AS9100 Rev C - ISO9001:2008 Internal Audit Clause 5

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Audit Preparation

• Review corrective actions for previous IA findings

  Yes

  No

  N/A

• Review corrective actions for previous EA findings

  Yes

  No

  N/A

• Review corrective actions for any customer complaints

  Yes

  No

  N/A

• Review corrective actions for any customer audit findings

  Yes

  No

  N/A

5.1 Management Commitment

• Is there evidence of commitment by top management toward the development, implementation and improvement of the quality management system and continually improving its effectiveness by:

  Yes

  No

  N/A

• a) communicating to the organization the importance of meeting customer’s, statutory and regulatory requirements?<br><br><br><br>

  Yes

  No

  N/A

• b) establishing the quality policy?

  Yes

  No

  N/A

• c) ensuring that quality objectives are established?

  Yes

  No

  N/A

• d) conducting management reviews, and

  Yes

  No

  N/A

• e) ensuring the availability of resources?

  Yes

  No

  N/A

5.2 Customer Focus

• Does top management ensure that customer requirements are determined?<br>

  Yes

  No

  N/A

• Does top management ensure that customer requirements are met?<br>

  Yes

  No

  N/A

• Is this with the aim of enhancing customer satisfaction (see 7.2.1 and 8.2.1)?<br>

  Yes

  No

  N/A

• AS9100C - How does top management ensure that product conformity and on-time delivery performance are measured and that appropriate action is taken if planned results are not, or will not be achieved?

  Yes

  No

  N/A

5.3 Quality Policy

• How has top management ensured that the quality policy:

  Yes

  No

  N/A

• a) is appropriate to the purpose of the organization?

  Yes

  No

  N/A

• b) includes a commitment to comply with requirements and continually improve the effectiveness of the quality management system?

  Yes

  No

  N/A

• c) provide a framework for establishing and reviewing quality objectives?

  Yes

  No

  N/A

• d) is communicated & understood within the organization? and

  Yes

  No

  N/A

• e) is reviewed for continuing stability?

  Yes

  No

  N/A

5.4 Planning

5.4.1 Quality Objectives

• How has top management ensured that quality objectives, including those needed to meet requirements for product (see 7.1a), are established at relevant functions & levels within the organization? Quality objectives shall be measurable and consistent with the quality policy.

  Yes

  No

  N/A

• Are the quality objectives measurable?<br>

  Yes

  No

  N/A

• Are the quality objectives consistent with the quality policy?<br>

  Yes

  No

  N/A

5.4.2 Quality Management System Planning

• Does top management ensure that:<br>

  Yes

  No

  N/A

• a) the planning of the quality management system is carried out in order to meet the requirements given in 4.1, as well as the quality objectives?

  Yes

  No

  N/A

• b) the integrity of the quality management system is maintained when changes to the quality management system are planned and implemented?<br>

  Yes

  No

  N/A

5.5.1 Responsibility and Authority

• Does top management ensure that responsibilities and authorities are defined and communicated within the organization?<br>

  Yes

  No

  N/A

5.5.2 Management Representative

• Has top management appointed a member of its management:

  Yes

  No

  N/A

• who, irrespective of other responsibilities, has responsibility and authority that includes ensuring that processes needed for the quality management system are established, implemented and maintained?<br>

  Yes

  No

  N/A

• reporting to top management on the performance of the quality management system and any need for improvement?<br>

  Yes

  No

  N/A

• ensuring the promotion of awareness of customer requirements throughout the organization?<br>

  Yes

  No

  N/A

• Has top management appointed a member of the organization’s management who, irrespective of other responsibilities, shall have responsibility & authority that includes:

  Yes

  No

  N/A

• a) ensuring that processes needed for the quality management system are established, implemented and maintained?

  Yes

  No

  N/A

• b) reporting to top management on the performance of the quality management system, & any need for improvement?

  Yes

  No

  N/A

• c) ensuring the promotion of awareness of customer requirements throughout the organization, and

  Yes

  No

  N/A

• AS9100C - d) the organizational freedom and unrestricted access to top management to resolve quality management issues?

  Yes

  No

  N/A

• NOTE: The responsibility of a management representative can include liaison with external parties on matters relating to the quality management system.

  Yes

  No

  N/A

5.5.3 Internal Communication

• How does top management ensure that appropriate communication processes are established within the organization and that communication takes place regarding the effectiveness if the quality management system?

  Yes

  No

  N/A

5.6.1 Management Review - General

• Does the top management review the organization’s quality management system, at planned intervals, to ensure its continuing stability, adequacy and effectiveness?

  Yes

  No

  N/A

• Does this reviews include assessing opportunities for improvement and the need for changes to the quality management system, including the quality policy & objectives?

  Yes

  No

  N/A

• Are records from management reviews maintained? (see 4.2.4)

  Yes

  No

  N/A

5.6.2 Review Input

• Does management review inputs including:

  Yes

  No

  N/A

• Results of audits?<br>

  Yes

  No

  N/A

• Customer feedback?<br>

  Yes

  No

  N/A

• Process performance and product conformity?<br>

  Yes

  No

  N/A

• Status of preventive and corrective actions?<br>

  Yes

  No

  N/A

• Follow-up actions from previous management reviews?<br>

  Yes

  No

  N/A

• Changes which could effect the quality management system?<br>and

  Yes

  No

  N/A

• Recommendations for improvement?<br>

  Yes

  No

  N/A

5.6.3 Review Output

• Does the output from management reviews include decisions & actions related to:

  Yes

  No

  N/A

• a) Improvements to the quality management system and its processes?<br>

  Yes

  No

  N/A

• b) Improvements to product related to customer requirements?<br>

  Yes

  No

  N/A

• c) Resource needs?<br>

  Yes

  No

  N/A

>>>> END OF CHECKLIST <<<<