profile 200
3 Records Audit Questions 201
4 Records Audit Scores 209
5 Records Audit Summary 211
6 Records Audit Conclusions 212
7 Records Audit Recommendations 213
8 Records Audit Implementation Record 214
F ADMINISTRATIVE INFORMATION 215
AUG 2009 COPYRIGHT Ó 2009 BY PRAXIOM RESEARCH GROUP LIMITED  VER 1.0

AS9100 Compliance Audit Program

Overview of AS9100 Compliance Audit Program
Our Compliance Audit Program uses questions to list the AS9100
quality management system requirements. Like AS9100’s five sets
of requirements, our Audit Program consists of five separate
questionnaires:
  1. General Audit Questionnaire
  2. Management Audit Questionnaire
  3. Resource Audit Questionnaire
  4. Realization Audit Questionnaire (SAMPLE)
  5. Remedial Audit Questionnaire

Our audit starts with section 4 because AS9100 requirements start there.

In general, our Compliance Audit Program asks two types of questions:
questions that specify AS9100 mandatory quality management system
requirements and questions that specify requirements that may be excluded
 or ignored under some circumstances. Questions that point to mandatory
requirements allow two response options: YES or NO, while questions that
specify requirements that may be excluded offer three response options:
YES, NO, or N/A. An N/A response option is provided because you may
exclude or ignore some requirements if you can justify doing so.

YES answers mean you’re in compliance with the standard, NO answers
mean you’re not in compliance, and N/A answers mean that a question is
not applicable in your case. NO answers to Compliance Audit questions
point to compliance problems (also known as nonconformities or
noncompliances).

Once you’ve answered all the Compliance Audit Questions, you’re ready
to summarize your audit, calculate compliance scores, draw general audit
conclusions, and make and implement recommendations to address your
compliance problems.

AS9100 Policy Audit Program

Overview of AS9100 Policy Audit Program
Our AS9100 Policy Audit covers the following topics:
  1. Management
  2. Documentation
  3. Usability
  4. Training
  5. Implementation
  6. Changes

Start by selecting a policy that you want to audit. Then prepare your Policy
Audit Profile. Before you begin answering policy audit questions, please
record the name of this policy at the top of the Policy Audit questionnaire.
This will help to maintain the focus of your audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to policy performance problems, YES answers identify positive areas, while
N/A responses identify questions that are not applicable in your situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your internal audit, calculate policy performance scores, draw general audit
conclusions, and make and implement recommendations to address your
policy performance problems.

AS9100 Procedures Audit Program

Overview of AS9100 Procedures Audit Program
Our AS9100 Procedures Audit covers the following topics:
  1. Management
  2. Documentation
  3. Content
  4. Compliance
  5. Usability
  6. Training
  7. Control
  8. Records
  9. Changes

Start by selecting a procedure that you want to audit. Then prepare
your Procedures Audit Profile. Define the scope of your audit, identify
the participants, and prepare a brief audit plan.

Before you begin answering procedures audit questions, please record
the name of this procedure at the top of the Audit questionnaire. This
will help auditors to maintain the focus of their audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to procedural performance problems, YES answers identify positive areas,
while N/A responses identify questions that are not applicable in your
situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate procedural performance scores, draw general audit
conclusions, and make and implement recommendations to address your
procedural performance problems.

AS9100 Process Audit Program

Overview of AS9100 Process Audit Program

Our AS9100 Process Audit covers the following topics:

  1. Develop Process >>> SAMPLE PDF
    1. Organization
    2. Documents
    3. Outputs
    4. Inputs
    5. Information
    6. Monitoring
    7. Measurement
    8. Training
    9. Resources
  2. Implement Process
    1. Management
    2. Competence
    3. Communication
    4. Infrastructure
    5. Records
  3. Maintain Process
    1. Management
    2. Competence
    3. Information
    4. Communication
    5. Infrastructure
    6. Records
  4. Control Process
    1. Management
    2. Outputs
    3. Inputs
    4. Monitoring
    5. Measurement
  5. Evaluate Process
    1. Scope
    2. Focus
    3. Methods
  6. Improve Process
    1. Information
    2. Methods
    3. Implementation
    4. Management

Clause 4.1 of AS9100 makes it clear that organizations must identify
and manage the processes that make up their quality management
systems. Therefore, the process approach is now a requirement.

The process approach is a management strategy. When managers use
a process approach, it means that they manage the processes that make
up their organization, the interaction between these processes, and the
inputs and outputs that “glue” these processes together.

But, what’s a process, and what are inputs and outputs? Briefly put, a
process uses inputs to generate outputs. Or, more precisely, a process is
an integrated set of activities that uses resources to transform inputs into
outputs. A system exists whenever several processes are interconnected
using such input-output relationships.

Processes are interconnected because the output from one process
becomes the input for another process. In effect, processes are “glued”
together by means of such input-output relationships. And because the
output of one process becomes the input of another process, inputs and
outputs are really the same thing. In general, there are three basic types
of inputs/outputs: products, services, and information.

Below you will find a list of some of the processes that can
be audited using our Process Audit Program:

  1. Quality management process
  2. Resource management process
  3. Training and awareness process
  4. Product purchasing management process
  5. Design and development process
  6. Risk management process
  7. Work transfer control process
  8. Production management process
  9. Service provision process
  10. Product management process
  11. Customer relationship management process
  12. Internal quality management audit process
  13. Monitoring and measuring process
  14. Management review process

Of course, this does not exhaust the list of possible processes that could
be audited using our approach. Your organization’s processes will certainly
include many more processes that we have failed to mention.

Start your audit by selecting a process. Then prepare your Process Audit
Profile. Define the scope of your audit, prepare a brief audit plan, and identify
the inputs that are used by this process and the outputs that are generated.

Before you begin answering process audit questions, please enter
the name of your process at the top of the Process Audit questionnaire.
Three response options are provided: YES, NO, and N/A. NO answers
point to process performance problems, YES answers identify positive
areas, while N/A responses identify questions that are not applicable
in your situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate process performance scores, draw general audit
conclusions, and make and implement recommendations to address
your process performance problems.

AS9100 Records Audit Program

Overview of AS9100 Records Audit Program
Our Records Audit Program is partly based on the ISO 15489-1
records management standard and covers the following topics:
  1. Management
  2. Initiation
  3. Recording
  4. Revisions
  5. Access
  6. Maintenance
  7. Retention
  8. Destruction
  9. Reporting
  10. Usability
  11. Authenticity
  12. Protection
  13. Continuity
  14. Training
  15. Auditing
  16. Compliance

Start by selecting a set of records. Our Audit Program can be used to audit
virtually any type of record keeping system. Examples that you may wish to
consider include the following: training records, design records, production
records, service delivery records, measurement records, product traceability
records, audit records, manufacturing records, management review records,
and calibration records.

Once you’ve chosen which records to audit, you’re ready to prepare your
Records Audit Profile. Specify the scope of your audit, its location, the
participants, and prepare a brief audit plan.

Before you begin answering record keeping audit questions, please enter
the name of the records being audited at the top of the audit questionnaire.
This will help to ensure that the focus of the internal audit is maintained.
Three response options are provided: YES, NO, and N/A. NO answers
point to record keeping performance problems, YES answers identify
positive areas, while N/A responses identify questions that are not
applicable.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate record keeping performance scores, draw general
audit conclusions, and make and implement recommendations to
address your record keeping performance problems.

Praxiom

Our AS9100 Compliance Audit uses a black font to identify ISO 9001 questions
while this blue italic font is used to identify questions that are unique to AS9100.

SAMPLE AUDIT QUESTIONS

A. COMPLIANCE AUDIT PROGRAM

3. AS9100 COMPLIANCE AUDIT QUESTIONS

SECTION 7. REALIZATION AUDIT QUESTIONS

7.4 CONTROL PURCHASING AND PURCHASED PRODUCTS

7.4.1 ESTABLISH CONTROL OF YOUR PURCHASING PROCESS
1 Have you established criteria to control suppliers? YES NO N/A  
2   Did you establish criteria to select suppliers? YES NO N/A  
3   Did you establish criteria to evaluate suppliers? YES NO N/A  
4     Did you establish criteria to re evaluate suppliers? YES NO N/A  
5 Have you established a decision making process to
decide what approval status suppliers should have?		 YES NO N/A  
6   Did you assign responsibility and grant authority
to make supplier approval status decisions?		 YES NO N/A  
7   Do you use your suppliers’ approval status to define
the conditions that control the use of suppliers?		 YES NO N/A  
8   Did you define how changes in
supplier status will be handled?		 YES NO N/A  
9 Do you evaluate your suppliers’ ability to supply
products that meet your organization’s requirements?		 YES NO N/A  
10   Do you record supplier evaluations? YES NO N/A  
11     Do you record the results of supplier evaluations? YES NO N/A  
12     Do you record evaluation follow up actions? YES NO N/A  
13   Do you maintain a register of your suppliers? YES NO N/A  
14     Do you record your suppliers’ approval status? YES NO N/A  
15       Do you specify whether suppliers
have been approved or disapproved?		 YES NO N/A  
16       Do you specify whether suppliers have
received a conditional approval?		 YES NO N/A  
17     Do you record the scope of supplier approvals? YES NO N/A  
18       Do you specify what types of
products have been approved?		 YES NO N/A  
19       Do you specify what types of
processes have been approved?		 YES NO N/A  
20 Do you select suppliers that are capable of supplying products that meet your organization’s requirements? YES NO N/A  
21   Do you determine the risk associated
with the selection and use of suppliers?		 YES NO N/A  
22     Do you manage the risk suppliers pose? YES NO N/A  
23 Do purchased products meet
specified purchase requirements?		 YES NO N/A  
24   Do you exert greater control over purchases
that influence your product realization process?		 YES NO N/A  
25     Do you exert greater control over suppliers who
can influence your product realization process?		 YES NO N/A  
26     Do you exert greater control over purchased
products that influence your organization’s
product realization process?		 YES NO N/A  
27   Do you exert greater control over purchases
that influence your organization’s final products?		 YES NO N/A  
28     Do you exert greater control over suppliers
who can influence your final products?		 YES NO N/A  
29     Do you exert greater control over purchased
products that influence your final products?		 YES NO N/A  
30 Do you use customer-approved special process
sources whenever this is a requirement?		 YES NO N/A  
31   Do you make sure that your organization uses customer-approved special process sources? YES NO N/A  
32   Do you make sure that all suppliers use customer-approved special process sources? YES NO N/A  
33 Do you periodically review supplier performance? YES NO N/A  
34   Do you use review results to help figure out what level
of controls should be used to control suppliers?		 YES NO N/A  
35   Did you define the actions that must be taken
whenever your suppliers fail to meet requirements?		 YES NO N/A  
36 Does your organization accept responsibility
for all purchased products?		 YES NO N/A  
37   Does your organization accept the responsibility
for ensuring that all purchased products conform
to requirements?		 YES NO N/A  
38     Do you accept responsibility for products
purchased from your own suppliers?		 YES NO N/A  
39     Do you accept responsibility for products purchased
from sources specified by your customers?		 YES NO N/A  
40 Etcetera ...        

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Title 72: AS9100:2009 Internal Audit Program

Now that you know what our internal audit
 program looks like, please consider purchasing
   Title 72: AS9100:2009 Internal Audit Program.
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OTHER AS9100 WEB PAGES

Introduction to AS9100 Quality Management Standard

Overview of AS9100:2009 Quality Management Standard

AS9100:2009 Plain English Aerospace QMS Definitions

AS9100:2009 Standard Translated into Plain English

How to Upgrade to the new AS9100:2009 Standard

AS9100:2009 QMS Gap Analysis Tool

AS9100 in Plain English Table of Contents

OTHER AUDIT TOOLS

Plain English Process Audit Program

ISO 9001 2008 Internal Audit Program

ISO 13485 2003 Internal Audit Program

ISO 14001 2004 Internal Audit Program

ISO 22000 2005 Food Safety Audit Program

ISO 28000 Supply Chain Security Audit Tool

ISO 27002 2005 Information Security Audit Tool

NFPA 1600 2007 Business Continuity Audit Program

OHSAS 18001 2007 Occupational Health and Safety Audit Program
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