INTERNAL AUDIT CHECKLIST

Department : CNC SHOP AUDIT REF.: Date :

Time : NC
Auditee : Auditor : Shift : Remarks

CL.NO. Checkpoints Confirmation Observations Major/Minor/OI

Document

7.5.1 Is there a documented procedure for CNC SHOP Department Departmental

Procedure

Are the Quality objective deployed in the CNC SHOP Department

Departmental
6.2.1/6.2.2 i.e. Same Objective as determined along with the quality policy or objectives.
supporting departmental objectives.

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

6.1.2.1 Are there any risks and opportunities identified? Any Mitigation Risk Analysis
actions for risks identified?

6.1.2 Status of Mitigation actions implementation and effectiveness? Risk Analysis

1.Is there job setup perform such as Initial run of a Job, material
8.5.1.3 change over or job change required a new setup? Setup Approval
2.Is there maintained documented information for setup personal? request & Setup
Approval Report

8.5.1.4 is there Verification after machine shut down?

8.6.1
Are the process inspection & testing is being carried out as per Inspection Report
defined frequency in PQCS / OPS/Inspections standards/WI

8.7.1.1 Is there any concession approved from designated authority? Deviation Record

1.Is there suspected status is classified & controlled as non- Rework

confirming product
8.7.1.3/8.7.1.4
2.Is there documented information available for verification of Instruction/
Rework Record
compliances to original specification

8.5.2/8.5.2.1
Is the material and parts flow secured against mix-ups / exchanges Traceability System
by mistake and traceability guaranteed.

Do you have trace ability system - batch codification if heat

8.5.2 treatment is done, production month/year labelling or marking for Traceability System
final product (any process)

Are the Production Equipment ( Machine / Jig / Fixture / Die ) that Master List,
8.5.1.6 effect quality , and identify critical spare needed as per replacement Critical Spare Part
for expendable supplies List

8.5.4
Are tools, equipment and inspection, measuring and test equipment Equipment
stored correctly. Handling

Abnormal conditions / unexpected change ( Contingency Plan )

Abnormal Conditions / Unexpected change to satisfy customer
6.1.2.3
requirements in event of an emergency such as labour shortage Contingency Plan
,utility intruptions,key equipment failure

6.1.2.3 Is Contingency Plan tested for suitability and reviewed annualy Contingency Plan
with CFT including top management?

Are the products / components appropriately stored and are the

Material Handling
8.5.4 transport means / packaging equipment tuned to the special System Product
properties of the product / components.

Is there special charecteristics define in all operational document PFD/CP/PFMEA/O

8.3.3.3 such as ( PFD /PFMEA/ Control Plan/Work Instructions ) are PS/Inspections
specified by special symbol standards

Are the appearance item identify and displayed at the required

location.
Control of Limit Sample includes following information
1.Date of production of the limit sample master List of Limit
8.6.3 2.Control No. Sample/Identificati
3.Inspection Items ( Scratch, Roughness, unevenness etc. ) on Tag
4.Applicable Part Name & Part No.
Effective Period
6.Significant field.

master List of Limit

8.6.3 Are Limit sample retain considering damage,deteorition etc. Sample/Identificati
on Tag

Operator Instructions & Standards

1. Is the work instruction language understood by responsible
8.5.1.2 person Work Instructions
2. Is the accessible for use at the designated work area.
3. Is the legible work instructions.

Die
Unloading/Breakdo
1.) Is there maintenance & repair facilities and personnel? wn
8.5.1.6
2). Is there storage of tooling system appropriate? Intimation/Tool,
3). Is the Tooling modification & change records available? Die, Fixture Service
4). Is the tool/Die Identification system available?
report, Tool History
Card

8.6.3 Required lighting facilities provided for visual inspection Lux Level for
Inspection

Poke Yoke
10.2.4 Audit of poke-yoke whether it is in working condition
Verification

Is the Process Qualification made for process Validation/ Process

8.2.3 PQS/SPC
Capability carried out for special characteristics

Is there Non-Confirming Product disposition system

8.7.1.7 Rejection Record
available/followed?
 1.Is there any special characteristics identified for process Processs Capabilty
9.1.1.2/9.1.1.3 capability as per PFMEA/Control Plan? Plan & Record
2. Is there process capability carried out as per plan & Analysed

1). Is there change point Identification requirement available?

1). Is there verification & validation activity as per plan/customer Technical
8.5.6.1
requirement? Noticem,Validation
2.)Is there validate change before Implementation? plan & Record,
3.) Is there evidences & retention record available for verification & Change point
validation?

Control of Record
Is the record have following requirement
7.5.3/7.5.3.1 identification,storage,Protection,retrivel,retention and disposal of Records
records

7.5.3.2 Records Retention Retention system

Is the statutory ,regulatory and customer requirement follow

7.2.2/7.2.1
Is the competence defined for the personnel performing Production Skill Matrix
process & Revaluate as defined interval
Corrective Action
●Is the Reviewing the nonconformities ( Including Customer Customer
Complaints ) Complaints/
10.2 ●Verification of Nonconformity Implementation C'Measure
●Is the effectiveness of Corrective action review. Implementation

Auditee Signature : Auditor Signature :

 INTERNAL AUDIT CHE

Department : Store AUDIT REF.: IQA

Auditee : Auditor :

CL.NO. Checkpoints Confirmation Document

8.5.4.1 Is there a documented procedure for Store Department? Departmental Procedure

Are the Quality objective deployed in the Store Department

6.2.1/6.2.2 i.e. Same Objective as determined along with the quality Departmental objectives.
policy or supporting departmental objectives.

8.5.4.1 Is There a documented procedure for material receiving, Departmental Procedure

identification & Storage

Are the raw materials/Parts identified, handled ,packed and

8.5.4.1 stored adequately to preserve the nonconformity of product? Preservation of product

Are the Quality objective deployed in the HOT SHOP

Department
6.2.1/6.2.2 i.e. Same Objective as determined along with the quality
Departmental objectives.
policy or supporting departmental objectives.

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

Are there any risks and opportunities identified? Any

6.1.2.1 Mitigation actions for risks identified?
Risk Analysis

Status of Mitigation actions implementation and

6.1.2 effectiveness?
Risk Analysis

8.5.4.1 Is the condition of materials/product laying in stocks Daily Stock Assessment

assessed?

8.5.4.1 Is there FIFO system Implemented? FIFO System Followed

8.5.4.1 Is frequency of such assessment defined and what is the basis Inventory assessment
taken for the same?

8.5.4.1 Do you take any action to prevent the dust ,rust,moiture& Action plan/ Work Instructions
rain etc. for stock & unfinished products.

Is there Preservation, pacakging & labeling as per

8.5.4.1 Packing condition
requirement of customer?
 8.5.1.7 Is system for inventory management defined? Inventory management

is there Min-Max inventory level defined Min-Max inventory level

How are the obsolete products/components/materials lying Incoming Rejection Material

8.5.4.1 in stores dealt? Are these considered and controlled as per disposition
nonconforming materials ( Disposal )?

Control of Record
7.5.3/7.5.3.1 Is the record have following requirement
identification,storage,Protection,retrivel,retention and
Records
disposal of records

Records Retention
7.5.3.2 Is the statutory ,regulatory and customer requirement follow
Retention system

7.2.2/7.2.1 Is the competence defined for the personnel performing Skill Matrix
Production process & Re-evaluate as defined interval

Auditee Signature :
RNAL AUDIT CHECKLIST

Date :
Time : NC
Shift : Remarks

Major/Minor/O
Observations I
Auditor Signature :
 INTERNAL AUDIT CHECKLIST

Department : HR AUDIT REF.: IQA Date :

Time : NC
Auditee : Auditor : Shift Remarks

Confirmation Major/Mi
CL.NO. Checkpoints Document Observations nor/OI

Is there a documented procedure for training / competency & Departmental

7.2/7.3/7.5 motivation of employee Procedure

Are the Quality objective deployed in the HR Department Departmental

6.2.1/6.2.2 i.e. Same Objective as determined along with the quality policy or supporting objectives.
departmental objectives.

6.1.1 Is there a formal process available for risk analysis? Risk Analysis

Are there any risks and opportunities identified? Any Mitigation

6.1.2 actions for risks identified? Risk Analysis

6.1.2 Status of Mitigation actions implementation and effectiveness? Risk Analysis

Do you make the education plan for employee ( by class, speciality

7.2 , external or contractual, beginners )? Training Plan

7.2 Do you implement the education as planned and keep the records?

Is education given to managers and supervisor?

Training Plan &
Records
Do you perform the practical training ( On job ) of Workers.

Do you record the education history of each individual?

AUDITEE AUDITOR
7.2.2 Do you make skill sheet ( Matrix ) of each individual? Skill Matrix

Training
7.2.2 Is there Guidance available for operator training Manual

is there any selection criterion available for contractor / agency Recruitment

7.2.2 providing contractual labour Procedure

7.1 Are resource required for the process available Recruitment

Procedure

Abnormal conditions / unexpected change ( Contingency Plan )

Abnormal Conditions / Unexpected change to satisfy customer Contingency
6.1.2.3 requirements in event of an emergency such as labour shortage Plan
,utility intruptions,key equipment failure

Is Contingency Plan tested for suitability and reviewed annualy Contingency

6.1.2.3 with CFT including top management? Plan

Training
7.2.1 is there any system to allow operations only by qualified operator Methodology

Training
7.2.1 Is internal training environmental material regulation carried out Manual

Organization
5.3 is there roles & Responsibility defined for each employee.
Chart

Are criteria determined to ensure that the HRD Process are Competency
6.2.2.1 effective ( No of Retraining required, gap between competency Matrix
required vs Actual )

Departmental
6.2.2.1 Are the method available for above criteria. Procedure
Departmental
6.2.2.1 Are performance indicator measure & analysed. Objective

AUDITEE AUDITOR
 Are corrective & Preventive action taken when criteria's are not Corrective &
6.1/ 10.2 Preventive
met. Action

Dose the organization have a process for motivating the

employees to achieve the quality objective and continuous Training
7.3.2 Procedure
improvement ( Kaizen awards , attendance awards etc. )

What are the inputs communicated to various department and Communicatio

7.4 how they are communicated. n Matrix

Is there any process established at all levels for promoting Quality Training
7.3.1 Technological awareness throughout the organization ( Quality Procedure
Circle, Visual aids )

Continual
Are the area of continuous improvements identified for improving Improvement
6.2 effectiveness of QMS in HRD Department. Procedures

Is the competence defined for the personnel performing

7.2.1 Production process & Re-evaluate as defined interval Skill Matrix

Auditee Signature : Auditor Signature :

AUDITEE AUDITOR
 INTERNAL AUDIT CHECKLIST

Department : Quality Control AUDIT REF.: IQA Date :

Time : NC Remarks
Auditee : Auditor : Shift :
CL.NO. Checkpoints Confirmation Document Observations Major/Minor/OI

Are the process inspection & testing is being carried out as per defined frequency in PQCS /
8.5.1 OPS/Inspections standards/WI Inspection Report

is there setup approval done as per defined standards Setup approval report

Are rejects, rework, and adjustment parts, as well as internal residues strictly separated and
8.7.1 identified & Record Maintain Reject , Rework Record

Is the material and parts flow secured against mix-ups / exchanges by mistake and
8.7.1 traceability guaranteed. Identification & Traceability

8.5.1.6 Are tools, equipment and inspection, measuring and test equipment stored correctly. List of Tools & Equipments

Abnormal conditions / unexpected change ( Contingency Plan )

6.1.2.3 Abnormal Conditions / Unexpected change to satisfy customer requirements in event of an Contingency Plan
emergency such as labor shortage ,utility intruptions,key equipment failure

6.1.1 Is there a formal process available for risk analysis? Risk Analysis

6.1.2 Are there any risks and opportunities identified? Any Mitigation actions for risks identified? Risk Analysis

6.1.2 Status of Mitigation actions implementation and effectiveness? Risk Analysis

Are the special characteristics identified in the PFMEA , PQCS,Operations standards ,

8.3.3.3 Inspections standards, etc. OPS,Inspections standards

6.2 Are the Quality Objectives deployed in the department? PI data

6.1.2.2/10.2 Are correction and Preventive actions taken in case the Criteria are not met? Action plan

Are the appearance item identify and displayed at the required location.
Control of Limit Sample includes following information
1.Date of production of the limit sample
2.Control No. master List of Limit
8.6.3 3.Inspection Items ( Scratch, Roughness, unevenness etc. ) Sample/Identification Tag
4.Applicable Part Name & Part No.
Effective Period
6.Significant field.

master List of Limit

8.6.3 Are Limit sample retain considering damage,deteorition etc. Sample/Identification Tag

Is there understanding of statistical concepts variation ,stability , process capability& over

9.1.1.2
adjustment? Training Record

8.6.2 Are Layout Inspections at specified frequency included in control plans being carried out? Layout Plan

Does the verification of effectiveness of layout inspection functional testing has done?
8.6.2
Records for the same are maintained? Layout Reports & Records

Are the instruments / Gauges / Test Soft Wares used for testing / verification in quality
7.1.5
calibrated or verified? Calibration History Card/ Plan

Is MSA carried out for such instruments, which are referred in Control Plans?
7.1.5
What are improvement plans for enhancing Measurement Systems? MSA Plan / MSA Report

Reject , Rework Record / Defect

8.7.1.4 Do work instructions for re-inspection of re-work products for the type of defects exist? Matrix,WI

Is there a system for taking concessions on Non-conforming Products from customer prior to
8.7.1.1
further processing? Deviation Request

8.7.1.1 Do records of concessions mention Quantity or Expiration period by customer? Deviation Request

8.7.1.1 What type of Marking / Identification is provided to customer “Concession” Products”? Identification & Traceability

Is there any customer complaints closed or not Customer Complainst

is there customer complaints tracking record available customer complaints tracking sheet

Is there customer return record available Customer return register

Is there customer return rejection analysis available Customer return analysis record

Is there a system for utilizing a process for Problem Solving, leading to root cause
10.2
identification and elimination? 8D/ CAPA Report

Is the Process Qualification made for process Validation/ Process Capability carried out for
8.2.3
special characteristics PQS/SPC

8.7.1.7 Is there Non-Confirming Product disposition system available/followed? Rejection Record

is there inhouse daily shop wise rejection review record available Rejection Record/Analysis

Control of Record
7.5.3/7.5.3.1 Is the record have following requirement identification,storage,Protection,retrivel,retention Records
and disposal of records

Records Retention
7.5.3.2 Is the statutory ,regulatory and customer requirement follow Retention system

Is the competence defined for the personnel performing Production process & Revaluate as
7.2.2/7.2.1
defined interval Skill Matrix

Corrective Action
●Is the Reviewing the nonconformities ( Including Customer Complaints )
●Verification of Nonconformity Implementation Customer Complaints/ C'Measure
10.2 ●Is the effectiveness of Corrective action review. Implementation

Auditee Signature : Auditor Signature :

 INTERNAL AUDIT CHECKLIST

Department : Recieving Quality AUDIT REF.: IQA Date :

Time : NC
Auditee : Auditor : Shift : Remarks

CL.NO. Checkpoints Confirmation Observations Major/Minor/OI

Document

8.6 Is there a documented procedure for Quality Assurance of Received material Departmental
Procedure

Are the Quality objective deployed in the Quality Department for Incoming
6.2 Quality Departmental
i.e. Same Objective as determined along with the quality policy or supporting Objective
departmental objectives.

Are the Quality objective deployed in the HOT SHOP Department

6.2.1/6.2.2 i.e. Same Objective as determined along with the quality policy or supporting Departmental
departmental objectives. objectives.

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

6.1.2.1 Are there any risks and opportunities identified? Any Mitigation actions for risks Risk Analysis
identified?

6.1.2 Status of Mitigation actions implementation and effectiveness? Risk Analysis

Abnormal conditions / unexpected change ( Contingency Plan )

6.1.2.3 Abnormal Conditions / Unexpected change to satisfy customer requirements in Contingency Plan
event of an emergency such as labour shortage ,utility intruptions,key
equipment failure

8.6.6 Is the acceptance criteria estabilished and implemented to ensure that Incoming Standard
purchased product meet the specified product requirement

Are there any customer supplied inspection tool /gauge?

8.5.1.6 List of Gauges
if Yes,how these tools / gauges are identified for tool ownership?

8.4.2 Are all the inputs available for monitoring & Measurements of product Standard/Drawings
( Receving inspection standards , drawing ,sample plan, Gauge ,Instruments )

7.1.5.2 Are the instrument/ Gauges used for testing / verification in quality calibrated Calibration Record
or varified?

Is there a documented procedure for Non conforming of Received material ?

8.7.1.2
Are the responsibility and authorities for dealing with non-conforming product
defined in the procedure ? NC Product
Handling Procedure

8.7.1 Does the procedure address identification and control of non-conforming

product prevent unintended use or delivery?

8.7.1.7 Do the procedure address the way of disposition of the non conforming product Rework Record
in form of rework, use as it ,alternate use?

8.7.1.1 Are records of nature of non conformities and concessions maintained? Deviation Record

10.3 Is there continually improve the suitability, adequacy and effectiveness of the Improvement
Quality Management system? Records

8.4.1.2 Is there any supplier evaluation plan? Supplier Audit Plan

Is there any system for measurements of supplier perormance

8.4.2.4 ●Supplier Performance rating Supplier Rating
●Best Supplier in a month
●Worst Supplier in a month

Is there any rule or procedure defined for product / process/ plant change from Change point
supplier? Control Procedure

8.5.6.1 1). Is there change point Identification requirement available? Technical

1). Is there verification & validation activity as per plan/customer requirement? Noticem,Validation
2.)Is there validate change before Implementation? plan & Record,
3.) Is there evidences & retention record available for verification & validation? Change point

Control of Record
7.5.3/7.5.3.1 Is the record have following requirement Records
identification,storage,Protection,retrivel,retention and disposal of records

7.5.3.2 Records Retention Retention system

Is the statutory ,regulatory and customer requirement follow

7.2.2/7.2.1 Is the competence defined for the personnel performing Quality process & Re- Skill Matrix
evaluate as defined interval

Corrective Action Customer

10.2 ●Is the Reviewing the nonconformities ( Including Customer Complaints ) Complaints/
●Verification of Nonconformity Implementation C'Measure
●Is the effectiveness of Corrective action review. Implementation

Auditee Signature : Auditor Signature :

 INTERNAL AUDIT C

Department : R&D AUDIT REF.:

Auditee : Auditor :

CL.NO. Checkpoints Confirmation

Document

8.3.2.1 Is there a documented procedure available for R&D Department Departmental Procedure

Are the Quality objective deployed in the R & D Department

6.2.1/6.2.2 i.e. Same Objective as determined along with the quality policy Departmental objectives.
or supporting departmental objectives.

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

Are there any risks and opportunities identified? Any Mitigation

6.1.2.1 actions for risks identified? Risk Analysis

6.1.2 Status of Mitigation actions implementation and effectiveness? Risk Analysis

1). Is there development plan/ timing plan available?

2). Is there development plan/ Timing Plan reviewed timely? Timing Plan/APQP

8.3.1.2 1). Is there manufacturing process risk analysis available such as

FMEA's, Process Flow, control plan & standard work
FMEA, Process Flow, Control
Instructions? Plan & standard work
2). Is there review of manufacturing process risk analysis such as instructions
FMEA's, process flow, control plan & standard work
instructions?

Manufacturing Feasibility
1).Is there special characteristic identified?
8.3.3.2 2). Is there targets for productivity, process capability, timing & Feasibility Study
cost available?
3). Is there past problems included?

1). Is there special Characteristics identified in drawings, FMEA, Drawing/FMEA/Control

Control Plan & standard work/operator Instructions? Plan/Standard Work
8.3.3.3 2). Is special characteristics identified with specific Instruction/List of Special
marking/Symbol? Characteristics
 1). Is there Validation plan available?
2). Is there validation records available?
3). Is there any abnormality or problem during validation Validation
8.3.4 activity? plan/Record/Action Taken
4). Is there action taken against problem found during validation
activity?

Is there measurement & analysis results available & reviewed in

8.3.4.1 MRM? Records & MRM

Is there validation according to customer requirements including Customer & regulatory

8.3.4.2 regulatory requirements? requirements

Identification and traceability

8.5.2 Is the traceability system included in all Operational document
Traceability System

8.3.6 Is there any change point control system available? Change Point Control

1). Is there change point Identification requirement available?

1). Is there verification & validation activity as per
8.5.6.1 plan/customer requirement? Technical Noticem,Validation
2.)Is there validate change before Implementation? plan & Record, Change point
3.) Is there evidences & retention record available for
verification & validation?

8.5.6.1.1 Is there any temporary change in process control? Document Issue Records

Is the Record available of issue Mass Production Transition

8.5.1 Declaration prior going to Mass Production Mass Production Declaration

Is the competence defined for the personnel performing

7.2.2/7.2.1 Production process & Revaluate as defined interval Skill Matrix

Control of Record
Is the record have following requirement
7.5.3/7.5.3.1 identification,storage,Protection,retrivel,retention and disposal Records
of records

Records Retention
7.5.3.2 Is the statutory ,regulatory and customer requirement follow Retention system

Corrective Action
●Is the Reviewing the nonconformities ( Including Customer
Customer Complaints/
10.2 Complaints ) C'Measure Implementation
●Verification of Nonconformity Implementation
●Is the effectiveness of Corrective action review.
Auditee Signature :
RNAL AUDIT CHECKLIST

Date :
Time : NC
Shift : Remarks

Observations Major/Minor/OI
Auditor Signature :
 INTERNAL AUDIT CHEC

Department : Purchase AUDIT REF.: IQA Date :

Auditee : Auditor : Shift :

Confirmation
CL.NO. Checkpoints Document Ob

Are the process identified and established ?

8.4 i.e. Supplier ,Performance monitoring, Purchase -local, Purchase- Departmental Procedure
Imports, Supplier Development, etc.

Are the Quality objective deployed in the Purchase

6.2.1/6.2.2 department. Departmental objectives
i.e. Same Objective as determined along with the quality
policy or supporting departmental objectives.

8.4.1.2 Dose they have a process for supplier selection Supplier Selection
Procedure

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

Are there any risks and opportunities identified? Any

6.1.2.1 Risk Analysis
Mitigation actions for risks identified?

6.1.2 Status of Mitigation actions implementation and Risk Analysis

effectiveness?

Abnormal conditions / unexpected change ( Contingency Plan

)
6.1.2.3 Abnormal Conditions / Unexpected change to satisfy Contingency Plan
customer requirements in event of an emergency such as
labour shortage ,utility intruptions,key equipment failure

6.1.2.3 Is Contingency Plan tested for suitability and reviewed Contingency Plan
annualy with CFT including top management?

8.4.2.1 are records maintained as a result of necessary actions taken supplier performance
for improvement in supplier performance & its effectiveness ?

Is statutory and regulatory requirements implemented at Declaration from

8.4.2.2 supplier end? Supplier

1)Is Approved Supplier List available?

Approved Supplier
8.4.2.3 2.) Is supplier compliance to ISO 9001 through Second Party List/ISO Certificates
Audits.
 Are the supplier selected on base of following
1). An assesment of the selected supplier's risk to product
confirmity Supplier Selection
8.4.1.2 2).relevant quality & delivery performance Procedure
3). An evaluation of the supplier's quality management
system

8.4.1.2 Are the frequancy of supplier visit/audits are defined to know Supplier Selection
their status of system development?are records maintained? Procedure

Actions plan are prepared in joint discussion with your Supplier Selection
8.4.2.5 supplier for estabilishing / upgrading the system as per IATF Procedure
16949:2016

Has customer prescribed any source to purchase

8.4.1.3 products,materials ,tools or services under contractual Supplier Selection
Procedure
conditions?

Is supplier performance been monitored based on following:

●Delivery product confirmity to requirements
8.4.2.4 ●Customer disruptions at the receiving plant Supplier Performance
●Delivery schedule performance Rating Procedure
●Number of occurences of Premium Freight
●Customer Notification on quality / Delivery Issues

Are they any outsource process identified in the

organization?
8.5.1.6 E.g Casting ,Machining,painting Job Responsibility
Note : Are any technical responsibility with in the
organization delegated for outsource process

8.5.1.6 are control of these outsource process identified in the QMS? Supplier QMS
Improvement Plan

Is there a system exist for process/plant change request from Change management
8.5.6.1 supplier?are the responsible person defined for approval of
System
chage request?

Control of Record
Is the record have following requirement
7.5.3/7.5.3.1 identification,storage,Protection,retrivel,retention and Records
disposal of records

7.5.3.2 Records Retention Retention system

Is the statutory ,regulatory and customer requirement follow

Corrective Action
●Is the Reviewing the nonconformities ( Including Customer Customer Complaints/
10.2 Complaints ) C'Measure
●Verification of Nonconformity Implementation Implementation
●Is the effectiveness of Corrective action review.
 Is the competency defined for the personnel performing
purchase process ? Competency
7.2.2/7.2.1
Are input for Purchase process identified in terms of training Training Need
needs? Identification

Auditee Signature :
AUDIT CHECKLIST

Date :
Time : NC
Shift : Remarks
Major/Minor/O
Observations I
Auditor Signature :
 INTERNAL AUDIT C

Department : Maintenance AUDIT REF.: IQA

Auditee : Auditor :
CL.NO. Checkpoints Confirmation Document

Is there a documented procedure available for Maintenence

8.5.1.5 Department Departmental Procedure

Are the Quality objective deployed in the Maint. department.

6.2.1/6.2.2 i.e. Same Objective as determined along with the quality policy or Departmental objectives
supporting departmental objectives.

8.4.1.2 Dose they have a process for supplier selection Supplier Selection Procedure

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

6.1.2.1 Are there any risks and opportunities identified? Any Mitigation Risk Analysis
actions for risks identified?

6.1.2 Status of Mitigation actions implementation and effectiveness? Risk Analysis

Abnormal conditions / unexpected change ( Contingency Plan )

6.1.2.3 Abnormal Conditions / Unexpected change to satisfy customer Contingency Plan
requirements in event of an emergency such as labour shortage
,utility intruptions,key equipment failure

6.1.2.3 Is Contingency Plan tested for suitability and reviewed annualy Contingency Plan
with CFT including top management?

8.5.1.5 Is there Identification of process equipment necessary to produce List of Machines/Equipments

confirming product

8.5.1.5 Is there avaialability of parts for the equipment/machines List of critical parts
identified?

Preventive Maintenance Plan &

8.5.1.5 Preventive and predictive maintenance - plan and records PM Report

8.5.1.5/8.5.4 Is there provision for packaging & preservation of equipment, Equipment Handling
tooling & gauges?
 8.5.1.5 Maintaining history card for Machine Machine History card

8.5.1.5 Is there MTBF (Mean Time Between Failures) & MTTR calculated MTBF & MTTR
as defined frequency

8.5.1.5 What action taken to prevent the breakdown Action plan

8.5.1.4 How machine is approved after Planned & unplanned shut down Machine check sheet & Product
period? approval

8.5.1.4 Is the Breakdown intimation record available BD Intimation Slip

8.5.1.4 Is there Maintenance logs for each piece of equipment Maintained Maintenance log book

Control of Record
Is the record have following requirement
7.5.3/7.5.3.1 identification,storage,Protection,retrivel,retention and disposal of Records
records

7.5.3.2 Records Retention Retention system

Is the statutory ,regulatory and customer requirement follow

Corrective Action
●Is the Reviewing the nonconformities ( Including Customer
Customer Complaints/ C'Measure
10.2 Complaints )
Implementation
●Verification of Nonconformity Implementation
●Is the effectiveness of Corrective action review.

Is the competency defined for the personnel performing Maint. Competency

process ?
7.2.2/7.2.1
Are input for Maint. process identified in terms of training needs? Training Need Identification

Auditee Signature :
NTERNAL AUDIT CHECKLIST

Date :
Time : NC
Shift : Remarks
Major/Minor/O
mation Document Observations I

tmental Procedure

tmental objectives

Selection Procedure

Risk Analysis

Risk Analysis

Risk Analysis

ntingency Plan

ntingency Plan

achines/Equipments

of critical parts

e Maintenance Plan &

PM Report

ipment Handling
hine History card

MTBF & MTTR

Action plan

check sheet & Product

approval

Intimation Slip

tenance log book

Records

tention system

Complaints/ C'Measure
mplementation

Competency

g Need Identification

Auditor Signature :
 INTERNAL AUDIT CHEC

Department : Purchase AUDIT REF.: IQA Date :

Auditee : Auditor : Shift :

Confirmation
CL.NO. Checkpoints Document Ob

Are the process identified and established ?

8.4 i.e. Supplier ,Performance monitoring, Purchase -local, Purchase- Departmental Procedure
Imports, Supplier Development, etc.

Are the Quality objective deployed in the Purchase

6.2.1/6.2.2 department. Departmental objectives
i.e. Same Objective as determined along with the quality
policy or supporting departmental objectives.

8.4.1.2 Dose they have a process for supplier selection Supplier Selection
Procedure

6.1.2.1 Is there a formal process available for risk analysis? Risk Analysis

Are there any risks and opportunities identified? Any

6.1.2.1 Risk Analysis
Mitigation actions for risks identified?

6.1.2 Status of Mitigation actions implementation and Risk Analysis

effectiveness?

Abnormal conditions / unexpected change ( Contingency Plan

)
6.1.2.3 Abnormal Conditions / Unexpected change to satisfy Contingency Plan
customer requirements in event of an emergency such as
labour shortage ,utility intruptions,key equipment failure

6.1.2.3 Is Contingency Plan tested for suitability and reviewed Contingency Plan
annualy with CFT including top management?

8.4.2.1 are records maintained as a result of necessary actions taken supplier performance
for improvement in supplier performance & its effectiveness ?

Is statutory and regulatory requirements implemented at Declaration from

8.4.2.2 supplier end? Supplier

1)Is Approved Supplier List available?

Approved Supplier
8.4.2.3 2.) Is supplier compliance to ISO 9001 through Second Party List/ISO Certificates
Audits.
 Are the supplier selected on base of following
1). An assesment of the selected supplier's risk to product
confirmity Supplier Selection
8.4.1.2 2).relevant quality & delivery performance Procedure
3). An evaluation of the supplier's quality management
system

8.4.1.2 Are the frequancy of supplier visit/audits are defined to know Supplier Selection
their status of system development?are records maintained? Procedure

Actions plan are prepared in joint discussion with your Supplier Selection
8.4.2.5 supplier for estabilishing / upgrading the system as per IATF Procedure
16949:2016

Has customer prescribed any source to purchase

8.4.1.3 products,materials ,tools or services under contractual Supplier Selection
Procedure
conditions?

Is supplier performance been monitored based on following:

●Delivery product confirmity to requirements
8.4.2.4 ●Customer disruptions at the receiving plant Supplier Performance
●Delivery schedule performance Rating Procedure
●Number of occurences of Premium Freight
●Customer Notification on quality / Delivery Issues

Are they any outsource process identified in the

organization?
8.5.1.6 E.g Casting ,Machining,painting Job Responsibility
Note : Are any technical responsibility with in the
organization delegated for outsource process

8.5.1.6 are control of these outsource process identified in the QMS? Supplier QMS
Improvement Plan

Is there a system exist for process/plant change request from Change management
8.5.6.1 supplier?are the responsible person defined for approval of
System
chage request?

Control of Record
Is the record have following requirement
7.5.3/7.5.3.1 identification,storage,Protection,retrivel,retention and Records
disposal of records

7.5.3.2 Records Retention Retention system

Is the statutory ,regulatory and customer requirement follow

Corrective Action
●Is the Reviewing the nonconformities ( Including Customer Customer Complaints/
10.2 Complaints ) C'Measure
●Verification of Nonconformity Implementation Implementation
●Is the effectiveness of Corrective action review.
 Is the competency defined for the personnel performing
Vendor Development? Competency
7.2.2/7.2.1
Are input for Vendor Development process identified in terms Training Need
of training needs? Identification

Auditee Signature :
AUDIT CHECKLIST

Date :
Time : NC
Shift : Remarks
Major/Minor/O
Observations I
Auditor Signature :