Resource Library/Audit Readiness and Internal Audit/Clause-by-Clause Internal Audit Checklist
Clause-by-Clause Internal Audit Checklist
An audit question and a practical test for every AS9100D clause, from 4.1 to 10.3, with space for the evidence you examined, a plain result, the finding type and its reference.
- Excel
- fillable PDF
- Worked example
- Your logo on it
- Aegis Insights
Page 1 of the PDF. Every resource includes a fully worked example.
The problem it solves
Internal audit checklists are often the clauses of the standard turned into questions that can be answered 'yes' from a desk: is there a procedure, is there a policy. They miss the floor, they invite yes-or-no answers with no evidence, and they produce audits that find nothing. This checklist gives you, clause by clause, a question written to be tested and a way to test it: what to ask, what to pull, what to pick up on the floor. You record the evidence you examined, choose a plain result (Conforms, Partial, Gap or N/A), and classify each finding, so the audit report writes itself from the lines.
Who uses it
Internal auditors doing a clause-based system audit, and quality managers checking that every clause of the standard is covered by the audit program.
When
Once a year as a system audit across the standard, before recertification, when a new quality manager takes over, or for the clauses a process audit doesn't reach. For most audits of a single process, use the Process Audit Checklist (AQL-A07).
Free to use, change and copy, in your own organization or with your clients; add your own logo, keep the Aegis credit. Part of: Internal Audit Execution Kit. Clause references: 4 to 10 (every clause, by number) (numbers only; use your own licensed copy of the standard).
A management aid, not certification or a registrar audit. Using it does not by itself show conformity to AS9100D or any other standard.
How to put it to work
Chapters of our free guides that use this tool.
- The Internal Audit Execution workflowThe Internal Audit Execution Kit Handbook, chapter 2
- Building the programThe Internal Audit Execution Kit Handbook, chapter 4
- Planning an auditThe Internal Audit Execution Kit Handbook, chapter 6
- Running the programThe Internal Audit Execution Kit Handbook, chapter 12
- Quick referenceThe Internal Audit Execution Kit Handbook, chapter 17
- The kit at a glanceThe Internal Audit Execution Kit Handbook, chapter 18
Related resources
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Workbook
AS9100D Gap Analysis Workbook
A self-assessment against every AS9100D clause, from 4.1 to 10.3: our own question and the evidence to look for on each line, your status, and an action plan for every gap, with plain counts.
Excel · PDFFree by email -
Workbook
Internal Audit Program and Audit Plan Workbook
Plan the year's internal audits from your process list and its risks, keep every audit on schedule, know who is qualified to audit what, and issue a plan for each audit before it starts.
Excel · PDFFree by email -
Checklist
Process Audit Checklist
Audit one process the way it actually runs: its inputs, outputs, equipment, people, methods, measures and risks, a real job followed through it, and a finished part checked again.
Excel · PDFFree download -
Guide
Audit Finding Classification Guide
How to decide whether what you found is a major nonconformity, a minor one, an opportunity for improvement or an observation, and how to write each finding so the process owner can act on it.
Word · PDFFree download -
Template
Audit Nonconformity Response Template
Answer an audit nonconformity, internal, customer or registrar, with a response the auditor can accept: correction, extent, root cause, why it wasn't caught, a corrective action plan, and how you will show it worked.
Word · PDFFree download -
Template
Internal Audit Report Template
A report that a process owner can act on and a registrar can follow: scope and criteria, a plain conclusion on the process, each finding with its evidence, what works well, what was sampled, and the follow-up of earlier findings.
Word · PDFFree download
Need more than one resource, or not sure where to start? Book a complimentary 30-minute Aegis Quality Guidance Call. We'll find the tools that fit your situation and a sensible place to start. No sales pressure, no obligation.
These tools help you run the work by hand. When you want the whole picture of your quality system from the records you already keep, that's what the AeroAssure Audit Defense Pack and the IA9100 Transition Gap Analysis do.