Auditing top management under AS9100D clause 5 focuses on leadership behavior, accountability, and integration of the quality management system into business operations. The audit evaluates how executives actively lead and support the QMS through decisions, actions, and resource allocation.
Clause 5 addresses leadership and commitment, the quality policy, and assignment of organizational roles and authorities. Effective audits prioritize objective evidence over statements or intent.
Understanding AS9100D Clause 5 Scope
Clause 5 applies to top management, including owners, presidents, CEOs, general managers, and directors with authority over strategy, resources, and customer commitments. The audit verifies leadership involvement across planning, execution, and review of the QMS.
Clause 5.1 Leadership and Commitment
Leadership commitment includes accountability for QMS effectiveness, promotion of process thinking, risk awareness, customer focus, and support for improvement. Auditors assess how leaders drive quality into daily operations.
Clause 5.2 Quality Policy
The quality policy must align with organizational purpose and strategic direction. Leaders are responsible for communication, maintenance, and practical use of the policy.
Clause 5.3 Organizational Roles, Responsibilities, and Authorities
Top management assigns responsibilities, ensures authority, and maintains accountability for compliance and performance.
Audit Planning for Top Management
Strong audit planning improves interview quality and evidence collection.
Identify Applicable Leaders
Include individuals with authority over strategy, resources, customer acceptance, and risk management.
Define Audit Objectives
Objectives typically include
• Verification of leadership accountability for QMS effectiveness
• Evidence of customer and regulatory focus
• Integration of quality objectives with business planning
• Oversight of risk and opportunity management
Select Evidence Sources
Common evidence sources include
• Management review inputs and outputs
• Strategic and business plans
• Quality objectives and KPIs
• Risk registers and mitigation decisions
• Corrective action approvals
• Customer feedback and complaint actions
Conducting the Top Management Interview
Leadership interviews focus on recent actions, decisions, and outcomes.
Effective Interview Techniques
Use open-ended questions tied to documented records. Request examples from the previous audit cycle and verify consistency across departments.
Sample Audit Questions for Clause 5.1
• How do quality objectives align with business goals
• How do leaders demonstrate accountability for QMS effectiveness
• How are risks and opportunities reviewed at leadership level
• How do leaders support process ownership across functions
• What actions followed customer feedback or audit results
Evidence to Verify Leadership Commitment
Look for evidence such as
• Management review records with assigned actions
• Resource approvals supporting quality objectives
• Leadership participation in corrective action decisions
• Communications reinforcing customer and regulatory requirements
Auditing the Quality Policy
The quality policy audit verifies relevance, awareness, and application.
Quality Policy Alignment
Confirm alignment with organizational purpose, aerospace requirements, and improvement goals. Compare policy content with strategic objectives.
Communication and Awareness
Verify communication methods such as
• Onboarding and training materials
• Leadership meetings and briefings
• Posted policy statements
• Employee awareness interviews
Policy Maintenance
Confirm periodic review through management review or strategic planning records.
Auditing Roles, Responsibilities, and Authorities
Leadership must ensure clarity and accountability across the QMS.
Role Definition
Verify documented responsibilities through
• Organizational charts
• Job descriptions
• Procedures defining quality authority
• Product release and nonconformance authority assignments
Accountability Mechanisms
Review how leaders enforce accountability using
• Performance metrics
• Management reviews
• Corrective action follow-up
• Process owner evaluations
Typical Nonconformities in Clause 5 Audits
Common findings relate to leadership engagement rather than missing documents.
Typical Findings
• Quality policy exists but lacks evidence of practical use
• Management review focuses on reporting rather than decisions
• Quality objectives show weak linkage to business strategy
• Risk management lacks leadership oversight
• Responsibility delegated without defined accountability
Best Practices for Auditing Top Management
Effective audits remain objective and outcome focused.
Auditor Tips
• Follow decision trails from data to action
• Cross-check leadership statements against records
• Focus on outcomes rather than intent
• Verify consistency across departments
• Use recent examples to assess effectiveness
Preparing Organizations for Clause 5 Audits
Organizations strengthen performance through
• Leadership training on AS9100D responsibilities
• Structured management review agendas
• Clear metrics tied to business objectives
• Documented rationale for leadership decisions
Conclusion
Auditing top management per AS9100D clause 5 requires evaluation of leadership actions, accountability, and integration of quality into strategic direction. Audits succeed when evidence shows active leadership involvement, informed decision-making, and consistent support of the quality management system.
Ronnie Lee Roberts II has worked in the Department of Defense (DoD) quality environment since 2017, supporting programs at Patuxent River and Webster Field (NAWCAD/NAVAIR). A certified AS9100:2016 Rev D Lead Auditor (2022–2025), he brings deep knowledge of quality management systems, documentation control, and audit readiness across aerospace and defense operations. His background includes hands-on experience inspecting to specification per engineering drawings and customer requirements, verifying process conformity, and maintaining compliance with AS9100D clauses related to documented information, product realization, and risk management.
In addition to audit work, Ronnie has supported QMS development, technical writing, CAD-based documentation, and controlled record structures that ensure traceability and repeatability. He also holds ISO/IEC 20000-1:2018 Lead Auditor (TPECS, 2023) and Certified CMMI® Associate (2025) credentials, supporting CMMI-DEV Level 3 environments. His focus remains on aligning documentation and inspection practices with AS9100D standards to drive measurable quality performance and readiness for customer and regulatory audits.
