For Dept/Function: MNT

Internal Audit Check List

Auditor:

QMS Process: Maintenance Date of Audit:

If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.1.1 Process Efficiency
Does organization's top management monitor the > Review of product realization and
process realization processes and the support support processes by top management.
processes to assure their effectiveness and > Indicators and records.
efficiency? > Reporting process.

5.2 Customer Focus

1. Does top management ensure that customer > Description of an objective
requirements are determined and fulfilled with process.
the aim of enhancing customer satisfaction? > Methodology use for surveys.

5.3 Quality Policy

1. Does top management ensure that the quality
policy:
a) is appropriate to the purpose of the
organization?
b) includes a commitment to comply with
requirements and continually improve the
effectiveness of the quality management system?
c) provides a framework for establishing and
reviewing quality objectives?
d) is communicated and understood with in the
organization
e) is reviewed for continuing suitability?
> Documented policy statement
with clearly defined and measurable
quality objectives approved by MD
> Records of improvement.
> Quality objectives included/linked
to the business plan.
> Scope of the Quality objectives.
> Direct interviews with randomly
selected people of the organization.
> Evidence of periodic review of the
quality policy.
> Review of all elements of the
quality system to its continuing
suitability and effectiveness.

5.4 Planning - Quality Objectives

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.4.2 2) Are the organization's quality objectives > Quality cost indicators and quality
measurable and consistent with the quality indices.
policy? > Quality objectives
included/Linked to the business plan.

5.4.3 3) Did top management define any quality
objectives and measurements?
5.5 Responsibility, Authority & Communication
5.5.1 1) Does the organization's top management
ensure that the responsible and authorities are
defined and communicated with in the
organization ?
> Quality objectives included/linked
to the business plan.
> Scope of the Quality objectives
> Responsibilities and authority as
defined in the descriptions,
responsibilities matrices, procedures,
and accountabilities documents.

5.5.2 2) Is management with responsibilities and > Select examples of non-

authority for corrective action promptly informed compliance from suitable sources such
for products or processes that do not conform to as internal or external concerns /
requirements? complaints, etc.
> Communication channels and
timeliness.
5.5.7 7) Does top management ensure that appropriate > Communication channels and
communication processes are established within timeliness.
the organization?
5.5.8 8) Does the top management ensure that > Communication channels and
communication tacks place within the timeliness.
organization regarding the effectiveness of the
quality management system?

5.5.3 Internal Communication

5.5.7 Does top management ensure that appropriate > Communication channels and
communication process are established within timeliness.
the organization?
5.5.8 Does top management ensure that > Communication channels and
communication tacks place within the timeliness.
organization regarding the effectiveness of the
quality management system? process are
established within the organization?

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.6 Management Review
5.6.1 1) Does the organization's top management > Review of all the elements of the
review its quality management system, at quality system to insure its continuing
planned intervals, to ensure its continuing suitability and effectiveness.
suitability, adequacy and effectiveness? > Review of quality cost indicators.
> Management review meeting
minutes, attendance and adequate
frequency.
> Action plans and follow-up

5.6.2 2) Do the organization's management reviews > Evidence of continuous

include assessing opportunities for improvement improvement projects initiated from
and the need for changes to the quality management reviews.
management system, including the quality policy
and quality objectives?

5.6.3 3) Are the organization's records from > Retention of management reviews
management reviews maintained? meeting minutes.
5.6.5 5) Do the management reviews include > Policy business plan and customer
monitoring of quality objectives, and the regular satisfaction metrics reports.
reporting and evaluation of cost of poor quality? > Product results (quality, cost,
time) against quality policy goals and
customer specified targets.

5.6.6 6) Are the results of the management reviews
recorded to provide, as a minimum, evidence of
the achievement of :
- objectives specified in the quality policy?
- objectives specified in the business plan?
- customer satisfaction with product supplied
> Trends in metrics (business and
customer satisfaction).
> Basic for continuous improvement
projects.
> Management review meeting
minutes.
Action plans and follow-up.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
5.6.9 9) Does the output from the organization's > Examples of continuous
management review include any decisions and improvement projects initiated from
actions related to : management reviews.
a) improvement of the effectiveness of the > Examples of product
quality management system and its processes? improvements initiated from
b) improvement of product related to customer management reviews.
requirements?

7.5.1.4 Preventive and predictive maintenance

Does the organization identify key process > Existence of preventive
equipment and provide resources for maintenance.
machine/equipment maintenance and develop an
effective planned total preventive maintenance
system?

Does the organization's preventive maintenance > System effectiveness

system minimally include the following: demonstrated by specifics
- planned maintenance activities? measurements\ indicator.
- availability of replacement parts for key > Key equipment list.
manufacturing equipment? > Maintenance records.
-documenting, evaluating and improving > Plant tour.
maintenance objectives?

Does the organization utilize predictive > Predictive maintenance examples

maintenance methods to continually improve the
effectiveness of its preventive system?

4.2.3 Control of Documents

Dose the organization's control the documents
required by the quality management system?
4.2.3
> Quality manual according to
ISO/TS 16949:2002 or one with a
conversion matrix.
> Document control master list or
equivalent.

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
Has the organization established a documented > Document approval authority.
procedure to define controls needed: > Document approval records.
a) to approved documents for adequacy prior to > Availability of documents in
issue? various locations.
B) to review and update as necessary and re- > Knowledge of document location.
approved documents? > Document accessibility.
C) to ensure that changes and the current revision > Storage and disposal of obsolete
status of documents are identified? documents.
d) to ensure that relevant versions of applicable > Process for
documents are available at points of use? notification/distribution of documents
4.2.4 e) to ensure that documents remain legible and from internal and external origins.
readily identifiable? > Review and approval of revised
f) to ensure that documents of external origin are documents.
identified and their distribution controlled?
g) to prevent the unintended use of obsolete
documents, and to apply suitable identification to
them if they are retained for any purpose?

4.2.4 Control of Records

Has the organization established and maintained > Quality management system
records to provide evidence of conformity to records.
4..2.7 requirements and of the effective operation of the > Records maintenance system,
quality management system including disposal of records.

Are records legible, readily identifiable and > Quality management system
retrievable? records legibility.
> Identification of quality
management system records.
> Environment and storage
4..2.8
conditions must be compatible with
the file storage medium (ex: hard
copy, floppy disk, etc.)

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
Has the organization established a documented > Quality manual according to
procedure to define the controls needed for the ISO/TS 16949:2002.
identification, storage, protection, retrievals, > Defined record retention time
retention time and disposition of records? compared to customer/regulatory
requirements.
> Record disposal after retention
4..2.9 period expires.
> Including identification of
obsolescence documents.
> Ident

Does the organization treat quality records as a > Evidence of quality records being
special type of document and control them maintained and controlled per quality
4..2.10 according to the requirements given in questions manual.
4.2.7 and 4.2.8?

8.2.3 Monitoring and measurement of QMS process

8.2.19 > Methods of monitoring/measuring
Does the organization apply suitable methods for quality management system process.
monitoring and, where applicable, measurement
of the quality management system processes.

8.2.20 > Monitoring and measurement

Does the organization's methods for monitoring results.
and measurement of processes demonstrate the
ability of the processes to achieve planned
results?

8.2.21 > Planned/executed corrective

When planned results are not achieved by the actions.
organization's processes, does the organization
take correction and corrective action to ensure
conformity of the product?

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 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
8.4 Analysis of data
Does the organization determine, collection and > Internal performance data such as:
analyze appropriate data to demonstrate the - Poor quality cost indicators,
suitability and effectiveness of the QMS and the - Effectiveness and efficiency of
evaluate where continual improvement of the production processes,
effectiveness of the quality management system - Test results,
can be made? - Process capability data,
- Quality audits,
- Results of product inspections,
- Internal and external quality data,
- Subcontractors rating,
- Customer reports,
- Employee's information.

Does the organization's data analysis include > Data analysis report.
data generated as a result of monitoring and
measurement and from other relevant sources?

Does the organization's of data provide > Data analysis report.

information relating to :
a) customer satisfaction ?
b) conformance to product requirements ?
c) characteristics and trends of processes and
products including opportunities for preventive
action?
d) Suppliers?

Page 7 of 8
 If Non-
ISO/TS Conforming conforming Auditors Comments
16949:2002 Requirements What to look for Auditee Name
Audit Report (When required)
Clause Ref
Yes No No.
8.5.1 Continual Improvement

Does the organization continually Improve the

> Examples of continuous projects
effectiveness of the quality management system
initiated from quality policy, quality
through the use of the quality policy, quality
objectives, audit results, analysis of
objectives, audit results, analysis of data,
data, corrective and preventive actions
corrective and preventive actions and
and management review.
management review?

Has the organization define a process for > Procedure as stated in quality
continual improvement? manual

8.5.2 Corrective action

8.5.4 Does the organization take action to eliminate > Examples.
the cause of non-conformities in order to prevent
recurrence?
8.5.5 Are the organization's corrective actions > Review examples
appropriate to the effects of the non-conformities
encountered?

8.5.6 Has the organizations established a documented
procedure to define requirements for:
a) reviewing non-conformities (including
customer complaints)?
b) evaluating the need for action to ensure that
non-conformities do not recur?
c) determining and implementing action needed?
d) records of the results of action taken ?
e) reviewing corrective action taken?
> List of customer complaints.
> Root Cause Analysis and records.
> Determination of corrective action
needed.
> Corrective action taken.
> Corrective action effectiveness.

8.5.3 Preventive action

Does the organization carryout preventive action > Records of preventive action
for determining potential non conformities and tacked (or) to be taken
their causes

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