The opening meeting: 15 minutes
| Item | What the lead auditor says or confirms |
|---|---|
| Purpose | We are auditing the process, not the people; we are looking for what works and what doesn't |
| Scope and criteria | As in the plan; anything changed since |
| Timetable | Where we'll be and when; the closing meeting time |
| Guide | Who walks with us; how we reach the process owner |
| How findings work | We'll raise anything we find as we go; nothing new at the closing meeting |
| Safety and access | PPE, restricted areas, anything we must not touch |
During the audit
- Start with a real job. Follow it backward to the order and forward to inspection (A07 part 8). It touches most questions in an hour and shows the process as it runs.
- Test, don't ask. Each checklist line has a test: something to pull, pick up or watch. Write the evidence examined before choosing the result.
- Log requests on the A04 Request log: what was asked, what was provided, how long it took. It becomes the evidence trail behind each finding.
- Talk to people at the work with open questions (A09). Put them at ease; thank honest answers.
- Raise concerns as you go. Tell the guide or process owner when something looks wrong, so they can show you any evidence you missed. Nothing should be new at the closing meeting.
- Hold an auditors' review before the closing meeting: agree every finding, its evidence and its type (A08), and the conclusion on the process.
Trails worth following
A trail starts from one thing on the floor or in a log and follows it into everything it depends on. These are the trails we come back to in machine shops, because each crosses several processes in an hour.
| Start from | Follow it to | What it tests |
|---|---|---|
| A job running on a machine | Traveler, drawing and order revisions; material certificate and heat; program revision; gauges; operator's qualification; first-piece record | Configuration, traceability, equipment, competence and production control in one pass |
| A gauge picked up at the machine | Its recall-list line, certificate, last out-of-tolerance result and the product it accepted | Whether calibration controls what is really used |
| The oldest open NCR | Its disposition, the hold area, any customer approval, the corrective action and its effectiveness check | Nonconforming product control and corrective action |
| A recent customer complaint | The response, containment, root cause, the action and whether it is in use on the floor | Customer focus and corrective action |
| A purchase order for a special process | The supplier's approval and scope, the flow-down clauses, the certification received, the receiving record | Supplier control and special process control |
| The last engineering change | Change approval, revised documents at the machine, first article on the change, old revisions withdrawn | Change control and document control |
| A new hire on second shift | Training matrix, qualification records, who signs off their work, who covers setups | Competence and supervision where it is thinnest |
| A shipped lot | Release records, certificate of conformity, packing requirement, the customer's receiving result | Release and preservation |
Second shift, special processes and suppliers
- Second shift and weekends. Plan at least part of every production audit outside office hours. Check who covers setup, inspection and supervision, and whether the same instructions and gauges are in use.
- Special processes. Audit against the process specification as well as the standard: the qualified operators, the process parameters recorded on every run, the test coupons and their results, and the revalidation triggers. Use the customer's own checklist where one exists.
- Suppliers. Audit the supplier's process for the work they do for you, with A07 adapted: their flow-down to their own sub-tier sources, their release of your product, and their response to your last corrective action request.
The auditors' review before the closing meeting
- Every checklist line in scope has evidence recorded and a result.9.2.2
- Every Partial or Gap has a finding type and a reference, or a note saying why it was not raised.
- Each nonconformity has its requirement, evidence and statement written.
- Each classification follows the A08 tests; repeats checked against earlier findings.10.2.1
- Containment is ready to ask for on every major.8.7.1
- The process owner has already heard every finding during the audit.
- The conclusion on the process is agreed and written in two or three sentences.
- Two or three things that work well are noted, with evidence.
Answer each: Yes / No, with your notes and evidence. The Word and fillable PDF handbook have the check boxes.
The closing meeting: 30 minutes
| Item | What the lead auditor covers |
|---|---|
| Thanks and scope | What was covered, and what was not |
| What works well | Two or three things, with the evidence |
| Findings | Each one: requirement, evidence, statement, type and why; containment asked for on any major |
| Conclusion | Is the process achieving its results? What most needs attention? |
| Next steps | Report date; response due date; the response template (A10); follow-up |
| Questions | The process owner may show evidence we missed; we change a finding on evidence, not on pressure |
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A management aid, not certification or a registrar audit. Using it does not by itself show conformity to AS9100D or any other standard, and your customers' requirements may add to it.
Clause numbers refer to AS9100D (SAE AS9100 Rev D) unless another document is named. The standards' text is not reproduced here: use your own licensed copy.
Aegis Insights are our own guidance, labeled wherever they appear: how we approach this work, not a requirement of any standard or customer.