F-1705 Internal Audit Check List

AGRO ENGINEERING WORKS
INTERNAL AUDIT CHECK SHEET - PRESS SHOP (ISO/TS-16949:2009)
DATE :
NAME OF AUDITOR : NAME OF AUDITEE :
SL.
Ref.
Requirement What to look for Assessor Notes/Objective Evidence
Clause
NO.
1 5.3 Is the Quality Policy implemented, Direct interview with randomly selected
understood & maintained in the Press people of the shop .
shop ?
2 5.5.1 Has the Responsibility, Authority, Inter Responsibility & Authority as defined in
relationship of personnel who Manage, job description, responsibilities matrices,
Perform & Verify work affecting quality procedures, accountabilities documents.
been defined & documented ?
3 5.5.1.1 Whether all the shifts have been provided Q.A. responsible personnel in all shift.
with personnel to handle QA responsibility
?
4 7.1 Does the quality plan include the Verify the PCS . ( It should be as per
customer requirement and references to Control Plan & Customer Drawings )
appropriate specification?
5 8.5.2.2 Are mistake proofing techniques utilized, Examples of mistake proofing.

where appropriate which includes but is ( Kaizen & Fool-Proofing
not limited to planning of process ? Data )
6 8.2.3.1 Do you perform process studies and verify Verify the Cp & Cpk Data , Control Charts
process capability? , Awareness about SPC among Technical
staff .
7 6.3.1 Does the press shop layout minimise Process flow analysis. Plant
material travel and handling facilitate layout (Current) planned.
synchronous material flow and maximize
value added use of floor space?
8 7.5.1.5 Have you established and implemented a Tool management process. Proper Storage
system for tool management that includes of Dies & Mode of maintenance / Repair.
maintenance and repair facilities?
9 8.5.1 Do you have a prioritised action plan for Continual Improvement plan Vs Current
continual improvement? status.
10 4.2.3 Are all documents(WI/PCS) and data Document receipt record. Verify all the
reviewed and approved by authorised PCS & Work Instruction having authorised
personnel with revision no. ? signature.
11 7.5.3 Is product identification maintained Suitable product identification. Verify the

through all stages of production? presence of MMC tags.
12 7.5.3 How is tracibility maintained and recorded Integration of customer tracibility

when required by the customer? requirement. Verify the presence of MMC
tags.
13 7.5.3 List of Dies & Fixtures (Existing), Quick Tracibility. Verify tool storage in
Identification code & Storage location in accordance with displayed position
the Press Shop ? ( Updated Chart )
14 7.5.3 Bins of Press Shop containing component Quick Tracibility

to be provided with
MMC Must be available

Part Name/No. Must be available
Shift & Date of processing Must be available
15 6.4.2 Are the premises maintained in a state of Tour of plant 5'S'

order, Cleanliness & repair appropriate to & KAIZEN
the product mfg. ?
16 6.3.2 Do you have a contingency plan to Contingency plan

reasonably protect the customer's supply Identification of key equipments.
of product in the event of emergency?
17 7.3.2.3 Are customer requirement for Designation and control of special

designation,documentation and control of characteristics
special characteristics? Quality documents
Operator awareness
F - 1705-01 Date : 01.01.08 Page No.:-1 of 73

SL.
Ref.
Clause
NO.
18 7.1 Display of PCS at respective stages of PCS awareness & Implementation
operation?
19 7.5.1.6 Daywise monthly production plan & Daily Daily plan/work sheet Daily
plan? prodn. Report
Daily line rejection report
20 8.2.3.1 Do process monitoring and job Job instructions contents

instructions include or refer the following,
as appropriate?
- Operation name& number keyd to Verify PCS & Actual records
process flow diagram?
- Part name& Part no.

- Current engg. Level/date?
- Required tools,gauges and other
equipment?
- Material identification& disposition
instruction?
- Customer & supplier designated special

characteristics?
- SPC requirements?
- Relevent engg. & mfg. Standards?
- Inspection & test instructions?
- Reaction plan?
- Revision date & approvals?
22 8.2.3.1 Are significant process events recorded on Process control record & Control Charts.
the control chart?
23 8.2.3.1 Do you initiate the appropriate reaction Evidence of such data , if any.
plan from the control plan for unstable or ( Rework & scrap data )
noncapable characteristics?
24 8.2.3.1 Does the reaction plan include as Contents of reaction plan for unstable and
appropriate:- non capable process.
- Containment & 100% inspection? Verify PCS / Procedure
- Specific C.A. timing? Verify PCS / Procedure
- Responsibility Assignment? Verify PCS / Procedure
- Customer Approval? Verify PCS / Procedure
25 8.2.3.1 Do you maintain record of process change Process change records / ECN data
effective dates?
26 8.2.4 Do you verify job set-ups and use Job set-up records asa per PCS. Control
statistical methods where applicable? Chart Study etc.
27 8.2.4 Are job instruction available for set-up Set up instruction (W.I. / PCS)
personnel?
28 8.2.4.2 For customer designated appearance Maintainance/control and storage

items:- conditions of master
Is there appropriate lightening for the Visual aids / Lighting facility.

evaluation?
Are all appropriate masters available?
Are the masters and evaluation equipment Availablity of Master samples, Panel
maintained and controlled? checkers , Taper & Flat scale set , Vernier
& Height Gauge
Is there any verification that personnel Personnel qualification/training records
making appearance evaluation are
qualified?
29 7.1 R/M issue procedure from store to press Store requisition slip
shop?
30 7.1 Tool loading process on the press? Daily plan cum work sheet
31 7.5.1.3 M/C & process parameter set-up? Verify parameters as per PCS
32 7.1 Preparation of daily W.I.P.? Record (Prod. Plan Vs Actual)
33 8.4 Daily rework & scrap details? Record
34 7.5.1.4 Die maintenance procedure & record Die rectification request & Procedure for
Tool Maintenance.
35 8.2.4 Does the Q.A.Engineer inspect and test Inprocess inspection, Control plan, PCS &
product as required by the quality Records
plan(control plan) and/or the documented
procedure?
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SL.
Ref.
Clause
NO.
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SL.
Ref.
Clause
NO.
36 8.2.4 First off piece inspection Set-up approval (FOP/LOP Inspection
Reports)
37 8.3.1 Does the control of N.C. product & Follow one or more N.C. case and verify
suspect material or product provided for the flow (Identification, segrigation etc.)
evaluation and for notification of all Obsolete product.
appropriate functions?
38 8.3 Does we quantify and analyse N.C. Plan for N.C. product reduction.
product, establish prioritised reduction Monitoring system , QPCR .
plan and track progress
39 8.3.3 Is the customer promptly informed when Method to communicate with the
N.C. material has been shipped? customer for N.C. product. (Internal
QPCR)
40 8.3 Is the responsibility for review and Procedure Work

authority for the disposition of N.C. instruction
product defined?
41 8.3 Are N.C. & Suspected products reviewed As per procedure , verify the actual
in accordance with documented procedure method being followed.
Reworked to meet the specified

requirement?
Accepted with or without repair by
concession
Regarded for alternative application
Rejected or Scrapped?
42 8.3 When required is the proposed use or Record of concession

repair of product,which does not confirm
to specified requirements,reported for
concession to the customers?
43 8.3 Is the description of N.C. that has been Record of customer acceptance of N.C.
done accepted,and or repairs, recorded to material.
denote the actual condition ?
44 8.3 Are repaired and/or reworked/product re- Reworked product flow must guarantee
inspected and/or documented procedure? the re-inspection in according to control
plan & inspection record.
45 8.3.2 Are the rework instructions accessible and Plant tour

utilized by the appropriate personnel in
their areas?
46 8.5.2 Are the appropriate C.A.& P.A. developed Coherence between action and document
to eliminate the cause of actual or change Record of change
potential N.C.?
47 8.5.2 Use of disciplined problem solving Response to customer complaints

technique to address internal or external Customer formats
N.C.
48 8.5.2 Application of mistakeproofing Examples

methodology, as appropriate, in their C.A.
& P.A. process?
49 8.5.3 Do procedure for P.A. include Source of information used for preventive
action
The use of appropriate source of Root cause determination(FMEA,CP ETC.)
information's
e.g.-product quality, deviation,audit result Records & results analysis
etc. to develop P.A.
Initiation of P.A., application of controls to Effectiveness Monitoring
ensure that it is effective
50 7.5.5 Availability of documented and Procedure development & documentation

established procedures for handling of
product?
51 7.5.5 Have methods for the handling of product Facilities appropriate for product handling
to prevent damage or deterioration been
provided?
F - 1705-01 Date : 01.01.08 Page No.:-4 of 73

SL.
Ref.
Clause
NO.
52 6.2.2 Are personnel qualified based upon Training plan,Employees
appropriate education,training experience,Training requirements,Training
requirements, and/or experience as records, Job description , Skill Matrix.
required and have the training needs for
all personnel performing activities
affecting quality been met?
53 6.2.2 Training effectiveness.Is training Audit/Appraisal performance,

periodically eveluated for effectiveness? Surveys/Questionaries, Performance
reviews , Increased Productivity , Reduced
Rejections , Reduced Customer
Complaints
54 6.2.2.3 Training on job Training records for personnel in new

assignment
55 8.1.1 Use of statistical technique Control chart awareness & execution in

the process
Display of chart at concerned stage
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE AUDITOR SIGNATURE
F - 1705-01 Date : 01.01.08 Page No.:-5 of 73

INTERNAL AUDIT CHECK SHEET - WELD SHOP (ISO/TS-16949:2009)
DATE :
S. Ref.
Requirement What to look for Accessor Notes/Objective Evidence
NO Clause
1 5.3 Is the Quality Policy implemented, Direct Interview with randomly selected
understood & maintained in the Weld people of the shop.
Shop ?
2 5.5.1 Has the Responsibility, Authority, Responsibility & Authority as defined in

Interrelationship of personnel who Job Description, Responsibilities Matrices,
Manage, Perform & Verify work affecting Procedures, Accountabilities documents.
Quality been defined & documented ?
3 5.5.1.1 Are the Weld Shop shift Staffed adequately Q.A responsible personnel in all shift.
with personnel for Q.A responsibility ?
4 7.1 Does the Quality Plan include the Verify PCS (As per Control Plan, FMEA
Customer requirement & References to etc.)
appropriate Specification ?
5 8.5.2.2 Are Mistake Proofing Techniques utilized, Examples of mistake proofing.

where appropriate, which includes but is
not limited to planning of Process ?
6 8.2.3.1 Do you perform Process Studies & verify Verify Cp & Cpk , Control Charts &
Process Capability ? understanding of SPC among technical
staff.
7 6.3.1 Does the Weld Shop layout minimise Process Flow Analysis. Plant layout
Material travel & Handling facilitate (Current planned).
Synchronous Material Flow & Maximize
value added use of Floor Space ?
8 7.5.1.5 Have you established and implemented a Tool management process , Maintenance
system for tool management that includes of Jigs & Fixtures , Welding Equipments
maintainance and repair facilities? Plan Vs Actual status
9 8.5.1 Do you have a prioritized action plan for Continual Improvement plan, Iniatiative.
continual improvement?
10 4.2.3 Are all documents(WI/PCS) and data Document receipt record & Authorised
reviewed and approved by authorised signatory.
personnel with revision no?
11 7.5.3 Is product identification maintained Suitable product identification / MMC

through all stages of production? Card
12 7.5.3 How is tracibility maintained and recorded MMC / Batch Coding

when required by the customer?
13 7.5.3 List of Jigs/fixtures(existing) , Quick Tracibility , Marking on floor /

identification code and storage location in storage areas
the weld shop?
14 7.5.3 Bins of weld shop containing component Quick Tracibility

to be provided with
MMC Must be available
Part code/No. Must be available
Shift & Date of processing Must be available
15 6.4.2 Are the premises maintained in a state of Tour of plant 5'S' & Kaizen.
order, cleanliness and repair appropriate
to the product manufactured?
16 6.3.2 Do you have a contigency plan to Contigency plan Identification

reasonably protect the customer's supply of key equipments.
17 7.3.2.3 Are customer requirement for Must be mentioned in PCS

designation,documentation and control of
special characteristics?
F - 1705-01 Date : 01.01.08 Page No.:-6 of 73

S. Ref.
NO Clause

operation?
19 7.5.1.6 Daywise monthly, production plan & Daily Daily Plan/actual Report Daily
plan Prodn Report Daily Line
Rejection report
20 8.2.3.1 Do Process monitoring and Job

Instructions include the
following :
- Operation Name & Number Keyed to
Process Flow Diagram?
- Part Name/ No.
- Current Engg Level/Date?
- Required Tools, Gauges and Other
Equipment
- Material identification & Disposition
Instruction?
Must be available in PCS / Control Plan
- Customer & supplier designated special
characteristics?
- SPC Requirements?
- Relevent engg. & mfg. Standards?
- Inspection & test instructions?
- Reaction plan?
- Revision date & approvals?
21 8.2.3.1 Product manufactured in the shop exceed Current Cpk/Ppk versus customer
the Cpk or performance as approved by approved Cpk/Ppk/ Existing reaction
customer PAP through the implementation plan/ Verifying the accuracy of Cpk/Ppk .
and adherance to the Control plan, Check the awareness of SPC among
Process flow diagram, Measurement technical staff
Technique, Sampling plan/Reaction plan
when Acceptance criteria are not met
22 8.2.3.1 Are significant process events recorded on Process control record / Control Charts
the control chart?
23 8.2.3.1 Do you initiate the appropriate reaction Verify the actions against Non
paln from the control paln for unstable or Conformities
uncapable characteristics
appropriate:- non capable process
Containment & 100% inspection?
Specific C.A. timing?
Responsibility Assignment?
Customer approval?
25 8.2.3.1 Do you maintain record of process change Process Change Recors /ECN
effective dates?
26 8.2.4 Do you verify job setups and use Job set-up records and FOP/LOP approval
statistical methods where applicable?
27 8.2.4 Are job instruction available for setup Set-up Instruction / PCS
personnel?
28 8.2.4.2 For customer designated appearance

items:-
Is there appropriate lightening for the Maintainance/control and storage
evaluation? conditions of master sample , Lightening
Are all appropriate masters available? Facilities , Skill Matrix , Training Records
Are the etc.
masters and evaluation equipment
maintained and controlled?
Is there any
verification that personnel making
29 7.1 appearance
R/M are qualified?
issue procedure from store to weld Store requisition slip
shop?
30 7.1 Are Consumable Tools (i.e. electorde for Record of checking Frequency of Tool
spot weld ) replacement / maintenance Maintenance & replacement
frequency defined?
31 7.5.1.3 Setup & control of M/C & welding Record & PCS
parameter ?
32 7.1 Preparation of Daily WIP? Record
33 8.4 Daily Rework & Scrap Details? Record
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S. Ref.
NO Clause
34 7.5.1.4 Jigs/fixture maintainance procedure & Jigs & Fixture Maintenance plan Vs actual
record status
35 8.2.4 Does the Q.A. Engineer inspect and test Inprocess inspection, PCS / Control Plan,
product as required by the quality plan Records of inspection / tests / rejections
(PCS/Control plan) and / as per the etc.
documented procedure ?
36 8.2.4 First off piece inspection Setup approval record
37 8.2.4 Nugget dia. Test(spot weld) using chisel & Record of checking
hammer as per PCS
38 8.2.4 Weld Penetration test(MIG Weld) Record of Checking
39 8.2.4 Weld Nut Strength test (Projection Record of checking

welding)
40 8.2.4 Continuous monitoring of product visually Record of Weld Related Defects & their
for weld deffect e.g. spot burn, spot burr, Countermeasures / Reasons
spot dent and spot puncher etc.
41 7.5.3 Finished/semifinished component Effective implementation of Tags/MMC

identification through Tags/MMC
42 8.3 Does the control of N.C. product & Follow one or more N.C. case and verify
suspect material or product properly the flow (identification,segrigation, etc.)
identified, well documented, properly
evaluated, segrigation & disposition
details exists ?
43 8.3 Does we quantify and analyze N.C. Plan for Reduction of Non Conforming
product establish prioritized reduction products & actual status.
plan and track progress.
44 8.3 Is the customer promptly informed when Method to communicate with the
N.C. material has been shipped? customer for N.C. product
45 8.3 Is the responsibility for review and Procedure / Work Instruction

authority for the disposition of N.C.
product defined?
46 8.3 Are N.C. & suspect products reviewed in

accordance with documented procedure
and
Reworked to meet the specified Records
requirement?
Accepted with or without repair by Records
concession
Regarded for alternative application Records
Rejected or Scrapped? Records

to specified requirements, reported for
accepted,and of repairs,recorded to denote material.
the actual condition ?
inspected and/or documented procedure? the re-inspectio in according to control
50 8.3.2 Are the Rework Instructions accessible Plant tour

and utilized by the appropriate personnel
in their areas?
51 8.5.2 Are the appropriate C.A.& P.A. developed Coherance between action and document
potential N.C.?

technique to address internal or external Customer formates
N.C.

& P.A. process?
F - 1705-01 Date : 01.01.08 Page No.:-8 of 73

S. Ref.
NO Clause
action
informations
Initiation of P.A. application of controls to
ensure that it is effectiveness

product?
56 7.5.5 Have methods for the handling of product Facilities appropriate for product
provided?

requirements, and/or experience as records, Job description
58 6.2.2 Training effectiveness,Is training Audit/Appraisal performance,

periodically eveluated for effectiveness? Surveys/Questionaries, Performance
reviews.Pre and post testing,Comparison
between customer needs & training
content programme

assignment
60 6.2.2 Min. experience for welding/Brazing-2 Interview & performance eveluation

year.?

(Attribute chart) the process
Display of chart at respective stage
F-1705-02 Date: 01.04.2009
F - 1705-01 Date : 01.01.08 Page No.:-9 of 73

INTERNAL AUDIT CHECK SHEET - TWB
DATE :
S. NO Requirement What to look for Objective Evidence
Is the Quality Policy implemented,

Direct Interview with randomly
1 understood & maintained in the
selected people of the shop.
TWB?
Does the TWB layout minimize

Material travel & Handling facilitate
2 Synchronous Material Flow & Process Flow Analysis. Plant layout
Maximize value added use of Floor
Space ?
Have methods for the handling of

3 product to prevent damage or Facilities appropriate for product
deterioration been provided?
Edge cleaning should be done

4 To verify
before welding
Program should be as per process

5 parameters given in operation To verify
standard.
Gap between thicker & thinner

6 To verify
sheet should be within parameters
Welding program number should

7 To verify
be in sequence & easy to trace
Does the Quality Plan include the

Customer requirement &
8 To verify the machine parameters
References to appropriate
Specification ?
Erichsen Test should be done once

9 in a shift using erichsen testing Record of checking
machine
Do you verify job setups and use

Job set-up records and FOP/LOP
10 statistical methods where
approval
applicable?
Continuous monitoring of product

visually for defects e.g. Concavity, Record of Defects & their
11
Convexity, Pin Holes and Mismatch Countermeasures / Reasons
etc.
TWB Pallets containing final blanks

12 Quick Traceability
to be provided with
Pallet No. Must be available
Part code/No. Must be available
Dispatch date Must be available
Quantity Must be available
13 Packing of pallets should be proper To verify
Finished/semi finished component

14 Effective implementation of Tags
identification through Tags
Daily Plan/actual Report

Daywise monthly, production plan
15 Daily Production Report
& Daily plan
Daily Line Rejection report
16 Daily Rework & Scrap Details? Record
Are all documents (WI/PCS) and

data reviewed and approved by Document receipt record &
17
authorized personnel with revision Authorized signatory.
no?
Is product identification Verify suitable product

18
maintained. identification
How is traceability maintained and

19 recorded when required by the Verify Pallet No.
customer?
Identification code and storage

20 Marking on floor / storage areas
location in the TWB?
Are the premises maintained in a

state of order, cleanliness and
21 Tour of plant 5'S' & Kaizen.
repair appropriate to the product
manufactured?
Do you have a contingency plan to

reasonably protect the customer's
22 To check Contingency plan.
supply of product in the event of
emergency?
F-1705-02 Date: 01.04.2009

INTERNAL AUDIT CHECK SHEET - BLANKING LINE
DATE :
Is the Quality Policy implemented,

Direct Interview with randomly
1 understood & maintained in the
selected people of the shop.
TWB?
Is the condition of coil is proper

2 To check ID & build up of coil
when received at blanking line
Is sampling inspection is being

3 To verify check sheet of Blank
done in Blanking line
Is the storage of blanks is ok at

4 To verify
TWB before welding
Blanks should be as per specified

5 To verify
dimensions given in drawing
Are all documents (WI/PCS) and

data reviewed and approved by Document receipt record &
6
authorized personnel with revision Authorized signatory.
no?
Are the premises maintained in a

state of order, cleanliness and
7 Tour of plant 5'S' & Kaizen.
repair appropriate to the product
manufactured?
Do you have a contingency plan to

reasonably protect the customer's
8 To check Contingency plan.
supply of product in the event of
emergency?
F-1705-02 Date: 01.04.2009

INTERNAL AUDIT CHECK SHEET - FUEL TANK ASSY SHOP (ISO/TS-16949:2009)
DATE :
S.
Ref.
Clause
NO.
1 5.3 Is the quality policy Direct interview with randomly selected
implemented,understood and maintained people of the shop .
in the F/T Assy. shop ?
2 5.5.1 Has the responsibility , authority, Responsibility & Authority as definedin

interrelationship of personnel who job description, responsibilities matrices,
manage, perform & verify work affecting procedures, accountabilities documents.
quality been defined and documented?
3 5.5.1.1 Are the F/T Assy. shop shift staffed Q.A. responsible personnel in all shift.
provided personnel for Q.A. responsibility?
4 7.1 Does the quality plan include the Verify Process Control Sheet
customer requirement and references to

where appropriate,which includes but is
not limited to planning of process?
6 8.2.3.1 Do you perform process studies and verify Process capability measurement results
process capability? as appropriate for all new processes.
7 6.3.1 Does the F/T Assy. shop layout minimise Process flow analysis. Plant
material travel and handling facilitate layout (Current planned).
8 7.5.1.5 Have you established and implemented a Tool management process

system for tool management that includes
maintainance and repair facilities?
9 8.5.1 Do you have a prioritized action plan for Continual Improvement plan on the basis
continual improvement? of previous Internal & External defects
analysis
10 4.2.3 Are all documents(WI/PCS) and data Document receipt record , Verify the
reviewed and approved by authorised PCS / W.I. Duly approved.
11 7.5.3 Is product identification maintained Suitable product identification

through all stages of production?
12 7.5.3 How is tracibility maintained and recorded Verify Batch Code System / MMC Tag
when required by the customer?
13 7.5.3 List of Jigs/fixtures(existing) , Quick Tracibility via. Proper Identification

identification code and storage location in
the F/T Assy. shop?
14 7.5.3 Bins of F/T Assy. shop containing Verify presence of MMC & physical
component to be provided with MMC verification of matter written on it.
Part code/No.
Shift & Date of processing
15 6.4.2 Are the premises maintained in a state of Tour of plant
order, cleanliness and repair appropriate 5'S' & KAIZEN
to the product mfd?
16 6.3.2 Do you have a contigency plan to Contigency plan Identification

F-1705-01 Date : 01.01.08 Page No.:-13 of 73

S.
Ref.
Clause
NO.
designation,documentation and control of characteristics & concerned documents /
special characteristics? reports verification as mentioned in PCS

operation?
plan? prodn. Report Daily line
rejection report
20 8.2.3.1 Do process monitoring and job Verify PCS , for the job instructions ,
instructions include or reference,as being effectively implemented
appropriate
Operation name & number keyd to
process flow diagram?
Part name & part no.?
Current engg. Level/date?
Required tools,gauges and other
equipment?
Material identification&disposition
instruction?
Customer & supplier designated special
characteristics?
SPC requirements?
Relevent engg. & mfg. Standards?
Inspection & test instructions?
Reaction plan?
Revision date & approvals?
the Cpk or performance as approved by approved Cpk/Ppk. Existing reaction
customer PAP through the implementation plan Verifying the accuracy of
and adherance to the control plan,process Cpk/Ppk
flow diagram,measurement
technique,sampling plan/reaction plan
when acceptance criteria are not
22 8.2.3.1 Are significant process events recorded on Process control record

the control chart?
23 8.2.3.1 Do you initiate the appropriate reaction Verify the Reaction Plan in PCS
plan from the control plan for unstable or
appropriate:- non
Containment&100% inspection? capable process
Customer Approval?
25 8.2.4 Do you maintain record of process change Process change records
effective dates?
26 8.2.4 Do you verify job setups and use Job set-up records and approval
27 8.2.4.2 Are job instruction available for setup Verify Set up instruction as mentioned in
personnel? Daily Check sheet / PCS
28 7.1.2 For customer designated appearance

items:-
Is there appropriate lightening for the Verify lighting facilities being effectively
eveluation? working
Are all appropriate masters available? Verify the presence of master samples.
Are the masters and evaluation equipment Calibration stickers verification for expiry
maintained and controlled? & Master Samples must be approved
Is there any verification that personnel Training record Verification / Skill Matrix
making appearance eveluation are Verification
qualified?
29 7.1 R/M issue procedure from store to F/T Store requisition slip
Assy. shop?
F-1705-01 Date : 01.01.08 Page No.:-14 of 73

S.
Ref.
Clause
NO.
30 7.1 Setup & control of M/C & welding Record to be verified as per PCS
parameter ?
31 6.4.2 Housekeeping 5 'S'

32 7.1 Preparation of daily W.I.P.? Record
33 8.4 Daily scrap details? Record
34 7.5.1.4 Jigs/fixture maintainance procedure & Die rectification request

record
35 8.2.4 Does the Q.A.Engg. inspect and test Inprocess inspection Report, Control
product as required by the quality plan,Records
plan(control plan) and/or the documented
procedure?
36 8.2.4 First off piece inspection Setup approval
37 8.2.4 Nugget dia. Test(spot weld) using chisel & Record of checking frequency
hammer as per PCS
38 8.2.4 Pillow test using chisel & hammer in case Record of checking frequency
of (Seam welding)
39 8.2.4 Leakage test for all brazing/welding. Record & checking frequency
40 8.2.4 Carbon test for proper contact of electrode Record & checking frequency
tip.
41 8.2.4 Continuous monitoring of product visually Record of checking frequency

for weld deffect e.g. spot burn,spot
burr,spot dent and spot puncher etc.
suspect material or product provide for the flow (identification,segrigation,etc.)
identification,documentation,eveluation, Obsolete product.
segrigation,disposition and for notification
of all appropriate functions?
43 8.3 Does we quantify and analyze N.C. Plan for N.C. product reduction.
product establish prioritized reduction Monitoring system
plan and track progress?
44 8.3 Is the customer promptly informed when Method to communicate with the
45 8.3 Is the responsibility for review and Procedure / Work

product defined?
46 8.3 Are N.C. & suspect products reviewed in Verify the things as per Process Approach
accordance with documented procedure for Corrective & preventive actions &
and handling Non - Conformities
requirement?
concession
Regarded for alternatiove application

done accepted,and of repairs,recorded to material / QPCR
49 8.3.2 Are repaired and/or reworked/product re- Reworked product flow must guarantee
inspected and/or documented procedure? the re-inspection in according to control
50 8.3.2 Are the rework instructions accessible and Plant tour to verify the Rework instruction
utilized by the appropriate personnel in being imparted to all & being implemented
their areas?
F-1705-01 Date : 01.01.08 Page No.:-15 of 73

S.
Ref.
Clause
NO.
potential N.C.?
52 8.5.2 Use of disciplined problem solving Response to customer complaints /

technique to address internal or external QPCR / Customer formats
N.C.
53 8.5.2 Application of mistakeproofing Examples & Verify the QPCR CAPA

& P.A. process?
action
The use of appropriate source of Root cause determination (FMEA,CP ETC.)
informations

Initiation of P.A. application of controls to

ensure that it is effectiveness
55 8.5.2 Quality problem/deviation/QPCR Implementation & Record

product?
provided?
58 6.2.2 Are personnel qualified based upon Verify Training plan,Employees


periodically evaluated for effectiveness? Surveys/Questionaries,Performance
content programme

assignment

the process
F-1705-02 Date: 01.04.2009
F-1705-01 Date : 01.01.08 Page No.:-16 of 73

INTERNAL AUDIT CHECK SHEET - PAINT SHOP (ISO/TS-16949:2009)
DATE :
S. Ref. Requirement What to look for Assessor Notes/Objective Evidence

Clause
NO.1 5.3 Is the quality policy Direct interview with randomly selected
in the Paint shop ?
2 5.5.1 Has the responsibility , authority, Responsibility & Authority as defined in

3 5.5.1.1 Are the Paint shop shift staffed provided Q.A. responsible personnel in all shift.
personnel for Q.A. responsibility?
4 7.1 Does the quality plan include the

customer requirement and references to

6 8.2.3.1 Do you perform process studies and verify process capability measurement results
process capability? as appropriate for all new processes.
7 6.3.1 Does the paint shop layout minimise Process flow analysis. Plant
material travel and handling facilitate layout(Current planned).
9 4.2.3 Are all documents(WI/PCS) and data Document receipt record

reviewed and approved by authorised

through all stages of production?
11 7.5.3 How is traceability maintained and Integration of customer tracibility

recorded when required by the customer? requirement.
12 7.5.3 Bins of paint shop containing component Quick Traceability

to be provided with
MMC
Part code/No.
Shift & Date of processing
13 6.4.2 Are the premises maintained in a state of Tour of plant 5'S' & KAIZEN
to the product mfg?
14 6.3.2 Do you have a contigency plan to contigency plan Identification


designation,documentation and control of characteristics Quality documents
special characteristics? operator awareness

operation?
plan? prodn. Report Daily line
rejection report
F-1705-01 Date : 01.01.08 Page No.:-17 of 73

Clause
NO.
18 8.2.3.1 Do process monitoring and job Job instructions contents
instructions include or reference,as
appropriate?
operation name&number keyd to process Predetermined reaction plan
flow diagram?
Part name&part no.
Current engg. Level/date?
Required tools,gauges and other
equipment?
Material identification&disposition
instruction?
Customer & supplier designated special
characteristics?
SPC requirements?
Relevent engg. & mfg. Standards?
Inspection & test instructions?
Reaction plan?
Revision date & approvals?
the Cpk or performance as approved by approved Cpk/Ppk. Existing reaction
customer PAP through the implementation plan Verifying the accuracy of
and adherance to the control plan,process Cpk/Ppk
flow diagram,measurement
technique,sampling plan/reaction plan
when acceptance criteria are not met.
20 8.2.3.1 Are significant process events recorded on Process control record

the control chart?
21 8.2.3.1 Do you initiate the appropriate reaction

plan from the control plan for unstable or
appropriate:- non
Containment&100% inspection? capable process
Customer Approval?
23 8.2.3.1 Do you maintain record of process change Process change records

effective dates?
24 8.2.4 Do you verify job setups and use Job set-up records and approval
25 8.2.4 Are job instruction available for setup Set up instruction

personnel?
26 8.2.4.2 For customer designated appearance Maintainance/control and storage

items:- conditions of master
Is there appropriate lightening for the Visual aids
eveluation?
Are all appropriate masters available? Personnel qualification/training records
Are the masters and evaluation equipment Tour of facility

maintained and controlled?
Is there any verification that personnel

making appearance eveluation are
qualified?
27 7.1 R/M issue procedure from store to paint Store requisition slip
shop?
28 7.1 Comp. recvd. From weld shop/F/T Assy. Record

line for paint
29 7.1 BOP & CSP Assy. As per PCS
30 7.5.1.3 Process parameter setup & control?

Pretreatment process PCS
Paint bath PCS
Baking oven PCS
F-1705-01 Date : 01.01.08 Page No.:-18 of 73

Clause
NO.
31 8.2.4 Check for paint parameter
Viscosity
Dry film thickness
Hatch/Tape adhesion test
32 8.2.4 Does the Q.A.E. inspect and test product Inprocess inspection, Control
as required by the quality plan(control plan,Records
plan) and/or the documented procedure?
33 8.2.4 Inprocess checking visually for Record of checking frequency

phosphating & painting
34 8.2.4 PDI/Final inspection if component Record

confirming the specification including
leakage test
35 8.3.1 Does the control of N.C. product & Follow one or more N.C. case and verify
suspect material or product provide for the flow(identification,segrigation,etc.)
identification,documentation,eveluation,se Obsolete product.
grigation,disposition and for notification of
all appropriate functions?
37 8.3.3 Is the customer promptly informed when Method to communicate with the
38 8.3 Is the responsibility for review and Procedure , Work

product defined?
39 8.3 Are N.C. & suspect products reviewed in

and
requirement?
concession
Regarded for alternative application

done accepted,and of repairs,recorded to material.
inspected and/or documented procedure? the re-inspectio in according to control

their areas?
potential N.C.?

N.C.

& P.A. process?
action
informations
F-1705-01 Date : 01.01.08 Page No.:-19 of 73

Clause
NO. e.g.-product quality, deviation,audit result Records & results analysis
Initiation of P.A. , application of controls
to ensure that it is effective

product?
provided?


periodically eveluated for effectiveness? Surveys/Questionaries,Performance
content programme

assignment

the process
F-1705-02 Date: 01.04.2009
F-1705-01 Date : 01.01.08 Page No.:-20 of 73

INTERNAL AUDIT CHECK SHEET - PURCHASE (ISO/TS-16949:2009)
DATE :
S. Ref.
NO Clause
1. 5.3 Is the Quality Policy implemented, Direct interview with randomly selected
understood & maintained in the Deptt. ? people of the deptt.
2. 5.5.1 Has the Responsibility, Authority, Responsibility & Authority as defined in

interrelationship of personnel who Job description, Responsibilities Matrices,
Quality been defined & documented?
3. 4.2.7 Do you have a prioritized action plan for Continual Improvement plan, Iniatiative.
Continual Improvement ?
4. 7.4.1 Do you have a documented procedure for Record

Purchase ?
5. 4.2.3 Are all Documents & Data reviewed & Document receipt record
approved by authorised personnel with
revision no ?
6. 7.4.1 How do you plan for net Material Follow one or more case and verify the
requirement ? flow. Raw material requirement report
7. 7.4.1 Do Purchase Order include or reference, Record

as Appropriate
Name of Approved Vendor
Description of Material
Specification
Inspection / Acceptance criteria.
Test Certificate, if any
Inspection report required, if any.
Quantity
Packing requirements
Delivery schedule
Price
Other Terms & Conditions, if any
8. 7.4.1 Quotation approval Procedure Comparative Statement record
9. 7.4.1 Do you have a Monthly Customer Record

Schedule ?
10. 7.4.1 Procedure for Purchasing of non regular Follow one or more case and verify the
items. flow for Raw material requirement report
11. 7.4.1 Procedure to Approve the Vendor ? Record
12. 7.4.1 List of Approved Vendors? Record
13. 7.4.3.2 Basis of Supplier Quality Rating includes SQR Record

Quality, Delivery, Price & Service
14. 8.3 Action plan in case of Delivery less than Supplier Countermeasure report
100%
15. 8.3 If the Supplier is categorised as Notice cum Warning letter

"UNSATISFACTORY" then Action plan ?
16. 7.4.1 How do you Eveluate your Suppliers ? Vendor Eveluation Check Sheet, Visit
report
17. 7.4.1.2 Process to develop the Supplier Quality Assessment schedule of Suppliers,
Systems ? Supplier System Development
observation.
F-1705-01 Date : 01.01.08 Page No.:-21 of 73

18. 7.5.3 Is Product/Document identification Suitable Product/Document identification
maintained in the Deptt.?
19. 6.4.2 Housekeeping 5 'S'
20. 7.4.1 Minimum / Maximum Stocks and Re- Inventory Norms

order Levels for all Productive Materials.
21. 7.4.1 Have you decided the targets for Targets for Inventory
achievements & improvements on current
Inventory Policy ?
22. 6.2.2 Are personnel qualified based upon Training plan, Employees experience,
appropriate education, Training Training requirements, Training records,
requirements & have the training needs Job description.
for all personnel performing activities
affecting Quality been met ?
23. 6.2.2 Training effectiveness, Is training Audit Performance, Reviews, Pre & Post
periodically eveluated for effectiveness? Testing, Comparison between Customer
Needs & Training content programme.
F-1705-02 Date: 01.04.2009
F-1705-01 Date : 01.01.08 Page No.:-22 of 73

INTERNAL AUDIT CHECK SHEET - PLANT MAINTENANCE (ISO/TS-16949:2009)
DATE :
S. Ref.
Requirements What to look for Accessor Notes/Objective Evidence
NO Clause
1. 5.3 Is the Quality Policy implemented, Direct interview with randomly selected
Understood & Maintained in the people of the department.
Maintainance Department ?
2. 5.5 Is there a approved Organisation Chart in Record

the Maintainance department ?
3. 5.5.1 Has the Responsibility, Authority, Responsibility & Authority as defined in

Interrelationship of personnel who Job description, Responsibilities Matrices,
manage, Perform & Verify work affecting Procedures, Accountabilities documents.
Quality been defined & Documented ?
4. 4.2.3 Are all Documents & Data reviewed & Document Receipt Record
approved by authorised personnel with
Revision Number ?
5. 7.5.1.4 Availability of Documented & Established Procedure Development & Documentation

procedures for Plant Maintainance ?
6. 7.5.3 Is Product Identification maintained Suitable Product identification

through all stages of production ?
7. 7.5.3 Is there Machinary/Equipment Master list Record & Effectiveness

with identification code & location with
Revision Number ?
8. 7.5.1.4 Do you have a list of Key Process Record & Effectiveness

Equipment ?
9. 7.5.1.4 Do you have a list of Essential Spare parts Interact with Store Incharge & Weekly
with minimum stock level required for Review
smooth operation ?
10. 7.5.1.4 Annual Preventive Maintainance schedule Effective Implementation

include the activities i.e Daily, Monthly,
Half Yearly & Yearly including
Overhauling etc.
11. 8.4 Record of repeated failure, any Major M/C History Card
Spare part replacement & History of M/C.
12. 7.5.1.4 Machinewise Checklist for Maintainance Effective Implementation
13. 7.5.1.4 Is there any Register to enter the Breakdown Register/ Maintainance log
Maintainance complaint by plant / office book
staff?
14. 7.5.1.4 Maintainance job pending register and Job Pending Register review
pending job completed on next Sunday.
15. 8.4 Machine Breakdown Analysis Monthly Record
16. 8.4 Trend Chart, Action plan & Analysis Record & Effectiveness
17. 8.5.2.2 Are Mistake Proofing Techniques utilized, Examples of Mistake Proofing.
where appropriate ?
18. 7.5.1.4 Display of Preventive Maintainance Check Effective Implementation

Sheet at respective Machine/Equipment ?
19. 7.5.1.4 Are all the Manual /Circuit Diagram of Controlled & Proper storage
Machines are available ?
20. 6.4.2 Housekeeping 5-S
21. 6.2.2 Are personnel qualified based upon Training plan, Employees
appropriate education, Training experience,Training requirements,Training
requirements, & Experience as required & records, Job description
have the training needs for all personnel
performing Maintainance activities ?
22. 6.2.2 Training Effectiveness, Is Training Audit / Appraisal performance,

periodically eveluated for effectiveness? Questionaries, Performance reviews.
23. 6.2.2.3 Training on Job Training records for personnel in new

assignment
F-1705-02 Date: 01.04.2009
F-1705-00 Date : 01.04.02 Page No.:-23 of 73

INTERNAL AUDIT CHECK SHEET - TOOL MAINTENANCE (ISO/TS-16949:2009)
DATE :

Clause
in the Tool Room ?
2 5.5.1 Has the responsibility , authority, Responsibility & Authority as definedin


4 6.3.1 Does the Tool Room layout minimise Process flow analysis. Plant
material travel and handling facilitate layout(Current planned).
5 7.5.1.5 Have you established and implemented a Tool management process

system for tool management that includes
maintainance and repair facilities?
7 4.2.3 Are all documents(WI / Procedure/Drgs.) Document receipt record

and data reviewed and approved by
authorised personnel with revision no?
8 7.1 Is there any system to get the material / Indent / Store requisition slip
availability of material from store /
outside ?

through all stages of machining & assy. in
the tool room?
10 7.5.3 How is traceability maintained and Integration of customer tracibility

recorded when required by the customer? requirement.
11 6.4.2 Are the premises maintained in a state of Tour of plant 5'S' & KAIZEN
to the product mfd?
12 6.3.2 Do you have a contigency plan to contigency plan Identification

13 7.1 Display of WS at respective stages of WS awareness & Implementation

operation?
14 7.1 Daywise monthly production plan & Daily Daily plan/work sheet
plan?
15 7.5.1.5 Is there any tabular chart to see the Gannt chart

progress/status of tools?
16 7.5.1.5 Is there any sheet to follow the processing Job card with sketch / Drgs.
sequence & sketch ?
17 7.5.1.3 Do you verify job setups ? Job set-up records and approval
18 7.5.1.2 Are job instruction available for setup Set up instruction

personnel?
19 6.4.2 Housekeeping 5 'S'
20 7.5.1.5 Jigs/fixture maintainance procedure ? Die rectification request
F-1705-01 Date : 01.01.08 Page No.:-24 of 73

21 7.5.1.4 Details of Maintainance done in any die / Die history card
jigs/fixture ?
22 7.5.1.3 Sub component / semi processed Setup approval

component verification for acceptance ?
23 7.5.1.5 New developed tool (Inhouse / Out side ) Record of try out
try out jointly by Head TR & Head prodn.
suspect material or product provide for the flow(identification,segrigation,etc.)
identification,documentation,eveluation,se Obsolete product.
grigation,disposition and for notification of
all appropriate functions?
26 8.3 Is the responsibility for review and Procedure Work

product defined?
27 8.3 Are N.C. & suspect products reviewed in Record

and
requirement?
concession
Regarded for alternatiove application

their areas?
potential N.C.?

N.C.

& P.A. process?
32 7.5.1.5 Availability of documented and Procedure development & documentation

product?
provided?


periodically eveluated for effectiveness? Surveys/Questionaries,Performance
content programme

assignment
F-1705-02 Date: 01.04.2009
F-1705-01 Date : 01.01.08 Page No.:-25 of 73

INTERNAL AUDIT CHECK SHEET - FINAL INSPECTION (ISO/TS-16949:2009)
DATE :
S. Ref.
NO Clause
1 5.3 Is the Quality Policy implemented, Direct Interview with the selected people
understood & maintained in the Weld in the shop.
Shop ?
2 5.5 Has the Responsibility, Authority, Responsibility & Authority as defined in

Interrelationship of personnel who Job Description, Responsibilities Matrices,
Quality been defined & documented ?
3 5.5.1.1 Is the final inspection area staffed with Responsible person in all shifts
responsible persons in all shifts?
4 6.1 Are the necessary resources are being Resources provided

provided to implement and maintain the
QMS & continually improve it's
effectiveness to enhance the customer
satisfaction ?
5 6.2 Is the competence record available of the Educational, training, skill & experience
personnel whose work can affect the records
quality of product?
6 6.2.2 Is the training needs identification & Training Needs Identification, Training
training plan available for final inspection Plan & Records of training
deptt? Is the training
being provided to the personnel as per
plan?
7 6.3.2 Is the contingency plan available with final Contigency Plan

inspection area in case of potential
emergencies(like shortage of labour)
8 6.4.2 Is 5S being maintained in that area? 5S
9 7.5.1 Are the work instruction in final Work Instructions

inspection area available?
10 8.3 Is rejection components properly Identification disposal & control of

identified, controlled & disposed to rejections
prevent it's unintended use?
11 7.5.5.1 What is the procedure for handling over Procedute of handover of production
the production to final inspection?
12 7.1 Is the Control Plan/PCS/Visual Aid Plan to check

available for all the components?
13 7.1 Is the Work going on as per plan? Observing final inspection
F-1705-02 Date: 01.04.2009
F-1705-00 Date : 01.04.02 Page No.:-26 of 73

RASANDIK ENGINEERING INDUSTRIES INDIA LTD.
DATE
AUDIT CHECK LIST-PRODUCT DEVELOPMENT

S. (WHAT TO LOOK ASSEAAOR NOTES /
REQUIREMENTS
NO FOR) OBJECTIVE EVIDENCE
A
1 Are the customer requirements
available?
2 Is Product Development Plan
available and the targets are defined
& maintained?
3 Are the resources for realization of
Product Development planned?
4 Have the product requirements been
determined and considered?
5 Have the feasibility been determined
based on the available requirements?
6 Are the necessary personnel and

technical conditions for the project
process planned / available?
B
1 Is Design FMEA raised and are the
improvement measures established?
2 Is Design FMEA updated in the project

process and the established measures
realized?
3 Is a Quality Plan prepared?
4 Are the required release / qualification
records available at the respective
times?
5 Are the required resources available?
C
1 Are “Product Requirements”
available?
2 Is a process development plan
available and are targets determined
& maintained?
3 Are the “Resources” for realization of
Serial Production Planned?
4 Have the process requirements been
determined and considered?
5 Are necessary personnel and
technical preconditions for the project
process planned / available?
6 Is Process FMEA raised and are
improvement measure establi-shed?
D
F-1705-00
DATE
1 Is Process FMEA updated when

amendments are made in Project
Process and are the established
measures implemented?
2 Is Quality Plan prepared?
3 Are the required releases /
qualification records available at the
respective times?
4 Is a Pre-production carried out under
serial conditions for the serial release?
5 Are the Production & Inspection

Documents complete and are
available with concerned people?
6 Are the required “Resources”
available?
ELEMENT 5 : SUPPLIER / INPUT MATERIALS
S. Assessor Notes / Objective

REQUIREMENTS (What to look for)
NO Evidence
5.1 Are only approved quality capable
suppliers used?
5.2 Is the agreed quality of the purchased
products guaranteed?
5.3 Is quality performance evaluated and
corrective actions introduced when
there are deviations from the
requirements?
5.4 Are target agreements for continual
improvements of products and
processes made & implemented with
the suppliers?
5.5 Are the required release for the
delivered serial products available and
the required improvement measures
implemented?
5.6 Are the procedures agreed with
customer, regarding Customer
Supplied Products, maintained?
5.7 Are the stocks levels of input materials
matched to production needs?
5.8 Are Input Materials / internal residues

delivered and stored according to their
purpose?
5.9 Are the personnel qualified for the
respective tasks?
ELEMENT 6 : PRODUCTION

NO Evidence
F-1705-00
DATE
A PERSONAL / QUALIFICATION
6.1 Are the employees given responsibility
& authority for monitoring the product /
process quality?
6.2 Are the employees given responsibility

& authority for production equipment &
environment?
6.3 Are the employees suitable to perform

the required tasks and their
qualification maintained?
6.4 Is there a personnel plan with a
replacement ruling?
6.5 Are “Instruments” to increase
“Employee Motivation” effectively
implemented?
B
1 Are Product Specific quality
requirements fulfilled with the
production equipment / tools?
2 Can the quality requirements be
monitored effectively during serial
production with implemented
inspection, measuring and test
equipment?
3 Are the work and inspection stations
appropriate to the needs?
4 Are the relevant details in the
production and inspection documents
complete and maintained?
5 Are necessary auxiliary means

available for adjustments?
6 Is an approval for production starts
issued and are adjustment details as
well as deviations recorded?
7 Are the required corrective actions
carried out on schedule and checked
for effectiveness?
C
1. Are quantities / production lot sizes
matched to requirements and are
these purposefully forwarded to next
work stations?
2. Are products / components
appropriately stored and the transport
means / packing equipment tuned to
the special properties of the product /
components?
F-1705-00
DATE
3. Are rejects, reworks and adjustment

parts as well as internal residues
strictly separated and identified?
4. Is the materials / parts flow is secured
against mix ups / exchanges by
mistake and traceability guaranteed?
5. Are tools, equipment and inspection,

measuring and test equipment stored
correctly?
D
1. Are quality and process data recorded
complete and ready to be evaluated?
2. Are quality and process data

statistically analyzed and are
improvement programs derived from
this?
3. Are the causes of product and
process non-conformances analyzed
and the corrective actions checked for
their effectiveness?
4. Are processes and products regularly
audited?
5. Are product and process subject to
continual improvements?
6. Are target parameters available for
product and process and is their
compliance monitored?
ELEMENT 7 : CUSTOMER SERVICE, CUSTOMER SATISFACTION

NO Evidence
1. Are customer requirements fulfilled at
delivery?
2. Is customer service guaranteed (if
contractually agreed)?
3. Are complaints quickly reacted to and
the supply of parts secured?
4. Are fault analysis carried out when
there are deviations from the quality
requirements and are improvement
measures implemented?
5. Are personnel qualified for each task?
F-1705-00
INTERNAL AUDIT CHECK SHEET - TOP MANAGEMENT (ISO/TS-16949:2009)
DATE :
Cl. No. Questions Comment
What are the inputs used for establishing Quality Policy and Quality
5.3 Objectives? i.e. Mission, Vision, Corporate Policy, Top Management
Interests and priorities
5.3 Is Quality Policy:
a) Appropriate to the purpose of the organization i.e. Policy should be

in line with the current business priorities such as increase in market
share, Reduction in waste/rejection, cost, Customer Satisfaction, etc.
b) Includes the commitment to comply with requirements and

continually improve the effectiveness of QMS.
c) Provide the framework for establishing Quality Objectives
d) How is it ensured that the Quality Policy is communicated and

understood within the organization?
e) How is the Quality Policy reviewed for continuing suitability i.e.
Policy shall be under “Control of documents”?
Has Business Plan been prepared and include measurable quality

5.4.1
objectives? (Indirect Reference in Standard)
Do Quality Objectives include Customer expectation and their

5.4.1
achievement in defined time period?
5.4.1 Are the Quality Objectives sufficient to deploy the Quality Policy?
Are objectives deployed at relevant functions and levels within the

5.4.1
organization?
5.1 How is continual improvement of effectiveness of QMS is ensured?
Is there a system for monitoring, the product realization processes and

5.1.1 support processes for effectiveness and efficiency (i.e. Inputs vs
outputs)?
How do you communicate to the organization the importance of meeting the

5.1 a) customer requirements including the statutory and regulatory
requirements?
i.e. Memos, Displays, Meetings, etc.
Is the data collected, analyzed and compared with progress towards

8.4.1
objectives and lead to actions supporting following:
a) priorities for prompt solution to customer related problems
b) Determination of key customer related trends
c) Co-relation to support status review, decision making and long

term planning
d) Information system for the timely reporting of product

information arising from usage
Is data collected, compared with those of competitors and

8.4.1
appropriately bench marked?
(Note)
What are the inputs to you for identification of areas for continual
8.5
improvement?
8.5 Is the process of continual improvement defined?
8.5 Which are the areas of continual improvement?
Is there focus upon control and reduction of variations in product

8.5 characteristics and manufacturing process parameters mentioned in
control plans?
F-1705-02 Date 01.02.08 Page 31 of 73

i.e. after demonstrating the evidence of manufacturing processes

stable & capable and product characteristics are predictable including
meeting customer requirements.
6.1 How do you determine and make provisions for availability of resources,
Infrastructure i.e. building, hardware, software, utilities, transportation

6.3
means, communication mechanism, etc.
6.4 Environment related to product conformity.
What are the inputs provided to you that the customer requirements are
5.2
determined and met?
i.e. order review meetings, random checking of customer correspondence,

customer meetings and feedback’s etc.
What are the input decided by you and get to ensure enhancement in
5.2
Customer Satisfaction?
i.e. customer feedback, customer audits, customer survey, feedback to

obtain product image in the market, handling customer complaints,
increased market share, repeat orders, cost effectiveness, enhance met in
product properties, product development and i
5.5.1 How do you ensure that the responsibilities and authorities are defined?
i.e. documented or verbal
5.5.1 How are these communicated within the organization?
i.e. documented by means of manuals, meeting, training, appraisals, etc.
5.5.2 Has MR been appointed and is a member of the Management?
5.5.2 Are Customer Representatives designated?
Do they represent the need of the customer to address quality

requirements such as selection of special characteristics, setting
5.5.2
quality objectives and related training, corrective & preventive
actions?
5.5.2 Do they participate at the time of product design and development?
What is the process of internal communication established in your

5.5.3
organization?
i.e. Procedures, meetings, notice board, electronic media, etc.
5.5.3 What are the actions taken to improve the effectiveness of communication?
5.5.3 What is the system of identification of such communication?
Any Problems faced due to wrong / late communications and the

5.5.3
actions taken to improve them?
How effective is the communication?
5.6 Management Reviews
What is the role and involvement of Top Management in management

reviews (5.1)?
5.6 Are Management reviews done at planned intervals?
Is there a system for reviewing, suitability, adequacy and effectiveness

5.6
in order to make changes in the frequency of Management Review?
5.6 Are following inputs reviewed in the management reviews:
a) All Elements of QMS & their Performance Trends
b) Achievement of objectives specified in Quality Policy / Business

Plan
c) Reporting & Evaluation of Cost of Poor Quality
d) Achievement in Customer Satisfaction
e) Customer feedback i.e. customer satisfaction, Field Failures (actual

and potential) including their impact on Quality, Safety or the
Environment
f) Status of corrective and preventive actions
F-1705-02 Date 01.02.08 Page 32 of 73

i.e. Customer complaints, Internal rejections, process trends, etc.
g) Follow up of last management reviews
h) Changes that could affect QMS i.e. Reorganization, New products,
New Markets, Revised procedures
i) Recommendations for improvement i.e. Quality Policy, Objectives,

Audit result, analysis of data, preventive and corrective action and any
other business requirements.
j) Does Management Review considers QMS performance i.e.

monitoring of quality objectives, their regular reporting?
5.6 Are records of management review maintained?
Are all the inputs of Management review given above, discussed and
5.6 actions and decisions included in the records for the following three
outputs:
5.6 a) Improvement of the effectiveness of QMS and its processes.
Contd. b) Improvement of product related to customer requirements
c) Resources needs
5.6 Are Criteria determined to check the effectiveness of Management Reviews?
i.e. on-time implementation of actions, follow ups required, etc.
5.6 Are the decision and actions communicated to the various departments?
How these are communicated and how the follow up is monitored?
F-1705-02 Date: 01.04.2009
F-1705-02 Date 01.02.08 Page 33 of 73

INTERNAL AUDIT CHECK SHEET - MANAGEMENT REPRESENTATIV
16949:2009)
Cl. No. Questions

QUALITY SYSTEM DOCUMENTATION
4.1 Which are the processes identified in the QMS in the organization?
i.e. for management activities, outsourced activities, provision of resources

and product realization and measurement.
4.1 How do you ensure that these processes are established?

i.e. verbal or documented based on the complexity of the process.
4.1 Is the sequence and interaction of these processes determined?
4.2.1 Are documented statements of Quality Policy and Objectives available?
4.2.2 Does a Quality Manual includes
a) Scope of QMS i.e. activities, processes, product profile, sites,

Certification Scope
b) Justification of exclusions
c) Documented procedures or reference to them i.e. Control of

Documents, Control of Records, Control of Non-conforming Products,
Corrective and Preventive Actions, Internal Audits
d) Description of Interaction of processes i.e. Flow Charts, Process

Matrix
Are other documents needed by the organization to effective planning,

operation and control of processes are identified i.e. Additional
4.2.1
processes/procedures required, Organization charts, work instructions,
Quality Plans, Specifications, Documents contain
4.2.1 Are records as specified in the International Standard identified?
Which processes are you directly responsible for? i.e. Internal audits,
4.1 Management Reviews, Documentation, Customer Complaints, Identification
of Resources, Continual Improvement, etc.
CONTROL OF DOCUMENTS / RECORDS
4.2.3 Is documented procedure available to define controls for
a) Approval
b) Review and Update and re-approve
c) Changes and current revision status of documents are identified
d) Relevant versions of applicable documents are available at point of

use.
e) Legible and readily identifiable.
4.2.4 How the retention period for QMS related documents is decided?
Is it based on regulatory and customer requirements as a minimum?
INTERNAL AUDITS
8.2.2 Is Annual Audit Plan prepared for all shifts?
F-1705-02 Date 01.02.08 Page 34 of 73

Cl. No. Questions
8.2.2.4
Is audit frequency increased based on Internal / External non-

8.2.2
conformities, status and importance and findings of previous audit?
8.2.2.4
Does Audit Schedule include audit criteria, scope, frequency and method of
8.2.2
audits?
Does selection criteria of auditors considers that auditors do not audit their
own activity?
Has criterion for the qualification of auditors established and ensures

8.2.2.5
that the auditors meet these requirements?
8.2.2.4 Note Is Specific Check List used for each audit?
8.2.2 How does audit planning ensures objectivity and impartiality during audit?
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE
F-1705-02 Date 01.02.08 Page 35 of 73

DIT CHECK SHEET - MANAGEMENT REPRESENTATIVE (ISO/TS-
16949:2009)
DATE :
NAME OF AUDITEE :
Comment
F-1705-02 Date 01.02.08 Page 36 of 73

Comment
2009
AUDITOR SIGNATURE
F-1705-02 Date 01.02.08 Page 37 of 73

INTERNAL AUDIT CHECK SHEET - PRODUCTION (ISO/TS-16949:2009)
DATE :

4.1 How many processes are identified in the production department?
i.e. Various production stages can be taken as processes, identification and

traceability, Customer property, Preservation of product, etc.
Are Criteria determined to ensure that the production process is effective?
i.e. % Rejection, Achievement of monthly targets, Costs, Scrap, Utilization,

Cp & Cpk etc.
Are the methods available for above Criteria?
Are controls of processes determined?
Are process monitored, measured and analyzed?
5.4.1 Are the Quality Objectives deployed in the Production Department?
i.e. Same Objectives as determined along with Quality Policy or Supporting

Departmental Objectives.
6.4.2 Are the premises maintained in state of order, cleanliness and repair?
Are there contingency plans to satisfy customer requirements in the

6.3.2 event of utility interruptions, labor shortages, key equipment failures
and field returns (If not covered in Maintenance)?
Is there a production planning system established in order to meet

7.5.1.6
customer requirement just-in-time and is order driven?
Is there an information system established which permits access to

7.5.1.6
production information at key stages of the processes?
Is there understanding of Statistical Concepts – Variations, Stability,

8.1.2
Process Capability and over-adjustments?
8.2.3 and Are trend charts plotted for characteristics of processes and products to
8.2.4 identify opportunities of preventive actions?
Are process studies (Ppk) made for new manufacturing processes?
Do manufacturing process work instructions / PCS / OPC / equivalent

8.2.3.1
include following Objectives for:
a) Cpk (where identified)
b) Reliability
c) Availability
d) Process Acceptance Criteria
8.2.3 Are correction and corrective actions taken in case the Criteria are not met?
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Does reaction plan includes containment of product and 100%

8.2.3.1
inspection as appropriate when the process is unstable or non-capable?
Are action plans assigning responsibilities and targets for making the
8.2.3.1
processes, stable and capable made?
Are such action plans reviewed and approved with customer when
8.2.3.1
required?
Are significant process events such as tool change, machine repair

8.2.3.1
maintained on the control charts?
8.2.3.1 Do the records evidence effective dates of process changes?
What actions are taken on feed back from layout inspection included
8.2.4
in the control plans?
How such problems are corrected?
8.2.4 Are there customer designated appearance items?
If yes, how these are monitored using the following :
· Appropriate resources including lighting for evaluation
· Masters and their preservation
· Qualification of the personnel carrying out such tests
8.3.2 Do work instructions for re-working for the type of defects exist?
Do such work instructions are accessible to the employees doing re-

8.3.2
working and utilized for the type of defects?
Are areas of continual improvement identified for improving effectiveness of

8.5
QMS in production department?
i.e. improvement in quality objectives, audit results, conformity to product

requirements, characteristics and trends related to product or process and
corrective and preventive actions
Is there focus on control and reduction on variation in product

characteristics and process parameters defined in the control plans?
Are the inputs identified for carrying out the production and service
7.5.1
provisions under controlled conditions?
a) Characteristics of product
b) Work instructions if necessary
c) Suitable equipment
d) Availability and use of monitoring and measuring devices
e) Implementing monitoring and measurement
f) Implementation of release, delivery and post delivery activities.
g) And inputs from other departments such as identification and

traceability system; Requirements of preservation; Quality Plan; System for
customer property; Production / Despatch plan, Infrastructure; Working
environment
7.5.1 Are setup instructions available for setup personnel?
When and how the Job Setups are verified? Are statistical methods
7.5.1.3
used during verification, where applicable?
7.5.1.3 Is last off comparison done?
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Are there documented work instructions for all employees involved in

7.5.1.2
operations of processes?
Are these instructions based on control plan / quality plan and

7.5.1.2
product realization processes?
7.5.1.2 Are these instructions available at the site of use?
7.5.1.8 Are there service agreements with the customers?
How is the effectiveness of service centers, special purpose tools in

7.5.1.8
service centers and training of service personnel is verified,?
How the feedback received from service concerns is utilized in

7.5.1.7
manufacturing?
Is it communicated through engineering and design activities to know

the actions to be taken by them?
Is infrastructure required for the conformity of the product determined and

6.3
maintaining?
i.e. Buildings, workspace, hardware, software, utilities, transportation and

communication mechanism.
Is the work environment needed for the conformity of the product

6.4
determined and managed?
Does existing manufacturing processes minimize potential risks to

6.4.1
employees and product safety?
6.4.1 Are the personnel using PPEs where potential risks are identified?
Are products identified by suitable means at all stages of manufacturing

7.5.3.1
processes?
7.5.3.1 Is the product inspection status identified at all stages?
7.5.3.1 Is product traceability maintained?

What is the requirement of the customer for traceability?
7.5.4 Are customer properties identified, verified, protected and safeguarded?
7.5.4.1 Are there any customer-supplied tools, inspection tools & equipment?
7.5.4.1 How such tools are identified for tool ownership?
Are records maintained for the customer property that is lost, damaged and
7.5.4
is reported to the customer?
i.e. also includes intellectual property?
Are the products and their constituents identified, handled, packed, stored
7.5.5
and protected to preserve conformity?
i.e. protected against mechanical damage, humidity, static electricity,

corrosion and contamination, shelf life
Is the identified what processes shall be qualified for production and

7.5.2
service operations?
i.e. welding, heat treatment, food preparation, image processing, air traffic
control services, etc.
Is a process qualification established defining criterion for review and

approval of process, approval of equipment and qualification of personnel,
specific methods or procedures?
i.e. normally documented
Are records of qualification maintained?
F-1705-02 Date 01.02.08 Page 40 of 73

Is revalidation of processes is carried out as per the planned arrangements?
Are ALL processes utilized for production and service provision

7.5.2.1
validated?
Are the feed backs on inspection and tests activities carried out for the
8.2.4
product at the in-process stages are received?
8.5.2 Are non-conformities of products, processes including customer complaints:
a) Reviewed
b) Analyzed for determining cause
c) Evaluated for the need of action
d) Determining and implementing actions
e) Reviewing the action
Is there a system for utilizing a process for Problem Solving, leading to

8.5.2.1
root cause identification and elimination?
8.5.2.1 Is there customer prescribed format and if yes, are the same utilized?
How mistake / error proofing is considered in corrective & preventive

8.5.2.2
action processes?
Are such actions applied on similar other processes and products to

8.5.2.3
eliminate the cause of non-conformities?
8.5.2
Are records of results of action taken maintained?
8.5.3 Are potential non-conformities determined and
· Reviewed
· Analyzed for determining cause
· Evaluated for the need of action
· Determining and implementing actions
· Reviewing the action
8.5.3 Are records of results of action taken maintained?
6.1 Are the resources required for the process available?
6.2 Is the competence defined for the personnel performing production process.
6.2 Are these competence requirements compiled with?
6.2 Are inputs for HRD process identified in terms of training needs?
Are actions taken for the non-conformities identified in internal audit

8.2.2
without any undue delay?
What are the inputs communicated to various departments and how they
5.5.3
are communicated?
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INTERNAL AUDIT CHECK SHEET - QUALITY CONTROL (ISO/TS-16949:2009)
DATE :

4.1 How many processes are identified in the quality department?
i.e. incoming inspection, in-process inspection, final inspection,

identification and traceability, Customer property, etc.
4.1 Are Criteria determined to ensure that the quality processes are effective?
i.e. % Rejection, Receiving Inspection clearance time, targets, Cost of

inspections, Scrap, Utilization Cp & Cpk, etc.
4.1 Are the methods available for above Criteria?
4.1 Are controls of such processes determined?
4.1 Are process monitored, measured and analyzed?
7.5.4.1 Are there any customer supplied inspection tools / gauges?
7.5.4.1 If yes, how such tools / gauges are identified for tool ownership?
Is the acceptance criteria established and implemented to ensure that

7.4.3
purchased product meets specified purchase requirement?
7.1.2 Is zero defect sampling used for Attribute Data Sampling?
What methods have been defined as a process for verification of

7.4.3.1
purchased products? Is it any one or more of the following:
· Receipt and evaluation of statistical data
· Receipt Inspection such as sampling based on performance
· 2nd / 3rd Party Assessments / Audits at supplier site coupled

with records of acceptable quality performance
· Evaluation from external accredited laboratory
· Any other method agreed with customer
Are trend charts plotted for characteristics of processes and products to

8.4
identify opportunities of preventive actions?
How the customer related problems are prioritized and prompt

8.4.1
solutions are provided to the respective functions?

8.2.3.1
Are action plans made assigning responsibilities and targets for

8.2.3.1
making the processes, stable and capable?
8.2.3.1
required?
Are significant process events maintained on the control charts, such

8.2.3.1
as tool change, machine repair? (Check with Production also)
8.2.3.1 Are the records of effective dates of process changes maintained?
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8.1.2
How the products or processes, which do not confirm to the

5.5.1.1
requirements are communicated for taking corrective actions?
Who is authorized to stop production till the quality problems are not
5.5.1.1
resolved?
How many working shifts are there and are all shifts have been staffed
5.5.1.1 with responsibilities for ensuring product quality? Any notification for
same.
5.4.1 Are the Quality Objectives deployed in the Quality department?


8.5
QMS in quality department?

requirements, characteristic and trends related to product or process and
corrective and preventive actions, Quality Cost .
4.1 Are all the inputs available for monitoring and measurement of product?
i.e. Characteristics of the product, Quality Plan, Inspection and Test

equipment, competent staff.
Are appropriate stages of product realization process have been identified

8.2.4
where monitoring and measurement of the product is to be carried out?
i.e. incoming, in-process and final.
Is the monitoring and measurements mentioned above carried out?
Are records of conformity maintained with the acceptance criterion along

with the personnel authorized to release the product?
i.e. in process and final release.
Are approvals taken by the relevant authority or customer for the deviation
from the planned arrangements?
Is the suitability of following determined for measurements of

8.2.4
characteristics? :
(Note) a) Type of measurements
b) Measurement means (Equipment, methods & Environmental

Conditions)
c) Capability and Skill required for the testing personnel
Are Layout Inspections at specified frequency included in control plans

8.2.4.1
being carried out?
Verify effectiveness of layout inspection and functional testing? What

8.2.4.1
records are maintained?
How the feed back on layout inspections is utilized for correcting the
8.2.4.1
problems?
8.2.4.2 Are there customer designated appearance items?
Are the following provided:
F-1705-02 Date 01.02.08 Page 43 of 73

Are the instruments / Gauges / Test Soft Wares used for testing /
7.6
verification in quality calibrated or verified?
Is MSA carried out for such instruments which are referred in Control
7.6
Plans?
What are improvement plans for enhancing Measurement Systems?
8.3 Is there a documented procedure available for non-conforming material?
Are the responsibilities and authorities for dealing with non-conforming

product defined in the procedure?
Do the procedure address identification and control of non-conforming

products to prevent unintended use or delivery?
Do the procedure address the ways of disposition of the non-conforming

product in form of rework, use-as it is, alternate use?
Are records of nature of non-conformities and concessions maintained?
Is re-verification carried out for the corrected product?
Are appropriate actions taken in case of a non-conformity detected after

delivery of the product, after analyzing the effects of non-conformity?
What is the criteria of considering suspected products as non-

8.3.1 conforming materials (e.g. Lost Test Status, materials tested with
instrument out of calibration and obsolete materials)?
Do work instructions for re-inspection of re-work products for the type

8.3.2
of defects exist?
Do such re-testing instructions are accessible & utilized by the

8.3.2
personnel?
How customer is informed promptly, when non-conforming products

8.3.3
have been dispatched to them? (If not covered by Marketing)
Is there a system for taking concessions on Non-conforming Products

8.3.4
from customer prior to further processing?
Do records of concessions mention Quantity or Expiration period by

8.3.4
customer?
What is the monitoring system to ensure that after the above

8.3.4 conditions are over, the products are supplied as per original
specification?
What type of Marking / Identification is provided to customer

8.3.4
“Concession” Products”?
Are the above requirements also applicable to products received from

8.3.4
the suppliers?
6.2 Is the competence defined for the personnel performing quality process?
Are these competence requirements complied with?
Are inputs for HRD process identified in terms of training needs?
F-1705-02 Date 01.02.08 Page 44 of 73

8.2.2
Verify identification of the stages (Production & Delivery) and

8.2.2.3
frequency of Product Audit?
Records (Dimensions, Functionality, Packaging and labeling) of the

8.2.2.3 effectiveness of Product Audits (Dock Audit) carried out at specified
frequency?
Is ‘Process Audit” carried out at each Manufacturing Process? Verify

8.2.2.2
frequency and check List.
8.2.2.2 How the records demonstrate its improvement and effectiveness?

8.5.2.1

8.5.2.2
action processes?

8.5.2.3
8.5.2.4 Are products rejected by the customer / dealership analyzed?
How much time is taken in analyzing these returned products and

8.5.2.4
actions are taken to minimize the same?
Are the actions also taken to prevent the occurrence of such non-
8.5.2.4
conformances?
5.5.3
are communicated?
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INTERNAL AUDIT CHECK SHEET - CALIBRATION (ISO/TS-16949:2009)
DATE :

Is the process for control of monitoring and measuring devices
7.1
established?
Are Criteria determined to ensure that the calibration processes

4.1
are effective?
i.e. No. of adjustments required, etc.
Are trend charts plotted for characteristics of processes to identify

8.4
opportunities of preventive actions?
Are correction and corrective actions taken in case the Criteria are
8.2.3
not met?
Are all the inputs taken from the various departments? i.e.
4.1
monitoring and measurements to be done, desired accuracy.
Are the equipment calibrated or verified at specified intervals or

7.6
prior to use?
Are the equipment adjusted as necessary?
Are equipment identified for calibration status?
Are equipment safeguarded from adjustments?
Are equipment protected against damage and deterioration?
Does the organization assess and record validity of previous

measuring results if the equipment is found non-conforming?
Are software confirmed prior to initial use and reconfirmed as

necessary?
Are the records of calibration and verifications maintained?
Do calibration records for instruments and gauges (including

7.6.2
owned by customer / employees) include
a) Equipment identification
b) Measurement Standard against which it is calibrated
c) Revisions following any Engg Change
d) Out of Specification Readings as received for calibration
e) Assessment of impact of out of spec conditions
f) Statement of conformance after calibration
If suspect materials (checked with instruments which are found

7.6.2 out of calibration) have been shipped to customer, are they
notified?
Laboratory Management :
7.6.3.1
Is Laboratory (Standard Room) Management System For Internal
Calibrations / Testing, exists?
Is Laboratory Scope defined for testing and calibration in QMS

7.6.3.1
Documentation?
F-1705-02 Date 01.02.08 Page 46 of 73

7.6.3.1
Does Laboratory (Standard Room) comply with technical
requirements including :
· Adequacy of Lab Procedures
· Qualification of Lab personnel
· Capability to test correctly
· Tests traceable to relevant process standards (e.g ASTM etc)
Are External Sources for Testing / calibration of instruments and

7.6.3.2
Masters accredited to ISO/IEC 17025 or national equivalent?
(A)
In the event of 7.6.3.2 (A) above is not possible, Is the laboratory

7.6.3.2
used is approved by customers?
Is Laboratory Scope of external sources examined before enrolling

7.6.3.2
them for calibrations / tests?
Are instruments / gauges as given in Control Plans identified for

7.6.1
MSA studies?
Look for MSA Study Data for correctness of study and the
7.6.1
understanding of the analyst?
7.6.1 What are action plans for improvement in MSA studies?
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INTERNAL AUDIT CHECK SHEET - MARKETING (ISO/TS-16949
Cl. No. Questions

7.1 How is customer related process identified and established?
Are Criteria determined to ensure that the customer related processes are
4.1
effective?
i.e. Sales target, Customer Satisfaction, Delivery compliance, customer

complaints, customer returns, etc.
Are trend charts plotted for characteristics of processes to identify

8.4
opportunities of preventive actions?

8.3
have been dispatched to them? (If not covered by QA)
5.4.1 Are the Quality Objectives deployed in the marketing department?

Are areas of continuous improvement identified for improving effectiveness

of QMS in quality department?

requirements, characteristics and trends related to product or process and
corrective and preventive actions.
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE
F-1705-02 Date 01.02.08 Page 48 of 73

UDIT CHECK SHEET - MARKETING (ISO/TS-16949:2009)
DATE :
NAME OF AUDITEE :
Comment
AUDITOR SIGNATURE
F-1705-02 Date 01.02.08 Page 49 of 73

RASANDIK ENGINEERING INDUSTRIES INDIA LIMITED
INTERNAL AUDIT CHECK SHEET - DEVELOPMENT & MANAGEMENT OF PRODUCTION
TOOLING (ISO/TS-16949:2009)
DATE :

7.1.1 Is tool development compatible with APQP Timing planing?
7.5.1.5 Are resources available for tool and gauge design, fabrication and
verification activities?
7.5.1.5 Is “Development Plan” prepared, maintained and monitored for Tool

Development covering :
· Designing of Tools
· Manufacturing of Tools
· Verification of Tools
7.5.1.5 If the tool development activity is out-source, is there a system for

tracking the progress with them?
7.5.1.5 Are tool design modification documents maintained and their

engineering change level (including effective date of change) are also
documented?
DESIGN / R&D / ENGG DEPT.

GENERAL QUESTIONS (FOR DESIGN & MANUFACTURING ORGANIZATIONS)
7.1 How is design process established?
4.1 Are Criteria determined to ensure that the design processes are effective?
i.e. Compliance to the plan, no. of amendments in design, %age of design

success, etc.
7.1 Is there a system of project management or APQP as a means to

achieve product realization?
(Note)
7.1.1 Are customer requirements and reference to their technical
specifications considered during planning of product realization?
7.1.1 Has Quality Plan for newly developed products been established
incorporating customer requirements and references of their technical
specifications?
7.1.4 Is there a process defined to control and react to the changes, which
can have impact on product realization including suppliers?
7.1.4 How the effects of any changes are assessed and consequential
verification and validation activities defined to meet customer
requirements?
7.1.4 Applicable to only Proprietary Designing Co. – Does the process exist
to assess the impact on form / fit function including performance
durability? Is it reviewed with the customer?
4.2.3.1 Is there a process to assure timely review, distribution and

implementation of customer engineering specifications and changes
based on Customer required schedule?
4.2.3.1 What is the system of updating the other documents based on the
desired changes?
F-1705-02 Date 01.02.08 Page 50 of 73

4.2.3 Does the record of the date on which the respective changes have been
implemented in production, maintained?
7.1.2 Do the control plans include acceptance criteria?
7.1.2 Does Customer requires approval of acceptance criteria? If so, has it

been obtained?
7.1.2 Is acceptance criteria for attribute data sampling is “Zero Defect” and
the same is included in respective control plans?
7.1.3 How is the confidentiality of customer contracted products and

projects during development including their related product
information assured?
7.3.1.1 Is Multi-disciplinary approach used for

· Finalization of Special Characteristics
· Developing & Reviewing FMEA
· Reducing Potential Risks as per FMEA
· Developing & reviewing Control Plans
6.3.1 Is multi-disciplinary approach used for developing plant facilities and

equipment plans during new product development and changes in
processes?
6.3.1 Is plant layout available and used for optimizing material travel,
automation, handling and value-added use of floor space?
6.3.1 What is the system for developing implementing, evaluating and

monitoring the effectiveness of existing operations (Do they
understand lean manufacturing systems and its link with QMS)?
8.1.1 Are appropriate Statistical Tools identified for each process and
included in Control Plans?
7.5.1.1 Are control plans available for all systems, sub-systems, component
and/or material / parts?
7.5.1.1 Are the control plans compatible with FMEA outputs?
7.5.1.1 Are control plans reviewed and updated as and when any changes
occur affecting product, manufacturing process, measurement
logistics, supply sources or FMEA?
7.2.3.1 Does capability exists for communication in a customer specific

language (e.g. CAD, Math Data) where required for contractual
purposes?
8.4 Are trends charts plotted for characteristics of processes and products to
5.4.1 Are the Quality Objectives deployed in the design / development

department?

7.5.4 Are customer intellectual property i.e. drawings, samples identified and
protected and safeguarded?
5.4.1 Are areas of continuous improvement identified for improving effectiveness

of QMS in the department?

requirements, characteristics.
6.2 Is the competence defined for the personnel performing Design process?
F-1705-02 Date 01.02.08 Page 51 of 73

8.2.2 Are actions taken for the non-conformities identified in internal audit
5.5.3 What are the inputs communicated to various departments and how they
are communicated?
Applicable to All Companies :
7.3.2 Are following considered as inputs for “Manufacturing Process

Design”?
· Product Design Output data;
· Targets for productivity, process capability and cost;
· Experience from similar previous development
· Customer requirements, if any.
6.4.1 Does Manufacturing Process Design Input also include the

requirements of potential risk to employees?
7.2.1 Are “Special Characteristics” identified by customer

documented and considered?
7.3.2.2 Are all special characteristics identified and:

· Included in Control Plans;
· Referred in all other identified documents like FMEA,

Operator Instructions and other similar, like Inspection
Standards
7.3.3 Are Manufacturing Process Design Output prepared and the

same can be verified and validated against Manufacturing
Process Design Input requirements?
Are the following considered as Manufacturing Process Design

Output? :
· Specification / Drawing
· Manufacturing Process Flow Chart / Layout
· Manufacturing PFMEA
· Control Plans
· Work Instruction
· Process Approval Acceptance Criteria
· Data for Quality, Reliability, Measurability
· Results of Error proofing, as applicable
· Method of rapid detection (SPC / Gauging) and feed back

to Production Dept of Non-conforming products
6.4.1 Do Potential failure modes of PFMEA consider the effect of

potential risk to Product Safety and human beings?
7.3.4.1 Are the specified stages defined where measurements (e.g.

quality risk, cost, lead time, critical path etc) are to be
carried out?
7.3.4.1 Is analysis carried out after Manufacturing Process Design

Review with respect to above?
7.3.4.1 Are the results of such reviews reported in Management review

for progress on design & any constraints of resources?
7.3.5 Is verifications performed as per APQP / Project Management Plans

to ensure that outputs meets the input requirements?
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7.3.5 Are records of this verification and actions arising maintained?
7.3.6 Is Manufacturing Process validation performed as per APQP /

Project Management Plan to ensure that the product and process
meets the targets (e.g. Productivity, Quality Targets, cost, Process
Capability)?
7.3.6 Are records of validation and action arising are maintained?
8.2.3.1 Are manufacturing process studies on all new processes

performed to verify process capability?
8.2.3.1 Are Manufacturing Process Studies utilized to provide
additional inputs to Process Controls?
8.2.3.1 Are results of such process studies documented with

specifications and incorporated in instructions for production,
measurement & test and maintenance?
8.2.3.1 Are the objectives on manufacturing process established based

on above
· for :
capability,
· reliability,
· maintainability, and
· availability
· acceptance criteria
7.3.6 Is the Manufacturing Process Design validated within the time

frame as per customer requirements?
7.3.6 Does customer require Prototype Program including Control

Plan?
7.3.6 Are same suppliers, Tools, Manufacturing Process, where

possible, used in Pre-launch & Production?
7.3.6 Are performance testing activities been monitored for timely

completion for meeting the requirements (i.e. within Prototype
Program Timing)?
7.3.6 Are there some of the out-source activities? If yes, how the
same are monitored to meet Prototype Programming?
7.1 (Note) What is the mechanism of notification for any changes in

Product and manufacturing process to the customer?
7.3.6 Is Product Approval Process (PPAP) as recognized by customer

being followed?
7.3.7 Are the design changes notified by customers reviewed, verified

and validated and approved before implementation?
7.3.7 Is APQP / PPAP revised based on these changes, where

necessary?
7.3.7 Are records of these design changes maintained?
Applicable Only to Product Design Responsible Companies
7.3.1 Does the organization plan and control its design process?
i.e. the objectives of this plan is to identify all relevant activities so that
they can be performed in a systematic manner.
This plan may be documented or verbal.
7.3.1 Are following determined during the planning stage:
F-1705-02 Date 01.02.08 Page 53 of 73

a) the design and development stages
b) the review, verification and validation that are appropriate to each
design and development stage
c) the responsibilities and authorities
5.5.3 Is effective communication within the various departments ensured?
5.5.3 Is the planning output updated as the design process progresses?
7.3.2 Are inputs relating to the product requirements determined and include:
a) Functional and performance requirements
b) Applicable statutory and regulatory requirements
c) Previous design inputs if available
d) other requirements
7.3.2.1 Are following considered as Design Input Requirements? :
· Customer requirements such as special characteristics

mentioned;
· Applicable Statutory & Regulatory Requirements;
· Use of information from similar design projects;
· Competitor analysis;
· Supplier feed backs;
· Field data;
· Targets for quality, life, durability, timing, cost etc.
6.4.1 Does Design Input also include the requirements of product safety?
7.2.1 Are “Product Specific Special Characteristics” as identified by

customer documented and considered while product designing?
7.3.2 Are these inputs reviewed for adequacy before commencing the process and
records maintained?
7.3.3 Does the design output:
a) meet the input requirements
b) provide appropriate information to purchasing, production and

service operation
c) Contain or reference product acceptance criterion
d) Specify the characteristics of the product that are essential for its
safe and proper use.
7.3.3 Are these design outputs approved prior to release?
7.3.3 Are following included in Design Output?:
· DFMEA, Reliability Test Results;
· Product Special Characteristics & Specifications
· Product Drawing or Math Data;
· Product Design Review Data;
· Diagnostics Guidelines, if applicable
6.4.1 Do Potential failure modes of DFMEA consider the effect of potential

risk to Product Safety and human?
7.3.3 Are Design Outputs verified and validated against Design Input
requirements?
7.3.4 Are reviews conducted at appropriate stages as identified at the planning

stage?
F-1705-02 Date 01.02.08 Page 54 of 73

7.3.4 Are records of reviews and actions arising maintained?
73.4.1 Are the specified stages defined where measurements (e.g. quality
risk, cost, lead time, critical path etc) are to be carried out?
7.3.4.1 Is analysis carried out after Product Design Review with respect to
above?
7.3.4.1 Are the results of such reviews reported in Management review for
progress on design & any constraints of resources?
7.3.5 Is verifications performed as per the design plan to ensure that outputs
meets the input requirements?
7.3.5 Are records of this verification and actions arising maintained?
7.3.6 Is design validation performed as per the design plan to ensure that the
product meets specified application or intended use, where known?
7.3.6 Where ever practical is this validation performed prior to delivery?
7.3.6 Are records of validation and action arising are maintained?
7.3.6 Do Designs validated as per customer requirements within the time

frame desired by them?
7.3.6 Does customer require Prototype Program including Control Plan?
7.3.6 Are performance testing activities been monitored for timely

completion for meeting the requirements (i.e. within Prototype
Program Timing)?
7.3.6 Are there out-source activities? If yes, how the same are monitored to
meet Prototype Programming?
7.1 (Note) What is the mechanism of notification for any changes in Product and
manufacturing process to the customer?
7.3.7 Are the design changes reviewed, verified and validated and approved
before implementation?
7.3.7 Are records of these design changes maintained?
F-1705-02 Date: 01.04.2009
F-1705-02 Date 01.02.08 Page 55 of 73

INTERNAL AUDIT CHECK SHEET - CUSTOMER SATISFACTION (ISO/T
Cl. No. Questions

8.2.1 Is method of measurement of customer satisfaction / perception
determined?
i.e. customer feedback, customer audits, customer survey, feedback to

obtain product image in the market, handling customer complaints,
increased market share, repeat orders, cost effectiveness, enhancement in
product properties, product development and i
8.2.1.1 Is following considered in Customer Satisfaction, as a minimum:
· Delivered Part Quality Performance
· Customer disruptions (Line Stoppages) including Field Returns
· Delivery Performance
· Incidents of Premium Freight
· Customer Notification (including Penalty etc) on Quality /

Delivery Issues
8.2.1 What is the system for getting feed back on monitoring the
performance of manufacturing processes for compliance with customer
requirements and efficiency (OEE) of Processes to co-relate with
enhancement in customer satisfaction?
8.2.1 Are corrective actions identified if the customer requirements are not full
filled?
7.2.1 How are requirements related are identified as an input?
a) Stated (Delivery, post delivery – After Sales Service - customer

requirements)
b) Unstated Requirements i.e. identified unstated requirement dictated

by the end use of the product – Recycling, Environmental impact, any
special characteristics not identified by customer.
c) Statutory and regulatory requirements related to the product –

Storage, Handling, Recycling, Disposal of Materials, Acquisition
d) Any additional requirements i.e. pre-despatch information, pre-

despatch inspection, etc.
7.2.2 Are the requirements reviewed and necessary inputs from the various
departments obtained prior to organization commitment?
Are the records of above reviews and actions arising due to this review
maintained?
Are the relevant documents amended and communicated to the relevant

departments in case of amendment to the order?
Are verbal orders confirmed to the customer before acceptance?
Is the output from the marketing department communicated to the relevant

departments?
7.2.2.1 Is “Manufacturing Feasibility” of proposed product including Risk

Analysis a part of Contract Review Process?
Is it linked with Product Quality Planning?
7.2.3 Are arrangements for communicating to the customer for product

information, inquiries, customer feedback including customer complaint
determined?
F-1705-02 Date 01.02.08 Page 56 of 73

Cl. No. Questions
6.1 Are the resources required for the process identified and available?
6.2 Is the competence defined for the personnel performing marketing process?
are communicated?
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE
F-1705-02 Date 01.02.08 Page 57 of 73

HECK SHEET - CUSTOMER SATISFACTION (ISO/TS-16949:2009)
DATE :
NAME OF AUDITEE :
Comment
F-1705-02 Date 01.02.08 Page 58 of 73

Comment
AUDITOR SIGNATURE
F-1705-02 Date 01.02.08 Page 59 of 73

INTERNAL AUDIT CHECK SHEET - TOOL MANAGEMENT (ISO/TS-1
Cl. No. Questions

7.5.1.5 Is Tooling Management System established?
7.5.4.1 Are there any customer supplied tools, inspection tools & equipment?
7.5.4.1 How such tools are identified for tool ownership?
7.5.1.5 Are maintenance and repair facilities including personnel available for
tools / gauges?
7.5.1.5 Is there adequate system for storage and recovery of tools / gauges?
7.5.1.5 Are tool change / repair programs established for perishable tools?
7.5.1.5 Are there setup instructions for any specific tools?
7.5.1.5 Are records for such tools / gauges maintained? Are these records
reviewed for change in frequency of maintenance?
7.5.1.5 Does records indicate the tool modification and revision to respective
documentation?
7.5.1.5 Are the tools / gauges properly identified and their status known e.g.
For Production, repair or disposal?
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE
F-1705-02 Date 01.02.08 Page 60 of 73

DIT CHECK SHEET - TOOL MANAGEMENT (ISO/TS-16949:2009)
DATE :
NAME OF AUDITEE :
Comment
2009
AUDITOR SIGNATURE
F-1705-02 Date 01.02.08 Page 61 of 73

INTERNAL AUDIT CHECK SHEET - HRD / P & A / TRAINING (ISO/TS
Cl. No. Questions

7.1 How is HRD process established?
6.2.2.2 Is there a documented procedure for identifying training needs and

achieving competence?
4.1 Are Criteria determined to ensure that the HRD processes are effective?
i.e. No. of re-trainings required, Training hrs. per employee, gaps between
competence required and actual, etc.
8.4 Are trend charts plotted for characteristics of processes and products to
5.4.1 Are the Quality Objectives deployed in the HRD department?

5.4.1 Are areas of continuous improvement identified for improving effectiveness

of QMS in HRD department?

corrective and preventive actions.
4.1 What inputs are communicated to HRD department for the various needs?
6.2.2 Is necessary competence on the basis of education, training, skill,

experience determined for various personnel?
Are there any gaps between the above needs and actual?
Are training or other actions taken i.e. Hiring, Job rotation.
Are the criterion determined to evaluate the effectiveness of action taken?
Is the competence defined for the personnel conducting training?
6.2.2.1 Do records exist for Design Personnel w.r.t training in design

applicable tools and techniques to acquire “Product Design Skills”?
(e.g. DOE, DFMEA, GD&T etc.)
6.2.2.3 Is On Job Training provided to personnel as and when a new products

are developed? Are records maintained?
F-1705-02 Date 01.02.08 Page 62 of 73

Cl. No. Questions
6.2.2.3 Are training provided to contracted / agency personnel who carry out
critical / major activities as and when a new product is developed? Are
records maintained?
6.2.2.3 In case the non-conformities to quality requirements are encountered,

are the people aware of the consequences to the customers?
6.2.2.4 Does the organization have a process for motivating the employees to
achieve quality objectives and continuous improvement. (Incentive
schemes etc.)
6.2.2.4 Is there any process established at all levels for promoting quality /
technological awareness throughout the organization? (Structural
Training, Quality Circle, Visual Aids etc.)
6.2.2.4 What is the process of measurement that the persons understand and
are aware of the relevance and importance of their activities in
achieving Objectives? (Evaluation and measurement Criteria of
involvement)
are communicated?
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE
F-1705-02 Date 01.02.08 Page 63 of 73

CHECK SHEET - HRD / P & A / TRAINING (ISO/TS-16949:2009)
DATE :
NAME OF AUDITEE :
Comment
F-1705-02 Date 01.02.08 Page 64 of 73

Comment
AUDITOR SIGNATURE
F-1705-02 Date 01.02.08 Page 65 of 73

INTERNAL AUDIT CHECK SHEET - STORES (ISO/TS-16949:2
Cl. No. Questions

7.5.5 Are the raw materials / parts identified, handled, packed and stored
adequately to preserve the conformity of the product?
Are the in-process materials identified, handled, packed and stored

Are the finished products identified, handled, packed and stored

7.5.5.1 Is the condition of materials / products lying in stocks assessed?
7.5.5.1 Is frequency of such assessment defined and what is the basis taken
for the same?
7.5.5.1 Is system for Inventory Management defined?
7.5.5.1 What is the basis taken while defining and optimizing the inventory?
7.5.5.1 What action plans are available to optimize the same in order to
reduce the inventory costs?
7.5.5.1 What is the evidence of stock rotation such as FIFO system?
7.5.5.1 How are the obsolete products / components / materials lying in

stores dealt? Are these considered and controlled as per non-
conforming materials (Disposal)?
F-1705-02 Date: 01.04.2009
AUDITEE SIGNATURE
F-1705-02 Date 01.02.08 Page 66 of 73

AUDIT CHECK SHEET - STORES (ISO/TS-16949:2009)
DATE :
NAME OF AUDITEE :
Comment
AUDITOR SIGNATURE
F-1705-02 Date 01.02.08 Page 67 of 73

INTERNAL AUDIT CHECK SHEET - PPC (ISO/TS-16949:2009)
DATE :

Clause
implemented,understood and maintained people of the deptt .
in the PPC ?

3 5.5.1.1 Are the PPC shift staffed provided PPC responsible personnel in all shift.
personnel for PPC responsibility?
4 7.5.1.6 Is there a production planning system Customer schedule & Day wise monthly
established in order to meet Customer Production Plan.
requirement just in time and is order
driven ?
5 7.5.1.6 Is there an information system established Daily Production Report

which permits access to production
information at key stages of the
processess.
6 Based on the plant efficiency, maintain Contract Review

current " Contract Review " for each
machine at each stages of processing for
different products.
7 Examine Stock statement ( Monthly Monthly Inventory Sheet

inventory sheet) of WIP lying in different
sections on the last working day of every
month.
8 Compile " Finished Goods Stock Monthly Inventory Sheet / Stock

Statement " , Raw Material / BOP and statement of RM, BOP & CSP.
Customer supplied products for the
materials lying in "Finished Goods Ware
House"/ Store by end of every month.
9 Review the previous month:s pending Statement of Pending Customer Orders &
schedule which have been not executed in analysis of DI Failures.
the current month so far from Delivery
performance monitoring and DI FAILURES
must be analysed.
10 In case any amendments in quantity / Revised Production Plan

delivery is received from Customer ,
modify Day wise monthly production
plan ,send the revised plan to respective
Heads Of Deptt for further action.
11 At the end of month , prepare Graph for " Trend Graph

Production Planned VS Actual Produced"
and reasons for short fall and
countermeasure taken for the variation
between planning and achievement .
F-1705-01 Date : 01.01.08 Page No.:-68 of 73

INTERNAL AUDIT CHECK SHEET - STORAGE & DESPATCH OF FINISHED PRODUCTS
(ISO/TS-16949:2009)
DATE :

Clause
implemented,understood and maintained people of the deptt .
in the Despatch ?

3 5.5.1.1 Are the Despatch shift staffed provided Despatch responsible personnel in all
personnel for Despatch responsibility? shift.
4 In case any finished products are not Statement of Slow despatch Items.
despatched since last " six month" prepare
a statement of such parts and get the
same re- verified from Head q.a for
physical conditions. If required, clean
them and re-apply suitable rust preventive
oil on metal p[arts.
5 Receive " Dispatch Instruction " Despatch Instruction

/Schedulre from Logistic/ PPC Deptt , for
supplying the products to respective
Customers.
6 In case products need to be despatched Concession Note

under concession from Customer, receive
" Concession Note " from Head Q.A.
7 Up date dispatches being made in Dispatch Register

"Finished Goods Despatch register".
8 Examine " Delivery Performance " for Delivery Performance Monitoring

monthly consigments of finished goods
being sent to Customers.
9 In case the " Delivery Performance" is less QPCR

than 100%, raise QPCR to respective
deptts for taking corrective actions.
10 In case the Customer desires the actions QPCR/ Customer Prescribed Format
to be taken by plant be reported to them,
send the details either through QPCR Or
any format as specified by Customer.
11 Ensure that freight paid for transportation Extra Freight Paid Records
is as per agreement made with Customer.
In case any extra freight is paid by the
company for sending the consigment ,
keep record of the same. Review the same
every month in CFT meeting for
improvements.
F-1705-01 Date : 01.01.08 Page No.:-69 of 73

INTERNAL AUDIT CHECK SHEET - RECEIPT Q.A (ISO/TS-16949:2009)
DATE :

4.1 How many processes are identified in the quality department?
i.e. incoming inspection, in-process inspection, final inspection,

identification and traceability, Customer property, etc.
4.1 Are Criteria determined to ensure that the quality processes are effective?
i.e. % Rejection, Receiving Inspection clearance time, targets, Cost of

inspections, Scrap, Utilization Cp & Cpk, etc.
4.1 Are the methods available for above Criteria?
4.1 Are controls of such processes determined?
4.1 Are process monitored, measured and analyzed?
7.5.4.1 Are there any customer supplied inspection tools / gauges?
7.5.4.1 If yes, how such tools / gauges are identified for tool ownership?
Is the acceptance criteria established and implemented to ensure that

7.4.3
purchased product meets specified purchase requirement?
7.1.2 Is zero defect sampling used for Attribute Data Sampling?
What methods have been defined as a process for verification of

7.4.3.1
purchased products? Is it any one or more of the following:
· Receipt and evaluation of statistical data
· Receipt Inspection such as sampling based on performance
· 2nd / 3rd Party Assessments / Audits at supplier site coupled

with records of acceptable quality performance
· Evaluation from external accredited laboratory
· Any other method agreed with customer
Are trend charts plotted for characteristics of processes and products to

8.4
How the customer related problems are prioritized and prompt

8.4.1
solutions are provided to the respective functions?

8.2.3.1
Are action plans made assigning responsibilities and targets for

8.2.3.1
making the processes, stable and capable?
8.2.3.1
required?
F-1705-02 Date 01.02.08 Page 70 of 73

Are significant process events maintained on the control charts, such

8.2.3.1
as tool change, machine repair? (Check with Production also)
8.2.3.1 Are the records of effective dates of process changes maintained?

8.1.2
How the products or processes, which do not confirm to the

5.5.1.1
requirements are communicated for taking corrective actions?
Who is authorized to stop production till the quality problems are not
5.5.1.1
resolved?
How many working shifts are there and are all shifts have been staffed
5.5.1.1 with responsibilities for ensuring product quality? Any notification for
same.
5.4.1 Are the Quality Objectives deployed in the Quality department?


8.5
QMS in quality department?

corrective and preventive actions, Quality Cost .
4.1 Are all the inputs available for monitoring and measurement of product?
i.e. Characteristics of the product, Quality Plan, Inspection and Test

equipment, competent staff.
Are appropriate stages of product realization process have been identified

8.2.4
where monitoring and measurement of the product is to be carried out?
i.e. incoming, in-process and final.
Is the monitoring and measurements mentioned above carried out?
Are records of conformity maintained with the acceptance criterion along

with the personnel authorized to release the product?
i.e. in process and final release.
Are approvals taken by the relevant authority or customer for the deviation
from the planned arrangements?
Is the suitability of following determined for measurements of

8.2.4
characteristics? :
(Note) a) Type of measurements
b) Measurement means (Equipment, methods & Environmental

Conditions)
c) Capability and Skill required for the testing personnel
Are Layout Inspections at specified frequency included in control plans

8.2.4.1
being carried out?
F-1705-02 Date 01.02.08 Page 71 of 73

Verify effectiveness of layout inspection and functional testing? What
8.2.4.1
records are maintained?
How the feed back on layout inspections is utilized for correcting the
8.2.4.1
problems?
8.2.4.2 Are there customer designated appearance items?
Are the following provided:
Are the instruments / Gauges / Test Soft Wares used for testing /
7.6
verification in quality calibrated or verified?
Is MSA carried out for such instruments which are referred in Control
7.6
Plans?
What are improvement plans for enhancing Measurement Systems?
8.3 Is there a documented procedure available for non-conforming material?
Are the responsibilities and authorities for dealing with non-conforming

product defined in the procedure?
Do the procedure address identification and control of non-conforming

products to prevent unintended use or delivery?
Do the procedure address the ways of disposition of the non-conforming

product in form of rework, use-as it is, alternate use?
Are records of nature of non-conformities and concessions maintained?
Is re-verification carried out for the corrected product?
Are appropriate actions taken in case of a non-conformity detected after

delivery of the product, after analyzing the effects of non-conformity?
What is the criteria of considering suspected products as non-

8.3.1 conforming materials (e.g. Lost Test Status, materials tested with
instrument out of calibration and obsolete materials)?
Do work instructions for re-inspection of re-work products for the type

8.3.2
of defects exist?
Do such re-testing instructions are accessible & utilized by the

8.3.2
personnel?

8.3.3
have been dispatched to them? (If not covered by Marketing)
Is there a system for taking concessions on Non-conforming Products

8.3.4
from customer prior to further processing?
Do records of concessions mention Quantity or Expiration period by

8.3.4
customer?
F-1705-02 Date 01.02.08 Page 72 of 73

What is the monitoring system to ensure that after the above
8.3.4 conditions are over, the products are supplied as per original
specification?
What type of Marking / Identification is provided to customer

8.3.4
“Concession” Products”?
Are the above requirements also applicable to products received from

8.3.4
the suppliers?
6.2 Is the competence defined for the personnel performing quality process?

8.2.2
Verify identification of the stages (Production & Delivery) and

8.2.2.3
frequency of Product Audit?
Records (Dimensions, Functionality, Packaging and labeling) of the

8.2.2.3 effectiveness of Product Audits (Dock Audit) carried out at specified
frequency?
Is ‘Process Audit” carried out at each Manufacturing Process? Verify

8.2.2.2
frequency and check List.
8.2.2.2 How the records demonstrate its improvement and effectiveness?

8.5.2.1

8.5.2.2
action processes?

8.5.2.3
8.5.2.4 Are products rejected by the customer / dealership analyzed?
How much time is taken in analyzing these returned products and

8.5.2.4
actions are taken to minimize the same?
Are the actions also taken to prevent the occurrence of such non-
8.5.2.4
conformances?
5.5.3
are communicated?
F-1705-02 Date 01.02.08 Page 73 of 73

F-1705 Internal Audit Check List

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AGRO ENGINEERING WORKS

INTERNAL AUDIT CHECK SHEET - PRESS SHOP (ISO/TS-16949:2009)

5 8.5.2.2 Are mistake proofing techniques utilized, Examples of mistake proofing.

11 7.5.3 Is product identification maintained Suitable product identification. Verify the

12 7.5.3 How is tracibility maintained and recorded Integration of customer tracibility

14 7.5.3 Bins of Press Shop containing component Quick Tracibility

MMC Must be available

15 6.4.2 Are the premises maintained in a state of Tour of plant 5'S'

16 6.3.2 Do you have a contingency plan to Contingency plan

17 7.3.2.3 Are customer requirement for Designation and control of special

F - 1705-01 Date : 01.01.08 Page No.:-1 of 73

20 8.2.3.1 Do process monitoring and job Job instructions contents

- Part name& Part no.

- Customer & supplier designated special

28 8.2.4.2 For customer designated appearance Maintainance/control and storage

Is there appropriate lightening for the Visual aids / Lighting facility.

32 7.1 Preparation of daily W.I.P.? Record (Prod. Plan Vs Actual)

33 8.4 Daily rework & scrap details? Record

F - 1705-01 Date : 01.01.08 Page No.:-2 of 73

F - 1705-01 Date : 01.01.08 Page No.:-3 of 73

40 8.3 Is the responsibility for review and Procedure Work

Reworked to meet the specified

42 8.3 When required is the proposed use or Record of concession

45 8.3.2 Are the rework instructions accessible and Plant tour

47 8.5.2 Use of disciplined problem solving Response to customer complaints

48 8.5.2 Application of mistakeproofing Examples

50 7.5.5 Availability of documented and Procedure development & documentation

F - 1705-01 Date : 01.01.08 Page No.:-4 of 73

53 6.2.2 Training effectiveness.Is training Audit/Appraisal performance,

54 6.2.2.3 Training on job Training records for personnel in new

55 8.1.1 Use of statistical technique Control chart awareness & execution in

AUDITEE SIGNATURE AUDITOR SIGNATURE

F - 1705-01 Date : 01.01.08 Page No.:-5 of 73

2 5.5.1 Has the Responsibility, Authority, Responsibility & Authority as defined in

5 8.5.2.2 Are Mistake Proofing Techniques utilized, Examples of mistake proofing.

11 7.5.3 Is product identification maintained Suitable product identification / MMC

12 7.5.3 How is tracibility maintained and recorded MMC / Batch Coding

13 7.5.3 List of Jigs/fixtures(existing) , Quick Tracibility , Marking on floor /

14 7.5.3 Bins of weld shop containing component Quick Tracibility

16 6.3.2 Do you have a contigency plan to Contigency plan Identification

17 7.3.2.3 Are customer requirement for Must be mentioned in PCS

F - 1705-01 Date : 01.01.08 Page No.:-6 of 73

18 7.1 Display of PCS at respective stages of PCS awareness & Implementation

20 8.2.3.1 Do Process monitoring and Job

28 8.2.4.2 For customer designated appearance

32 7.1 Preparation of Daily WIP? Record

33 8.4 Daily Rework & Scrap Details? Record

F - 1705-01 Date : 01.01.08 Page No.:-7 of 73

36 8.2.4 First off piece inspection Setup approval record

38 8.2.4 Weld Penetration test(MIG Weld) Record of Checking

39 8.2.4 Weld Nut Strength test (Projection Record of checking

41 7.5.3 Finished/semifinished component Effective implementation of Tags/MMC

45 8.3 Is the responsibility for review and Procedure / Work Instruction

46 8.3 Are N.C. & suspect products reviewed in

47 8.3 When required is the proposed use or Record of concession

50 8.3.2 Are the Rework Instructions accessible Plant tour

52 8.5.2 Use of disciplined problem solving Response to customer complaints

53 8.5.2 Application of mistakeproofing Examples

F - 1705-01 Date : 01.01.08 Page No.:-8 of 73

55 7.5.5 Availability of documented and Procedure development & documentation

57 6.2.2 Are personnel qualified based upon Training plan,Employees

58 6.2.2 Training effectiveness,Is training Audit/Appraisal performance,

59 6.2.2.3 Training on job Training records for personnel in new

60 6.2.2 Min. experience for welding/Brazing-2 Interview & performance eveluation