AS9100C(2009)

INTERNAL AUDIT PROGRAM

AS9100 is a quality management standard for aerospace, aviation, space, and defence sectors.

Introduction to Audit Program

Our Audit Program has five parts:

AS9100C(2009) Compliance Audit Program
AS9100C(2009) Policy Audit Program
AS9100C(2009) Procedures Audit Program
AS9100C(2009) Process Audit Program
AS9100C(2009) 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 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 page will introduce our AS9100C(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 internal quality management audit program.

AS9100C(2009) INTERNAL AUDIT PROGRAM TITLE 72 TABLE OF CONTENTS
PART	INTRODUCTION	PAGE
1	Introduction to Standard	4
2	Introduction to Audit Program	7
A	AS9100C 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	AS9100C 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	AS9100C 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	AS9100C 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	AS9100C 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 © 2009 BY PRAXIOM RESEARCH GROUP LIMITED	VER 1.0

Overview of AS9100C Compliance Audit Program

Our Compliance Audit Program uses questions to list the AS9100C
quality management system requirements. Like AS9100’s five sets
of requirements, our Audit Program consists of five separate
questionnaires:

General Audit Questionnaire
Management Audit Questionnaire
Resource Audit Questionnaire
Realization Audit Questionnaire (SAMPLE)
Remedial Audit Questionnaire

Our audit starts with section 4 because AS9100C requirements start there.

In general, our Compliance Audit Program asks two types of questions:
questions that specify AS9100C 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.

Overview of AS9100C Policy Audit Program

Our AS9100C Policy Audit covers the following topics:

Management
Documentation
Usability
Training
Implementation
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.

Overview of AS9100C Procedures Audit Program

Our AS9100C Procedures Audit covers the following topics:

Management
Documentation
Content
Compliance
Usability
Training
Control
Records
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.

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.

Overview of AS9100C Process Audit Program

Our AS9100C Process Audit covers the following topics:

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

Clause 4.1 of AS9100C 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:

Quality management process
Resource management process
Training and awareness process
Product purchasing management process
Design and development process
Risk management process
Work transfer control process
Production management process
Service provision process
Product management process
Customer relationship management process
Internal quality management audit process
Monitoring and measuring process
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 an 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.

Overview of AS9100C Records Audit Program

Our Records Audit Program is partly based on the ISO 15489-1
records management standard and covers the following topics:

Management
Initiation
Recording
Revisions
Access
Maintenance
Retention
Destruction
Reporting
Usability
Authenticity
Protection
Continuity
Training
Auditing
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 in your situation.

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.

Our AS9100C 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 AS9100C.

SAMPLE AUDIT QUESTIONS

A. COMPLIANCE AUDIT PROGRAM

3. AS9100C 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 ...

Now that you know what our internal audit
program looks like, please consider purchasing
Title 72: AS9100C(2009) Internal Audit Program.

If you purchase our AS9100C(2009) Audit Program, you'll find
that it's integrated, detailed, exhaustive, and easy to understand.
You'll find that we've worked hard to create a high quality product.
In fact, we guarantee the quality of our audit program!

Title 72 can be delivered to you on CD or as an email attachment.
Title 72 is 216 pages long and comes in pdf and MS doc file formats.

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OTHER AS9100C PAGES

Introduction to Aerospace QMS Standard

Overview of AS9100C(2009) QMS Standard

Plain English Quality Management Definitions

AS9100C Standard Translated into Plain English

How to Upgrade to the new QMS Standard

How to Audit your QMS Audit Program

Aerospace QMS Gap Analysis Tool

OTHER AUDIT TOOLS

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Updated on September 30, 2012. First published on August 31, 2009.
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