AS9100D Internal Auditing Process - A Step-by-Step Guide to Effective Aerospace Audits
Introduction
The AS9100D standard is essential for ensuring quality and safety in aerospace manufacturing and services. Conducting internal audits to assess compliance with AS9100D is a systematic process that helps organizations uphold quality standards, improve processes, and manage risks effectively. This article provides a step-by-step guide to the AS9100D internal auditing process, from planning to follow-up, to support internal auditors in executing thorough and impactful audits.
Table of Contents
Step 1: Preparing for the AS9100D Audit
Preparation is critical for a successful AS9100D internal audit, as it defines the audit’s scope, objectives, and methodology. Key preparation activities include:
- Defining Audit Objectives and Scope: Clearly outline what the audit aims to achieve, such as verifying compliance with specific AS9100D clauses, identifying process gaps, or assessing risk management practices.
- Reviewing Documentation: Examine relevant QMS documents, including process flowcharts, quality policies, and previous audit reports, to familiarize yourself with the organization’s processes.
- Developing an Audit Plan: Create a structured audit plan that outlines the timeline, resources, and areas to be audited. This plan serves as a roadmap, ensuring the audit is organized and thorough.
- Assembling the Audit Team: Select team members with expertise in relevant areas, ensuring that they understand AS9100D requirements and have the skills needed to evaluate complex aerospace processes.
Proper preparation enables auditors to conduct focused, efficient audits. For further guidance on audit planning, explore QMII’s AS9100 Internal Auditor Training.
Step 2: Conducting the On-Site Audit
The on-site audit is where auditors observe processes, interview personnel, and gather data to assess compliance. Essential steps in this phase include:
- Conducting Facility Walkthroughs: Observe operations in real-time, checking whether procedures are followed and noting any deviations or risks to product safety or quality.
- Interviewing Key Personnel: Speak with employees involved in critical processes to gain insights into their understanding of AS9100D requirements, quality policies, and risk management practices.
- Verifying Process Controls: Evaluate whether operational controls are in place and functioning as intended to manage risks and meet AS9100D requirements.
- Documenting Observations: Take detailed notes on findings, including areas of compliance, non-conformities, and opportunities for improvement.
The on-site audit provides a comprehensive view of the QMS in action. QMII’s AS9100 Internal Auditor Training offers practical tips for effective on-site assessments.
Step 3: Collecting and Analyzing Evidence
Collecting accurate and sufficient evidence is vital to support audit findings and recommendations. Key practices for evidence collection include:
- Gathering Quantitative Data: Collect measurable data, such as defect rates or process times, to provide objective insights into process performance.
- Reviewing Records and Logs: Examine records related to quality control, supplier performance, and corrective actions to verify adherence to AS9100D requirements.
- Cross-Referencing Data: Validate evidence by cross-checking data from different sources, ensuring the accuracy and reliability of findings.
- Analyzing Non-Conformities: For each non-conformance, conduct a root cause analysis to understand its origin and recommend appropriate corrective actions.
Effective evidence collection supports robust audit outcomes. For techniques on evidence gathering, QMII’s training program provides in-depth instruction.
Step 4: Reporting Findings and Recommendations
Once the audit is complete, the auditor prepares a report summarizing findings, non-conformities, and recommendations for improvement. Key components of the report include:
- Executive Summary: Provide an overview of the audit’s objectives, scope, and key findings for management’s review.
- Detailed Findings: List each non-conformance, supported by specific evidence and aligned with the relevant AS9100D clauses.
- Actionable Recommendations: Suggest corrective and preventive actions to address non-conformities and enhance compliance.
- Compliance Status: Clearly indicate areas where the organization meets AS9100D requirements and any areas needing further attention.
A well-organized report ensures stakeholders understand the audit’s findings and the steps required for improvement. For reporting guidance, refer to QMII’s AS9100 training course.
Step 5: Follow-Up and Continuous Improvement
Follow-up is essential to verify that corrective actions are implemented and effective. Key follow-up activities include:
- Scheduling Follow-Up Audits: Plan subsequent audits to assess the effectiveness of corrective actions taken to address previously identified non-conformities.
- Tracking Corrective Actions: Ensure that corrective actions are completed within the designated timeline and address the root causes of issues.
- Monitoring Continuous Improvement: Identify additional improvement opportunities and encourage departments to regularly evaluate and enhance their processes.
Follow-up audits promote a culture of continuous improvement, reinforcing the organization’s commitment to quality. QMII’s AS9100 Internal Auditor Training covers best practices for follow-up and continuous improvement in aerospace quality audits.
Frequently Asked Questions
What are the main steps in the AS9100D auditing process?
The main steps include preparing for the audit, conducting the on-site audit, collecting and analyzing evidence, reporting findings, and conducting follow-up audits for continuous improvement.
How should findings be reported in an AS9100D audit?
Findings should be documented clearly, with an executive summary, detailed non-conformities, evidence, and recommendations for corrective actions, ensuring transparency and actionability.
Why is follow-up important in the AS9100D audit process?
Follow-up verifies that corrective actions are implemented and effective, supporting ongoing compliance with AS9100D standards and fostering continuous improvement.
