IATF 16949 - Internal Audit Checksheet

Sl. No. Check Sheet No. Check Sheet Name Rev. No.
Issue Date
1 F/MR/01 Top Management / MR 01 01.01.2020
2 F/MR/02 PRODUCTION 01 01.01.2020
3 F/MR/03 QUALITY 01 01.01.2020
4 F/MR/04 PURCHASE 01 01.01.2020
5 F/MR/05 ENGINEERING 01 01.01.2020
6 F/MR/06 STORE 01 01.01.2020
7 F/MR/07 HUMAN RESOURCE MANAGEMENT 01 01.01.2020
8 F/MR/08 MAINTENANCE 01 01.01.2020
9 F/MR/09 MARKETING 01 01.01.2020
10 F/MR/10 INFORMATION TECHNOLOGY (IT) 01 01.01.2020
Internal Audit Checksheet (IATF 16949:2016)
AUDIT NO. : AUDIT DATE

DEPTT./ AREA : Top Management / MR TIME START : FINISH :
AUDITEE(S) : AUDITOR(S) :
SN Parameters IATF Clause Observations
1 Risk Analysis & Planning

* Identification for Risk Anaysis & planing 6.1
* Action plan & linkage with QMS
2 Context of the Organization
* Internal & External Issues
* Addressing of Needs & Expectations of Interested Parties 4.1. 4.2
* Relevant Action Plan, review & monitoring
3 Control of Documented Information

* Document Issue, Monitoring & Change Management 7.5.1
* Legibility & availability at the point of use
4 Goal Setting
* For sales projection
* Infrastructure development plan
* Technology development plan
* Quality objectives
* Cost Goals
6.2
* Financial goals
* Manpower goals
* Quality policy & its deployment
* Long Term goals/Business Planning
*Focus Area
5 Sale plan *
Domestic sales
* Export sales
* Development sales 6.2
* Replacement market
6 Resource and facility planning *

Review of resource and facility planning
* Departmental Budget
* Contingency Plan & review 7.1
*Technology Roadmaps
7 Customer Satisfaction assessment

* Timely response
* Tracking of customer score cards
* Adequacy of corrective action 9.1
* Performance monitoring against targets
8 Employee Motivation & Empowerment

* Reward & Award System
* Leadership Development
* Job roles & responsibility clarity
* Employee Engagement survey & monitoring of action plan
* Timely Performance appraisal & training opportunities for
employees 7.3
* Corporate Policy deployment like anti-bribery, employee
code of conduct, esclation policy
9 Quality Management System Awareness

* IATF 16949:2016 Standard & CSR
* Quality Policy, Company Vision & Mission
* Relevent SOPs, Formats & Guidelines of QMS
* Internal QMS Audit Plan, Report & Closure 7.3
* Competent List of internal auditors - QMS
10 Planning & Management review

* Organization Structure
* Defining of Responsibilities & Authorities
* Defining of Key Performance Indicators
* Tracking of Key Performance Indicators
* Triggering of actions to correct deviations 9.3
from targets
* Management Review as per agenda
* Management Review action plan monitoring
11 Lessons Learnt / Kaizen / Improvements

* Review of effectiveness of Lessons Learnt
* Linkage to company Issues 10.3
12 Communication
* Monthly address
* Internal communication
* CSR awareness to employees 7.4
* External Communication (Legal, Statuatory & customer
communication)
13 Any Other Points / Review of Last Audit NC
Auditee (Sign) Auditor (Sign)

DEP'T./ AREA : PRODUCTION / TOOLROOM TIME START : FINISH :

2 Production Planning
* Daily production plan
* Weekly Production Plan
* Shift wise production plan 8.1
* Reaction to Non conformances
* Corrective Action
3 Internal Communication
* Daily Communication for Quality and production
concern on display board. 7.4
4 Daily Production Control

* Manpower Deployment system
* Line rejection record sheet
* Stage rejection Chart
* M/C Maintenance Monitoring sheet
* Review of effectiveness for plan vs. actual production 8.1, 8.5.1.7
* OEE
* Line stoppages and losses monitoring
* Production report
5 Job set-up Verification

*Job Setup verification sheet
* Trend chart 8.5.1.3
* X-R chart if applicable
6 Availability of documentation for Production Control

* Process Flow Chart
* Control plan
* Work Instructions
* Calibrated Monitoring and measuring
devices 8.5.1
* Bill Of Material
* WI for verification after shutdown
7 Manufacturing rejection and Rework /Repair Control

* Tracking of rejection trends
* Tracking of rework / repair trend
* Instruction for rework / repair 8.7
* Reaction to Non conformances
* Corrective Action
8 Identification and Traceability for

* Bought out parts
* In process components
* Regular Production
* Rework Material 8.5.2
* Repair Material
* Regular samples
* Special Samples
* Sample after PDI
* Finished Product
9 Tooling Management
* Tool Life Monitoring
* Tool design and monitoring
* Tool identification 8.5.1.6
* Tool Storage
* Tool duplication / Spare Parts Monitoring

* Quality Policy & Company Vision 7.3
11 Planning & Performance Monitoring

* Triggering of actions to correct deviations from targets 6.2, 9.1
* Skill upgradation

* Linkage to Productivity improvement
* Linkage to Customer feedback
* Process Improvement 10.3
* Product Improvement
* Safety Enhancement
* Internal /External Audits

AUDIT NO. : AUDIT DATE:

DEPTT./ AREA : QUALITY / STD. ROOM/ CSR TIME START : FINISH :

2 Customer Complaint handling & response
* Customer Portals / Score Cards
* Customer complaint summary (line / warranty)
* Timely response to customer
* Adequacy of root cause analysis for reason of
occurrence 10.2
* Adequacy of corrective action
* Standardization of actions & horizontal deployement
3 Customer Specific Requirements

* Updated CSR Availability / Matrix
* Linkage verification of CSR Matrix 4.3.2
* Audit of CSR requirement (sample basis)
4 Monitoring and measurement of product
* Layout Inspection & Functional testing
* Lab Scope
* Lab personnel competency 7.1.5.3
* Lab Work Instruction
* Lab Test Reports
5 Control of monitoring and measuring devices
* Calibration plan
* Internal and external calibration records
* Assessment of validity of previous test results
* Measurement System Analysis(MSA) Plan & 7.1.5.2, 9.1.1.3
Adherence
* SPC Plan & Adherence
6 Process & Product audit

* Process audit plan & adherence
* Process audit plan & adherence 9.2.2.3, 9.2.2.4
* Tracking of NCR & closure on time
7 Quality Improvement Activities
* Tracking of rejection trends (internal & external)
* Analysis of data
* Reaction to Non conformances 10.2, 10.3
* Corrective Action Record (CAR)
* List of Pokayoke / H.D
8 Deviation Management
* System for authorisation
* Recording and retrieval system
* Tracking for validity 8.7.1.1, 8.5.6.1.1
* Tracking for implementation of decided actions and
closure of deviation
* Temporary change of process control
9 Control of Non Conforming Products

* System for authorisation for scrapping parts
* Instruction for product disposition
* System for authorising use of reworked or salvaged
parts 8.7
* Tracking of rework / repair trend
* Instruction for rework / repair
10 Pre-Dispatch Inspection
* 100% Adherence
* Reaction to Non conformances 8.6
* Corrective Action
11 Control of Documented Information

* Technical documents
* Customer standards pertaining to systems
* Indian / International standards pertaining to systems
* Retrieval time
* Retention as per defined periods 7.5
* List of special Characteristics & product Safety,
statutory requirements

* Relevant SOPs, Formats & Quality Manual

* Triggering of actions to correct deviations from 6.2. 9.1
targets
* Skill upgradation

* Linkage to Customer complaints
* Linkage to internal and external audits
* Linkage to quality issues 10.3
* Linkage to calibration
* Linkage to past failures
Format No: SOP0803/F08 Issue No: 00 dtd: 01.07.17 Page 4 of 11

Format No. : SOP0803/F08d
Internal Audit Checksheet (IATF 16949:2016) Rev. No.
Effective Date
: 00
: 01.07.2017

DEPTT./ AREA : PURCHASE TIME START : FINISH :

2 Method of supplier evaluation and
re-evaluation
* Supplier identification & evaluation
* Supplier Visit Report
* Supplier Registration Form
* Supplier system audit plan
* Supplier audit report
* Adequacy of root cause analysis
against NCR 8.4.1
* Re-evaluate performance monitoring against
target
* Approved Supplier List
* Confidentiality Agreement
3 Finalization of Supplier
* Quotation
* Time plan
* Capabilty calculation
* Review Customer specific requirement with
supplier 8.4.1
* Communication of statutory & regulatory, product
safety requirements
4 Cost Finalization
* Quotation & Adequecy of PO
* Cost Card ( in case of regular production items)
* Comparison with other Quotation 8.4.1
* Release of purchase order
5 Development of components and Tooling

* Component Drawing & Development request
* Prototype component & Inspection Report
* Development Plan (Tool, Fixture/gauges)
* General purchasing Agreement
* Response from supplier (Quotation,time
plan,capacity and capability)
* Review Customer specific requirement with 8.4.1, 8.4.2
supplier
* Tracking of progress monitoring at supplier end
* Tracking of Micro activity from supplier end
* Action plan in case of delay
* Review & followup of actions
6 Documents required to be submitted along with

samples
* Sample Inspection Report
* Material Test Report 8.4.1, 8.4.2
* MSDS ( in case of chemicals/hazardous materials
only)
7 Control of Documents and Records

* Technical documents
* General documents
* Availability of Master List
* Retrieval time
* Definition of retention periods in line 7.5
with customer requirements
* Review of customer specific requirements
8 Contingency plan
* Intrepution from Key Suppliers
6.1.3
* Checking of Effectiveness
9 Supplier Monitoring
* Approved supplier List
* Control over outsourced process
* Supplier Performance Ranking (Delivery and 8.4.2
Quality Monitoring)
* Action Plan for low rating / worst suppliers
10 Supplier Satisfaction
* Supplier Satisfaction Survey Form 8.4.2
* Corrective Action against rating

* Tracking of Key Performance Indicators 5.3, 9.1
* Triggering of actions to correct deviations
from targets
* Skill Upgradation

* Linkage to Supplier Audits
* Linkage to Performance comparison 10.3
* Linkage to Internal issues related to purchase.


DEP'T./ AREA : NPD / ENGINEERING TIME START : FINISH :
AUDITEE(S) : AUDITOR'S) :
SN Parameters IATF Clauses Observations

2 Process review
* Review of PFMEA
*proposed modification and their records. 8.5
3 Documentation
* (PFC's, Work Instructions, One Point
Lessons, Pokayoke checklist etc.)
* Document control 8.5 / 4.4.1.2
* Special Characteristics
* Identification of Product Safety Requirement
3 New Product Development

* APQP Matrix
* PPAP Documentation
* IPC Tag / Control 8.2 / 8.3
* NPD Status
* Risk Analysis for New Development
5 Facility development
* Tool trial reports
* Tool Validation report
* Fixture Drawing
* Calibration of Jigs and fixtures
* Inspection report 7.1.3, 10.3
* System of codification
* History card
* Pokayoke implementation
* Tool change monitoring
6 Process Design Review

*Micro plan & its tracking
*Process design input/output review
*HVPT trials 8.3.3, 8.3.4, 8.3.5
*Closure of Observations
*PPAP documentation & handover
7 Process qualification
* Use of appropriate techniques 8.3.5.2
8 Production capacity evaluation

* Cycle time study
* Work Chart study 7.1.3.1
* Takt time study
9 Contingency Plans
* For production & Toolings 6.1.2.3
* Checking of Effectiveness
10 Change Point Control
* P/ECN monitoring log
* Team Feasibility & Risk Analysis
* Customer Notification & PPAP Approval 8.5.6
* Release of P/ECN
* 4M Change Management

9.1
* Skill upgradation
from targets

* Linkage to FMEA review
* Linkage to Productivity Improvement
* Linkage to process Improvement 10.3
* Linkage to product safety requirements
* Key Learnings (TGR/TGW)
-

DEPTT./ AREA : STORE / DESPATCH TIME START : FINISH :

2 Receipt of material
* Receipt of material with Supplier
Invoice/Challan with defined packaging.
* Documented of good receipt 8.4.3
* Guidelines of packing for the Incoming
material
3 Material movement and Handling

* Incoming Material movement Store to RQC for
Inspection
* Material movement Incoming to Store after
inspection 8.5.4
* Material movement Store to shop floor
* Material movement Shop floor to store
* Material movement store to third party
4 Identification
* Identification of goods received
* Identification of quality stock
* Identification of block stock (Hold material)
* Identification of OK material
* Identification of rejected material 8.5.2
* Identification of Segregated material
* Identification of Line rejected material
* Identification of Finished product
5 Inventory Management
* Buffer stock for consumable Items
* Buffer stock for regular production items
* Buffer stock for critical Items 8.5.1.7, 8.5.4
6 Material Flow
* FIFO system and its Availability 7.1.3, 8.5.4
7 Storage
* Defined storage area
* Preseravation of material
* Adherence to Storage rules 8.5.4
* Handling of shelf life items and tracking of
expiry dates
8 Rejection
* Tracking of rejection
* Handling of NC items 8.7
9 Dispatch
* Dispatch Monitoring Plan Vs Actual
* Dispatch Identification / Documentation 8.6.1

* Relevent SOPs, Formats & Guidelines of
QMS
* Triggering of actions to correct deviations from 8.1, 9.1
targets
* Skill upgradation

* Linkage to Customer audits
* Linkage to Safety Enhancement 10.3
* Linkage to FIFO system

-

Format No. : SOP0803/F08f
Rev. No. : 00
Internal Audit Checksheet (IATF 16949:2016) Effective Date : 01.07.2017
AUDIT NO. : AUDIT DATE:

DEPTT./ AREA : HR / TRAINING TIME START : FINISH :
SN Parameters IATF Clasuse Observations

2 Organization Structure
* Departmental & Unit Structure
* Competency criteria 7.2
* Job roles & responsibility clarity
3 Recruitments & Separation
* Human resource Need Identification and timely
response
* Manpower requisition form
* Performance assesment & confirmation latter 7.2
* Induction process
* Exit Interview
4 Training
* Induction Training/ Pathsala Training
* Training need Identification
* Training Calendar for Associates
* Training Calendar for Staff
* Training History Card
* Training Effectiveness Evaluation sheet
* On Job Training Records 7.2, 7.1.6
* Associate qualification system adherence
* Training Feedback & Analysis
* Organization Knowldge Library
5 Manpower Deployment system

* Departmental Skill Matrix
* Shop Floor Employees Skill Matrix 7.2
6 Work Environment Cleanliness

* 5S Audit records for compliance
* Review of 5S system 7.1.4
* Review of 5S audit checklist
7 Emergency Preparedness and Response

process
* Contingency plan for labor
shortage
* Contingency plan for infrastructure disrupttion, 6.1.3
recurring natural disaster
* Contingency plan for cyber attack on IT
systems
* Effectiveness monitoring
8 Communication
* Internal Communication
* External Communication 7.4 / SOP 503
* New Joining, Holiday and other general
information
9 Employee Motivation & Empowerment

* Reward & Award System / List of employee
motivational activities
* Employee Engagement survey & monitoring of
action plan
* Timely Performance appraisal & training
opportunities for employees 7.3.2
* Corporate Policy deployment like anti-bribery,
employee code of conduct, esclation policy

* Corporate Policy (Anti-bribery), employee code
of conduct, etc 7.3
* Quality Policy & Company Vision

* Tracking of Key Performance Indicators 6.2, 9.1
from targets
* Linkage to Accidents 10.3

* Linkage to Employee Feedback
* Linkage to safety Enhancement
-


DEPTT./ AREA : MAINTENANCE TIME START : FINISH :

2 Preventive & Predictive Maintenance
* List of machine, tools, spares
* Preventive Maintenance plan/Schedule
* Preventive Maintenance check sheets 8.5.1.5, 8.5.1.6
* Daily Machine Checksheet
& Predictive Maintenance Plan & checksheet
3 Breakdown Maintenance
* Tracking of Daily Breakdowns
* Tracking of special observations
* Analysis of reasons for breakdowns
* Ppk Value 8.5.1.5, 8.5.1.6
* Updation of Prev. Maintenance check points & Horizontal
deployements
* Periodic Overhaul Plan & improvements
4 Spare Parts management

* List of spare parts
* Identification of crtical spares 8.5.1.5, 8.5.1.6
* Maintaining the buffer stock
5 Contingency Plans
* Key Machines / Spare Parts
* Checking for Effectiveness 6.1.2.3
6 Machines/equipments * List
of Machines * Machine
History cards * Identification 8.5.1.5
of critical machines
7 Continual Improvement
* MTTR & MTBF Monitoring
* Improvement projects for increasing the 8.5.1.5
availabilty of machine.

* Triggering of actions to correct deviations from targets 6.2, 9.1
* Skill upgradation

* Linkage to Customer complaints
* Linkage to Machine breakdowns 10.3


DEPTT./ AREA : MARKETING TIME START : FINISH :

2 Goal Setting
* For sales projection
* Infrastructure development plan
* Technology development plan
* Preliminary Market Study 6.2
* Cost Goals
* Financial goals
* Manpower goals
3 Sale plan
* Domestic sales 6.2
* Export sales
4 Resource and facility planning
* Review of resource and facility planning
* Departmental Budget 7.1.3
5 Customer Satisfaction assessment

* Timely response
* Tracking of customer scorecards
9.1.2
* Performance monitoring against targets
6 Continual Improvement
* Ongoing continual improvement initiatives
* Tracking of continual improvement projects 8.5.1

* Quality Policy & Company Vision
* Relevent SOPs, Formats & Guidelines of QMS 7.3

* Triggering of actions to correct deviations from 6.2. 9.1
targets
* Skill upgradation
9 Business Development
* RFQ submission to customer 8.2
* Feasibility analysis
* Review of effectiveness of Lessons Learnt
system 10.3
* Linkage to company Issues


DEPTT./ AREA : Information Technology (IT) TIME START : FINISH :

2 Preventive Maintenance
* List of IT Equipments
* Preventive Maintenance plan/Schedule 8.5.1.5, 8.5.1.6
* Preventive Maintenance check sheets
3 Breakdown/ Reported for IT Equipments
* Tracking of Daily Issues 8.5.1.5, 8.5.1.6
* Resolution Time Period
4 Spare Parts Management
* List of spare parts
* Identification of crtical spares 8.5.1.5, 8.5.1.6
* Maintaining the buffer stock
5 Contingency Plans
* Databack Plan & Effectiveness
* Anti-virus updation Frequency
* Cyber Attack Prevention Policies / Adherance 6.1.2.3

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Sl. No. Check Sheet No. Check Sheet Name Rev. No.

AUDIT NO. : AUDIT DATE

SN Parameters IATF Clause Observations

1 Risk Analysis & Planning

3 Control of Documented Information

6 Resource and facility planning *

7 Customer Satisfaction assessment

8 Employee Motivation & Empowerment

9 Quality Management System Awareness

10 Planning & Management review

11 Lessons Learnt / Kaizen / Improvements

13 Any Other Points / Review of Last Audit NC

Auditee (Sign) Auditor (Sign)

SN Parameters IATF Clause Observations

4 Daily Production Control

5 Job set-up Verification

6 Availability of documentation for Production Control

7 Manufacturing rejection and Rework /Repair Control

8 Identification and Traceability for

10 Quality Management System Awareness

11 Planning & Performance Monitoring

12 Lessons Learnt / Kaizen / Improvements

13 Any Other Points / Review of Last Audit NC

Auditee (Sign) Auditor (Sign)

AUDIT NO. : AUDIT DATE:

SN Parameters IATF Clause Observations

1 Risk Analysis & Planning

3 Customer Specific Requirements

6 Process & Product audit

9 Control of Non Conforming Products

11 Control of Documented Information

12 Quality Management System Awareness

13 Planning & Performance Monitoring

14 Lessons Learnt / Kaizen / Improvements

Auditee (Sign) Auditor (Sign)

Format No: SOP0803/F08 Issue No: 00 dtd: 01.07.17 Page 4 of 11

AUDIT NO. : AUDIT DATE

SN Parameters IATF Clause Observations

5 Development of components and Tooling

6 Documents required to be submitted along with

7 Control of Documents and Records

12 Planning & Performance Monitoring

13 Lessons Learnt / Kaizen / Improvements

14 Any Other Points / Review of Last Audit NC

Format No: SOP0803/F08 Issue No: 00 dtd: 01.07.17 Page 5 of 11

AUDIT NO. : AUDIT DATE

SN Parameters IATF Clauses Observations

3 New Product Development

6 Process Design Review

8 Production capacity evaluation

12 Planning & Performance Monitoring

13 Lessons Learnt / Kaizen / Improvements

14 Any Other Points / Review of Last Audit NC

AUDIT NO. : AUDIT DATE

SN Parameters IATF Clauses Observations

3 Material movement and Handling